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SOME
EXPLANATIONS Robert A. 'Dahl
To the question whether a standard pattern of opposition has developed m
Western democracies, the answer is, as the preceding chapter shows, a '
confident no. Is there, however, one major factor that "causes"
the variations in patterns from one country to another? Can we, to put the
question a little differently, relate the differences in patterns to variations
in some single factor? Here again the answer appears to be definitely in
the negative.
It is possible to identify at least seven factors or conditions that help
to account for differences in the patterns of opposition. The interplay
of the seven factors is, unfortunately, doubly obscured, for not only is
the relation between each of these conditions and patterns of opposition
a complex one, but to complicate matters further the relations among the
seven conditions themselves are unclear. As a start toward clarifying some
of these relationships, therefore, I propose to advance several preliminary
hypotheses:
1. Five primary conditions that help to explain patterns of oppositions
are
constitutional structure and electoral system;
widely shared cultural premises;
specific subcultures;
the record of grievances against the government;
and social and economic differences.
2. Two intervening factors that help to account for variations in patterns
of opposition are highly (but perhaps not completely) dependent on the primary
conditions. These are
the specific patterns of cleavage, conflict, and agreement in attitudes
and opinions;
and the extent of polarization.
3. Within some limits that cannot be specified, each of the five primary
conditions can vary independently of the others.
4. However, no one of the primary conditions (nor, of course, either of
the intervening factors) can vary independently of the others without
limit. That is, if a change in one of those conditions is sufficiently great,
it will occur only in association with changes in one or more of the other
conditions.
Within a given country, a large change in one of the seven conditions
increases the likelihood that the existing pattern of opposition will change
in a specifiable way. As between two countries, a large difference with
respect to one of these conditions is likely to be associated with a difference
in patterns of opposition in the two countries.
6. Within a given country, two or more of these conditions may reinforce
one another by promoting the same pattern of opposition; they may offset
one another by promoting conflicting patterns; or they may be independent
of one another. Differences in the patterns of opposition in two countries
may therefore be accounted for by the way two or more factors interact with
one another.
Constitutional Structure and Electoral System
Constitutional frameworks and electoral systems, it might be objected, have
nothing to do with the characteristics of opposition; we must look instead
to social, economic, cultural, or psychological factors. This kind of objection
reflects a "reductionism" that seeks to reduce political factors
to something more "basic," just as biophysicists seek to explain
biology by evoking the "more basic" laws of physics. Yet just
as biophysicists have encountered severe difficulties in reducing biology
to physics/ to ignore the effects of constitutional and electoral institutions
leaves one in serious difficulties. The American constitutional system,
it was pointed out in Chapter 2, provides a complex array of positions from
which a minority coalition can check presidential policies favored by a
majority coalition in Congress. The constitutional framework thereby inhibits
a high degree of concentration of all opposition groups, encourages diffusion,
helps prevent clear id entifi ability, and reduces the prospects of strict
competition. All these characteristics, in turn, favor the use of bargaining
strategies. To take another case, if the present electoral system in Britain
were replaced by one of the continental systems of proportional representation,
the present degree of concentration, identifi ability, and strict competitiveness
of the opposition party surely would not continue to exist. For in the last
half-century, no party in Britain has ever received a majority of popular
votes.2 Hence under most PR schemes, no one party could ever have formed
a government during this period; all governments would necessarily have
been coalition governments; in these circumstances strategies
of parliamentary bargaining (Strategy II) would have had a great deal more
utility for parliamentary opposition and the government than they can possibly
have under the present system, which, as we saw, strongly promotes strict
competition and concentration on elections (Strategy I). To take a final
example, the abrupt change in the pattern of opposition i from the Fourth
Republic to the Fifth can be accounted for mainly by the changed position
of the chief executive. Indeed, there is good reason to think that a return
to the Constitution of the Fourth Republic would to a considerable extent
restore the previous pattern of opposition.
Several kinds of institutional arrangements seem to have a bearing on patterns
of opposition: the extent to which constitutional arrangements effectively
allocate independent political resources (sources of power) to the chief
executive, the legislature, and the courts (separation of powers), and to
geographical units (federalism); the relative magniture of the political
resources allotted to chief executive and legislature for influencing one
another; and the system of elections, whether single-member district or
some form of proportional representation. It is impossible to show that
any of these or any combination of them totally determines patterns of opposition
even in the short run, for to every plausible generalization of this kind
there seems to be an exception. Moreover, in the long run, constitutional
and electoral arrangements themselves respond to other factors:
the pattern of opinions in a country may render some system of proportional
representation far more acceptable than a single-member district, winner-take-all
system of elections.3
Yet the evidence does strongly suggest that different constitutional and
electoral arrangements raise or lower the likelihood of a particular pattern.4
Thus constitutional separation of powers and federalism both create a variety
of alternative sites and reduce the possibility of an all-or-nothing victory
through elections; hence both tend to decrease the relative importance of
electoral encounters as compared with encounters at other sites. They also
encourage decentralization in the control of parties5 and
thereby decrease the distinctiveness
of the opposition and the chances for a strictly competitive contest between
government and opposition. As a result of all these factors, both separation
of powers and federalism confront an opposition with the alternative of
carrying out a revolution to sweep the whole fragmented structure away,
or else adopting a strategy for gaining goals by influencing the existing
personnel of government rather than relying exclusively on winning elections
and displacing the governing party or coalition- To increase the relative
magnitude of the political resources available to the president, prime
minister, or cabinet operates in the opposite direction- The more the
power of the chief executive is increased relative to the power of legislators,
the more an opposition will have to concentrate its efforts on the chief
executive. This in turn increases the importance of winning elections
in order to replace the executive. All three factors taken together generate
pressures to concentrate the oppositions into a single coalition which,
by its unity, has a chance to win the election; this in turn will emphasize
the distinctiveness of opposition and push the system closer toward strict
competition,
As to electoral arrangements, it is unnecessary to recapitulate that extensive
controversy. The view that PR is a necessary condition for multi-party
systems, and that single-member districts with plurality elections are
a sufficient condition for a two-party system, is definitely untenable.
Yet PR does seem to be a sufficient condition for more than two parties;
none of the nations using a complete PR system for national elections
has a two-party system, and if the reasoning about the United States and
Britain employed a moment ago is correct, then both these countries would
in all likelihood move toward multiparty systems if they were to adopt
PR for national elections. PR decreases the concentration and distinctiveness
of opposition; reduces strict competition and increases the need for cooperation;
and thereby increases the rewards to be gained from bargain- , ing strategies
of various kinds. The argument of these paragraphs is summarized in Table
12.1.
Thus if constitution-makers wished to concentrate the opposition and
encourage the existence of two distinct and strictly competitive parties
each "mploying a strategy of winning elections in order to form a
powerful one-party executive, they should recommend a parliamentary system
without marked constitutional separation of powers; an executive with
' relatively great political resources in comparison with the legislature;
a unitary rather than a federal system; and election of members of parliament
by a relative majority of votes in single-member districts. However, constitution-makers
in some countries would be well advised, as we shall see, to hesitate
about adopting such a constitution because of its explosive potentialities
if political attitudes were to become highly polarized. Conversely, if
constitution-makers wished to diffuse the opposition into a
variety of different sites
and parties and to encourage cooperative-competitive strategies with a
strong emphasis on gaining entry into parliamentary coalitions, they should
recommend proportional representation, a relatively weak executive, constitutional
separation of powers, and federalism. However, the price of such a constitution
might be a certain paralysis in the executive except in a country with
rather high consensus -which, since it would have nothing to fear from
a concentrated opposition, would have no great need to employ these constitutional
devices m order to diffuse and fragment the opposition.
Widely Shared Cultural Premises
That we are examining the products of historical developments should serve
as a warning. Our ten countries have had different histories: even Swedes
and Norwegians do not share the same past. The history of a country is
in this one respect analogous to the past of an individual: behavior at
any given moment is a product of interplay between the present situation
and what has already been learned from responses to earlier situations-
In an individual, the sum total of these learned orientations is his personality;
in a nation or a country, its culture.
Both notions are diffuse, and we are barely past the threshold of scientific
knowledge about personality and culture, particularly as they bear on
politics. Nonetheless, few students of comparative politics doubt that
certain countries do have different political cultures: that leaders and
a great part of the people differ from one country to the other in their
orientations toward politics. For example, as Alfred Grosser suggests,
underlying attitudes about opposing the government are rather different
in France from what they are in, say, Britain or the United States. A
Frenchman, typically, is
more disposed to oppose, less disposed to support the government-any government.8
Despite the slender evidence, the conjecture that patterns of opposition
may have something to do with the widely shared cultural premises of a
country is much too important to ignore. Our data-indeed, all existing
data-do not permit one to do justice to the conjecture. We do not even
know what weight to assign cultural factors as compared with others. But
we cannot ignore them. What follows, then, is not a summary of findings
but a sketch for a theory. Four kinds of culturally derived orientations
toward politics seem to
have a bearing on patterns of opposition:
1. Oriepitations toward the political system. These orientations may be
classified as allegiance, when attitudes, feelings, and evaluations are
favorable to the political system; apathy or detachment, when attitudes,
feelings, and evaluations are neutral rather than positive or negative;
and alienation, when attitudes, feelings, and evaluations are unfavorable.7
In the United States, Great Britain, Sweden, Norway, and (in a more complex
way) Holland, the political culture evidently generates widespread allegiance.
In West Germany (and perhaps Austria), it seems to generate detachment.
In Italy and France, and possibly to some extent in Belgium, it generates
alienation 8 mixed with a large measure of apathy.
2. Orientations toward other people. Beliefs that one can have faith and
confidence in others, or conversely that one should exercise distrust
and suspicion toward others, seem to be culturally rooted to some extent,
even if there are great individual variations around the cultural norm.
Though comparative evidence is scanty, Almond and Verba found sizable
variations in "faith in people" among their samples in five
countries; "the Americans and British tend to be consistently most
positive about the safety and responsiveness of the human environment,
the Germans and Italians more negative, and the Mexicans inconsistent."
9
6. That the difference is one of degree and is subject to long-run changes
is suggested by Bagehot's comment that "The natural impulse of the
English people is to resist au'horky." The English Constitution,
(New York, Dolphin Books, Doubleday,
n.d.), p. 306.
7. These concepts are derived from the first: systematic empirical study
of political
culture on a comparative basis: Gabriel Almond and Sidney Verba, The Civic
Culture, (Princeton, Princeton University Press, 1963), pp. 11-11. The
concept of allegiance was in turn derived from Robert Lane, Political
Ideology, Why the American Common Man Believes What He Does (New York,
Free Press, 1961), pp. 170 ff.
8. For Britain, U.S., Germany, and Italy, see Almond and Verba, The Civic
Culture, Ch. 14, p. 401, and passim. For the others, the classification
is a purely qualitative Judgment based primarily though not exclusively
on the essays in this volume.
9. Ibid., p. 168. For example, the percentages agreeing that "most
people can be trusted" were: U.S., 55 per cent, U.K., 49 per cent;
Germany 19 per cent; Italy 7 per cent (Table 4, p. 267). Whether the expression
in quotation marks has precisely equivalent meanings in the different
countries is uncertain.
3. Orientations toward
cooperation and individuality. Some cultures emphasize the virtues of
cooperating with others, conciliating opposing views, compromise, willingness
to submerge one's own special ideas in a larger solution. Other cultures
stress the value of maintaining one's individuality, distinctiveness,
the integrity of one's personality and ideas preserving personal integrity
by avoiding compromises. The political culture may, of course, stress
these attitudes more-or less-heavily than the "general" culture.
Though concrete evidence of cultural differences among our countries is
difficult to find, it hardly seems open to doubt that in Sweden, Britain,
and the United States, the political culture strongly emphasizes the virtues
of compromise and conciliation and the possibility or compromising without
threatening personal integrity; indeed, in these countries compromise
is widely hailed as virtuous. In France and Italy, on the other hand,
the virtue both to individuals and to groups of maintaining personal integrity
and distinctiveness, even at the price of conflict,
seems to be relatively more heavily stressed both in the general culture
and in political life.10
4. Orientations toward problem-solving. Sartori has emphasized the importance
of looking "ac the underlying cultural patterns if we want to understand
the difference between democracies of the Anglo-American type and, let
us say, of the French type." u Englishmen and Americans, he argues,
tend to be characterized by an empirical or (in a loose sense) pragmatic
approach to problems, whereas among the French, Italians, and Germans,12
a rationalistic approach is more likely to dominate thinking about politics-
Sartori sketches the two orientations as follows:
10. Direct evidence is hard to find. One indirect piece of evidence for
"cooperation" versus "individuality" is membership
in voluntary organizations. Almond and Verba found such memberships much
more frequent among Americans and Britishers than among Italians and Mexicans,
The Civic Culture, pp. 301-06. On Italy, see also Arnold Rose, "On
Individualism and Social Responsibility," in European Journal of
Sociology, 2, No. i (1961), 163-69. For insights on French "individualism"
see Francois Bourricaud, "France" in Arnold M. Rose, ed., The
Institutions of Advanced Societies (Minneapolis, University of Minnesota
Press, 1958), pp. 408 ff.
n. Giovanni Sariori, Democratic Theory (Detroit, Wayne Stare University
Press, 1062), p. 233.
12. While a weakness in empirico-pragmatic styles of thought is often
ascribed to Germans, other observers might nor agree that their scvie
is "rationalistic" in quite the sense of French and Italian
"rationalism." Thus Deutsch and Edinger speak of "the two
underdeveloped traditions of empiricism and equality: tv,'o muted themes
in German culture . . - The mercantile traditions of empiricism, rationality,
adaptability, and ease of compromise seem markedly underrepresented .
. . German cul'ure thus offers its members two quite different roles for
imitation: on the one hand the obedient, dependable craftsman, and on
the other, the bold, romantic knight and his intellectual cousin, the
daring, demonic magician." Karl W. Deutsch and Lewis J.
