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1 PowerPoint Supplement Richard P. Farkas, DePaul University POWER & CHOICE An Introduction to Political Science 12th Edition W. Phillips Shively, University of MinnesotaPowerPoint SupplementRichard P. Farkas, DePaul University
2 The purpose of education is to replace an empty mind with an open one The purpose of education is to replace an empty mind with an open one Malcolm Forbes
3 Comparative Politics = Comparing the internal structure & behavior of political systems
4 Student Requirements Diligent reading of ALL assignments read before class lecture ...Regular attendanceabsences are costly and reflect poorly ...Participation in classroom dialoguethink, connect, articulate, questionAlways bring “clicker”Office visits recommended …
6 POLITICS Use of power Production of public choice “… the world has proved to be a strange and wonderful place.”“… one thing that has remained constant is a faith in people’s capacity to shape their futures through politics.”
7 Avenues for Analysis “best conducted eclectically” behaviors institutionspolicies“state” as organizer of politics
8 More Guidelines … see both sides of any question keep our emotions in low keybe precise about the meaning of the words we usebe open to borrowing from other academic disciplinesrecognize need for broadprinciples
9 “POLITICS” social process rivalry & cooperation making of a decision binding on a groupPOLITICS is a social process involving rivalryand cooperation culminating in the makingof a decision binding on a group.
10 … orthe use of power to make a common decision for a group of people
11 POWER Politics ALWAYS involves the exercise of power Power = ability of one person to cause another to do what the first wishes
12 “POWER” … means by which power is exercised coercion persuasion construction of incentivesauthority can be the basis of one’s power if those governed acceptthe relationship …other sources possible
13 Think about your “feeling” about the following terms … administer, managemanipulate, forcedirect, leadorder, control
14 POWER & CHOICE 1. Making common decisions (choice) A way to work out rationally the best common solution to a common problem2. Exercise of powerAbility to get someone to do what you wantContrast:Implicit vs. Manifest power
15 Approaching “politics” … As public choice … emphasizes the options and decisions located throughout the system & the attempt to meet needsAs power … emphasizes the management of persons in the systemExample: the university classroom
16 “state” “sovereign state” The political entity whose government has ultimate authority to make decisions binding upon all those within the boundaries of that entity… countrynot what Americans call “states”
17 Kinds of Approaches … “Interpretive political scientists” historical, philosophical aspects builtfrom detailed, non-numerical cases“Behavioralists”look for broad patterns across manycases using statistical analysisof numerical data
18 “Theory”Thinking about politics invites broad generalization and abstractionWe pursue generalization through theoryA theory is a statement linking specific instances to broader principles
19 Normative & Empirical Analysis normative: systematic thoughts aboutwhat OUGHT TO BEempirical: systematic examination ofwhat IS
20 ACADEMIC LABELS highest form of knowing … explanation THEORY prediction HYPOTHESIS / MODELclassification TYPOLOGYdescription DESCRIPTIONmost basic form of knowing …
21 HOW We Know ... When the METHODOLOGY is sound … when the process is carefully plannedwhen the terms are clearwhen the observations and measurements are precise
22 “Falsifiability” “Testability” Possible that the statement is FALSE?Can the statement be tested?“causation” vs. “correlation”
23 Political Science as a Discipline American political behaviorAmerican political institutionsAmerican public policyComparative politicsInternational politicsPolitical theorymany other schemes for dividing Political Science exist
25 “unit of analysis” “level of analysis” group / family / friendsorganizationsneighborhoodstowns / citiesregions / sections / districts“sovereign” statesmulti-state organizationsglobal
26 Development of the State History, Napoleon & the “modern” stateColonialism brought elsewhereHand & glove evolution:*complex industry & commerce neededthe state & the state was invented;*commerce & industry made controlling and taxing people easier enhancing the evolution of the state
27 Review … Need to generate “public goods” Government decisions on WHAT? Government need for revenue to PAYCreation of identity that could mobilize massesResult: CONTROL by state
28 Public Goods emphasizes needs & choice … something that benefits all members of the community but that no one can be prevented from usingtest: whether it is impossible to deny it to any member of the group; if a public good is available to any,it is available to all
29 “state” “sovereign state” The political entity whose government has ultimate authority to make decisions binding upon all those within the boundaries of that entity… countrynot what Americans call “states”
30 “nation” Ethno-cultural identity of a group Common culture, language, history,religion, physical and/or behavioralcharacteristics, race, images, myths… a peopleCommonness found “in the blood”Essentially: emotional attachment
