CPO 2001: Introduction to Comparative Politics

CPO 2001: Introduction to
Comparative Politics
Fall 2012
Michael Bernhard
313 Anderson, Office Hours: TR 9:40-11:00
TAs: Asli Baysal, Buket Oztas, Kendra
Patterson, Sebstian Sclofsky and Tristan
Vellinga
http://www.clas.ufl.edu/users/bernhard/coursepages/cpo2001/cpo2001.htm
INTRODUCTION: WHAT IS
COMPARATIVE POLITICS?
I. THE PLACE OF COMPARATIVE POLITICS IN
POLITICAL SCIENCE.
II. VARIETIES OF COMPARATIVE POLITICS.
A. Specific versus general research questions.
B. Qualitative versus quantitative studies.
C. Longitudinal versus cross-national (latitudinal
comparisons)
III. THE COMPARATIVE METHOD.
IV. IS COMPARATIVE POLITICS A SCIENCE?
Cause and Effect
Condition A gives rise to outcome B
A→B
Necessary Condition:
If not A, then not B
Sufficient Condition:
If A, then B
Variables
Dependent variable (x), changes in response to a
change in the independent variable
Independent variable (y), causes a change in the
dependent variable
x is a function of y
x = f(y)
∆y --> ∆x, but not ∆x --> ∆y (unless they are covariate)
Cases
France 1789
Russia 1917
China 1949
present
present
present
a) A crisis of the old
regime which leads to
the crippling of the
central state
apparatuses of coercion
present
present
present
b) An economic crisis
which creates the
potential for unrest
among the subordinate
social classes, in
this case, the peasantry
present
present
present
A communist party
absent
present
present
Antecedent Conditions
The weakening of the
state in relation to
its major competitors
in the world system,
which creates a need
for critical reforms.
which provokes:
Cases
1905
1917
Conditions
Relative weakness vis-a-vis rivals
present
present
incapacitating crisis of old regime
repressive apparatuses
absent
present
potential for economic unrest
present
present
among peasants
-------------------------------------------------------------------------------------Result
suppression
revolution
Figure 1: Structure of Moore’s Argument Concerning Modernity and Regime-type
Is the bourgeoisie sufficiently
strong to pull down the down the
structures of feudal society?
no
Can modernization be achieved
by means of “revolution from
above” supported by a labor
repressive alliance coalition of
the feudal aristocracy and the
bourgeoisie?
yes
yes
Liberal
Democracy
_______________
France
England
United States
no
Fascism
_______________
Germany
Japan
yes
Communism
Russia
China
With failure of “revolution from
above” does peasant revolution
lead to consolidation of power by
a modernizing revolutionary elite?
no
Persistence of Traditionalism
_________________________
India
POWER, THE STATE, AND
DOMINATION
I. INTRODUCTION
II. POWER
III. DOMINATION
IV. THE STATE
He who is active in politics
strives for power either as a
means in serving other aims,
ideal or egoistic, or as
"power for power's sake," in
order to enjoy the prestigefeeling power gives. (PV, 78)
Power is the probability that
one actor within a social
relationship will be in a
position to carry out his own
will despite resistance,
regardless of the basis on
which this probability exists.
(ES, 53)
Domination is the probably
that a command with a
given specific content will
be obeyed by a given group
of persons. (ES, 53)
There is scarcely any task that some
political association has not taken
in hand, and there is no task that
one could say has always been
exclusive and peculiar to those
associations which are designated
as political ones: today the state, or
historically, those associations
which have been the predecessors
of the modern state." (PV, 77)
...the state is a human
community that
(successfully) claims the
monopoly of the legitimate
use of physical force within a
given territory. (PV, 78)
A "ruling organization" will be called
"political" insofar as its existing order is
continuously safeguarded within a given
territorial area by the threat and application
of physical force on the part of the
administrative staff. A compulsory political
organization with continuous operations ...
will be called a "state" insofar as its
administrative staff upholds the claim to the
monopoly of the legitimate use of physical
force in the enforcement of its order. (ES, 54)
This system of order claims
binding authority, not only over
the members of the state, the
citizens, most of whom have
obtained membership by birth,
but also to a very large extent over
all action taking place in the area
of it jurisdiction. It is thus a
compulsory organization with a
territorial basis. (ES, 56).