Edinger, Germany Rejoins the Powers (Stanford, Stanford University Press,
icto), P- ^
While the empirical (empirico-pragmatic)
mentality stays in medias res, close to what can be seen and touched,
the rationalist mentality soars to a higher level of abstraction and hence
tends to be far removed from facts. While the former is inclined to accept
reality, the ra'ison tends to reject reality in order to re-make it in
its own image; while empiricism tends to be anti-dogmatic and tentative,
rationalism tends to be dogmatic and definitive; while the former is eager
to learn from experience and to proceed by testing and re-testing, the
latter goes ahead even without tests; while the empiricist is not deeply
concerned with rigorous coherence and distrusts long chains of demonstration,
the rationalist is intransigent about the necessity for deductive consistency-and
therefore, in the summing up, while the former prefers to be reasonable
rather than rational, the latter puts logical rigor above everything and
thus is rational even if it means being unreasonable. While the empirical
approach takes the attitude that if a program does not work in practice
there must be something wrong about the theory, the rationalist will retort
that what is true in theory must also be true in practice-that it is the
practice, not the theory, that is wrong.13
It seems reasonable to think that opposition in these two hypothetical
systems would differ in the following ways:
In System I, opposition would In System II, opposition VJcyitId stress
the importance of: stress the importance of:
maintaining a stable government^ achieving goals, even if this leads adhering
to the political and to instability in government constitutional rules
of changing the rules if this is the game required by goals making evolutionary
changes by making major structural changes,
marginal adjustments possibly by revolutionary means factual analysis
rather than ideological consistency rather than ideological consistency
factual analysis
Perhaps the most interesting difference in these two contrasting cultural
orientations is the extent to which they would encourage consideration
by political elites and activists of major structural changes in society,
economy, and policy. Because System I would deal only with marginal alternatives,
proposals for major structural changes would receive slight attention.
Thus System I might prove to be rigid if it were confronted by problems
that could not be met satisfactorily by the existing structures. System
II, on the other hand, would encourage political elites and activists
to consider major structural changes; but the emphasis on deducing the
program from an abstract ideology, and the willingness to violate or change
the constitutional and political rules to achieve political goals, might
so thoroughly fracture consensus that discussion-a "dialogue"-
about the alternatives would, in practice, be impossible. The structural
alternatives presented by different groups would not be analyzed and discussed
as much as merely proclaimed: in the place of discussion, there would
be a dialogue of the deaf.
The two systems, it should be said again, represent the extreme cases.
In practice, concrete political systems, including the ten examined in
this book, would fall short of the extreme types. Probably the United
States comes closer than any of the other nine countries to our hypothetical
System I; the orientations and the opposkional behavior ascribed to System
I are, in fact, usually attributed to the United States. Present-day Britain,
the Scandinavian countries, and Holland also seem to display the characteristics
of System I. Italy and France, on the other hand, probably approach System
II somewhat more closely than any of the other countries described in
the preceding chapters.
Yet it bears re-emphasizing chat while the evidence we have lends credence
to these conjectures, our observations in this area are still mainly impressionistic.
Much research remains to be done before we can be at
all confident about the interplay between political cultures and patterns
of opposition.
Subcultures
Almost any difference in behavior or beliefs can lead to the development
of so many special patterns of thought, language, identity, and other
forms of behavior that we can appropriately label these patterns as a
subculture. Once it develops, a subculture often displays remarkable tenacity,
for the levers of change cannot easily be manipulated by outsiders, and
those inside the subculture are rewarded not for changing their way of
life but for adhering to it.
Conflicts involving subcultures are likely to be especially intense, and
therefore particularly difficult to manage, because they cannot be confined
to single, discrete issues; to the person sharing the perspective of a
subculture, conflict over a "single" issue threatens his "way
of life," the whole future of the subculture. The historic conflict
of anticlericals and Catholics over funds for parochial schools was surely
not often perceived, on either side, as a simple, straightforward question
of how to finance education: it was a matter of rival ways of life or
fundamental notions about freedom. In the United States, the question
of voting rights for Negroes has never meant simply whether Negroes should
vote; the typical white Southerner has perceived this, or any other extension
to Negroes of the rights and liberties enjoyed by whites, as a threat
to "the South"-in short, to a way of life built directly upon
the subjection of
the Negro.
To some extent, all of the countries examined here are societies divided
into subcultures. Occupation; social status; race, language, and echnic
group; religion; residence; size of community; and region-these are nodes,
everywhere, around which cultural distinctiveness develops. But it is
when the numbers who participate in a subculture are large, the differences
sharp, and the subculture comprehensive that the effects on political
conflict are greatest.
Not one of our ten countries has wholly escaped conflict exacerbated by
differences among subcultures (or between a subculture and the dominant
culture), and in six of the ten countries conflicts of this kind have-at
least for a time-directly shaped the characteristics of opposition:
In Britain, the conflict over Ireland is now substantially ended, but
while it endured it involved a subculture based on region, religion, and
ethnic identity. The conflict proved to be incapable of solution within
the framework of the British political system.
In Norway, the conflict, now diminishing, between "center" and
"periphery," based on region, residence, occupation, language,
and to some extent religion has been important in political life during
much of this century.
In Holland, the conflict
over religion has led to the division of Dutch
society into three rather distinct communities.
In Belghmi, the conflict between Walloons and Flemings reflects subcultures
different in language, religious views in part, and region.
In Austria, the conflict between two Lager has dominated the political
scene since the beginning of the Republic.
In the United States, the South has for nearly two centuries formed a
distinctive regional subculture with profound effects on American political
life.
Since opposition between a subculture and a government that represents
a different subculture or the dominant majority culture is highly explosive,
how have our countries responded to those conflicts?
In general, conflicts involving subcultures rarely seem to be handled-
for long-by the normal political processes employed in other kinds of
issues. For this sort of conflict is too explosive to be managed by ordinary
parliamentary opposition, bargaining, campaigning, and winning elections.
The chief ways in which these conflicts have been dealt with are these:
1. Violence and repression. This has been a response in Britain, in Belgium,
and, most notably, in the United States, where violence has even erupted
into a civil war. The possibility of violence and civil war always lurks
as a special danger in countries with hostile subcultures; and this danger
undoubtedly stimulates a search for alternative responses.
2. Secession or separation. This was the solution to the problem in Ireland.
It was the solution sought by the South that eventuated in the American
Civil War.
3. Mutual veto on government policies. In this case, each opponent can
veto changes in the status quo involving his subculture. This is most
clearly the system in Austria, But it is also characteristic of Holland
and, to a considerable extent, Belgium and the United States.14
4. Aiitono7ny. Autonomy may be granted to a regional subculture, as in
the case of the South, which after about 1874-80 received, de facto, a
grant of autonomy from Congress, President, and Supreme Court. Or, as
in Holland, autonomy may be granted to subcultures that do not have a
regional basis.
5. Proportional representation has been used to guarantee a subculture
that it will be represented in parliament even though, as in Belgium,
it does not receive much autonomy. And proportional representation in
the broader sense of representing groups more or less in proportion to
their
numbers can be applied in all kinds of agencies and organizations, as
in Belgium.
6. Assimilation. This seems
to be the evolutionary pattern in Norway. For a century and a half it
was the characteristic response to ethnic group differences in the United
States; but the process of assimilation has failed, so far, in the case
of Negroes.
The Record of Grievance
The extent to which citizens of a country are allegiant or alienated depends
in some measure on the way the government has responded to grievances
in the past and is expected by citizens or subjects to respond in
the future. Reflecting on observations made during 1950-51 in the Provencal
village
of "Peyrane," Lawrence Wylie noted that
there never has been a time since the beginning of Peyrane's history,
when contact with organized humanity has meant anything but the exploitation
and manipulation of the individual. The wandering hordes, the Romans,
the feudal lords-including the neighboring papal rulers, the agents of
Provencal counts and French kings, the nineteenth-century regimes set
up by Paris, the twentieth-century bureaucracy centralized in Paris-all
these form an unbroken past in the vague memory of the village. They all
mean domination by a human power beyond the control of the individual.
At best the domination has brought unsought modifications in living habits.
At worst it has brought disaster. And so it has become conventional to
think of human power as a plague to be classed with the plagues of nature:
the odious government, the leveling mistral, the flooding Durance.16
If the citizens of the United States and Britain are much more confident
than the citizens of Germany, Italy, and Mexico that they could do something
to prevent the passage by the national legislature of a law they considered
to be unjust or harmful, as Almond and Verba report,16 surely these differences
have something to do with the historic record of how grievances have previously
been handled. To be sure, these differences in attitudes may now be embedded
in the political cultures of these countries; but the political cultures
themselves can be explained in part by the record of the past.
The burden of grievance is not, however, invariable in human societies.
The institutions of a society generate a greater burden of grievance during
some periods than in others; moreover, for a variety of reasons some societies
evidently generate a smaller burden of grievances than others. Thus the
accumulated burden of grievances may be low and allegiance high: either
because the social and economic institutions of a country tend
15. Village in the Vaucluse (rev. ed. New York, Harper Colophon Books,
1964),
to generate a relatively small burden of grievance; or because, even though
great grievances have been generated in the past, the government has responded
to alleviate them.
Returning to the French village ten years later, WyJie was surprised to
discover marked changes even in that brief period:
As I went out into the country and talked to the farmers I realized the
importance of the changed economic situation and state of mind of the
farm people in the commune- They have a new awareness of their professional
status and dignity, which is reflected in the growth of their professional
organizations and in their sense of solidarity with farmers elsewhere
... It was obvious that French farmers were in agreement that if they
wanted action there was nothing to be gained by talking to elected officials
... At last they had come to feel that their most effective political
representatives were not the traditionally elected officers- deputies
and senators-but farmers themselves who had been elected to office in
professional organizations . .. Once there was no more hope of
turning back, the inevitability of change was accepted, it at last became
possible for people to devote their energy to seeking new solutions for
their problems. People acquired a greater sense of freedom to act for
their own welfare. The rejection of the old political system, the modernization
of the farms, the tractor demonstrations, the development of
farmers' organizations are. to a certain extent, manifestations of this
changed spirit.17
For nearly a century the most insistent internal threat to the allegiance
of citizens was the burden of grievance accumulated among the urban and
(particularly in Italy) rural proletariats, a burden that threatened to
alienate the working classes if the grievances were not heeded-or to alienate
the middle classes if they were. The problem, then, was how to gain the
allegiance of the working classes to democratic institutions without alienating
the other social strata. This problem has not been solved in all ten countries;
France and Italy in particular do not seem to have worked out a solution,
though they may be in the process of doing so. In Germany (and perhaps
in Austria) commitment to democratic institutions is untested by adversity
and may still be somewhat weak; but working classes, at any rate, are
as allegiant as other major social strata, and in this narrow sense a
solution has been reached to the problem of political alienation among
the working classes. In the remaining six countries, the problem has been
solved, at least in the main. One of the significant developments of this
century has been, then, the integration of the working classes into a
large number of Western democratic systems and the decline
in these countries of any serious threat to parliamentary democracy 17.
Village in the Vavcluse, pp. 359, 362, 364.
generated by class conflict. The importance of this development for the
future of oppositions can scarcely be exaggerated.
Even aside from France and Italy, however, the integration of the urban
and rural workers into political life has not followed an identical pattern.18
Despite the diversity of specific patterns, it is possible to clarify
some of the major aspects of the process by drawing a simplified and abstract
picture of how a political system might solve the problem of acquiring
the allegiance of the working classes to democratic institutions without
alienating the other strata, particularly the middle and upper strata.
One might conjecture that the likelihood that this problem would be solved
would be relatively high if the following conditions were met:19
1. As the urban (or rural) working classes increase in numbers and in
demands on the political system, there already exists an operating parliamentary
system supported by a large and allegiant middle class and led by an experienced
and allegiant political elite.
2. These incumbents, the middle classes and their leaders, head off severe
and prolonged frustration over the operation of the political system by
peacefully yielding an increasing degree of participation in political
life to the working classes by
the extension of the suffrage,
allowing the development of political leaders representing the working
strata,
permitting the participation of these political leaders in political decisions,
and accepting their entry into the government.
3. Entrepreneurs and managers yield enough of the benefits made possible
by more efficient technology and organization to reduce the frustrations
that had been generated by social'and economic conditions during early
industrialism.
4. The government undertakes regulation or structural reforms in such
a way as to reduce social and economic sources of frustration ito people
in
working-class occupations, without, however, seriously alienating other
social strata.
Six of our ten countries have, in varying degrees, satisfied these four
general conditions: Britain, Belgium, Holland, Norway, Sweden, and the
United States. Of these, the five European countries have followed a roughly
similar development, while the United States has traced a different
18. Cf. Vfll R. Lonvin, "Working Class Politics and Economic Development:
in Western Europe," American Historical Review, v. 63 (January 1058),
338-51.
19. Although the formulation here is not identical with S. M. Upset's,
it has much in common with his. See his discussion of legitimacy and democracy
in "Some Social Requisites of Democracy," reprinted in Nelson
W. Polsby, Robert A. Dentler and
Paul A. Smith, eds.. Politic! and Social Life (Boston, Houghton Mifflin,
1963), pp. 541-68, at pp. 554 ff.
path. In the five Norch European countries, a constitutional system with
an elected parliament, middle-class support, and experienced leaders drawn
from the middle classes or the aristocracy was already in existence when
the urban and rural workers began to develop political consciousness and
demands. In all these countries viable labor or socialist parties that
drew increasing support from the working classes were formed in the years
from about 1885 to 1905. By the end of this period or a few years later
the right to vote was gained by most workers in all these countries.20
Even the existing middle-class parties began to respond to the demands
of the new strata, and they sometimes supported measures designed to eliminate,
or at least to mitigate, the worst social and economic evils of unregulated
capitalism: social security laws, legal support for trade unions, expansion
of public education, and the like. These reforms did not, however, prevent
the growth of the labor and socialist parties. During the First World
War and after, socialist leaders began entering inco coalition governments.
