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COMPARATIVE GOVERNMENT AND POLITICS
COMPARATIVE GOVERNMENT AND POLITICS
Series Editor: Vincent Wright
Published Comparative Government and Politics (3rd edition): Rod Hague,
Martin Harrop and Shaun Breslin The Government and Politics of the European Community (2nd edition):
Neill Nugent The Government and Politics of France: Anne Stevens Communist and Postcommunist Political Systems: An Introduction
(3rd edition): Stephen White, John Gardner, George Schopflin and Tony Saich
Forthcoming Dutch Politics: Rudy Andeweg and Galen A. Irwin American Government and Politics: Nigel Bowles The Government and Politics of Spain: Paul Heywood Government and Politics in Italy: Robert Leonardi The Government of Germany: Douglas Webber
Series Standing Order If you would like to receive future titles in this series as they are published, you can make use of our standing order facility . To place a standing order please contact your bookseller or, in case of difficulty, write to us at the address below with your name and address and the name of the series. Please state with which title you wish to begin your standing order. (If you live outside the UK we may not have the rights for your area, in which case we will forward your order to the publisher concerned.)
Standing Order Service, Macmillan Distribution Ltd, Houndmills, Basingstoke, Hampshire, RG21 2XS, England
COMPARATIVE GOVERNMENT AND POLITI CS
An Introduction Third Edition
Rod Hague Martin Harrop Shaun Breslin
M MACMILLAN
© Rod Hague, Martin Harrop and Shaun Breslin 1992 © Rod Hague and Martin Harrop 1982, 1987
Softcover reprint of the hardcover I st edition 1992 978-0-333-55819-5
All rights reserved. No reproduction, copy or transmission of this publication may be made without written permission.
No paragraph of this publication may be reproduced, copied or transmitted save with written permission or in accordance with the provisions of the Copyright, Designs and Patents Act 1988,
or under the terms of any Iicence permitting limited copying issued by the Copyright Licensing Agency, 90 Tottenham Court
Road, London WIP 9HE.
Any person who does any unauthorised act in relation to this publication may be liable to criminal prosecution and civil
claims for damages.
First edition 1982 Reprinted 1984, 1985, 1987
Second edition 1987 Reprinted 1988, 1989, 1990 (twice), 1991, 1992
Third edition 1992
Published by THE MACMILLAN PRESS L TD
Houndmills, Basingstoke, Hampshire RG21 2XS and London
Companies and representatives throughout the world
ISBN 978-0-333-55820-1 ISBN 978-1-349-22276-6 (eBook) DOI 10.1007/978-1-349-22276-6
A catalogue record for this book is available from the British Library
Copy-edited and type set by Povey/Edmondson Okehampton and Rochdale, England
Summary of Contents
PART 1 STUDYING POLITICS 1 Political Concepts
2 The Comparative Approach
PART 2 THE NATION-STATE: EVOLUTION AND REVOLUTION
3 The Nation-State in Three Worlds
4 Revolution, Ideology and Political Change
5 The Nation-State in One World
PART 3 THE SOCIAL CONTEXT OF POLITICS 6 Political Culture
7 Political Participation
8 Elections and Voters
9 Interest Groups
10 Political Parties
PART 4 THE STRUCTURE OF GOVERNMENT 11 The Constitutional Framework
12 Assemblies
13 The Political Executive
14 The Bureaucracy
15 The Military and the Police
PART 5 POLICIES AND PERFORMANCE 16 The Policy Process
v
3
23
45
66
100
135
156
182
209
234
261
287
313
342
367
347
Contents
List of tables, figures, maps, exhibits and exercises Preface
PART 1 STUDYING POLITICS 1 Political Concepts
Politics and government The state Sovereignty Power Elitist theories Pluralist theories Authority Legitimacy Summary Discussion points Key reading Further reading
2 The Comparative Approach The advantages of comparison
Providing context Testing hypotheses Improving classifications Making predictions
The problems of comparison Controlling comparisons Frameworks of comparison
Comparing states Comparing societies Comparing policies
Techniques of comparison Case studies Statistical analysis Focused comparisons
Summary Discussion points
VII
XVI
XXX
3 3 6 7 8
12 14 16 19 20 21 21 22 23 24 24 24 25 25 27 30 31 31 33 36 37 37 38 39 40 41
Vlll Contents
Key reading Further reading
PART 2 THE NATION-STATE: EVOLUTION AND REVOLUTION
3 The Nation-State in Three Worlds The three worlds The first world: heartland of liberal democracy
Majority democracy: the Westminster model Consensus democracy
The second world: communism and postcommunism The failure of communism The challenge of postcommunism
The third world: the politics of economics An economic classification From oligarchy to democracy?