Like the political institutions
historically preceding it, the state
is a relation of men dominating
men, a relation supported by
means of legitimate (i.e.
considered to be legitimate)
violence. If the state is to exist the
dominated must obey the
authority claimed by the powers
that be. (PV, 78)
[T]he modern state is a compulsory association
which organizes domination. It has been
successful in seeking to monopolize the
legitimate use of physical force as a means of
domination within a territory. To this end the
state has combined the material means of
organization in the hands of its leaders, and it
has expropriated all autonomous functionaries
of estates who formerly controlled these means
in their own right. The state has taken their
position and now stands in the top place. (PV,
82-3)
THE STATE AS SOVEREIGN
POWER
I. TWO VIEWS OF THE STATE
A. David Easton's economic state
B. Carl Schmitt's military state
C. What's wrong with these pictures
II. THE STATE AND SOVEREIGNTY
A. External Sovereignty
B. Internal Sovereignty
THE EXERCISE OF POWER
I. INTRODUCTION: CLASSIFICATORY
CONCEPTS
II. ETZIONI'S CLASSIFICATION OF POWER
A. Recapitulation: What is power?
B. Coercive power
C. Utilitarian power
D. Persuasive power
Weber's Definition of Power
Power is the probability that
one actor within a social
relationship will be in a
position to carry out his own
will despite resistance,
regardless of the basis on
which this probability exists.
(ES, 53)
Etzioni's Classification of Power
Sanction\reward\instrument
employed
Kind of power
1. Physical
Coercive
2. Material
Utilitarian
3. Symbolic
Persuasive
normative, normative social, social
Sources:
"A Classification of Power," The Active Society, (1968).
"Classification of Means of Control," Modern Organizations, (1964).
THE LEGITIMATION OF
DOMINATION
I. WHAT IS LEGITIMACY?
II. THE THREE IDEAL TYPES OF
LEGITIMATE AUTHORITY.
A. Legal authority
B. Traditional authority
C. Charismatic authority
III. USING IDEAL-TYPES AS A TOOL
OF ANALYSIS
Domination is the probably
that a command with a
given specific content will
be obeyed by a given group
of persons. (ES, 53)
In addition every such system [of
domination] attempts to cultivate the belief
in its legitimacy. (ES, 213)
What is important in the fact that in a given
case the particular claim to legitimacy is to a
significant degree and according to its type
treated as "valid"; that this fact confirms the
position of the persons claiming authority
and that helps to determine the choice of
means of its exercise. (ES, 214)
1. Rational grounds -- resting
on a belief in the legality of
enacted rules and the right of
those elevated to authority
under such rules to issues
commands (legal authority).
2. Traditional grounds -resting on an established belief
in the sanctity of immemorial
traditions and the legitimacy of
these exercising authority under
them (traditional authority); or
finally,
3. Charismatic grounds -- resting
on devotion to the exceptional
sanctity, heroism or exemplary
character of an individual person,
and of the normative patterns or
order revealed or ordained by
him (charismatic authority). (ES,
215)
The term "charisma" will be applied to a certain quality of an
individual personality by virtue of which he is considered
extraordinary and treated as endowed with supernatural,
superhuman, or at least specifically exceptional powers or
qualities. These are such as are not accessible to the ordinary
person, but are regarded as of divine origin or as exemplary, and on
the basis of them the individual concerned is treated as a "leader."
In primitive circumstances this kind of quality is thought of as
resting on magical powers, whether of prophets, persons with a
reputation for therapeutic or legal wisdom, leaders in the hunt, or
heroes in war. How the quality in question would be ultimately
judged from any ethical, aesthetic, or other such point of view is
naturally entirely indifferent for purposes of definition. What is
alone important is how the individual is actually regarded by those
subject to charismatic authority, by his "followers" or "disciples."
