Transcript Slide 1
Concepts in
Comparative
Politics
Spring 2013 Review!
Power,
Sovereignty, &
Authority
Key
Concepts
Power
The ability to direct the behavior of
others through coercion, persuasion,
or leadership
Authority
Legal right to exercise power on behalf
of the society and/or government
Sovereignty
Independent legal authority over a
population in a particular place
The degree in which a state can
control its own territory and
independently make and carry out
policy
Sovereignty (cont.)
External sovereignty—means the right to
make binding agreements (treaties) with
other states
Internal sovereignty—means the right to
determine matters having to do with one’s
own citizens
Nation
A group of people who identify
themselves as belonging
together because of cultural,
geographic, or linguistic ties.
Nations need not, and often do not have,
sovereignty in order to exist
State
A political system that has
sovereignty (political power)
exercised over a population in a
defined geographic territory
through a set of public institutions
Nation-State
An independent state that exists
for a single nation, it is the
ultimate goal of most nationalists
The cases in which national identification and
sovereign political authority largely coincide
Regime
A political system with a specific
pattern of relationship between the
state, society, markets, and the world
at large
A pattern of organization for a
government (often described in a
constitution or supreme law)
Types of Regimes
Democracy
A system of government by the whole
population or all the eligible members of a
state, typically through elected
representatives
Refers to a political system in which citizens
enjoy basic rights and in which leaders are
elected in free and fair elections and
accountable under the rule of law
Substantive/Liberal Democracy
Competitive Elections
Civil liberties
Rule of law
Neutrality of the judiciary
Open civil society
Civilian control of the military
Democratic Deficit
A democratic deficit occurs when ostensibly
democratic organizations or institutions in fact fall
short of fulfilling what are believed to be the
principles of democracy
Illiberal Democracy
A procedural democratic regime where the
citizenry does not benefit from the full array of
rights and freedoms that one would expect in a
democracy
Example: competitive elections but lack of civil
liberties and rights
Authoritarian Rule
A system of rule in which power depends
not on popular legitimacy but on the
coercive force of the political authorities
Oligarchy
A system of governance
dominated by a small powerful
and wealthy group in a state
Rule by few
Important political rights are withheld from the
majority of the population
Example: South Africa during apartheid
Military Rule
Military control of the government
by armed forces
Totalitarian Systems
A political system in which the state
attempts to exercise total control over all
aspects of public and private life, including,
the economy, culture, education, and social
organizations, through an integrated
system of ideological, economic and
political control
Usually rely on terror as a means to exercise
power
Totalitarian Systems (cont.)
Government systems in which the
government constricts rights and privacy of
its citizens in a severe manner
Most authoritarian and totalitarian regimes
have lost legitimacy today
Theocracy
A state dominated by the clergy, who rule
on the grounds that they are the only
interpreters of God’s will and law
Government
The part of the state with legitimate
public authority
The group of people and organizations
that hold political authority in a state
at any one time
Legitimacy
Defined as citizens belief in the government’s right to rule
IT IS THE VIEW OF THE GOVERNMENT FROM THE BOTTOM UP!—THE
PEOPLE’S VIEW OF THEIR GOVERNMENT
A belief that a regime is a proper one and that the government has the right
to exercise power
In the contemporary world, a state is said to possess legitimacy when it
enjoys consent of the governed, which usually involves democratic
procedures and the attempt to evenly distribute resources
Legitimacy of the political system also provides foundation for a
successful political process
Legitimacy is based on different things in different countries
Rational-Legal
Legitimacy based on well-established laws and
procedures
Code Law: based on written rules/codes of law
(China, Mexico, Russia)
Common Law: based on tradition, past
practices, and legal precedents (Britain)
Constitution
A supreme law that defines the structure of
a nation-state’s regime and the legal
processes governments must follow
When followed, this establishes rule of law
Needn’t be one document
Contains a set of decision rules
Rule of Law
A governance system operating predictably
under a known and transparent set of
procedural rules (laws)
Also know as, constitutionalism
In all disputes, no matter how important or
influential the person is, “the piece of paper
wins!”
