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1 Cleavage Theories: How Globalization Changes the Basque Party System Oliver Strijbis University of Hamburg [email protected] and Rafael Leonisio University of the Basque Country [email protected] Paper prepared for the IPSA World Conference, Madrid, June 18-21, 2012. Abstract Recent studies have demonstrated that globalisation has led to a new cleavage between proponents and opponents of cultural demarcation in various Western European countries. This paper asks about the effects of globalisation on party systems which were already characterised by a cultural cleavage between ethnic minorities and majorities before globalisation. The paper tries to answer this question by applying different interpretations of cleavage theory to electoral politics in the Basque Country. It is shown globalisation in ethnically divided polities globalisation does not lead to a new political cleavage but impacts on the existing ones.

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Cleavage Theories:

How Globalization Changes the Basque Party System

Oliver Strijbis

University of Hamburg

[email protected]

and

Rafael Leonisio

University of the Basque Country

[email protected]

Paper prepared for the IPSA World Conference, Madrid, June 18-21, 2012.

Abstract

Recent studies have demonstrated that globalisation has led to a new cleavage between

proponents and opponents of cultural demarcation in various Western European countries.

This paper asks about the effects of globalisation on party systems which were already

characterised by a cultural cleavage between ethnic minorities and majorities before

globalisation. The paper tries to answer this question by applying different interpretations of

cleavage theory to electoral politics in the Basque Country. It is shown globalisation in

ethnically divided polities globalisation does not lead to a new political cleavage but impacts

on the existing ones.

2

Introduction

Despite its central place in political science the study of party system change is marked by

theoretical monotony. Since the seminal article of Martin Seymour Lipset and Stein Rokkan

(1967) large scale party system change is primarily explained with the cleavage approach. Its

main contender, rational choice institutionalism, which emphasizes the impact of the electoral

law, cannot be considered a comprehensive alternative theory, and alternative theories are

largely absent.1 Despite the limitations of approaches that emphasize the role of the electoral

law, the large bulk of the theoretical debate within the study of party systems has focused on

the relative importance of cleavages vs. electoral laws. Furthermore, scholars primarily

interested in the explanation of a national party system or the success of party families have

understood cleavage structures and electoral systems as the two main and largely autonomous

sources of the configuration of party systems.2

Leaving the partial challenge by rational choice institutionalism at side, the cleavage approach

has clearly been the dominant comprehensive account of party system change. On the one

hand this is the merit of Lipset and Rokkan's path-breaking work. On the other hand, the

dominance of the cleavage approach is due to its ambiguousness. It is this ambiguousness that

has allowed scholars to interpret the "cleavage theory" in a way that largely explains the

specific party system configuration of any party system under investigation. Hence, in order

to further develop theories of party system change it is important to surpass the ambiguity in

the cleavage literature by putting different interpretations of the cleavage approach against

each other. In this paper we will try to do a step in this direction by proposing three

interpretations of the cleavage theory or what might be called three different "cleavages

theories". The three theories deviate from each other with respect to their conceptualization of

change as a bottom-up vs. top-down process and the relevance of the strength of state-

boundaries for the formation of cleavages. 1 Rational choice institutionalism offers an alternative theory to explain variance in the number of parties, but

has little to say about the ideological configuration of the party system. Classical references are Duverger (1966),

Sartori (1997), and Cox (1997). See also Hug (2001) for a rational choice perspective on party formation and

Selb (2012) for a rational choice explanation of dynamic effects of electoral law. Downsian "spatial voting

theory" (Downs 1957) does not offer an account for party system change either, but it can be integrated into both

bottom-up and top-down approaches (see below). 2 On the study of party families see among others: Gould (1999) on the Liberals; Frey (2009), Kalyvas (1996),

and van Kersbergen (1995) on the Christian Democrats; Przeworski (1985), Bartolini (2000), and Kitschelt

(1988) on the Social Democrats; Bull (1995), Fennema and Waller (1991) on Communists; De Winter (1998)

and Tronconi (2009) on Regionalists; Urwin (1980) on Peasant Parties; Müller-Rommel (1998) on the Greens;

Ignazi (1992), Betz (2003), and Borschnier (2010) on the Populist Right.

3

The second aim of this article is contextualize cleavage theory to the process of globalisation

and its effect on party system change in ethnically divided polities. The impact of

globalization on party systems is one of the most fundamental questions for political scientists

today. It has been well understood for ethnically rather homogenous countries, but its impact

has been largely neglected in the realm of ethnically divided polities. Applying a new

structuralist interpretation of cleavage theory and contrasting it with alternative

interpretations, this paper tries to shed light on the impact of globalisation on party system

change in ethnically divided polities. The basic idea is that the way globalisation changes the

party system in the context of countries that have been ethnically heterogeneous already

before the recent wave of globalization is very different from that in historically

homogeneous countries.

Our analysis will consist of a "within-case" comparison of a particularly hard case: the

Basque party system. The emphasis will be on historical variation in structural conditions,

changes in political preferences among the population, and electoral choices. We will make

use of a wide variety of data sources including textual data, survey data, and data from

administrative sources.