Although the labor parties and their leaders participated initially only
as junior partners in coalition governments, eventually they secured a
large enough vote in elections and seats in parliament so that, as the
largest or second largest party in the country, they were highly influential
in the conduct of government-sometimes as the major opposition to the
government, sometimes as a coalition partner, sometimes as the governing
party. In the extreme cases, Norway and Sweden, the labor parties have
governed for three decades; in Britain, their victory in 1945 enabled
them to carry out most of their immediate program; in other countries,
even when the labor parties are not currently participating' in the governing
coalition it is reasonable for them to expect thaC they may be able to
do so within a few years,
Thus in these five countries the first two conditions mentioned a moment
ago have been met, and in the process the working-class parries have acquired
the sobering experience of governing their countries. Meanwhile, too,
the third and fourth requirements have been met by both economic and social
development and by government regulation and reform. In all five countries
the labor parties have witnessed the attainment of a good many of their
immediate objectives, while their ultimate goals for a socialist society
have more and more become hypothetical and rhetorical.
In the United States the four conditions suggested earlier have been met-but
according to a different timetable and in quite a different way. As in
the five countries just mentioned, so too in the United States, well before
rapid industrialization expanded the urban working class from a
20. On the development of political participation in Western Europe, see
Stein Rokkan, "The Comparative Study" of Political Participation:
Notes Toward a Perspective on Current Research," in Austin Ranney,
ed., Essays on the Behavioral Study
tiny minority into a substantial
proportion of the population, democracy was a going system of government,
backed by a "middle class" (consisting predominantly of farmers)
and operated by leaders skilled in the arts of managing the country's
political institutions.
But the United States met the second condition by providin"' for
participation of the emergent working classes in political life in a way
that frequently leads European socialists to the conviction that this
country has skipped "an inevitable stage of capitalist development"
and that sooner or later (despite impressive and increasing evidence to
the contrary) it will have to rum back and rerun its history according
to the North European pattern. The essential difference is that unusual
conditions in the United States permitted it to arrive at the same result-the
integration of the working classes into the political system-without the
mediating role of a specifically working-class party. The transition was
far from peaceful. "American workers," Val Lorwin has said,21
"had to fight bloodier industrial battles than the French for the
right of unions to exist and to function." Nonetheless, in the United
States the working classes have always been, on the whole, strongly allegiant
to the political system;22 and though many workingmen's or socialist parties
have been created to appeal to urban workers, few have lasted more than
a decade and none has ever attracted the continuing support of more than
a small proportion of the
working classes. The reasons for this great difference between the United
States and the
European democracies with which it has much in common in other respects
are complex. One was the fact that workers had already acquired full political
rights long before an urban proletariat of any size came into existence;
thus workers were never alienated from the political system as a result
tf being excluded from it. In addition, two national, "grass-roots"
parties were already on the scene, ready, willing, and able to recruit
workers or supporters. To call them "bourgeois" parries is to
miss an important point. If they were "bourgeois"-American middle-class-in
their orientations, they were by no means so in organization and recruitment.
They were distinctly not elite parties of notables. Typically, they were
organized all the way down to the poorest precincts of the large cities;
and they had perfected techniques-in essence, rendering primitive social
services-for gaining and holding the loyalty of their followers. A working-class
party could offer distant collective goals; it could not compete in immediate
individual palliatives for concrete grievances. Finally, in a very large
country with a decentralized federal system of government and parties,
many of the most pressing legislative demands of
21. Val R. Lorwin, "Reflections on the History of the French and
American Labor
Movements," Journal of Economic History (March 1957), p. 37.
22. In this respect the 15 men studied in depth by Robert Lane seem representative.
See Political Ideology, Ch. 10, "The Alienated and the Allegiant,"
pp. 161-76.
as fully integrated into,
and as allegiant to, their democratic institutions as the other strata.
In Germany, as Ott-o Kirchheimer indicates, class antagonism no longer
serves as much of a political stimulus; and what was for generations considered
the leading socialist party of Europe is now barely distinguishable in
goals and strategies from the Christian Democratic Union. In Austria,
coalition government and Proporz have provided the old enemies, the two
Lager, with a verv great stake in maintaining the system. The commitment
to democracy may not be strong in either country; but allegiance is no
weaker among the working class, evidence suggests, than among other major
strata. It is not so much that the battle for allegiance has been won
as that it has not been lost. The evidence of Almond and Verba seems to
indicate that in Germany-and the same may be true in Austria-the population
is neither alienated from nor allegiant to democratic institutions but
rather indifferent or detached.26
Like Germany and Austria, the political development of France and Italy
did not fulfill the four conditions suggested earlier. In both countries,
the last two conditions were, at least until recently, met badly. In addition,
Italy scarcely even fulfilled the first condition during the 6o-year period
of parliamentary government before fascism, for it failed to build up
a large and allegiant middle class. Meanwhile, an extraordinary record,
probably unparalleled in Western Europe, of violence and repression by
the state against socialists, anarchists, trade unionists, and other workingmen's
organizations must have strengthened the suspicion and hostility of the
working classes toward parliamentary institutions- "What is more,
Italy arrived at the second condition rather late by maintaining a highly
restricted suffrage until universal manhood suffrage was introduced in
1912:
the result was an abrupt threefold swelling of the electorate. The First
World War following upon the elections of 1913 and the rapid collapse
of parliamentary government after the war meant that in Italy, as in Germany
and Austria, the struggle for allegiance really began only two decades
ago. So far, as Samuel Bames* essay makes clear, the outcome remains in
doubt. Let me now draw this discussion together with three conclusions:
First, in seven of our nine European countries the politics of the working
strata has converged toward a situation that has much in common with the
traditional position of the American worker. An American is likely to
consider desirable any change that brings European systems into conformity
with his own. But the problem is not quite so simple.
For, in the second place, one cannot simply ignore the plain fact that,
up to now, in Italy and France history has taken a different path. It
is not yet clear, particularly in Italy, how the largest group of working-class
voters, those who have voted for the Communists, are to be integrated
peacefully into a viable political system.
26. The Civic Culture, pp. 418 ff.
Some Explanations
Third, when the Left parties acquire a durable majority of votes, the
problem of allegiance shifts from the working classes to the white-collar
strata: lower middle classes, professional groups, businessmen. The problem
would arise in Italy in its most extreme form if there were ever a coalition
government in which the Communists participated. And for how long can
a nation's second largest party, with the largest following of manual
workers, be excluded from participating in the government? The problem
is posed in much more moderate form in countries where the Left parties
have become the largest parties and normally in control of the government;
most notably Sweden, Norway, and the United States, where the parties
representing the conservative middle classes have not been able to control
the national government for the better part of the last three decades.
To what extent will conservatives (whether in the Scandinavian or the
radically different American sense) become politically alienated by their
continuing exclusion from governing their countries? Certainly the American
Right appears to be fully as hostile to the dominant tendencies in current
American politics as the working classes of the United States ever were.
And the strike of the Belgian doctors in 1964 shows to what length a professional
group may go in opposing government policy.
Social and Economic Sources of Political Cleavage
An alternative though not necessarily contradictory way of describing
and explaining these historical changes in the patterns of opposition
in our ten countries is to attribute the changes in politics to long-run
changes in social and economic factors, using these terms very broadly
to include not only class, social status, and occupation but also such
social factors as religion, ethnic group, and language. The political
affiliations, loyalties, and attitudes of an individual, it might be said,
are heavily dependent on his durable social and economic roles, functions,
and affiliations: political cleavages are, according to this hypothesis,
the expression of social and economic differences.27 If the political
behavior of various strata has become more alike in recent years, then
this is because these strata have also become less distinct in their social
and economic characteristics.
There is, surely, a great deal of truth in this explanation. The core
of truth is to be found in the twin assumptions that social and economic
differences usually are associated with differences in rewards and deprivations,
in relative advantages and disadvantages; and that these differences in
rewards and deprivations stimulate cohesion among those who are socially
similar and conflict with those who are different. The difficulty with
the explanation and the axioms on which it is founded is not so much
27. A special problem implicit or explicit in thi^ kind of explanation,
the relation of social and economic cleavages to "polarization,"
is dealt with below, at pp. 380-86.
that they are false as that they oversimplify a highly complex matter
and thereby leave a great segment of political behavior unaccounted for.
To begin with, in the countries examined in this volume, the political
affiliations, loyalties, and attitudes-in short, the political behavior-of
individuals and groups cannot be traced to any single social or economic
characteristic. Quite the contrary, political behavior is evidently influenced
by a great variety of different social and economic characteristics.
The most important of these are differences with respect to economic position
(in a broad sense), social position, religion, language or ethnic group,
and region. Differences in economic position, ordinarily allied to differences
in social position, are sources of conflict in all our countries. Religion
is usually an important source of differences in political behavior in
countries with sizable Catholic populations, because religious commitments
generate differences in political attitudes between Catholics and Protestants
or between Catholics and anriclericals, as in France, Italy, and Belgium.
Differences in language or ethnic identification have been critically
important in Belgium and the United States. And regional differences-associated
often with some of the others-have been significant in the United States.
Norway, Belgium, and, to some extent, Italy,
Second, some social differences are associated with differences in relative
advantage, and hence with political behavior, in some countries but not
in others. Differences in language are one of the commonest sources of
cleavage in all parts of the world. In Belgium, as Lorwin points out,
the bitterness between Walloons and Flemings arises not only from the
language difference but also from the fact that language has been associated
with a pattern of inequalities in occupations, education, social class,
prestige, and opportunities to rise in Belgian national life. In Switzerland,
on the other hand, although there are often abrasive relations at the
cantonal level, conflict between German- and French-speaking Swiss has
been largely avoided in national politics, evidently because few persons
in either language group feel that: they have been unfairly treated in
Swiss national life as a result of their language.
Third, the ways in which different socioeconomic factors are related to
one another do not produce a single pattern of cleavage in the different
countries, buc a great profusion of patterns. In a rough way it is possible
to distinguish three patterns:
a. Countries highly homogeneous except for social standing and economic
position (which are highly correlated). Among our countries these are
Protestant nations where religious differences have ceased to be salient,
and where ethnic, language, and regional differences have left only slight
traces. Britain and Sweden fall most clearly into this class; Norway is
a somewhat marginal member because of the declining but not insignificant
influence of region, religion, and loyalty to the rural language. Because
these differences are at
a minimum, the most salient differences are those in occupations, incomes,
and social standing-socioeconomic status. As a consequence, in countries
like Britain and Sweden the political parties reflect more clearly than
in other countries the differences in the class composition of their followings;
the labor-socialist party draws the bulk of its strength from blue-collar
workers, while the middle-class panics (or party) receive considerably
more votes in the middle or upper strata than does the labor-socialist
party. In this sense there is a higher degree of "status polarization"
in politics than in other countries. But, as we shall see, this polarization
is probably statistical rather than psychological.
b. Countries in 'which several kinds of socioeconomic differences coincide
and thus reinforce one another. One of the surprising results of our inquiry
is that this pattern does not exist in anything approaching a pure form
in any of our ten countries. This may well be because a pattern of this
kind would lead to such severe conflicts that a parliamentary system would
founder. In each one of our countries where several different kinds of
socioeconomic differences stimulate political conflicts, the planes of
cleavage in one conflict do not coincide exactly with those in other conflicts-fortunately
for the survival of the system. However, some countries
approach this pattern more closely than others. Belgium falls most clearly-even
if imperfectly-into this category, for
there, as we have seen, two of the three main planes of socioeconomic
cleavage do coincide to some extent. The explosive nature of the question
of the Negro in the United States also stems in considerable part from
the fact that the most pronounced line of cleavage, that between North
and South, goes hand in hand with differences in ideologies, economic
issues,
social systems, and regions.
c. Countries in which several kinds of socioeconomic differences crosscut
one another. It is in this case that the effects of "overlapping
memberships," "conflicting identifications," and "cross-pressures"
so much discussed in the literature of American political science may
occur.28 Thus a Dutch Catholic worker may have a strong sense of his identity
both as a Catholic and as a member of the working class. Potentially,
then, he is in conflict with non-Catholics on religious matters and with
nonworkers on economic issues. Both his class and his religion are durable
features of his life. As a worker living in a working-class ambience he
finds common ground with other workers, be they Catholic or non-Catholic;
as a Catholic living among Catholics he feels solidarity with other Catholics,
28. For a summary and critique as of 1958 see Robert E. Lane, Political
Life (Glencoe, Free Press, 1959), pp. 187-203. The overlapping membership
model par-riculariy as it applies to the United States is examined by
William C. Mitchell in "Interest Group Theory and 'Overlapping Membership,'"
a paper prepared for the 59th Annual Meeting of the American Political
Science Association, New York City,
September 1963.
whether bourgeois or workers. He therefore has an incentive, particularly
if his identification with each group is strong, to seek (or to accept:
at the behest- of his leaders) ways of reducing conflict: within each
group. His desire for group solidarity may stem from psychological needs,
from a fear of the collective consequences of internal divisions, from
a strategy of influence in politics and economic life, or from all of
these and other reasons. Whatever the reasons, though responses other
than compromise are possible, he is likely to be receptive to compromises
on questions involving religion or economic matters, for conflict threatens
to divide a group whose solidarity he wants to maintain.
