Sovereignty, Authority, and Power

States, Nations, and Regimes

Nation: a group of people bound together by a common political identity

Nationalism: sense of belonging and identity that distinguishes one nation from another Often translated as patriotism – the resulting

pride and loyalty felt toward the nation Globalization and fragmentation affecting

changes on nationalism and policymaking

Democracies Indirect: elected officials represent the people Direct: individuals have immediate say over

policy decisions gov’t makes Most are indirect b/c large populations make it difficult

for individuals to have much direct influence

Parliamentary system: citizens vote for legislative representatives, legislature then chooses executive branch leaders Legislature makes laws, controls finances, appoints prime

minister and cabinet In reality, legislature almost always votes for bills

proposed by leadership (cabinet and PM) No separation of powers between executive and

legislative Typically has separation within executive branch: head of

state – symbolizes the power of regime – and head of gov’t – deals w/ everyday tasks of running gov’t

Example: Great Britain

Presidential System Head of state and head of gov’t given to only the

president President elected directly by the people President serves as chief executive System of checks and balances between legislative and

executive through separation of powers where each branch has an independent base of authority

Examples: United States, Mexico, Nigeria

Semi-presidential system PM coexists w/ a president President elected by the people and typically holds more

power Example: Russia (but Russia is changing this model under

Putin) France and India are other, more stable, examples

Authoritarian Regimes Decisions made by elites – those that hold

political power – w/o input from citizens Ruled by a dictator, hereditary monarch, aristocrats,

or single political party Communism: a theory developed by Marx, altered

by Lenin Party controls everything: gov’t, economy, social life

State corporatism: gov’t officials interact w/ people (generally labor & business leaders) outside the gov’t before setting policy

Patron-client systems: provide reciprocal favors & services to supporters

Common characteristics Small group of elites exercising power Citizens w/ little to no input in selection of leaders &

gov’t decisions No constitutional responsibility of leaders to public Restriction of civil rights and civil liberties

Authoritarianism is not same as totalitarianism – which is used to describe a

particularly repressive, often detested regime Totalitarian regimes generally have strong ideological

goals authoritarian systems lack Authoritarian gov’ts do not necessarily use violence to

destroy obstacles

Military rule: found in states where legitimacy & stability in question Usually begins with a coup d'état, which may/not have

support among the people Military leaders will often restrict civil rights in the name of order Usually lacks ideologies and leaders have no

traditional/legitimate source of authority

Corporatism in Authoritarian and Democratic Systems Corporatism: method through which business,

labor, other interest groups bargain w/ the state over economic policy

State corporatism: gov’t controls the public by creating or recognizing organizations to represent interests of the public (authoritarian) In reality practice eliminates input from groups not

sanctioned by the state Corporatism gives public a limited influence on

policymaking process

Co-optation: means a regime uses to get support of citizens

Patron-clientelism: the state provides specific benefits or favors to single person or small group in return for public support Unlike corporatism, it relies on individual patronage rather

than organizations

In democracies, corporatism usually factors into economic policy and regulation

Pluralism: power is split among many groups that compete for the chance to influence gov’t policymaking

Democratic (neo) corporatism different from pluralism in 2 ways:

1. Democratic pluralism: formation of groups spontaneous; democratic corporatism: interests representation is institutionalized

2. Democratic pluralism: dialogue between groups and the state is voluntary; democratic corporatism: organizations have legally binding links w/ state agencies so groups are semi-public agencies acting on behalf of the state

Legitimacy Legitimacy: the right to rule, as determined

by the citizens 3 basic forms of authority

Traditional: rests upon belief that tradition should determine who should rule and how Rituals & ceremonies reinforce traditional legitimacy

Charismatic: dynamic personality of an individual leader or small group Short lived b/c does not survive its founder

Rational-legal: system of established laws & procedures Anchored by strong institutions Based on common law (ex Britain) – tradition, past practices,

legal precedents – or code law (China, Mexico, Russia) – comprehensive system of written laws