The article is organized as follows. In a first section we elaborate on the cleavage theory. In a

second section we discuss the impact of globalisation on social and cultural structure as well

as the institutional setting in the Basque country. In the third section we describe the case

selection, data collection and methodological choices to our empirical analysis. In the fourth

section we provide the results of the empirical analysis. We conclude that in order to further

develop cleavage theory and understand the impact of globalisation on party system change in

ethnically divided polities future studies should focus on the conditions under which different

cleavage theories apply.

Cleavage theories

According to the famous theory of Lipset and Rokkan (1967:50) “the party systems of the

1960's reflect, with few but significant exceptions, the cleavage structures of the 1920's”.

According to the concept of 'cleavage' advocated by Bartolini and Mair (1990:215; also

Bartolini 2000:16–17), a cleavage can be understood as the congruence of social structure,

values and preferences, and political organisations. Hence, the empirical observation of

stability in the party systems according to Bartolini and Mair's conceptualisation of the

cleavage concept can only be understood as caused by stasis at all three levels. Simultaneous

stability at the level of structure, preferences, and organisation, however, is rather rare. In

4

many cases the status quo is undermined by social change. For instance, in most European

countries deindustrialization has transformed the social stratification of the population. Hence,

economic transformation has restructured the social constituencies from which the political

parties traditionally draw their voters.

At least three different plausible interpretations of Lipset and Rokkan in such a situation of

structural change are possible.3 The first scenario is what we might call the structuralist

interpretation of the cleavage theory. This structuralism emphasizes the determinative role of

social structure on the evolution of voter values and preferences, and the adaptation of the

parties’ platforms to new voter demands. The structuralist theory contrasts with at least two

alternative interpretations of cleavage theory. Both come up with a different hypothesis on the

effect of structural change on the party system. The first theory, which we will call exit-voice

theory of cleavages (EVTC), also emphasizes the impact of structural change but holds that

this change might not necessarily lead to realignment but might also lead to a decoupling of

structure and electoral behaviour. The second of these two theories is a 'top-down'

interpretation of the cleavage theory, which posits that structural change might have little

impact on parties systems. Instead it argues that parties 'organize out' certain issues and so-

doing politicize other topics. Hence, we call this approach the organizational cleavage theory

(OCT).

The structuralist cleavage theory

Key to any structuralist theory is its conceptualization of 'structure'. The concept has meant

many different things in different disciplines. What has been common to all different

understandings is that structure refers to stability in the relationships between elements of a

whole (Piaget 1971). If such a general understanding is applied to sociology, however, and

the focus is narrowed to social structure it refers to the relative stability of relationships

between individuals (Easton 1990). However, there is more to the term structure. If it pointed

merely to relatively stable relationships between individuals social structure could be used as

a synonym to similar concepts such as 'organization' and would be of little analytical value

(Boudon 1971:18–19). Contrary to 'organization', 'social structure' refers to something more

fundamental in the sense of being less contingent, harder to change, and more latent.

Furthermore, the term 'social structure' seems to refer to a social force since it implies to have

a fundamental impact - it 'structures' - other aspects of social life (Sewell Jr. 1992:2). This

impact is fundamental because structure refers to "the tendency of patterns of relations to be

3 For the structuralist (bottom-up) and organizational (top-down) interpretations see Bornschier (2009, 2010).

5

reproduced, even when actors engaging in the relations are unaware of the patterns or do not

desire their reproduction" (Sewell Jr. 1992:3).

The alleged stability and hard to change nature of structures has provoked the critique of

constructivism that structure is an essentializing concept disregarding the constructed

character of all social life. However, 'structure' should be understood neither as purely

material nor entirely virtual. Instead it should be understood as pointing to a duality of

objective and subjective features (Giddens 1986). A duality that by Bourdieu has probably

most influentially been conceptualized as the 'habitus', which assumes a strong mutual

interrelationship between the objective conditions and its perception by the individual

(Bourdieu 1998). Hence, structures are best understood as "(...) sets of mutually sustaining

schemas and resources that empower and constrain social action and that tend to be

reproduced by that social action" (Sewell 1992, 19).4 It is due to this duality of material

conditions with mental schemes as one of its constituent features that structuralism understand

social structures as closely related to political preferences.

While the causal relationship between social structure and political preference is well

conceptualized by structuralist theory, the relation between political preferences and voting

behaviour is typically more implicit. Implicitly in many macro-sociological approaches to

voting behaviour the assumption is that in the long run issue voting is most important for

systematic changes in the party system.5 Hence, with respect to party competition

structuralism follows the spatial logic of party competition as formulated by Downs (see also

Bornschier 2010:69). To summarize, the new structuralist theory states that social structure

causally determines political preferences and that these preferences impact on electoral

choices. In the context of important structural change this might lead to what has been called

a realignment process. Since structural change can vary in tempo and profoundness, this

realignment process might vary from stasis to rapid change such as observed in several

Western European countries in the last decades.

4 The insight that resources - understood as materially existing media of power - alone do not contain any force

without being interpreted through mental schemas helps to avoid Marxist material determinism. On the other

hand the reference to the resource side of structure distinguishes new structuralism both from Lévy-Strauss' ideal

determinism and more recent sociological constructivism. 5 For instance Rogowski (1990:1–20) offers no account of how the political alliances that emerges from interest

constellations relative to free trade aggregate into its political organization. He simply assumes that they give

rise to 'cleavages' (in particular p. 20).

