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Intro Comparative Politics

by: Chadrick Bechtelar III

Intro Comparative Politics GOVT 203

Marketplace > College of William and Mary > Government > GOVT 203 > Intro Comparative Politics
Chadrick Bechtelar III

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John Froitzheim

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John Froitzheim
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Date Created: 10/29/15
Comparative Politics Final Exam Review 1 Lecture 12 13 14 Challenges to Liberal Democracy in Europe Communism amp Fascism Social Democracy amp Political Economy Review We also discussed corporatism whether it was a good idea or not and I mentioned its connection to Mussolini s Italy Corporatism has existed in various levels and in different forms in countries across the world It continued to be especially prevalent in Latin America but we also see various quotcorporatistquot structures in Europe Africa Asia and the former Soviet Union In some ways this provides a mechanism to reduce social conflict and to allow the state to better coordinate itself As Mann tells us the state is a mechanism of coordination an arena that also shapes the interaction of the participants But through its coordination tendencies the state and those who dominate the state might use corporatist structures to gain greater power over society a means of centralizing power in ways contrary to more pluralistic models We also discussed the role of social movements and touched on briefly some of the approaches settling on Political Opportunity Structure approach POS is something like a juggler keeping three different variables in the air POS generally focuses on three components 1 Insurgent consciousness Here we are looking at how members of the society feel and the types of grievances that they have in the system Is there a collective sense of injustice Are the people sufficiently motivated to become movement members Note that the political context usually shapes the types of grievances around which the movement organizes Organization strength Similar to resource mobilization theory this focus is on whether the social movement has the strength and leadership necessary to achieve its goals Political opportunities this might be key Is the political system vulnerable to challenge Is there an opportunity for the movement to win For Katznelson the creation of social classes depended on 1 structure of the economy 2 ways of life 3 common dispositions and 4 collective action Two of the readings concern especially the problem of inclusion and the expansion of the franchise We note that there is resistance to expanding the franchise to universal male suffrage and that the process of moving politics in that direction takes about a year to happen and there is significant resistance from those already privileged by the existing political structure Yet we reach a surprising conclusion working classes get awarded membership in the franchise because doing so was the lesser of two evils The other evil was violence and revolution Instead of allowing working class tensions to grow towards violence political parties campaigned to expand the franchise and thereby gain new constituents and greater popular support Driving this are new social movements that are demanding extended rights both in terms of civil liberties and working conditions Both of these issues return with a vengeance when we discuss communism and fascist systems Huber Reuschemeyer and Stephens return to the question ofdemocracy and development and find that contrary to some thinkers the key to democratic development is the involvement of the working classes It is the working classes that are the protectors and supporters of democracy The middle class might help but only in alliance and if it is in their interest The middle class is somewhat fickle The landed aristocrats are the most resistant So what about Fascism and Communism We normally think of the communist state as being far to the left while the Fascist state being far to the right Both ideologies seek to create a totalitarian state and manifest in efforts to create a totalitarian state and to end democratic governance Both essentially see that the state should control most of society In those cases where the communist party or the fascists come to dominate both the state we see politics based on a single party that is able to exert significant influence over quotcivil society These classes will address the creation of the totalitarian states in Russia and Germany and we will also discuss the development of welfare states in Europe Big question Why do we get Fascists in Germany and Italy Communists in Russia and in the rest ofEurope the creation of welfare states 1 Almost all the countries in Europe are experiencing economic hard times during this period 2 Almost all the workers groups are thinking about overcoming exploitation Marxism is widely understood and read and there are socialists developing worker s unions and unions are starting to become politicized 3 Fascist movements in most of the countries of Europe and even in the US Yet in the US and Britain we get Keynesian Welfare States and liberal states in parts of Europe we see more social democracy and more socialist but democratic orders and in others Fascists or Totalitarian states Gregor starts our discussion by challenging the conceptions we might have about Fascism He reminds us that we need to start with some definitions What is Fascism What causes Fascism Why did Fascism emerge From Sodaro we get a pretty good definition of terms and ideas and we see some of the practice of social science applied through his various hypothesis testing projects But for you the question really should be why did some phenomena happen 7375 Comparative Politics Final Exam Review 2 Historical Institutional scholars might say that the moment in which an institutional system created is unique but it creates an institution that has its life of its own due in part to positive externalities that reinforce the interests in social actors in maintaining those institutions 1 Historical Context 92 Institutional structures 93 Positive reinforcing tendencies that promote institutional duration 9 institutional survival I A rational choice institution would argue that institutions remain because actors continue to want them to exist but the cause for institutions might persist It s possible that institutions are created by historical moments that need not be repeated creating an institutional structure that perpetuates itself because social actors participant in the institution benefit from it But it s also possible that there is a constant cause at work A constant cause might not be limited to the historical moment but might be a recurring problem for those who create and benefit from institutional structure I So Constant Cause on Actors gt Creates institution to respond to constant cause gt positive results The institution perpetuates because it continues to respond to that constant cause One reason for NATO s creation might have been that the US wants to maintain a presence in Europe to prevent another world war while countries in Europe seek to overcome their security concerns Once established the European members see the benefit ofa Europe in which countries are not competing with each other or mutually insecure and elect after the Cold War to sustain the institution Prevention of war and resolution of security concerns continues to determine the cause for NATO If we argue rational choice with constant causes shaping behavior we have something different Implications Historical institutionalism might tell us that Fascism was a unique moment for the countries that became Fascist and for Europe but a rational choice institutional scholar might argue that the same factors that drove the creation of Fascist states might continue to exist the causes might not be locked in a historical moment We might not find states that call themselves Fascists but states that adopt many of the same patterns or characteristics and might be responding to the same kinds of pressures End resut Fascism might be one response to a common set of political social or economic challenges leading to common applications of ideological economic military and political power Why did something happen in case X but not in case Y Why do we have fascism in some places and welfare states in others Gregor tells us to understand phenomena we need to engage in four kinds of propositions 1 Adequate definitions that serve to unambiguously distinguish elements within our universe of inquiry Do we have concepts that can be applied to multiple cases Empirical generalizations that explain the complex events and support classificatory strategies Can we make generalizations about those states that apply across cases 3 General empirical theories in which both definitions and generalization can be housed without contradiction and with mutual support Consider this as both the capacity to explain patterns of political behavior as well as theories that account for why things quotdon tquot happen 4 Moraljudgments concern the actions of individuals and collective political actors and even the nature ofentire political systems Gregor then gives us a discussion that Fascism is interpreted infour ways The consequence of quotmoral crisisquot The consequence of psychological disability The intrusion of the amorphous masses into political life The product of class struggle Sodaro and ideology Sodaro s discussion of ideology begins by noting that the rise of socialism corresponds with the problems of liberalism in the 19th century primarily that they create mass inequality and squalor Like it or not the free market capitalism of the 19th century proves to be devastating to the lives of millions of less fortunate Yes it creates a growing economy Perhaps it will lead to greater equality but to most people in the 19th century and early 20th century it breeds hardship and misery Fascism The first big case of Fascism that Sodaro points to is Benito Mussolini s Italy from 1922 until 1943 followed by the Hitler s Fascist movement from 19331945 but there are other Fascist movements in Europe at the time including in France and England but especially powerful in Hungary Romania Spain In part these regimes are created by the Fascist states themselves with Fascists leaders seeking to create allies in the East or sending support to Franco s army as it fights against communist and liberals We also saw Fascist or Fascist like movements rise up in other parts of the world in Switzerland Austria Sweden and even the US We have continued to see Fascists movements or regimes that acquire many of the elements of Fascism in other parts of the world since World War 2 perhaps the most prominent being among Afrikaner groups in South Africa Fascist movements emerged in response to the unique constellation of problems faced in the 1920s In Italy and Germany democracy had generally failed to overcome the various challenges faced by those countries and there was a strong sense among the population that democracy itself was the principle problem We can still see neo fascist movements today as being extreme responses to social or economic problems for which members of those movements believe democratic solutions are either inadequate or unacceptable EU Comparative Politics Final Exam Review l3 Types ofprobems unemployment national sensitivity a desire of order and security perhaps at the cost of liberty One could argue that such values might allow certain societies to prefer greater order and peace over liberty and justice Economic interests might outweigh one s ideological leanings Sodaro defines fascism based on four features hypernationaism racism totalitarianism and mass mobilizations through propaganda and coercion 1 Hypernationalism Both Italy and Germany were late developers and were late in the state formation process Both found themselves challenged to industrialize and to compete with preexisting states To overcome these challenges they appeal to a form of nationalism to pull society together to achieve broad social objectives Fascists played heavily on national glory and even in the interest of expanding their influence whether by creation ofan Italian empire or in establishing a Fascist quotNew Order by defeating the Soviet Union But this notion of hypernationalism also played on the idea of national unity at home Nationalism therefore plays a key role by reducing social conflicts within the society around a common unifying ideology Democracy is unacceptable because it breeds internal divisiveness and external weakness and thus national discord Democratic debate and free competition meant that the state is perpetually at war with itself One way of creating national unity was by drumming up hatred against old enemies Among those targeted were Jews but also gypsies One of those groups most frequently targeted were the communists The communists themselves are doubtful ofdemocracy a front of bourgeoisie domination Given the hyper inflation experience by Germany and the difficulties faced because of the end of the First World War one of the great internal fears is communist subversion through the working class Game Theory if we were to think of this in game theoretical language material scarcity may shift the nature of politics away from a more positive sum game which promotes cooperation and broadly beneficial ends to parties to a zerosum game that promotes individual competition but risks suboptimal outcomes There is a centrifugal pattern especially among the lower classes and their parties between those who are supportive of a more fascist state and those who favor a communist state Both communists and fascists want to destroy democracy if for different reasons Fascists are willing to do business with the middle and upper classes communists are perceived as looking for the destruction of the notions of private property dearly held by those classes In the end it will be the working class fascists that appeal to the middle and upper classes and especially the agricultural classes 2 Fascist Racism Consistent with the period Fascists often played on racists and other discriminatory tendencies as a vehicle to promote mass support against a targeted minority Yet we also see significant variation on issues of Race and Racism Hitler espoused an quotAryan Race and especially targeted those groups he felt were quotinferiorquot racial categories AntiSemitism was widespread in Europe at this time especially as one moved East across Europe The Jews were often targeted as the scapegoats for the political and economic problems of countries even though the Jews often made up a small proportion of the nation s population We continue to hear of some cabal ofJewish bankers leading to economic ruin in the US and not merely from the more extreme NeoFascist groups However the Jews were not always targeted Mussolini s Italy for a long time withstood the pressures of Hitler s AntiSemitism and maintained the notion that Italy s Jewish population were an old population that dated back to the days of Rome For the Nazi s all nonAryans were considered inferior including Slavs Gypsies and other groups Racism continues to be part of the ideology of most neoNazis worldwide and this includes targeting homosexuals and the handicapped In both cases homosexuality and disability are perceived as degenerate to the race itself as Eugenics gives birth to a race science that be used tojustify discrimination and intolerance I We therefore see that one of the hallmarks of Fascism is to breed disunity by playing on hatreds and fears of others targeting other communities as potentially challengers to the status quo 3 Totalitarianism Fascist ideology espoused the need for a powerful unifying state that would promote unity through a total state Totalitarianism is therefore an exceptionally intrusive form of authoritarianism in which the state monopolizes control not only over all institutions of government but also the arts education media science civil society and even religious organizations In the process the state takes over control over the economy but they did not favor the abolishment of private property but rather of keeping these firms firmly under state regulations to keep business operating in line with the government s priorities In a sense we see in this case a renewal of mercantilism emerges as well as corporatist entities or a system of state corporatism whose goals is to supervise the economy as well as organize the economy for war I There are boards created that allow the business community to meet on a regular basis with the state officials to coordinate economic goals and operations Other corporate boards exist to represent labor organizations while other labor unions not controlled by the party were abolished Corporations were formed that represented agriculture and other sectors of the economy I Here again we see the state being used as vehicle to repress independent labor through state coercion Furthermore we see a unity between the party and the state Fascist states end democracy and become essentially single partystates Comparative Politics Final Exam Review l4 4 Mass Mobilization one of the common characteristics we see of the Fascist state are these leaders standing up in front of large crowds massive displays of national pride through a variety of emblems and making very strident speeches The Fascists in Italy and Germany were both highly effective at using some of the common elements of electoral democracy to put themselves in power as well as to motivate society I It is also noted that both the Italian and German Fascist parties started out as working class parties when they began but that they drew much of their support from farmers the middle class and even the wealthiest strata of society Workers own little property but their allies include farmers wealthy classes and middle classes those classes most likely to see their property expropriated if the other challenger the communist come to power Sodaro points out that both the Italians and German Fascists freely engaged in coercive techniques as they build their mass support Each glorified violence against political opponents Mussolini s party defined itself as a militia comprised in part of black shirted toughs who would beat up political rivals and seize power by force if necessary But mass organization and mobilized isn t only about violence In both countries Fascists mobilized large groups of people to enlist maximum popular support and stifle opposition Propaganda was widely used to both heighten national pride as well as to play on the anxieties of the people Fascists also used massive employment programs to improve the economic welfare of large elements of the population Marxism The rise of Fascism in Germany and Italy was in part a reaction to the challenge of communism In both countries one faction of the working class the Fascists were able to build alliances with other social classes especially farmers and industrialists against the danger or played to the anxiety of communist revolution So what about Communism The rise of communism owes its origins to the Karl Marx and the applications of Marxism by Lenin Marxism itself is also a reaction born as a reaction to the inequities brought about by capital industrialization in Europe Eary Socialists Socialists were by the middle of the 19th century thinking of ways to replace the free enterprise system with different types of economic systems that could produce greater equality and prosperity for the people While liberalism and industrialization had produced unprecedented levels of economic growth overall it had not led to significant changes in levels of equality Instead many workers suffered from an exploitive and often unstable economic system prone to suffer booms and busts Some of these socialist thinkers were utopian socialists but efforts to build ideal socialists societies generally failed in Europe We still see some of this idealization and utopian thinking in Marx s idea of communism a state in which class divisions and with it politics are done away with Marxism borrows from Hegel the dialectic of history but distinguishes itself from Hegel by being materialistic rather than idealistic What does that mean Hegel contradictions The dialectic meant that history moves through recurring clashes between opposing forces Conflicts of religious beliefs ideologies and other modes of expression occur over thousands of years Movement from one historical epoch to the next involved some aspects of conflict and these ongoing conflicts were characterized by quotcontradictionsquot According to Hegel virtually everything creates its own opposite Joy produces tears etc Hegel was criticized the liberal concept of man and the state and saw that the state was an active agent for change State is a manifestation of man s rational nature and embodied the spirit of human history and the possibility of a rational society He discounted the liberal belief that the abstract human being operating of their own initiative could produce a rational and just society Rather Hegel believed that this would only promote man s alienation due to their own calculations based on selfinterest In contrast the state provided man the ability to achieve an ethical unity The creation of a parliamentary state would therefore allow for a rational ethical life free from the arbitrary that had characterized states in the past I Hegel believed that humanity would reach some kind of perfection where there was no more conflict but he based this on his idea of ultimate destination in the divine Marx challenged this Hegel was a philosophical idealist in the sense that he believed in the spiritual or ideal forces like a deity Marx was a philosophical materialist who rejected spiritual essences but believed that conflict was over material substances Marx was also critical of the liberal idea that the individual in civil society was the agent of human progress but he rejected Hegel s notion of the state Instead of Hegel s belief that the clash among sovereign states would lead to a better rational society Marx believed that the state was a reflection of the class holding power and in capitalism that was the bourgeoisie As a result the different elements of the state served those who dominated the economy Police power represses the lower classes 2 State economic entities served the interest of the dominant classes by providing essential infrastructure and support 3 The judiciary secured the rights of property owners over the propertyless 4 Wars were mechanism for opening up new markets Comparative Politics Final Exam Review 5 Sovereignty thought Marx was a myth of false consciousness People might believe that their society was rational free and fair but in fact it served the interests of a dominant class Class conflict Key to all of this process is economics and class conflict Marx is a political economist a person fundamentally interested in how politics and economic interact in social life Private property for Marx is the principle cause of alienation the selfestrangement of man from himself Industrialization meant that men were engaged from producing objects that do not belong to them which their employers sold and then pocketed the profits while the workers received wages that barely kept them alive Economics is therefore the principle motive force in society and politics Marx identifies the dependence of life on the circulation of commodities meant a life of enormous uncertainty constant change and the extreme exploitation of workers by owners of capital However industrial capitalism also opened up the possibility for people to organize and take control of the changes occurring in the areas that mattered most the productions relations that govern their lives I Economic relations condition everything that happens in human affairs from the type of government to the beliefs and social conventions Those who control economics control politics and the state is therefore always manipulated by those who control economic power What is the power of the social classes Social classes originate whenever there is private ownership over the means of production creating inherently antagonistic relations among men Class Divisions 1 Bourgeoisie as the entrepreneurs who owned factories and other productive enterprises with other private business people who stood to profit from providing their services in a free enterprise economy 2 Proletariat where the industrial working class the factory workers Borrowing from Hegel the key contradiction is between factory workers and bourgeoisie and will eventually shape the class struggle Thus the bourgeoisie creates the very class that will destroy it Borrowing from the idea of contradictions based on the relationship of the bourgeoisie and the proletariat the rich grow richer as the poor struggle to survive The bourgeoisie is the vampire of the working class I Yet the bourgeoisie can t help but exploit the working class Why The logic of capitalism is such that the bourgeoisie cannot help but exploit the workers simply because they are in constant competition with other bourgeoisie Thus capitalism takes on a rigorous and brutal determinism Economically Monopolization the more successful bourgeois eventually drive out their competitors forcing their competitors to become proletariats Even the middle class disappears into the working class as the groups that are its components small farmers small business holders artisans shop keepers are eventually crushed by the forces of capitalist competition What is political power for Marx Political Power is merely the organized power of one class for oppressing another Electoral democracy is therefore a shame that holds no hope for the working class bourgeoisie democracy is manipulated by the capitalist classes for its own benefit How does the socialist revolution occur How does that give to communism ls communism essentially an quotend to history Eventually the proletariat comes to comprise the majority of the population and only 10 of the population owns private business Marx says that his theory is scientific Believed that the destruction of capitalism and the victory of the proletariat were inevitable and ordained by the immutable laws of history For Marx history is governed by the laws of economic determinism thus history involves a pattern of social transformation from agricultural societies through capitalism and finally to socialist revolution Marxism as an ideology Tucker Marxism doesn t account for what actually happened in the developmental trajectory of modern western democracies In these cases what had the conditions that were ripe for Marxist revolution revolution doesn t occur Modernization occurs instead and it is an intelligentsia that drives the process not the membership of the working class As an ideology Marxism has its appeals It is a sweeping theory of history that is missing from other socialism lt addressed the currents that shape history but which move under the surface Yet it was also timely speaking to the demands of those who found the spread of free market capitalism troublesome But revolution does not occur in England Germany or France It finds its root in Russia and in other parts of the developing world Marxism s appeal It advocated a theory of liberation and selffulfillment of men rising above the productive forces of modern machine driven industry It is a theory of liberation and revolution but supported an ideal of the betterment of mankind and of the common man s ability to transform his world Therefore Marxism does not rise to great prominence in the developed west but it does become strongly tied to movements in lesser developed regions Both Prussia and Russia were late developers countries that were underdeveloped when compared to Europe but undergoing many of the changes that Europe had already experienced Yet Russia is generally prebourgeoisie and much of its society remains agrarian Comparative Politics Final Exam Review 6 The other powerful communist country of the 20th Century China is also prebourgeoisie and largely rural and agrarian Marxism is picked up by the radical intelligentsia sensitive to being a privileged minority but indignantly conscious of the great social cleavages that exist within their societies They see the great divisions in society essentially the possibility of civil war and they assimilate Marx s ideology to the realities around them Leninism Lenin is a member of the radical intelligentsia and he finds Marx powerfully attractive Lenin challenges notions of trade unions negotiating with capitalist employers Trade unionism was essentially the acceptance of capitalism Rather Lenin advocates a small party of revolutionaries to lead the national revolution against Tsarism The mass of workers are disorganized and cannot respond I The Bolsheviks come to power during a year of chaos for the Russians The Revolution of 1917 leads to the abdication of the Tsar Attempt by liberals and socialists to create a new state under the Provisional government fails largely because there is division as to whether Russia should continue to fight in World War 1 The Bolsheviks overthrow the government and create the new state The Bolsheviks draw their support from radicals and workers but they get their greatest support because they advocate ending Russia s involvement in First World War A brutal civil war follows as the Bolsheviks try to impose their order on Russia and the Russians must fight off foreign intervention but they emerge victorious and the Communist Party monopolizes power in Russia rename the country and create a new form of totalitarian dictatorship The state they create is a sharp departure from what Marx had supported The state swells in power and becomes a giant bureaucratic arm of the Communist Party Dissent is repressed and the economy is placed in the hands of the state and party This structure continues until Stalin s death The government that replaces him becomes oligarchic but the party remains dominant Repression continues the economy falters bankruptcy ensues and the Soviet Empire is grinding to collapse by the late 1970s Marxism as Revolution outside the Soviet Union The success of the Russian revolution and apparent changes created by the Soviet Union creates as model for others to follow After 1917 governments across the globe become increasingly sensitive of the danger of a communist revolt or coup launched by a small cadre of radicals and begins to look to ways to stamp out this threat I The communist revolution in