31 nation vs. state key: boundaries … “nation-state” “multi-state nation” “multi-national state”allegiance / identity to state:PATRIOTISMallegiance / identity to nation:NATIONALISM
32 More State – Nation Distinctions “State” as level of analysis vs. local“State” as political identity“State” as government authority“Nation” as identity, based upon cultureCongruence? tension? (state vs. nation)inclusive vs. exclusiverational vs. emotionalintegrating vs. disintegrating
33 GOVERNMENT and the State The state’s principle actor is the governmentgovernment = a group of people who have the ultimate authority to act on behalf of the statetheory of the autonomous state = state acts without prodding from people in conflict or decision-makingcivil society = organized and active part of society that is not controlled by government and whose objectives are self-identified“the natural counterweight to government”in affairs of the state
34 Challenges to the STATE “State-building” Problems that transcend boundaries … “globalization”environmenttrade, economics, financesecuritycommunication
35 More challenges … Civil society: issues below the state radar Pressures from “parts” seeking authority (autonomy)Questions about “original” boundaries;“our land”“Failed States”“Transitional States”
36 Alternatives … to the state Regional integration:European Union, NAFTA -- “macro-states”United Nations OrganizationCommunications world culture“Emerging” (?) International Law
37 Examples: State-building common 21st century phenomenon!Nigeria (text) state vs. nationEuropean Union (text) institution-buildingIraq, Slovakia, Bosnia, Kosovo, Palestine, Palau, Ukraine, Puerto Rico, other …
38 Chapter 2Modern Ideologies & Political Philosophy
39 “Ideology” philosophy: coherent set of ideas about what ought to be (normative)19th century idea:people should determine their political fateideology = philosophy + instructions what people should doto make it happen“isms”
40 Uses of Ideology Simplify processing of ideas: filter Connect people to other peopleUmbrella for mobilizationShorthand for packaging pol. ideasGlue that ties ideas togetherGuide decisionsideology NOT static !
41 AMERICAN confusion! American ideologies: “loosely organized, inconsistent, untidy”… no internal coherence… constantly migratingshaped by squeezing into coalitions rather than by any intellectual reasoning
42 AMERICAN liberalism = government needs to be active in the assistance it provides to those in need;in course, providing servicesaggressively defends freedom of expressionclassically suspect of “elites”exercising power
43 AMERICAN conservatism = government should shrink from activities and permit authority to devolve ...maintain an efficient, minimally regulated economy; fiscal prudenceadvocate common morality &common spirituality
44 “Classic” Ideologies Who Should Make Decisions? LIBERALISMdevelop individual capacities to the fullest American liberalism & conservatism = variantsCONSERVATISMtradition, maintain ordered community,press for common valuesSOCIALISM liberalism but …FASCISM conservatism but …COMMUNISM depends on normative vs. empirical
45 Origins of Classic Liberalism invented by intellectualsresult of general artistic & scientific restlessnesspractical pressures from large scale commerce & industry
46 Principles … classic liberalism People must be maximally responsible for their own actions and circumstancesLiberals see politics as choiceAs many choices as possible should be kept privateThe sphere of politics should be limitedChampion: John Stuart Mill
47 Origins of Modern Conservatism reaction to the advent of Liberalismrationale for maintaining traditional European political structuresrationale for maintaining centralization of power and military establishmentscaution about transfer of political responsibility to the common man
48 Principles of Modern Conservatism People must be maximally responsible for their own actions and circumstancesbelief that society is MORE than the sum of the individuals in itgreatest good possible in communityorder, structure, community and all things that reinforce and maintain itweb of social responsibilitiesChampion: Edmund Burke
49 21st Century Ideologies tendency to “blend” commitments “post-material issues” & objectives(the environment)neo-liberalism & globalization (economics)historical & religious sources of ideas …(fundamentalism)relevance of classcomfort with welfare state
50 The CLASSIC Ideological Continuum LEFT________________________RIGHTLiberal _________________ConservativeAnarchist _________________MonarchistLocus of PowerIndividual_____________ StateChoice ______________ Power
51 Juxtaposing ideologies ... Test your understanding: RIGHT or LEFT? liberalismconservatismsocialismfascismcommunism(Marx’ concept)(Stalin’s reality)feminismanarchismenvironmentalismmilitarismBureaucracy/ governmentalismReligion / spiritualismLaw / legalismwelfare/ humanitarianism
52 American awkwardness … Your text and large numbers of Americans and American scholars will suggest that “nationalism” is a “passionate identification” with the state. It is more useful, but not always possible, to use the terms in a way that enables comparative politics to differentiate identities found in many parts of our world. This is the distinctionoffered on the previous slide.