(ES, 241-2)
Charismatic rulership in the typical
sense described above always results
from unusual, especially political or
economic situations, or from
extraordinary psychic, particularly
religious states, or from both
together. It arises from collective
excitement produced by
extraordinary events and from
surrender to heroism of any kind.
(ES, 1121)
If proof and success elude
the leader for long, if he
appears deserted by his god
or his magical or heroic
powers, above all, if his
leadership fails to benefit his
followers, it is likely that his
charismatic authority will
disappear (ES, 242).
Every charisma is on the road
from a turbulently emotional
life that knows no economic
rationality to a slow death by
suffocation under the weight of
material interests: every hour
of its existence brings it nearer
to this end. (ES, 1120)
POLYARCHY
I. INTRODUCTION
II. POLYARCHY AND DEMOCRACY
III. CONDITIONS FOR A RESPONSIVE REGIME
IV. CONTESTATION AND PARTICIPATION
V. WHY GOVERNMENTS IN POWER DO NOT
ALWAYS SUPPRESS THEIR OPPONENTS?
OR WHY REGIMES DEMOCRATIZE? TAKE
ONE...
I assume that a key characteristic of a
democracy is the continuing
responsiveness of the government to the
preferences of its citizens, considered as
political equals. What other characteristics
might be required for a system to be strictly
democratic, I do not intend to consider
here. In this book I should like to reserve
the term "democracy" for a political system
one of the characteristics of which is the
quality of being completely or almost
completely responsive to all its citizens. (12).
...all full citizens must have unimpaired
opportunities:
1. To formulate their preferences
2. To signify their preferences to their fellow
citizens and the government by individual
and collective action
3. To have their preferences weighed
equally in the conduct of government, that
is, weighed with no discrimination because
of the content or source of the preference
(2).
Dahl's three axioms on the
toleration of opposition
1. The likelihood that a government will tolerate an
opposition increases as the expected costs of
toleration decrease.
2. The likelihood that a government will tolerate an
opposition increases as the expected cost of
suppression increase.
3. The more the costs of suppression exceed the costs
of toleration, the greater the chance for a
competitive regime (16).
Reconstruction of Table 1.1: "Some Requirements for a Democracy
among a Large Number of People
To formulate their preferences:
1. Freedom to form and join organizations
2. Freedom of expression
3. Right to vote
4. Right of political leaders to compete for support
5. Alternative sources of information
To signify their preferences to their fellow citizens and the government by individual
and collective action
1 - 5 above, plus:
6. Eligibility for public office
7. Free and fair elections
To have their preferences weighed equally in the conduct of government, that is,
weighed with no discrimination because of the content or source of the preference
1-3 above, 5-7 above, plus:
a modification of 4:
4. Right of political leaders to compete for support
4a. Right of political leaders to compete for votes
• and
8. Institutions for making government policies depend on votes and other expressions
of preference
VARIETIES OF EXECUTIVE POWER IN
POLYARCHIES, PRESIDENTIALISM
VERSUS PARLIAMENTARISM
I. INTRODUCTION
II. PRESIDENTIAL SYSTEMS
III. PARLIAMENTARY SYSTEMS
IV. EXECUTIVE DYARCHY
V. OTHER MECHANISMS FOR
CONSTRAINING EXECUTIVE POWER
Duverger’s defining characteristics of
semi-presidentialism:
• 1) the president is directly elected by
universal suffrage
• 2) the presidency has considerable powers
• 3) the president shares power with a prime
minister who is responsible to the
legislature
PARTY AND VOTING
SYSTEMS
I. INTRODUCTION: THE ROLE OF PARTIES IN
POLYARCHY
A. Governance
B. Representation
II. COMPETITIVE PARTY SYSTEMS
III. VOTING SYSTEMS
A. "Winner take all"
B. Proportional representation
IV. DO VOTING RULES MATTER?
V. CONCLUSION: REPRESENTATION VS.
GOVERNANCE
Conditions for democratic
elections
1. Elections take place regularly and within a
prescribed time limit
2. Substantially the entire adult population has the
right to vote and run for office.