Russia is therefore the beginning but not the end Marxist revolution becomes the leading form of revolution across the globe Worker groups call for nationalization ofassets and an overthrow of the state leading to a response from the democracies to repress such groups Mao s success in China will lead to an agrarian revision of the Marxist agenda that continues to shape revolutionary movements even today Revolutions in Nepal and Peru have followed a Maoist path 0 Marxist revolution continues to spread after the Second World War as an ideological challenge to the liberal economics of the west Indigenous groups are recruited and enlisted by communist revolutionaries such that communism becomes a global threat to capitalism Yet for Marx many of these revolutions should not have happened Quite simply many of these colonies like Russia and China are not suitable for revolution For colonies Marx believed that the experience of capitalism was essential if only to get these societies to the point where communist revolution was possible These states still needed to become capitalistic Communist revolution is the result of capitalistic breakdown but these colonies are barely if capitalistic Communist revolutionaries are often led by members of the middle class intellectuals but the foot soldiers are often peasants and agrarian workers As Tucker tells us communist revolution has been a revolution of underdevelopment in two senses 1 It typically comes about in the setting of underdeveloped societies 2 It becomes after the achievement of power by the communist revolutionaries a longterm effort to overcome the country s underdevelopment In a sense it is a movement of rapid modernization with the state playing a pivotal role as the leader for that development But in Europe we saw one strand of Marxist inspired socialism take form Social Democracy is a combination of economic socialism and political democracy Eduard Bernstein SPD leader challenges these ideas For him socialism should not mount a revolution but promote democracy Refuting Marxism Bernstein says that the aim of the socialist movement should not be to overthrow democracy but to promote democracy which he saw as the absence of class government He therefore advocated universal suffrage proportional representation equal rights and parliamentary control over legislation even as he rejects military dictatorship and a dictatorship of the proletariat Key to the social democrats9moderation and compromise After World War 2 the SPD is revived and continues to be one of the major parties of Western Germany It abandoned nationalism and accepted private enterprise and the market as the principle mechanisms of economic production even as it has continued to promote the interest of the working class and other constituents Other working class parties had also emerged in Europe We ll turn to that in a little bit Socialism outside of Europe Comparative Politics Final Exam Review 7 We see varieties of socialism outside of Europe There have been strands of socialism tied with Islam in the Middle East and North Africa The Muslim Brotherhood had initially socialist leanings but we see socialism continues to be a feature of many Islamic philosophies although this has waned in recent years In Africa Julius Nyerere in Tanzania utilizes a form of socialism based on ujamaa an effort to utilize socialism to recreate many of the virtues of African traditional society and familyhood Socialism has also taken root in Latin America Most notably we saw communist dictatorship in Castro s Cuba but we also saw a rise in social democracy in Salvador Allende in Chile who was deposed in partnership with the US by Augusto Pinochet Political Economy Different types of Economies and the Rise of Welfare States We can see the rise of communist and fascism as challenges to liberal democracy and capitalist economics We can also see that more social democracy has also emerged based to some extent on Marxist or socialist ideals as a champion for the working class Much as the enfranchisement of the working class grew in the 19th and 20th centuries so too perhaps the creation of welfare states might have been a devil s choice for politicians Given the choices perhaps there were few alternatives except create welfare states Political economy Sodaro tells us that political economy is the study of how people pursue collective economic goals and deal with conflicts over resources and other economic factors in an authoritative way by means of government Political economy is about the relationship between the economy and the state and about the various ways people try to use the state to improve their economic welfare This is why many of you studying politics are encouraged to study economics Political Science and especially Political Economy borrow extensively from economics Rational choice theory game theory prospect theory are all theories borrowed or developed by economics and borrowed by political scientists Likewise Marxism is often seen as a historical economist but his theories have been influential in political science for decades From these theories we can draw some interesting conclusions not the least of which is that rational action that is beneficial to the individual might be suboptimal for society a finding drawn by much of game theory that studies social interaction Previously we mentioned how different levels of economic success can also lead to different patterns of politics A positive sum game is easier to reach when the economy is prospering while conditions of material scarcity can bread more zerosum configurations Two questions generally shape political economy 1 How does economics affect politics 2 How does politics affect economics Both questions are premised on the idea that the relationship between politics and economics is frequently interactive In studying political economy we look at the relationship between states and markets How do governments affect market forces Sodaro offers us a typology of three types of systems of political economy to consider 1 Laissezfaire capitalism 2 Centrally planned capitalism 3 Mixed Economies To further help in our understanding he also offers us a broad examination of some of the language of political economy fyou haven t read this you should LaissezFaire Capitalism is a form of political economy with the little government interference The emphasis is that capitalism means private ownership and thus capital is private In its purest form it means an economic system in which prices are determined mainly by supply and demand There are few LaissezFaire systems that continue to exist today although we have had systems that were much more market driven Most of our economies now are mixed economies of some sort But this was not always true and the movement from a laissezfaire system to a more mixed system proved to be rather contentious We saw some of that contention over whether there should be universal suffrage LaissezFaire systems did exist during the 19th century in the US Britain and other countries and the ideology behind LaissezFaire was pioneered by Adam Smith the Scottish economist Smith realized that capitalism was essentially about personal gain and that individual selfinterest was the driving force But for Smith the consequences of individual action were to promote the general welfare quotIt is not from the benevolence of the butcher the brewer or the baker that we expect our dinner He wrote quotbut from their regard to their own interests The enterprising individual does not intend to promote public interest nor is he promoting it Rather he is led by an invisible hand to promote an end which has no part of his attention For Smith it is the invisible hand that leads to social prosperity and shapes the operations of the free market Thus the free market does not lead to choose but creates selfsustaining mechanism that would regulate production wages prices and even population through the delivery of incentives and restraints Comparative Politics Final Exam Review 8 As mentioned earlier Smith is responding to English mercantilism and his goal is to get the state out of its direct role in the economy and control over foreign trade with the goal of promoting national wealth In a sense his book is a response to mercantilism Smith s work still is the basic text of classical economic liberalism Some qualifications But it should be noted that Smith is not advocating personal greed and a kind of free market anarchy Rather Smith believed that the market required some form of moral order characterized by human benevolence and selfrestraint under a legal system that would effectively punish wrongdoing Thus the state plays a part in the market Furthermore the state plays a key role in providing public projects that are too expensive or unprofitable for the market This included infrastructure public education and even cultural activities to prevent the spiritual decline of the population Smith also recognized that the free market would lead to economic equality and that the beneficiaries would be the population as a whole Other important economists David Ricardo argued that capitalists had little choice but to squeeze their workers to produce everything they could at the lowest possible wages Thus the iron law of wages stipulated that the development of the economy and the creation of future employment relied on the pitiless capital accumulation at the expense of the impoverished labor force Thomas Malthus tells us about the danger of overpopulation Keep wages low to keep populations low Social Darwinism thanks to Herbert Spencer we learn about the quotsurvival of the fittest and Darwin is turned on society Note it seems that some of the liberal philosophy seems to explain and justify patterns of exploitation that are a consequence of liberalism itself There seems to be an ideological shift to defend the idea thus allowing for an idea of a society based on inequality that was somehow quotunfitquot At the other extreme from Laissez Faire capitalism is the Centrally Planned Economy Centrally Planned Economy Essentially is an economy which is dominated by the state and private enterprise is minimized We see this in the Soviet Union China and other communist states Agriculture is collectivized the means of production are nationalized and put to state purposes directed by central state authorities The government establishes plans for the economy and the production of farms and factories This is also called a command economy Like the LaissezFaire system few of these continue to exist today and are found primarily in the relics of formerly Marxist states The idea is that a fully planned economy would be more rational in the production and allocation of good than a capitalist system Given the chaos of the market resources were wasted as the multitude of private individuals made decisions and the state can t afford the waste of such resources A planned economy would avoid these pitfalls and ensure higher and faster growth But a planned economy also facilitates the control of those who rule over those who are ruled Did it work Well not in the longrun but In the 1930s the Soviet Union s industrial production grew dramatically under the new system and the USSR shifted from a backward agricultural economy to an industrial giant within a decade During World War 2 the Soviet Union was able to overcome the loss of much of its most productive territory the destruction of its major cities and yet carry on the vast bulk of the fighting against the Germans throughout most of the war To be fair to the Soviets it is uncertain whether the US and Britain alone might have won the war against Nazi Germany It is much more likely that the Soviets might have won the war even if the Western allies had not invaded Fascist occupied Europe Furthermore not only did the Soviets emerge victorious from the war and occupied most of Eastern Europe but their military soon led them to become one of the two superpowers allowing them to continue a Cold War against the US for much of the 20th century The example of the Soviet Union therefore serves as an ideological alternative to the liberalism of the West TO much of the world the Soviet Union is seen as a great success and thus for postcolonial leaders it offers a blueprint an example of how a state can overcome its underdevelopment to rapidly move out of poverty and marginalization Yet the Soviet efforts to overtake the US never materialized in success They are able to detonate an atomic and hydrogen bomb They beat the US in getting into space Their chess champions and Olympic athletes are devastating But the economy is stagnating by the 1970s Why One argument finds that the rapid growth of the Soviet Union was the result of utilizing cheap labor and massive injection of capital into the industrial process Quite simply massive injection of capital cheap labor is a recipe for rapid but unsustainable economic development Eventually either the capital runs out or the labor gets tired of being exploited One problem the weight ofa planned economy means that the countless decisions being made to maintain a market economy are being manipulated from the central state but that whatever selfregulating behavior exists in the market is lost The many calculations are overwhelming Added to this the USSR is a repressive state and bad policies remain in place because the Communists are unwilling to give up leadership As a result it is in the interest of those in power to stay in power Data on the Russian economy is therefore generally flawed and inaccurate and it is the work of economic historians to try to figure out what actually occurred in the Soviet Union and China Efforts to reform under Gorbachev prove unsuccessful as no model is ever achieved that can keep the USSR from economic collapse Comparative Politics Final Exam Review l9 China actually begins the process of dismantling its centrally planned system before the Russians in part because of a recognition that China needs to switch paths if it is to succeed We are left with a question Does the conversion from a centrally planned system to a market driven system offer hope for democracy or dictatorship On one side we would assume that the free market will lead to patterns of politics in which private property holders wish to limit government and participate in government decision making But the other side of that is that the costs of economic transformation require stability and control at the center That the chaos of economic transformation creates pressure for a central leadership that can impose order while transformation is underway Alternatively we may anticipate that the road to democracy might be rickety and long with frequent turnaround periods Mixed Economies Mixed Economies combines both private enterprise and state involvement in the country s economic affairs Keynesianism refers to the state s use of fiscal and monetary measures and public spending to promote growth in the economy dominated by private enterprise Lecture 15 Welfare States Review Last class we finished up with Marx discussed why Marxist ideas have spread especially to developing areas and notes how Marxism and to a certain extent Fascism are both ideologies that aim to rapidly develop economies through state intervention in the economy and society These are political ideologies that rely on mass mobilization We discussed briefly how an alternative to Marxist revolution grew in Europe under the banner of Social Democracy that sought to utilize democratic governance to achieve better levels of social equality and worker rights within these industrial economies In Europe we see the spread of social democracies and expanded welfare states Outside of Europe we also see a spread of social democracies but these are more problematic In some cases social democrats had often been overthrown in part with US support by more reactionary forces that saw the social democrats as potential communists orjustified their reactionary coups as a means to prevent wouldbe communists from seizing the state For Americans this places the US in the odd position of supporting rather nasty dictatorships and raises challenges against the US The US is often perceived as the perpetuator ofdictatorship and tyranny as well as widespread social suffering due to the relatively weak marginal status of many developing states and their relative difficulty in industrializing There is a perception among liberal Western states of the danger of potential communist revolution and a willingness to tolerate dictatorship as the lesser of two evils Much of the Cold War that occurs after the Second World War is an ideological battle In Western Europe and in Japan the boundaries between the two systems the communist command economy supported by the Soviets vs the capitalist and sometimes democratic states supported by the US In much of the rest of the postcolonial world the boundaries are blurred The danger of the Cold War is for the US the spread of Marxist and Maoist ideologies that will convert postcolonial states into communist satellites from the Soviets Many fear that there is a danger of a small cadre of revolutionaries can seize power and impose a communist state allied to the Soviet Union therebyjustifying US repression and intervention in Latin America and other parts of the postcolonial world Political Economy is essentially the study of how economics and politics mix How do political choices affect economic choices how do economic issues shape political interactions We might note that our discussion on the rise of Fascism and Communism emphasized that both were responses to perceived failings of liberal democracy to deliver the economic prosperity to the masses Both are therefore ideologies will little faith in democracy and which support an alternative with the state playing a major role in economic transactions With Communism we have a command economy with Fascism we have state corporatism but under the control ofa single dominant party state Sodaro gives an overview of some of the key concepts we should be familiar with when we deal with economic relations Most of you probably know these terms or are familiar with them but for those who don t it s a good review fyou have problems let me know LaissezFaire Capitalism LaissezFaire Capitalism theory of little state intervention popular in parts of Europe in the 19th century and originated largely through influence of Adam Smith s Wealth of Nations It is from Smith that we get the idea that capitalism works because it allows individuals to pursue their self interest and consequences of this for a society is general social prosperity For Smith the market has a way of selfregulating itself shaping patterns of supply and demand price and labor rates as necessary through the quotinvisible hand Yet Smith did not support the complete removal of the state in the economy Rather Smith supported the role of the state in providing certain goods to a society that the market wasjust inefficient in providing things like police law and order infrastructure public education We see today that some of these goods are being subcontracted out Military training education prisons and Comparative Politics Final Exam Review 10 a t to are 39 39 039 being ub tu t d to private providers We can ask whether such subcontracting is actually in the state s best interest Other Liberal thinkers also shaped our understanding of liberal economics We mentioned 1 David Ricardo and his quotiron law of wagesquot 2 Thomas Malthus and the problem of population explosion among low wage earners and his prescription to keep wages low 3 Herbert Spencer William Graham Sumner and others give us Social Darwinism Sure enough in the 19th century great economic growth is achieved under laissezfaire capitalism and we have a group of powerful tycoons emerge that often seem to dominate the economy Railroad oil steel and other magnates grow powerful and influential and largely do so without the challenge to respond to labor or to meddlesome government regulations Only with the Franklin D Roosevelt s New Deal did laissezfaire begin to disappear in the US in large part because laissezfaire is criticized for contributing to the patterns of booms and busts in the economy the worst of which the Great Depression led to a series of political crises contributing but not necessarily causing the rise of Fascism in Europe The result of the New Deal and other state policies leads not only to expansion of state capacity to intervene in the economy but also the growth of new mechanisms of regulation over the economy to reduce the risks of booms and busts This is a period where we are seeing a growth in state regulation as the potential abuses within an unregulated economy become increasingly manifest In the US we see such legislation as the Sherman Act at the beginning of the century rapidly expand through Securities Exchanges Acts of the 1930s Across much of the world states begin to more aggressively intervene into their economies to reduce the dangers ofan unregulated market The polar opposite of the LaissezFaire system is Centrally Planned Economies or Command Economies The leading and probably first case for this is found in Russia with the communists coming to power in 1917 Over the next several years the communists fight a bloody civil war to solidify their rule over Russia and while there is a brief period of private enterprise under Joseph Stalin the economy begins to fall under the power of the state The Soviet Command economy takes charge of virtually all aspects of the economy farms stores and services all are placed under the control of government agencies backed up with the coercive power of the state Agriculture is collectivized and subject to bureaucratic supervision Factories are required to respond to official production quotes specifying the types and quantities of goods to be created The system created by Stalin lasts through the Gorbachev years and is perhaps the main reason why the Soviet Union eventually crumbles In short the country bankrupts itself In the US especially among Conservatives there is a strong belief that increased military spending under Ronald Reagan but actually begun under Carter led to the collapse of the Soviet Union but the Soviet Union is in trouble in the 1970s The collapse is actually forecasted much earlier by a US foreign service officer and political scholar George Kennan who helps conceptualize the containment policy of the Soviet Union a policy to contain the spread of communism and then wait out the inevitable collapse of the Soviet economy because of its inherent problems For the communists in the 1920s however a command economy was believed to be more rational in the production and allocation of goods than a capitalist one In a sense the communist would replace the countless small choices made by individual private economic actors with the intention and will of the state Resources would not be wasted on unnecessary production Inflation would be contained unemployment would be avoided as would inequality bankruptcy and economic depression Therefore the communists seek to put the engine of the economy into the hands of the state and allow the state to lead the country to economic transformation But In the process the command economy also allows the narrow class of political leaders to control the economy In short they have captured it and stamped out the opportunities for private individuals to operate independent of the communist party It is the extinction of economic freedom as Sodaro points out that corresponds and reinforces the extinction of political freedom Remember earlier in the course we mentioned that for economies to grow violence must be domesticated by the state In the command economy violence is being used by the state to allow the state to monopolize economic power But the state is merely an arena While state agencies may have some flexibility and autonomy it is a social construct and still serves social actors LaissezFaire Capitalism allows powerful economic actors to dominate the economy and thus shape political policy through their influence in essence as Marx might suggest a case of a private faction of society controlling or dominating the state and the state serving that class s interest In a Command Economy a very political faction of society the political leadership controls the private economy In both cases we would anticipate that the class will seek to ensure policies that favor their interests So if the state dominates the economy the ruling class might utilize the state to redistribute wealth and political power into their own hands fyou have a very weak state and very powerful social actors within economy than it is the large business interests that seek to control the state Comparative Politics Final Exam Review 11 The communist state is totalitarian it is not only the economy it controls but all potential aspects of society that can either be utilized to advance party policy but also that might challenge party interests Results In Russia we see dramatic industrialization in the 1930s and the Soviet Union moves from a rather backward agricultural economy to an industrial economy This is not without cost Agricultural production suffers as a consequence of collectivization due in part to the political transition and exchange of ownership from private actors to public ones During the Second World War German invasion devastates much of the most productive regions of the Soviet Union until the Germans are on the gates of Moscow Leningrad now St Petersburg and Stalingrad now Volgograd Yet the Soviet economy is largely able to create the army tanks artillery and force of arms to turn the tide and defeat the Germans in some of the largest battles ever known By the 1960s the Soviet economy gradually revived and the Soviets are the major challenger to the US There is a belief that the Soviet economy will surpass the US but that never happens Instead the Soviets begin to fall behind their mixedeconomy competitors and by 1985 the Soviet Union is suffering an quotera of stagnation As the US Europe and Japan develop new technologies the Soviets face challenges catching up While Gorbachev tries to change the economy without giving up power he never succeeded and eventually Gorbachev gives up the communists monopoly of power In the process the restless nationalities within the Soviet Union begin to break away remember our readings on nationalism and state building Collapse of the center allows those regions indirectly controlled to break away Russia begins to move towards becoming a mixed economy with substantial private enterprise and market mechanisms But the transition is not easy Parts of the former Soviet Empire in Eastern Europe also experiment with democracy and capitalism and some begin to turn to the Europeans and democracy We see a gradual expansion of NATO and the European Union But we also see the continuation of single party dictators allied to Russia Within Russia we see resentment and nostalgia for the security and peace of the former Soviet Union With time we see a powerful ruling class seem to emerge in Russia In China the process of dismantling the state run state begins even earlier Under Deng Xiaopeng China begins to move away from the centrally planned economy but largely under the leadership of the Chinese Communist Party It is the Communist Party that inaugurated privatization transferring industrial and agricultural development into private hands even as the Communist Party remains in power This leads to an interesting question how should economic transformations be conducted Do we utilize a form of quotshock therapy that promotes rapid transformation in a short period of time trying to change everything Or do we favor a more gradual transition as in China where the political machinery is utilized to oversee the economic transition Mixed Economies and Welfare state The mixed economy contains aspects of both private enterprise and state involvement in economic affairs Mixed Economies display a variety of degree Some have more state intervention than others They also differ in the forms of state intervention Indirect v Direct intervention Some states take a more direct role in economic transformation but many also take a more indirect role allowing private enterprise and market mechanisms to play the main role even as the state seeks to influence or adjust private behavior in order to advance national interests We see in mixed economies an important role of central banks that might set interests rates to rein in inflation or stimulate growth We see an emphasis on tax policy as a means to shape political and economic goals Mixed economies and indirect interventions are most widely associated with Keynesianism Keynesianism is a label for the state s use of fiscal and monetary measures and public spending to promote growth in an economy dominated by private enterprise It is most closely associated with ideas of the British economist John Maynard Keynes Keynes theories come in response and in criticism to some of the classical economic theories developed by Adam Smith David Ricardo and others but he is primarily addressing the problems faced by the Great Depression Classical economic wisdom was that based on classical economics LaissezFaire capitalism would work out a recover in the end quotIn the long run we re all dead Keynes Keynes argued that the best way to stimulate economic growth out of the depression was to increase spending that is the aggregate demand for goods and services More money spent on these things would allow business to amass enough profits that they could expand their operations and hire new workers However because consumers don t have much money to spend efforts would be needed to create demand Problem A free market economy does not possess the mechanism needed to recover from depression on its own What was necessary was state intervention State intervention was necessary to spark economic recovery by spending from the national budget thus injecting spendable money into the economy and getting the private economy revived The state could intervene by directly purchasing goods and services from private business or by hiring people for military service and public works Comparative Politics Final Exam Review 12 The idea put cash in the hands of consumers and business to enable them to buy more things and thereby increase the demand for goods and enable businesses to increase production While Keynes is working this out FDR s New Deal is already in action FDR and his group are trying to find ways to stimulate the economy and their methods are largely experimental