CPI Flashcards

1
Q

What is the definition of politics?

A
  • making authoritative (binding + compulsory) and public (whole society) decisions
  • acquiring and exercising power
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2
Q

Which three types of comparative politics are there?

A

• Study of single countries
Study of foreign countries, case studies: Spanish politics, German politics, …

• Methodological
Establishing rules and standards of comparison
Description + prediction, conceptual – logistical – statistical techniques of analysis

• Analytical
Combination empirical and methodological: identification + explanation differences, explanatory

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3
Q

What is compared?

A

Political systems at national level compared, but also: sub-national + supra-national.

Comparison of single elements or components rather than the whole system

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4
Q

Describe Comparative Politics before WII

A

focus on state, institutions, bureaucracy of Western Europe and North America

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5
Q

Describe Comparative Politics between 1920 - 1960

A

–> Golden age comparative politics: behavioural revolution, away from institutions
New regimes (communist, fascist) + de-colonization, couldn’t be understood in narrow categories of
western institutions
- new categories + concepts: attention to ideologies, belief systems, …
-Conditions for democratic stability? Political culture? Social capital? Traditions of authority?

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6
Q

Describe Comparative Politics since 1960’s

A

-Anglo-Saxon bureaucratic supremacy questioned, other forms also viable. No competition between elite but consociational pattern, amicable agreement, accommodation

  • Broader geographical scope and historical experiences
    • Increased variety of political systems
    • Agencies > institutions
    • New methodology

-Analysis of behaviour and roles based on empirical observation
Extensive global large-scale comparisons
Statistical techniques of analysis + systematic data collection, archives, …

• New framework: systemic functionalism

Travelling problem: concepts and categories applied to cases different from those around which they
have originally been created other meanings + misinterpretation
No more focus on state but general and universal categories: no more ‘state’ but ‘political system’

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7
Q

Describe Comparative Politics going back to institutions

A

Transcultural and transportable concepts: extreme high level of abstraction
Understanding of concrete cases impossible counter-reaction in 1967
• Shift of substantial focus: bringing the state back in (book p.8 table I.1)
• Narrowing of geographical scope: grounded/middle-range theories
• Change of methodology: case-oriented analysis: from N to n
• Theoretical turn: rational choice theory: from sociological to economical influence
Actors are rational, order alternative options, maximize utility

Did not lead to redefinition op COP because doesn’t offer a metatheory specific to politics
Institutions constraint actor’s behaviour

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8
Q

Describe development of methods in Comparative Politics.

A
  1. A variety of methods
    Intensive or extensive – synchronic or diachronic – cross-sectional or functional – longitudinal
    Similarities or differences
  2. From cases to variables…
    Behavioural revolution: more cases, more data, new indicators quantitative
    From intensive to extensive research, from n to N variable-oriented
  3. … and back to cases
    Back to n, case-oriented research
  4. From aggregate to individual data…
    Aggregate: available at some territorial level, e.g. voting results
    You don’t know who votes for whom, but you know aggregate result
    Behavioural revolution: statistics may be manipulated large data sets independent from politics
    Surveys to collect individual data, computerization of data
    1950: ecological fallacy: macro data say nothing about micro level
  5. … and back to aggregate data
    More solid than individual-level data for long-term comparisons
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9
Q

Positivism:

A

fact value distinction, observable + verifiable facts, measure, theory, hypotheses

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10
Q

Constructivism:

A

facts socially embedded and constructed, no objectivity, context

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11
Q

Structural functionalism:

A

compare performance functions political system, best models

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12
Q

Systems theory:

A

structure = open system with extensive input + output (Easton)

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13
Q

Marxism:

A

class conflict due to differences political system, dictatorship proletariat

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14
Q

Corporatism:

A

central role state, social interests influence policy

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15
Q

Institutionalism:

A

structures shape politics and behaviour, normative structures

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16
Q

Governance:

A

role social actors in making and implementing decisions

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17
Q

The 5 I’s; Institutions:

A

Understand government performance, seek to improve, focus on structures and institutions
Differences in constitutions, law, formal structures, … to predict performance of government
Individualistic: differences due to individual choices and not due to institutional differences
Decisions are product of member’s preferences

Now revival of institutionalism:
• Normative institutionalism: institutions exist of norms + rules, shape individual behaviour
• Rational choice institutionalism: institutions = aggregate of (dis)incentives, influence choice
• Historical institutionalism: role of ideas and persistence, even when dysfunctionality
Initial decision often persists for centuries, even when it turns out bad

Institutionalism explains persistence but not change, stability approach = big constraint

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18
Q

The 5 I’s; Interests

A

Interests that actors pursue through political action, ‘who gets what?’

Rational choice theory, corporatism (access interest groups to decision-making, be loyal in return)
–> Less conflict than in plural systems

Now: not corporatism but rather networking (connected actors try to influence policy)
Individuals and groups define interests in terms of identity and ethnicity consociationalism

Elites represent different communities
Interests are basis for conflict, institutions must manage conflict

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19
Q

The 5 I’s; ideas

A

Political culture influences politics, measured by surveys

Culture = tension hierarchy vs equality , liberty vs coercion, loyalty vs commitment, trust vs distrust

Grid (hierarchy) vs group (constraints due to membership group)

Political ideas can be ideologies: communism, fascism
But: no clash of ideologies but of civilizations, religions, cultures, …

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20
Q

The 5 I’s: Individuals

A

Importance of background, recruitment, social roots

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21
Q

The 5 I’s; International environment

A

Economic dependence can create political dependence, influence by UN, World Bank, NATO, …
EU: multi-level governance, globalization, integration

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22
Q

What is a research design

A

The bridge between research question and research answer. It helps you find an answer, while meeting scientific standards.