Summary Discussion points Key reading Further reading
4 Revolution, Ideology and Political Change Types of political change What is a revolution? Explaining revolutionary change
Marxism Functionalism Social psychology Comparative history
Three revolutions: France, Russia and Iran France 1789 Russia 1917 Iran 1979
1989: the year of revolutions Documenting the revolutions Interpreting the revolutions
Ideology and revolution What is an ideology? How do ideologies arise? The end of history?
Summary Discussion points Key reading Further reading
42 42
45 45 48 50 51 54 55 56 57 57 58 63 64 64 64
66 66 67 68 68 70 71 73 74 76 78 79 82 82 83 90 91 91 96 97 98 99 99
5 The Nation-State in One World Interdependence and the nation-state The global economy
The trading world The competition state National variations Transnational corporations The financial world
The global village The global ecology
Population growth The first world: the driving force
From regulation to markets From markets to blocs?
The second world: from isolation to integration The old order: problems of isolation The collapse The new order: problems of integration
The third world: dependence or interdependence? Liberal theory Dependency theory
Summary Discussion points Key reading Further reading
Contents IX
100 100 102 102 103 104 105 108 109 111 112 113 113 114 119 120 120 121 124 125 126 130 131 131 132
PART 3 THE SOCIAL CONTEXT OF POLITICS 6 Political Culture
The first world The civic culture Ideological hegemony Postmaterialism
The second world The failure of transformation Political culture and the collapse of communism
The third world: local political cultures Tradition and modernity
Political socialisation Liberal and radical theories
Elite political culture Summary Discussion points Key reading Further reading
135 136 136 139 141 142 142 144 145 146 147 148 151 153 154 154 155
x Contents
7 Political Participation 156 Types of participation 156 The first world 157
How much, by whom, so what? 157 New politics 159
The second world 162 Regimented participation 162 The transition to postcommunism 165
The third world 167 Patrons and clients 168 Participation and development 168
Public opinion 170 Opinion polls 172 The media 173
The first world 173 The second world 175
The media under communism 175 The media and postcommunism 177
The third world 178 Summary 179 Discussion points 180 Key reading 181 Further reading 181
8 Elections and Voters 182 First world elections: bottom-up or top-down? 182 Elections in the second world 184
Elections under communist rule 184 Elections and the decay of communist rule 186 Postcommunism: the founding elections 187
Elections in the third world 190 Electoral systems 191
Converting votes into seats 192 Evaluating electoral systems 195
The social base of parties 196 The national revolution 198 The industrial revolution 200 The post-industrial revolution 201 Parties of reaction 202 Parties in the new world 202
Voting behaviour in liberal democracies 203 Classifying elections 203 Dealignment 205
Summary 206
Discussion points Key reading Further reading
9 Interest Groups Classifying interest groups
Customary groups Institutional groups Protective groups Promotional groups Geographic groups and social movements
Channels of access Direct dealings with government Indirect influence through parties Indirect influence through the media
What makes an interest group influential? The first world: pluralism or corporatism?
