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BY ROBERT A. DAHL
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44 43 42 41 40
Contents
In a politica! system where nearly every adult may vote but where
knowledge, wealth, social position, access to officiaIs, and other resources
are unequaIIy distributed, who actually governs?
The question has been asked, 1 imagine, wherever popular govemment
has developed and intelligent citizens have reached the stage of critica!
self-consciousness conceming their society. It must have been put many
times in Athens even before it was posed by Plato and AristotIe.
The question is peculiarly relevant to the United States and to Ameri-
cans. In the mst place, Americans espouse democratic beliefs with a
fervency and a unanimity that have been a regular source of astonishment
to foreign observers hom Tocqueville and Bryce to Myrdal and Brogan.
Not long ago, two American political scientists reported that 96 per cent
or more of several hundred registered voteI'> interviewed in two widely
separated American cities agreed that: "Democracy is the best form of
govemment" and "Every citizen should have an equal chance to inHuence
govemment policy," and subscribed to other propositions equally basic to
the democratic credo.1 What, if anything, do these beliefs actually mean
in the face of extensive inequalities in the resources dUIerent citizens can
use to inHuence one another?
These beliefs in democracy and equality mst gained wide acceptance
as a part of what Myrdal later caIIed the "American Creed" during a
period when the problem of inequality was (if we can disregard for the
moment the luestion of sIavery) much less important than it is today.
Indeed, the problem uppermost in the minds of the men at the COD-
stitutional Convention in Philadelphia in 1787 could probably have been
Btated quite the other way around. To men concemed with what was then
a unique task of adapting republican institutions to a whole nation, the
very equality in resources of power that American society and geography
tended to generate seemed to endanger politica! stability and liberty. In
a society of equals, what checks would there be against an impetuous,
unenlightened, or unscrupulous majorityr A half century Iater, this was
aIso the way an amazing and gifted observer, Alexis de Tocqueville,
1. James W. Prothro and Charles M. Grigg, "Fundamental PrincipIes of Demoo-
racy: Bases oI Agreement aDd Disagreement," louf'l1Dl 01 Politlc.f. 22 (1960),
276-94.
WHO COVERNS?
are occasionally manipulated. Elections are free from violence and, for
alI practical purposes, free from fraudo Two poltica! parties contest
eIections, ofIer rival slates of candidates, and thus present the voters with
at Ieast some outward show of choice.
Running counter to this legal equality of citizens in the voting booth,
however, is an unequaI distribution of the resources that can be used for
inBuencing the choices of voters and, between elections, of officiaIs. Take
property, for example. In 1957, the fifty largest property owners, in
number Iess than one-sixteenth of one per cent of the taxpayers, held
nearly one-third of the total assessed value of all real property in the city.
Most of the nfty Iargest property owners were, of course, corporations:
public utilities like the United Illuminating Company, which had the
largest assessment ($22 million) and the Southem New England Tele-
phone Company ($12 million); big industries like Olin Mathieson ($21
million) which had bought up the Winchester Repeating Arms Company,
the famous old New Haven firearms firm; farnily-held finns lke Sargent
and A. C. Gilbert; or department stores like the century-old firm of
MalIey's. Of the fifty largest property owners, sixteen were manufacturing
finns, nine were retail and wholesale businesses, six were privately-owned
public utilities, and nve were banks. Yale University was one of the
biggest property owners, though it ranked onIy tenth in assessed value
($3.6 million) because much of its property was tax-free. A few
individuaIs stood out boldly on the list, like Jobn Day Jackson, the owner
and publisher of New Haven's two newspapers.
ar consider family income. In 1949, the average (median) farnily
income in New Haven was about $2,700 a year. One farnily out of forty
bad an income of $10,000 or more; over one family out of nve had an
income of less than $1,000. In the Thirtieth Ward, which had the highest
average family income, one farnily out of four had an income of $7,000
or more; in the Fifth, the poorest, over half the farnilies had incomes of
Iess than $2,000 a year. (Technica!ly, the First Ward was even poorer
than the Fifth for half the farnilies there had incomes of less than $700 a
year, but three-quarters of the residents of the First were students at
Yale.)
The average adult in New Haven had completed the ninth grade, but
in the Tenth Ward half the adults had never gone beyond elementary
schooI. About one out of six adults in the city had gone to college.