53 Classic Conservative ideology emphasizes: The importance of the maintenance of an ordered community and common valuesThe importance of individualism and freedom of choiceThe importance of fiscal responsibilityThe importance of limited governmentThe deterioration of human rights
55 How Much Do Governments Do? What level of government activity do we find?Do we find variation in terms of TYPES of policies?How could we MEASURE how much government does?# of policies, amount of money spent,% of economic activity, or ?
56 In What Kind of System Does Government Grow? large or small?rich or poor?socialist or capitalist?democratic or non-democratic?industrial or agricultural?Asian, African, European,North or South American?
57 How Big Is Government? Why? Growth of government linked to:Rise in wealth, revenue, capacityDemands by the citizens“Natural” bureaucratic tendenciesWorld more complicated placeElectoral politicschoice or power perspective?
58 Labeling what Governments Do One schemetransfer resourcesprovide subsidiesregulateadministerSecond schemerule-makingrule-applicationrule adjudication“capabilities”(functions)extractivedistributivesymbolicresponsive
59 KINDS of policies made … variations and rankings EducationDefenseTechnologyHealthSocial welfareIndustrialAgriculturalConsumerTaxEnvironmentalTransportationEnergySocial controlFiscal/monetaryPolitical designother
60 Other Queries … Does type of political system impact on what policy areas receive attention?What other variables could account for differences?Relationship: how POWER isdistributed and resulting policy choices …Solid analysis of policy requires bothchoice and power perspectives
61 Challenges of Policy-making Demographics & Agingyour decision?“Economic” vs. “Human” DevelopmentAIDS in AfricaExamine the basis for your positions …
62 What Lies Behind Policy: Questions of Justice and Effectiveness Chapter 6What Lies Behind Policy:Questions of Justice and Effectiveness
63 Concept Review … EMPIRICAL – examines what IS NORMATIVE – examines what OUGHT TO BEKeep in focus with this chapter!
64 CHOICES: Justice How do we judge political systems? … evaluate political systems?Is one a normative question;the other an empirical question?JUSTICE & FAIRNESS same thing?“people should be treated as they deserve”
65 The Right Thing … “Justice” equality or need or contribution ? Substantive vs. procedural justiceWhat is “due process?”not arbitraryspecial basic rights (survive, free speech, privacy)overriding social needsDREAM or DOABLE? Normative or Empirical? end justifies the means?
66 CHOICES: Effectiveness Equation:greatest benefits; least costComplications? Doable?? whose perspective ?Subtlety:What is government supposed to do?Unintended consequences …
67 CHOICES: Modes of Decision Authority-based vs. Market-basedPolicy-makingUpside vs. downside of each modeRadical vs. Incremental policy-makingRe-visit: Types of power; ideology;equality; effectivenessYour choices … ?
68 Policy-making in the REAL world policy-making is ALWAYS complicatedcomplexity could paralyze a regimepolicy-making requires constant reexaminationcourage … choices might be “wrong”
69 Political Choice & Implications Need-based Scholarships /“Affirmative Action”Water PollutionChildren as a “Collective Good”Gender-based Pension payments
70 Chapter 8 How Individuals Relate to the State, and the State to the Individual
71 AUTHORITYPower to make policies based upon an institutionalized mechanism, procedure or by coercive force -- examples …?Any limits to governmental authority?Gov. authority = efficient & powerful once established, requires little investmentAuthority, if widely accepted, is easier to exercise
72 LEGITIMACYBelief by a large number of citizens that a particular government properly has authorityIndividual or collective agreement that (1) a person or group has the right to issue certain sorts of commands and (2) that those commands shall be obeyed.normative and tentative perception!