They undertake mass hiring of unemployed workers and undertake new public works projects You often hear that the US did not get out of the Great Depression until World War 2 Perhaps but World War 2 was in essence a period of massive government spending for the means and labor needed for conducting war It is a massive injection of government spending on the economy Problem Deficits At the time of the Depression the US is already suffering deficits Keynes calls for more spending increasing those deficits Classical economists said this was very dangerous and that sound balance budgets were necessary Keynes challenged this and support deficit spending Deficit spending is spending by the government even though there is a budgetary deficit that cannot be balanced through ordinary revenue sources such as taxes To finance this excessive spending the government must borrow money from individuals and other lenders and pay them interest thus building the national debt Keynes believed that money governments spent over the budget would eventually come back to the national treasury in the form of enhanced tax revenue collected from more profitable businesses and well paid employees Keynes the Socialist Not quite Keynes did not believe that the state should replace the economy but rather that the private economy was the main source of economic growth Rather the state was needed to stimulate private enterprise After World War Z Keynes s theories grow increasing popular in the US and in Europe Keynesian methods are used by states to regulate their economies and the business cycle Keynesian economics also offers a possibility for developing states to emerge from relative underdevelopment However for many there is limited industrial development This may prove problematic In the Developed Industrial Economies economic challenges led to a reexamination of Keynes theories In part the argument is that national debts have reached significant heights that they hamper future growth Keynes however leaves us with the question how much government intervention should there be in the economy not whether the government should intervene Other types of Intervention In addition to taking indirect forms of economic interventions governments can also take more direct forms One of the most popular ways is through stateowned firms sometimes called public enterprises but also sometimes called parastatal enterprises or state owned enterprises Example In the US the Port Authority of New York has been a state owned enterprise as is Amtrac But we find other types of state owned enterprises throughout the country providing goods and services Many public garages are stateowned entities Outside the US Air France Rolls Royce and other giant companies We see many state owned enterprises outside of the developed west in part because few other powerful economic actors exist besides the state to stimulate economic growth As such the government begins to take the lead in creating new industries and new firms The main difference between public enterprises and private firms is that the managers and work force for these entities are employed directly by the state and their earnings go to the national treasury after paying their own bills Public enterprises can also obtain loans from the state In some cases public owned enterprises serve to reduce unemployment and can be utilized to earn money for the national treasure and serve to provide government services that the market might not be able to provide Critics challenge them as being less efficient and less competitive than private firms The results are largely mixed For example one of the burdens on the Chinese economy has been large state owned enterprises that essentially exist to keep people employed Other public owned firms such as national airlines compete with private airlines but because they have the insulation of state protection they often can take advantage of their public nature and become more inefficient In many parts of the world public corporations were essential for the state to begin to industrialize and provide services In large parts of the world telecommunications is dominated by state owned enterprises Beginning in the 19805 and through the 19905 we also saw extensive privatization of public enterprises around the world as part of the Washington Consensus a set of liberal policy prescriptions coming from the international financial institutions headquartered in Washington DC World Bank Group A condition for international loans could include increased privatization Privatization is the transfer of stateowned enterprises to private ownership This was especially pronounced in the former Soviet Union as state owned firms are sold to private actors and foreign interests leading many to question whether they have just sold their economy to outsiders In contrast Nationalization is the transfer of privately owned firms to state ownership Nationalization was especially pronounced in parts of the developing world when the state would seize private usually foreign owned industries that dominated the economy In part this was done to ensure that the state controlled the economy Often the consequences were detrimental in the longterm and did not alleviate patterns ofdependency within the developing world on the industrialized states Comparative Politics Final Exam Review 13 Bureaucratic coordination here we are talking about the power of the state to coordinate the actions of private firms for broad national purposes Leading this movement were the economies of Asia In Asia we saw public bureaucracies play a significant role in the promotion of industrialization and exports In Japan and South Korea there has been significant state involvement in coordinating and working with industry The consequence was large firms that were tied to the state The benefit large corporations have tremendous economies of scale and capacity to engage in capital intensive development But the tie between the state and industry means that the state is willing to protect the large corporations allowing for economic inefficiencies among those firms Agencies involved in such coordination include the Ministry of Finance and the Ministry of Economy Trade and Industry organizations that allow a relatively technocratic bureaucratic staff to work with business for the expansion of business opportunity But we also see this in German and Austria where certain corporatist structures continue to involve discussion between government business and labor In France there is a system of indicative planning that ties business with the state through coordinated general guidelines and expectations for economic development However in Africa the creation of purchasing boards and other bureaucratic organizations to coordinate agricultural development and other economic activities is largely criticized for contributing to that country s fall Welfare States Broadly defined the welfare state is a form of political economy in which the state assumes responsibility for the general welfare of its population This is especially true of the most vulnerable members of that society providing goods such as education housing healthcare pensions retirement unemployment compensation food subsidies and other programs The term of welfare state really picks up in the 19305 and takes different patterns in England Germany Sweden and the US Philosophy Jeremy Bentham goal of government is to promote the greatest happiness of the greatest number Governments should provide certain services to the general population and that democracy was the best vehicle for the delivery of those services John Steward Mill Opposed the completely unrestrained free market Mill supports a laissez faire system and thinks that any departure from it unless required by some great good is quota certain evilquot Yet Mill also believes in statefunded education public works restrictions on child labor limited government assistance to those who cannot work trade unions inheritance taxes producer cooperatives that would allow worker ownership of economic entities and other innovations that promote some modification of the British laissez faire system In Germany creation of the early welfare state is in part a means to prevent the spread of socialism and to gain greater control over the working class Pierson Capitalism Social Democracy and the Welfare States Once again we turn to the basic question Why do we get Fascism in some places Social Democracy in others and a more liberal state with a welfare state in a third set of countries or how do we account for variations in Germany Sweden and the US Pierson points out that 1 Under classical political economy capitalism is against the welfare state Welfare states are incompatible with the basics of capitalism For the classical scholars the exercise of state power should be limited to defense for the realm rule of law and certain public institutions that the market could not provide form More than that was dangerous Rather labor needed to feel compelled to work or the economy might fall to ruin 2 Marx was also critical of capitalism and the potential for creating a welfare state In essence the state cannot serve two matters but serves exclusively the interests of the ruling class But Marx discounts the likely hood that the state will intervene to promote the welfare of the working class Rather the state intervenes to protect the interests of the dominate class Result both the liberal and Marxist position oppose idea of capitalism creating a welfare state So how 3 However there does seem to be a symbiosis and support for capitalism and the welfare state By the early 20th century significant social developments are pushing for some kind of balancing between capitalism and the welfare staet4 1 Impact of industrialization longterm decline in agriculture and rural population increased urbanization and large cities creation ofa large landless class of urban labor This leads to requirement for skilled labor unemployment as an involuntary condition growing white collar employment and middle class creation of societies with unprecedented wealth 2 Population growth and the changing social composition of the population Changes in the nature of family and community life greater division between the working and nonworking population decreased infant mortality and higher life expectancy lots of folks not participating in the labor force 3 Growth in national states State formation and management expand in coordination with industrialization States expand patterns of internal pacification greater centralization ofauthority 39 39 I of 39 39 39 39 quotservants and growing state competence Comparative Politics Final Exam Review 14 4 Growth of political democracy and the rise of political citizenship Franchise expands leading to new social democratic parties and greater interest in addressing social problems of society Pierson therefore sets up a series of thesis that seeks to explain the origins of the welfare state 1 The welfare state is a product of the needs generated by development of industrial society Moral approach Expansion of industrial states also leads to greater humanitarian and charitable sentiment Logic of Industrialism news generated by industrializing society leads to new state functions and birth of the welfare state State emerges as a response to industrialization of society Correct Part of the problem is the form and extent of the welfare state Recognizing the need for a welfare state doesn t explain why you get certain states or why they develop as they do Note distinction between public and private goods 2 The welfare state is a product of successful mobilization to attain full citizenship in the context of industrialization This is a modernization argument and a politicization of the industrialism thesis Here we have two revolutions at play an industrial and a political one and the intersection of both leads to the consequence welfare state The creation of a welfare state is largely one aspect of the modernizing process in which individuals gain rights over a long duration civil rightsgt political rights gt social rights Note that social democrats didn t necessarily believe that the development of capitalism would worsen the interests of the working class but that capitalism was capable of reform Social class grows more differentiated and middle class grows Furthermore they also argued that capitalism could grow without crises But key to this was winning mass parliamentary democracy and changing the balance of social forces Problem for social democratsgtcreation of socialism The dilemma of overcoming the problem is the Keynesian welfare state Keynes offers ways to intervene in the economy but also means that private capital survives as social democrats abandon the traditional socialist aspiration for socializing the economy Formal ownership of capital becomes irrelevant to the social democrats This changes the nature of politics from a zerosum game over production to a positive some game over redistribution 3 The welfare state is a product of industrial and political mobilization it embodies the successes of the social democratic political project for the gradual transformation of capitalism Power resource model focuses on the resources that can be mobilized and used in politics that differ in classrelated ways In capitalist economies economic power is vested in capital itselfthat can be exercised through contracts and benefits the capitalist classes Political power exists in the power of the ballot and vote mobilization ofvoters Under this approach institutionalized power struggles under advanced capitalism are a struggle between the logic of the market and the logic of politics It is a conflict between capital and workers The more successful the working classes the greater the likelihood ofa welfare state Capital wins and its liberal 4 The welfare state is the product ofa struggle between the political powers of social democracy and the economic powers of capital Its further development under social democratic hegemony makes possible the gradual transition from capitalism to socialism Sodaro offers an explanation that looks at Germany Sweden and the US In Germany the Nazi party takes advantage of economic challenges and creates a welfare state to vest economic power in the hands of small ruling class In Sweden there is a great compromise between different classes and interests to achieve the creation of the cradleto grave welfare system with sizeable benefits to the working class In the US the New Deal is a workinprogress that Roosevelt eventually gets passed and changes the template for the postwar state Satisfied Gregory Luebbert offers an argument about the rise of Fascism Liberal Democracy and the Social Democracy in Europe Luebbert makes the argument that much of this had to do with party organization and the nature of cross class alliances Before World War 1 it was possible to create a pluralist democracy but after World War lit proves virtually impossible to create the institutions needed for pluralist democracy Rather in those countries corporatism becomes the vehicle for stabilization In Germany Italy and Spain that leads to Fascism In Scandinavia that leads to social democracy Why the difference it comes down to class relations In Britain France and Switzerland countries with a unified middle class liberal forces established political hegemony before World War In short democracy is widely accepted and the middle class is generally unified around democratic governance The working class has few class allies to turn to if they wish to overthrow the system Additionally the working class is broken down into small groups By coopting considerable sections of the working class with reforms that weakened union movements liberals essentially excluded the fragmented working class from the political process remaining in power throughout the interwar period In short Fascism and Communism never become realistic threats to the democratic order Comparative Politics Final Exam Review 15 In countries with a strong cohesive working class and a fractured middle class Luebbert points out a liberal solution was impossible Because the middle class is as divided as are factions of the lower class In Norway Sweden Denmark and Czechoslovakia political coalitions of social democrats and the quotfamily peasantryll emerged as a result of the First World War leading to social democratic governments In short these coalitions were able to fashion agreements in which both peasants and workers were able to gain their quotcradle to grave welfare system and democracy survives In Italy Spain and Germany on the other hand the urban middle class united with a peasantry hostile to socialism to facilitate the rise of fascism Remember our Hemingway and its depiction of the difference between communists and fascists The Fascists turn the coalition of classes against the communists and repress Then what Post War welfare states Expansion after World War 2 The price of victory lends to a more robust welfare state in Europe that rapidly expands through the 19605 and early 19705 Keynesian welfare state becomes the dominant model and often in Europe consumes massive amounts of taxes Social programs are expensive but as the national wealth growth so does the willingness to make those payments Welfare state expands and offers broader services not only to the working classes and poor but also to the middle class Wider services are offered including education and health care But these are expensive Generally most parties in these states accept the idea of the welfare state but differ in the form and nature of payouts as well as degree of welfare state But the key problem is expense In the process US and Europe move towards postindustrial economics economics dominated by services with manufacturing moving overseas In the 19705 we see economic downturn in part due to oil but also because of economic transitions Recession politics makes welfare spending expensive and states begin to reconsider the Keynesian welfares state model Welfare state spending is seen as too expensive and entailing heavy tax burdens Conservative candidates begin to take apart the welfare state in favor of greater role of the private sector and less government Despite this the welfare state remains popular in many parts of the world Yet this has also shaped political trends Sodaro makes the note that one of the contradictions is that politics in the developed state often leads to patterns of overbidding where the politicians make promises they can t keep and once elected don t keep leading to mistrust and a lack of faith in governance At the same time politicians find themselves dealing with the demands for more benefits even as society demands greater tax breaks That the people demanding benefits are also the ones who want tax breaks is a rather wicked contradiction Mancur Olson The Rise and Decline ofNations points out the problem is one of small special interest that exert a degree of political pull that is greater than their share of the population and thus get those groups claim privileges and benefits at the expense 0 society as a whole As a result democracies breed the same social forces that might undue them Damn the Collective Action Problemll Other critics note that the welfare state did not stamp out poverty or eliminate class conflict Virtually all democratic welfares states continue to have hard core poverty unemployment and economic inequalities Income gaps are especially pronounced given demands for education Despite this the democratic welfare state has helped reduce the possibility of permanent impoverishment and misery as well as provided greater social security through the safety net They continue to be the model that countries aspire too Lecture 16 Welfare States and Political Culture Power and Rationality Review Last class we wrapped up on the creation of the Welfare State and we looked at Pierson s discussion of the origins of the state and the different arguments used to explain this In the discussion we came down to basically two alternatives Given certain structural factors changing society the creation of the welfare state and the mixed economy seemed almost driven by the social changes that were the result of industrialization Yet we seem to disagree Was the creation of the welfare state and the mixed economy a case ofa compromise between capital the middle class and the lower classes or was it a consequence of conflict by different factions each possessing different types of social resources Perhaps however that the issue of compromise and conflict are reallyjust two sides of the same process of social interaction To have compromise social actors must have the capacity to fight and conflicts both sides need resources with which they can negotiate But also perhaps compromises are choices made by strategic actors that recognize that the continued conflict will lead to lessthan optimal gains In essence compromises are the result of actors perhaps rational that understand their circumstances and find that compromise is the best way to reach their individual goals In our discussion of Fascism and Communism I raised the notion that the cause of Fascists states was due to variations in class of conflict that occurred The argument is borrowed from Gregory Luebbert a scholar who sought to explain variations in political orders in the interwar period so that he could account for variation in Europe Luebbert makes a powerful argument that is largely shaped by class forces and in the end is rather deterministic What makes his argument more compelling is that the variation in outcomes was not what we might have expected It was not the inclusion of Comparative Politics Final Exam Review 16 workers in liberal democracy that maintained democratic liberalism but rather the capacity of the middle class to coopt the workers and divide them through selective goods in the form of Keynesian programs Farmers are actually ignored in some cases Furthermore the argument is compelling because Luebbert eliminates other explanations through a rather close reading of history For example it wasn t the Great Depression that gave birth to Fascism Fascism was on the rise in Italy nearly seven years before the Depression Nor can we say that Fascism is reactionary as in some areas it was driven by more radical elements Luebbert divides the world into basically four types Liberal Democracies adopt some Keynesian state formulas Social Democracies are more corporatist Fascist States are nondemocratic corporatist states Traditional Dictatorships which we find in Europe as well What happened Liberal Democracies occur in England France Switzerland and arguably the US The middle class is largely united around democracy and its political ideology has become hegemonic While labor has socialistic leanings it is atomized and weak Therefore the liberal middle class can appease and co opt labor through various incentives thus the Keynesian state Small peasants continue to operate but generally can be ignored Traditional Dictatorships essentially these are largely agricultural societies and there is little pressure for socialism from the working class A ruling class can maintain its monopoly on power and rule through coercive force and traditional forms of domination But these are generally fairly weak states The interesting question comes down to the difference between the Social Democracies and the Fascist states Remember the year is important both of these movements occur after World War 1 In the aftermath of War Luebbert finds that liberal democracy is no longer viable In both cases there has to be some form of corporatism created to maintain social peace What we find in Scandinavia and in Fascist states a significant segment of the working class demanding socialism and some division even among the middle class over democracy itself In both cases the alternative is some form of institutionalize corporatism Social Democracy In the Scandinavian States there is a broad social compact between business the middle class agriculture and the working classa grand compromise that maintains democracy and creates the welfare state This leads to the Scandinavian Model after the war In the fascist states the alliance is one among the small farmers middle class and capital with the goal to crush the more socialist labor movement What happened to the Welfare State after World War 2 It remains the dominant model of political order for much of the rest of the decade and expands providing greater goods and services to the people as the industrialized countries either grow or recover from the War Social demands for services increases and there is a widespread belief that the role of the state is to better the lives of their people This lasts until the 1970s when we see a move towards postindustrialism and a turn to a more serviceorientated economy During this period we see other problems recessions oil crisis and economic hardship A more conservative class of politicians Reagan Thatcher being among the most prominent who argue that greater control of the economy should be given to the private sector and there is greater concern about national debts There is also frustration in how the welfare state has failed to live up to expectations According to Sodaro what has transpired for the last 20 years is in part a growing weariness among society with the failures of government even as society and demands for the state to be rolled back even in contradiction there continues to be a demand for the state as the provider of social services Politically this leads to a pattern of overbidding in which politicians make broad and unrealistic promises building expectations and once in office find they can t achieve those promises Society becomes disillusioned with the politicians but also with the state as provider of those services The consequence is increased mistrust of government and the state One challenge from Mancur Olson in Rise and Decline ofNations 1982 argues that much of the problem comes from the power of special interests to lobby for goods and services at the expense of the broader society Move towards Conservative Values One of the more interesting facets of US politics of the last 12 years or so is that much of the support for the Republican Party candidates has come from poor and middle class whites often rural classes What makes it more interesting is that often these individuals vote for Republican candidates that have policies that actually run counter to their interests One reason for that success has been the ability of Republican Candidates to utilize a variety of cultural issues to drive wedges in the government on certain key issues abortion guns and other topics have served as wedge issues that split society Marxists might argue that many of these voters suffer quotfalse consciousness and thus are convinced to vote against their interest That might be too harsh but we should hesitate before quickly dismissing this argument Many Americans still aspire to a higher quality of life and there remains significant faith in quotthe American Dream But it does seem that the Republicans have been very successful getting voter support by playing not on economic issues but rather on cultural issues ideals and concepts that appeal to American voters Comparative Politics Final Exam Review 17 In a sense these issues run counter to what political economists or economists might expect but raise the challenge that individuals participate in politics for reasons besides their economic wellbeing Rather there are cultural issues that play The study of Political Culture is essentially the study ofhow different sociological cultural anthropological variables shape political action 1 We can think in terms of the role of political culture with such questions as what is the likelihood of Islamic extremism rising in the various states of the Middle East that are current experiencing turmoil a Do those societies have the underlying values necessary to support democratic governance b How will issues of women s right affect those societies c Why do we see a rise in religious fundamentalism is parts of the Middle East and in Western Democracies d But we are also confronted by other pertinent questions related to culture 2 How does globalization affect how social groups define themselves a What shapes feeling of patriotism How do JudeoChristian beliefs impact how Western States regulate their economies or integrate minorities b How do societies deal with outsiders c Why are some societies more egalitarian while others more hierarchical in their preferences for political order Sodaro begins his chapter by discussing the various values that shape American political behavior getting to their beliefs expectations values and attitudes Defined A Political Culture is a pattern of shared values moral norms beliefs expectations and attitudes that relate to politics and its social context It reflects how people feel about life their attitude about government their core values and political ideas and even whether they support or reject liberal democracy Study of Political Culture therefore potentially opens a large window in the causation of political action But it also offers complexity how do we explain what aspects of political culture matter against what aspects do not Political Culture as umbrella term Essentially political culture serves as an umbrella 39 many 39 39 39 39 and 39 r 39 g39 39 aspects ofa society but it also requires that we disentangle the various causal variables that we use to explain phenomena For example We might argue that US culture generally favors the ownership of firearms even if other cultures in Western Democracies do not Ok but what aspects of US culture are driving that quotgun culture Is it a sense of quotrugged individualismquot or a need to quotselfdefensequot or a quothuntingquot culture And more importantly how does that culture change How do we disentangle Culture Consider for instance quotAsian Values Lee Kwan Yew elder statesman of Singapore oversaw that country s dramatic transformation from a port town to an industrial energy shipping servicesector financialsector and telecommunications hub Lee used to proclaim that what made Asia different from the West was Asian Values and thus Singapore and the other Asian quotTigersquot or Asian Newly Industrialized Countries of the 1980s1990s generally Japan South Korea Taiwan Hong Kong Singapore should not be judged harshly for not being democracies and democracy was not an Asian value Rather Asian values encouraged other cultural norms But what Asian Values Hinduism Buddhism No he