6

Organizational cleavage theory (OCT)

The organizational cleavage theory (OCT) consists of the most plausible reading of the

“freezing” hypothesis put forward by Lipset and Rokkan (1967). According to such a reading

the West European party systems have remained stable between the interwar period and the

1960s because the parties were able to stabilize their electorates through their mass

organizations (Mair 2001:28–33; Bornschier 2009). Parties, then, are able to create strong

bonds between representatives and voters through party identifications. Furthermore, through

socialization processes these bonds are transmitted over generations. Besides the creation of

party identities parties are able to 'organize out' certain issues while emphasizing others and

by so doing largely determine on which axis of competition elections are decided (Bornschier

2010). The stability of the party system is maintained since the parties are able to sustain their

bonds with the voters by emphasizing those conflicts, which have given rise to historical party

identifications.

This argument – that established parties are able to maintain their support by agenda setting –

rests on the assumption that only few issue dimensions can be salient for electoral politics at a

time. The argument is that voters might only be mobilised on very few issues. In its strongest

form it is assumed that there is a zero-sum relationship between cleavages (Kriesi and

Duyvendak 1995). Furthermore, it is assumed that established parties have an advantage in

agenda setting relative to challengers. This assumption is particularly emphasized by the

'cartelization theory' which states that established parties increasingly monopolize state

resources in order to secure their electoral support (Katz and Mair 1995). According to this

theory catch-all parties have lost mass membership, and since politicians have become

professionals, parties need to rely on state resources in order to run the campaigns that take

primarily take place in the mass media. In order to mutually secure these highly needed

resources the established parties form a cartel.

According to the OCT established parties are able to maintain electoral support despite

structural change. Hence, it is expected that social structure and electoral behaviour undergo a

process of dealignment. At the same time it is expected that the established parties are able to

set the political agenda and that this agenda is strongly restricted. Hence, it is assumed that

electoral competition takes place on those issues that are emphasized by the political parties.

This has two effects. First, it is expected that parties emphasize those issue dimensions on

which they are clearly opposed to each other, which should lead to the polarization of the

preferences on the issue dimension the established parties emphasize. Second, it is expected

that political preferences on the salient issue dimensions are strongly related the electoral

7

choices. In contrast, the relationship between social structure and voting decisions is expected

to be constantly weak.

Exit-voice theory of cleavages (EVTC)

While the structural and organizational interpretations of the cleavage theory differ in their

conceptualization of the causal relationship between social structure and political

organization, the exit-voice theory of cleavages (EVTC) focuses on the conditions under

which the relationship between social structure and political organization vary. The EVTC is

most strongly influenced by a strand of literature that has been developed through the most

profound examination with Stein Rokkan's writings (Bartolini 2000, 2005; Caramani 2004;

Kriesi 1998). It is no surprise that it is these authors that have been most aware of the dual

dimension of Rokkans' writings that are at the same time structuralist and historical

institutionalist. The way they have tried to solve the tension in Rokkans writings, which

oscillates between a structuralist and a historical institutionalist interpretation of party system

formation, is by also conceptualizing particularly influential political institutions as structures

(Bartolini 2000, 2005).

By emphasizing the capacity of political institutions to 'structure' electoral behaviour in a

similar way as cultural and economic structure, this theory can now theorize the impact of the

most important political institution in this context – the state – on electoral behaviour.6 So

doing this theory does not call into question Lipset and Rokkans' emphasis on the duality of

the economic and the cultural dimension implicit in their discussion of the national and

industrial revolution as two fundamental instances of structural change. Instead it only adds

that the cleavage formation, which has been so determinative for European party systems,

took place in the particular setting of consolidated nation-states. Once, however, the state

boundaries are 'restructuring', this dimension comes into play as an additional structural force.

Its main impact is that once state boundaries weaken citizens are less inclined into the

national political arena since the national cultural and economic structures loose impact on

their life.

By having the 'opportunity' to exit from the nation state they do not need to 'voice' their

political demands within the national political system. As a consequence, the cultural and

economic structures do not directly 'structure' political preferences and behaviour in such a

context. Hence, according to this approach one expects a dealignment between economic and

cultural structure and political behaviour when state boundaries loosen. At the same time it is

6 For the understanding of the political system as the most important 'structure' see Easton (1990).

8

assumed that in the context of weak state boundaries the relevance of regions is increasing

since they get more important in terms of the provision with public goods and economic

competition (Bartolini 2005:268–271). To the degree that these regional territorial boundaries

are congruent with cultural ones, it is therefore assumed that supranational integration goes

together with 'new' regionalism (Keating 2000).

Globalisation and party system change in divided societies

In an excellent review article, Brady et al. (2007) summarise the main results of the

globalisation research in economic and political sociology so far. They come to the

conclusion that there is today broad consensus that “since the 1960s, affluent democracies

have experienced a substantial increase in economic globalization” (2007, 314). This trend in

globalisation can been interpreted as a social revolution in a Rokkanian sense (Bartolini 2005,

Kriesi et al. 2008). Hence, globalisation is seen as such a fundamental historical juncture as

the national and industrial revolutions. Furthermore, to speak of globalisation as a social

revolution in a Rokkanian sense implies the idea that it fundamentally changes the social

structure of societies and that this will be accompanied by a change in the party systems.