Pluralism Corporatism
The second world: from channelled to active groups? Groups under communist rule The emergence of active groups
Groups in the third world Summary Discussion points Key reading Further reading
10 Political Parties The functions of parties Parties in the first world
Party organisation Party competition
Parties in the second world Ruling communist parties Means of control Decline and fall Postcommunist parties
Parties in the third world No-party systems One-party systems Multi-party systems
Are parties in decline? Summary Discussion points
Contents Xl
207 207 208
209 210 211 211 212 213 214 215 216 218 219 220 222 222 224 227 227 228 229 231 232 232 233 234 235 236 236 240 241 242 245 246 247 249 249 250 251 253 255 256
Xli Contents
Key reading 256 Further reading 257
PART 4 THE STRUCTURES OF GOVERNMENT 11 The Constitutional Framework 261
Constitutions 262 Classifying constitutions 262 The origins of constitutions 263 Revising and replacing constitutions 263 When do constitutions succeed? 267
Federalism 268 Federations and confederations 268 The origins of federations 270 Classifying federations 271 The consequences of federalism 272 Central-provincial relationships 273 Assessment 275
Unitary government 276 Dual and fused systems 276 The two-way stretch 278
The judiciary 279 Administrative justice 280 Judicial independence and recruitment 280 Interpreting the constitution 282 The judiciary in the second world 283 The judiciary in the third world 284
Summary 285 Discussion points 285 Key reading 286 Further reading 286
12 Assemblies 287 Structure of assemblies 288
Number of chambers 288 Committees 289
Functions of assemblies 292 Representation 292 Making governments 295 Law-making and scrutiny 296 Recruitment and socialisation 297
Assemblies in three worlds: a policy classification 298 First world assemblies: policy-making and influencing 299 Second world: the assembly as theatre 302
Assemblies under communist rule 302
Assemblies in postcommunist states Third world assemblies: minimal and vulnerable
Problems of third-world assemblies Functions of third world assemblies
The fall and rise of assemblies? Summary Discussion points Key reading Further reading
13 The Political Executive What does the political executive do? The first world: presidential executives
The United States France Finland Assessment
The first world: parliamentary systems Heads of state in parliamentary systems Government and parliament Prime ministers and cabinets Collective responsibility
The second world: the communist executive Personality cults Succession crises Formal structures: state and party
The second world: the post communist executive The third world executive
Personal and unaccountable rule Towards accountable executives
Summary Discussion points Key reading Further reading
14 The Bureaucracy The functions of bureaucracies Sources of bureaucratic power How are bureaucracies organised? Bureaucracy in the first world
Organisation Recruitment Political control
The reach of political appointments Norms of ministerial responsibility
Contents Xlll
303 305 306 307 308 310 311 311 312
313 313 315 315 318 319 320 320 321 323 324 328 329 330 331 332 335 336 336 338 339 340 341 341
342 342 344 345 349 350 351 353 354 355
XIV Contents
The use of political advisers 355 Bureaucracy in the second world 358
Bureaucratic power in the communist states 358 Organisation in the communist states 359 Bureaucracy in postcommunist states 360
Bureaucracy in the third world 361 The colonial legacy 361 Patronage and privilege 362
Summary 364 Discussion points 365 Key reading 365 Further reading 366
15 The Military and the Police 367 The state in uniform 367 The military: who guards the guards? 367
The first world: the liberal model 368 The military and policy-making 368 The military as a police force 370
The second world: the penetration model 371 The party in the army 371 The army in the party 372 The military and the collapse of communism 373
The third world: military coups 376 Types of military rule 376 Motives for military coups 377 Back to the barracks? 378
The police 380 Liberal and radical perspectives 381 Structure and organisation 381 Specialisation 383 Community or reactive policing? 384 Community relations 385 Policing the police 386 The police and politics 387 The secret police and surveillance 389
Summary 391 Discussion points 392 Key reading 393 Further reading 393
PART 5 POLICIES AND PERFORMANCE 16 The Policy Process
The policy focus Synoptic and incremental models Stages of the policy process
Initiation Formulation Implementation Evaluation
The first world Policy styles The welfare state
Defining the welfare state Development of the welfare state Classifying welfare states A crisis of the welfare state?