The extremes were represented by the Thirty-first Ward, where nearly
half had attended coUege, and the Twenty-seventh, where the proportion
was oo1y one out of thirty.'
4. Assessments are from the city records. The average ratio of assessed value to
actual prices on property sold in 1957 was 49.2, according to the New Haven
Taxpayers Research Counci1, ..Assessment oI Real Estate," Council Comment, No.
THE NATURE OF THE PROBLEM 5
Thus one is forced back once more to the initial questiono Given the
existence of inequalities like these, who actually governs in a democracy?
Since the question is not new, one may wonder whether we do not,
after alI, pretty well know the answer by now. Do we not at least know
what answer must be given for the present-day politica1 system of the
United States? Unfortunately no. Students of politics have provided a
number of conBicting explanations for the way in which democracies
can be expected to operate in the midst of inequalities in politica1
resources. Some answers are a good deal more optimistic than others.
For example, it is sometimes said that politica1 parties provide competi-
tion for public office and thereby guarantee a relatively high degree of
popular controI. By appealing to the voters, parties organize the un-
organized, give power to the powerless, present voters with alternative
candidates and programs, and insure that during campagns they have an
opportunity to learn about the merits of these alternatives. Furthermore,
after the election is over, the victorious party, which now represents the
preferences of a majority of voters, takes over the task of governing. The
voter, therefore, does not need to participate actively in governmentj it is
enough for him to participate in elections by the simple act of voting. By
bis vote he registers a preference for the general direction in which
govemment policy should movej he cannot and does not need to choose
particular policies. One answer to the question, "Who governs?" is then
that competing political parties govern, but they do so with the consent
of voters secured by competitive elections.
However, no sooner had observers begun to discover the extraordinary
importance of politica1 parties in the operation of democratic politica1
systems than others promptly reduced the politica1 party to little more
than a collection of "interest groups," or sets of individuaIs with some
values, purposes, and demands in common. If the parties were the politica]
molecules, the interest groups were the atoms. Aod everything could ba
explained simply by studying the atoms. Neither people nor parties but
interest groups, it wa:. sad, are the true units of the politica1 system. Ao
individual, it was argued, is politically rather helpless, but a group unites
the resources of individuaIs into an effective force. Thus some theorists
would answer our question by replying that interest groups governj most
of the actions of govemment can be explained, they would say, simply as
the result of struggles among groups of individuaIs with differing interests
and varying resources of inBuence.
The Drst explanation was developed by English and American writers,
the second almost entirely by Americans. A third theory, much more
36 (Mar. 9, 1959). Data on incomes and education are from a special tabulation by
wards of the data in U.S. Census, Characterist/cs oi the Populatlon, 1950. Income
data are estimates by the Census Bureau from a 20i sample.
6 WHO COVERNS?
5. Robert S. Lynd and Helen M. Lynd. Middletown (New Yorlc, Harcourt Brace.
1929) and Middletown in Transilic1n (New York, Harcourt Brace. 1937). Floyd
Hunter. Community Power Structure (Chapel Hill. University af Narth Carolina
Press. 1953) and Top Leadershp, U.S.A. (Chapel Hill, University af North Carolina
Press, 1959).
THE NATURE OF THE PROBLEM 7
mass of individuaIs with no secure place in the social system, rootless,
aimless, lacking strong social ties, ready and indeed eager to attach
themselves to any political entrepreneur who will cater to their tastes and
desires. Led by unscrupulous and exploitative leaders, these rootless
masses have the capacity to destroy whatever stands in their way without
the ability to replace it with a stable alternative. Consequently the greater
their inBuence on politics, the more helpless they become; the more they
destroy, the more they depend upon strong leaders to create some kind of
social, economic, and poli ti cal organization to replace the old. If we
ask, "Who govems?" the answer is not the mass nor its leaders but both
together; the leaders cater to mass tastes and in return use the strength
provided by the loyalty and obedience of the masses to weaken and
perhaps even to annihilate all opposition to their rule.
A superficial familiarity with New Haven (or for that matter with
almost any modem American city) would permit one to argue persua-
sively that each of these theories really explains the inner workings of the
city's politicallife. However, a careful consideration of the points at which
the theories diverge suggests that the broad question, "Who govems?"
might be profitably subdivided into a number of more specific questions.