meant Confucianism and he used that argument to explain the values of China Taiwan Singapore and other Asian states to explain why they had achieved rapid economic development under fairly authoritarian leadership In a sense Asian Values was an apologist argument for why those states were deemed incompatible with democracy But was he correct Yes in the sense that these countries enjoyed economic growth without democracy but under authoritarian leadership But no in the sense that some of these countries have survived a change in political leadership We have seen a similar argument with regard to Islam and Middle Eastern Societies We hear that these countries and the people who live there do not have the values needed for modern democracy or the capitalism that drives economic growth But if one moves people from those cultures into Western Democracies and they usually adopt the democratic system and seem to function well without necessarily giving up their Asian or Islamic values Why Let s move this a bit further If a Muslim decides to place a bomb in Times Square or murder employees of the CIA is it because the person was Muslim or because the person is insane or suffered some other trauma It s easy tojump to the conclusion that quotculture made him do it or quotthey live that way because their culture compels them tooquot But is that correct Beliefs and Belief Systems When we talk about culture we often talk about political values and religious beliefs How do such beliefs shape preferences and public policies Beliefs themselves can be manipulated Earlier in the semester we discussed how nationalism can be utilized to shape the beliefs of society towards the goals of those in power or can be utilized by political entrepreneurs to challenge the power ofa central authority that rules indirectly Nationalism is a created idea Might not culture also be created or constructed and thus imagined We also have read about how religion especially political Islam might shape political behavior Comparative Politics Final Exam Review 18 As Lukes tells us beliefs can be manipulated by those in power through their control of the press shaping the expectations and understanding of society by altering perceptions of society This occurs not only in states like North Korea and Taiwan but in many countries where the state has significant control over if not a monopoly over the media As a result in some developing countries it is often one of the first courses of business for military coup leaders to seize the radio station and thus broadcast their right to overthrow the state Perceptions Social interactions and Attitudes Perceptions shape social interactions Political Culture gets to how societies interact It can deal with levels of trust and competitiveness within a society Why do we see greater levels of social trust in some countries and not others How far do individuals go to believing or expecting government to work and what happens if it doesn t Dominant Political Culture In some countries there are collections of attitudes that are broadly shared by the political elites and a large share of the population Antonio Gramsci might argue that such political elites have managed to exert greater hegemony over society For Gransci hegemony was an ideational concept The bourgeoisie shaped society by create a set of norms that the rest of society accepted as right and thus the bourgeoisie were able to set the rules of social interaction Let s take that a step further hegemony isn t so much about domination and power but rather the capacity of one actor to influence the actions of others through leadership But getting a subordinate to accept the dominant class s hegemony required that the dominant get the subordinate s consent or at least acquiescence How does the dominant gain that hegemony If there is a dominant culture than there are also political subcultures These are cultures that deviate from the dominant culture in some key respect This may reflect patterns or feelings of alienation Political Socialization How are individuals socialized into a society Political socialization is the process in which individuals learn about politics and the political culture of their society Often this is done through the family while peer groups schools and other elements of society may play a secondary role In other cases however different social groups are given the responsibility of socializing the young and new comers to a society What does the mechanism of political socialization say about a society How are we politically socialized in the US One might reject political socialization or rebel against those values and ideas but in some cases the values and norms adopted through political socialization may overcome contradictory logic or evidence Cognitive Dissonance explains the experience in which individuals that face information that contradicts their deeply held opinions biases or preferences find ways to ignore or explain away the undesirable messages rather than alter their views in a rational fashion to take account of those changes Studies of Political Culture Sodaro talks to use about Alexis De Tocqueville and his emphasis on political culture in the Americas and also the problems with why we had democracy in the US and France seemed to be having so much trouble Part of that explanation rested on political mores quothabits of the heartquot and quotmental habits that shaped the political behavior of Americans But the big thinker on this is Max Weber who was a keen student of political culture as well as of economic and social institutions Weber believed that political values may come from noneconomic and nonpolitical sources but could come from logic religion family and other sources His Protestant Ethic and the Spirit of Capitalism explored the role of Calvinism in creating the values necessary for rational capitalism to emerge arguing that Protestantism encouraged entrepreneurial activity the accumulation of wealth and the rational pursuit of one s quotcallingquot This in turn was driven by the existential uncertainty of Calvinists Weber would call this the quotrationality of the irrational as such religious beliefs were inherently irrational Other studies of political culture have included Gabriel Almond and Sidney Verba s The Civil Culture in which they divide society into three parts participants subjects and parochials on how informed they are about politics They argued that a civic culture was necessary to make democracy stable and such a culture was comprised of a fairly large number of participants and subjects together with a smaller number of parochials Thus the question does an illinformed society undermine the basis of democracy Conceptualizing Political Culture One of the challenges is whether we can compound these different belief systems into a concept and call it Political culture Sodaro seems to think that we can dividing attitudinal patterns into three groups a Attitudes towards authority how do we stand on the submissiverebellious dichotomy b Attitudes toward society where do we stand on the continuum of a fl t and ll thi t 39 dichotomies c Attitudes towards politics and the state Do we promote a permissive or interventional state Comparative Politics Final Exam Review 19 Consider for instance differences between the US and Europe or even within the US What parts of the US or US subculture support a more collectivist or individualist culture Which factions support a more interventional or permissive state than others What shapes those values Cultural Change I mentioned before that one of the challenges is how do political cultures change Why do the values change Modernization is thus given as one explanation of cultural shift for those period when a society moves from agriculture to industry Postindustrial economies may also account for changes as individual begin to seek more nonmaterial forms of satisfaction and personal wellbeing Gender roles also defined by political culture A move beyond the modernization theory is the human development theory raises the question is there a causal link between economic development value of freedom and democratic institutions Clash of Civilizations Samual Huntington clash of 7 maybe 8 cultures Sinic Japanese Hindu Islamic Orthodox Western and Latin American and maybe African Scott Hidden Tra nscripts Weber and Rationalism Lecture 17181920 Political Culture Modernization and Dependency Review 1 It is dangerous to dismiss culture because it might be quotirrationalquot Couple reasons A The rational man is generally an assumption generally derivedfrom economics and not without its challengers We often utilize the rational man to calculate how a rational actor should act It makes prediction more effective and allows us to construct interesting rational choice games that we predict how individuals should act But even game theory would note that the real interesting question is not when people conform to their expected behaviors but why they don t We can run multiple tests of the prisoner s dilemma and often we find that individuals will still make irrationa choices Why because behavior is complex Even within economics we see moves beyond the rational actor model to take into considerations other variations of human behavior Prospect Theory for example explores how individuals act as risk adverse or loss adverse Also B Just because people are responding to culture doesn t mean they are necessarily acting irrationally People may be inspired to act based on irrational beliefs or socially constructed understandings but they way they go about their behavior may have a rational basis Understanding behavior may require some understanding of the power of beliefs and norms to shape individual and social preferences 2 Be careful of culture as an umbrella term but also do not dismiss the possibility that there are multiple aspects of a culture that might shape behavior Culture is often utilized to define many different and mutually reinforcing aspects ofa culture But the danger is that the conceptualization of cuture is inherently ambiguous What aspects of a culture What does culture mean Is it religion history families gender relations civil interaction Is it all or some Which variables matter more and which less The danger of prescribing or defining culture might mean that we define and limit what are the possibilities for a society Consider for instant Robert Putnum has articulated in his work the notion of Social Capital the collective value of all 39social networks39 and the inclinations that arise from these networks to do things for each other and is represented in notions of social trust According to Putnam and his followers social capital is a key component to building and maintaining democratic governance This is seen in levels of trust in government and levels of civic participation For Putnum this trust comes in part from the density of social networks His work Making Democracy Work focused on notions of public trust and social capital in Italy and took a long historical view to explain why Italy saw rather dense development in the North and little development in the South Putnum further finds that the levels of social trust are in decline in the US in part because the interpersonal networks among individuals are declining Applied fyou spend time in Brazil one thing that you discover is that Brazilians are generally very friendly and open to foreigners and generally try to get along with each other But Brazilians will often at least in Brazil s Northeast express distrust if not suspicion of each other Why In part this might be due to the nature of social relations Brazil has a history ofa very small upper class a small middle class and a large lower class In Brazilian middle class neighborhoods one frequently finds houses built like small fortresses arguably to keep out thieves There is great suspicion and fear of robbers as the police are frequently perceived as ineffectual and politicians crooked for good reason Comparative Politics Final Exam Review 20 lfyou compare to the US one finds that there is significant social trust within US society despite what Putnum thinks Americans are frequently engaged in a variety of social organizations and NGOs volunteer their time and donate to charities But this often varies by community Some societies are more trusting than others Why Do societies build networks because they trust each other or do they trust each other because they have networks Does the level of social trust come from shared religious or social beliefs Or is it because classes of individuals that are generally prosperous can afford to trust each other and that patterns of trust have been somehow normalized through frequent interactions Might trust and social networks be derived from some alternative variable either cultural or material that shapes social interactions For example under conditions of material scarcity we find increased competition for goods and services does this create distrust Does development lead to happier and more trusting societies Africanists will frequently speak of the Politics of the Belly a condition a condition defined by JeanFrancois Bayart driven by material scarcity that emphasizes that actors first fill their bellies before they engage in other transformative exercises This condition starts from the highest reaches of the state where predatory rulers utilize the state for their own gain but down to society normalizing patterns of corruption itselfa consequence ofdeprivation Consider these questions but more importantly think about the causal logic Is it culture or is it the distribution of material wealth that determines whether a society is trustful or cooperative How would you test this out Here s the takeaway Don t over label everything as culture and if you are going to make a cultural argument than try to disentangle the causal argument so that you are getting to the root causal variables But also acknowledge that cultural variables might be mutually reinforcing Before we jump to the conclusion of culture it s frequently a wise choice to eliminate more parsimonious theories frequently based on generalizations of rational actors 3 Cultures change Cultures are not static creations but the values and norms of societies change With that change also comes the transformation of the ways that social power is organized within a society Mann s IEMP The values and ideas ofyesterday are replicated today Individuals and societies change over time due to a variety of factors Their interpretations and understandings also are subject to change Be careful in judging the past and assuming that individuals thought or believed the same things then as they do today For us consider that the process of state formation in Europe and in the modern Developing World may take different characteristics This doesn t mean that there are no lessons to be drawn Rather we need to be sensitive to variations in context and culture 4 Cultures are constructive and are also constructions One argument made by those who favor the political culture persuasion is that individuals act not only based on culture but that culture also shapes the range of possible actions that can be taken In essence we can see that cultures can shape preferences as well as the range of choices they take Scott Hidden Transcripts When the great lord passes the wise peasant bows deeply and sientyfarts Ethiopian Proverb Let s think about Scott Scott discusses the idea of a hidden and public transcript This is largely about how we communicate and how communication itself is a reflection of power relationships Rarely do we speak truth to power simply because it is not the rational thing to do We are indoctrinated into ways to respond to different power relations But this doesn t meant that the weaker acquiesces but that the subordinate resists in often quiet ways Scott s notion recognized that power manifests in different ways and that the rational actor who is subordinate will rarely voice their grievances to a superior Rather the subordinate will harbor grievance but will mask their true feelings behind a mask of acceptance and compliance even as they think and often act in ways that challenge the dominant status quo For Scott the key is the relationship of power Power is key to comparative politics In ways reminiscent of Lukes we see that power shapes behavior and the norms of behavior The greater the imbalance of power the greater the masks Thus individuals act in public in ways that don t reveal their true thoughts or intentions But these methods are scripted Actors know how they are supposed to act and are probably socialized to know the transcript they are supposed to follow We can move further power shapes the range of potential actions and the ways that actions rebellion of subservience can manifest This applies both to the dominant group and the dominated But the breach of the transcript leads to different consequences humiliation for the dominant and violence for the dominated What shapes interaction is power but power and challenges to those in power can take on certain cultural characteristics We are merely going through life performing parts scripted for us wearing masks that hide our true feelings and will But note that the stage has been set for us the parts are scripted the story plotted even if the end is unknown Clash of Cultures Cultural Warfare One thing we didn t discuss was Samuel Huntington and his Clash of Civilizations Comparative Politics Final Exam Review 21 At the end of the Cold War Huntington argued that the competition between nation states and ideologies would be replaced by competition among cultures Note context conflicts in the Middle East in Yugoslavia between India and Pakistan in Africa etc The idea was first expressed in an article in Foreign A airs and then was turned into a book that further expounded on the idea It has met with mixed reception in the West and among academic circles often taught as part of comparative politics or international relations courses as a theory of new types of social competition It was greatly read by academics outside the US and widely cited Huntington divides the world into 7 maybe 8 cultures that will clash Sinic Japanese Hindu Islamic Orthodox Western and Latin American and maybe African These clashes will occur primarily where cultures meet and will shape the divisions in the modern world Yet since being published in 1993 and even before 1993 we ve seen a growth in a more globalized world especially in the spread of commodity and supply chains that seem to wrap around the world Yet those who study the rise of fundamental movements often find that the rise of fundamentalist movements often corresponds to regions that are experiencing fear of globalization Why Is fundamentalism an appeal to social conventions norms and irrational faith systems a responds to modernity Here in we see one of the challenges to Modernization Theory a theory which is driven by the idea of creating a better world through modernity But first Weber Weber on modernity and rational capitalism Throughout the course we have referred back to the ideas of Max Weber who argued that there are different forms of authority states and forms of capitalism but that only relatively recently did the Europeans achieve a state of rational modern capitalism For Weber the notion of modernity rests on the idea of rationality Sounds simple but Weber s conception of rationality is itself complex In one famous essay Weber finds rationality in music For Weber rationality is deliberate and systematic calculable impersonal and purely instrumental It is exact predictable and rule governed But Weber s approach emphasized different characteristics of rationality and we get two different types of rationality Formal Rationality orders actions purely on the basis of meansends calculus with regard to universally applied abstract principles laws and rules Substantive rationality orders action in relation to specific value preferences For Weber there are irrationalities and rationalities of capitalism and that these can co exist Yet the existence of both irrationalities and rationalities is the basis of conflict and tensions that in turn shaped development The outcomes of these conflicts cannot be predicted and could be based on both social class and be nonclass issues It is the politics over values and methods that often play a pivotal role as to whether you can achieve rational capitalism Weber finds the development of modern capitalism stems from the rationality of the irrational essentially the desire among Protestants primarily Calvinists to overcome their own existential and transcendental concerns through daily life which led to economic behaviors that proved successful in promoting development These behaviors became the basis of modern capitalism even though the origins may be irrational their practice is rational Weber s own thoughts on social action distinguished four types of rational social action Define Social Action Being a German and using the Germanic language he could define these terms but in English it is often easy to confuse what Weber is trying to get at 1 Purposivelnstrumental rationality Zweckrational is related to the expectations about the behaviors of other human beings or objects in the environment Think of this as strategic interaction Individuals are rationally trying to pursue ends through calculation and strategy 2 ValueBelief Orientated Wertrational Here action is undertaken for what one might call reasons intrinsic to the actor This might be driven by ethnic aesthetic religious or other motives independent of whether it will lead to success 3 Effectual These are actions driven by an actor s specific feelings affections and emotions to which Weber thought this was a kind of rationality that was on borderline of being meaningfully oriented 4 Traditional This behavior was based on ingrained habituation Consider for instance deference to a traditional system of beliefs religion or even a King Weber notes that it was unusual to find only one of these orientations but that combinations of these forms of social action were the norm Although Weber preferred the first two he notes that the others are also important and may be subtypes of the first Benefits The advantages here is that it avoids a valueladen assessment to say that certain values are inherently irrational Instead Weber would argue that grounds or motives can be given to explain orjustify why actions are taken even if these ideas are not purposefully rational in terms of meanstoends That said it is also true that certain actions will occur for reasons that do not satisfy the purposefully rational and which would fit more into the valuebelief Wertrationa Comparative Politics Final Exam Review 22 Note many of the readings referenced below are drawn from African Politics African Politics is but one region much given that many of the recently independent states are African the work here is especially relevant Modernization Theory Modernization theory finds its roots in both Max Webei s notions about the creation of modern rational states Talcott Parsons work on structural functionalism and systems theory and Emile Durkheim s study of social structure and his functionalist approach Dependency literature and the development of underdevelopment finds its roots in Marx and Marxist approaches to social relations The Dependency thesis and the deveopment of underdevelopment thesis find their roots originally in Latin America a region that long suffered a history of indirect empire as well as other parts of the developing world We will also need to discuss Wallerstein s World Systems Theory is a criticism of the spread of global capitalism and continues to challenge our perceptions of the international system as an anarchy of equals towards a system in which a hierarchy of power exists and shapes politics both within and between states Modernists Largely adopted the belief that the challenge for developingpostcolonial world was to move beyond tradition into the modern world to create modern rational capitalism and create modern states This required a movement towards modernity a technological social economic and political process that had to be accelerated Context the problem of post World War 2 post colonial state formation Many of these movements are about preparing colonies for independence or advising states post independence Modernization theory rests on the belief that social change involves continuity and the belief in progress The idea is that historical development can lead to changes that are certain directions that might be inevitable and predictable Continuity is progressive leading to complexity and specialization of society Modernization is an evolutionary theory assuming an end to the evolutionary process of greater advancement towards conditions like those found in industrial countries With modernization traditional societies will replace their economic political and cultural institutions with more modern ones Leading thinkers Walt Rostow Stages of Economic Growth 0 noncommunist manifesto argues that states must move through stages of growth Should the States of Africa do so they should be able to match the development of Western industrialized countries Seymour Lipset argues how aspects of development serve to complement each other reinforcing progress For your review Smith offers analysis of early modernization theory its origins and basis as well as some of its criticisms We will only review parts of that here Modernists basic premise that developing societies are in the process of becoming modern rational collectives in which efficiency and scientific logic replaces traditional belief systems and loyalties To modernize means to do many things ideally at once a Economically the goals here are mechanization industrialization commoditization of agriculture and rapid growth Goal grow national GDP b Socially to promote individual social mobility education and the releasing of traditional restraints Urbanization and Education are key c Politically Institutional expansion rationalization of government creation of modern rational states and concentration of power in the state Democratization and political participation as the mechanism for the redistribution of resources Democratization and participation increases social demands but also increases state capacities Modernization primarily a Western theory and closely tied to the development of the US experience Ideally to recreate the US experience in political economic and social development abroad In terms of policy this translates to programs for financial and technical assistance education and skills training programs between wealthy states and poorer deveoping states Smith points out two facets in modernization thinking Differentiation drawn from the philosopher and sociologist Emile Durkheim who believed that as economies and societies grow they grow increasingly specialized in their division of labor Urbanization and population density increases promote greater division of labor In the process this leads to more subsistence based economies away towards dependence on exchange as production grows more complex leading to more specialization of individual labor in order to facilitate exchange Durkheim called this organic solidaritif as distinct from quotmechanical solidarityquot Mechanical solidarity involved a society in which the individual personality was absorbed in the collective personality Organic solidarity brought about the division of labor presumes differences between individuals each having a special sphere of action or personality This created more capacity for collective movement as the elements gain freedom Says Durkheim The Unity of the organism is more great as the individuation of its parts is more marked Essentially a more differentiated society was more versatile more prone to change because individual actors within that society had more freedom to act adopt technologies engage in beneficial relations The movement also meant moving beyond family relations and engaging in social roles outside the family Secularization Comparative Politics Final Exam Review 23 This meant that societies become more rationalized and that individuals perceive the conditions around them are changeable based on human intervention It means moving past the fatalism of religion Rather than accept the unalterable or sacred facts of life as given the secular view differentiates between the sacred and the profane the religious and the material Here we see Max Weber again play an influential role in discussing the importance of rationalization and movement away from traditional beliefs Weber sees rationalization in various aspects of life meaning that social relations arebased on calculation and efficiency rather than mere habit or emotion Rationalization of the economy bureaucracy state and the promotion of rational legal authority This translates however to a belief among the modernists that traditional societies are somehow irrationa or nonrationa IT is the institutions and values of these societies that are preventing their development and modernization Smith Notes The process of moving towards development is one of moving away from community where individual relations are based on politics of affection towards society where individual relations are formed in rational impersonal contractual or calculative reasons Societies move from more traditional structures towards more modern ones and economies become increasingly mechanized and industrial Factories replace farms Remember Grocer and the Chief Modernization also frequently assumes that development happens through stages along the path between tradition and modernity Parsons divided this through primitive advanced primitive intermediate and modern stages which reflects the movement away from a subsistence agricultural society towards a more industrial economy but also changes in the attitudes and orientations of individuals According to Walt Rostow two preconditions were required for take off towards modernity achieved status and rationality Gabriel Almond Politics in Developing Areas develops structuralfunctionalist approach to developing world Promote common functions ie legislative judicial executive functions exist regardless of how structures are called Grocer and the Chief note differences and how power structures shape patterns ofinteraction But does this approach alowfor unique traditionainstitutions Does the creation of such governing institution depend on the unique historical events of that particular region Modernization and StructuralFunctionalism are ideally valueneutral