The analysis of the impact of globalization on party systems has received quite some

attention. Maybe most noteworthy Kriesi et al. (2008) show that globalisation has led towards

an ‘ethnicization’ of politics (also Richmond 1984) with the result that party systems are

structured along two axis of competition in six Western European countries. According to

their analysis a cleavage between winners and losers of globalisation has created a new

cleavage dividing those striving for cultural demarcation and those for cultural openness,

meaning in particular preferences towards immigration and European integration (Kriesi et al.

2008, 4-14). This cleavage cross–cuts the still salient classical (economic) dimension between

economic liberalism and state intervention and so doing results in a two-dimensional

ideological space.7 While their study profits from an extremely well developed empirical

analysis it might not be that representative for European party systems in general. In

particular, it remains unclear how the new cultural cleavage impacts on party systems that are

historically structured along the centre-periphery cleavage.

7 In this ideological space the left occupies the position of those advancing internationalist values and leftist

economic policies, the liberals occupy a position also advance internationalist values but strive for economic

liberalism, and the new right advances cultural closure while being ambivalent on the economic dimension.

9

Globalization and structural change in ethnically divided polities

One of the main features of globalization in developed countries has been that it went together

with a decline in manufacturing (Brady et al. 2007:323). At the same time inequality between

countries has increased. In Europe globalisation has not only coincided with a general

increase of affluence as measured in GDP per capita, but also with a convergence of GDP per

capita. In particular in the European periphery the middle classes have – at least up to the

recent economic crisis – grown.

There are also some clear trends concerning the impact of globalization on cultural diversity.

On the one hand, the intensification of communication and mobility has the effect to lessen

the cultural distinctiveness between native groups. Under the impact of globalization the

number of languages spoken on a global scale, for example, is strongly diminishing (Harmon

and Loh 2010). Furthermore, the hegemony of Western culture in the realm of commerce

leads to a certain cultural congruence ("McWorldization"). Since this cultural convergence

does not take place between countries but also within societies, cultural distance is also

reduced between ethnic majority and minorities in ethnically divided societies.

On the other hand, increasing large-distant migration has increased cultural diversity in

immigration countries (Albrow 1996). Jointly, this has the effect that native ethnic minorities

are not only getting more similar in absolute terms, but also relatively. While in absolute

terms they get more similar since cultural boundaries between ethnic groups generally

decrease, in relative terms they get more similar since with large-distant migration

globalization adds a new source of cultural heterogeneity rendering cultural differences

between native ethnic groups rather secondary.

Finally, at the institutional level supranational integration can be considered a feature of

globalization (Kriesi et al. 2008, 3). In the context of Europe the most important development

in this respect is of course European integration. The process of European integration can be

conceptualized as process of state-building similar to that of the formation of the modern

nation-state. Obviously, the process of European integration remains in flux and the European

Union has not yet displaced the nation-state, but produced a complex multi-layered

institutional setting. By changing political competition to a multi-level game, European

integration has strengthened not only the supranational, but also the subnational arena. For

instance, European integration has strengthened regional minority representatives by

providing an opportunity to by-pass national governments and directly approach political

institutions of the EU such as the European Court of Justice or the European Commission

10

(Hooghe and Keating 2006). This seems to be congruent with the observation that ethnic

minorities tend to be in favour of further European integration.8

Globalization and structural change in the Basque Country

On the economic dimension globalization is associated with deindustrialization. The Basque

Country is traditionally the most industrialized region within Spain, but has undergone a

notable process of deindustrialization until the 1990s. At the same time the Basque country

has strongly profited from globalization, which can be deduced from spectacular rise in GDP

per capita (see Figure 1). Due to the strong economic growth and since also the middle classes

have profited from an improvement of living conditions globalisation has, in contrast to more

affluent polities in Western Europe, hardly produced losers. Consequently deindustrialization

has not produced a new political conflict, which can be deduced from the fact that the share of

opponents of European integration in the Basque Country has remained low until today.

Hence, instead of producing a new political conflict deindustrialization has changed the

structural conditions for the traditional economic cleavage between those in favor of more

state intervention and those for more economic liberalism.

Figure 1 about here

Cultural fragmentation in the Basque Country is produced by a sharp rise in immigration. The

share of foreigners in the Basque Country has risen from a low level around 1% in 1985 to

about 8% in 2010.9 But this share of immigrants in the Basque Country has, again in contrast

to more affluent regions in Western Europe, not led to a prominent conflict between those in

favor and those against migration. This is highlighted by the fact that only a minority

perceives immigration as one of the main problems in the Basque. In 2005 only about 1% of

the Basques perceived migration as a problem and also in 2009 only 5% of the Basques name

immigration as one of the three main problems (Euskobarometro 2005; 2009). This suggests

that immigration strengthens the trend towards cultural fragmentation and so-doing

undermines the structural basis of the Basque vs. Spanish conflict without leading towards a

new "cultural demarcation" cleavage. 8 The evidence so far largely rests on the pro-European integration preferences that are overwhelmingly adopted

by ethnic minority parties (for a review see Elias 2008:3–12). 9 It would be more precise to take the share foreign-born. Due to a lack of data availability we will, however,

stick to share of foreigners. Since naturalization laws in Spain are relatively strict we can, however, expect that

trends in the share of foreigners by large captures trends in the share of immigrant population.

