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CHAPTER 1

INTRODUCTION

ESSENTIALS OF COMPARATIVE POLITICS WITH CASES

Lecture Slides to Accompany:

SIXTH AP EDITION

PATRICK H. O’NEIL

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Ch. 1- Introduction~ Learning Objectives:

Explain the methods political scientists use to understand politics around the world.

Discuss whether comparative politics can be more scientific and predict political outcomes.

Define the role and importance of institutions in political life.

Compare freedom and equality and consider how politics reconciles the two across countries.

Label a sheet of paper, Ch. 1- Introduction to Comparative Politics and then write at the top the following objectives:

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��1. What is Comparative Politics?

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The Comparative Method

The means by which social scientists make comparisons across cases

Our class comparison will come in the form of case studies for each of the following:

Democratic Regimes:

United Kingdom

Non-Democratic Regimes:

Russia; China

Developing Countries:

Mexico; Nigeria; Iran

Protesters in Yemen holding a banner that reads, “We are all Bouazizi”

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Two Related Fields

Comparative politics (domestic)

The study and comparison of domestic politics across countries

Topics include: regimes, elections, culture, economic development

International relations (foreign)

The study of interactions between countries

Topics include: foreign policy, war, trade, foreign aid

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Core Comparative Concepts

The struggle in any group for power that will give one or more persons the ability to make decisions for the larger group

The ability to influence others or impose one’s will on them

Organizations or activities that are self-perpetuating and valued for their own sake

Politics

Power

Institutions

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Question for thought:

If you wanted to discover why democracy develops in some countries but not in others, which country do you think would be best to study?

The United Kingdom, the world’s oldest democracy
India, the world’s most populated democracy
Tunisia, a brand new democracy
Egypt, a non-democracy under quasi-military rule

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Evidence and Theories: Looking for Causality

Deductive Reasoning

Inductive Reasoning

Cases

Generate Hypotheses

Hypothesis

Test with Cases

How might we study causal relationships and test theory?

Inductive Reasoning: Analyzing case studies which leads to generating a hypothesis

Deductive reasoning: form hypothesis about cause and effect, then test the hypothesis with a number of case studies

May look for correlations

In trying to understand how the world works and explain patterns of cause and effect, we seek to generate theory (an integrated set of hypotheses, assumptions, and facts) about how the world works. To develop and test a theory, comparative politics researchers may rely on inductive or deductive reasoning. With inductive reasoning, we begin with a case (for instance, a single country study) and then use that information to generate hypotheses we can use in future studies. This type of work can be useful when exploring a topic we know little about.

Deductive reasoning, in contrast, starts with a general theory of how we think politics is supposed to work and then collects empirical data to test whether the hypothesis holds up. This allows us to see if our theories are generalizable (applicable across contexts). Deductive studies that rely on a large number of cases, especially those that use quantitative analysis, may be designed to establish correlations (an apparent relationship) between the main independent and dependent variables.

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Knowledge Check

1) What is deductive reasoning?

a. starting from a hypothesis, then seeking out the evidence

b. starting from a single case, then generating a hypothesis

c. the process of testing evidence using extensive field research

d. using ideological assumptions to create policy

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Knowledge Check

2) What is inductive reasoning?

a. starting from a hypothesis, then seeking out the evidence

b. starting from a single case, then generating a hypothesis

c. the process of testing evidence using extensive field research

d. using ideological assumptions to create policy

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So…can We Make a Science out of Politics?

Why is a government overthrow the outcome in Tunisia, Libya, and Egypt, but not Syria or Saudi Arabia?

What about unrest/corruption in Russia or China?

Egyptian protest against President Hosni Mubarak

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Problems in Comparative Research (page 11)

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From Philosophy to Comparative Politics

Early thinkers

Aristotle
Machiavelli

Other major comparative thinkers

Hobbes, Locke: social contract
Baron de Montesquieu: separation of powers
Rousseau: civil liberties
Marx, Weber: economics, organizations, and power

Aristotle defined man as a “political animal,” who is only able to achieve a good life through citizenship in a state. In his work Politics, Aristotle systematically identifies six types of political systems and contrasts Greek city-states within this typology, discussing the advantages and disadvantages of each type. Aristotle differed from political philosophers who came before, such as Plato, and many who came after by emphasizing description (verifiable empirical observation) rather than normative theory.