Charismatic Legitimacy
A form of authority based on the general
population’s personal attachment to a
particular leader
Political
Structures &
Institutions
Key
Concepts
Supranational Organizations
Organizations in which nations
are not totally sovereign actors
Examples:
NATO
European Union
NAFTA
OPEC
United Nations
Three Basic Geographic
Distributions of Power
1. Unitary System
2. Confederal System
3. Federal System
The difference between the three has to do with how
power is distributed over a geographic area
Unitary State
Concentration of political power in
a central government as opposed
to federalism
EX: The United Kingdom, Iran, China
Devolution
A process in a unitary system of delegating
some decision making to local public bodies
The UK is doing this with Scotland and Wales.
This is also a sign of fragmentation
Usually done to reverse or quell separatist
movements
Could be described as moving from a unitary
system to a federal system
Confederal System
A system of government that
spreads power among many subunits (such as states), and has a
weak central government
Ex: European Union
Federal System
A system of governance in which political
authority is shared between the national
government and regional or state
governments
EX: The United States, Mexico, Nigeria,
Russia (Asymmetric)
How Devolution Differs
From Federalism:
Power can be taken away in a unitary system
(by the central government)
Subnational government’s powers are not
constitutionally protected
In a unitary system decentralization is not
necessarily symmetrical
Local legislature/government can be dissolved
in unitary systems but not in federal systems
Three Basic Forms of
Governments
1. Parliamentary System
2. Presidential System
3. Mixed Presidential-Parliamentary
System
The difference between the three has to do with the origins of
power and the relationship between the executive branch
and the other branches of government
Parliamentary System
A system of governance in which the head of government
is chosen by and serves at the pleasure of the legislature
The legislature rules over all!
Prime Minister is NOT directly elected by people , but by the legislature
Because the prime minister and the cabinet are also leaders of the
majority party in the legislature, no separation of powers exists
between executive and legislative branches—instead they are fused
together
Fusion of Power!
Executive power is separated between Head of Government (PM) and
the Head of State (royalty, president)
Parliamentary System
Characteristics:
High Party Discipline
Majority party almost always gets its
policies implemented
Cabinet is VERY powerful—initiates
legislation and makes policy
No fixed terms of office—PM must call for
election or as the result of a vote of no
confidence
Fusion of Powers
A system of governance in which authority of
government is concentrated in one body
The executive branch is born of the legislative
branch of government
In Britain, Parliament is the supreme legislative,
executive, and judicial authority
Common pattern in parliamentary systems
Vote of Confidence
A vote in parliament expressing support for
a government
A government losing a vote of confidence is
often expected to resign
Presidential System
An electoral system where citizens vote for
legislative representatives as well as for executive
branch leaders, and two branches function with
separation of powers
The chief executive is elected in a national ballot
and is independent of the legislative branch
The roles of the head of state and head of
government are given to one person—the president
Three branches of government are therefore
separate from one another and can check each
other’s power
Presidential System
Characteristics:
Separation of Power
Power shared equally between legislature
and executive
Lower party discipline
Have fixed terms
Since power is diffused, policymaking
process is slowed because one branch
may question decision made by other
groups
Separation of Power
An organization of political institutions
within the state in which the executive,
legislature, and judiciary have autonomous
powers and no branch dominates the others
Common pattern in presidential systems
Checks and Balances
A governmental system of divided
authority in which coequal branches can
restrain each other’s actions
Impeachment
The process provided legislatures in most
presidential systems that provides for the
removal of presidents before their term is
up, but typically only if they are guilty of
serious criminal or other wrong doing
Mixed Presidential
Parliamentary System
A democracy that has some characteristics of a
presidential system and some characteristics
of a parliamentary system