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23
Q

Descriptive inference:

A

relationship independent & dependent variables based on observation, allows generalization over and beyond the cases of the review
externally valid

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24
Q

Internal validity:

A

descriptive inferences from set of cases correct for most/all cases under inspection

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25
External validity
result also relevant for other cases not in the research
26
Trade-off:
more cases included in analysis, more robust result (external), fewer cases = more coherent conclusion for set of cases included (internal)
27
What are cases?
Units of observation, compared at certain level of measurement : individual (unit) or group (level) Observations: values of a variable under investigation Two-dimensional matrix: variables in columns, cases in rows
28
What are intensive strategies
Intensive strategies: many variables, few cases (analysis few consociational democracies that exist)
29
What are extensive strategies
few variables, many cases (analysis of welfare states) | Longitudinal analysis: if time is a relevant factor
30
When is longitudinal analysis a good design?
When time is an important factor
31
What is a single case study?
No external validity, but used for post hoc validation: check if findings hold up in more detailed analysis or to study a deviant case, pilot for generating hypotheses, confirming theories.
32
What is close universe?
Few cases compared at different points of time, based on external change (war, new law)
33
What is cross-section?
Several classes compared simultaneously, constant circumstances but variables vary
34
What is pooled analysis?
Pooling cases across time and systems cases too much alike, no meaningful differences
35
What is experimental variance?
Variance of dependent variable across cases and/or over time | No variance = impossible to tell if variable makes a difference or not
36
What is error variance?
Random effects unmeasured variables select variables carefully + increase number of cases
37
What is extraneous variance?
Control extraneous variance: no control for other influences = possibility that relation is caused by another (unknown) cause due to omitted variables Spurious relationship: third variable affects both independent and dependent variable
38
What is conceptual stretching?
Concept developed for one set of cases, extended to another set of case with other features Sartori’s ladder of generality: more extensive = less intensive less validity
39
What is Galton's problem?
Observed difference and similarities caused by exogenous factor common to all selected cases Explanation corrupted by a common cause not included in the research answer
40
What are ecological fallacies?
data measured on aggregated level used to explain individual or group level behaviour
41
Explain democratizion in waves:
First: 1826-1926, countered by fascism and authoritarianism in 1920s-1930s Second wave after WW II, reversed in 1960s-1970s. Third wave from 1974 (Portugal), explosive waves after the fall of the wall
42
What is Neo-institutionalism
Since 1980s: institutions as independent variables, direct impact on outcomes and behaviour, regardless of social and economic context lot of variation, potential capacities, different impact on performance, effectiveness and legitimacy why do some systems perform better than others?
43
Procedural definition of democracy:
organisation, representation, accountability, legitimacy | Free competition for a free vote
44
Substantive definition of democracy:
goals + effectiveness
45
What is polyarchy
Dahl: no democracies but polyarchies: elected officials, free and fair elections, inclusive suffrage, right to run for office, freedom of expression, associational autonomy, alternative sources of info Schmitter: democracy = system of governance, rulers are held accountable for their actions in public domain by citizens acting indirectly through competition and cooperation of elected representatives
46
Thin version democracy (Schumpeter)
democracy almost solely about elections Actual participation in political life by at least some of the civilians
47
Thick version of democracy
constitutional guarantees + control on executive power | Enforceable set of rights and opportunities, right of association + belief + freedom expression
48
What is an illiberal democracy?
popular democracy + government by people combined with restrictions and limitations on individual freedom and rights. Formal establishment of democratic electoral process, but shortcoming in constitutional liberties and limits on arbitrary exercise of executive power Strongly majoritarian, voters expected to be passive cheering audience, remarkably enduring. New democracies only democratized in terms of elections, not constitutional and in liberties Better if first constitutional rights are established and only then participation rights 40% of countries have both nowadays (score 1-2 on Freedom House scales) Nowadays: liberal and democratic, or illiberal and non-democratic (very few combinations left)
49
First milestone: incorporation
Mass citizenry admitted into political society, right to participate by voting Restrictions before universal suffrage: * Census voting: only wealthy people * Capacity voting: only educated people * Race: only white males * (sometimes) plural voting: rich, educated people had more votes
50
Second milestone: representation
Right to organize parties + participate on equal level | Voting systems proportional since success new parties, to avoid socialist dominance
51
Third milestone: Organized opposition
Right to appeal for votes against the government, to ‘throw the rascals out’ Achieved when executive is fully responsible to the legislature and can be dismissed by majority Full scale alternation very rare because of coalitions in multiparty system << >> two-party system: total alternation very frequent, opposition clearly defined and mobilized
52
Paths of democratization: liberalisation
right to be represented and to mobilize opposition
53
Paths of democratization: Inclusiveness
participation and voting
54
What is hegemonist inclusiveness?
fascist and communist regimes
55
Zakaria on participation:
constitutionalism should precede participation Otherwise, it may lead to the establishment of an illiberal democracy Path and pace define durability and sustainability of democratization
56
Majoritarian vs consensus democracies
Social and cultural divisions could be tempered by certain types of political institutions and behaviour Working multiparty systems in e.g. Belgium control highly conflictual cleavages by consensus-seeking Only applicable to societies with fragmented political cultures 1980s: distinction majoritarian vs consensual democracies, geographically wider applicable • Majoritarian: limitless power to winner, exclusive power, authority hardly constrained • Consensus: power shared, minorities included, limited by courts + chambers, decentralized Problem: many mixed forms, very difficult to make a good typology
57
Decentralist vs centripetal democracies
Decentralist: diffusion of power, broad political participation, limits on governmental action, separation of powers, strong limits on executive authority, fragmentation of power USA Centripetal: inclusive authoritative institutions, responsible party government, strong unified government, majoritarian + PR, centralized interest groups, well-organized parties Sweden Both result from mixed Lijphart’s mixed cases
58
The problems of holistic models...