11

It should also be noted that from a linguistic point of view cultural fragmentation has

remained weak. The Basque governments have attempted to foster the use of the Basque

language. Their education and communication policies that promote the use of the Basque

language had the intended effects to stabilize the share of inhabitants speaking Basque at

home (see Figure 2). However, cultural fragmentation has increased somewhat in that it has

led towards an increase in the share of Basque residents that understand both Spanish and

Basque. Hence, also the Basque nationalist language policies have lowered the linguistic

boundaries between the Spanish- and the Basque-speakers somewhat.

Figure 2 about here

Finally, also on the institutional level the impact of globalization has been profound without

producing a new axis of competition. Such as in most West European countries globalization

has went together with more supranational integration and devolution.10 In particular an

incremental process of devolution has shifted powers from the central state to the Basque

region (Martínez-Herrera 2002; Mansvelt Beck 2008). At the same time Spain integrated into

the European Union. In 1986 it became member of the European Economic Community and

belonged to the founding states of the European Union in 1993. Since then Spain is a full

member of the European Union and a founding member of the European Economic and

Monetary Union, which has introduced the common currency in 1999.

Figure 3 about here

While globalization is assumed to drive changes in the party system from the perspective of

structuralist cleavage theory and the EVTC, from the perspective of the organizational

cleavage theory (OCT) it is the discourse of the party elites that drives party system change.

In order to analyse the salience political parties attach to issue dimensions we use the data

provided by Leonisio and Strijbis (2011), which estimate the share of text related to issues of

nationalism and the left-right distinction. The political issues that have been put on the

political agenda by the party elites have varied across time (Figure 3). On average the

nationalist dimension has dominated the left-right dimension. During our period of

investigation the left-right dimension has been equally emphasized to the nationalist

dimension in both 1989 and the most recent decades. In 1989 the Basque Nationalist Party

10 On European trends in devolution see Hooghe et al. (2010).

12

and the Spanish Workers Party were forming a government coalition, while since 2008 the

economic crisis impacts on the political discourse. In 1999, however, the Basque dimension

has been highly salient due to the shift towards nationalist government coalitions that were

formed in fierce opposition to the pro-Spanish forces and ETA's break of the truce. Hence,

according to the OCT globalisation has, if anything, only impacted on the Basque party

system through changing the discourse of the political elites for instance when they have to

take a stand on the international financial crisis.

Data and method

In the previous sections we have elaborates laid out three different interpretations of cleavage

theory, the impact of globalisation on social structure in the Basque country, and the salience

Basque representatives attached to different issue dimension in the last twenty years. In the

next section we will present our empirical analysis of the impact of globalisation on the

Basque party system. Conducting a "within-case" comparison of the Basque Country has the

advantage that we can largely hold constant for the impact of the electoral system. This is

because the electoral system for the parliamentary elections of the Basque autonomous

parliament has remained quite stable.11 It counts three electoral districts with 25 seats each

and the electoral formula is d’Hondt. The only relevant change has been the electoral

threshold that has been decreased from 5% to 3% after the election of 1998. In the context of

this rather proportional electoral system we can assume strategic voting to remain at stable

levels (Selb 2009).

In our subsequent analysis we approach party system change by focusing on political

preferences and voting behaviour. For our analysis of the distribution of political preferences,

their relationship to class and cultural position, and electoral choices we rely on survey data.

We can rely on three surveys, which are the only ones that provide data on issue preferences

on the economic dimension. The three surveys are based on representative samples and have

been conducted 1989, 1999, and 2010. The datasets are from the “Survey on the Political and

Social Situation in the Basque Country 1989” (CIS 1975), the “Basque Version of the

European Values Survey in 1999” (EVS 1999), and the Euskobarometro 2010/2. The samples

consist of 2387, 1204, respective 1200 respondents and are restricted to the Basque

autonomous community.

11 This is only true if the prohibition of the political ally of ETA, HB (People's Unity), is not understood as part

of the electoral system (on the contesting parties see below). In order to not bias the analysis we included

abstention and blank votes as categories of electoral choice in the empirical analysis (see below).

13

Our independent and dependent variables are operationalised as follows. In order to measure

the cultural position of a respondent we rely on questions of language proficiency. This

indicator is able to grasp the respondents' cultural position rather well, since cultural distance

in the Basque Country is to an important degree related to the Basque language. In order to

grasp the socio-economic structure we use a slightly adapted version of Oesch’s 8-scale class

scheme (Oesch 2006) that includes the classical distinctions based on employment

relationships as proposed by Erikson and Goldthorpe (1992:37), but also the segmental

distinctions based on the ‘work logic’ (see the Apendix).12 Latter is important in order to test

whether deindustrialization did not dissolve the political oppositions between social classes

but changed it into the opposition between social segments.

The existing literature suggests that the Basque parties compete on two main dimensions: the

economic left-right division and the cleavage between Basque nationalists and those loyal to

the Spanish state (Llera 2000, 1989, 1994; Linz 1986; Gunther, Sani, and Shabad 1986).

Since, as we have argued in the previous chapter, globalisation did not lead to a new salient

issue dimension, we also focus the nationalist and economic dimensions of political

competition. In order to measure policy preferences along these two issue dimensions we run

principal component factor analyses with varimax rotation on items referring to policy

preferences, a well-established technique in electoral studies (e.g. Benoit and Laver, 2005;

Kriesi et al., 2008). We rely on two items which we presume correlate to the economic issues

of the traditional class cleavage and items that refer to the Basque nationalist conflict.