These questions, listed below, have guided the study of New Haven
recorded in this book:
Are inequalities in resources of inBuence "cumulative" or "noncumula-
tive?" That is, are people who are better off in one resource also better
off in others? In other words, does the way in which politicaI resources are
distributed encourage oligarchy or pluralism?
How are important political decisions actually made?
What kinds of people have the greatest inHuence on decisions? Are
different kinds of decisions alI made by the same people? From what
strata of the community are the most inBuentiaI people, the leaders,
drawn?
Do leaders tend to cohere in their policies and form a sort of ruling
group, or do they tend to divide, conHict, and bargain? Is the pattem of
leadership, in short, oligarchical or pluralistic?
What is the relative importance of the most widely distributed political
resource-the right to vote? Do leaders respond generally to the interests
of the few citizens with the greatest wealth and highest status-or do
they respond to the many with the largest number of votes? To what
extent do various citizens use their political resources? Are there important
differences that in tum result in differences in inBuence?
Are the pattems of inBuence durable or changing? For example, was
democracy stronger in New Haven when Tocqueville contemplated the
American scene? And in more recent years, as New Haven has grappled
8 WHO COVERNS?
One of the difficulties that confronts anyone who attempts to answer the
question, "Who rules in a pluralist democracyP" is the ambiguous rela-
tionship of Ieaders to citizens.
Viewed from one position, leaders are enormously inHuential-so
influentiaI that if they are seen only in this perspective they might well
be considered a kind of ruling elite. Viewed from another position, how-
ever, many influentiaI Ieaders seem to be captives of their constituents.
Like the blind men with the elephant, different analysts have meticuIously
examined diHerent aspects of the body politic and arrived at radicalIy
different conclusions. To some, a pluralistic democracy with dispersed
inequalities is alI head and no body; to others it is alI body and no head.
Ambiguity in the relations of leaders and constituents is generated by
severaI closeIy connected obstacles both to observation and to clear con-
ceptualization. To begin with, the American creed of democracy and
equality prescribes many forms and procedures from which the actual
practices of leaders diverge. Consequently, to gain Iegitimacy for their
actions leaders frequently surround their covert behavior with democratic
rituais. These rituaIs not onIy serve to disguise reality and thus to compli-
cate the task of observation and analysis, but-more important-in com-
plex ways the very existence of democratic rituais, norms, and require-
ments of legitimacy based on a widely shared creed actualIy influences the
behavior of both Ieaders and constituents even when democratic norms
are violated. Thus the distinction between the rituals of power and the
realities of power is frequently obscure.
Two additional factors help to account for this obscurity. First, among
alI the persons who influence a decision, some do so more directly than
others in the sense that they are closer to the stage where concrete alterna-
tives are initiated or vetoed in an explicit and immediate way. Indirect
influence might be very great but comparatively difficult to observe and
weigh. Yet to ignore indirect influence in analysis of the distribution of
influence would be to exclude what might well prove to be a highly
signincant process of controI in a pluralistic democracy.
Second, the relationship between Ieaders and citizens in a pluralistic
democracy is frequently reciprocaI: Ieaders influence the decisions of
constituents, but the decisions of leaders are also determined in part by
90 THE DISTRIBUTION OF INFLUENCB
what they think are, will be, or have been the preferences of their con-
stituents. Ordinarily it is much easier to observe and describe the
distribution of in8uence in a political system where the 80w of in8uence
is strongly in one direction (an asymmetrical or unilateral system, as it is
sometimes caIled) than in a system marked by strong reciprocal relatioDS.
In a political system with competitive elections, such as New Haven's, it
is not unreasonable to expect that relationships between leaders and
constituents would normaIly be reciprocal.
One who sets out to observe, analyze, and describe the distribution of
inBuence in a pluralstic democracy will therefore encounter formidable
problems. It wiIl, I believe, simplify the task of understanding New Haven
if I now spell out some of the theory and assumptions that guided our
study of the distribution of inHuence.
THE POLITICAL STRATUM
policy. For many reasons, not the least being the general uncertainty and
constant Bux of events, leaders frequent1y do not live up to their promises.
But their proposed or actual policies often contain a direet or indirect.
actual or expected payoff of some kind to subleaders and constituents. The
attempt to satisfy the preferences of both subleaders and eonstituents by
policies is one of the commonest sources of conHict that leaders of
politieal associations encounter.