3. No group in the adult population is denied the
opportunity of forming a party and putting up
candidates
4. All the seats in the major legislative chamber
can be contested and usually are
Conditions for democratic
elections (continued)
5. Campaigns are conducted with reasonable
fairness, in that the neither the law nor violence
nor intimidation bars any of the candidates
from presenting their views to the voters or
prevents the voters from discussing them.
6. Votes are case freely and secretly; they are
counted and reported honestly; and the
candidates who receive the proportions of the
vote required by law are duly installed in office
until their terms expire, at which time a new
election is held.
British General Election of 1983
MODERN DICTATORSHIP
I. INTRODUCTION
II. CLASSIFICATION AND TYPOLOGY
III. LINZ'S IDEAL-TYPE OF
TOTALITARIANISM
IV. LINZ'S IDEAL-TYPE OF
AUTHORITARIANISM
V. WHY IS THIS A TYPOLOGY?
Regimes
Modern
Democratic
Totalitarian
Traditional
Non-democratic
Authoritarian
Linz's three characteristics of
totalitarian regimes (191-2)
1. There is a monistic but not
monolithic center of power, and
whatever pluralism of institutions or
groups exist derives its legitimacy from
that center, is largely mediated by it,
and is mostly a political creation rather
than an outgrowth of the dynamics of
the preexisting society.
2. There is an exclusive, autonomous, and
more or less intellectually elaborate ideology
with which the ruling group or leader, and the
party serving the leaders, identify and which
they use as a basis for policies or manipulate
to legitimize them. The ideology has some
boundaries beyond which lies heterodoxy that
does not remain unsanctioned. The ideology
goes beyond a particular program or
definition of the boundaries of legitimate
political action to provide, presumably, some
ultimate meaning, sense of historical purpose,
and interpretation of social reality.
3. Citizen participation in and active
mobilization for political and
collective social tasks are encouraged,
demanded, rewarded, and channeled
through a single party and many
monopolistic secondary groups.
Passive obedience and apathy, retreat
into the role of "parochials" and
"subjects," of many authoritarian
regimes, are considered undesirable
by the rulers.
Linz's characterization of authoritarian
regimes (164)
…political systems with limited, not
responsible, political pluralism, without
elaborate and guiding ideology, but with
distinctive mentalities, without extensive
not intensive political mobilization, except
at some points in their development, and
in which a leader or occasionally a small
group exercises power within formally illdefined limits but actually quite
predictable ones.
A comparison of the two ideal-types:
Totalitarianism, point 1 -There is a monistic but not monolithic center of
power, and whatever pluralism of institutions or
groups exist derives its legitimacy from that center, is
largely mediated by it, and is mostly a political
creation rather than an outgrowth of the dynamics of
the preexisting society.
Excerpts from Authoritarianism -political systems with limited, not responsible,
political pluralism... in which a leader or occasionally
a small group exercises power within formally illdefined limits but actually quite predictable ones.
Totalitarianism, point 2 –
There is an exclusive, autonomous, and more or less
intellectually elaborate ideology with which the ruling
group or leader, and the party serving the leaders, identify
and which they use as a basis for policies or manipulate to
legitimize them. The ideology has some boundaries beyond
which lies heterodoxy that does not remain unsanctioned.
The ideology goes beyond a particular program or
definition of the boundaries of legitimate political action to
provide, presumably, some ultimate meaning, sense of
historical purpose, and interpretation of social reality.
Excerpts from Authoritarianism -...without elaborate and guiding ideology, but with
distinctive mentalities...
Totalitarianism, point 3 –
Citizen participation in and active mobilization for
political and collective social tasks are encouraged,
demanded, rewarded, and channeled through a single
party and many monopolistic secondary groups.
Passive obedience and apathy, retreat into the role of
"parochials" and "subjects," of many authoritarian
regimes, are considered undesirable by the rulers.
Excerpts from Authoritarianism -...without extensive not intensive political
mobilization, except at some points in their
development...
Distinction between ideology and mentality
(Linz, 266-7)
...ideologies are systems of thought more or
less intellectually elaborated and organized,
often in written form, by intellectuals,
pseudointellectuals, or with their assistance.
