Political Theory II Study Guide –

Part I – IDs from Sargent (5 out of 8)

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Part II – Dahl Essay (1 out of 2 out of 3)

1. Provide an overview of the development of democracy. (a) What is direct

democracy? Where was it found and when? What happened to it? (b) What is
indirect democracy? (c) What is the Assumption of Intrinsic Equality, how does
this lead to the Principle of the Equal Consideration of Interests? What is the
Assumption of Personal Autonomy and why is it required? How does the Strong
Principle of Democracy flow from these principles and assumption? What are the
Five Criteria for the Democratic Process? Finally, what reasons (ten of them)
may be empirical justifications for democracy?

2. What are the conditions for the rise and maintenance of democracy? Why is
this an empirical question and not a normative question? (Discuss the nature
of normative and empirical, and identify why these are empirical.)

Dahl – empirical vs. normative…

Conditions that favor these democratic institutions-
Essential conditions
1. Control of military and police by elected officials
2. democratic beliefs and political culture
3. no strong foreign control hostile to democracy
Favorable conditions
4. a modern market economy
5. weak subcultural pluralism
Dahl generates these by drawing upon a large body of evidence from the twentieth
century.
- Foreign Intervention – Soviet Union – Czechoslovakia, Hungary, Poland, the
US – Guatemala, Iran
- Control of Military – Latin America (Guatemala, Honduras, Nicaragua) –
Africa – (Nigeria, Somalia, etc)
- Democratic culture …it has been enforced by history..but too much for dahl to
cover in this book
- (Weak subcultural pluralism) Cultural Conflict – democracies more likely to
develop in a homogenous culture – exceptions – U.S., Canada, Belgium,
Switzerland – but because other conditions are so favorable… assimilation
was the U.S.’s answer, proportional representation helped in Belgium and
Switzerland and the Netherlands….electoral systems that do not spawn
conflict but consensus may help….as may separation of subcultures into
quasi-autonomous units like in the Swiss federal system…..even still
exception to the harmonious model of homogeneity are rare
- Modern Market Economy – the society that capitalism engenders is one that is
favorable to democratic institutions
 This is all empirical because Dahl defines these conditions not by imagining what would
be beneficial to democracy, but what has proven to foster democratic states historically.
He justifies each point not simply by logic, but by empirical proof and evidence.

3. What political institutions does democracy actually require? Why is this

largely empirical but also a normative question? List and describe briefly six
institutions required to achieve democracy. How does the American
separation of powers differ from the European parliamentary system?

Dahl – looks at it from three perspectives

1. The history of countries where the people sought change by the way of
inclusion or more popular participation in government and what
institutions they sought
2. Looking at countries that are today considered democratic
3. Imagine a hypothetical country, a thought experiment, and try to
reasonably deduct what institutions would need to be there for
democracy to exist
Dahl says they all come to the same conclusion – a set of 6 political
institutions
1. Elected officials – modern, large scale democracies must be representative
2. free, fair, and frequent elections
3. freedom of expression
4. access to alternative sources of information
5. associational autonomy
6. inclusive citizenship

The form or variety that these political institutions may take is normative, and
may change from country to country. For instance there is a difference between Britain,
a parliamentary system and the U.S. a representational system. The size of the
democratic state may dictate what form of democracy is used. Also, the constitution may
or may not be written. Third, the party system and means of election may differ.

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Part III – Sargent Essay (1 out of 2 out of 3)
1. How does Sargent conceptualize democracy? What are the
principles/key elements of democracy, according to Sargent? (List and
briefly discuss these principles)

Sargent definition of democracy comes from its greek meaning – demos – people
, kratos – rule …rule by the people and as such can refer to direct, participatory,
and representative. Still, democracy seems to believe the there are 7 principles
that are key elements of democracy today. Sargent says that these principles are
unchanging.
 1. Citizen involvement in law making – considers political participation
the most defining characteristic of democracy – two approaches –
direct and representative…Elitism (participation as a check upon the
ruling elites) Pluralism (interest groups competing for power)
Corporatism (competition and sharing of power by interest groups
within government bureaucracies)..etc etc
2. System of representation – the way in which elected official represent
their constituents – three ways (or four) ways represent may be defined
– to replicate, to symbolize, or to act in place of (like a lawyer) , the
fourth may be considered a combination of all three
3. Rule of law – those making the laws are bound by the laws, law is
supreme, not those who make them…
4. Electoral system – majority rule – a system by which the people can
have some control over political decision making by having control
over who represents them – periodic elections – peaceful, efficient
change of power
5. Some degree of equality among citizens….gradient of political
equality moving towards social equality…political = equality before
the law, participatory rights…equality of opportunity….economic
equality….social equality
6. Some degree of liberty or freedom granted to or retained by citizens –
negative freedom (freedom to do as you choose) vs. positive freedom
(freedom from something) – negative, government does not
act….positive – government acts to secure freedom…..
i. Types of liberty – 1. to vote 2. speech, 3. press, 4. assembly, 5.
religion, 6. movement, 7. freedom from arbitrary treatment by
the political and legal system
7. Education – need for citizen information – an educated citizenry is
necessary in a democracy

2. According to Sargent, what are the characteristics of capitalist

democracy and socialist democracy? What are the strengths and
weaknesses of each? How has the socialistic democracy developed over
time from capitalist democracy?

Principles of Democratic Capitalism –

1. Private Ownership
2. No Legal limit on the accumulation of private property
3. Free market
4. Personal profit motive as driving force in economics/politics/life
5. Profit as the measure of efficiency

Problems with Democratic Capitalism

- Inequity
- Monopolies
 - Humanitarian concerns

Principles of Socialist Democracy

1. government ownership or control over major natural resources
2. limits on the accumulation of private property/means of production
3. government regulation of the economy
4. public/governmental assistance programs
5. societal costs of services understood to be beyond simple cost benefit
analysis
6. Welfare state = resulting characteristic

Problems with Socialist Democracy

- Inefficiency

Evolution of the Role of Government

1. Order – to protect life and property (1600s – 1800s)
2. Government should regulate (and maybe even provide for) basic goods
and services (1800s - ) (public education, health care, etc)
3. Promote equality (1960s (US) - ) economic and social

3. According to Sargent, what are the features of conservatism (Burke’s

contributions to conservatism?) B. What is neo-conservatism? What is
liberalism? (John Stuart Mill’s contributions?) C. What are John Rawl’s
contributions to contemporary liberalism?

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Raw notes
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Political Theory II – Sargent – Chapters 1, 3, 4 and 5
- What sort of political syst