Attempt to model democracies as whole systems Lijphart prefers consensus, Gerring prefers centripetal, both give same weight to different features Problem: not one democracy is totally one type, all are mixed forms Postcommunist democracies: wanted to build state and ensure survival at same time Double-headed strategy leads to different institutional arrangements Also cross-national learning and porous borders more and more diffusion Democracies not closed or self-containing systems , never completely coherent systems
59
What are dictatorial monarchs?
Ruling monarch = personal dictator << >> reigning monarch = constitutional + ceremonial Only left in Middle East, not due to tradition because created after WW I Why endurable? - Rentier state, exploit rents from oil industry, no taxes no need for representation - Dynastic monarchies: no primogeniture, can put someone powerful in place Very large families, engage in military, government, civil service take all key posts Desert democracy: lack democracy compensated, possibility to say grievances personally to monarch
60
What are monarchical dictators
Personal dictators ruling for life (Mao) and succeeded by son or brother No agents of military or party, degree of independence and autonomy --> loose principal-agent Sultanism: not ideological, buying off key persons + intimidating --> privatization of public power Presidential monarchy: personal dictators, institutionalize their rule in monarchical post of president Pinochet, Assad, Castro, Kim Il Sung, Ceausescu Populist presidential monarchy: autogolpe / self-coup of “elected” president Corrupt elections, but claims to be installed by people and to be legitimate (Chavez)
61
What is military rule?
Rule by distinctive organization: own uniforms, barracks, career construction, legal system Very unstable, lifetime of years (exception: Burma) • Open military rule Military coup results in junta acting as country’s supreme government
62
What is a disguised military rule?
Civilianized: “ending” of military rule by installing president (which belongs/belonged to army) Indirect: control behind scenes, continuously or intermittently (only budgets and security)
63
What is an one-party rule
More long-lasting, through dictatorial party after revolution or corrupt elections But: one-party state =/= one-party rule --> may be instrument of authoritarian military or monarch • Communist: often disguised personal dictatorships, only core survived (China, Vietnam, Laos) • Third world: African one-party systems after decolonization Won elections, then abused power, overthrown by military coups or evolved in dictatorships
64
Reason to rule: Religious
Claims to rule by ‘the grace of god’ or ‘the divine right of kings’, now only in Middle East + Vatican 1979: Islamic republic in Iran, ayatollah Khomeini in power, veto laws that distort with Islamic law Supreme religious judge + leader of revolution that outranked president of state --> spiritual leader
65
Reason to rule: Ideology
No tradition like religion, so use of media, education system, mass-mobilization, youth, unions, ... - Leader claims prophetic legitimacy - Party claims ideological right to rule Military ideological rule only in Egypt (Nasser) and Libya (Gadhafi) but not successful in general
66
Reason to rule: Democracy
Democratic claim takes institutional form: use institutions or prepare to (re)introduce them after military coup after corrupt, undemocratic, incompetent government Claim that their power is temporary and preparing way for democratic rule Sometimes institutions held to keep form of legitimacy (Reichstag held under Hitler) Mostly only semi-competitive elections
67
What is totalitarianism ?
Mussolini: everything in the state, nothing outside the state, nothing against the state Change human nature through totalitarian organization of all aspects of life Internal control of hearts and minds, external control by secret police Mass organizations for youth, workers, leisure activities, personality cult (North-Korea)
68
What is authoritarianism?
Four differences with totalitarianism - Presence of limited political pluralism - Absence of ideology used to guide the regime - Absence of intensive or extensive political mobilization - Predictably (instead of arbitrary) leadership by small group or individual
69
Dictatorships: exercising control
Secret police force against potential or actual disloyalty, junta + martial law (in military regimes) Political parties used to gain support and making facade
70
Dictatorships: policies
Often very alike with democracies Distinctive cases: Nazis’ anti-Semitic policy – collectivization in Soviet Union – great leaps in China Different social policy: Middle East women’s discrimination
71
Dictatorships: Extinction interpretation
Authoritarian regimes = political dinosaurs in democratic world Have evolved in new species and subspecies but won’t survive
72
Dictatorships: Evolution interpretation
Continuous survival highlights complexity, may survive and flourish again in 21st century
73
What is presidentialism?
- Direct or quasi-direct popular election of the president for a fixed period - The head of state is identical with the head of government - President is not politically accountable to the legislature - Appointment of government members by president (mostly with the consent of the legislature)
74
What is parliamentarism?
- Head of government is different from head of state - Most parliamentary systems allow for parliamentary dissolution by the head of state (typically on the prime minister’s or government’s proposal) - Election of the prime minister by Parliament in some countries (Spain, Germany); appointment by the head of state (Italy, Ireland); or speaker of Parliament (Sweden), with subsequent vote of confidence in other countries; appointment by the head of state without obligatory vote of confidence (UK, the Netherlands) - Prime minister and cabinet are politically accountable to the Parliament (vote of noconfidence possible); ; some country require a constructive no-confidence vote (replace sitting government)
75
What is directorial government?
- Switserland: Federal Councils consist of 7 individuals who are elected individually by Parliament for entire term of Parliament - Federal president = head of government and state ! cabinet members rote presidency between them on annual basis - Government is not politically accountable to Parliament
76
Government: Directly elected prime minister
- Israel (1996-2003): prime minister elected with absolute majority - Cabinet nominated by the prime minister but required a parliamentary vote of confidence - Prime minister politically accountable to Parliament, but vote of no-confidence possible to dissolve Parliament and led to elections of both the prime minister and Parliament
77
What is semi-presidentialism?
- President directly (or semi-directly) elected - President appoints cabinet - Cabinet is politically accountable to Parliament - President can dismiss the cabinet and/or dissolve Parliament
78
What is a presidential government?
- All executive power in a single, directly (or quasi) elected politician for a fixed term - President directs composition of government (= sovereignty)
79
What is a cabinet government?
- Represents traditional operating mode of parliamentary government - Britain 1850: cabinet = creation of the monarch (keep control over decisions and agenda) - Gradual increase of government tasks: less decisions by cabinet – decisions became formal (only ratifying what was decided between ministers) - Nowadays: post-classical cabinet government: deliberates and decides important issues + functions as a court of appeal