Factors that encourage legitimacy Economic well-being Historical tradition / longevity Charismatic leadership Nationalism / shared political culture Satisfaction w/ the gov’t’s performance /

responsiveness

Political Culture Political Culture: the collection of political beliefs,

values, practices, and institutions the gov’t is based on

Social capital: amount of reciprocity and trust that exists among citizens, and between citizens and the state Low social capital = more inclined to authoritarian gov’t High social capital = more inclined to democracy

Consensual political culture Citizens generally agree on how decisions are

made, what issues to address, how problems should be solved

Accepts both the legitimacy of the regime and solutions to problems

Conflictual political culture Citizens are sharply divided on legitimacy of regime

and solutions to problems May lead to political subcultures developing; gov’t

finds it difficult to rule effectively

Political Ideologies Political ideologies: sets of political values held by

individuals regarding basic goals of gov’t & politics Liberalism: emphasis on individual political & economic

freedom; maximize freedom for all people Communism: values equality over freedom; individual liberties

must give way to the needs of society as a whole Socialism: accept and promote private ownership and free

market principles, but the state has role to play in regulating the economy

Fascism: people and groups exist in degrees of inferiority and superiority; the state has the right & responsibility to mold society & economy, & to remove obstacles that may weaken them

Religion: many advanced democracies have separated church and state; religion plays a different role in each of our 6 countries

Political and Economic Change

Types of Change Reform

Don’t overthrow basic institutions Change some methods political & economic leaders

use to reach goals Revolution

Involved either a major revision or overthrow of existing institutions

Impacts more than 1 area of life Coup d'états

Replace the leadership of a country w/ new leaders, by force

Typically occur in countries where gov’t institutions are weak

Attitudes Toward Change Radicalism:

belief that rapid, dramatic changes need to be made in society; current system cannot be saved

Liberalism: Reform and gradual change rather than revolution Don’t think political / economic systems are broken, just need to be

repaired / improved Conservatism:

See change as disruptive, emphasize change can bring unforeseen outcomes

State & regime important sources of law & order; legitimacy itself may be undermined

Reactionary Beliefs: Oppose revolution & reform, but find status quo unacceptable Want to turn back to an earlier era Like radicals – willing to use violence to get there!

Three Trends1. Democratization

More & more nations turning to some form of popular gov’t Requirement for democracy: competitive elections – free,

fair, regular; many “democracies” fall into a grey area (Russia, Nigeria)

Liberal democracies have other characteristics too: Civil liberties – freedom of speech, assembly Rule of law – equal treatment, due process Neutrality of judiciary - & other checks on power Open civil society – citizens have private lives, mass media

independent of gov’t Civilian control of the military – restricts likelihood of military

coup Gov’ts with free & fair elections but not the rest: illiberal

democracies

1st wave of democracy – gradually over time since 18th century

2nd wave of democracy – de-colonization after Allied victory in WWII

3rd wave of democracy – began 1970s; characterized by defeat of dictatorial / totalitarian rulers

Why democratization occurred: Loss of legitimacy by authoritarian regimes Expansion of an urban middle class in developing

countries “human rights” emphasis from U.S.A. and E.U. “snowball effect” as one nation becomes democratic it

influences it’s neighbors to do so

Process begins when conditions are accompanied by willingness of ruling elite to accept power-sharing and a readiness of the people to participate in the process Obstacle to democratization: poverty b/c it blocks

citizens’ participation in gov’t Democracy may be declared when a country has at

least 2 peaceful turnovers of power

2. Movement Toward Market Economies Democratization and marketization – does one

lead to the other or no relation? Mexico: moved toward a market economy since 1980s,

democracy seems to have followed China: moving toward capitalism since 1970s, but no

democracy Command economies: socialist principles of

centralized planning & state ownership fading Market economy: the market operates on its own

Which will be more successful? An independent economy, or a “mixed economy” that allows for control from the central government?