Despite some general theories of considerable persuasiveness, the
precise reasons why an individual prefers one aItemative to another are
not 50 well understood that any general and comprehensive explanation
for alI preferences ean be offered with eonlidence. (Part of the uneertainty
arises because of persistent doubts that a white rat in a maze is exactly
equivalent to a human being in a quandary.) Whatever the reasons may
be, individuaIs do have preferences on matters of policy. Sometimes these
preferences are extraordinari1y strong. sometimes weak. Sometimes one's
preferences can be explained by one's hopes that a policy wiIl produce
concrete benents to oneself or to the people nearest one's center of life.
In other cases (though I take it as axiomatic that any policy one approves
of is expected to be rewarding in some sense) the benents may be general
or. if specmc, may be conferred on individuaIs remote from oneself. I do
not mean to suggest that what would ordinari1y be caIled altruism plays
anything like a dominant role in politics, but it would be misleading to
exclude it altogether. Not everyone ceases to be interested in good
public schools when his OWD children grow Upj advocates of puhlic
housing usuaIly tum out to be middle-class people who have no need for
it themselvesj individuaIs have pressed for compulsory smallpox vaccina_
tion even though they and their families were already immunized;
denti~ts have generally supported the Buoridation of public water
supplies. One could multiply the examples.
Policies are an important means, though not the only means, by which
leaders attract the support they need from constituents. In fact, policies
sometimes win over constituents who then identify themselves with tbe
association more or less permanently and can be regularly counted 00 to
support the association even when some of its leaders and policies change.
These constitueots make up the following of the association.
The policies that leaders promise to constituents and followiogs_l
shall call them overt policies-are not aIways identical to, or indeed
even consistent with, the covert commitments they make to their sub-
leaders. From the point of view of a leader concemed with the task of
building his following, it would be ideaI if his subleaders were indiIferent
to his overt policies, for this would give him freedom to develop OVert
policies exclusively adapted to the desires of constituents and foIlowiogs .
But this kind of complete independence from the desired subleaders is
THE AMBIGUITY OF LEADERSHIP 99
almost impossible for a Ieader to aUain. It couId exist onIy where the Bow
of rewards for which subleaders gave their services did not depend at a11
on the overt policies of Ieaders. For example, such a situation might exist
where a group of subleaders needed an excuse to justify the convivial
activities generated by their service in the association and therefore
happily contributed their services without regard to any policies of the
leaders simply in order to maintain the camaraderie they experienced in
the association.
By providing jobs, certain kinds of vocational associations may aIso
come close to liberating the overt policies of Ieaders from the demands of
subleaders, particuIarly if the role of the subleader as it is defined in
the culture is confined simply to doing his job and receiving his wage or
salary without caring about or having a right to participate in the shaping
of the overt policies of the association. In business organizations, rank-and-
file employees are usually assumed to have only slight interest in the
overt policies of the business other than those touching on their own
wages, hours, and working conditions.
However, polticaI associations, at Ieast in the United States and
certainly in New Haven, are more nearIy avocationaI than vocational.
(For the leaders, to be sure, they are often vocational-although, para-
doxically, the virtues of amateurism are so highly regarded that leaders
whose major occupation and source of income is politics often try to
disguise the fact in order to avoid the epithet "professionaI politician.")
Poli ti cal associations, unlike business firms, do not produce services or
commodities that can be openIy soId for a price. Indeed the Iaws of the
state of Connecticut as of other states BatIy prohibit transactions of this
kind. In New Haven, the amount of income Iegally or illegally secured
by an association engaged in politics is tiny compared with that of a
business firm with an equivaIent number of full-time and part-time
workers. Nor are nOnDnanciaI rewards easily obtainabIe. The esteem
among persons of high social standing that politicaI officiaIs seem to have
enjoyed in New Haven in the nineteenth century has probably declined.
Even the amount of influence open to a subleader is usually slight. (One
minor subleader encountered in New Haven in the course of our study
displayed his inBuence by "fixing" parking tickets for his friends. On
investigation, it tumed out that he fixed the tickets by paying the fines out
of his own pocket.)