The systematic, scientific study of politics only reemerges with the work of Niccolò Machiavelli, who contrasted the political systems around him and those that came before (such as the Roman Empire). His most famous work, The Prince, concludes that most of these systems fail because of either internal uprisings or external threats; thus, it makes recommendations to statesmen on how to avoid their predecessor’s mistakes. Because of his emphasis on statecraft and empirical knowledge, and because his work would influence others to consider the study of politics as a science, Machiavelli is often cited as the first “modern” political scientist. Later thinkers, from Thomas Hobbes and John Locke to Karl Marx and Max Weber, would follow in a similar tradition of advocating certain political arrangements based on empirical observation.

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Major Thinkers in Comparative Politics

Major Thinkers in Comparative Politics	Summary of Thinker’s Theory
Aristotle (384–322 B.C.E.)	First separated the study of politics from that of philosophy; used the comparative method to study Greek city-states; in The Politics, conceived of an empirical study of politics with a practical purpose.
Niccolò Machiavelli (1469–1527)	Often cited as the first modern political scientist due to his emphasis on statecraft and empirical knowledge; analyzed different political systems, believing the findings could be applied by statesmen; discussed his theories in The Prince.
Thomas Hobbes (1588–1679)	Developed the notion of a “social contract,” whereby people surrender certain liberties in favor of order; advocated a powerful state in Leviathan.
John Locke (1632–1704)	Argued that private property is essential to individual freedom and prosperity; advocated a weak state in Two Treatises of Government. * “Life, liberty, and property for all people and protected by all governments.”

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Major Thinkers in Comparative Politics

Baron De Montesquieu (1689–1755)	Studied government systems; advocated the separation of powers within government in The Spirit of Laws.
Jean-Jacques Rousseau (1712–78)	Argued that citizens’ rights are inalienable and cannot be taken away by the state; influenced the development of civil rights; discussed these ideas in The Social Contract.
Karl Marx (1818–83)	Elaborated a theory of economic development and inequality in Das Kapital; predicted the eventual collapse of capitalism and democracy, which would be replaced by socialism and then communism (Communist Manifesto).
Max Weber (1864–1920)	Wrote widely on such topics as bureaucracy, forms of authority, and the impact of culture on economic and political development; developed many of these themes in Economy and Society.

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Moving Beyond Traditional Approaches

Post–World War II shift

Major causes (WWI, WWII, Great Depression, Korean and Vietnam Wars, etc…)

New approaches

Modernization theory- as societies develop they will become capitalist democracies, converging around a set of shared values and characteristics.

Behavioral revolution- favored a shift away from studying political institutions (such as constitutions) to studying individual political behavior (such as voting).

Critiques: Too much Western bias, to much jargon, not enough observation and knowledge.

By the beginning of the twentieth century, political science existed as a field of study, but it was still largely descriptive, atheoretical, and concentrated in Europe. Because of changes in university studies, and in response to real-world developments (two world wars and the rise of the Soviet Union), this field shifted significantly, especially in the United States. However, comparative politics remained a rather conservative discipline, with modernization theory assuming that capitalism and democracy were the ideal (and even predetermined) forms of political development. This assumption was challenged by the behavioral revolution, a movement during the 1950s and 1960s to develop theories about political behavior that could be applied across all countries. Members of the behavioral revolution emphasized specific methodologies and favored a shift away from studying political institutions (such as constitutions) to studying individual political behavior (such as voting). By the 1970s, both these approaches, however, were being met with criticisms.

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In Focus: Trends in Comparative Politics

Going from Political Journalism vs Political Science

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Knowledge Check

3) Modernization theory can be defined as the view that

as societies develop, they will become capitalist democracies, converging around shared values.

each country and region will likely take a different route to modernization.

significant social and economic change is possible only through revolution.

d. the only way to modernize is to apply scientific methods to social and economic problems.

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Common Comparative Research Methods: � �Quantitative vs Qualitative Method��Quantitative- gathering statistical data using in-depth investigation across many countries. ��Qualitative- Case studies from fewer countries conducted, but emphasis is on details. Emphasis on depth over breadth.

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Theory: Study of Human Behavior?

Studying human behavior and specifically how human beings interact with political systems led to the development of the Game Theory of Rational Choice.

Rational choice (aka-Game Theory)-

Studying the rules and games by which politics is played and how human beings act on their preferences, such as voting, choosing political parties, support of a revolution, etc…
“Rational choice” implies that a cost/benefit analysis will lead to fairly predictable outcomes.