Although socioeconomic differences help to account for patterns of opposition,
they leave a good deal unexplained. Even in a country with such sharp
social and economic differences as Italy, political conflict is by no
means purely a matter of conflict amorig different social and economic
groups. Industrial workers evidently divide their votes among Communists,
Socialists, and Christian Democrats. Even in a homogeneous country like
Britain, where socioeconomic status has greater influence because of the
weakness of other kinds of social distinctions, a third of the workers
vote Conservative. Or again, compare the fate of the labor parties in
Britain and Sweden. In Britain, the most urbanized and industrialized
of our countries, the Labor Parry has spent most of its history in opposition;
while the middle classes are rather solidly united in a Conservative Party
which, thanks to the support of its working-class voters, managed until
the election of 1964 to remain in office for all except 6 years out of
the previous 30. In Sweden, less urban and industrial than Britain, the
Socialist Party not only wins the support of two-thirds or more of the
working class, as the Labor Party does in Britain, but also gains a quarter
of its votes from nonworking-class groups.29 Thanks to middle-class support
it
has been in office for 30 years, and it is the bourgeois parties that
have formed the opposition.
Why do socioeconomic factors account for only a part of the variation
in patterns of opposition? Principally, it seems, because the causal chain
from one's socioeconomic position to one's overt political action is long
and tenuous; and each link in the chain may be weak enough to be broken
by the pull of other forces. A pure social determinist might postulate
a causal sequence in which one's overt political acts are completely determined
by one's socioeconomic position.
But we know that each of these links can be so weak that it cannot bear
the weight of the others. Whenever objective differences in socioeconomic
positions are blurred and
ambiguous, as they are, for example, amon^ clerical workers, then there
may be only a weak correlation between socioeconomic position and subjective
identification; hence while a majority of white-collar workers might identify
themselves as middle class a sizable minority might see themselves as
working class. Moreover, for a variety of reasons subjective identifications
vary in strength, and if one's identification with one's occupational
group is weak, they may not have much to do with one's political opinion-as
was probably the case with the wirer in a California radio factory who
said: "Well, I work for a living so I guess I'm in the working class."
30 Finally, political opinions may be weakly related to overt political
acts, particularly among people who are uneducated, who are unable to
conceptualize abstract political ideas, or who are not interested in politics,
The link at c, between political opinions and overt political aces, is
usually stronger among educated persons, intellectuals, and political
activists than among the general population; conversely, however, among
these very groups, the links at a and b connecting objective position,
identifications, and political opinions are somewhat weaker than among
the general population. Thus with the general population the breakdown
in the hypothetical causal chain of the social decerminist is likely to
occur closer to the terminal end, at c or b; but among the political elites,
the break is more likely near the beginning, at a.
The determinist's chain of causation is thus rather easily broken by the
intrusion of factors that he assumes are irrelevant or extraneous. The
British middle classes may not agree in their ideas more than the Swedish
middle classes; but in Sweden PR encourages the middle classes to distribute
their votes among several parties, whereas in Britain the single-member
district and plurality elections make it simple for them to concentrate
their votes on the Conservative Party. Other factors also have an opportunity
to express themselves, as we shall see in a moment.
Specific Patterns of Attitudes and Opinions
I have already referred to attitudes and opinions in order to explain
patterns of opposition. Widely shared cultural premises consist of attitudes,
feelings, and evaluations held, presumably, by a substantial proportion
of leaders and the general population. Subcultures are relatively distinctive
sets of attitudes, opinions, and values that persist for relatively long
periods of time in the life of a country and give individuals in a particular
subculture a sense of identity that distinguishes them from individuals
in
other subcultures.
In this section, however, I am not concerned with the widely shared
30. V. 0. Key, Public Opinion and American Democracy, (New YoA, Knopf,
1961), p. 141,0.5.
in Figure 12.i.31 Suppose, further, that the distribution were unimodal
and similar to the familiar bell-shaped pattern (Figure 12.1); that political
leaders were more or less familiar with the distribution of opinion; and
that they were anxious to win elections by adopting a position on this
attitudes that go into a general political culture nor with the content
of political attitudes found in specific subcultures or other distinctive
groups-I am concerned only with the -patterns of cleavage and consensus
formed by the ways in which political attitudes are distributed over the
population of a country. What follows is an effort to draw together a
tentative theory to explain how four factors may increase or decrease
the incentives of political leaders to pursue conflicting goals and strategies
(or, conversely, conciliatory goals and strategies).
These four factors are:
The distrib^ition of opinions on political questions-specifically whether
the distribution is single-peaked or bimodal.31
The coincidence of opinions among different individuals, that is, the
extent to which individuals who agree on one question agree on others.
The salience or intensity of opinions on different questions. The institutional
means for aggregating opinions, and specifically the
oparty system.
Let us begin with the last factor, for a belief widely expressed in the
literature of political science is that a two-party system has a moderating
influence on the selection of goals.32 In a two-party system, it is often
said, the government party and the opposition tend to converge Coward
common ground because both parties compete for the great mass of voters
whose opinions on political questions differ only very little: the center.
Yet this hypothesis assumes that there is a great mass of voters responsive
to "centrist" ideas and proposals. But this might not be the
case. If not, our hypothesis is that a two-party system would not necessarily
lead to conciliation and compromise but might actually intensify political
conflict. Suppose that opinion on some critical political question33 were
distributed along a continuum from the extreme left to the extreme right,
as
31. Obviously there are many other distributions; but to add others not
only increases the complexity of exposition but takes theory well beyond
the limits of the
data at hand.
32. Assertions about the moderating effects of a two-party system are
surely among the oldest and most widespread in the modern study of political
parties, and a number of writers on parties have provided explanations
derived implicitly from the assumptions and argument in these paragraphs.
See in particular A. Lawrence Lowell, The Government of England (z vols.
New York, Macmillan, 1908) and Public Opinion and Popular Government (New
York, Longmans, Green, 1913)-, and E. E. Schattschneider's discussion
in Political Parties (New York, Farrar and Rineharc, 1941) on "the
moderating effect of the attempt to create a majority" in a two-party
system (pp. 85 ff.). Lowell recognized the possibility that the distribution
of opinion necessary for a two-party system to have a moderating effect
might not exist: in this case, however, it was not a "true public
opinion" and it would be impossible to conduct the government "by
a true public opinion or by consent" (Public Opinion and
Popular Government, p. n).
-.-. T ncp rhp word "nnesrion" deliberately in this discussion
to include issues, candi-
issue that would gain them maximum popular support. Suppose, now, that
the ideologues of Party A were to advocate an extreme left-wing policy
represented by the position Ai. The leaders of Party A would see that
this extreme position would very likely cost them nearly all of the votes
of people whose opinions were to the right of Ai, provided only that Party
B were astute enough to take a position slightly to the right of Ai; hence
if Party A were to take a position Ai, it might retain its extreme left
wing bur would probably lose votes catastrophically to Party B- In precisely
the same way, if the ideologues of Party B were to advocate Bi, the party
leaders would see how heavy a price they might ultimately pay in order
to satisfy their extremists. Thus both parties would have strong incentives
driving them toward positions close to the middle that have the support
of the preponderant majority of citizens, say As and Bs. If the parties
were to adopt As and B,, most voters would feel that the policy adopted
by the government was an acceptable one no matter which party were to
win the election. And compromises between the two parties would not be
par-
14. Spatial models, like those used in the exposition that follows, derive
indirectly from Harold Hotelling, "Stability in Competition,"
Economic Journal, 39 (1929), 4'-57i but became an explicit basis for a
theory of party competition in Anthony Downs, An Economic Theory of Democracy
(New York, Harper, 1957). They were also employed in my A Preface to Democratic
Theory (Chicago, University of Chicago Press, 1956), pp. 93 ff., which
set out some of the argument that follows. The unrealistic character of
some of the assumptions made in using spatial models has been severely
criticized by Donald E. Stokes in "Spatial Models of Party Competition,"
American Political Science Review, ^7 (June 1963), 368-77. Scokes' criticisms
are, I
ricularly difficult, since positions As and B, are not, after all, very
far
apart.
The effect of party competition in this situation would be to reinforce
moderate or central opinion. By responding to the moderates and proposing
moderate policies, the parties would help to strengthen moderate opinions
and moderate leaders, which in turn would reinforce the tendencies of
the parties to adopt moderate positions.35 The moderating effects of party
competition are likely to be particularly strong in a system under which
legislators are elected in single-member districts by winning more votes
than any single opponent. For in such a system, an extremist party advocating,
say, Ai might gain the votes of left extremists only to be swamped in
the elections by the votes of the center. Moreover, an extreme left-wing
party at A i might well cause enough defections to prevent a moderate
left party at At from winning the election; hence to vote for the extreme
left party could produce policies even more intolerable to the left extremists
than the policy advocated by the moderate left party. Consequently voters
at the extreme left are confronted by the prospect that they will not
only throw away their votes by supporting a party that advocates their
views but they may well help to bring about a victory of a party on the
right. Similar reasoning applies, of course, to the right.30
Even under a system of proportional representation with, let us say, four
parties, dominant coalitions would tend to move toward moderation. For
the moderate center parties would stand the best chance of winning the
most votes; by winning the most votes they would acquire the most seats;
and thus they would have the greatest influence in a governing coalition.
Indeed the two moderate parties might well combine to form a governing
coalition. Buc even a moderate party that considered the prospect of forming
a coalition with the party on its extreme flank would hardly find it worthwhile
to bargain away its own policies for chose of its lesser partner simply
to gain the support of the smaller party; for to do so would cause the
moderate party to lose the bulk of ks supporters to its moderate rival.
Consequently the moderate parties would bargain from positions of strength,
the extreme parties from positions of weakness.
The preceding analysis is probably correct, at least roughly. Yet it rests
entirely on the assumption that opinions do in fact have a single mode.
And there is no reason at all to rule out the possibility of radically
different
35. In this discussion "moderate" means no more than being near
the center of some distribution of opinions. In this sense, "moderation"
has no intrinsic or necessary virtues and implies no psychological qualities
in the "moderate" person or the supporters of a "moderate"
party.
36. All these arguments were used, in less formal language, by moderate
opponents of Senator Goldwacer in their unsuccessful attempt to block
his nomination by the Republican Party in 1964. The election demonstrated,
I think, that their arguments were correct.
distributions of opinions. For example, some great question might divide
the opinions of citizens into two camps as in Figure 12.2. Now a center
scarcely exists; and the ideologues of moderation labor under the same
handicaps as the ideologues of extremism under the single-peaked dis-
tribution. To the contention of moderates in Party A that they should
hold to position At, the left will argue that the great bulk of Party
A^s support lies toward the extreme; and if Party A takes a moderate position
it might well see its support sapped by another party of the left. And
so, too, on the right. Once again, the single-member district system with
plurality elections reinforces the cleavage in opinion. If, for example,
a moderate left party were to adhere to ics traditional position of centrist
moderation, it would run the risk that a new party would arise and advocate
a position to the left of As. Such a party would be likely to swamp the
old moderate left party (as Labor in Britain did with the Liberals.) 3T
Thus when opinion is bimodal a two-party system based on single-member
districts and plurality elections is likely to intensify rather than to
mitigate conflict either by inducing the existing parties to shift to
the extremes or by generating a new extreme party (and thus ceasing, at
least temporarily, to be a two-party system). For a center party will,
in rime, be reduced to a corporal's guard by the effects of the election
system. Indeed, it is altogether likely that with a bimodal distribution
of political opinions a two-party system may intensify conflict even more
than a
multiparty system and proportional representation might do.
To be sure, a multiparty system cannot create moderation and conciliation
where they do not exist. With proportional representation, the for-
37. Cf., for example, John Bonham, The Middle Class Vote (London, Fabcr
and Faber, 1954), pp. 149 ff., and Ivor Jcnnings, Party Politics, The
Growth of Parties (Cambridge, Cambridge University Press, 1961), pp. 250
ff.
marion of extreme parties
would be inevitable; and by making it difficult for the center parties
to form a viable coalition the growth of support for extreme parties would
increase the chances for coalitions influenced by the extremes. This was
the problem of Weimar Germany, and it is to some degree the situation
in Italy. Yet where polarization is less than complete, proportional representation
and multiple parties may help a center to survive as long as any significant
number of left-center, center, and right-center opinions persist. Thus
the center parties may manage to retain some bargaining power in the coalitions
of government and opposition and thereby to weaken, at least partly, the
strength of incentives to antagonism and conflict.
One must therefore qualify the hypothesis that two-pany systems necessarily
foster moderation and compromise while multiparty systems encourage antagonism
and severe conflict. We conclude instead that u'Aen voters* opinions are
(and are thought to be) tinimodal, both a two-party system and a multiparty
system are likely to lead to moderation and compromise among the leading
parties. When^ on the other hand, opinion is strongly polarized in a bimodal
pattern, two parties, each striving to retain the sztpport of the extremists
on its flank, 'will only exacerbate a conflict;
and in multiparty systems the center parties 'will decline in votes and
influence.
So far in this discussion I have implicitly assumed that it is possible
to characterize opinions on all important questions or conflicts by means
of a single, summary distribution. Thus if Smith is to the "left"
and Green to the "right" of Jones on one question. Smith will
be to the left and Green to the right of Jones on other questions. But
of course this is not necessarily the case.38 The extent to which the
opinions of individuals or groups coincide from one question to another
may vary; and these variations are likely to encourage different patterns
of opposition.
Thus the relative strength of incentives for conciliation and antagonism
does not depend only on whether opinions are unimodal or bimodal, but
also on the extent to which opinions coincide from one political question
to another, that is, on the extent to which individuals or groups who
agree (or are close to one another) on one question agree on other questions.
If there is a high degree of coincidence, so that individuals who agree
on one political matter agree on others, then the effect is evidently
quite straightforward: high coincidence reinforces the effects of unimodal
or bmzodal distributions of opinion.
If people who are moderate on one question are moderate on others, and
if most people are moderate on every question, then the incentives of
party leaders to engage in a. search for moderate policies are, of course,
very much increased. If, on the contrary, people who are at opposite
extremes on one question
are likely to be at opposite extremes on all questions, and if most people
are extremists, then moderate, conciliatory parties or coalitions will
be even more likely to yield to intransigent political groups implacably
at odds with one another.