80
What is a prime ministerial government
- Monocratic decision-making by the prime minister - Used is Britain after cabinet government - Dominant role of prime minister: three different modes: 1 Generalized ability to decide policy across all issue areas in which the prime minister takes an interest 2 By deciding key issues which subsequently determine most remaining areas of government policy 3 defining a government ethos or operating ideoloigy which generates predictable and determinate solutions to most policy problems, and constrains other ministers’ freedom or make them agents of prime minister’s will - Difference with presidential government: president had constitutional right to Monocratic decision-making, terms are fixed, are unassailable
81
What is a ministerial government?
- Instead of concentrating power in prime minister (after cabinet government): dispersed among individual cabinet members - Decisions mostly only ratified by cabinet - Ministers are ‘policy dictators’ within their own domai
82
Models of government and cabinet coalitions in parliamentary systems:
``` - Coalition governments in parliamentary systems have typically developed more complex decision modes (due to influence of the parties) ```
83
Control party: party programmes
clearly state the intentions of the party + specify appropriate means to the desired ends
84
Control party: Selection of cabinet members
party control of the cabinet in the form of cabinet members who act upon party values
85
Control part: Permanent control of the party over the cabinet
parties want to exercise permanent control over their ministers in order to influence government 3 ideal types of party-government relation: - dominance: one of the two dominates - autonomy: government and government parties coexist without exercising influence on each other - fusion: party and government become politically indistinguishable
86
What is presidentialization?
increasing leadership power resources and autonomy within the party and the political executive respectively and increasingly leadership-centered electoral processes
87
What is a divided government?
the presidency is held by one party and at least one chamber of Congress is controlled by another party
88
What is an unified government?
when everything is under the control of the same party
89
What is a majority government?
at least 50 per cent of the seats plus one able to enact political programma
90
What is a minority government?
less than 50 per cent Minority can govern: they can divide the opposition by policy proposals at the center of policy space, but is more difficult than majority governing
91
What are single-party governments?
advantage that no party line of division runs through the government, government goals will be relatively uncontroversial internally + are likely to have strong leaders who can overcome internal difficulties
92
What are coalition governments?
need to satisfy at least some of the ambitions of each of the government parties
93
What are three Characteristics of the bureaucracy (Weber):
- Personnel: receive a fixed salary and earn pension rights in return for their services and are promoted on basis of seniority - Organization: specialization, training, functional division of labor, well-defined areas of jurisdiction, and a clear hierarchy - Procedure: impersonal application o
94
Name some problems of bureaucy?
- Becomes inefficient when decisions need to take into consideration the individual characteristics of the cases to be decided. - Groupthink: the unconscious minimizing of intra-organizational conflict in making decisions at the prize of their quality, which can lead to disaster - Bureaucrats have the goal of increasing their budgets (Niskanan) - The effort bureaucrats bring to their job, options: *work in interest of their principal (no agency problem) *leisure-shirking: work less than expected (stereotype of civil servants) *dissent-shirking: don’t do their best to implement the policies desired by their principals due to different preferences *political sabotage: the production of negative outputs (civil servants work against the interest of their principal Politician have responded in two ways to their uneasiness with the bureaucracy: establishing spoils systems and introducing New Public Management.
95
What are spoils systems?
the victorious party is free to appoint large layers of the administration after each election, with the jobs going to the party faithful It is democratic in two ways: - Administration shares the political philosophy and helps the politician to live up to the promises made in the campaign - Entrusts ordinary Americans rather than a closed elite of professional bureaucrats with the business of government -->US has maintained a large degree of spoil systems ADVANTAGE: provide politician with administrators who are committed to the government goals DISADVANTAGE: appointees haven’t got enough knowledge about the organization + environment, and do not know each other government of strangers
96
What is new public management?
- Personnel: top positions open to outside candidates, fixed-term basis, salaries equal to private sector and payment is tied to performance - Organization: splitting large bureaucratic units into smaller ones and allowing competitions between different public sector units or even with private sector units - Procedure: accountability is based on the civil servants performance in attaining the agency’s goals public sector managers are expected to engage in managerialism and entrepreneurship Greatly enhance the potential for political control over the bureaucracy CRITIC: deprofessionalization and politicization of the bureaucracy
97
What are electoral regulations?
Some countries lowering age (Austria + Brazil, 16 years). Generally voluntary (not: Belgium+Australia) Why compulsory? Voluntary voting = related to socioeconomic status, compulsory yawns the gap Ballot access: most countries require financial deposit ---> disadvantage for small parties / candidates Terms of parliament and presidents are mostly fixed
98
What is single-member plurality?
Single-member constituencies: strongest party wins the seat --> majoritarian, first past the post
99
What is an alternative vote?
Rank candidates: 1 beside first choice, 2 beside second, ... --> Majority? Candidate elected << >> No majority? Lowest eliminated, ballots redistributed according to second preference
100
What is a two-round system?
No majority in first round? Second round with top 2/3
101
What is proportional representation?
Multi-member constituencies: seats shared among parties in proportion to votes Simplest way: country is one large constituency 16% votes = 16% seats --> very proportional But: no local MPs country divided into constituencies for local representations List systems: party presents list of candidates Mixed systems: voter casts two votes: for local MP and for party list - Compensatory mixed system List seats rewarded to rectify under- or over-representation in constituencies, ensuring that party’s overall number of seats is proportional to its vote share Small parties win hardly seats, but receive appropriate number of list seats Big parties win more than fair share but receive no list seats because constituency seats already brings them to the total number of seats they are entitled highly proportional - Parallel mixed system List part and constituency part separate, list seats awarded purely on basis of list votes, no account of what happened in constituencies benefit for large parties which retain over-representation Single transferable vote: logic of alternative vote in multimember constituencies Second vote mostly cast to another member of same party (Malta + Ireland)