Mentalities are ways of thinking and feeling,
more emotional than rational, that provide
uncodified ways of reacting to different
situations.
Brzezinski and Friedrich's definition of
Totalitarianism
(1) a totalist ideology; (2) a single party
committed to this ideology and usually led by
one man or dictator; (3) a fully developed
secret police and three kinds of monopoly or
precisely monopolistic control: namely that
of (a) mass communications, (b) operational
weapons, and (c) all organizations including
economic ones, thus involving a centrally
planned economy... (Linz, p. 187)
TOTALITARIAN SYSTEMS
I. INTRODUCTION
II. FRIEDRICH AND BRZEZINSKI'S DEFINITION
III. TOTALIST IDEOLOGY
IV. PARTY AND DICTATOR
V. THE SECRET POLICE
VI. THE THREE MONOPOLIES
A. Mass communications
B. Operational weapons
C. Organizational
Brzezinski and Friedrich's definition of
Totalitarianism
(1) a totalist ideology; (2) a single party
committed to this ideology and usually led by
one man or dictator; (3) a fully developed secret
police and three kinds of monopoly or precisely
monopolistic control: namely that of (a) mass
communications, (b) operational weapons, and
(c) all organizations including economic ones,
thus involving a centrally planned economy...
1) a totalist ideology;
2) a single party committed
to this ideology and usually
led by one man or dictator;
3) a fully developed secret
police;
4,5,6> and three kinds of monopoly
or precisely monopolistic control:
(a) mass communications,
(b) operational weapons, and
(c) all organizations including
economic ones, thus involving a
centrally planned economy...
AUTHORITARIAN
REGIMES
I.
II.
Introduction
Subtypes of Authoritarianism
A. Personalistic
B. Military Regimes
C. One-Party States
D. Neo-Theocracies
E. Competitive Authoritarian
Competitive Authoritarianism I
Competitive authoritarianism must be distinguished from
democracy on the one hand and full-scale authoritarianism
on the other. Modern democratic regimes all meet four
minimum criteria: 1) Executives and legislatures are chosen
through elections that are open, free, and fair; 2) virtually all
adults possess the right to vote; 3) political rights and civil
liberties…are broadly protected; and 4) elected authorities
possess real authority to govern, in that they are not subject
to the tutelary control of military or clerical leaders.
Although even fully democratic regimes may at times
violate one or more of these criteria, such violations are not
broad or systematic enough to seriously impede democratic
challenges to incumbent governments.
Competitive Authoritarianism II
In competitive authoritarian regimes, by contrast, violations
of these criteria are both frequent enough and serious
enough to create an uneven playing field between
government and opposition. Although elections are regularly
held and are generally free of massive fraud, incumbents
routinely abuse state resources, deny the opposition
adequate media coverage, harass opposition candidates and
their supporters, and in some cases manipulate electoral
results. Journalists, opposition politicians, and other
government critics may be spied on, threatened, harassed, or
arrested. Members of the opposition may be jailed, exiled,
or—less frequently—even assaulted or murdered. Regimes
characterized by such abuses cannot be called democratic.
DEVELOPMENT
I. INTRODUCTION
II. ECONOMIC AND SOCIAL
DEVELOPMENT
III. POLITICAL DEVELOPMENT
IV. WHY DO COUNTRIES FAIL TO
DEVELOP?
A. Conventional explanations
B. Dependence and neo-colonialism
DEVELOPMENT AND
REGIME-TYPE
I. INTRODUCTION
II. IS THERE A TRADE-OFF BETWEEN
DEMOCRACY AND DEVELOPMENT?
III. PATTERNS OF AUTHORITARIAN
DEVELOPMENT
A. Does authoritarianism promote development?
B. Autarkic Giants in the age of machinofacture
C. Trading States in the age of microelectronics
D. Is it possible to have an open economy and a
closed society?