If the effects of high coincidence seem clear, the effects of low coincidence
are complex- To begin with, as compared with high coincidence, low coincidence
of opinions increases the number of different clusters of persons with
divergent opinions. Each of these "opinion-clusters" is potentially
a separate political following-potentially, therefore, the basis of a
separate political movement, whether pressure group, faction, or party.
The point may be clarified by using Belgium as an example.
Belgians, as Lorwin has shown, have been at odds over three sets of questions.
If we consider them as pro-con questions for ease of exposition, then
in Belgium an individual might be characterized as:
either pro-labor or pro-property;
either anticlerical or pro-Catholic; and
either pro-Walloon or pro-Flemish.
Because three dichotomous attributes can be combined in eight ways, in
principle every Belgian might be located within one of eight ppssible
combinations; for example, individual A, B, C, D, etc. might be:
A: pro-labor/anticlerical/Walloon
B: pro-labor/Catholic/Walloon
C: pro-property/anticlerical/Walloon
D: pro-labor/Catholic/Flemish
etc.
At one extreme, coincidence among the opinions of Belgians might be maximally
high. Individuals who agreed on one question would agree on the others;
those who disagreed on one would disagree on the others. Thus by knowing
how a Belgian stood on one of these questions one could predict perfectly
how he would stand on the other two. Under the particular conditions of
our example, this would mean that every individual would fall into one
of two opinion-clusters. (Technically, one cluster might be empty, but
we ignore that possibility.) For example, all Walloons might be pro-labor
and anticlerical; and all Flemings Catholic and pro-property. In this
case, the society, and presumably political life, would be polarized.39
At the other extreme, coincidence among opinions might be at a minimum,
so that if two persons agreed on one issue (if, for example, they were
both Walloons) nothing could be predicted as to their opinions on the
other issues. Hence all eight opinion-clusters might be
in. Thit result follows from the particular example. Conditions could
be specified
represented in the population. Each would be a potential foundation for
a separate political movement antagonistic to all the others-40
Yet low coincidence does not necessarily produce this kind of fragmented
antagonism among opinion-clusters. In some circumstances, as we shall
see, low coincidence may strengthen incentives for conciliation. The extent
to which incentives for conciliation (or antagonism) are strengthened
(reduced) appears to depend on two additional factors: the salience
of a political question or intensity of opinions, and the available instim-tional
means for aggregating opinions.
Suppose that in Belgium there were not only a low coincidence of opinions
but that all three questions evoked extremely intense views on the part
of everyone. In this case each opinion-cluster would tend to become a
separate political movement, and it would be extremely troublesome for
leaders to build political coalitions combining two clusters. For example,
Cathplics would split down the middle over labor and property and Walloon
Catholics would split with Flemish Catholics. There would be four distinct
Catholic parties, or four distinct factions within one Catholic party.
If everyone held to all three of his opinions strongly, compromise would
be impossible. Each question would involve a straight fight between a
rigid majority and a rigid minority. And a majority that held together
on one question would collapse completely on the next.41
It is quite possible, however, that one of the three questions in Belgium
might be more salient than the others. In the simplest case, the same
question would be salient to everyone, and therefore the other two would
be less important to everyone. Suppose, for example, that everyone in
Belgium believed that language was the overarching problem. In this case,
the leaders of the Walloon community might profitably search for support
among both socialists and pro-property Walloons, among both anticlerical
and Catholic Walloons; and so, too, with the Flemish leaders. Hence while
conflict over language would doubtless grow more intense, the possibilities
of conciliacion on the other questions would increase,
since everyone would have some incentive Co reduce conflict on these questions.
But there is sdil another possibility: although everyone might believe
that one of the three issues was the most important, different individuals
might rank the importance of che issues in different ways. To one citizen,
40. This is equivalent to "the superposition of dualisms" of
Maurice Duverger, Lei Partis folttsques (Paris, Colin, 1954), pp. 260-65.
41. Discussions of the effects of cross-cutting cleavages in mitigating
conflict usually ignore this possibility. The usual assumption, at lease
in recent American political science, seems to be that cross-cutting cleavages
inevitably have a unifying rather than a disintegrating effect. But the
analysis here indicates that unifying effects cannot occur if all the
cleavages are felt with equal intensity- Conciliation is encouraged by
cross-cutting cleavages only H some cleavages arc less significant than
others (as is shown in the paragraphs that follow),
the language question would be dominant; to another, Catholicism; to a
third, socialism. When opinions are held in this fashion, the possibility
of building coalitions of different opinion-clusters is evidently considerably
increased. For example, it would now be easier to unite strongly pro-labor
Walloons to whom anticlericalism is of secondary importance with fervent
Catholic-Flemish workers who might otherwise support the Christian Social
Party. Thus there would be a tendency for each opinion-cluster to yield
somewhat on secondary issues in order to gain support on primary questions.
Hence heterogeneous coalitions or parries might develop; and party leaders
would exert great efforts in trying to conciliate their diverse followings.
The extent to which a nation with strong cleavages m^iy be held together
in part by its cleavages is perhaps best illustrated by the Netherlands.
Abstractly considered, the Netherlands would surely be counted a prime
candidate for political disintegration, since the country must bear not
only some class antagonism but an even more profound cleavage over religion.
Yet the very way in which the one conflict is superimposed on the other
probably helps to reduce the potential for conflict. A Catholic party,
as Hans Daalder shows, unties both working- and middle-class Catholics.
The Protestant parties also cross class lines for their support. Although
the Socialist and Liberal parties have had only modest success in gaining
support among Catholics and orthodox Protestants, they do nonetheless
persist in striving for votes among these religious groups and the liberal
Protestants; consequently, less because of their actual support than because
of the support they hope to acquire, Socialists and Liberals are a moderating
influence on religious cleavages. Taken together, then, the efforts of
the parties help to knit the community together.
As the Dutch example suggests, the effects of low coincidence cannot be
explained simply by the salience of the questions among the various opinion-clusters,
but also by the way in which political institutions encourage people in
the different opinion-clusters to unite in coalitions. The most important
of these institutions is, no doubt, the political party. If we assume
that the number of important parties is not solely a function of the various
patterns of opinion we have been describing but also of election systems,
historical events, tradition, and the weight of institutions, then the
effects of low coincidence of opinions (and hence the existence of a number
of different opinion-clusters) will depend in part on the number of parties.
The matter, it must be admitted, is somewhat unclear. However, there is
some reason for thinking that where political opinions do not coincide
and are unequally salient, a two-party system strengthens incentives for
conciliation and reduces incentives for conflict. The reasoning is often
applied to the United States, which seems to meet the requirements for
our hypothesis: low coincidence, unequal salience, and two major parties.
Given low coincidence, the two parries are bound to be heterogeneous-
as indeed they are in the United States. There, as we have seen, the coincidence
of opinions is too low to permit: homogeneous parties. But these very
circumstances create strong incentives for conciliation and compromise.
For party leaders have nothing to gain from yielding entirely to one opinion-cluster:
They cannot possibly gain majorities in Congress or win presidential elections
by that strategy. Hence they must devote unremitting effort to building
coalitions of different opinion-clusters not only in order to win elections
but also to pass legislation. A major preoccupation of the American politician
is therefore to persuade any given opinion-cluster to give way on its
secondary demands in order to gain- if only temporarily-the support of
other opinion-clusters for its primary demands. Given the unequal salience
of opinions on different questions among- different opinion-clusters,
politicians stand a fair chance of succeeding in their efforts at conciliation.
How different are the effects of a multiparry system? Given the same conditions-low
coincidence and unequal salience-the same process could, presumably, lead
to similar results. Moreover, if a government is to receive the support
of a majority in parliament, presumably the process must and will take
place. Yet it does seem rather likely that the incentives for conciliation
as compared with conflict are stronger if there are only two parties.
For one thing, with two parties the process of conciliation is necessary
not only in the legislature (as in a multiparcy system), but also in nominations
and elections. For another, in a two-party system a good deal of the process
of negotiation takes place among politicians of the same party rather
than among politicians of different parcies; in this case the
incentive to arrive at a viable compromise is strengthened, not weakened,
by party loyalties.42
This somewhat abstract discussion of the effects of different factors
on incentives for conciliation or conflict is summarized in Table 12.2.
Polarization
It is a common assumption, one by no means confined to Marxists, that
urbanization, industrialization, the growth of national economies, and
Other features associated with social and economic modernization tend
to result in a high degree of political polarization. A contradictory
and more
recent hypothesis is that, beyond some range, in Western societies modernization
leads to a decrease in political polarization.
42. This is a specific application of a familiar proposition. Drawing
on George Simmd, Lewis Coser has formulated a number of propositions about
conflict that are relevant to the discussion in this section- Thus "Conflict
with another group leads to the mobilization of the energies of group
members and hence to increased cohesion of the group." The Functions
of Conflict (Glencoe, Free Press, 1956), p. 95.
Factors that strengthen incentives for conciliating conflicting opinions
1. All uni-modal distributions of opinions.
2. High coincidence of uni-modal distributions,
3. Low coincidence, if of unequal salience.
4. Two-party system:
a. If opinions are uni-modal. b. If opinions have low coincidence but
unequal salience.
5. Multiparty system, if opinions are distributed bimodally with high
coincidence.
To test either hypothesis is, unfortunately, difficult. To begin with,
the term "polarization" is used in various ways. Typically,
it is intended to refer to the extent to which a population is divided
politically into two
antagonistic camps distinguished by differences in socioeconomic characteristics.
Unfortunately, the concept is bristling with difficulties, for it combines
at least three different notions that need to be distinguished.
1. It contains the idea of a dimension of bipolarity, dualism, a U-shaped
distribution, the extent to which a population is divided into two categories.
A measure of dualism might be the proportion of a population contained
in the two largest categories.
2. It also contains the idea of a dimension of distance between the two
largest categories. The greater the distance the more polarized the society.
3. Finally, it contains the idea of different characteristics with respect
to which bipolarity or dualism might exist. The most important of these
are:
a. Social and economic characteristics. Socioeconomic dualism, then, would
be a measure of the extent to which a population is divided into two categories
by class, status, language, religion, income, wealth, etc, A country where
everyone considered himself a member either of the working class or the
middle class would be completely duaUstic with respect to these class
categories.
b. Psychological, emotional, or affective characteristics. Psychological
or affective dualism would require a measure of the extent to which a
population is divided into two antagonistic or hostile groups.
c. Political characteristics. Political dualism would be measured by the
extent to which a population is divided into groups distinguished by differences
in political behavior-ideology, political goals and demands, party memberships
or identifications, and voting. In the simplest case, a country
owhere everyone voted either for Party A or Party B would be (by definition)
completely dualistic with respect to voting.
Since the three main dimensions are logically independent, and the three
types of characteristics are also logically independent of one another,
managing the concept of polarization is inordinately difficult.43 A moment's
reflection will reveal the vast variety of different patterns that might
be regarded as examples of polarization. Indeed, the concept is so complex
that it has seemed advisable to avoid the term "polarization"
wherever possible in the discussion that follows and to refer instead
to some specific patterns. Among a very much larger number of theoretical
possibilities, it is useful to imagine four different general situations
in which a high degree-'of political dualism might exist.
1. Political dualism unrelated to social or affective dualism. To offer
a hypothetical example, this would exist in the United States if everyone
identified strongly with either the Democratic or Republican parties,
or if everyone adhered either to a liberal or a conservative ideology,
or to an isolationist or interventionist foreign policy; if, however,
there were little antagonism between the two groups; and if there were
little or no
correlation between party loyalties or ideology and occupation, income,
religion, etc.
2. Political dualism closely related to a social dualism, but not to affective
dualism. This would exist in Britain if all manual workers were socialists
and people in nonmanual occupations were conservative; and if there were
little antagonism between the two groups.
3. Political duality closely related to affective duality but not to any
social dualities. This would exist in France if everyone "were strongly
pro-or anti-De Gaulle; if there were very great antagonism between Gauliists
43. See, for example, The American Voter, where the concept of polarization
is discussed at some lengch and used fruitfully in exploring American
survey data wkh-out, however, escaping some ambiguity (pp. 338 ff.). The
authors begin by defining polarization in psychological terms, i.e., in
terms of antagonism; "The condition of active disc-ord between social
strata [is] status polarization" (p. 338, their italics). "Status
polarization, then, refers to the degree to which upper and lower status
groups in a society have taken up mutually antagonistic value positions"
(p. 339). They then go on to suggest that status polarization (or, in
terms of the distinction above, psychological dualism) is a function of
a certain kind of social dualism, namely with respect to social class:
"We can say in a rough way that variation in the status polarization
of a society reflects variation in the intensity and extent of class identification
among its members. When polarization is high most of the citizenry must
have perceived a conflict: of interests between strata and have taken
on class identifications with fair intensity. When polarization is low,
either few people are identifying or extant identifications are weak,
or both" (p. 339, their kalics). The measures they use do not, however,
bear directly on the question of antagonism; for they measure "status
polarization" by using indices of occupation in some cases (Figure
13-2, p. 347, and Figure 13-6, p. 358), and "subjective status"
or class identification in others (Figures 13-3, p. 352-, 13-4, p. 354;
13-7, p. 364; 13-8, p. 367). Thus while they define "scatus polarization"
in psychological rcrms, they do not in fact measure antagonism. A.
Canipbcll, P. Converse, W. Miller, and D. Stokes, The America?! Voter
(New York, Wiley, 1960).
Some Explanations
and anti-Gaullists; and if these differences were not correlated with
sociil status, income, occupation, region, etc.
4. Political dualism closely related to both social and psychological
dualisms. This is full-scale political polarization. It would exist in
France if, in the example just given, the last condition did not hold
and instc;ul the middle classes and farmers were uniformly Gaullist while
the workin"-classes were uniformly anti-Gaullist. ;
It is obvious that each of these patterns of political dualism is significantly
different from the others. What has been called "status polnri-/^-tion"
sometimes refers to the second, sometimes to the last. Political polarization
might refer to the third or fourth, but it might also refer to the first.