Appendix A lists the items and shows the results of the factor analyses. As expected, for each

of the factor analyses we find that the items measure two policy dimensions. The first factor

summarizes the items that refer to the “Basque conflict”, while the second factor summarizes

the two items that refer to economic policies. In our analyses we will use the first factor as a

variable which measures stances towards Basque nationalism and the second factor as a

variable which measures the respondents’ policy positions on the economic left-right

dimension. This indicator for ideological positions is superior to values on scales of self-

placements, since self-placements on the left-right scale might measure features distinct to

economic policy preferences (on the meaning of “left” and “right” see Knutsen 1998; Freire

2006).

12 His 8-class scheme is itself a reduced version of his 17-class scheme. The most important deviation of our

adaption to the original class scheme is that we do not - due to data restrictions - distinguish between work logic

at the level of the skilled workers.

14

In order to measure electoral behaviour we can rely on questions regarding party choice

during the regional elections in 1986 and 2009. Unfortunately, we cannot rely on post-

electoral surveys since they did not include questions on preferences on economic issues. The

time lag between the actual voting and the conduction of the survey (in particular for the 1986

election) is not ideal because voters might have forgotten their electoral choices. The time lag

in this case is, however, not that problematic since the political context did not significantly

change in this period.

In order to measure the effect of policy preferences on electoral choices we run multinomial

logistic (MNL) regressions. Given the probable violation of the independence of irrelevant

alternatives hypothesis, classical statistics guides seem to propose multinomial probit (MNP)

(e.g. Kennedy 2008:244–245). As Dow and Endersby (2004) have shown, however, within

the limits of typical data (a small sample and choice among few parties), MNP might be

susceptible to a number of estimation problems while the violation of the independence of

irrelevant alternatives might be neither particularly restrictive nor relevant. This, they argue,

is particularly true if the electoral choices are relatively fixed and stable (Dow and Endersby,

2004: 112), as is the case in the Basque Country (indeed, clearly more so than in the cases in

which Dow and Endersby successfully apply MNL).

Results

In the second section of this article, hypotheses on the relationships of social structure,

political preferences, and political discourse on party systems have been deduced. In the third

chapter the most important changes in social structure and the political discourse of the

Basque elites have been sketched. In this chapter we will test the hypotheses of the different

'cleavage theories' on the case of the Basque Country. The analysis will contain two parts.

First, we will focus on the determinants of the political preferences among the population.

Thereafter we will focus on the determinants of electoral decisions. But before conducting the

empirical analysis let's formulate the expectations on the basis of the theories (second section)

and the structural change and political debate that have taken place during the three time

points under consideration (Table 1).

Table 1 about here

From the structuralist theory the decrease in cultural distinctiveness between members of the

native ethnic minority and majority should lead towards depolarization in the demand for

15

policies on the cultural dimension. Since ethnic groups get culturally more similar we can also

expect that the demands concerning culture politics becomes more similar. Furthermore, we

can hypothesise that the stronger the trends in deindustrialization and the growth of the

middle classes, the more preferences concerning economic politics converge. This implies

that we can expect the left-right positions (in its traditional economic meaning) to become less

pronounced with deindustrialization. Hence, we also expect a depolarization in the political

demand along the economic dimension. Since we posit a strong congruence between structure

and preferences we do, however, not hypothesize a dealignment process. Instead, we expect

that social stratification and cultural traits remain strongly connected to political preferences

in the context of globalization. Furthermore, since we expect the electoral behaviour to be

motivated by the structurally determined politically preferences, we assume a strong

correlation between political preferences and party choice throughout all periods.

According to the OCT it is the political discourse that determines on which axis of

competition are salient and therefore polarized. Hence, according to the discourse of the

political representatives (Figure 3) both the economic and the nationalist dimension should be

moderately polarized in 1989 and 2010. For 1999 it is expected that preferences are

unpolarized on the economic dimension and strongly polarized on the nationalist dimension.

Furthermore, OCT assumes a rather week and if anything decreasing relationship between

structural position and political preferences, respective voting behaviour for all three time

points.

According to the exit-voice theory of cleavages (EVTC) we expect, due to the one-

dimensional path towards devolution and supranational integration, a depolarization on the

left-right dimension and increasing polarization on the nationalist dimension. This is in line

with some literature on ethnic minorities according to which a new regionalism or an ethnic

revival should be observed (Smith 1991; Hobsbawm 1990; Keating 2000; but see Strijbis

2011).13 Furthermore, according to the EVTC we can expect a weakening of the effect of

class on both political preferences and electoral decisions on the economic dimension, while

we expect an increasing impact of Basque language proficiency on nationalist preferences and

voting behaviour.

13 On the one hand it is assumed that European integration provokes a reconstruction of the cultural

distinctiveness of the peripheries (e.g. Smith 1992:62). On the other hand the strengthening of the sub- and

supranational level is perceived as a development that creates new opportunities for ethnic minority parties (De

Winter and Cachafeiro 2002).

16

Political preferences

Having summarized the expectations for Basque party politics according to the three theories

under consideration, let's focus now on the first dependent variable: political preferences.