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Knowledge Check

4) Which of the following statements about game theory is accurate?

a. It assumes rational, predictable behavior by individuals.

b. It considers cultural factors to be a major determinant of human political choices.

c. Its primary political actor of focus is the institution.

d. It is often used in qualitative research.

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��2. Guiding Concepts: Institutions

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Political Institutions

Organizations or activities that are self-perpetuating and valued for their own sake

Formal institutions are based on officially sanctioned rules that are relatively clear

Informal institutions are unwritten and unofficial rules

Tend to vary from country to country

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Formal versus Informal Institutions

Examples of informal institutions

Legislative norms

U.S. Senate’s filibuster
2 term max for U.S. presidents (up until 1951 w/ 22^nd Amendment)

Societal rules and culture

Neopatrimonialism in African politics
Gender relations

Examples of formal institutions

Legislative, Excecutive, & Judicial Branches of Govt

Citizenship; Army; Taxation

Electoral systems

Federal versus unitary systems

When institutions are threatened, people will rush to their defense, as they are the bonds that hold society together. Not all institutions, however, are written down. For example, in the U.S. Senate, the filibuster exists more as a norm than a constitutional rule, but any attempts to change it triggers great controversy. Sometimes, an informal institution might actually be formalized just so that people can defend it. For instance, from the time of George Washington and up until Franklin D. Roosevelt (FDR), most presidents only served two terms, a norm that was established by Washington. After FDR’s four terms in office, however, the Republican-controlled Congress of 1947 passed the Twenty-Second Amendment (ratified in 1951), which officially set the presidential limit to two terms.

Can students think of other examples of formal or informal institutions?

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In Focus: Institutions

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Knowledge Check

5) Which of the following is true of the concept of political institutions?

a. Strong institutions generate good norms and values; weak institutions generate negative or destructive ones.

b. U.S. democracy is an institution in both the formal and informal sense.

c. Most countries lack common formal political institutions.

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�3. A Guiding Ideal: Reconciling Freedom & Equality…and security?

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Question for thought #2

Do you think it most important that the U.S. government try to create policies that…

grow and expand the economy?

increase the opportunity for people to get ahead if they want to?

reduce the income and wealth gap between rich and poor?

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Gallop Poll� (2011)

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Read the following quotes and use both your personal experiences and what you have learned to answer the questions that follow.

“They that give up essential liberty to obtain a little temporary safety deserve neither liberty nor safety.” (Benjamin Franklin)
“If men were angels no government would be necessary.” (James Madison)

Think about these quotes…

1) Is it ok to give up some freedom in order to be safer? Why?

2) Is government truly necessary? Why? Provide examples…

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Two Values

Freedom

An individual’s ability to act independently, without fear of restriction or punishment by the state or other individuals or groups in society. (Civil Liberties)

Equality

A shared material standard of living shared by individuals within a community, society, or country. Think of it as having equal access. (Civil Rights)

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Question for thought/discussion:

Compared to other developed democracies, the United States has the highest level of personal freedom but also the highest degree of economic inequality. Why might this be the case?

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�4. In Sum: Looking Ahead and Thinking Carefully

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Summary, Part 1

Comparative politics is the study and comparison of domestic politics across countries.

Comparative researchers use many methods to try to explain how the world works.

As a field of study, comparative politics has a long tradition, but it is also constantly changing in response to real-world issues.

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Summary, Part 2

Comparativists examine the impact of political institutions, where they come from, and how they shape politics.

A core debate in politics around the world is the conflict between freedom and equality.

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Assignment:

** On a sheet of paper separate from your notes, answer the following questions. Once complete, you will turn your assignments into your box in the front, or on the designated area. ** (21 points)

Discuss the emergence of and basic characteristics of modernization theory and behavioralism.
How do the two approaches in comparative politics differ from each other, and how are they similar?
Describe the difference between qualitative and quantitative methodology in comparative politics.
How has this difference evolved over time?
How does a mixed-methods approach fit into this debate?
How strongly is democracy institutionalized in the United States?
Has its level of institutionalization changed over time, and how difficult would it be to deinstitutionalize democracy?

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Assignment:

** On a sheet of paper separate from your notes, answer the following questions. Once complete, you will turn your assignments into your box in the front, or on the designated area. **

How strongly is democracy institutionalized in your country?
Has its level of institutionalization changed over time, and how difficult would it be to deinstitutionalize democracy?
What formal structures support its institutionalization?