Yet the consequences for oppositions, as well as for government would
surely be very different in each case.44 Keeping these various possibilities
in mind, what conclusions can we draw from the experiences of the countries
examined in this volume? Although the data arc hanllv sufficient for solidly
based generalizations, some tentative conclusions arc suggested by the
evidence at hand.
i. Objective status differences seem to be on the decline throuc:hout
Western Europe. Rising incomes, the redistributive effects of tax and
welfare measures, increased consumption, standardization of consumer goods,
expansion of white-collar occupations, and increased cduc;iE:i(ni (among
other things) all contribute to a blurring of status differences and
44. The notion of political polarization is troubled by still other problems
rli^r we cannot pursue here. In particular, there are formidable problems
of constructing s;"iii-factory indices and measures. Since each characteristic-social,
psychological, pnlicic.il -is a broad category, one problem is to choose
a satisfactory atfribmc or sec (if attributes within that category. In
discussions of social dualism, the attribiiic must frequently referred
to is class or status, for which occupation, income, ciliic.uion, class
identification, etc. are used as indicators. But status polarization is
only one type of social dualism, though an important one, for a society
may also divide aloii[; other lines-religion, ethnic group, region, for
example. Indices of psychological pol.irny arc difficult to construct.
Gabriel Almond and Sidney Verba in The Civic Culture offer some highly
interesting possibilities; how one political group views another-positive,
negative, and neutral qualities (Tables 1-6, pp. 125 fr.); and psychological
disi;mcc between parties as indicated by willingness to have one's son
or daughrcr nurry across party lines (Tables 7-11, pp. 151 ff.). Political
duality is also broad; indicators might include party identifications
or orientation to candidates, though these arc all coiii[)li-caced by
simple differences in the number of alternatives presented to voters in
two-party and rnuttiparty countries; by differences in policy preferences,
ideology, and
the enlargement of middle strata -who shade off into the skilled working
class on the one side and the wealthy upper strata on the other,45
2. Political duality as reflected in political attitudes, aspirations,
and loyalties varies a good deal among our countries; but once sharp differences
in political attitudes also seem to be declining. Nearly all the essays
in the volume emphasize the decline of socialism as a distinctive ideology;
as Otto Kirchheimer has indicated in his essay, the change may have been
greatest-it is, at any rate, the most remarkable-in Germany, the home
of the classic European Social Democratic Party. Strong loyalties to different
political parties do, of course, persist; but as the experience of the
United States demonstrates, party loyalty may be strong and yet have little
to do with differences in ideology or policy. "While the United States
is no doubt the extreme case, the essays in this book suggest that European
democracies are moving toward a somewhat similar situation.
3. It would be hasty to conclude, however, that the same pattern is emerging
in the United States and the European democracies: that is, the first
pattern suggested a moment ago, where political duality, even where it
exists, is unrelated to social differences or psychological antagonism.
There are two difficulties with this hypothesis.
First, the relation between status or occupation and party preference
does not seem to have declined in Europe. Indeed, Lipset concludes:
A comparative look at the pattern of working-class voting in contemporary
Europe reveals that with the exception of Holland and Germany. the leftist
parties secure about two-thirds or more of the working-class vote, a much
higher percentage than during the depression of the ip30's . . . The leftist
working-class parties have increased their strength in most of Europe
during the i96o's. It is clear, therefore, that the easy assumption made
by many, concerning American as well as European politics, that greater
national affluence would mean a weakening of electoral support for the
left is simply wrong.48
Second, the English-speaking and European democracies exhibit no single
pattern- Sizable differences occur from one country to another in the
extent to which status or occupation is related to party preference. Alford,
who applied an Index of Class Voting to voting surveys taken
from 1952 to 1962 in the four major English-speaking democracies found
that:
Class voting is almost always above zero; only one Canadian survey falls
below that mark. Great Britain is consistently higher than Australia
4<T. See particularly the essay by Orto Kircheimer, above. And the
essays by R. Bendix, R. Dahrendorf, M. Crozier, D. Locfcwood, and Raymond
Aron in European Journal of Sociology, i. No. 2 (ip6o), 181-182.
46. S. M. Lipset, "Class Conflict and Contemporary European Society,
Daedalus" in
a TI /"' -. i. ' ' -.-. " o- --
in the 1952-62 period . . . Australia is consistently higher than the
United States . . . The United States is consistently higher than Canada
except for one 1948 Canadian survey . . . Canada always has the lowest
level of class voting with the single exception mentioned.47
Moreover, there is no consistent pattern of change. In Britain, as Alford
shows, the "electorate remains sharply divided along class lines.
No decline of the differences between classes as such or of the political
predispositions connected with occupational status has occurred."
On the other hand in Norway, as Rokkan has demonstrated, an interesting
change has occurred since the i89os, for the Labor Party has gradually
increased its support among the lower manual strata at the expense of
all other parties, and in this sense political behavior has become more
closely related to social cleavage. But the Labor Party also receives
a good deal of support from the middle and upper strata. In tills respect,
the pattern of incomplete polarization is the reverse of that in Britain.48
4. Yet if status polarization is not decreasing, most of our essays indicate
that psychological dualism in political life-i.e., antagonism and hostility
-has sharply declined since the ilnterwar period. In this case, too, differences
remain. The presence of large Communist parties in France and Italy produces
(and doubtless is produced by) a higher level of antagonism between a
large proportion of the population (and of political elites) than is true
in the other countries.48 And in the United States the level of hostility
over racial issues obviously has remained high, although the antagonism
has historically been sharpest between the Southern and Northern wings
of the same party.
5. None of the countries examined in this book closely approaches die
pattern described a moment ago as full-scale political polarization, where
sharp political, socioecouomic, and psychological dualisms all coincide.
In Italy, political antagonisms are probably higher than in any of the
other countries; indeed, it is difficult to see how its parliamentary
system could withstand much higher psychological voltages. But even in
Italy, as Barncs points out, socioeconomic status is quite imperfectly
correlated with political cleavages, and the political groups around the
center have been able, so far, to prevent political life from turning
into a straight conflict between Communists on the Left and anti-Communists
on the Right. In
47. "The index of class voting was computed by subtracting the percentage
of non-manual workers voting for 'Left' parties from the percentage of
manual workers voting for 'Left' parties. For Great Britain, the Labor
party was used; for Australia, the Australian Labor party; for the United
Stares, the Democratic party; for Canada, the CCF (or NDP) and Liberal
parties" (p. 102, Table 5-2).
48. Above, pp. 89 ff. See also Stein Rokkan, "Geography. Religion
and Social Class: Cross-Cutting Cleavages in Norwegian Politics,"
S. M. Lipset and S. Rokkan, eds., Party Systems and Voter Aitgmnents (New
York, Free Press, 1965).
49. Almond and Verba report that "Italian respondents show a far
sharper (psychological) polarization between right and left: than do the
Americans, British and
Britain, S\veden, and Norway,
where socialist and nonsocialist parties reflect differences in occupations,
incomes, and status a good deal more strongly than the two major parties
in the United States, the effects of socioeconomic differences on political
life are, as we have seen, greatly attenuated because one of the largest
parties in each of these countries has a socially heterogeneous following:
thus in Norway the socialists draw as much as 40 per cent of the votes
of the nonmanual workers, while in Britain a third or more of the manual
workers support the Conservatives, and a quarter or more of the voters
in nonmanual occupations have supported Labor. In these countries, moreover,
psychological antagonisms appear to be exceedingly low.
How can we account for the absence of full-scale social-psychological
polarization in these countries?
First there are the various factors, frequently mentioned in these essays,
that are associated with economic "modernity," the growth of
national communications, the blurring of class lines, etc.
Second, in some''countries the effects of cross-cutting social characteristics
have probably reduced both social and psychological dualities in political
life.
Third, and paradoxically, it is in these countries, where political dualism
along status lines has been most evident, that a long-run reduction in
antagonisms and hostilities has been most notable. Political differences
are most likely to reflect status differences, as we have seen, in highly
homogeneous countries like Britain and Sweden where other differences-
religious, ethnic, geographical-are comparatively slight. Yet this very
homogeneity facilitates peaceful evolutionary reforms that blunt the edge
of class hostilities.
Finally, it must always be kept in mind that our Western democracies,
like other nation-states, are the products of an historical process during
which extreme polarization has worked its drastic cures. In this book
we have studied the survivors; we might have studied the casualties; we
might, conceivably, be examining future casualties. Full-scale polarization
is obviously an unstable condition for any polity, and particularly for
a representative one. Extreme polarization of political life will be reduced
somehow. Perhaps the strongest polarizing forces in modem times have been
those of religion, language, and ethnic identity. If these forces do not
polarize political life in most Western democracies today, this is only
because they did so earlier. Typically they worked their drastic cure
by destroying the political system; either by a separation into different
countries, so that the cleavages became international rather than national,
a5 with the separation of Ireland from Britain or Norway from Sweden;
or by the creation of a one-party authoritarian or totalitarian states,
as in the case of Fascist Italy, Nazi Germany, and Franco Spain.
To one who believes in
the essential worth of a democratic polity, how much opposition is desirable,
and what kinds? What is the best balance between consensus and dissent?
Even among democrats there is not much
agreement on the answers to these questions.
It is easy to see "why. These questions seem to demand nothing less
than a complicated assessment of democracy itself. Or to put the matter
more precisely, one can Judge the desirability of different patterns of
political opposition only by employing a number of different criteria
that would be used if one were appraising the extent to which a political
system as a whole achieves what are usually considered democratic goals
or values.
Eight of these standards seem directly relevant in fudging different patterns
of opposition. In comparison with other possible arrangements, one might
ask, to what extent does a particular pattern maximize:
1. Liberty of thought and expression, including opportunities for dissenting
minorities to make their views known to other citizens and
policy-makers?
2. Opportunities for citizens to participate in political life?
3. When political conflicts occur, control over the decisions of government
by majorities (rather than minorities) of citizens, voters, and
elected officials?
4. Rationality in political discussion and decision-making, in the sense
of increasing understanding by citizens and leaders of the goals involved
and the appropriate means? l
5. Consensus in political discussion and decision-making, in the sense
that solutions are sought that will minimize the size, resentments, and
coercion of defeated minorities, and will maximixe the numbers of citizens
who conclude that their goals have been adequately met by the solution
adopted?
i. Cf. Bagehoc, who refers to "one of the mental conditions of Parliamentary
Government, by which I do not mean reasoning power, but rather the power
of hearing the reasons of others, of comparing them quietly with one's
own reasons, and then being guided by the result." The English Constitution,
p. 44. See also p. 180.
6. The peaceful management of conflicts and the minimization of political
violence?
7. Resolution of urgent policy questions, in the sense that the government
directs its attention to any question regarded as urgent and important
by a substantial proportion of citizens or leaders, and adopts solutions
satisfactory to the largest number of citizens?
8. Widespread confidence in and loyalty to a constitutional and democratic
polity?
A number of other criteria might be advanced, but these are enough to
give an idea of the magnitude of the problem of evaluation. What is most
obvious and most important about these criteria is that, like most standards
of performance for complex achievements, they conflict with one another;
if a political system were to maximize one of these ends it would probably
do so only at considerable cost to some of the others. Moreover, because
different individuals disagree about the relative importance of different
goals, they disagree as to what is the best solution in general, and even
for a specific situation. How then can one prescribe an optimal balance
among competing goals, when the goals are nonquandtative and imprecise,
and when one man's optimum may be another man's prison? Nor are these
the only sources of disagreement:. The eight criteria conflict with one
another; there is a certain tension among them; we cannot maximize one
goal beyond some range without sacrificing another goal.
In spite of all these obstacles to finding an "optimal solution,"
it is possible to clarify some of the costs and gains of different solutions,
actual or proposed. Let me start by examining the tension created by wanting-
as most good democrats do-freedom, dissent, and consensus.
The first criterion listed
above emphasizes opportunities for dissent; and it is no doubt their concern
for this goal that explains, in the main, why liberals and radicals have
usually been keenly sensitive to problems of political opposition. For
to look at any political system from the point of view of an opposition
inclines one to stress the virtues of dissent, of opposing. Yet the last
criterion in our list emphasizes the virtues of stability; and the penultimate
criterion, the importance of resolution and dispatch, avoiding deadlock,
paralysis, impotence in government. Sensitivity to these criteria leads
one to be concerned with the high costs of unlimited dissent and to stress
the importance of consensus, particularly if governments willing to protect
dissent are to survive.
There are, we all know, many varieties of freedom. One variety of freedom
exists to the extent chat every citizen has opportunities to engage in
political activities without severe social and governmental constraints.
In all political systems this freedom-let me call it Freedom of Political
Action-is, like other freedoms, limited by government and society vet
it is the differences in these limits that distinguish libertarian from
authoritarian systems. In libertarian systems (like the ten described
in this book) the right to dissent from the views of government-to oppose
the government-Is a vital form of Freedom of Political Action. And political
oppositions are a crucial expression of this Freedom.
Yet the very existence of dissent and political opposition is a sure sio-n
that someone is constrained by government to do or to forbear from doing
something that he would like to do and very likely feels he has a moral
right, or even an obligation,! to do. To feel politically free because
one obeys laws one believes in, to obey a government one approves of.
to obey governmental policies one wants or agrees with-here is a second
variety of freedom. Since this variety, like the other, bears no accepted
name, let me call it Freedom in Political Obligations.