But they based on some assumptions 1 Ethnic loyalties and affiliations may hinder development 2 Industrialization is the ideal 3 Government requires similar forms Politics of the time 1 Decolonization process is well underway England is preparing to end its colonial rule 2 Rise of Soviet Union and spread of Communism a threat to the West 3 US should lead the world an exceptional leader and a model others can follow But by the 19605 Modernists are beginning to revise their approach Vietnam War challenges US Peasant rebellions based on Maoist ideologies spread in SE Asia Elsewhere nationalist movements take MarxistMaoist ideology and patterns Problems Modernists assume that if there is a failure to achieve a modern society the fault lies in the domestic leaders that they have failed some element of modernization So what happens to Modernization theory It evolves and eventually forms much of the basis of our current approaches and discussions of developmental economics and politics Modernization Revisions Modernization is generally right but it needs some tinkering l Modernization is not a zerosum game One can in fact see some development towards modernity even while traditional structures are reinforced Traditional practices and institutions can coexist with the modern In some cases traditional values are more resilient than first imagined Development of modern political institutions seems to strengthen traditional political influences Consider for instance Afghanistan or parts of the developing world where traditional ideologies utilize varieties of new technologies to engage in political action or warfare In our case of the Grocer and the Chief the chief utilize his control over the radio to control his people and maintain the ideological status quo which keeps him in power In many parts of the world we continue seeing patterns by which the modern mixes with the traditional even serving to reinforce traditional values 2 Assumption that traditional attitudes and institutions are irrational is wrong Better to build on traditional structures Yet Political leaders that do not appeal to traditional values are often crushed 3 Modernization is not unilinear In other words traditional authorities may be strengthened by the modernization process and become empowered This can lead to new forms of factional competition and compromises even creating identities when none had existed before Comparative Politics Final Exam Review 24 In general Revisionists share similar assumptions with more traditional modernists including desirability to have a voting electorate idea to promote equality and participation in developing societies belief in political participation belief that protests and violence are the exception and not the norm But there is a problem It is clear that the objectives of modernization are not being fulfilled and there are problems of political inefficiency and economic contradictions Key Problem as the 19605 continue How to get Political Stability and Order Around the world there are increases in the level of political violence and instability in new sovereign states especially in Africa and Middle East Guerrilla conflict Secession movements Assassination Civil Wars Military intervention and coup d etat Coups are on the rise in the 1960s US Government involvement in Vietnam counters Communist insurgency and develops counterinsurgency doctrines The US finds its desire to create democracy clashes with the desire to prevent rise in communist dictatorships National security concerns eventually triumph The US develops ties with rather nasty dictatorships that offer stability and security but not freedom US also worried about increasing levels of political disorder in the US during Vietnam War Samuel Huntington Political Order in Changing Societies A classic of political science arguably Huntington s greatest achievement Huntington had done work on the role of the military and the state had also consulted the US government on the Vietnam War Huntington s is both a liberal but also a critic He identifies some of the problems within the modernist approach and tries to suggest what is failing and why it fails Thesis modernization does not lead to democracy and stability but may lead to increased political disorder Democracy is neither a natural nor direct result of modernization nor should it be the goal Huntington favors political order through institutionalization Huntington s argument institutionalization is important why Samuel Huntington The most important political distinction among countries is not theirform of government by their degree of go vernmen t Too much participation a bad thing if the political system can t deal with those demands Reduce level of political participation Better to have strong central institutions Supports centralization of power in government institutions Favors autonomy over accountability Notes that institutions have interests Question what is the problem ofautonomous strong central states Question what happens if you have a weak state and despotic leadership such as a weak dictator What about ifyou have a strong state and a despotic leader Huntington and others of the Political Order school say institutionalization of power in central government is key to stability and order First get stability and order than get freedom and justice Problem here centralized power in few hands with little accountability can allow leaders to monopolize political power Danger of utilizing that power for private gain and there is a possibility of centralizing bad leadership Primary institutions of importance 1 Parties favor strong single parties Too many parties are dangerous as they promote too many varied political demands 2 Bureaucracies keep them strong and autonomous Sustain colonial bureaucracies they can at least get things done 3 Militaries often the most effective organization within the state This is also the source of the state s coercive power Doesn t this also support increased despotism by those who control the state Note much as Huntington s Clash of Civilization is widely embraced around the world by strong political leaders representative of those civilization Huntington s thesis is widely accepted by political leaders in different parts of the world Leads to creation of powerful single party states end of democracy increased importance of coercive apparatus Does GDP growth lead to development Modernization and the Cri s of national development 1971 Leonard Binder Crisis and Sequences in PoliticalDeveopment 1971 Lists six crisis of development Or Six challenges to development 1 Crisis of Identity Problem of creating a common nationalist outlook about ethnically linguistically religiously distinct people 2 Crisis of legitimacy building a national consensus on the legitimate exercise of authority 3 Crisis of participation too much participation leads to increased political demands and inclusions in the political decision making process 4 Crisis of penetration allowing the infrastructure of the state to penetrate the territory of the state and society Comparative Politics Final Exam Review 25 5 Crisis of distribution balancing public demands for goods and services with the government s responsibility to provide public goods 6 Crisis of integration creating a harmonious relationship among societies growth and interests for access and control of the decisionmaking process Modernist in the 19705 and 19805 Increased demand for being policy relevant Modernization theory must move beyond grand theories to deal with real problems of governance This is a recurring problem for political science do we do theory or do we offer policy advice This division has contribution to a division within the field between those who study theory the academics and those who actually do policy Those graduating interested in political science will have to think carefully about this division as you plot your careers Political Economy Assumption that politics and economics are intertwined that they must be mixed This approach has remained and much of what is done as comparative politics continues to be politicaleconomy Use of rational choice models Assumption that individuals are rational actors or act as if they were rational actors Example Robert Bates Markets and States in TropicalAfrica 1981 is Batesl first great book and remains one of the key books explaining problems in Africa It is also an example of the political economy approach We will read it later Key question why can t Africa feed itself Or better yet why do reasonable men adopt public policies that have harmful consequences for the societies they govern this question will continue to shape much of the current generation of political scientists Note that Bates discussion emphasizes agricultural societies moving towards industrialization In Markets and States Bates explores why import substitution strategies fail in Africa and how it frustrates agricultural development Here Bates is exploring how efforts to modernize an economy through economic reform leads to economic crisis a challenge to more tradiational modernists and a call for a more nuanced understanding of the problems of economic development This issue is returned to in his Prosperity and Violence which we read earlier in the term Public Policy Analysis Orientation towards problem solving strategies How do we fix the problem ofactual rulers and how do we make modernization theory more tangible and applicable to the rulers of developing states Example Donald Rothchild and Robert Curry Scarcity Choice and Public Policy in MiddleAfrica also a political economy approach Its is based on a broad cost benefit analysis for a broader range of problems facing African leaders Rothchild and Curry also address a challenge raised by the dependency theorists that emphasize inclusion of the role of the international political economy and a hostile exogenous environment They add two crises to Binder s list a Crisis of National Survival Ensuring survival of the territorial integrity of the state as originally constructed at 39 39 I 39 seef quot quot quot39 quot p39 E tia b Crisis of Foreign Control Securing the economic social and political freedom from external control is this dependency school In the 1970s we began to see a rise of Behavioral Approaches in Political Science use of large N statistical method Much of this originates from the US and Europe These approaches build on the development of statistical approaches and formal models to explain political processes This is data rich largely inductive analysis One problem is that there is not much data available and that which exists might be potentially misleading For example academics might be looking at some level of measure for development This might include data like how many doctors per capita in the population how many televisions or wash machines how many miles electrical grid or paved roads These are devices used to try to measure levels of development But consider Iftwo countries have the same per capita number of televisions or home appliances are they comparable in terms of development Brazilians generally have the same number of televisions as Americans do Does that mean that Brazil and the US are at equal levels of development Does that mean that one society or the other has more leisure time There is a lot of large data comparisons but there is debate as to the utility of these approaches Statistical approaches are a challenge to the norm of smallN qualitative studies Large N studies say that SmallN approaches lack the number of cases to provide a robust correlation SmallN folks say correlation does not equal causation This debate continues if becomes more complicated Criticisms of the Modernist school Emphasis on industrialization unilinear view of history Overlooks traditional roles and institutions Process of bureaucratization might be more important than parties Inequalities and conflicts are often glossed over Yet those inequalities and conflicts may be driven by rational calculations and frustrate the modernizationdevelopmental process EEEEE Comparative Politics Final Exam Review 26 6 Who benefits from economic growth An interesting question can you have economic growth meaning national GNP growth without actual economic development measured by general overall prosperity ofa state a mix of National GNP per capita GNP and improvements on rates of economic and social inequality New Currents End of communism leads to a strengthening of the Liberal tradition in part because more Marxist approaches fall into disfavor with collapse of the Soviet Union The discussion of economic and political development continues to maintain certain ideals and assumptions from early modernists What does it really mean to develop an economy or state to give it a more modern economy A better access to democracy To make the developing world more like the West Modern developmental scholarship often seems to assume the goals of modernization as well as many of the assumptions and ideals Major trends 1 Democratization What are the central problems for democratization democratic consolidation rotation of political elites manipulation of democratic practices by political leaders 2 Civil Society How to increase the variety and role of civil associations political parties labor organizations women s groups religious groups How do they impact state power Question how does civil society meet the power of the state Are they coopted or oppositional Significant faith in the idea that development should be done with civil society partners is this really effective Note that NGOs play a significant role in Europe European rules on freedom of organization often allows NGOs to play a larger role in the provision of public goods than we see in the US As such the model of European NGO involvement in political life can provide an interesting model for developing states Note Currently This school has remained influential Rising belief that corruption of state elites means that they are not very effective partners for undertaking international development The prevailing fashion in the US and among international developmental agencies there is a strong tendencies to outsource the work to contractors both forprofit companies like Chemonics DAI others and NGOs Such contractors sometimes look for local partners with whom to do business creating contractorsubcontractor relationships that might bypass corrupt governments In the process civil society begins to perform the types of functions and services more traditionally dealt with by the state marginalizing the state while undercutting state capacity authority and growth Consider for instance Fatton s discussion of civil society organizations in postearthquake Haiti Much of the program for rebuilding and restructuring Haiti falls to thousands of NGOs some of which are corrupt organizations for private gain while the state is substantially sidelines Is this good for Haiti Consider also the paternalism of the international community transforming Haiti into what is essentially a trusteeship or a form of receivership NGOs receive a significant share of the development spending Do the NGOs have a vested interest in seeing Haiti recover or rather to perpetuate their existence by serving a community in need Interested in a career in international development Contractors are often the ones doing the work notjust in hot spots like Afghanistan but in other parts of the world These contractors operate both as forprofits and notforprofits organizations 3 Ethnicity What is the role of ethnic groups and ethnic identity especially with regard to ethnic conflicts How do we prevent ethnic conflicts 4 Gender Women s groups and the importance of women to the democratization process Also note women are central to the development of microfinance as a means ofempowering lower classes and ending poverty One of the more interesting areas of Gender involves the notion of local empowerment and microfinance There is a strong belief that if you are to empower one segment of the poor it is best to empower women as they are often the primary providers for their families Much of current microfinance focuses on women and small firms and the building of local cooperative organizations 5 The state and politicaleconomic development or decay What role has the state played in the development and decay of states We see a shade of that in the Geddes and Evans readers 6 States Elites and Political decay or study of political disorder How have state elites enriched themselves and manipulated the power of the state to their personal advantage We see cases of this throughout the world especially in Africa but also in Afghanistan Latin America and Asia What is the role of political corruption in the weakening of states A good model of this is David Kang s Crony Capitalism that compares corruption and development in South Korea and the Philippines Note corruption is a systemic problem Every country has corruption and no culture is uniquely corrupt Why then are some countries apparently more corrupt than others Why are some individuals more likely to get away with corruption and what are the consequences ofdifferent types of corruption on developmental trajectories 7 International and Domestic factors and the decay and growth of states This examines the political economic of modern state collapse as a new logic that supports not the creation of the state but its destruction as it serves as a mechanism for political rule This opened up a large literature on the economics of civil war and other forms of social conflict Goal control commercial assets and people Note that much of this comes from liberal scholarship Where as much of the literature anticipates globalization as a force for economic and political growth a second strand anticipates economic challenges that might surpass the capacities of state leaders Comparative Politics Final Exam Review 27 8 Environmental factors and State building and Decay Other more recent trends have also begun to look at Environmental Factors and the creation of institutions In part this has been inspired I think by Jared Diamond s Guns Germs and Steal and his Collapse However the role of environmental factors can also be seen in Daron Acemoglu Johnson and Johnson s article The Colonial Origins of Comparative Development An Empirical Investigation how did disease affect the creation of governing institutions For Acemoglu and others rates of disease correlate with patterns ofdirect and indirect rule Where direct rule was viable better institutions were created and postindependent states which inherited those institutions had a better chance to grow their economies and maintain democratic governance Where indirect rule allowed more traditional authorities to remain in power the consequence was frequently predatory states economic decay and political crisis Some more current policy issues Within the modernistliberal camp and shaping development policies have been three ideas that can be traced to the liberal camp that are essential to know and worth considering The Washington Consensus Good Governance Good Institutions First is the Washington Consensus The Washington Consensus was a neoliberal approach largely adopted by international financial institutions from about the 19805 through the first decade of the new millennium and has only recently been challenged due to the current global crisis At this point we won t discuss the elements of the Washington Consensus in detail However when you hear the words Washington Consensus this is a reference to the following policies that are frequently prescribed to developing countries faced with economic challenges The policies include 1 Fiscal policy discipline 2 Redirection of public spending from subsidies quotespecially indiscriminate subsidiesquot toward broadbased provision of key pro growth propoor services like primary education primary health care and infrastructure investment 3 Tax reform broadening the tax base and adopting moderate marginal tax rates 4 Interest rates that are market determined and positive but moderate in real terms 5 Competitive exchange rates 6 Trade liberalization liberalization of imports with particular emphasis on elimination ofquantitative restrictions licensing etc any trade protection to be provided by low and relatively uniform tariffs 7 Liberalization of inward foreign direct investment 8 Privatization of state enterprises 9 Deregulation abolition of regulations that impede market entry or restrict competition except for those justified on safety environmental and consumer protection grounds and prudent oversight of financial institutions 10 Legal security for property rights These policies have been challenging for undercutting the basic levers that the state often has to shape economic policy Despite this borrowing states are forced to concede to these demands in order to get assistance from the International Financial Institutions World Bank and IMF In many ways these prescriptions reflect the freemarket ideologies found in the US thus its called the Washington Consensus The second is the idea of Good government One often hears this language tossed around with the idea that what developing states need is good governance as opposed to current bad governance Good governance generally seen as democratic rule but also effective rule Good governance often includes the following virtues or cha racteristics of governments They are Consensus Oriented Participatory following the Rule of Law Effective and Efficient Accountable Transparent Responsive Equitable and Inclusive Good institutions Additionally within the liberal camp there is also a growing argument that what is key to economic development especially in the postcolonial world is effective economic institutions Good institutions argues Danni Rodrik are those that achieve the necessary firstorder economic principles of economic growth namely l protection of property rights Comparative Politics Final Exam Review 28 contract enforcement marketbased competition appropriate incentives sound money and debt sustainabilityl l Dani Rodrik quotGrowth Strategies CEPR Discussion Paper No 4100 October 2003 However relatively few postcolonial states have succeeded in achieving these firstorder principles Furthermore notes Rodrik those few that have succeeded choose a variety of economically orthodox and unorthodox forms of institutions depending on the historical contexts of each case 2 Rodrik Subramanian and Trebbi quotInstitutions Rule 3 Douglas North quotEconomic Performance through Time The American Economic Review vol 84 no 3 June 1994 359 368 p 366 Furthermore Rodrik finds that the most successful cases ofdevelopment have used orthodox and unorthodox institutional practices North further cautions that successful institutional structures originate in the context of specific local factors based on informal norms and institutions Therefore institutional forms may not be readily transferable to alien social structures3 In other words simply because an institutional structure worked to produce economic growth in one place doesn t mean it will work in another While social institutions may shape trajectories of prosperity and peace or poverty and violence the origins of such institutions are often difficult to discern Understanding the origins of such institutions requires historically driven and comparative analysis of the social context that allowed for the creation and continuing existence of developmental institutions capable ofachieving these firstorder economic principles Review of LiberalModernist tradition Basic faith in notions of modernitydemocratization and power of the state Emphasis on political institutions both their creation and decay and not so much on the causes of institutional structures In a sense we can see the modernistsliberal approach in the current New Institutionalism School of Comparative Political Science It would be unfair to place all the New Institutional approaches within a LiberalModernist box but many more Marxist approaches also look at the role of institutions We will here because in a sense much of the current liberal school emphasizes a notion of good governance as being critical to the success of developing states Within Comparative Politics this has led to the development ofa the New Institutionalism School a broad number of approaches to the study of political institutions This School seeks to place institutions at the forefront of comparative political science and is often focused on how institutions shape social life as well as how institutions reinforce social behavior This school can be divided into four groups 1 Rational Choice lnstitutionalism a mix of Rat Choice economics and institutional structures helps define and shape the making of effective institutions 2 Historical lnstitutionalism this idea argues that institutions are the creation of unique historical contexts but that they create social consequences that reinforce the existence of institutions through positive feedback even if the historical context that gave birth to the institution has changed 3 Sociological lnstitutionalism This branch of the New Institutionalism school considers Institutions as the creation of more socially grounded causal mechanisms It does not necessary utilize the rational actor model and may challenge the historical institutional approach to path dependence Sociological institutional may look to constant causes rather than temporary causes in the construction of institutions 4 Constructional institutionalism Borrowing from constructionalism or hermeneutical approaches this field of institutional analysis is often more concerned with ideas and the meaning or construction of ideas and identities Which of these are right Or are any correct Let s think about the historical institutional school perhaps the dominant branch of new institutionalism The idea here is that history matters But does that really add anything Are the historical causes of institutions shortterm contextual events or are institutions the result of constant causes Lets look at causal chains What if institutions and the life and death of institutions are really the consequence of social forces that clash Can institutions really be exogenous or extraneous to the problem of causation Marxist ApproachDependency Theory and the Development of Underdevelopment Thesis We can broadly label these approaches as Critica Approaches in that they tend to challenge the prevailing orientation among Liberal scholars but also challenge many of the approaches used by dominant Western States Let s call them Critical for short The scholars of this school are generally responding to what they see as the problems and omissions of the modernist school BC Smith takes us through some of these problems in our readings EEEEE Comparative Politics Final Exam Review 29 The wave of independence swept over most colonies in the later half of the 20th century and peaked in the mid 19605 Yet many of the newly empowered leaders soon found that they had less independence than they might have thought NeoColonialism Rather they found themselves caught in rather NeoColonial Relations or Neocolonialism NeoColonialism is a term used by postcolonial critics of developed countries39 involvement in the developing world Writings within the theoretical framework of neocolonialism argue that existing or past international economic arrangements created by former colonial powers were or are used to maintain control of their former colonies and dependencies after the colonial independence movements of the post World War II period Note that this is distinctive from actual colonialism where some states continue administrating foreign territories and their populations It is however a critique of the involvement of modern capitalist businesses in nations which were former colonies Critics adherent to neocolonialism contend that multinational corporations continue to exploit the resources of postcolonial states and that this economic control inherent to neocolonialism is akin to the classical European colonialism practiced from the 16th to the 20th centuries What differs is that neocolonial rule is inherently indirect operating through private corporations and transnational relations but nevertheless denies postcolonial states the independence necessary to develop In its broader usage neocolonialism may simply refer to the involvement of powerful countries in the affairs of less powerful countries this is especially relevant in modern Latin America In this sense neocolonialism implies a form of contemporary economic imperialism that powerful nations behave like colonial powers of imperialism and that this behavior is likened to colonialism in a postcolonial world Economic basis postcolonial states are in a state of relative inferiority visavis developed state especially with regards to terms of trade Why Problem oftrode imbalances leads to debt debt to crisis as the state spends money it could be spending on development to pay off its debts Foreign Aid often comes tied with conditions or influence from donor states Pro ts frequently repatriated from developing countries back to developed states Technological dependency core states make much of the technology that is sold to the developing world Problems of technology its expensive Political dimensions NeoColonialism also comes with political consequences both within the state and from sources outside the state One thing to note the Neo Colonial thinkers are placing a couple of factors as key They are emphasizing history that the current world system is a historical development and that power relationships between states matter This power relationship is in part based on economic relations with powerful states at the core often dictating and shaping politics within developing states What about Marx Like the LiberalModernists and their progeny the critical school is rooted in a powerful theorist In their case it is Karl Marx and his theories on economics and society and to some extent Lenin s views on Imperialism Marxist approaches on the study ofempire and imperialism are rather deep and although often ignored within IR are still worth consideration as an alternative Marx had little faith in the notion of socialism in the precolonial and colonial world To Marx it was essential that these regions experience the brutality of colonial rule before they could undertake the move to socialism Similarly Lenin believe that imperialism was a consequence of capitalist world development but that the pursuit of imperial policies would eventually undermine capitalism itself and breed conflict among the developed countries of the