Figure 4 depicts the distribution of the voters’ preferences over the three time points under

analysis. The distribution of the voters along these two dimensions is calculated as a Kernel

density function and presented as a three-dimensional contour plot (see Figures 4a-c). The

contours show the frequencies with which voters are positioned in a particular ideological

space. The boundaries of the plots are determined by the most extreme cases.

Figures 4a-c about here

Figure 4a shows the distribution of the voters in 1989. It gives the picture of an electorate that

is strongly polarized on the nationalist dimension and moderately on the economic left-right

dimension. On the nationalist dimension the distribution is bimodal and has a long tale to the

nationalist side. This means that while in 1989 the typical Basque citizen holds a moderate

position on the Basque nationalist dimension a significant minority holds more extreme

nationalist positions. On the left-right axis the peak is much higher, which indicates that the

preferences come closer to a normal distribution. Nevertheless, some minor peaks and

moderate long tails indicate that there is also some polarization on this dimension.

As our main focus is on the dynamic perspective it is now interesting to see the changes in the

ideological distributions of the voters that have taken place from 1989 over 1999 to 2010.14

The voters’ attitudes on the Basque-Spanish divide show very strong polarization on the

nationalist dimension. Figure 4b clearly shows three camps: a minor pro-Spanish one, a large

moderate Basque nationalist one, and a considerable extreme nationalist one. In 2010 the

distribution of the preferences is still bimodal showing strong polarization. Relative to 1999

the polarization on the nationalist dimension has, however, somewhat decreased. In particular

in 1999 the polarization is highest which is suggested by the fact that both peaks are clearly

separated from each other through few citizens in between. On the economic left-right

dimension we observe a trend towards depolarization. The trend can be deduced from the fact

that the tails get shorter from 1999 to 2010.

The development from moderate to very high, to high polarization on the nationalist

dimension goes against the structuralist theory, which predicts a steady process of

14 The differences in the values on the dimensions between the three time points cannot be interpreted - only the

overall distributions.

17

depolarization. Only the decrease in polarization between 1999 and 2010 is correctly

predicted by this approach. Exactly the opposite is true for the exit-voice theory which

predicts an "ethnic revival". This trend has, however, only taken place between 1989 and

1999. It has at least partly been reversed after. It is the OCT which comes closest to a correct

prediction of the temporal variance in preferences on the nationalist dimension. However,

according to this theory we would expect even less polarization on the nationalist dimension

in 2010.

The process of depolarization on the economic left-right dimension is in line with both the

structuralist and the exit-voice perspective. On the one hand depolarization goes together with

the deindustrialisation of the 1980s and early 1990s. On the other hand it is consistent with

the posited relationship between supranational integration and dealignment on the economic

dimension. It does, however, not go together with the hypothesis deduced from the OCT

according to which one would expect a resurgence of moderate polarization in 2010.

Voting behaviour

So far we have tested implications of three cleavage theories on the temporal variation of

political preferences. An additional piece of evidence to the explanation of party system

change in the Basque Country can be provided by the analysis of the relationship between

social structure, political preferences, and voting behaviour.

In order to be able to interpret temporal variance in voting behaviour it is necessary to have

basic knowledge about the Basque party system. The Basque Country (along with Navarra) is

the only Spanish Autonomous Community in which an average of seven political forces

compete successfully in obtaining parliamentary representation (Llera 2000). The relevant

political parties that contest Basque elections have underwent some change during the period

of analysis. Among the seven most relevant political parties are four Basque nationalist and

three Spanish loyalist. To the former belongs the Basque Nationalist Party (PNV), which is

the most prominent political force in the Basque Country (Llera 2000). In fact, the PNV won,

with the exception of the Spanish national elections in 1993 and 2008, all elections held in the

Basque Country. It has led the Basque government from the beginning of the Basque

autonomy in 1979 until 2009, and has negotiated agreements with all of the Basque political

forces in various institutions. In 1986, the PNV split, and with Basque Solidarity (EA),

another moderate nationalistic party emerged. Although PNV and EA were initially rivals,

they have been strategic allies since 1994, sharing the duties of government and even forming

electoral coalitions.

18

Another important force among the Basque nationalists is the Izquierda Abertzale (Patriotic

Left), which organized itself as a large anti-system movement with roots in both nationalism

and extremist leftism (Mata, 1993). Its historical acronym is HB (People's Unity), although it

has several times changed its name such as in 1998 when it presented itself as ‘We Basque

Citizens’ (EH). The Izquierda Abertzale forms the political arm of the terrorist group ETA

and, due to its affiliation with the group, the party was banned in 2002. Since 2004 Aralar, a

political party that emerged from a strand that was critical to the violence of ETA within the

Izquierda Abertzale, has tried to mobilize the traditional electorate of the HB.

On the other side of the spectrum, there were three main parties in the non-nationalist field

during that period. The three branches of the national parties are the Basque section of the

People’s Party (PP), the United Left (IU), and the PSE-EE (Socialist Party of the Basque

Country - Basque Left), which is a merger of the Basque section of the Spanish Socialist

Worker’s Party and EE (Basque Left). Despite the fact that in theory IU is not considered

nationalistic, it has been a loyal ally of the PNV and the EA since 1998, joining them to form

part of the Basque government in 2001.