Despite the avocational character of politicaI associatioDS in New
Haven, two processes help to reduce conBicts between the overt and
covert policies of poltical Ieaders and to produce a loyal corps of sub-
Ieaders who, while concemed with covert policies, are often indiHerent to
overt policies.
First, a prerequisite to success for both the overt and covert policies
100 THE DISTRIBUTION OF INFLUENCE
But if the leaders lead. they are also led. Thus the relations between
leaders, subleaders, and constituents produce in the distribution of inHu-
ence a stubbom and pervasive ambiguity that permeates the entire politi-
cal system.
SOME HYPOTHESES
Given these assumptions, one might reasonably expect to flnd in tbe
politicaI system oI New Haven that the distributiOD of inBuence Over
important decisions requiring the formal assent of local govemmental
officiaIs 15 consistent with the fol1owing hypotheses:
First, onIy a small proportion of the citizens will bave much direct
inBueoce 00 decisions in the sense oI directly initiating proposals for
policies subsequently adopted ar successfully vetoing the proposals oi
others.
Secand, the leaders-i.e., citizens with relatively great direct influence
-will have a corps of auxiliaries ar subleaders to belp them witb their
tasks.
Third, because a democratic creed 15 widely subscribed to tbrougbout
the political stratum, and indeed throughout the population, the public or
overt relationships of influence between leaders and subleaders wil1 often
be clothed in the rituals and ceremonies of "democratic controI, accord-
ing to wbich the leaders are only the spokesmen or agents oI the sub-
leaders, who are "representatives- of a broader constituency.
Fourth, because of the need to win elections in order to hold key elective
officas. leaders wil1 attempt to develop followings of loya! supporters
among their constituents.
Fifth, because the loyalty and support of subleaders, fol1owings, and
other constituents are maintained by memories of past rewards ar the
expectatioo oI future rewards, leaders wil1 shape their policies in an
attempt to fnsure a flow of rewards to al1 tbose elements whose support is
needed. Consequently, in some circumstances, subleaders, fol1owings.
and other constituents will have significant indirect influence OD the
decisions of leaders. The existence oI tbis indirect inBuence is an im-
portant source of ambiguity in understanding and interpreting tbe actions
of leaders in a pluralistic system.
Finally, conHicts will probably occur from time to time between
leaders' overt policies, wbich are designed to win support from con-
stituents, and their covert policies, whicb are shaped to win the support
of subleaders or other leaders. The keener tbe political competition, the
more likely it is that leaders will resolve these conflicts in favor of their
overt commitments.
To determine wbether tbese propositions actually fit the political
system of New Haven, I now propose to twn to tbree "issue-areas where
THE AMBICUITY OF LEADERSHIP 103
it is possibIe to examine decisions to see what processes of influence are at
work. Decisions in two of these areas, public education and urban
redeveIopment, require the fonnaI assent of local govemment officiaIs at
many points. The third, the process of making nommations in the two
major parties for local eIective offices, is only quasf-govemmental, but I
have chosen it on the assumption that whoever controIs nominations
might be presumed to occupy a criticaI role in any efIort to gain the assent
of local officials.
19. On the Species Homo Politicus
Civic man is, at heart, simply man; man is the child grown up; the
child is the human specres after millions of years of evolution. In spite of
ideas and ideaIs, the human organism stilI relentlessly insists on its
primordial quest for gratifications and release from pain. The child and
the youth leam various forms of gratifying experience; they leam of love,
and food, of pIay, work, and rest, of the pursuit of curiosity, the percep-
tion of order and pattem, sex, friendship, self-esteem, social esteem.
Throughout man's life, experiences like these channel his efforts, his
energies, his attention. They represent his hungers, his needs, his wants.
The clld, the budding civic man, Ieams alI too soon that he cannot
indulge himself without stint. Constraints are imposed on his liberty to
gratify himself, both by nature herself in the form of physiological,
mechanical, and psychological limitations and also by other individuals
-his family, to begin with, then playmates, teachers, and later a host of
others. The child struggles, resists, and is caught, more or less firmly, in
a net woven by himself and ls society.
He Iearns how to delay ls gratifying experiencesj because of the
various barriers imposed on him, the routes he now chooses to ls goals
are frequently complex and time-consuming, sometimes boring, occa-
sionally painful, at times dangerous.