73 Sources of Legitimacy Legitimacy by RESULTS Legitimacy by HABIT Legitimacy by IDENTITYLegitimacy by PROCEDURESConsider legitimacy of:professor, mother, mayor, judge,clergy, ambassador
74 More concepts … “democratic citizen” tolerance ? social capital normative or empirical ?tolerance ?active participation ?high level knowledge / interest ?“varying” support for the state ?social capitalreservoir of trust, efficacy & expectations
75 More concepts … political culture religion & political culture texture of political societyreligion & political culturepolitical socializationprocess of political learning“agents” of socialization
76 Authority & Legitimacy: Cases German casefactstrendsmeaning ...US contrastcauses ...
77 and the Design of Government Chapter 9Constitutionsand the Design of Government
78 Designs of Government principles of constitutional design: constitution = set of rules by which power is distributed among the offices of governmentvariations in formality … virtue of vaguenessprinciples of constitutional design:limit break with traditionamendability (flexibility over time)incentive compatibility
79 Distribution of Power geographic concentration of power (a) centralized or de-centralized(b) federal or unitaryfocus: revenue and/or services?conceptual difference: (a) vs. (b)… four combinationscentralized federal; de-centralized federal;centralized unitary; de-centralized unitary
80 “constitutionalism” form & function commitment to rules, rights, lawslaw constructed from constitutional valuesconstitutionalism = faithful adherenceto the letter and spirit of the constitution
81 Examples Text: United Kingdom, Russia Other cases worth investigating: Bosnia, European Union, Costa Rica
83 The appeal of elections “elections” ooze legitimacy… invite respectability… cause many to assume democracy… illuminate “choice”… demonstrate “participation”… actually serve manynon-democratic objectives
84 Elections functions: select leaders / policies mobilize; build support tough questions:Is the outcome in doubt?Are the choices significantly different?Do the mechanics of the electionsreinforce or undermine thecitizens’ choices?
85 Types choosing leadership or policies typical labels: “election” “referendum”Electoral systems: SMDP vs. PR? mechanics, advantages, biases ?
86 Single member district plurality SMDP: name provides detail …Political system divided into districtsOne winner in each districtWinner is the candidate with the largest number of votesUpside: direct link – leader to constituencyDownside: lost voices of losersUpside/downside: distribution of voters = crucial
87 Proportional Representation PR: name provides detail …a political system has x number of representatives to be elected.all political parties create a composite list of their candidates (for all the seats)if a political party gets ALL the votes, it gets all the seatsif it gets a percentage of the votes,it gets that percentage of the seats
88 PR Upside: the pattern of votes cast by citizens is reflected in the elected representatives; minorities havea voice and all votes “count” wherever they may belocatedDownside: because names are taken from theparty lists (top to bottom order), folks in one place maynot perceive that they have a specific representative towhom they can turn for service; party loyalty ismuch more important to the leader in a PR system
89 Other dimensions … Referendum … more “democratic?” more power, more choice?more problems … ?Participation … more “democratic?”
90 Electoral Participation Who? logic? reasoning?“paradox of voting”no one who is sensible should voteHow much is “best?” comparing …Bases for choices: long vs. short termparty, race, gender, age, region, language, ethnicity, economic role, other ?