core Since the fall of the Soviet Union and the end of the Cold War Marxist approaches have generally lost popularity among scholars and especially among students especially in the US Nevertheless there have been many interesting offshoots of Marx and current Marxists accounts most neoMarxist accounts show significant deviation from classical Marxism primarily involving the role of the government in the economy Remember to the Classical Marxist the state is merely an instrument of the Bourgeoisie a vehicle for domination In a sense for the Classical Marxist the state isn t very important at all what matters is the conflict of social classes primarily that between the Bourgeoisie and the Proletariat quotCapital is dead labor which vampirelike lives only by sucking living labor and lives the more the more labor it sucks Karl Marx Exploitation is key in this understanding of political economics For Marx sees it is very difficult for there to be a good bourgeoisie The nature of the capitalist system reinforced the demand the good capitalist exploit labor or be himself destroyed Therefore Marx sees determinism in economic life Recall from our earlier readings 1 Even though Marx discounted the possibility of colonial states achieving a state of communism without going through the brutality of colonial rule and capitalist development his ideas are attractive to political entrepreneurs and leaders who are looking for an ideology of rapid modernization and development It is an ideology of social mobilization towards a better future without going through the growing pains of capitalism Comparative Politics Final Exam Review 30 2 Revolution itself comes from advances in technology science and other forms of material development changes in the forces of production that outpace the outmodeled system of ownership or property among the classes relations of production as well as the superstructure that supports that domination The greater the contradictions the more difficult to maintain control over the rest of society by traditional means leading to class struggle as the bourgeoisie seek to hang on to what they got and the proletariat begin to challenge their power The ruling class the bourgeoisie are eventually overthrown Marxist is deterministic there is a telos an end of history in which capitalism will lead to socialism as forces of relations move from ancient feudal and capitalist structures to the socialist society where the proletariat reign Workers of the world unite You have nothing to lose butyour chains Marx Critical v Liberal views In contrast Weber on rational capitalism Capitalism is 39rational39 in the sense that it bases decisions on calculations of likely return This presupposes some predictability and requires a predictable legal system Capitalism supposes that there are free markets for products and for labor and other factors of production These free markets are wide and there is some predictability This allows innovation in search of profits Among the social preconditions for the creation of capitalism are a predictable legal system and behind that a rational state bureaucracy To establish a wide market there has to be a practice of treating individuals as if they have rights and as possible partners in lawregulated commercial dealings Note that Weber also recognizes that the rise of liberal and rational capitalism works in contrast to the desire of king who seek to rule and tolerate little opposition The King isn t interested in private economic growth as this might create new challengers to his political domination Yet despite the desire of kings to crush the rise of capitalism it nevertheless arises This leads us to one of the great debates in comparative politics how do we get democracy state formation and prosperity in the developing world The Liberal tradition finds its roots in the developed political and economic systems of the Northern industrialized states US Europe Japan etc Critical scholars challenge these findings Find that the experience in the developing world is different They object to the notions that the process ofdevelopment is purely internal a case of overcoming traditional ways of doing so Rather the critical school notes that the 39 of the p t l Ia state are quot structured within a global capitalism economy and a history which these newly independent states had little influence over While many of the liberal scholars come from the West many of the critical scholars and indeed much critical scholarship originates from the developing South Critical scholarship often draws its arguments from the notion that the developing world is caught in an international system not of its own creation that the developing world has emerged from exploitative relationships between the Third World Or Post Colonial World and the West Dependency Theory and Underdevelopment Theory emerges largely from Latin America and was widely picked up by other parts of the developing world We sometimes forget that at the turn of the 20th Century around 1900 Argentina was one of the largest economies Andre Gunther Frank a primary leader in this movement But also Fernando Henrique Cardoso who later becomes President of Brazil and is credited for moving that country towards its current growth Caveat here Dependency scholarship is influenced by Marxist scholarship but the two are distinct Dependency does NOT equal Marxist Dependency theory begins as a critique of international trade theory and an explanation for why import substitution strategies were necessary Dependency theory according to Smith at least has two phases The first is primarily concerned with trade imbalances and the problem of primary exports and little industrial growth The imbalance between cheap primary commodity exports and expensive manufactured goods and services leads to an exchange crisis and patterns ofdependency The second phase concerns the problem of being on the periphery or perhipherality Export Dependency We often forget that the countries of South America were among the world s leading performers at the beginning of the 20th century Exports of commodities beef and goods make Argentina among the ten largest economies of the world Yet the problem for many of the Latin American countries is that they depend on selling goods to Europe as well as that large segments of their population remain in poverty and that there are regional as well as social inequalities Dependency theory begins as a critique of international trade theory and seeks tojustify why import substitution is needed It offers an argument based on both export dependency and import dependency Import Substitution broadly is a policy of state intervention in the economy in which the private and public industries are encouraged or created by the state that manufacture goods that compete with imports In a way this is a mechanism to contain the benefits of trade by cultivating domestic manufactures while protecting infant industries from external companies that enjoy better economies of scale Comparative Politics Final Exam Review 31 Import substitutions serves as a means to avoid dependency on imports but it also encourages the creation ofa locally controlled economy It would be a means by which the state could encourage early industrialization reduce dependence on primary commodities reduce power of the conservative and more traditional agricultural classes and create jobs In the process this could also promote greater political stability by reducing unemployment Problem Import Substitution Strategies generally don t work well Why Small domestic markets little indigenous demand leading to ineffective companies Little technical expertise But it also changes the terms of trade Developing countries have increased their share of manufactures but developed states are producing capital intensive goods and the divide between them seems to be growing as is the dependency between the North and the South Dependency theorists argue that the developing world can overcome the problem of export dependency The Great Depression where the manufacturing powers cut imports from developing world economies led to an economic crisis for primary commodity exports revealing their vulnerability Continued fluctuations on export demands continued to destabilize economies creating regional dislocation Import substitution could serve as a means ofaddressing these problems reducing the dependency of these states on highly volatile markets for primary products Such programs could diversify their markets and allow for greater local control over the economy economic sovereignty Additionally it would weaken the hold of traditional agricultural elites over the economy undermining patterns that seemed almost feudalistic as well as creating new occupational opportunities for the poor Note that many of the goals are somewhat modernistic By changing export profiles dependency theorists seek to modernize the economy through industrialization the weakening of traditional authorities and ideally promoting democratization Import dependency This was more about phase 2 of dependency theory and a response to the failure if import substitution strategies ISS strategies had actually increased the level of dependence on metropolitan countries by creating dependency on foreign capital goods machine tools plant and technology ISS had created a manufacturing sector dependent on foreign economic interests Within this school is the belief that the economic consequence was to reinforce the power of metropolitan capital and the hand of multinational corporations over these country s economies This in term led to new forms of marginalization and social problems for these societies including increased slum populations as landless workers were moved off farms and went to cities but found few jobs Growing segments of populations found themselves withoutjobs education political influence security or shelter Dependency theorists accuse te state of being subservient to multinational corporations that control the industrial process Meanwhile South is growing increasing indebted to the North further frustrating opportunities for economic growth UnderdevelopmentDependency Theory Critical of the modernist approach and seeks to explore why modernism didn t produce the expectations it should have Challenges the shortcomings of Modernism by arguing that we need to understand the developing world within the context of the global capitalist system Where much of current IR theory assume an anarchy of equals within the dependency literature is an argument that the world is actually based on hierarchies with the power calling the shots and the poor doing what they must to survive This inequality leads to the exploitation of the South Therefore while modernists look to development the critical branch often seeks to explain why the post colonial world remains undeveloped or forced into a lower state ofdevelopment in large part due to the exploitive nature of the capitalist economy Where Modernists criticize the internal shortcomings of states Critical theorists argue that the external constraints are the reason for the shortcomings of the South most notably the domination of the developed world of the developing Emphasis on the Political Economy and especially inequality quot I 39 quot quot 39 39 39 39 39 I Schools look at social class relations as key as well a distortions and inequalities in the international economy Dependency and Underdevelopment Schools are especially concerned about the international system as being a historical construct shaped largely by the powerful against the weak In many ways this structure continues to leave the developing countries of the South marginalized and disempowered while developed Northern countries prosper Dependency is also very historical and pays very close attention to longterm historical patterns of exploitation and domination Walter Rodney How Europe Underdeveloped Africa 1972 argues that before the 16th Century Africa was developing both politically and economically as were other nonEuropean regions Inclusion of Africa into the global capitalist system and process of colonial rule ended indigenous development on the continent leading to the Development of Underdevelopment where by Africa is impoverished because its development is bunted halted or turned back by the will of European powers In essence the development of the Western Industrialized powers is built on the underdevelopment of the periphery countries Heirarchy and Underdevelopment This aspect focuses on the idea of centreperiphery The Core or centre being dominant and the peripheral states being left impoverished or at least underdeveloped Development of under development AG Frank Discuss The Development of Underdevelopment Thesis constructs a world view in which all countries are either Metropoles those at the center of economic and political power or satellites those that are controlled or exploited by the metropoles Comparative Politics Final Exam Review 32 Example France is a metropole vs Senegal as satellite Senegal produces groundnuts because France needs for cheap heating oil Supporting the domination of the metropole of the satellite were the compradors political and economic elites who act knowingly or not as agents for Europeans or metropoles Dependency notes that relationship between the Satellites and the Metropoles has not changed since independence but rather are reinforced if not deepened by neocolonial rulers and systems of neocolonial rule According to Dependency thinkers poverty of the peripheral Third World countries is the result of their integration as marginal actors in a capitalist world economy Peripheral countries serve as a source of cheap labor natural resources and a market for antiquated manufactured goods for the core which sustains the dominance of the core Developed economies actively but not necessarily consciously perpetuate this state ofdominance through the creation of dependent relations A state ofdependency is perpetuated by the developed core through a variety of means political economic military but also through cultural means and the control of ideas and technologies Those countries at the periphery that seek to resist this dependency risk economic sanction or even military coercion by the dominant core lts dangerous to be a rogue player Note that Dependency Theory and Marxist theories are NOT the same Although Dependency theory has attracted a lot ofattention from Marxists scholars it is a separate approach emphasizing different theoretical points Many Marxists have adopted elements of Dependency Theory but they are distinct Rodney Colonies are generators of capital rather than countries into which foreign capital is plowed Note for example little FDI goes to Africa except for resource extraction Circulationist Revision or World s System Theory Focus on the exploitative nature of international trade relationships that benefit the North at the expense of the South Immanuel Wallerstein Capitalist World Economy 1979 contributes to the understanding of the system Argues that the international system goes through periods of expansion and contraction Re labels relations as Core and Peripheral and later Semi Peripheral Countries World Systems Theory and Wallerstein influenced by Marxists approaches Dependency and the Annals School of History see Fernand Braudel Note remains highly influential Large body of World Systems Theory work out there Continues to help shape the language of IR and CP Wallerstein argues capitalist world economy is key Lets get into Wallerstein What are the consequences of a world system which features creation of a single world division of labor production for profit in this world market capital accumulation of expanded reproduction as a key mode of maximizing profits emergence of three zones of economic activity core periphery and semiperiphery unequal exchange among units and persistent mechanized trade imbalances multiplicity of state structures development over time of two principle classes Begins in 16th Century Europe and expands across the world and emphasizes trade in luxuries as distinct from essentials More on Wallerstein and World Systems Wallerstein It is not possible theoretically for all states to develop simultaneously because economic relations are closed and rigorously structured Growth of one state comes at the expense ofanother Wallerstein true social change requires overthrowing the entire capitalist world economy Change in one country is doomed to fail SemiPeripheral countries locally or regional countries that are between the impoverished periphery and the metrolpols In Africa probably the best case is South Africa perhaps Nigeria Other possibilities Saudi Arabia Brazil or Argentina Mexico Singapore China Semiperiphery is the primary reason that the capitalist system has not been overthrown yet Must have polarization between rich and poor and semiperiphery delays that Semiperiphery only temporary dysfunctions of the capitalist system will be its undoing Dependency Review Smith identified 5 elements of dependency theory 1 Heirarchy A hierarchy of center and periphery or metropolitican and satellite relations exists that shapes patterns of exploitation between one country and the other with centermetropolitan countries exploiting peripherysatellites World is divided by relations of economic power with centers dominating peripheral areas that surround them Heirarchy of power relations doesn tjust include between states but within societies 2 Underdevelopment More discussed below The idea here is that the exploitation means expropriation of the economic surplus of the peripheral countries and thus capital flows from peripheral to the core and thus the peripheral remains undeveloped for it lacks its own capital surplus AG Frank would push this further arguing that the backwardness of the periphery was a consequence of Comparative Politics Final Exam Review 33 the development of the corewealthy states which through the trade relationship undermines the capacity of the poor to fully develop and may actually seek to perpetuate that underdevelopment Thus the development of underdeveloped suggests that the prosperity of the developed parts of the world was achieved in part by the practice of underdeveloping the South Note A lot of students tend to find this idea troublesome The argument seems to suggest that there is an intention to keep poor economies poor so that the rich can prosper Let us consider this carefully FDI in much of the world s poorest countries in Africa is tailored towards resource extraction but the firms intentionally do not promote the manufacture of goods from those resources Furthermore we know historically that colonial powers would undermine the creation of colonial trading firms owned by colonized people thereby undermining the creation ofa domestic commercial or industrial bourgeoisie Finally we also know that powerful western countries have utilized their power to undermine the creation of new cutting edge technologies technologies that would allow those states to be at the front edge of the business cycle in favor of their own firms Is this underdevelopment thesis so outrageous 3 Development of Capitalism AG Frank rejected the idea that Latin America had feudalistic characteristics but that a capitalist world system has existed since the 16th century The notion that economic forms in the peripheral world might be precapitalistic is rejected 4 Disaiticulation As a consequence of incorporation into the economic system countries experience a range of dependency Dependency isn tjust between poor and wealthy but might link rich countries in terms of economic relations Japan and the UK may be dependent on the US But there is a difference between dependency between the powerful states and those between powerful and third world However the nature of dependency is different Within dependent states the process of capital accumulation remains but in a peripheral countries the benefits of growth are transferred abroad This in turn affects clas structure and produces a dominant class of merchants not engaged in production but which transfer commodities and profits from the Third World The capital owning class of the periphery is fragmented between those allied to indigenous capital and those who are allied with foreign interests which in turn prevents the emergence of a national bourgeoisie The bourgeoisie class structure doesn t have an interest in a working class with better health housing and education because there is a surplus of labor in excess of industrial needs created by stagnating agriculture population growth and capital intensive industrialization 5 Structure of Political Power the ruling class of Third World countries are essentiallyjunior partners within the structure of international capital Because a national bourgeoisie is locked the indigenous classes depend on metropolitan interests They become essentially clients to the international system Example case of the death of Liberia s domestic bourgeoise in the 19th century illustrated in class Cardozo and Brazil Dependency shapes class relations military is used to keep labor repressed and bourgeoisie loses control over the political system leading to autocratic developmentalists but militarybureaucratic regime Problems From Smith Econimism no systematic approach to class becomes overgeneralized Myth of feudalism Challenge to Frank s view Underestimating development Third world states do show some development despite capitalism Furthermore developing countries can reduce their dependency Example Nle Levels of generality Too high a level of generalization and too much imprecision for it to be refutable at the macrolevel or applicable at microlevel Heirarchy Too stark a contrast between developed and undeveloped between rich and poor IN fact there are significantly a large number of countries in the middle Policies of counterdependency None of the solutions to dependency seem to work Unclear what the policy implications are Critical Approaches in the 1970s and the NeoMarxists Neo Marxists grew in challenge to the dependency approach and the circulationist approach and refocused on internal issues Challenge grand theories in favor of more practical applications Make Marxists approaches relevant Samir Amin NevColonialism in WestAfrI39ca 1973 Dependency Senegal s economic development was to serve France s interests Leads to high dependency on foreign interests and investment leads to Senegal s underdevelopment But Amin argues that extraction of surplus from the peripheral areas was not necessary for development of the core north Development can happen in countries or regions independently Amin would later adopt an argument that African countries can pursue autocentric selfreliant development Is this really possible Amin rejects the notion that there is only one mode of production the capitalist world economy Amin notes that the world s economy is comprised of both capitalist and noncapitalist economies that coexist both between and within the states NeoMarxists contribute to the scholarship of critical thought in 5 ways political of I It is an economic theory and social Comparative Politics Final Exam Review 34 l Rejection of the development of underdevelopment thesis Accepting that capitalism is exploitative neo Marxists disagree whether the worldwide expansion of capitalism has been permanently negative Perhaps it is an essential step in the path of socialism 2 Dependent Development NeoMarxists also recognize that individual countries could develop even within a system of dependency Some semiperipheral countries have experiences rising levels of industrial output 3 Better understanding of class analysis in individual cases NeoMarxists have moved past core semi periphery periphery as well as tight understanding of class conflict Classes can cooperate or fight within the context of their class relations 4 The role of the ruling class elites can take the lead and ruling classes can play a key role They are not merely agents in the international system but have a scope of autonomy and interest unique to external bourgeoisie Neo Marxists have sought to redefine the ruling class and have adopted a number of concepts to define this class They may be a bureaucratic bourgeoisie comprised of leading civil service and government employees Alternatively they might serve as an organizational bourgeoisie NeoMarxists have also looked at other social classes and their interactions the petty bourgeoisie peasants and proletariats 5 The Role of the State Marxists accounts generally don t care much about the state its about resources and classes Dependency scholars had looked at state as the means by which foreign actors could penetrate the state NeoMarxists argue that the state could operate with other powerful classes to limit the penetration of external actors and pursue capitalist development in a way antagonistic to powerful external actors Colin Leys Underdeveopment in Kenya 1974 dependency applied to Africa But later Keys amended his argument saying that ruling class and the dominant economic class can combine to achieve a form of capitalist development that favors the Kenyan Bourgeoisie at the expense of the external economic interest Big debate within the Marxist camp does the state reflect the interests of dominant socio economic classes of a particular country orthodox Marxist position or can the ruling class be independent of and carry out policies counter to that dominant class Neo Marxism 6 lmportance of Power Here Richard Sklar Class relations at the bottom are determined by relations of power and not production Sklar believed that the ruling should not be perceived as mere reflections of the country s dominant economic class Rather the political basis of competition between classes must be recognized as well as the basis of control and domination Sklar focuses on relations of power which may vary depending on the context One must examine different political realities of class relationships Problem with 7 Marxism is somewhat elegant in that it generalizes that powerful socialeconomic classes will dominate a society If powerrelations vary per case than we have to look at each individual cases This might make generalizations more difficult Valenzuela and Valenzuela Modernization and Dependency Alternative Perspectives on Latin American underdevelopment authors compare different approaches modernists and dependency approaches to the study of Latin America Review to consider both sides in this argument and their analysis to Latin America Some comparisons Modernization theory utilizes a levels of analysis that is behavioral or microsocilogical focusing on individuals and aggregates of individuals pluralist approach that focuses on attitudes values and beliefs Dependency theory focuses on a structural and macro sociological perspective and emphasizes production and patterns of international trade economic linkages etc Both are concerned with modernization and development but their units of analsis are different Modernists focus on the unit while dependency emphasizes the global system Time and history are more important to the dependency scholarship Modernists believes in their universal validity Variations in perceptions of human nature Dependency theorists believe that human behavior in economic matters is constant and respond to different contexts Emphasis is structural Modernists attrituble behavior to the relativity of human behavior cultural values and beliefs regardless of opportunity structures that underlie economic action Differences with regard to perceptions of change Other thoughts New Directions Marxism takes a beating with the end of the Cold War Marxists scholars begin to lose favor as does Marxist scholarship Major shift in favor of more liberal positions Additionally those countries that pursue a more Marxist approach generally fail to show much socioeconomic improvement Rather most are run by military despots Some new approaches Again these are primarily drawn from the study of Africa but illustrate some of the newer directions Democratization is multiparty democracy a new form of neocolonialism or recolonization Richard Sklar Developmental Democracy supports the notion of group selfinterest and accountability of leaders to the members of groups as mechanism for pursue of social justice and economic and political freedom Social Movement Mahmood Mamdi and Ernest WambadiaWamba African studies in Social Movements 1995 explores the development of various social movements and how they deal with state oppression and promote more inclusive governance Comparative Politics Final Exam Review 35 Gender Jane Parpart and Kathleen Staudt Women and the State in Africa 1989 April Gordon Transforming Capitalism and Patriarchy Gender and Development in Africa 1996 Emphasis here on how women are dealing with inherently unequal and exploitive gender relationships in their respective countries International Financial Institutions notably the World Bank Group These challenge the policy prescriptions of the World Bank group argue that the World Bank Group had increased bargaining leverage over third world leaders and imposed conditions to restructure domestic economies and frequently ran counter to democratic trend and domestic needs 39 I 39 I 39 quot This quot 39 quot39 examines evolving relationship between developing states and foreign powers during the postCold War era but has tightened the economic political military and cultural control of the North over the South Richard Sklar and David Becker Postimperialism and World Politics and Sklar s essays argue that multinational corporations can play both a positive and negative role depending on the nature of the relationship of the international wing of the corporation s managerial bourgeoisie and the local indigenous African wing of the managerial bourgeoisie Sklar argues that transmission of values goes both ways Decline of Marxism has led to a reconsideration or reexamination of Marx in critical thinking Problems Underdevelopment requires a uniformity on the study of the developing world Class relations differ in countries As a result the critical scholarship has developed a literature on the different kinds of bourgeoisie Issues of nationalism ethnicity ignored Critical approach highly pessimistic perhaps too much so Approach too caught up in debates about the rigor and conceptualization of Marx and not enough about the processes and events Too much theory and too little practicality The State and Statist Approaches Tony Smith Underdevelopment of Development Literature the Case of Dependency Theory Challenge to Dependency Approach