He discovers that just as others constrain him in his efIorts to achieve
bis primary goals, he too has resources that he can use to inBuence
others to gain his own ends. At first these resources are c10sely attached
to bis own person and consist of simple, direct actions and reactions Uke
224 DISTRIBUTION OF RESOURCES
the political deviant can himself muster. Even homo civicus (under the
prodding oi rival politicalleaders) can be counted on to rise briefiy out
of bis preoccupation with apolitical goaIs and employ some of bis
resources to smite down the political man who begins to deviate notice-
ably in bis choice of strategies from the norms prescribed in the political
culture.
RESOURCES
The resources available to political man for infiuencing others are
limited, though Dot permanently medo For our purposes in this book, a
resource is anything that can be used to sway the specifie choices or the
strategies oi another individual. Or, to use different language, whatever
may be used as an inducement is a resource.
How one classifies resources is to some extent arbitrary. It would be
possible to list resources in great detail, distinguishing one from the other
with the utmost subtlety or to deal in very broad categories. One could
search for a comprehensive and logically exhaustive classwcation or
simply list resources according to the dictates of common sense. One
could employ elaborate psychological categories derived from theories
of modem psychology, or one could use more commonplace terms to
classify resources. To the extent that we can expIam the pattems of
influence in New Haven, it will do, 1 think, to use categories dictated by
common sensej to do more at this stage of our knowledge would be
pseudoscientifie window dressing.
Some resources can be used more or Iess directly as inducements. Or,
put another way, the kinds oi effective and cognitive experiences men-
tioned a moment ago as peculiarly fundamental and universal depend
rather directly on ~ome kinds of resources and more indirectly on others.
A list of resources in the American political system might include an
individual's own time; access to money, credit, and wealthj controI over
jobsj controI over informationj esteem or social standing; the possession
of charisma, popularity, legitimacy, legality; and the rights pertaining to
publie oHice. The 1ist might aIso include solidarity: the eapacity of a
member of one segment of society to evoke support from others who
identify him as like themselves because of similarities in occupation,
social standing, religion, ethnic origin, or racial stoek. The list would
include the right to vote, intelligence, education, and perhaps even one's
energy leveI.
One eould easily think of refinements and additions to this listj it is
not intended as an exhaustive list so much as an illustration of the
richness and variety of political resources. All too often. attempts to
explain the distribution and patterns of infiuence in political systems
begin with an a priori assumption that everything ean be explained by
DOMO POLITICUS 227
reference to only one kind of resource. On the contrary, the various
manifestations of influence in New Haven described in earlier chapters
can be explained, aS,we shall see, only by taking into account a number
of diHerent political resources.
Although the kinds and amounts of resources available to political
xnan are always limited and at any given moment ftxed, they are not, as
was pointed out a moment ago, permanently ftxed as to either kind or
axnount. Political man can use bis resources to gain influence, and he can
then use bis infIuence to gain more resources. Political resources can be
pyramided in much the same way that a man who starts out in business
smnetimes pyramids a small investment into a large corporate empire. To
the politica1 entrepreneur who has skill and drive, the political system
oHers unusual opportunities for pyramiding a small amount of initial
resources into a sizable politica1 holding. This possibility wiIl prove to
be highly important, as we shall see, in accounting for changes in
nBuence in New Haven.
HYPOTHESES
In Book I, we saw how the monopoly over public life enjoyed by the
Congregational patrician families of New Haven was destroyed, how the
entrepreneurs without inherited social position and education acquired
the prerogatives of office, and how these men were in their tum dis-
placed by ex-plebes who lacked the most salient resources of infIuence
possessed by their predecessors: hereditary social status, wealth, business
prominence, professional attainments, and frequently even formal edu-
cation beyond bigh school. The change in the New Haven political sys-
tem from the election of Elizur Goodrich in 1803 to John W. Murphy in
1931-the fust a descendant of a sixteeoth-ceotury Anglican Bishop, a
Yale graduate, a Coogregationalist, a lawyer, a judge, congressman,
Federalist; the second a descendant of Irish immigrants, a Catholic, a
Democrat, and a uoioo official in Samuel Gompers' old Cigar Makers
Intemational Union-represeoted nothiog less than an exteoded and
peaceful revolution that transformed the social, economic, aod political
institutioos of New Haveo.