Also referred to as semi-presidential
System where a prime minister coexists with a
president who is directly elected by the people
and who holds a significant degree of power
Russia is perfect example of powerful president
Institutions
In order to carry out public policies, government
structures such as parliaments, bureaucracies, and
administrative agencies perform functions, which in
turn enable the government to formulate, implement,
and enforce policies
There are many types of institutions: parliaments,
congresses, administrative agencies, political parties,
interest groups, legislatures
Key Parts of All Governments
1. Executive
2. Legislature
3. Judiciary
4. Bureaucracy
All of AP6 countries have these structures, how they
function varies greatly
Executive
The executive office carries out the laws
and policies of the state
The chief executive is the most important
person in the policymaking process,
initiating new policies and playing an
important role in their adoption
Presidential system has veto power, in
parliamentary system does not
Central authority on in foreign policy
Head of State
The head of state is a role that symbolizes
the and represents the people, both
nationally and internationally, and may or
may not have any real policy making power
The chief public representative of a state
Commonly royalty or a president
KEY POINT: In presidential systems the
president is both the head of government
and the head of state
Head of Government
The office and the person occupying the office charged
with leading the operation of a government
The head of government deals with the everyday tasks
of running the state and usually directs the activities of
other members of the executive branch
In Britain, the Queen is Head of State and the Prime Minister is
the Head of Government
In the U.S., the president is both head of government an head of
state
Cabinet
Refers to the group of leaders (often called “ministers” or
“secretaries”) of all major departments (sometimes called
“ministries”) into which the executive branch is divided
The cabinet is the most important decision-making body in most political
systems
In parliamentary systems the cabinet is the key organization that forms policy
proposals
The cabinet in parliamentary systems is typically selected by the head of
government & can be dismissed when a government loses a vote of confidence
In presidential systems, the cabinet is selected by and can be dismissed by the
president
Legislature
The legislative is the branch of
government charged with making laws
Either bicameral or unicameral
Bicameral Legislature
A legislature with two houses with decision
making power
Most common form of legislature
Usually there is an “upper” and “lower” house
Found almost always in federal systems
EX: UK (House of Lords & House of Commons); Russia
(Federation Council & Duma); Mexico (Senate & Chamber
of Deputies); Nigeria (Senate & House of Reps)
Unicameral Legislature
A legislature with only one house with
decision making power
Examples: China (The National
People’s Congress), Iran (Majles)
Judicial Review
The power of the judiciary to rule on
whether laws and government policies
are consistent with the constitution or
existing laws
Bureaucracy
Bureaucracies consist of agencies that
generally implement government policy
In democracies provide continuity over time
In authoritarian regimes, head of gov’t
exercises control; patronage system
Because of the complexity of legislation,
bureaucracies often play a quasi legislative
role in making policy
Bureaucrats are the experts in their field
Bureaucracy
Basic characteristics of:
Non-elected positions—appointed
Impersonal, efficient structures, but become
inefficient as they grow
Formal qualifications for jobs necessary
Hierarchical organization
Civil Service
A system of carefully describing tasks involved in
performing government jobs, evaluating
applicants for those jobs (civil service exams), and
hiring people from among those applicants based
on skills and experience rather than political
factors
These are bureaucrats (internally) and diplomats
(externally)
Electoral
Systems &
Party Systems
Key
Concepts
Electoral System
A legal system for making democratic choices
Create two-party, three-party, multiparty systems
Rules by which elections are conducted
Determine who can vote, how people vote, and how the
votes get counted
Two Main Kinds of Systems
1.
Competitive
1.
2.
2.
Single Member District Plurality (SMDP) and (First-Past-the-Post)
Proportional Representation (PR)
Authoritarian
Plurality
The number of votes cast for a candidate
who receives more than any other
candidate but does not receive an absolute
majority
“More than anyone else, but under 50%.”