Factors prompting movement to market economies: Belief the government is too big Lack of success of command economies

(example: Soviet Union)

Marketization: state’s re-creation of a market where property, labor, goods, services all function competitively

Privatization: transfer of state-owned property to private ownership

3. Revival of Ethnic or Cultural Politics Fragmentation – divisions based on ethnic or

cultural identity – is becoming increasingly important Nationalism seemed to be declining in favor of

globalization a few years ago Politicization of religion has most recently

dominated world politics (example, Middle East)

Citizens, Society, and the State

Social Cleavages Basis: How deep are the divisions? To what

degree do they separate people from one another (social boundaries) Social Class Ethnic Cleavages Religious Cleavages Regional Cleavages Coinciding / Cross-cutting Cleavages

Cleavages and political institutions: How are the cleavages expressed in politics? Do the cleavages block some groups from participating in gov’t?

Comparing Citizen / State Relationships

Attitudes and Beliefs of Citizens – Do citizens trust the gov’t? Do citizens think the gov’t affects their lives in significant ways?

Political Socialization – How do citizens learn about politics? Does the gov’t put forth effort to politically educate their citizens?

Types of Political Participation – Authoritarian – citizen activities include obeying

laws, following orders, paying taxes Democracy – voting, working for political candidates,

attend meetings, contribute $$

Voting behavior – Are there regular elections? Who is eligible to vote? Do elections affect policy-making?

Factors that influence political beliefs and behaviors – Do they make a difference in citizens’ political beliefs and behaviors?

Social Movements Social Movements: organized collective

Activities that aim to bring about or resist fundamental change Influence political leaders Success varies from case to case, but even if they

fail, they often influence political opinion in some way

Civil Society Civil Society: organizations outside the gov’t

that help people define & advance their own interests Usually strong in liberal democracies May be inherently apolitical, but serve as

cornerstone of liberty Checks power of the state and prevent tyranny of

the majority (tendency in democracies to allow majority rule to neglect rights and liberties of minorities)

Global cosmopolitanism: universal political order that draws identity & values from everywhere Take shape in nongovernmental organizations

(NGOs) National / international groups that pursue policy objectives

& foster public participation

Authoritarian gov’ts do not encourage civil society

Is generally weak in less-developed countries Development of civil society needs civic

education

Political Institutions

Levels of Government Unitary system: concentrates all policymaking

in 1 central geographic place Confederal system: spreads power among

many sub-units (ex: states), weak central gov’t Federal system: divides power between central

gov’t and sub-units Most countries have unitary systems, but Britain

moving toward more federalism & Nigeria too weak to effectively concentrate power

Supranational Organizations and Globalization Supranational organizations go beyond national

boundaries, reflect a trend toward integration binding states together w/ common policies & shared rules

Reflect phenomenon of globalization – an integration of social, environmental, economic, and cultural activities of nations resulting from increasing international contacts

Fragmentation: a counter trend; tendency for people to base loyalty on ethnicity, language, religion, cultural identity

Modern Challenges to the Nation-State Centripetal vs. Centrifugal Forces

Centripetal Forces bind together people of a state i.e. nationalism Encourages allegiance to single country, loyalty Symbols include institutions: schools, military, religion,

transportation, broadcasting companies Centrifugal Forces destabilize the gov’t, encourage

country to fall apart; Country not well organized stands to lose loyalty weak institutions can fail to provide cohesive support Strong institutions can challenge the gov’t Separatist movements: nationalities w/in a country demand

independence

Devolution: Ethnic, Economic, Spatial Forces Ethnic Forces

Ethnonationalism: the tendency for an ethnic group to see itself as a distinct nation w/ a right to autonomy or independence