This change in New Haven is fuIly consistent with three of the key
bypotheses in this study. First, a number of old American cities, of which
New Haven is one, have passed through a roughly similar transformation
Erom a system in wbich resources of influence were highly concentrated
to a system in wbich they are highly dispersed. Second, the present dis-
persion is a consequence of certain fundamental aspects of the social,
economic, and political structures of New Haven. Third, the present
dispersion does not represent equality of resources but fragmentation.
The revolutioo in New Haveo might be said to constitute a change from
228 DISTRIBUTION OF RESOURCES
the rich care nothing and others care a great deal? This leads to my third
point: suppose that-for whatever reason-the individuaIs with the
greatest resources don't use them for poltical purposes? Finally, sup-
pose they use their resources but do 50 in a blundering and inef!ectual
way?
A. I am not necessarily speaking of the actual influence of a group on
alI govemment decisions, as measured by their past or present perform-
ance, for it is true that people with great resources may be indifIerent
about what happens in :ome area of public policy. I do say, though, that
whenever individuaIs choose to employ their resources to whatever extent
is necessary to gain their ends, then a group welI of! in resources will
succeed despi te the objections of others with lesser resources.
B. I see that you are referring to potential inBuence. But surely if you
wish to be at alI precise when you speak of the potential inBuence of a
particular gToup of individuaIs, you must specify the circumstances you
have in mind. In particular, you wilI have to specify not only the par-
ticular area of policy, but the amount of resources the group actually
will use and the skill or efficiency its members will display in using their
resources.
A. I wonder if your approach doesn't rob the idea of potential influence
of alI its usefulness. After all, by specifying the circumstances properly,
we could speak of the wealthy as potentially dominant in a given area of
policy, or the proletariat, or the electorate, or the trade unions, or the
bureaucrats-in fact, all sorts of groups.
B. Exactlyl I believe, however, that the concept of potential influence
is not really ma de meaningless simply by being made precise. On the
contrary. Surely our analysis wilI gain in clarity if we can reduce some
of the ambiguity that generally plagues discussions about power and in-
fluence. If you want to refer to the potential influence of a particular
group of individuaIs, all I ask is that you specify certain conditions-in
particular the leveI at which members of this and other groups use their
resources, and aIso your assumptions as to how skillful or efficient they
are in employing them. It is quite true, of course, that under certain
conceivable conditions almost any group at alI could dominate some
area of policy. The problem, however, is not only to specify what these
conditions are but to predict the train of events that would bring them
about, and to estimate how likely the train of event5 is.
A. I now restate my hypothesis to say that if, on the average, the mem-
bers of group X have more of a given resource than the members of
group Y, and if both use the sarne proportion of their resources with equal
efficiency in order to gain influence over decisions in some given area,
then group X will surely have more inHuence over decisions in that area
than group Y.
ACTUAL AND POTENTIAL INFLUENCE 273
B. Admirablel But note how different that is from your original state-
ment. And I must point out one highly important error in what you have
just said. According to your assumptions, if everyone used one-tenth of bis
income to gain inHuence over decisions in some area, then two millionaires
would be more inHuential than any number of people of lesser income,
assuming that no other kinds of resources were employed. But surely this
is absurdo The aggregate outlay of a hundred millionaires who spent
$10,000 apiece on politics would be equaled by the total contributions of
a hundred thousand persons who spent $10 apiece.
A. I now see that when I speak of collective inHuence I must specify
the aggregate resources used by a group. It seems to me that this makes
the matter much more complicated. In order to predict whether a group of
individuaIs wilI in fact combine their resources to support a common
strategy, I must know something about the likelibood that they will act
on some issue, rather than merely stand aside. Even if they do act, they
may conHict in their strategies. To predict whether some collection of
individuals-Republicans, millionaires, trade unionists, farmers, or what-
ever-will actualIy agree on strategies, one needs to make some assump-
tions about their attitudes with respect to a given area of policy. More-
over, beca use there are other individuais in the political system, it is not
enough to specify alI these conditions for one group, but-at least in
principle-for alI the other groups as well. I must say, alI this presents
me with a task of such formidable proportions that from now on I shalI
hesitate to speak of potential inHuence at alIl
SOURCES OF VARIATION IN RESOURCE USE
another. For exampIe, in New Haven, business leaders have been much
more active in redeveIopment than in education or party nominations.