91 Examples Text: Israel Nigeria Others worth investigating: Bosnia Iraq Mexico
92 A Linking and Leading Mechanism in Politics Chapter 11Parties:A Linking and Leading Mechanism in Politics
93 Political PartiesA group of officials or would-be officials who are linked to a sizable group of citizens in an organization designed to ensure that its officials gain or retain power.FUNCTIONS: “linking & leading”
94 Specific functions: What does a “political party” do? or would like to be able to do …mobilizationrecruitmentsocializationsource of political identity“channel of control”
95 Form & Function of Parties Organizational structure? impact on functionFinancial structure: sources of revenuegovernment: “public funds”foreign governmentsprivate: individuals, groups, businessesshadowy sources
96 Parties … “Iron Law of Oligarchy” Party systems: Dominant Party SystemsTwo Party SystemsMulti-Party SystemsMass vs. Ideological Party systemsnature of appeal to members …Examples: China; Canada
97 Interest Groups and Politics Chapter 12Structured Conflict:Interest Groups and Politics
98 Interest Groups Definition: “workhorses of political advocacy” alternate vehicle for representationBarriers to effectiveness:poor organizationpriority voices (“disproportionate voices”)interest distortionVariation: (a) degree of organization(b) degree of direct involvement in government
99 Collective Action Logic of Collective Action collective goods vs. costsfactors that could draw membership to interest groupssizeselective incentivescoercionrelative muscle
101 Tactics control of information & expertise electoral support & activityuse of economic powercampaign contributionspublic information campaignsviolence & disruptionlitigation
102 Mechanics PLURALISM *competitive political environment *level playing field for competing interest groupsNEO-CORPORATISM*government solicits and institutionalizessome voices, some interest groups*preferential treatment? Ombudsmanpower & choice ...
103 complexities, hybrids, combinations France (text) Japan (text) Examples:complexities, hybrids, combinationsFrance (text)Japan (text)European Union (contrast)
104 Parliamentary Government Chapter 14National Decision-making Institutions:Parliamentary Government
105 PARLIAMENTARY GOVERNMENT Characteristics Elected parliament (often large)SovereignExecutive power in the CabinetCabinet power ONLY as long as retains “confidence” (commands a majority of votes)Cabinet members remain in parliamentPM can “dissolve” parliament
106 Some structural details Head of State: formal, symbolic positionIf a single party emerges from an election with a majority of seats, it will identify its leadership as the PM and cabinet; if a coalition is formed to establish a majority, a combination of leaders from various coalition partners will be positioned in the cabinet
107 Cabinet management & control Policy agendaDebates (real or ?)Voting (pre-ordained ?)Policy coherence …Policy clarity …Policy boldness …
108 Functions of PARLIAMENT becomes the forum for public debategovernment policies are scrutinized in advance of becoming policiesmonitors the administration of policiesinsures accountability via question timeenhances transparency by exposingthe policy processtesting ground for leadership
109 “Representation” DELEGATE mirror constituent views … upside – downside?TRUSTEEinvest in official’s judgmentWhat’s wrong with a “mix” or ambiguity?
110 Special features Accountability … “Question time” must answer questions put to the leadership!Parliamentary committees:not generally autonomous / weakCurbs & limits on Parliamentconsensus parliamentarismfederal systemsautocratic systems
111 Advantages … Disadvantages “power” (exec & leg power) is united enabling more quick and responsive policy-makingpolicy-making responsibility CLEARmajority (coalition) CONTROL;minority vulnerable/ignorednon-regular turnover … instability possibleadded problems with “minority cabinet”
112 Presidential Government Chapter 15National Decision-making Institutions:Presidential Government
113 Presidential Government executive & legislature elected separatelyshared responsibility … competition, conflictrole of parties different / less party disciplinedifferent parties may occupy leg / execexec. & leg. claims of “representation”cabinet tied to executive;not linked to legislative success
115 Characteristics: Presidential Systems Presidential policy leadershipUnclear policy responsibilityLess comprehensive policyDifferent kinds of leadersProblems with review & controlNo division of symbolic and power aspects of the executive office
116 For discussion: Greenstein’s Six Qualities of Leadership proficiency as a public communicatororganizational capacitypolitical skillvisioncognitive styleemotional intelligenceeither system have edge?
117 Examples: Ch. 14 & 15 Parliamentary: India & Germany Presidential: France & Mexico? New insight into American system ?What is the suggested relationship between constitutions, power and resources?
118 Democracy and Autocracy Chapter 7Democracy and Autocracy
119 Democracy definedregime in which all fully qualified citizens vote at regular intervals to choose, from among alternative candidates, the people who will be in charge of setting a state’s policiesany ambiguity in this definition?more than or less than thing?
120 Democracy What is the “democratic bargain?” accept possibility of losingexpect to get something from the political processMore characteristics: critically appraise …fragile, rich states/poor states, longevity,sustainability, greater dignity for all citizens,strong protection against arbitrary treatment
122 Trend? “Overall, there has been a clear movement toward democracy” Third Wave -- wave of democratizationTransitions in Central & East EuropeWhere is the threshold when newsystems have ENOUGH of thecharacteristics to be considereddemocracies?