incorporates the idea of the state Notes dependency theory a central theory emphasizes role of the international system rather than internal characteristics Argues dependency theory overestimates the power of the international system in the developing world and has underestimated the role of the South in governing and shaping its own affairs Smith review various parts of the world Latin America China India He finds dependency formulistic and reductionist bad history Much of its history hinges on how dependency thinkers view history essentially they are reading history in light of their theory a problem found commonly among many political scientists What are Smith s criticisms That the dependency over generalizes and doesn t pay significant attention to more historically accurate accounts Note that Smith does not fully discount dependency Rather Smith argues that it is important to take into consideration the power of the state and the range of state structures that were created in the South for explaining variations in political and economic development Cannot dismiss as does Marx the state as merely the administrative bod of the ruling class or dismiss it as historically insignificant Reviews many of the new statist scholarship Skocpol Gerschenkron etc Notes that states will vary in their responses to changes in the international environment largely due to state structures and local social forces Smith later turns to the challenges for the state in promoting development It must have autonomy yet it must sink its roots Note again Smith does not completely discount the dependency approach but finds some significant value in its main ideas but he does encourage skeptism and more nuanced understanding taking into consideration local values Statist approaches A growing interest in the State especially after Skocpol et al Bringing the State Back In and States and Social Revolution Research of role of state institutions and the relationship of states and social groups By end of 1980s State is the central focus of this school of thinkers We had discussed some of this earlier in the term and won t go over it extensively here View is increasingly shared by both modernists and dependencycritical thinkers recognition that the state matters and is often of central importance to understanding politics State is the motor of economic growth and democratization If state has failed the fault lies in political leadership or weakness of state institutions Focus on state structures expansion of the state abuse of state power relations with domestic groups relations with the global economy and foreign economic actors State has its own interest capacities achievements and weaknesses Emphasis state as an institution Institutions exist often as Instruments of domination allowing state leaders to abuse their positions visavis society How can the state serve as the instrument ofdevelopment and how do we get the developmental state Comparative Politics Final Exam Review 36 Peter Evans from Embedded Autonomy Evans Typology of states Predatory states Some states extract such large amounts of otherwise investable suplus while providing little in the way of collective goods in return that they impede economic transformation Those who control states plunder without any more regard for the welfare for the citizenry than a predatory has for the welfare of its prey Zaire is the model Developmental Other states foster longterm entrepreneurial perspectives among private elites by increasing incentives to engaging transformative investments and lowering risk These states may not be immune to using social surplus for the ends of incumbents and their friends rather than those of the citizenry as a whole but on balance the consequences of their actions promote rather than impended transformation Taiwan Korea Japan Intermediate More ambiguous cases like Brazil and India that have enjoyed inconsistent but occasionally striking success in promoting industrial transformation The key here is to understand what explains this variation in states Evans focuses on state structures and statesociety relations Key to his study is the question of bureaucracy its competence and its embedded nature in society But note Evans says My aim is not to explain the origins of predatory developmental and intermediate states a task for historical scholarship that goes well beyond the ambitions of this study Instead the idea is to take existing structural types as starting points sing them to show how internal organization and relation to society produced a distinctive developmental impact Evans challenges conventional dichotomies Migdal of strong and weak states Although Evans calls Zaire strong in terms of what Mann would call despotic and infrastructure power this is questionable Other analysis of Zaire would suggest that its more imperial in nature a state with high despotic and weak infrastructure power Evans might be misapplying Mann here Evans notes that Zaire is largely immune from social forces it is autonomous and free of any class or organized civil society constituency control Evans notes that one of the most striking aspects of the Zairian state is the extent to which the invisible hand of the market dominates administrative behavior Personalism and plunder at the top destroys any possibility of rule governed behavior in the lower levels of the bureaucracy giving individual maximization free reign Rather Zaire suggests the challenge for Weberian rational bureaucracy to remove personalism in favor of predictable rule government behavior and develop a bourgeoisie oriented towards longterm productive investment Additionally the Zaire regime suggests how the state can disorganize a society Zaire confirms our initial suspicion that it is not bureaucracy but its absence that makes a state rapacious Developmental states Here Evans builds on Chalmers Johnson also in our syllabus and his study ofJapan as well as other studies on Korea and Taiwan Note that the characteristics of these states Heavy investment in bureaucracy a desire to hire the best and brightest to create a brain trust of technocrats capable of overseeing the management of the state Embedded nature bureaucrats are autonomous but also connected to social relations in order to fashion the best economic policies State is intervening but operating in close relationship with business Additionally not that the approaches are somewhat heterogenous Some states Taiwan utilize State Owned Enterprises SOEs while others do not However in these cases the state is promoting investment in the economy inducing transformative investment Organizations like Japans MITI act as pilots agencies that oversee the process To do this these states incorporate Weber s notion ofa rational bureaucracy career civil servants who are tasked with improving the economy But with this bureaucracy are informal links between the state and civil society which promote consensus building Embedded autonomy writes Evans combines Weberian bureaucratic insulation with intense connection to the surrounding social structure offering a concrete resolution to problem of statesociety relations With sufficiently coherent and cohesive state apparatus isolation is not necessary to preserve state capacity Connectedness means increased competence instead of capture by society It is an autonomy embedded in a concrete set of social ties that bind the state to society and provide institutionalized channels for continual negotiation and renegotiation of goals and policies Note also that the developmental state is also selective in its venture lt chooses strategic industries learns from past catastrophes and is restrictive in its intervention Evans notes that either autonomy or embeddedness may produce perverse results without the other Without autonomy the distinction between embeddedness and capture disappears Autonomy by itself does not necessarily predict an interest in Comparative Politics Final Exam Review 37 development either in the narrow sense of economic growth or in the broader sense of improved welfare The secret of developmental states says Evans is found in the amalgam Problem What does Evans not tell us how do you get there He states the appearance of this peculiarly effective amalgam in the developmental state of East Asia depended of course on an very unusual set of historical circumstances but this does not detract from the usefulness of the concept of embedded autonomy as an analytical point of reference In other words the historical causal process is left unaddressed How do we get developmenta states Intermediate States Somewhere between Zairian predation and East Asian embedded autonomy are most developing states Sometimes these states are predatory other times developmental In these cases states have helped lead to economic miracles but in others they have failed to sustain economic development They have been called both strong and weak autonomous and captured Intermediate states have some semblance of bureaucratic coherence but not quite the corporate coherence fond in developed states They may suffer excessive clientelish or the inability to construct joint projects with potential industrial elites There is inconsistency in policy and study of these countries is somewhat more complex Two cases for Evans Brazil and India Brazil characterized by pockets of efficiency and a long effort to build a competent bureaucracy but also problems of clientelistic norms This leads to uncoordinated expansion and a baroque structure that is easily fragmented and influenced by clients Bureaucratic careers lack the longterm time horizons found in the developed cases Additionally powerful social forces also exist and there are problems in organizing statesociety relations so that they are mutually reinforcing India Even more ambiguously situated between developmental and predatory states India has a strong bureaucratic tradition largely adapted from the British but is highly generalistic and prone to frequent rotations Statesociety relations are much more complex with a powerful rural class Additionally Indian has maintained a icense permit quota raj a high degree of control over business that restricts private capital The Indian state cannot count on the private sector as a source of information about what industrial policy should be or as an effective instrument for implementing industrial policy Both India and Brazil share common problems they have bureaucracies that are not patrimonial in character but lack corporate coherence of the developmental ideal Career ladders binding individuals to corporate goals while allowing them to acquire experience to perform effectively are not well institutionalized Additionally these structures face more complex and divided social structures Problems for embedded autonomy Less internal capacity More difficult environments Less carefully defined agendas Inability to deliver developmental performance created structure pressure in the direction of further decline Lesson writes Evans bureaucratic organization once in place does not necessarily reproduce itself Reproduction of bureaucratic organization cannot be taken for granted There is no inexorably tendency for the supply of bureaucracy to meet the demands that are put n it State capacity is not only in scarce supply in intermediate states it is a wasting resource Problem for Evans real bureaucracy is in scarcity not in excess in the developing world The absence of bureaucratic structures leads to the utilitarian nightmare of thestate as a collection of selfinterested incumbents using their offices for purpose of individual maximization Ineffective states are characterized by a lack of predictable rulebound bureaucratic norms and relations within the state apparatus Evans Smith overstates the naturalness of markets and Weber overstated the inevitability of bureaucratic rule Rejects the neo utilitarian notion that the state must be shrunk because the market ties are the onl effective form of largescale social organization But notes hat it does not mean rejecting the idea that the modern state s reach exceeds its grasp State intervention must be selective and bureaucracies must be nurtured However this is only part of the picture States also need to be tied to dense external networks of publicprivate ties Evans notes that different types of states foster emergence of complimentary groups Developmental states produce organized industrial classes that are needed as counterparts Predatory states like Zaire lead to disorganized and divided civil societies incapable of resisting predation Intermediate cases develop more complex social relations In Brazil this lead to modernizing projects that sustained traditional power but pockets of efficiency drew in industrialists intojoin projects that showed impressive results In India state succeeds where autonomous action can produce results infrastructure but difficult in promote industrialization Evans writes in 1995 but even today we see in Brazil a stronger industrial sector than India while India is primarily a service economy Take away Different variations in internal state organization and statesociety relations create differential degrees of developmental capacity D ans in state scholarship l Emphasis on good governance Liberal approach focus on institutions 2 Emphasis on the predatory ruling class more Marxist approach and focus on class and social relations Comparative Politics Final Exam Review 38 Challenge to State approach 1 Define the state 2 Explain state society relations 3 What about class and ethnicity 4 Personal rule and predation connects to political economy how 5 Emphasis topdown and formal structures of the state why 6 What about nonformal structures 7 Not all power is statecentric What other sources of power Fatton Presentation Haiti After the Earthquake Consider how Fatton s depiction of Haiti after the Earthquake reflects some of the challenges to states especially those that were already developmentally challenged before natural catastrophe Consider patterns of modernization statist approaches and dependency approaches and the challenges posed to reforming or debuilding Haiti Lecture 2122 Review Last couple of weeks we have discussed political culture rationality modernization theory dependency and other quotcritical theories and finally finished up in the state We have discussed the state before in this class and did an intro earlier in the semester Key to the statist approach is that the state can play a role in the process of economic and social development by virtue of its position within society How that occurs and what is the best way that occurs is subject to some debate Note that Smith does not completely discount the dependency theory nor do the modernists Rather there is increasing awareness of the important role of the international political system in shaping patterns of state formation and economic growth But both those from the modernist camp which see the transformation of society from traditional to modern forms and more Marxists and dependency thinkers who focus on the interaction of the state and the international market begin to develop increasing appreciation of the role of the state Smith s discussion and criticism of Iquot I 39 ignoring the nuance of local history More importantly it neglects the important domestic factors that shape economic development and politics and especially the role of the state The other statist we discuss is Evans Evans previously had been more of the critical camp but his study of quotembedded autonomy led to a reexamination of the role of the state in the economy We need to discuss that First Let s discuss Fatton What camp is Fatton in What does he think of the state Is he critical What is the problem regarding NGOs Note the problem ofa political class and class analysis Relevance and utility Evans Evans offers a typology of states of states in the postcolonial world Predatory states Some states extract such large amounts of otherwise investable surplus while providing little in the way of collective goods in return that they impede economic transformation Those who control states plunder without any more regard for the welfare for the citizenry than a predator has for the welfare of its prey thus quotpredatory state Zaire is the model Developmental States Other states foster longterm entrepreneurial perspectives among private elites by increasing incentives to engaging transformative investments and lowering risk These states may not be immune to using social surplus for the ends of incumbents and their friends rather than those of the citizenry as a whole but on balance the consequences of their actions promote rather than impended transformation Taiwan Korea Japan Intermediate More ambiguous cases like Brazil and India that have enjoyed inconsistent but occasionally striking success in promoting industrial transformation Evans focuses on state structures and statesociety relations Key to his study is the question of bureaucracy its competence and its embedded nature in society But note Evans says quotMy aim is not to explain the origins of predatory developmental and intermediate states a task for historical scholarship that goes well beyond the ambitions of this study Instead the idea is to take existing structural types as starting points sing them to show how internal organization and relation to society produced a distinctive developmental impactquot analysis I 39 39 that 39 39 is often overly reductionist and theory driven Comparative Politics Final Exam Review 39 In many ways Evans is advancing the work of Joel Migdal and his work Strong Societies Weak States Migdal argues that there is a tug of war between the state and society with each trying to penetrate the other Weak states are highly penetrated by society or to be more exact social factions and thus capture parts or the entire state and forcing the state to serve the interest of discrete social forces In the process the state loses the capacity to act autonomous to shape developmental trajectories In contrast strong states are highly autonomous of society and penetrate society The problem for Migdal is that the state is either hijacked by the state or the state has such autonomy that it dominates society In either case the results are detrimental Evans challenges these ideas To Evans there is actually a range of successfailure in the developing world Some highly successful and others much less so He notes that a highly embedded state with little autonomy does suffer what Migdal suggests However a highly autonomous state is also a recipe for despotism and weakness The trick is in the amalgam ofautonomy and embeddedness Problem What does Evans not tell us How do you get a developmental state He states quotthe appearance of this peculiarly effective amalgam in the developmental state of East Asia depended of course on an very unusual set of historical circumstances but this does not detract from the usefulness of the concept of embedded autonomy as an analytical point of reference In other words the historical causal process is left unaddressed How do we get quotdevelopmental states Consider this point carefully Evans begins with the notion that the bureaucratic structure and the institutional relationship between states and societies is of central importance it is the interdependent variable that leads to developmental outcomes Developmental states create development Predatory states lead to predation Perhaps and it is easy to blame but what if there are other causal variables driving the process For example what if there are other structural or social variables that lead to the creation of developmental or predatory states that the variation is due to specific contextual variables that shape the decision making of political leaders so that some created a bureaucracy capable of development while others created a patrimonial bureaucracy Evans doesn t explore this possibility D ans in state scholarship Reflect different bias of scholarship Some focus on issues of quotgood governances and reflect a liberal emphasis on institutions and the consequence of institutions Others emphasize class relationships and how they shape institutional and statesociety structures reflecting more of a traditional critical approach Questions within the statist approach are often focused on quotwhat is the role of the state in developmentquot or quotwhere does the state fail Perhaps the more interesting question how do we get good states good bureaucracies good governance Or why do some state leaders not produce those features These issues come back to us in the readings from Chalmers Johnson and Thomas Callaghy Good institutions Additionally within the liberal camp there is also a growing argument that what is key to economic development especially in the postcolonial world is effective economic institutions quotGoodquot institutions argues Danni Rodrik are those that achieve the necessary quotfirstorder economic principles of economic growth namely protection of property rights contract enforcement marketbased competition appropriate incentives sound money and debt sustainability However relatively few postcolonial states have succeeded in achieving these firstorder principles Furthermore notes Rodrik those few that have succeeded choose a variety of economically orthodox and unorthodox forms of institutions depending on the historical contexts of each case Douglas North further cautions that successful institutional structures originate in the context of specific local factors based on informal norms and institutions Douglas North quotEconomic Performance through Time The American Economic Review vol 84 no 3 June 1994 359 368 p 366 Therefore institutional forms may not be readily transferable to alien social structures In other words simply because an institutional structure worked to produce economic growth in one place doesn t mean it will work in another Furthermore Rodrik finds that the most successful cases of development have used orthodox and unorthodox institutional practices Lesson While social institutions may shape trajectories of prosperity and peace or poverty and violence the origins of such institutions are often difficult to discern Understanding the origins of such institutions requires historically driven and comparative analysis of the social contexts that allow and promoted the creation and continuing existence of developmental institutions capable of achieving these quotfirstorder economic principles Challenge to State approach 1 Define the state Statists and Critics of the statist approach challenge conventional definitions of the state or have modified the definition of the state We have rentier states failed states developmental states quasi states postcolonial states neocolonial states etc Comparative Politics Final Exam Review 40 2 Explain state society relations Questions remain how do states impact relations with society what are the types of institutions that are effective and what explains patterns of statesociety interaction 3 What about class and ethnicity These ideas haven t gone away but are often utilized independently What is class or ethnicity that defines India s developmental trajectory Was it class or ethnicity that drove the Biafran War Such questions have become more nuances recognizing that class and ethnicity might both be incorporated to understand individual and factional identity and political choice 4 Personal rule and predation connects to political economy how One sees quite a bit of this in African politics especially but also in other areas of the developing world How does one constrain state leaders or ruling classes to be less predatory and more developmental S Emphasis topdown and formal structures of the state why This focus more specifically on sate structures and the ties between those institutions and society 6 What about nonformal structures Institutions are not merely formal structured Others are informal 7 Not all power is statecentric What other sources of power operate How do they impact the statesociety relations PastColonialDeveloping States Opello and Rosow get us into the story of the colonial state and track its history back to early European Imperialism Typically these discussions begin around 1400 1600 but Opello and Rosow point out that the history of European imperialism and expansion is much longer stretching out from the spread of European tribes into new territories a process that would continue into the late 19th century During the 19th century as the US is stretching itselfwest based on ideas of manifest destiny the Russians are spreading east across Asia to the Pacific Ocean Driving this expansion is a mixture of ideology religious fanaticism and economic ambition and opportunity If we were to think of Mann s basis of social power we find that Europe is uniquely capable of extending its dominance across the world out of Europe into the Holy Land and then across the world The characteristics of such power the political power of the state and the drive towards mercantilist expansion the creation of technologies of ocean going trade the use of firearms and cannon and expansionistic ideologies all play a role in European expansion What Opello and Rusow label the Second Overseas Expansion is driven in part by ideology but largely by mercantilist drives Exploration leads to conquest and colonialism Colonial rules is the ability to monopolize the extraction of economic surplus from a specific territorial region The motives are complex and include economic gain military and political competition and religious quotmissionquot are all driving forces behind this trend With time the Europeans see themselves as unique in this mission to civilize or bring civilization to the world even if much of this is actually little more than economic exploitation Mercantilist base even among the private companies there is the hand of the state Expansion of Europe is frequently advanced through crownchartered companies and establish Crown Colonies Wars in North and South America between Dutch and Portuguese traders later between Dutch and English East India Companie in the East and between English and French fleets across the Indian Ocean over valuable trade lines are elements of this history By the end of the 19th century colonialism follows certain premises in how it is organized and administered Rusow and Opello offer some of these guiding principles 1 Effective occupation The colonizing power has to actually have some kind of governmental presence Indirect rule is fine but there has to be some kind of metropolitan authority to refer too a presence of recognized sovereignty 2 Economic selfsufficiency Colonies should pay for themselves at minimum Even better they should be a source of wealth Capital is extracted from the colony and returned to the metropolitan core 3 Metropolitan advantage Consistent with above Colonies are created for the interest of the metropolitan state the colonizer Colonization is not philanthropy 4 Beneficence Despite above the colonizing powers see themselves as bringing civilization to the world Spanish conquistadors spread the church to the heathen allowing Spanish clergy to articulate and frame some the earliest humanitarian laws Later the British would carry the quotWhite Man s Burden as France or Belgium offer at least lip services to the idea of creating quotevouesquot or evolved persons Often there is an ideology that promotes the concept that the colonizing forces should in theory be doing good works Question what is the ideology of today s developmental politics 5 Permanence Colonies are there to stay The British which has no interest in creating British subjects among its colonies is the state most likely to envision that colonies will eventually be autonomous Even so when colonies leave it makes an effort to maintain some influence over them through the British Commonwealth The French see their colonial holdings as permanent part of a greater France Belgium s King Leopold goes to the Congo and makes it a private preserve of the King and not the state until the state takes it away in 1908 The Portuguese don t give up their colonies until 1975 and largely because ofa military coup in Portugal Patterns of colonial rule Colonial rule followed different administrative patterns Two trends can be identified Direct Rule In simply form this is direct administration by the colonial state in the activities of the colony This is more likely to happen in settler colonies than in colonies where infectious disease makes colonialism too expensive Directly ruled states normally Comparative Politics Final Exam Review 41 have more quotstatequot in terms of institutions More common among French colonies where administration is handled at the higher ranks by French administrators although with the cooperation of a large local indigenous bureaucracy lndirect These are states where the metropolitan operates through local surrogates normally entrenched local elites who are co opted by the colonial authorities if only because the choice is essentially that they submit or are destroyed Lord Lugard of England develops this approach in Nigeria and it becomes replicated elsewhere Consequences vary In some cases this leads to the destruction of local institutions and in others it strengthens the hands of local leaders In practice most colonies by the late 19th century are using some balance of direct and indirect rule Even France which normally is connected to direct rule states relies on indigenous elites and bureaucrats to provide much of the staff for its colonial holdings Some variation can also be found in the use of chartered companies to oversee colonial programs The British East India Company s control over India lasts until the Sepoy Mutiny of 1857 and much of Britain s conquest of Southern African is motivated and shaped by Cecil Rhodes British South Africa Company Even French colonial programs in the Indian Ocean were at one point influenced if not shaped by chartered companies until bankruptcy led the Crown to take a larger role Key goal of colonial rule economic selfsufficiency To do this colonies shift traditional societies away from traditional labor to more modern moneybased economy essentially requiring the commoditization labor 1 Taxes in cash Indigenous persons must pay hut taxes in coin forcing family members to sell their labor on the market 2 Forced labor where local labor can t pay takes if because there isn t enough marketdriven work the colonial authorities organized labor and force laborers to engage in local economic and infrastructure projects including the building of roads railways and infrastructure