Single Member District Plurality
An electoral system in which candidates run for a single seat from a
specific geographic districts
An electoral system in which voters chose an individual running for
office in a single legislative district (also called “first past the post“)
*Example: U.K. and United States
The winner is the person who receives the MOST votes, whether or
NOT that is a majority
Increase the likelihood of a two-party state
Common in the United States, rarely used in continental Europe or in
Latin America
A variation on this is the majority runoff system (or double ballot)
First-Past-the-Post
An electoral system in which winners are
determined by which candidate receives the
largest number of votes (regardless of
whether or not a majority is received)
SAME as Single Member District Plurality!
Two (Double) Ballot System
An electoral system where two rounds of
voting may take places to ensure a majority
winner
Several candidates my be on first ballot, if
no majority is chose, second ballot is runoff of top two vote getters
Also called the majority runoff system
Proportional Representation (PR)
An electoral system in which voters select parties rather
than individual candidates and parties are represented
in legislatures in proportion to the shares of votes they
win
Representatives are elected based on the proportion of the
electorate that voted for them
Encourages a multi-party system
Closed-list PR system: voters don’t know people chosen by party
Open-list PR System: voters chose from list of candidates given
by parties
Proportional Representation (PR)
How Proportional Representation system works:
A country is divided into a few large sections
The competing parties offer lists of candidates
The number of legislative representatives a party wins
depends on the overall proportion of the votes it receives
Sometimes parties must meet a minimum threshold of
votes in order to receive any seats at all (5% or 7%)
KEY POINT: PR system leads to multiparty legislatures
(Exception: Russia’s raising of threshold to 7% has resulted
in less representation of regional parties)
Minimum Winning Threshold
The minimum percentage of votes a party
must receive in order to be seated in a
legislature
Sometimes parties must meet a minimum
threshold of votes in order to receive any
seats at all (5% or 7%)
Duverger’s Law
Maurice Duverger: French political scientist
States that there is a systematic relationship between
electoral systems and party systems, so that singlemember district plurality (SMDP) election systems (“first
past the post”) tend to create two-party systems in the
legislature, while proportional representation (PR)
electoral systems generate multiparty systems
SMDP (first past the post) = Two Party System
Proportional Representation = Multiparty System
Duverger’s Law
Mechanical Effect: In SMDP systems, second and third
place finishers in each district get NO representation in
legislature
Psychological Effect: In SMDP, people don’t want to vote
for a known loser, so they chose their second or third
choice, so as to block their worst case scenario
Strategic Voting: The act of voting for your second or third
preference to avoid an even worse case scenario
Example: Voting Democrat instead of Green, so as to avoid
Republicans gaining seats in legislature (Strategic voting)
Competitive Party
Systems
Political systems in which parties can form and compete freely
The role of competitive parties in interest aggregation depends
on the type of party system
Interest aggregation in a competitive party system occurs in
several stages
Parties develop positions that they believe are backed by a large block of
voters
In a two party system, it is important for a party to win the majority, so
targeting the center of the electorate is often necessary to win enough
votes.
In systems with many parties, each party seeks a distinctive and cohesive
electoral base, meaning that party policies may reflect the preferences of
specific groups
Multiparty System
A party system with several important
political parties, none of which
generally gains a majority of the seats
in the national
Mexico, Nigeria
Two-Party System
A party system in which two main
parties compete for majority control of
the government
Small parties may exist but play no
significant role in national electoral
outcomes
UK
One-Party Dominant System
A party system in which one large
party directs the political system, but
small parties exist and may compete in
elections
Russia (& Mexico in the past under the
PRI)
One-Party System
A party system in which one political
party controls the government and
voters have no option to choose an
opposition party (China)
Elite Recruitment
Refers to the selection of people for
political activity and government offices
In a democracy, competitive elections play
a major role in political recruitment
In authoritarian systems, recruitment may
be dominated by a single party, as in
China, or unelected religious leaders, as in
Iran
Referendum
A general vote by the electorate on
a single political question that has
been referred to them for a direct
decision
Interest Articulation
The methods by which citizens and
groups can express their desires and
make demands upon government
(political participation, lobbying,
protests, etc.)