4. With different kinds of individuaIs. For example, professionaI poli-
ticians use the resources at their disposaI at a very high ratej at the other
extreme are individuais with no interest in politics.
Although one can find good expIanations for many of the variations
among individuais in their use of polticaI resources, some differences are
difficult to expIain and remain. the subject of speculation and research.
The more obvious reasons why individuaIs vary io their use of poltical
resources are:
1. Because of variations in access to resources. On the average, in a
large population, it is reasonabIe to expect that the more resources one
hllS, the more resources ooe would use to gain influence. For exampIe, if
everyone simpIy used the same proportions of bis resources for poltical
purposes, obviousIy the greater resources ooe had the more ooe would
use.
2. Because of variations in political confidence or estimates as to the
probability of succeeding in an attempt to influence decisions. A person
who is pessimistic about bis chances of influencing goven.ment policies
is Iess likeIy to use bis resources than one who is optimistic.
3. Because of differences in alternative opportunities for using one's
resources in order to acbieve other goals. For exampIe, a young un-
married Iawyer with few clients is likeIy to spend more of bis time 00
politics than ao older lawyer with a family, a large clientele, and an active
social Ufe.
4. Because of differences in estimates as to the value or "reward" of a
successfuI effort. The higher the value one expects hom a favorable out-
come the more likeIy one is to invest resources. The value expected hom a
favorabIe decision need not be in the form of money, of coursej it might
be any one or a combination of a great variety of things that different
human beings search for-security, personal prestige, social standing,
the satisfaction of being on the winning side, specffic liberties, justice,
votes, popularity, office, and so on. The list is endless.
Why do individuais vary in these four respects? There are severa! im-
portant subfective reasons. First, individuaIs vary in their goals or the
standards of value they use to appraise different events and possibilities.
Second, individuaIs vary in their predispositions. For example, pessimism
or optimism is often more than a transitory view of a particular poltical
situationj hequently it is a persistent, generalized, stable orientation
toward politics or even toward life-situations of alI sorts. Tbird, individuaIs
vary in their information about the political system-how it operates, the
decisions being made, what the outcomes are Iikely to be, how probable
this or that event is, aod 50 00. Fourth, individuaIs vary in the ways they
ACTUAL AND POTENTIAL INFLUENCE 275
identify themseIves with others: the people who matter most to one per-
son are almost certain to be dilferent from the people who matter most
to anyone eIse.
There are also important variations in the obfective situations of dif-
ferent individuals. It is usefuI to distinguish diHerences in objective
situations according to their generality. Some objective diHerences are
reIatively specwc to a given situation. The Hill neighborhood directly
adjacent to the metal houses was a specwc neighborhood composed of
specwc individuaIs. The merchants on the west side of Church Street
who had to relocate their businesses were specwc merchants. It is in no
way mysterious that the people who reacted most strongly to the metal
houses were families in the Truman Street neighborhood, nor is it surpris-
ing that the merchants who organized an association to protect their
interests were on the west side of Church Street rather than the east side.
Some objective dilferences, on the other hand, are general to a wide
variety of situations: being poor or rich, well educated or uneducated, a
prpfessional man or an unskilled laborer, living in a sIum area or a middIe-
cIass neighborhood-these are diHerences in objective situations of a
more persistent and general sort that are likely to show up in a variety
of different ways over a long period of time.
Because of these specwc and general diHerences in the objective situa-
tions in which individuaIs are pIaced, dilferent actions of govemment
afIect different peopIe in dilferent ways and to dilferent degrees. To be
sure, differences in objective situations take on meaning for an individual
onIy as they are translated into the kinds of subjective factors mentioned
above, such as values, predispositions, information, and identWcations.
ConsequentIy, individuals in the sarne objective situation may not respond
in the sarne way because they have difIerent subjective interpretations of
the situation. Nonetheless, the objective diHerences in individual situa-
tions are frequent1y so great that they largely explain why subjective
differences arise.
But they do not wholIy expIain why, for it usuaIIy tums out that no
matter what kinds of objective characteristics one uses to cIassify people,
everyone in the "sarne" objective situation does not happen to respond
in the sarne way. Because some variations in human behavior are always
Ieft unexplained by factors in the objective situation, one must conclude
that the subjective life of the individual has a style and pattem often con-
nected onIy in loose fashion to bis "objective" situation.