Table 2 about here

Having described the offer-side of the electoral competition in the Basque Country we can

now go on to analyze variance in voting behavior in 1989 and 2009. Lets look first at the

bivariate analysis in Table 2. This analysis helps us to understand the changes in the strength

of the associations. Important results are that language proficiency is strongly related to

electoral behavior in 1986 and 2009 while occupation is not. Furthermore, on both

dimensions we can remark a decline in the association which is a sign of moderate

dealignment. With regard to the association between political preferences and electoral

choices we find the nationalist dimension clearly more salient than the economic dimension at

both time points. However, we find the economic dimension somewhat more salient in 2009

than in 1986 while the nationalist dimension somewhat less. In general, however, the

associations are remarkably similar between 1986 and 2009.

The results on voting behavior do not match perfectly with any of the three theories. On the

economic dimension we see something like a dealignment process combined with increasing

relevance of political preferences on this dimension, which seems to be most in line with the

OTC. On the cultural dimension, in contrast we find continuously strong relationships

between language proficiency, preferences on the nationalist dimension and electoral

19

decisions, which is most in line with the structural theory. The stability of the results is not in

line with the EVTC, according to which we would expect a decline in class voting over time.

Table 3 about here

The picture does not change if we look at the multivariate analysis (Table 3). It does,

however, show even more clearly than Table 2 that the cultural dimension is far more salient

than the economic axis of competition. This is clearly revealed by the fact that neither

occupational stratification nor preferences on economic issues are strongly related to electoral

choices if analyzed in multivariate models. In fact, the share of variance in voting decisions

which is correctly predicted by 'economic' variables is so low that one might question whether

the political space in the Basque Country is two-dimensional at all.

Once we focus entirely on the nationalist dimension we observe a long-term development that

is in line with the structuralist interpretation of the cleavage theory: depolarization at constant

levels of structural and ideological voting. However, the increase in polarization between

1986 and 1998 is in line with the OCT. Hence, one might conclude that the structuralist

cleavage theory is able to explain party system change in the long run while the OCT can

explain deviances from the structural pattern in the short run. For proponents of cleavage

theory this will come with no surprise – cleavage theory as formulated by Lipset and

Rokkanthis has always combined structural and organizational variables for the explanation

of party system change. However, as argued above, it has not been clear about when structural

and when organizational features are more important. The EVTC is an attempt to solve this

problem of 'overdetermination' by arriving at a synthesis of structural and organizational

cleavage theories. As this analysis has shown at least for the Basque case, however, the EVTC

has been a failed attempt.

Conclusion

Has this article added anything to the development of cleavage theory and hence to the

understanding of party system change? And has it helped to understand how globalization

affects party systems in ethnically divided polities? We think that the questions can be

answered with a qualified 'yes'.

First, we think that this article has added to theory development by disentangling different

interpretations of cleavage theories. In order to arrive at a parsimonious while at the same

time powerful theory of party system change these different 'cleavage theories' have to be

20

combined in a clever way. As this article has shown the exit-voice theory of cleavages has to

be regarded as a failed attempt in this direction. Hence, and here is an important limitation of

this article, such a synthesis still remains to be developed in the future.

Second, we think this article has helped to understand the impact of globalization on party

system change in divided polities by showing that it does not give rise to a new political

cleavage but impacts on existing ones. The article has provided some evidence that

globalization has, through deindustrialization and cultural fragmentation, decreased

polarization on the existing economic and the cultural axis of competition. However, much

empirical research remains to be conducted for a more authoritative test of our theory. Future

research should for instance include programmatic change of the political parties and assess

variance in structurally determined voting for more elections at different political levels.

Hence, this piece of research should be understood as only one piece of evidence in a much

larger project on party system change in general and party politics in ethnically divided

polities in particular.

21

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Figure 1: Economic trends in the Basque Country, 1985-2011

5000

1000

015

000

2000

025

000

3000

0Eu

ros

(cur

rent

val

ues)

0.2

.4.6

.8R

atio

of a

ctiv

e po

pula

tion

1985 1990 1995 2000 2005 2010time

agriculture industryconstruction servicesGDP per capita

Source: Eustat

25

Figure 2: Language use at home and country of birth in the Basque Country, 1985-2011

0.0

2.0

4.0

6.0

8R

atio

inha

bita

nts

0.2

.4.6

.8R

atio

inha

bita

nts

2 ye

ars

or o

lder

1985 1990 1995 2000 2005 2010

Basque Basque and SpanishSpanish Foreign born

Source: Eustat

26

Figure 3: Salience of the nationalist relative to the left-right issue dimension in the Basque

Country, 1980-2009

Note: Higher values indicate stronger salience of issues concerning nationalism relative to other issue

dimensions.

Source: Leonisio and Strijbis 2011

27

Table 1: Overview of hypotheses according to three cleavage theories

Theories

Polarization of economic preferences

Polarization of cultural preferences

Strenght of class voting

Strength of cultural voting

Voting along economic preferences

Voting along cultural preferences

Structural cleavage theory

Declining Declining Constantly strong

Constantly strong

Constantly strong

Constantly strong

Organizational cleavage theory

Moderate in 1989 and 2009, weak in 1998

Moderate in 1989 and 2009, strong in 1999

Constantly weak

Constantly weak

Moderate in 1989 and 2009

Moderate in 1989 and 2009

Exit-voice cleavage theory

Declining Increasing Declining Increasing Declining Increasing

28

Figure 4a-c: Distribution of political preferences in the Basque Country, 1989-2010

1989

29

1999

30

2010