Now if the existence of political opposition is evidence of Freedom of
Political Action, it is also a symbol of the Unfreedom in Political Obligations
2 of those opposed to the government:. I expect that some readers will
now move a well-known objection. Even citizens who are opposed to the
laws enforced by their government may nonetheless yield their implicit
consent, provided these laws are adopted by procedures they regard as
legitimate; in this sense, their Freedom in Political Obligations is not
diminished by their need to obey specific laws to which they object. Let
me recognize the force of this familiar argument and put it to one side
as irrelevant here. I do so in order to distinguish (i) a polity in which
a large and permanent minority accepts the constitutional procedures and
arrangements, yet detests the policies of government, which seems to it
tyrannical in what it does if not in the way it aces; from (2) a polity
in which agreement is so extensive that minorities are microscopic and
evanescent, and no one ever feels much injured by the laws he is obliged
to obey. In the first case, members of the outvoted minority might accept
the obligation to obey the laws because these were adopted according to
legitimate constitutional processes, and yet feel constrained to obey
laws they hold wrong. In the second case, they would feel no such constraint.
If you will allow me this distinction, it follows, I think, that in a
democratic system where Freedom of Political Action is widely enjoyed,
the less the dissent, the greater the Freedom in Political Obligations-
In fact the only system in which every citizen would be completely free
in his Political Obligations would be one in which political consensus
was perfect; for no citizen would then feel constrained by government
to do something he believed he should not do. The more extreme the dissent
permitted, the greater the range of Freedom in Political Action; yet the
2. The notion of "unfreedom" is defined in Felix E. Oppenheim,
Dimensions of Freedom (New York, St. Marrin's Press, 1961), Ch. 4, "Unfreedom."
more numerous the extreme
dissenters, the greater the number who are (at least temporarily and perhaps
indefinitely) Unfrec in their Political Obligations.
Let me try to make these abstractions more concrete by comparing a high-consensus
system like Sweden with a low-consensus system like Italy. In a high-consensus
system most citizens are only moderately opposed, if at all, to the character
and conduct of government; by comparison, in a low-consensus system a
great many more people are strongly opposed to the conduct and even the
form of the government. The proportion of citizens who feel themselves
coerced or constrained by government, and thus Unfree in Political Obligations
is, naturally, much larger in the low-consensus systems than in the high-consensus
ones.
Yet an extreme dissenter may enjoy more freedom to express his dissent
in a low-consensus system like Italy than in a system with considerably
more consensus like the United States. For (aside from any other reasons)
the very magnitude of extreme dissent in Italy and France limits the extent
to which dissent is coerced by social and governmental actions; in the
United States, however, where extreme dissent is so small that it can
be coerced at less cost, social and governmental constraints are rather
powerful. Thus in the United States opportunities for discussing one's
views with others, attending meetings, reading newspapers sympathetic
to one's cause, Joining in a like-minded party, and voting for like-minded
candidates are extensive for most citizens-but not, often, for the extreme
dissenter.
Thus a low-consensus country like Italy may actually provide more Freedom
of Political Action (to Communists, Monarchists, and Fascists, for example)
than a country like the United States where there is considerably higher
consensus. Is low consensus a better guarantee of political freedom, then,
than high consensus? Hardly, for a low-consensus system greatly increases
the amount of Unfreedom in Political Obligations among its citizens. What
is more, widespread Unfreedom in Political Obligations is inescapable
as long as consensus remains low; for even if the Outs were to displace
the Ins, their positions would only be reversed. The Freedom in Political
Obligations of the one-time Outs would now be greater; but so would the
Unfreedom in Political Obligations of the one-time Ins. Then, too, a low-consensus
system is much more likely to impose other costs such as deadlock, political
violence, constitutional instability, and destruction of democracy itself.
If, then, the most desirable long-run solution for a low-consensus country
would be to increase consensus, surely tlie most desirable long-run solution
for a high-consensus country would not be deliberately to foster extreme
dissent! An obvious alternative solution would be to reduce the legal
obstacles that limit the Freedom of Political Action among dissenters
until they are legally on a par with all other citizens. This is, in fact,
the solution adopted in a number of high-consensus countries. In this
respect, the United States is a somewhat deviant case: most other stable
democracies have not imposed as severe a set of legal and social obstacles
to political dissent as exist in the United States,
If freedom of dissent is thought (by most libertarians and democrats)
to be a desirable freedom in itself, advocates of libertarian democracy
have usually contended, as John Stuart Mill did, that an opportunity for
the expression of dissenting opinions is also a necessary (though definitely
noc a sufficient) condition for "rational" political action-
The citizens of any country, in this view, need dissenters and oppositions
in order to act wisely, to explore alternatives, to understand the advantages
and disadvantages of different alternatives, to know what they want and
how to go about getting it. Yet there is a certain conflict, one not always
recognized, between the conditions required for a relatively rational
consideration of alternatives, and the existence of extensive dissent
or extensive consensus. Where dissent is slight, the alternatives presented
by political leaders for consideration among themselves and by the voters
are likely to represent relatively small marginal changes. For in a society
where nearly everyone is already rather satisfied with the conduct of
government, alternatives profoundly opposed to existing government policy
are not likely to be generated, proposed, or considered. Changes are likely
to come about by paying attention to a relatively small number of marginally
different alternatives to existing policies, examining a limited set of
possible consequences, comparing the results of whatever changes are made,
and making whatever further modifications are suggested by subsequent
experience:
in short, by incremental action,
Although incrementalism evidently seems to a great many people a less
rational process than comprehensive and deductive approaches, in fact
it offers great advantages as a process for relatively rational change.3
The characteristics and effects of existing policies and institutions
are more easily, more accurately, and more confidently known than for
hypothetical policies and institutions. The effects of small changes are
usually much easier to predict than the effects of large changes. Current
processes generate information about effects, and since this information
can be fed back to policy-makers, changes can be reversed, accelerated,
or altered. In practice, moreover, peaceful change is usually highly incremental.
3. Cf. die discussion in R. A. Dahl and C. E. Lindblom, Politics, Economics,
and Welfare (New York, Harper, 1953), pp. 81 ff., and the much more highly
developed theory in C. E. Lindblom and D. Braybrooke, A Strategy of Decision
(Glencoe, Free Press, 1963), Chs. 5 and 6, and C. E. Lindblom, The Intelligence
of Democracy
(Glencoe.Free Press, 1965).
Partly for this reason, no doubt, incremental change is the characteristic
method of democracies: liquidation of the Kulaks and the Great Leap Forward
would not have been carried out by parliamentary governments.
Yet if high-consensus societies can profit from the advantages of incremental
change, they run an opposite danger. Where there is little dissent both
political leaders and citizens escape the compulsion to wei?h the relative
advantages offered by a comprehensive, large-scale change, even when a
large-scale change might prove less costly in the long-run than either
the status quo or a series of incremental changes. The history of politics
is writ large with the results of costly timidities that have produced
too little, too late.
'Reflecting that incremental responses have frequently failed to match
the magnitude of a challenge, one is tempted to conclude that sharp political
conflict, clashing ideologies, and even low consensus are needed for a
rational examination of alternatives. Yet the historical record seems
to offer little support for this view. For intense conflicts create their
own irrationalities, particularly when conflict is fortified by ideology.
It is a reasonable hypothesis that the greater the discrepancy between
the "on!s of the parties to a conflict, the more that problem-solving
and persuasion are likely to give way to bargaining and coercion.4 The
true believer does not judiciously appraise the arguments of the infidel.
Has the clusl-i "f ideologies in France and Italy provided a more
"rational" examination of alternatives than the low-tension
conflicts and unideological analyses among Britons and Swedes?
In sum, high-consensus polities are able to give relatively rational consideration
to small changes but they are prone to ignore the possible advantages
of radical changes in the status quo. Low-consensus polities nuy find
it difficult co profit from the advantages of incremental changes; yc(
posing radically conflicting alternatives to citizens and leaders is accompanied
by the irrationalities of ideological controversy.
Is it possible to have the best of both worlds? A society where disscnc
is low enough to encourage a relatively calm and objective appr;iis;il
of alternatives, and yet sufficient to make sure that radical alternatives
will not be ignored or suppressed? Among our ten countries, if Italy lies
at ihc one extreme, the United States is ac the other. Possibly some of
the north-European democracies come closer to the balance we seek. Yet
if their high-consensus endures and increases, will not they, too, suffer
the disadvantages of weak dissent?
Dispersion, Concentration, and Majority Rule
Does the two-party system offer a solution? Probably no other cure is
so often proposed for the ailments of a sick polity. Does it not solve
the
4. James G. March and Herbert A. Simon, Organisations (New York, Wilcy.
rncRI unff
problem of how to balance a large measure of consensus with a satisfactory
amount of rational dissent? For cannot one party embody the values of
stability and consensus, and the other the values of change and dissent?
The only country where a two-party system of this kind has ever endured
in a relatively clear form is Britain, which does, I believe, exhibit
many of the virtues claimed for the two-party system. Should it be more
widely copied?
Unfortunately, the two-party system presents two imposing difficulties
as a general solution. It is evidently not viable in many countries. And
even if it were, it would not in all circumstances produce the results
found in Britain.
The very rarity of the two-party system, a fact heavily stressed in an
earlier chapter, argues that the existence of such a system requires an
unusual combination of circumstances. The absence of one or more of these
circumstances greatly reduces the likelihood that a two-party system will
exist, or, if it does exist, that it will have the results expected of
it.
The conditions under which a two-party system would provide an optimal
solution for meeting the eight goals listed earlier probably include these:
1. The parliament is sovereign in law and in fact.
2. Within parliament, the principle of majority rule is applied to decisions.
3. Among citizens, and markedly among political activists, there exists
a high degree of consensus on the desirability and legitimacy of the first
two conditions; on the other characteristics of the constitiAkmal system;
on the rights, liberties, and duties of individuals and groups, and on
a great many social and economic goals, institutions, and arrangements.
4. On all questions about which there are conflicting views, and for which
governmental action is regarded by some people as desirable, most citizens
divide into only two great clusters of opinion. These opinions, though
stable for long periods, are not rigidly fixed but change with time, as
does the size of the two opinion-clusters.
5. There are two political parties, and neither of these parties is, or
expects to be, indefinitely out of office.
In these circumstances, two unified parties, each having a program and
policies directed toward one of the two great clusters of opinion and
competing actively for office, meet a great many of the criteria listed
earlier. As long as most conflicting opinions fall into one of the two
great clusters, the two-party system would provide an outlet for expressing
views, including criticizing the government (Criterion i), and opportunities
for citizens to participate in political life (Criterion 2). Any fair
system for apportioning parliamentary seats would insure that the government
would represent the larger opinion-cluster rather than the smaller (Criterion
3). The existence of two divergent sets of public attitudes bounded bv
ex-
tensive consensus would facilitate rationality in political discussion
and decision-making (Criterion 4), by insuring that alternatives would
be posed, providing a reasonably clear choice to voters, and enabling
a rather high degree of coherence of policies and programs. Rationality
would also be enhanced because an opposition's past experience in office
and its expectation of future responsibility as the governing party would
encourage its members to avoid demagogic and irresponsible appeals for
unworkable and unrealistic solutions. The existence of widespread consensus
and the experience and expectation of governing would help to minimize
the resentments of the opposition and the need for coercion (Criterion
5) and also to insure that conflicts would be peacefully resolved (Criterion
6), Policy questions uppermost in the minds of any large group of people
would almost certainly be brought forward by one of the two panics, and
in due time each party would have an opportunity to enact its own solution
(Criterion 7). Finally, all these conditions taken together would
surely go very far toward creating widespread loyalty to democracy ;uid
constitutional government (Criterion 8).
It is easy to see why the two-party model, especially in the idcali/.cJ
form in which it is often described, has charmed so many political observers.
Yet the conditions I have just specified are an unusual combin;i-rion;
they have not always existed even in Britain.
In the first place, as we have already seen (Chapter 12), if a society
is polarized into highly antagonistic camps, then the two-party system
might
actually increase the intensity of conflicts by wiping out the nicdi;iuiiy
center.
Second, opinions may fall into more than two clusters, as they gcncf.itly
do in Belgium, Holland, Italy, and the United States. In these circumstances,
there would have to be more than two parties; or, as in the United States,
the two parties would not be highly unified. Moreover, if a system of
disciplined parties existed, ic could produce flagrant conti'-ulic-tions
with several of our criteria. Specifically, the application of the prin1
ciple of majority rule and parliamentary sovereignty could lead to minority
government, negate majority rule, and thus violate Criterion 3. For if
" faction in one party, even if it were a majority faction, coulil
use the instruments of party discipline to impose its policies on that
party, anil *l that party had a majority in parliament, then the policies
adopted by tht government and agreed to by the parliamentary majority
might we" "< policies preferred only by a minority and opposed
by a majority 01 W whole country. When there are more than two large clusters
of opinion* it would be necessary, in order to satisfy our criterion,
for different fWr' Jority coalitions to form on different issues. Thus
a mulriparry ^^ w two heterogeneous parties without strong discipline
would be preicwrtft Third, the government and the opposition parties might
not alicnut?""
omce. In this case, an opposition might find demagogic and unrealistic
appeals increasingly attractive. Even if, as Nils Stjernquisc's essay
shows. the problem of a permanent opposition is not at all peculiar to
a two-party system, there is nothing inherent in the dynamics of a two-party
system that guarantees an alternation between the two parties.
A system with two disciplined and strictly competitive parties, one controlling
the government and the other providing a concentrated focus for opposition,
is not always, therefore, a desirable solution. The circumstances under
which it is the optimal solution may be, in fact, rather uncommon. The
typical solution of democracies is not concentration but dispersion, not
strict competition but bargaining and coalescent strategies. Given the
conditions of political life in most countries, quite possibly this solution
is preferable; for it is often possible where the other solution is nor,
and it may come somewhat closer to satisfying our various criteria,
Majority Rule, Minorities, and Organized Pluralism
Every solution to the problems of opposition that focuses upon party systems
runs the danger of neglecting a palpable fact of political life:
iimny important decisions are not made in parliament. To the extent that
:m opposition concentrates on elections and parliamentary action^ it may
be powerful in unimportant encounters and feeble or even absent when key
decisions are made.