123 Causes or catalysts? fatigue of authoritarian regimes international pressureprotection from arbitrary treatmentdesire for economic development
124 Lessons learned … creation of democracy and/or continuation of democracy are NOTnecessarily natural or normaldemocracies are harder to sustainimportance of pacts(deal between democratizers and those replaced)
126 Autocracyregime in which those who hold power did not gain power by any regular constitutional process and are not responsible in their exercise of power to any formal set of rulesare you comfortable with the level of focus and clarity of this concept?Autocracy vs. Democracydistinct categories or continuum?
127 Autocratic government “Dictatorship,” “authoritarian,” “autocratic”? Stability in democracy vs. autocracyMILITARY Governments“Coup”fragileshort-lived: lack of legitimacyineptitudeinternal disunity
128 One Party States one political PARTY: links -- government to people more common than military government --one political PARTY:one avenue to power; one lever for exercising powerlinks -- government to peoplearena for debate -- limitedfacilitates leadership transitionrelatively stable
129 Monarchiesregime where the power to rule is inherited through descent in a familymost exist in the Middle East & Asiain “constitutional” monarchies, the power of the monarch is generally limited to symbolic functions
130 Theocraciesregime ruled by a set of religious leaders who derive their power from their positions in a religion; legitimacy stems from the religious faith of the governedstructures and procedures vary but a quality of all-knowing, un-challengable infallibility is common
131 Democracy vs. Autocracy Economic growthQuality of lifePower: exercised more by ?Choice: more evident and frequent in ?
132 Lessons of history … Do revolutions bring democracy ? TEXT EXAMPLES – SpainPeruIranOTHER EXAMPLES -- Vatican, Iraq, Cuba,Switzerland, JapanDo revolutions bring democracy ?
133 LAWrules laid down by government, binding all members of the state, including members of the government itselfsets society’s norms and rules for behaviorsets rules by which individuals and groups must relate to each other
134 The LAWComposite rules that reinforce the ‘community’ of people by uniform application of those rules? Relationship: law & “freedom”? LAW without authority (“international law”)Courts: interpreting & adjudicatingprioritizing rules in the face of conflicts …
135 Legal Systems Case law; Code law blending pattern; convergence Religious law: ShariaPerspectives … thinking comparativelycontrast boundaries of the above …law as power; law as choice
136 Modes of social control: law The law could be understood as a mechanism by which government manages the governed; that is, as it exercises power.An earlier chapter introduced concepts of fairness and efficiency. Two models of social control follow (“line” and “cloud”). Examine in terms of those criteria:how arbitrary vs. how cost effective …
137 The LINEWestern systems of law require specificity, precision, clarity of rulesIn a composite sense, laws specify the “line” between what one can and cannot doIn Western systems, persons are encouraged to ‘use’ all the latitude they are givenAs a consequence, elaborates systems must be put in place to “guard” the linei.e. social control
138 The CLOUD In Communist systems (and elsewhere) rules are presented to the public in purposively ambiguous termsAgainst the law to engage in “anti-system behavior;” or “hooliganism”The “line” designating what you can or cannot do is embedded in a cloud that you cannot see into …Result: given the uncertainty, you do not do anything that could be judged illegalConsequence: highly efficient social controlcitizens self-restraining their behaviors
140 The BIG PictureDrawing thoughts from the whole text …
141 Seminal Questions Who has POWER? How do they exercise it? Who has choice?How is it framed?How does the dynamic relationship between POWER & CHOICEinform us about our world?
142 Final thought … Shively “This book has emphasized the analysis of politics … I hope you will also remember the importance of passion and belief …”FarkasPOWER & CHOICE provides you with all the tools you need to approach the complex political world of the 21st Century.
143 Homeostasis vs. flexibility 1. political systems change (adapt)2. bureaucracy often most affected3. once change imposed, bureaucracy reacts4. homeostasis is the “natural” impulse to return procedures, policies, behaviors to their previous “steady-state.”5. essentially, to minimize the impact of changeCorrelation: larger the bureaucracy,greater homeostatic tendency