IV. WHAT DOES DEMOCRACY DO BETTER?
CAPITALIST SYSTEMS:
THE MAIN FEATURES
I. THE EXCHANGE RELATIONSHIP
II. MONEY AS A STORE OF VALUE AND A MEANS
FOR GENERALIZING THE EXCHANGE
RELATIONSHIP
III. THE MARKET AS A FORM OF ALLOCATION
IV. THE FOUR MAIN MARKETS IN A MARKET
ECONOMY
V. THE CAPITALIST MARKET SYSTEM
Lindblom's definition of Exchange (p. 33)
It [exchange] is a relation between two (or sometimes
more) persons each of whom offers a benefit in order to
induce a response. The offer is, therefore, contingent
on achieving a response. A benefit is anything that the
recipient perceives to be desirable, whether he
perceives correctly or not. In the simplest exchange,
two people stumble onto the knowledge each has or
can do something that the other wants. Or one person
finds that another person has or can do something he
wants, and he casts about to find a benefit that he can
offer the other in order to induce the other to do as he
wishes. Not merely a method for reshuffling the
possession of things, exchange is a method of
controlling behavior and of organizing cooperation
among men.
MARKET, CAPITALISM, AND
DEMOCRACY
I. Introduction
II. What the State Must do in Capitalist Economy
III. Why the Market is not Enough?
IV. Market Failure
A. Public Goods and the Free Rider Problem
B. Externalities
C. Monopoly and other Forms of Unfair Competition
D. Market Morality
V. The Strange Relationship between Capitalism and Democracy
VI. Why is Business Priviliged Under Polyarchy?
A. The Executive as Public Official
B. A Privileged Position at the Table
C. Business Particution in Polyarchy
COMMUNISM AS A FAILED
FORM OF MODERNITY
I. Introduction
II. Replacing the Market and Private Property
A. Nationalization
B. Collectivization
C. Planning
III. Forced Savings, Extensive Growth and Directed
Development
IV. The Crisis of Extensive Growth and the Failure to
Reform
Chirot’s Phases of the Industrial
Age
Years
Technical Innovation
Dominant Power
1780s-1830s
cotton and textiles
Great Britain
1840s-1870s
rail and iron
Great Britain
1870s-WW I
steel, organic chemicals,
electric machinery
United States
& Germany
WW I -1970s
petrochemicals, automobiles
United States
1970s-
electronics, information,
biotechnology
???
THE SEARCH FOR
DEMOCRATIC PREREQUISITES
I. INTRODUCTION
II. CULTURAL PREREQUISITES OF
DEMOCRACY
III. ECONOMIC PREREQUISITES OF
DEMOCRACY
IV. CONTRARY EVIDENCE
Indices of Wealth
Means
European and Englishspeaking Stable
Democracies
European and Englishspeaking Unstable
Democracies and
Dictatorships
Latin American
Democracies and
Unstable Dictatorships
Latin American Stable
Dictatorships
Per Capita
Income in $
695
Thousands
of Persons
Per Doctor
.86
Persons Per
Motor Vehicle
Telephones
per 1,000
Persons
17
205
308
1.4
143
58
171
2.1
99
25
119
4.4
274
10
Ranges
European Stable
Democracies
420 - 1,453
.7 - 1.2
European Dictatorships
128 - 482
.6 - 4
10 - 538
Latin American
Democracies
112 - 346
.8 - 3.3
31 - 174
12 - 58
1.0 - 10.8
38 - 428
1 - 24
Latin American Stable
Dictatorships
40 - 331
3 - 62
43 - 400
7 - 196
PROCESSES OF REGIME CHANGE -BREAKDOWN, LIBERALIZATION,
TRANSITION AND CONSOLIDATION
I. INTRODUCTION
II. DEMOCRATIC BREAKDOWN
III. DEMOCRATIZATION
A. Liberalization
B. Transition
C. Consolidation
LIBERALIZERS
Stay with hardliners
SDIC
open
CIVIL SOCIETY
organize
LIBERALIZERS
enter
BDIC
repress
turn into reformers
r
NDIC
1-r
INSURRECTION
TRANSITION
Key: SDIC = Status Quo Dictatorship, NDIC = Narrow Dictatorship,
BDIC = Broadened Dictatorship, r = probability that repression will succeed.
Source: Przeworski, 1991, (Figure 2.1) : 62.