as well as working on plantations and mines Cash crop production and Mining Much of the indigenous emphasis on food selfsufficiency and subsistence is replaced by cash crops and mining Large areas of indigenously owned land is seized and transferred to white settlers who produce cash crops for metropolitan countries In nonsettler colonies local administrators and traditional elites cooperate to produce cash crops Ground nuts in Senegal Coffee in Ivory Coast Cocoa in Ghana etc Rise of nationalism in the developing world Nationalistic movements in the Developing world begin to take off following the Second World War There are a number of reasons for this Context Before the Second World War many of these colonies suffered hardships as metropolitan economies contracted as a result of the Great Depression and colonial economies built around one to a handful exportable commodities suddenly find external demand drying up Hardships continue during the Second World War as these economies are put to serve the needs of metropolitan economies or in some cases are conquered Japan s conquest over much of the colonial holdings of Asia Colonial forces are also deployed to Europe to help carry out the war British and French armies rely on colonized peoples to fight Troops from British India fight in North Africa Italy and France while French Algerian forces are deployed in Italy and South France When the war is over many of the returning soldiers return home disillusioned by the experience and demanding equal benefits as those English and French who also fought but don t receive it Others fight with the notion that their colonies will gain independence but find that the colonial powers are eager to use their colonies to rebuild European economies International changes Consequence of European transformations and weakening of European States At first the European colonizers don t want to give up their colonies Much as they did after World War 1 they seek to expand and deepen their colonial interests to bring these economies more deeply embedded into their own economy system But this requires new development spending However the problem for the Europeans is that the colonizing powers are largely bankrupt from the war and do not have the capacity to impose their power as they once did Role of the US in opening new markets US rises as the dominant global political power as an economic power the US had already reached that point at the turn of the century But the US wants new markets to open up and doesn t support European colonial holdings Remember colonial rule is essentially monopolization by the metropolitan state of a subjugated territory Growth of new panNationalist movement Largely driven by members of the diasporas from colonized people to the states of the core as well as through the expansion of social networks within colonial systems there is a greater interest in pannationalist movements The rise in PanArabism and PanAfricanism lead to new demands that Europeans leave their colonies that the colonies obtain independence and the people enjoy selfrule Domestic Changes Role of intellectuals Many of the early nationalists are intellectuals who had spent time in the Core countries These nationalists experience those countries and the liberal values espoused by those countries yet when they return to the colonies they find discrimination marginalization bias and exploitation Many of the new nationalists are students at European and American universities Gandhi for instance becomes political active after living in South Africa where he sees discrimination Ho Chi Minh studies in France and numerous African nationalists study in Europe and take back to their countries a desire for change TB Comparative Politics Final Exam Review 42 Urbanization Colonial rule also leads to the creation of colonial cities where cities had not existed before and the transformation of social relations as these societies become involved in the global system Abidjan in Ivory Coast begins as a sleepy fishing village at the turn of the 20th century and is utilized as a port and administrative center by the French eventually transforming the city into one of the leading cities of West Africa Transformation of traditional agriculture into cash crop plantations leads to social dislocation and movements of people into cities to find jobs leading to both an urban underclass as well as new social movements Expansion of Social Movements As people move into cities looking for work indigenous civil society organizations form Some are communal while others are professional For instance there are communal societies that celebrate religious affiliations and traditional associations Hindu Revivalist movements as well as new associations of indigenous as well as workers new trade unions These organizations serve both as vehicles for new political activity as well as platforms for nationalist movements Following the Second World War many of these groups begin to focus on the issue of independence and selfrule Within these groups leaders emerge who help lead demands for selfrule The Transfer Transfer of power from Colony to Independent State is not without its violence and Turmoil Initial efforts and efforts to achieve independence are often met with repression Strikes and protests are frequently put down with violence There is resistance even in the European powers of the scope of this violence There is concern about the costs of trying to keep the colonies against indigenous resistance Colonial powers try to coopt nationalists with developmental programs and greater selfgovernance This leads to greater the demands among indigenous nationalists Patterns of negotiation and decolonization vary In some cases the transition is slow and occurs through iterated negotiations and preindependence constitutions In others the decolonization is violent or fast leaving new states with little preparation for independence Conflict Kenya Indochina Algeria Malaya India Palestine and other regions of the world mark the turmoil of this period but overall most colonial transfers are fairly quick and often quite peaceful The move towards independence reaches its height during the early 19605 During the early 19605 the Belgium Congo obtains independence quickly and with little preparation and soon suffers prolonged crisis as local leaders divide over how they are to rule their new country Some seek a unitary state others a federal state and some which secession of parts of the state Kasanga South Kasi international forces are deployed UN intervenes the army mutinies there is assassination and turmoil that lasts from about 19601966 In Africa the violence of the Congo crisis leads settlers to resist decolonization and colonial conflicts begin to spread Violent wars of independence spread throughout Southern Africa as settler colonies are challenged by indigenous nationalist groups Independence Problem Once independence achieved how to institute sovereignty In some cases newly independent rules went through a rather slow process of selfgovernance Mauritius one of the developmental successes of Africa went through a process ofabout 20 years of local elections and limited selfrule before independence was granted In other cases as in parts of French Africa and in the Belgian Congo independence occurs virtually overnight and with little preparation Early Democracy Most of these colonial governments when peacefully transferred are democratic Most also have developed some sense of central planning and have a quotdevelopmental agendaquot but democracy generally doesn t last Those states that pursue development generally don t succeed with the 19705 proving a pivotal period in which developmental agendas come undone Why do we see a collapse of democracy and development Colonial rulers must build on preexisting institutions and those are inherited from colonial rule Colonial rule emphasized a highly autonomous highly exploitative economic system backed up by a repressive capacity armies police and judicial forces Postcolonial rulers must build on these institutions as well as their relative weak economic conditions while addressing widespread social demands for reform and redistribution Demands for distribution come especially loud from political adversaries of other ethnic groups The demands on the newly independent states are in some ways in excess of what the state can provide Newly elected leaders need to decide which groups to favor and which they must ignore In many cases this means supporting local allies rather than adversaries This is sometimes called the high expectationslittle capacities problems Results in the immediate years of independence an increase in the centralization of the state the end ofdemocracy rule often under the guise of a 5tate of emergency and a reliance on greater coercive capacity to maintain rule Opello and Rusow note this leads to two patterns 1 Patrimonial States These are states in which there is significant reliance on patronclient ties and not more rational legal ties A patrimonial state is a type of traditional political system in which government is personal and government administration is an extension of the ruler In such a system the individual national leader controls the political and economic life of the country and personal relationships with the leader play a crucial role in amassing personal wealth or in the rise and decline of members of the political elite Comparative Politics Final Exam Review 43 Patrimonialism is a form of governance in which all power flows directly from the leader This constitutes essentially the blending of the public and private sector These regimes are normally autocratic or oligarchic and often exclude private classes from power Wealth maximization is not determined by economic ability or competitiveness but opportunities for wealth maximization are determined by political connection and loyalty The leaders of these countries typically enjoy almost absolute personal power but the costs of their rule is limited and constrained by their capacity to fashion patronclient ties The armies of these countries are normally loyal to the leader not the nation as long as they are welltreated by the rulers patron client relationships Simply stated these are mutually obligatory arrangements between an individual who has authority social status wealth or some other personal resource the patron and another person who benefits from his or her support or influence the client Such systems have existed across most of the world date back to Rome and Greece in the classic age figured prominently during the feudal age and only recently began to change In the US patronage continues to figure among political appointees to government positions and was the primary means of staffing bureaucratic positions in the 19th century Weber had cautioned about this patrimonial state in his work and had noted that such states are often wasteful corrupt and inefficient In the developing world such relations form pyramids in which one patron s client becomes the patron of a network of their clients who in turn create clients thus linking the central leader to the grassroots political organization through highly personal ties of affection Neopatrimonial It is more accurate to describe much of the development world as neo Neopatrimonialism patrimonial Neopatrimonialism is a term used for patrons using state resources in order to secure the loyalty of clients in the general population and is indicative of informal patronclient relationships that can reach from very high up in state structures down to individuals in say small villages Neo patrimonialism as defined by author Christopher Clapham of The Nature ofthe Third World State is a quotform of organisation in which relationships of a broadly patrimonial type pervade a political and administrative system which is formally constructed on rationallegal linesII It is a system in which an office of power is used for personal uses and gains as opposed to a strict division of the private and public spheres The result governments characterized by neopatrimonial structures are those in which the holders of offices use those offices to extract excessive rents from society These systems often have significant quotred tape through imposed added payments from society to get things done Neopatrimonialism may underlay or supplant the bureaucratic structure of the state in that only those with connections have the real power not those who hold higher positions As a result it isn t so much those legislators elected to high office that control power but rather control over the executive mansion that determines who rules Further criticisms include that it undermines political institutions and the rule of law and is a corrupt but not always illegal practice Neopatrimonialism also has its benefits however Neopatrimonalism can extend the reach of the state into the geographical and social peripheries of the country provide short term stability and facilitate communal integration 2 Strong patterns of military intervention According to Opello and Rosow in many of these postcolonial states there is a great reliance on the military as the force of stability and order Often perceived as one of the most rational and coherent of state bureucratic elements military power continues to play an important role in states Many parts of the developing world have a long history of military intervention and military rule Military coup d etats were the leading method of regime change in Africa during the last half of the 20th century although they are less commonly seen today Military coups have also occurred across Latin America and Southeast Asia Thailand for instance has frequently experience military coups Often militaries intervene based on the idea that they are the only groups capable of restoring order to a chaotic political situation and thus return the state to more effective political and economic reforms The Problem the military is usually ill equipped for the business of governance Military interventions into the state have generally shown themselves to be as bad if not worse than civilian leaders Additionally once in office military rulers often stay in office or are reluctant to leave When they do leave they often remain an important political force lurking in shadows and capable to intervene should local politics become too turbulent and thus creating the opportunity for military leaders to seize power Rosow and Opello offer us three cases of postcolonial rule Comparison Japan Iraq and Congo Consider variations in these cases especially Congo and Iraq Acceptance of ideas of territorial sovereignty One recurring pattern in the postcolonial world has that in general there has been a strong acceptance of the idea of territorial sovereignty if not popular sovereignty While leaders might reject the role of the popular classes to participate in governance along several grounds in general they have largely recognized principles of territorial sovereignty This trend has been changing especially since the end of the Cold War With the end of the Cold War models based on communist dictatorship have fallen to disfavor and would be communist revolutionaries find themselves with little external support Pressure on the US has also eased allowing the US to stop supporting allied but repressive dictators and advocate for a broader policy of democracy Democratic governance has generally been seen as the quotdefaultquot political system within these countries that countries quotshould be led by That said there have been numerous exceptions to this Often interstate wars involves some kind of lowerlevel civil conflict along the borders of states prior to foreign interventions lrredentist conflicts involving efforts by a common people to build national Comparative Politics Final Exam Review 44 states by uniting diverse peoples across national borders have also occurred in parts of the developing world with the Horn of Africa between India and Pakistan over Kashmir and even parts of former Yugoslavia figuring prominently Civrl Wars Great many persons who have died since World War 2 in wars have died as a result of civil conflicts rather than inter state conflicts Some of the worst of these conflicts have been between groups that had once fought colonial powers but could not after independence reach an accord on how they should share power Generally speaking dictators have frequently been adverse to invading other states Problem of contested sovereignty If we look at the nature of sovereignty as defined by Weber we find that few states have actually managed to maintain those elements Review of the Weberian state I The differentiated set of institutions and personnel I Centrality of the state in political relations that radiate outwards from a centre I A territorially demarcated area I A monopoly ofauthoritative binding rulemaking backed up by a monopoly of the means of physical violence Note that Weber distinguishes that it is a matter of quotlegitimatequot force a qualification we might debate Rather state leaders still seem to struggle with the problem of extending their penetration outside of central core areas into the peripheries of countries Leaders also find themselves challenged by other local notables In some cases leaders have abandoned or even worked against the creation of rationallegal states that might be seen as providing platforms for rivals to challenge their rule In the most extreme cases leaders may even dismantle aspects of the state especially those where parts of the state administration might be used to challenge political leadership These states may become what William Reno calls Warlord States where rulers achieve dominance over territory and people but where they have dismantled the state that might obstruct such rule RobertJackson has developed the concept of QuasiStates these are states that lack some of the definitions of an empirical state but are still recognized as sovereign by international authorities In short they are juridical states internationally recognized states without having the empirical basis of actually achieving statehood Sodaro offers us a fairly broad discussion of the politics of developing states Politics of Development NorthFirst World vs SouthThird World Significant inequalities exist Much of the developing world remains poor marginalized In many cases the level of inequality and poverty has actually increased But this isn t quite true everywhere Within the developing world we see Nle Asia Mexico Brazil Question how do we get those states Much of the developing world remains underdeveloped One effort to respond to this has been the UN Millennium Declaration of 2000 and the Millennium Development goals Broadly the developmental goals are as follows I Reduce poverty and hunger I Educating all children I Empowering Women I Saving Children I Caring for Mothers I Combating Diseases I Using Resources Wisely I Working Together The goal has been to improve the social life of people and improve third world societies through partnership Developing states would show progress towards these goals while the developed world would provide necessary funding Generally speaking although there have been some successes many developing states have fallen behind in reaching these goals while developmental funding has been in short supply But note that most of the goals are fundamentally about changing social conditions They don t so much attack the major problem of the Developing world Economic development One idea that has figured in this consideration and continues in various forms to serve as one of the core ideas of the failure to economically development is the poverty trap The Poverty Trap Essentially this argument holds that in countries that have low levels of income people need to spend their time and income on the necessities of subsistence living As a result such countries have low savings rates resulting in little capital for investment or education Little to no development in human capital means that a country remains trapped in poverty These factors are mutually reinforcing low returns on past investment discourages future investment The quotPoverty Trap thesis sounds plausible but its not without its problems For one some countries even in Africa have broken out of this cycle Some relatively poor countries have even found ways to have high savings rates Why haven t developing states shown much success Some common explanations offered by Sodaro Comparative Politics Final Exam Review 45 1 Population growth or use Too much population is the source of problems This is a rather tricky question 2 SociocuItural explanations Modernization reviewed 3 Domestic Economic Explanations Decolonization neo colonialism neoimperialism again review Atul Kohli offers his own typology Like Evans Kohli is trying to develop some argument to explain why some states develop and other don t In many ways this looks much like Evans but note that Kohli is utilizing more of a Weberian discussion of statesociety relations Kohli divides the developing world into three groups Etoherent CapitalistStates South Korea These states have a cohesive rationallegal central state and fairly clear distinction between public sector and private enterprise matrimonial States Nigeria Here the problem of patrimony allows the ruling class to plunder the state s assets for their own interest Efragmented Multi Cass States Brazil these states have better organized states but society is fragmented because society is diverse and fragments creating various political alliances that pull the state in different directions Effort to address these problems Neo Liberalism and International Financial Institutions define a set of prescriptions that becomes part of Structural Adjustment Programs and is known as the Washington Consensus These ideas emerged in the 1980s as international lenders became increasingly involved in the developing world offering developmental assistance and loans During the 1980s this leads to a debt crisis in short developing countries are borrowing at such high levels that they rely on rollover debt Essentially countries are borrowing to pay off the interest on the loans they previously borrowed Lenders realize chances are the developing world will never repay those debts Lenders become increasingly aware that the problem is political and not purely economic Sets of reforms begin to take a form that becomes known as the Washington Consensus When you hear the words quotWashington Consensus this is a reference to the following policies that are frequently prescribed to developing countries faced with economic challenges The policies include 1 Fiscal policy discipline Governments can t spend beyond their means to repay 2 Redirection of public spending from subsidies quotespecially indiscriminate subsidiesquot toward broadbased provision of key pro growth propoor services like primary education primary health care and infrastructure investment 3 Tax reform broadening the tax base and adopting moderate marginal tax rates 4 Interest rates that are market determined and positive but moderate in real terms 5 Competitive exchange rates don t inflate the value ofyour currency but operate on real values 6 Trade liberalization liberalization of imports with particular emphasis on elimination ofquantitative restrictions licensing etc any trade protection to be provided by low and relatively uniform tariffs 7 Liberalization of inward foreign direct investment Open up to greater access to foreign capital Big assumption here is that foreign investment will come Generally speaking it doesn t Most of the world s foreign investment goes to China and the US leaving little elsewhere 8 Privatization of state enterprises Sell off pubic enterprises to the market Note that this allows foreign competitors to buy state owned enterprises 9 Deregulation abolition of regulations that impede market entry or restrict competition except for those justified on safety environmental and consumer protection grounds and prudent oversight of financial institutions 10 Legal security for property rights Protect private property both that owned by individuals and by private enterprise This provision is rarely challenged These policies have been challenging for undercutting the basic levers that the state often has to shape economic policy These involve costly cuts to government spending leading to downsizing the government or cuts to essentially food and quality of life subsidies rice heating fuel kerosene fuels used for cooking at a time when the state is faced with significant economic challenges that fall especially hard on lower class groups As a result domestic factions frequently protest these reforms and can unseat democratically elected governments Despite this borrowing states are forced to concede to these demands in order to get assistance from the International Financial Institutions World Bank and IMF In many ways these prescriptions reflect the freemarket ideologies found in the US More recently this consensus has been challenged by new ideas that the state needs also to provide for poverty reduction strategies to create social safety nets to prevent or cushion the challenges of economic transformation Return to Sodaro s explanations 4 Environmental factors roads rivers disease Jeffery Sachs Lack of effective roads or river networks can undermine the capacity of states to engage in longdistance trade One version of this looks at the spread of infectious disease or vulnerability to disease as a determinant to the creation of effective strong states 5 International Explanations Dependency Theory and problem ofdevelopmental assistanceForeign Aid Paul Pebische and the New International Economic Order NIEO This was a movement among developing states to organize and cooperate to challenge the economic policies of the developed states and to ensure greater equity to the developing world Comparative Politics Final Exam Review 46 The New International Economic Order NlEO was a set of proposals put forward during the 19705 by some developing countries through the United Nations Conference on Trade and Development to promote their interests by improving their terms of trade increasing development assistance developedcountry tariff reductions and other means It was meant to be a revision of the international economic system in favor of Third World countries replacing the current economic system which had benefited the leading states that had created it especially the United States The main tenets of NlEO were I Developing countries must be entitled to regulate and control the activities of multinational corporations operating within their territory I They must be free to nationalize or expropriate foreign property on conditions favorable to them I They must be free to set up associations of primary commodities producers similar to the OPEC all States must recognize this right and refrain from taking economic military or political measures calculated to restrict it I International trade should be based on the need to ensure stable equitable and remunerative prices for raw materials generalized nonreciprocal and nondiscriminatory tariff preferences as well as transfer of technology to developing countries and should provide economic and technical assistance without any strings attached Much of this idea relates to the idea that the developing world exports only a handful of largely primary commodities but that it can utilize this to its advantage as did OPEC The program generally failed in part due to global collective action problems and dependence on these primary exports 6 Domestic Political explanation The Importance of government in providing incentives What kinds of states are being created One generally liberal approach on this has been focused on the lack good governances Good governance often includes the following virtues or characteristics of governments They are that government should be Consensus Oriented Participatory follow the Rule of Law Effective and Efficient Accountable Responsive Equitable and Inclusive Note that these are generally acceptable values that most would agree are quotgoodquot for governance The problem that goes unaddressed is why these values of it you like norms or as we may call them informal institutions are not being normalized Why don t leaders what consensus participation rationallegal rule of law accountability standards of efficiency or transparency or responsiveness Why might equitable inclusion be a problem Six indicators of good governance Population participation in selecting government freedom of expression association and other political freedoms Degree of political stability and absence of violence Effectiveness of the government in providing public services and a timely policy formulation and implementation process Quality of the state s regulatory policies aimed at promoting private sector development Rule of law including quality of the police Corruption How do you get good governance How do you pay for this What political factors are necessary to achieve this governance More recent more liberal approaches have targeted the developing state as the problem and have generally favored nonstate actors NGOs and companies to take the lead on development Has this been successful Consider Fatton s discussion of Haiti after the Earthquake Other applications Iraq and Afghanistan What about democracy Przeworski Democracy doesn t matter much So why are so many of the better states democratic This is an interesting question why do the best countries appear to be democracies One might turn this around with the note that not all the best performing countries are democracies In fact many of the best performing countries were not democracies when they began to perform better Przeworski and associates note that at certain per capital incomes roughly 6000 states are generally stable This is true if the state is either democratic or nondemocratic Really poor states are also quite stable But countries that are beneath 6000 are often relatively unstable How do we get democracy Well each time there is a change of leadership there comes a choice between democracy and non democracy Nondemocracy normally involves some form ofdictatorship But dictatorships like Kings remember Olson are not perpetual Once a Kingdictator dies they need to be replaced other with a new ruler or a new system comes into place that resolves this succession problem Over time democracy becomes instituted and once established and the country reaches that quotstablequot income than the democracy remains 12 EEEE


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