Involves individuals and groups expressing their
needs and demands
Interest Aggregation
Ways in which demands of citizens and
groups are combined into proposed policy
packages (leadership, political parties, etc)
Interest Articulation
The most common form is voting in an election—
found in democracies and totalitarian regimes
Other forms of interest articulation: community
groups, political groups, protests, any from of group
which articulates its opinion to the government
In large, established political systems, formal interest
groups are a primary means of articulating political
interests
As societies become more complex and scope of
government grows, quantity and methods to
articulate public interests have grown as well
Pluralist Interest Group
Systems
Multiple groups may represent a single
society interest.
There is a clear separation between interest
groups and the government
Group membership is voluntary and limited
Groups often have a loose or decentralized
organizational structure
United States is perfect example
Corporatism
A state in which interest groups become an
institutional part of the political structure
HAS NOTHING TO DO WITH BUSINESS! ZERO! GET
THAT OUT OF YOUR MIND!
Neo-Corporatist Interest
Group Systems
A single peak association normally represents each
societal interest
Membership in the peak association is often
compulsory and nearly universal
Peak associations are centrally organized and direct
the actions of their members
Interest groups are often systematically involved in
making and implementing policy
Key Point: Interest group part of policy process!
Controlled Interest Group
Systems
There is a single group for each social sector
Membership is often compulsory
Each group is normally hierarchically organized
Groups are controlled by the government or its
agents in order to mobilize support for
government policy (Communism!)
Key Point: Groups exist to facilitate government
control of society!
Patron/Client Networks
A usually informal alliance between a person
holding power and less powerful or lower
status people
The powerful patron provides power, status,
jobs, land, goods, and/or protection in
exchange for loyalty and political support
Also: Clientelism, Prebendalism
Citizens,
Society, &
the State
Key
Concepts
Ethnicity
Refers to a group who share a belief in their
common descent and common shared traditions
Ethnic groups have been the source of a large
number of political conflicts around the world
Language can be a source of social division that
may or may not be associated with ethnicity
Political Cleavages
Factors that separate groups within a society
May be based on ethnicity, religion, social class, region,
etc
The wider and deeper the cleavages, the less unified the
society
Coinciding Cleavages: cleavages which reinforce each
other (pit the same people against each other on many
different issues)
Cross-cutting Cleavages: when the groups that are divided
share a common interest on one or more issues
Political Culture
The collection of history, values, beliefs,
assumptions, attitudes, traditions, and
symbols that define and influence political
behavior within a state
The more a political culture is shared, the
easier it is to live in peaceful coexistence
and engage in activities for mutual gain,
such as commerce
Consensual Political
Culture
Citizens tend to agree on the
appropriate means of making political
decisions and to agree on the major
problems facing society and how to
solve them
Conflictual Political Culture
The citizens are sharply divided, often on
both the legitimacy of the regime and
solutions to major problems
When a country is deeply divided in political
attitudes, distinctive political subcultures
may develop.
Political Efficacy
Political efficacy is a citizen’s belief that he
or she can understand and influence
government or political affairs
It indicates a citizens' faith and trust in
government and their own belief that they
can understand and influence political
affairs
Transparency
Transparent government operates
openly
More transparent, less corruption
Social Capital
Refers to skills, norms, and networks
that are a part of civil society and
facilitate the ability to solve economic
and political problems
Political Socialization
How citizens learn about politics in their
country – it sticks!!
Involves schools, families, communications,
media, religious organizations, and all the
various political structures that develop,
reinforce, and transform the political
culture, the attitudes of political
significance in the society
Political Protest
Can also focus political interests and can have
influence on public policy
Tend to be high-pressure activities that can both
mobilize the public and pressure political elites
Grassroots politics, or people working together to
address a common problem, represents an other
Civil Society
Is a society in which people are involved in social and
political interactions free of state control or
regulation
Refers to the space occupied by voluntary
associations outside of state control
THE GOVERNMENT DECIDES! NOT THE CITIZENS!