Economic Forces Economic inequalities may destabilize a nation-state, esp. if the

inequalities are regional Spatial Forces

Devolutionary events most often occur on margins of the state Distance, remoteness, peripheral location, physical geographic

separation

Executives 2 distinct roles: head of state, and head of

government Functions:

Policymaking leader Veto legislation (presidential) Oversees policy implementation

Cabinet (parliamentary) most important decision-making body

Cabinet coalition: several parties join forces & are represented in different posts

(presidential) not usually members of legislature; more independence from president

Bureaucracies Agencies that generally implement government

policy Usually part of executive branch Characteristics:

Hierarchical authority structure: change of command Task specialization: clear division of labor Extensive rules: clearly written, well-established rules Clear goals: all people in organization strive for The merit principle: merit-based hiring and promotion Imperonality: job performance judged by productivity

Bureaucracies in Democracies Discretionary power: power to make small

decisions in implementing legislative / executive decisions

Source of stability; stay through the changes in elected leadership positions

Bureaucracies in Authoritarian Regimes Head of gov’t exercises complete control over their

activities patronage system: political supporters receive jobs in

return for their assistance Technocrats: civilian bureaucrats in a military regime

Common Characteristics of Bureaucracies Non-elected positions: are usually appointed Impersonal, efficient structures Formal qualifications for jobs Hierarchical organization Red tape / inefficiency: large groups seem to stumble

under own size

Legislatures Bicameral: 2 houses in legislature; is most

common Why?

Allows for one house to represent regional gov’ts and local interests; the other serves as a direct democratic link to the voters

Helps counterbalance disproportionate power in the hands of any region

Unicameral: 1 house in legislature

Functions of Legislatures Form, debate, vote on political policies

Varying degrees of power Control country’s spending Elite recruitment: identifying future leaders of the

gov’t

Judiciaries Courts in authoritarian regimes have little / no

independence; decisions controlled by chief executive Constitutional courts: serve to defend democratic

principles of a country against infringement by both private citizens and the gov’t Highest judicial body that rules on constitutionality of laws &

other gov’t action

Judicial Review: allows courts to review laws and executive actions for constitutionality

Growth of judicial power over past 100 years spurred by desire to protect human rights

Linkage Institutions Linkage Institutions: groups that connect the

gov’t to its citizens (political parties, interest groups, print / electronic media) Parties:

Bring different people & ideas together Provide labels for candidates to help citizens decide how to

vote Hold politicians accountable to electorate Most countries have multi-party systems – usually arise in

countries w/ strong parliamentary systems, esp. those that use proportional representation

Single-party system a rarity – in only 15 countries

Electoral Systems and Elections Electoral systems: rules that decide how votes

are cast, counted, translated into seats in legislature First-past-the-post: divide constituencies into single-

member districts – candidates compete for single seat a.k.a. plurality system or winner-take-all system where

winner doesn’t need majority to win, just more votes than the others!

Proportional representation: creates multi-member districts – with more than one legislative seat is contested in each district Voters cast votes for parties, not candidates

Mixed system: combines first-past-the-post & proportional; encourage large, broad based parties b/c no mater how many people run, person w/ largest # of votes wins!

Types of elections Elections of public officials Referendums

Plebiscite: variation of referendum; ballot to consult public opinion in nonbinding way

Initiative

Interest Groups Interest groups: organization of like-minded

people to influence & shape public policy In liberal democracies, they are independent from

gov’t Strength of interest groups

Degree of autonomy from gov’t Interest group pluralism: autonomous groups

compete w/ each other for influence; criticism: increases inefficiency in policymaking

Public Policy

Public policy is generally directed toward addressing issues and solving problems

Common policy issues: Economic performance: measured by GDP, GNP,

GNP / GDP per capita, Purchasing Power Parity Social Welfare: health, employment, education

Measured using: Gini Index – formula that measures the amount of economic inequality in society; human Development Index factors in adult literacy, life expectancy, educational enrollment, GDP

Civil liberties, rights, and freedoms Environment – effort to go green!