102
What is district magnitude?
Number of MPs elected from each constituency The higher the district magnitude, the more proportional The more seats, the more fair the distribution can be
103
What is intra-party choice?
Extent to which voters decide which of their party’s candidate take the seats the party wins Single-member: no intra-party choice because only one candidate PR: closed lists << >> preferential lists: even bad position can get you elected
104
What are threholds?
3-5 % = normal, Netherlands = 0.67 %, Russia = 7 %
105
Consequences of electoral systems:
Duverger’s law: single-member plurality system = two-party system << >> PR = multiparty system Coalitions in PR, not in non-PR PR = better representation, more women elected, no over-representation of party Non-PR: probably two-party stable, easy to judge + overthrow
106
Three types of referendums:
- Mandatory or optional - May take place at request of number of voters (initiative) or of a political institution - Decision-promoting or decision-controlling: abrogative (strike down existing law) or rejective (prevent proposal to pass in law)
107
Referendums: Process-related arguments
- Certain policies only fully legitimated by their endorsement in a referendum give mandate - Participation is good in itself and educates voters about issues
108
Referendums: Outcome-related arguments
- More opportunities to participate = more opportunities for exclusion = worse outcomes - Mass = ignorant, bad decisions, highly influential, can disturb social balance Rules to prevent lots of ‘stupid’ referenda: - Legislature mostly decides if referendum takes place and on what issue --> veto items on agenda - If voters can trigger themselves, judicial body can take veto role - Double majority needed in federal countries (majority of voters + majority in both federal units)
109
Voting behaviour at referendums:
People often don’t vote issue but to punish party, policy, fear for Polish plumber, ... second-order
110
Nation-state throughout history:
The nation-state is the ‘modern’ form of political organization. Before the nation-state, there were other forms of territorial organization. e.g The Holy Roman Empire. The nation-state has changed significantly. If the nationstate has meant a certain form of territorial governance, then there are important consequences for territorial governance.
111
Important revolutions in 18th century (that led to modern state)
1. The industrial Revolution and the England constitutional revolution lead to the United Kingdom of Great Britain and Ireland ( Multinational Union State). 2. The American Revolution lead to the United States of America ( first as a confederation, then a federation) 3. The French Revolution lead to the Unitary State ( characterized by unity and indivisibility) -> Each of these state forms will be imitated by almost all other modern nationstates. -> The French Revolution left another legacy to political thoughts and practice: nationalism. Nationalism is an ideology based on the assumption that nations ought to have states and states ought to be co-terminous with nations.
112
Establishment of welfare states:
began before WWII, but which reached its peak in the post-war period, may be seen as the final stage of nation-state building. In order better to collect resources from the wealthier sections of society and stronger economic regions and redistribute them to the weaker sections and to underdeveloped regions, the state found it necessary to centralize. The implication for territorial political organization was that central- logic relations took on the form of a ‘principal-agent’ relationship: sub-national authorities, whether regions or local governments, increasingly became the ‘agents’ of their ‘principal’ ( the central state), in the delivery of these services. Fiscal policy was controlled by the central government -> less local fiscal autonomy.
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The crisis and reconfiguration of the welfare state (1970-90’s):
The welfare state and the old industrial capitalism which underlay it, went through a serieus of crises and important transformations. The state was reconceptualized less as a top-down, directive agency capable of bringing about the common good and realizing extensive welfare policy goals and more as a stimulator from below of the forces of society and the economy that can achieve these themselves.
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Asymmetrical diversity vs symmetrical diversity
We can distinguish political, administrative, and fiscal symmetry and/or asymmetry. There is today a general tendency to increase asymmetrical diversity of all three kinds, although the combinations vary in different countries.
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Two: arguments against the decentralization of control over local funding.
a) ‘only central governments could achieve local economic efficiency through policies of fiscal equalization and redistribution’ b) (known as fiscal federalism) local fiscal autonomy is necessary as a way of increasing the accountability and responsiveness of sub-national governments. Fiscal federalism was based on the idea that citizens could choose from among a variety of services by moving residence from one authority to another -> this can lead to the optimal allocation of resources in a market situation and to local authorities adapting services to local circumstances. ( more in the US than in EU)
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Difference between the choice- and agency-model:
In the choice model, local authorities are seen as being best placed to make decisions that reflect the needs and preferences of their local communities. In the agency-model, local authorities are seen first and foremost as agents carrying out policies on behalf of the principal central government). One of the underlying causes of the crisis of the welfare state model was the ‘fiscal crisis of the state’ or the inability of the state itself to fund the ever-increasing demands of its own policy programs. Thus, under the first casualties of the crises were the local authorities themselves. Most countries combine the agency and choice-model, though most tend to emphasize one or the other as the dominant tendency. This combination of models leads to a great deal of variety in fiscal arrangements of European states, but one overall trend has been the increase in grants from the central governments and a decrease in ‘own recources’ (local taxes and fees). Local autonomy may retain a certain amount of fiscal autonomy if they have discretion over how the grants are used.
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What is an federal state?
an association of states, which has been formed for certain common purposes, but in which the member states retain a large measure of their original dependence. Prototype : US. Certain powers are exercised by the federal or ‘general’ government and other by the ‘regional’ or constituent states. Each government is supreme in its own sphere. In this model of ‘co-ordinate federalism’ the powers of the federal government are circumscribed by the constitution and the remaining ‘residuary’ powers may be exercised by the regional governments. Neither government may intervene in the sphere of the other.
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Decentralization:
Decentralization can be political or administrative. Political decentralization means the transfer of decision-making powers from the central state to any of the subnational levels of government. We need to distinguish regionalism and regionalization, from political decentralization. Although the establishment of political regions is always a form of decentralization, the latter does not always mean setting up regions. Political decentralization is not the same as administrative decentralization. Administrative decentralization means the transfer of some administrative functions to sub-national levels of the administration. It is the central organs of the administration which remain in control of policy-making and administrative behavior.
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What is ‘meso-level’ of territorial governance?
The level that exists between the national and the local level. In federal states, the component units of the federal level are the meso-level, and their position defines the nature of the federation. The larger unitary states, such as France, have found it necessary to set up meso-level governments ( eg: regions in france and Italy) e.g. Italy adopted the regionalized model which distinguished between ‘special’ and ‘ordinary’ regions. ‘special regions’ were distinguished by their geographical/ cultural features(Island of Sicily) or linguistic/cultural specificity. European integration did add a new element to these processes of strengthening regions, especially with the upgrading of EU regional policy in the form of the Structural of Cohesion funds. This lead to a vast mobilization of regional and local authorities in the hope of obtaining some of this manna from heaven. This strengthened the position of the regions within the large unitary states, who could argue that regionalism and regionalization were the appropriate forms of contemporary European governance.
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Local government:
All states, with the exception of the Vatican, possess a level of local government but there is a great deal of variation in its position within the overall system of government. One important difference is between the unitary and federal state. In federal states, as a general rule, local government does not have a direct relationship with the federal government but with the sub-federal mesogovernment. In unitary states, there is usually a direct relationship between the central and local levels. However, in some cases, the body occupying the ‘meso’space (the region or the autonomous community) is the hierarchical superior of the local authorities. This has led to a regionalist centralism ( Belgium) which may infringe the local autonomy.
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The origins of parties:
Since 16th-19th: notion that coordinated action is more effective than solo action Intra-parliamentary parties, developed leadership cadres and became active in electoral campaigns Took control from monarch and put it in parliamentarian hands Rise of parties =/= democratization: still elite club, no universal suffrage, ... Need to mobilize large numbers of excluded to support leaders --> extra-parliamentary parties Broadened suffrage, turned liberal regimes in liberal democracies ``` Intra-parliamentarian: represented upper class and upper middle class Extra-parliamentarian: represent middle class and lower classes ```
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Function of parties: coordination
-Within government Maintain discipline and communication within parliamentary caucus Coordinate action of parliamentary caucus in support/opposition to cabinet -Within society Organize political activity of like-minded citizens Between government and society Pattern linkage between representatives in public office and organized supporters
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Function of parties: contesting in elections
- Provide candidates, link them to symbols, histories, expectations of team-like behaviour - Develop policy programmes - Recruit and coordinate campaign workers
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Function of parties: recruitment
-Selection of candidates for elections -Recruitment of candidates for appointed office Integration of new citizens into existing political system
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Function of parties: representation
- Speak for members and supporters within government agencies - Organizational embodiment of demographically or ideologically defined categories of citizens
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What are cadre or elite parties?
Highly restricted suffrage, MP had own personal clientele, didn’t need mass support or party office Worked together for common goals, grew + sometimes elaborated local organizations + coordination Heart of organization = MP with personal campaign and support organization, for ‘national interest’
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What are mass parties (1850-...)?
``` Extra-parliamentary, core of leaders organize party central office to win elections + gain public office Represent interest of particular group or class that were excluded from power ``` Strategy of encapsulation: organizations as women’s groups, after-work clubs, trade unions, services Extensive organization required: formally defined membership + payment of fee required National congress = highest decision-making body, chairman or president elected Iron law oligarchy: leads to domination by party elite
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What are Catch-all parties?
Same idea mass parties, but organized as supporters of party in public office rather than as its master Social breakdown, spread of mass media, social groups not large enough, ... -Reduction in role of members relative to professionals -Shedding of ideological baggage -No more interconnection between party and interest organizations -Strategy across group boundaries for votes and resources Parties professionalized (consultants, pollsters), membership superfluous
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What are Cartel parties (1975-...)?
Catch-all under pressure: increasing public debts --> choice between taxes or cuts in welfare spending Globalization, growth of interest groups, ... brought pressure on parties and state Less party loyalties and memberships: change to cartel parties - Mainstream parties form cartel to protect themselves from electoral risks + supplement resources with state subventions - Parties become agencies of state instead of agencies of society - Preserve internal democracy, increase power of members and disempower part activists - Professional expertise > political experience & activism
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What are anti-cartel parties?
left-libertarian / new right / movement parties Expect deeper commitment from members, organized around an idea. Frustrated that substantive outcomes don’t change because all parties are mainstream + in grey zone Parties more interested in protecting own privileges than in advancing interests of ordinary citizens
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What are business-firm parties?
Cfr. Berlusconi: party sponsored by corporate empire and staffed by its employees Lightweight organisation, mobilises short-term support at election-time
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Parties in the US:
Look like old cadre parties: cases of arrested development - Weak central organization - Focus on individuals rather than institutions - No formal membership organization But: regulated by law + mass membership to select the candidate (primaries) organized by state Registrants free to do so, party can’t control them
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Membership political parties:
Original parties: only MPs as members, now all modern parties have membership Individuals who have applied or inescapably via trade unions (mostly with social parties) General decline in party membership, members cost more than they are worth Couch party: so few members that they could all sit on one couch
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Regulation political parties:
Party laws, sometimes embedded in national constitution, regulate following things: - Centrality of parties to democracy (justification for giving them special rights) - Power of parties + definition of party - Administrative convenience or necessity Once registered, some privileges: eligible for tax credits, name on ballot, half of expenses paid back
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Finance political parties:
- Bans on particular forms of spending: buying advertising time in broadcast media - Limitations on total spending: depend on size of electorate - Disclosure of spending: provide transparency Regulation of fundraising: Prevent wealthy individuals / groups from exercising undue influence over parties --> easily avoidable Difficult to define what contribution is, where it comes from, ... Public subventions Benin tax systems, direct provision of goods and services, direct financial subventions
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Party system = result of competitive interactions, three main elements:
- Which parties exist? Why do all systems have socialist parties but not agrarians? --> origin - How many parties exist and how big are they? --> morphology / format - How do parties behave to maximize votes? --> dynamics Pluralism needed with free elections (not like China or Syria)
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GENEALOGY OF PARTY SYSTEMS: The national and industrial revolutions 1850-1920:
Socio-economic and political changes - Industrial revolution: changes by industrialization and urbanization - National revolution: formation nation-states (homogenous + centralized) + liberal democracy Social groups, values, interests and elites opposed: modern parties = political translation of divisions
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GENEALOGY OF PARTY SYSTEMS: Cleavages and their political translation
• National revolution -Centre vs periphery Political power, administration, taxation systems centralized, national languages + national religion Resistance in regionalist parties (Basque, Catalan, Scottish, ...) -State vs church Promotion of secular institutions, individualism and democracy, against huge role of church Liberals against conservatives • Industrial revolution -Rural vs urban Landed rural interests against rising class of industrial and trading entrepreneurs Focus on trade policies: protectionism (agrarians) vs liberalism (industrials) -Workers vs employers Industrial entrepreneurs who started revolution vs working class resulting from it, capital vs labour Caused geographical mobility, changed production mode, social rights and welfare state • International revolution -Communism vs socialism Revolution necessary or not? Acceptance of Soviet communist party as leaders? Reaction against radicalization working class = fascism --> nation > class • Post-industrial revolution -Materialism vs post-materialism Between generations over socio-political values: tolerance, equality, environment, freedom, peace, .. << >> materialists: security, law & order, protection private property, tradition, authority Globalization cleavage Economic defensive attitudes, anti-immigration, xenophobic, ...extreme right wings
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Why are there no socialist parties in US?
- Open frontier: geographical + social mobility, workers moved in search of good conditions - Dominance republicans + democrats made rise of third party difficult - Working class white men allowed to vote and were integrated in political system - No feudalism, no aristocracy working class similar to European bourgeoisie
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GENEALOGY OF PARTY SYSTEMS: Variations in cleavage constellations
Space Not all cleavages everywhere, country-specific, determined by - Differences in social structures, ethnicities, religious groups, class relations - Extent to which socio-economic and cultural divisions have been politicized Homogenous: one predominant cleavage --> left-right Heterogeneous: various cleavages overlap or cut across one another (Belgium) Time Freezing hypothesis: reflect original conflicts Voters get strong identities, hardly room for new parties, hardly volatility between left & right
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What are dominant party systems?
One very large party dominates all others with large majority over several decades Free elections, but everyone votes massively for one party, no power alternation, no coalitions
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What are two party systems?
Two fairly equally balances large parties, alternation in power after almost each election Comparable sizes, equal chances in winning. Other small parties not needed to form government FPTP system, plurality = ideological moderation = similar programmes
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What are multi-party systems?
Most frequent type, from 3 to 10 parties, small and large parties, coalitions No ideological moderation, government change mostly through swaps of coalitions Better representation of socio-political pluralism, stable, functioning, peaceful Moderate multi-party systems Less than 5 parties, moderate visions, all coalitions possible Polarized multi-party systems Ideological distance, not all coalitions possible, some excluded and always in opposition One centre party which is always in power, not punished electorally because no alternatives
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What are bipolar systems?
Many parties, no majority, coalition already before elections an run as electoral alliances Stable coalitions over time, mostly two great coalitions which alternate (cfr. Two-party systems)
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Number of parties:
Numerical rules: based on size: many small parties (fragmented) or few large ones (concentrated) Qualitative rules: based on role: coalition potential vs blackmail potential
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The influence of electoral laws on the format of party systems:
Causes for varying numbers of parties and their size
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What is the market analogy?
Parties maximize votes, actors are rational, seek control, self-interested, appeal to large group Face alternatives, inform themselves, search individual advantages
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What is the spatial analogy
Proximity / distance between individual preferences and party policies (bakery)
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What is the downs-model?
Bell-shape: voters in centre, moderate ideologies | Centrifugal competition: voters to the extremes, ideological polarization
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The wider application of rational choice models:
Party organization: rational choice explains transformation from mss parties to catch-all parties Dealignment: looser relationships parties – society, vague programmes to attract more voters Enfranchisement and democratization: reformist wanted socialist in power through votes PR and multiparty systems: high abstention levels in FPTP More opinion-voters than identity-voters
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Why more and more convergence?
- Development of large homogenous middle class - Reduction of social inequalities + secularization of society - Nationalization and globalization more integration, less ethnic difficulties
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Modes of participation
1. Social movements = streams of activities that target demands at policy-makers through community, street and media events Small formal organizational cores No formal membership 2. Interest groups = activities where participants mainly rely on communicating preferences, demands and threats to policy-makers tends to create durable interest groups Formally organized Explicit membership roles + internal statutes Power derives from the centralization of its internal organization --> Credible commitments 3. Political parties = activities in which participants cooperate in order to nominate legislative candidates, help them attract voters and organize voter turnout Few candidates, reputations and promises voters perspective One core competence: participatory mobilization
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Paradox of collective action:
- People participate in politics to bring about authoritative decisions allocating goods to large groups = collective goods o Collective action paradox People behave as free riders Selective incentives overcome the problem • Private benefits only for participants outweigh the costs --> participation! Solutions: 1. Political entrepreneurs consider participation not as costly 2. Participation as benefit itself 3. Underrate the costs 4. Social networks = monitoring device
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Differences in participation within democracies:
- Political opportunity structure To be able to incorporate new issues? • Multi-party systems: easy But proportional representation: independent mobilization • Two-party system: lack of internal cohesion
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Labour union membership (= interest group) depends on:
o Agriculture urban manufacturing service industries o Political regime o Communism --> economic development policy interest group participation o Ghent system: unemployment insurance by labour unions
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Political organizations and mobilization:
- Actors will invest in collective action only if future benefits justify current expenses 1. Organizational infrastructure that facilitates coordination 2. Process of redefining or expanding the objectives driving the mobilization effort Learning process Temporally discrete objectives/ single issue causes social movements Open-ended and permanent struggles around certain objectives/ specialize range of issues/ limited issue domain --> political interest groups - Political interest groups Are not making authoritative political decisions in democracies But challenge unresponsive politicians forming own political party? • Preconditions for entry: 1. Institutional thresholds 2. The party appeals to a salient issue demand that is not represented by existing parties 3. Strategic deliberation and generalization of political objectives Political causes pursue complex agendas of interdependent issues
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Political participation: Individual
1. Resources: socio-economic skills and endowments Availability of time Schooling/education • Process more information • Self-confidence + sense of individual capacity is higher • More efficient strategies • More developed deliberative processes Impact on income and occupational time sovereignty Promote involvement in civic activities ``` 2. Recruitment Associational involvement • Organization of the work process: class and group milieus Role of the family Age and gender: older + male ``` 3. Orientations Political interest and ideology 4. Contextual cues Micro: networks of family and friends Meso: large, encompassing associations and densely organized parties Macro: democratic institutions, strategic alignments, PR, interaction effects between citizens’ individual resources and complex causal chains that reinforce differentials of participation
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Policies:
government statements of what it intends to do, including law, regulation, ruling, decision or order
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Public policy:
Public policy = a more specific termwich refers to a series of actions carried out to solve societal problems → Public policies are the main output of the political system!!
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Rational model of decision-making:
• Formulates guidance on how to secure ‘optimal’ policy decisions. • “Bayesian learning” → governments update their beliefs on the consequences of policies with all available information about policy outcomes in the past and elsewhere, and choose the policy that is expected to yield the best results. • Involves a number of demanding assumptions: e.g. expactation to have perfect information • “Public choice theory” examines the logic and foundations of actions of individuals and groups that are involved in de policy-making process. (main objects of analysis: voting behaviour and party competition, coalition and government formation, …) • Related to “game theory”
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Setting the agenda:
important source of power as it is policy consequential; but also the ability to exclude societal problems from the policy agenda (non-decisions) is an important source of policyshaping power.
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Agenda-settng: 3 basic policy initiation models
1) Outside-initiative model ⇒ citizen groups gain broad public support and get an issue onto the formal agenda 2) Mobilization model ⇒ initiatives of governments need to be placed on the public agenda for succesful implementation 3) inside-initiation model ⇒ influential groups with acces to decision makerspresent policy proposals, wich are broadly supported by certain interest groups but only marginally by the public → KINGDON: three process streams flowing through the system: problems, policies and politics ~simular to the garbage can model the relevance of chance, the view that agenda-setting represents rational bahviour
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The policy agenda is set by four types of actors:
1) Public officials (president, parliament, …) 2) Bureaucracy 3) Mass media 4) Interest groups 5) (political parties and scientific communities) Agenda-setting is an important source of power ⇒ first mover advantage
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Three main types of voting systems:
1) Plurality-majority system 2) Proportional representation 3) Mixed systems The relation between the legislative and executiveis also of cruscial importance (e.g. parliamentary vs. presidential regimes) LIJPHART (!!) → democratic systems tend to fall in two categories: majoritarian system (concentrates power ans fuses executive and legislative power in the classic parliamentary power) and consensus democracies (sharing power by separating and balancing executive and legislative power)