For example, professional associations, trade unions,
student groups, women’s groups, religious bodies
and other voluntary association groups
Civil Society
Any type of citizen-organized group is considered
to be a part of civil society
This includes community groups, voluntary
organizations, and religious groups
It could also include a group that is not so civil,
like an anti-government group.
Civil society is linked to globalization, as groups
connect to other groups in the global community,
such as groups within the environmental
movement
Non-Governmental
Organizations (NGOs)
Global civil society
Examples: Doctors Without Borders,
Amnesty International, Red Cross
Post Materialist Values
Beliefs in the importance of policy goals
beyond one’s immediate self-interest, as well
as one’s prosperity and security
Examples: Environmentalism and cultural
diversity
Citizens in industrialized democracies are more likely to
have “higher order” concerns, such as improving
education and the environment
Another major trend in political culture
Political &
Economic
Change
Key
Concepts
Reform
Method of changing some of the
methods that political/economic
leaders use to reach goals that
society generally accepts
Does not advocate overthrowing
basic institutions
Revolution
A process by which a political regime
is overthrown and replaced because
of a broad popular support and
participation in the process
A forcible overthrow of a government
or social order for a new system
Coup D’etat
A forceful replacement of a
regime or a government by a
small elite group or groups
Use of force, often by military
Democratization
The spread of representative
governments to more countries
and the process of making
governments more
representative
Political Liberalization
Process by which a state goes
from procedural democracy to
substantive democracy
Market Economy
Economy in which laws of supply
and demand determine
allocation of resources
Private ownership of
resources/property
Command Economy
Economy in which the state owns
most economic resources and
makes all major economic
decisions
Economic Liberalization
Process of limiting the power of
the state over private property
and market forces
Privatization
Transfer of state-owned property
to private ownership
Neoliberalism
Term used to describe government
policies aiming to promote free
competition among business firms
within the market
Includes privatization, reducing
trade barriers, balancing
government budgets, and reducing
social spending
Import Substitution
Industrialization
Employs high tariffs to protect
locally produced goods from
foreign competition, govt
ownership of key industries, govt
subsidies to domestic industries
Structural Adjustment
Programs
World Bank programs which offer
financial and management aid to
poor countries while demanding
privatization, trade
liberalization, and governmental
fiscal restraint
Globalization
The increasing
interconnectedness and
interdependence of people,
cultures, economies, and nationstates facilitated by technology,
trade, and cultural diffusion
Fragmentation
The process or state of
breaking or being broken into
small or separate parts
Modernization
The major cultural trend that has
transformed the world is modernization
World wide more people are moving to
cities and are exposed to modern political
cultures, which have an impact on citizens’
attitudes
Modernization Theory
The view that a country’s move from
underdevelopment to modernization can be
understood from and modeled after
development in the West
Public Policy
Key
Concepts
Policymaking
Policymaking is the conversion of social
interest and demands into authoritative
public decisions
Rules usually set by constitution
Policy Implementation
The carrying out and enforcement of public
policies
Rentier State
A country that obtains much of its
revenue from the export of oil or
other natural resources
Impact: Government doesn’t
have to be accountable to citizens
for income
Rent-seeking
The practice of political leaders
who, for the purposes of remaining
in a position of power, “rent”
public access (resources or tax
support services) to patrons who
profit from those public assets
Economic Indicators
GDP
Gross Domestic Product
All the goods and services produced
by a country’s economy in a given
year, excluding income earned
outside country
GNP
Gross National Product
GNP is the total economic output of a
country per person
Like GDP, but also includes income citizens
earned outside the country
Used to compare the economic status of a
country
Purchasing Power Parity
(PPP)
A different measure of the
economic status of a country, and
it takes into account differences in
price levels from one country to
another
GINI Index
Measures the amount of economic
inequality in a society
Human Development
Index (HDI)
Measures the well-being of a
country’s people by factoring in
adult literacy, life expectancy,
educational enrollment and GDP
Welfare State
A state which provides a wide
array of social services to its
members
Freedom House
Measures political rights & civil
liberties
Free, Partly Free, Not Free