As the extent of governmental intervention and control in social and economic
affairs has expanded, the work of parliaments has also multiplied. But
even with the enormously increased work load of parliaments .Hid the much
greater weight and range of the effects that laws passed by parliament
now have on social and economic behavior, the relative im-I'on.mce of
parliaments in making important decisions has not increased
in tlic same proportion; the "decline of parliaments" has become
a familiar topic and a source of concern.
No single curve could summarize the historical changes in the power tif
rurious parliaments. But in a number of countries two kinds of developments
have helped to increase the relative importance of other sites. One 's
a pronounced growth in many Western democracies in the power of a plebiscitary
executive who acquires great political resources by winning a "-"'onal
election. Although this development is clearest Jn the United Sr-ircs
and the Fifth French Republic, the rise or highly disciplined parties
'us led by a different route to similar results in Britain, Norway, Sweden,
Austria, and a number of other democracies. In France and the United o"oires,
die Constitution, Jaws, and political practices grant extensive dis-crctJonary
power and authority to an elected chief executive; in the other "untnes,
if a party or coalition wins a majority of seats in parliament, ^"V
d'scipline insures that it will form a government whose policies
cannot:, for all practical
purposes, be defeated by opponents in parliament:. Although the development
is highly uneven and the pattern is markedly different from one country
to another, the importance of the legislature as a sice for encounters
between opposition and government is reduced to the extent that a plebiscitary
executive (whether president or cabinet) has acquired the power to make
key decisions without much restraint by parliament.
The other development that creates a powerful rival for parliament is
the one stressed by Stein Rokkan in his chapter on Norway: the evolution
of national bargaining among employers, trade unions, and other interests
has led to a process for making decisions of great economic and social
importance over which parliaments and sometimes even executives exercise
scant control.
What these two developments have in common is the creation of highly strategic
sites outside parliament-rivals to parliamentary power- Where they differ
is in the importance of national elections. For if the rise of a plebiscitary
executive has reduced the relative influence of parliament, that development
has, if anything, made elections even more crucial. Yet because the concrete
alternatives open to voters are few and simple in comparison with the
great range of problems confronting a modern scntc, an election furnishes
a vague mandate at best; and at worst it simply allows
winners and losers to provide their own interpretations of the election
returns.
Bargaining with the executive, bargaining among private and public bureaucracies,
negotiations among the great national associations, all these provide
ways of supplementing, interpreting, offsetting, and even ncg.itni^ the
election returns. This is exactly the source of both the advantsigc.s'
aiitl the dangers of organized pluralism and national bargaining.
Organized pluralism meets many of the criteria for opposition in n democracy
that I proposed at the beginning of this chapter. For cx;unpk, because
it often enables key groups to arrive at decisions they find more acceptable
than decisions imposed by legislature or executive order, li-ir* gaining
is an instrument for gaining consensus and enlarging the iirca w Freedom
in Political Obligations. It provides additional sites for cfl^cuvc expression
of views, dissent, criticism. Often it insures that the speciali/w knowledge
of the groups most deeply involved in some activity will M brought to
bear on a solution. Yet if it has many advantages-nnd it ti t" any
case inevitable in every modern libertarian industrial society-orgift*
ized pluralism creates two problems that have not yet been solved "nVr
where. For one thing, since all resources except the vote nrc ""^R111"/
-^ distributed, some minorities (one thinks of the uneducated poor In
W ^ United States) may not have much in the way of political resource*._
T-^ bargain with: they have the ballot-and little else. In addition, (o
w^
extent that parliament
is excluded from the process and elections provide only a vague and rather
uncertain control over national leaders, there is no political institution
in which majorities weigh heavily that can control
the great bargained decisions by means of public review, appraisal, opposition,
amendment, or veto.
Perhaps organized pluralism would weaken democracy in a small city-srate,
as Rousseau and his admirers would argue, for it encourages a citizen
to take only a fragmentary view of his interests. And faction has always
been the mortal disease of the city-state. Yet in the modern nation-state,
it is difficult to imagine an alternative to organized pluralism that
would
not leave the piebisckary executive and the official bureaucracies without
effective oppositions, criticism, and control,
What is not yet perfectly clear, however, is how organized pluralism and
national bargaining are to be reconciled with systems in which political
equality and majority rule are major principles of legitimacy.
Oppositions in Western Democracies: The Future
There is a tension, then, among our goals, a tension that seems to be
inescapable. The demands imposed by the values of democracy are extraordinarily
severe.
To one who accepts these values, one perennial problem of opposition .
is that there is either too much or too little. The revolutionary parts
of the world have a surplus of poverty and a deficit of order. The authoritarian
countries have a surplus of order and a deficit of political freedom.
Some of the Western democracies are achieving a mounting surplus of riches
and consensus.
To be concerned over the decline of structural oppositions in most \Vcstern
democracies may very well be an anachronism, a throwback to nineteenth-century
styles of thought, on a par with a nonrational faith in the virtues of
a balanced budget or the conviction that a seven-day workweek is indispensable
if the working classes are not to become dissolute from having too much
spare time on their hands. Should we not begin instead to adjust our minds
to the notion that in the future-or at least in that short-run future
into which it is not wholly senseless to extrapolate present trends-a
great many Western democracies will have rather high levels of agreement
and not much structural opposition?
That a large number of democracies have won the battle for tlie allegiance
of their citizens among all social strata is, surely, a satisfying- vic-^ry
to anyone who believes in the values of a democratic polity. Yet it ls
difficult to disregard the sense of disquiet that follows hard upon one's
au'arcness that severe criticism of social and economic structures has
all "Ut disappeared from the political life of many Western democracies-
or else has become a monopoly or political forces like the Communists
and the Radical Right: whose allegiance to democratic values is, to say
the least, doubtful. If the growth of extreme dissent can endanger a democratic
system, universal but quite possibly superficial and irrational "consensus"
may also be undesirable, for reasons I have jusc been exploring.
But is the trend evident in so many Western democracies over the past
several decades toward greater consensus likely to continue? Might it
level off, or even be reversed?
No way of conjecturing about the future, as Bertrand de Jouvenel has remarked,
is more compelling than the temptation to project recent trends, "to
suppose that tomorrow is going to differ from today in the same way that
today differs from yesterday." ° And as M. de Jouvenel also reminds
us, it is the extrapolation of recent trends that has so often led men
who understood their own time well to miss completely the large changes
and abrupt reversals that transform the future into something radically
different from the past. Suppose, then, that we make two assumptions about
the future; that there will be no holocaust, an assumption without which
it would be futile to speculate about the future of politics;
and that Western societies will continue to develop greater affluence,
higher consumption, reduction of poverty, wider educational opportunities,
and steadily increasing technical and technological resources. Under these
conditions, what can we conjecture about the future of oppositions in
Western democracies?
To begin with, even the growth of affluence does not automatically wipe
out conflicts over the distribution of the national income and opportunities
of all kinds. There is no reason to assume a decline in the fainili.ir
conflicts among different interest groups, each striving to insure that
its members gain a satisfactory share. Indeed, since a just or satisfactory
share probably cannot be denned so as to command general assent, ;uul
since any particular allotment reveals itself more and more clearly nowadays
to be a product of political decisions and less and less an act of Goii.
nature, or the inexorable operation of economic laws, conflicts over ihe
distribution of income might, if anything, become more numerous even if
less intense.
International policies will also remain, surely, subjects of conflict.
Since there is small chance that international politics will diminish
in impon.uK'c and salience in the next half century, and since judgments
of alternative policies and proposals will necessarily rest on highly
controversial a&^o-ments of very great risks, gains, and costs, a
variety of foreign policies, military affairs, treaties, regional and
international organizations and alliances all promise a steady flow of
internal conflict.
In many cases, conflicts over international politics and the distribunoft
,.. of national income and opportunities may not generate anything moff
-
than the kinds of policy
oppositions with which we are already familiar in Western democracies.
To this extent the future looks rather like the immediate past that has
been described in the essays here. Yet this may not be the whole picture.
For these cwo kinds of conflicts need not necessarily entail only narrow
group interests or technical matters. The more the distribution of incomes
and other opportunities is thought to be subject to determination by government,
the more relevant may become the ancient and evidently inextinguishable
controversies over the issue of equality versus differential rewards.
And conflicts over international affairs will in some cases involve nothing
less than alternative views of how the nation, the civilization, even
the species itself are most likely to survive or perish.
Yet neither of these kinds of issues inevitably entails structural oppositions.
Are there possible sources of alienation in Western democracies that might
foster new structural oppositions? Since alienation has lately become
a fashionable topic, let me hasten to add that I do not mean to imply
anything about social or psychological alienation, whatever these may
be. I speak only of political alienation. A citizen is alienated from
his political system to the extent that he has unfavorable feelings, evaluations,
and attitudes toward it. I assume that a citizen might be alienated from
the political system in which he lives without necessarily being neurotic,
rootless, excessively anxious over his social standing, or otherwise much
different in personality and social characteristics from his fellow citizens.
In short, I wish to leave completely open the murky empirical question
of how political alienation may be related, if at all, to strictly social
and psychological factors.
Among the possible sources of alienation in Western democracies that:
may generate new forms of structural opposition is the new democratic
Leviathan itself. By the democratic Leviathan I mean the very kind of
political system the chapters in this book have described, a product of
long evolution and hard struggle, welfare-oriented, centralized, bureau-cr.uic,
tamed and controlled by competition among highly organized elites, and,
in the perspectives of the ordinary citizen, somewhat remote, tlisrani,
and impersonal even in small countries like Norway and Sweden. The politics
of this new democratic Leviathan, as we have seen so often in the past
chapters, are above all the politics of compromise, adjustment, negotiation,
bargaining; a politics carried on among professional and quasi-professional
leaders who constitute only a small part or the total citizen "ody;
a politics that reflects a commitment to the virtues of pragmatism,
moderation, and incremental change; a politics that is un-ideological
and <vcn anti-ideological.
The traditional opposition to the new democratic Leviathan has come "om
critics on the Right. In most European countries this traditional fpposiEion
has been greatly enfeebled. In the United States, I suggested
ill Chapter 2, a Radical
Right has become alienated from the c,\istini> political system, for
the principal leaders in the American system--whether in the Administration's
coalition or nominally in opposition-accept policies, express views, and
engage in conduct that the Right passionately rejects as evil; being a
minority and unable to win national elections (and not many state or local
elections) the Right has steadily suffered the humiliation of political
impotence and rejection.
Is it likely that the wheel of history may make a full turn, that opposition
to the democratic Leviathan may arise from a new quarter? There are already
faint signs, not only in the United States but in high-consensus European
systems like Sweden, Norway, and Britain, that many youn^ people, intellectuals,
and academics reject the democratic Leviathan-not because it is democratic
but because, in their view, it is not democratic enough: this new Leviathan
is too remote and bureaucratized, too addicted to bargaining and compromise,
too much an instrument of political elites and technicians with whom they
feel slight identification. Political isolation, alienation, and rebellion
among youth, intellectuals, and academics are not, of course, new. Yet
in the past half century the Left has, on the whole, sought to channel
these feelings into support for policies and programs that have encouraged,
not retarded, the development of the new democratic Leviathan. Is it not
possible, however, that political alienation will increase, and that a
new Left-if one can stretch traditional terms to cover the case-might
channel these feelings into radical efforts (the shape of which we cannot
foresee) to reconstruct the Leviathan to a more
nearly human scale? None of the three possible sources of future oppositions
that I have
been describing can be reduced, I imagine, to strictly technical questions-Although
most issues involving the distribution of incomes and opportunities, international
politics, and the democratic Leviathan have strictly technical aspects,
few of them can be settled by strictly technical answers. The position
one takes must depend in part on nontechnical factors -on values more
implicit than explicit, psychological orientations and predispositions,
identifications, feelings of hate, hostility, fear, Jealousy, pride, self-confidence,
respect, solidarity. If factors of this kind are to play a part, then
there is good reason for expecting that political conflict will encourage
the birth of new ideologies. For political elites and involved citizens
alike will sense a need for broad, integrated views of the world to provide
guidance, validity, and authority for their judgments on specific issues.
And it will be surprising if these views of the world do not differ considerably
in their perspectives, goals, evaluations, and assumptions about the nature
of man and society.
Yet should these conflicting issues and ideologies develop it seems unlikely
that they will be strongly associated, at least in the democracies
examined in this book, with the familiar social and economic characteristics
that have done such yeoman service in social theory in the recent past.
For differences in political demands will probably become in large measure
detached from general socioeconomic factors. At one end of the scale,
new oppositions may reflect no more than conflicts among shifting coalitions
of interest groups. At the other extreme, conflicting demands are likely
to be attached to relatively durable orientations, perspectives, "mentalities,"
political philosophies, or ideologies that are related only casually to
the kinds of social forces that have played such an important part in
the political life of "Western democracies in the past century.
In short, differences in basic political ideas and evaluations are likely
to become more and more important in explaining differences in political
behavior and therefore in patterns of opposition. Yet these crucial differences
in political ideas and evaluations will probably be less and less trace-able
to differences in social and economic characteristics. In this sense,
political ideologies, far from waning, will be ascendant. To be sure,
the traditional ideologies that have played so great a role in
Western politics in the past century show every sign of being well on
the way to ultimate extinction. But democracies have not eliminated all
causes of political conflict; and if we agree with James Madison that
"the latent causes of faction are sown in the nature of man,"
then democracies will not and cannot eliminate all causes of political
conflict. If democracies cannot eliminate all the causes of conflict,
is it not reasonable to expect that with the passage of time the clash
of governments and oppositions, indeed of one opposition with another,
will generate-and will be generated by-new political perspectives that
we cannot now accurately
foresee?
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