The second world The planned economy What did the planned economy achieve? Dismantling the planned economy
The third world: policy stagnation Summary Discussion points Key reading Further reading
Appendix Information Sources for Politics Students Books about specific countries and regions Reference books Keeping up to date Starting a literature search Books for the beach
References Glossary Index
Contents xv
397 397 398 402 402 403 404 406 406 406 409 409 409 411 413 414 415 415 418 421 423 424 424 425 426 426 429 430 430 430 432 458 473
List of Tables, Figures, Maps, Exhibits and Exercises
• Tables
1.1 1.2 2.1 4.1 5.1 5.2 6.1 7.1 8.1 8.2 8.3 8.4 9.1
10.1 11.1
11.2
11.3 12.1 14.1 14.2
14.3 15.1 16.1
Forms of power Weber's classification of types of authority Almond and Powell's functions of political systems 1989 - a year of revolution The economic might of transnational corporations Membership of major international organisations in Europe Liberal and radical perspectives on political socialisation Old and new politics Eastern Europe and the founding elections Main types of electoral system in liberal democracies Some social bases of parties A classification of United States elections A classification of interest groups Duverger's classification of political parties Financial transfers from central governments to subnational governments The balance of power between central and local government in unitary states Methods of selecting judges A policy classification of assemblies Structures of administration Background characteristics that increase the chances of entry into the bureaucratic and political elites in liberal democracies Modes of control over bureaucracies Police politics: a glossary Introduction of social insurance, selected countries
• Figures
1.1 Government, state, political system and society 1.2 Elitist and pluralist views of power
XVI
10 18 35 84
107 115 148 161 188 193 199 204 213 238
274
277 281 298 348
353 370 382 410
5 12
List of Tables, Figures, Maps, Exhibits and Exercises
2.1 Easton's model of the political system 3.1 World divisions, circa 1983 3.2 Protective democracy: the US constitutional system 4.1 The J-curve theory of revolutions 5.1 Trade as a percentage of gross domestic product, 1988 5.2 Eurocentric and Pacific-centred views of the world 5.3 World automobile manufacturing 6.1 Almond and Verba's theory of the civic culture 6.2 Political learning and participation across the life-cycle: the
liberal view 7.1 The diamond of political participation 7.2 Percentage of women cabinet ministers following most
recent general elections 7.3 Attitudes to participation in Finland and the United States 9.1 A classification of interest groups 9.2 Channels of interest group influence
10.1 Organisation of the Chinese Communist Party 10.2 Communist party control over society 11.1 The territorial distribution of power 13.1 The presidential executive 13.2 The semi-presidential executive 13.3 The parliamentary executive 13.4 Soviet executive structure, 1936-91 15.1 Military spending as a proportion of GNP 16.1 Stages of the policy process 16.2 Dimensions of national policy style 16.3 Attitudes towards business people in Eastern Europe
• Maps
Peters' projection of the world 5.1 The Baltic republics
• Exhibits
2.1 The origins of comparative politics: Aristotle's classification
XVll
34 46 49 73
105 117 118 137
149 158
160 163 210 215 244 245 269 316 319 321 333 370 402 408 420
XXll
122
of governments 26 2.2 Easton's model of the political system 34 3.1 New Zealand: majority democracy under strain 52 3.2 Consensus democracy: Finland 53 3.3 India: democracy and dynasty 61 4.1 The perfect revolutionary situation 75
XV1l1 List of Tables, Figures, Maps, Exhibits and Exercises
4.2 The 'isms of politics 92 5.1 Australia: sliding down the first division 104 5.2 The Baltic republics: joining the world league 123 5.3 South Korea: promotion from the third division 126 6.1 The benevolent monarch: how British children see the
Queen 150 7.1 Women in government 160 7.2 Regimented participation: China's sparrows 164 8.1 Getting out the vote, communist style 186 9.1 Do interest groups strangle nations? 223 9.2 Austria: a corporatist waltz? 225
11.1 The European Community: a chronology 265 12.1 The legislative pork barrel 294 13.1 How powerful are prime ministers? 326 13.2 The Dutch Prime Minister: not yet a chief 327 13.4 Mikhail Gorbachev: communism's undertaker 334 14.1 The Minister's tale 346 14.2 Bureaucratic power in Japan 347 14.3 Controlling the bureaucracy: a lesson from France? 357 15.1 How not to stage your coup: the Soviet Union, August 1991 374 15.2 How to stage your coup: the mechanics of military takeover 379 15.3 Policing Japanese-style 385 15.4 Civilian control of the police in Sweden 388 16.1 The language of policy analysis 399 16.2 China's Great Leap Forward ... into starvation 401 16.3 'Private enterprise' in the Soviet Union 416 16.4 Mixed views about the market 420
• Exercise
8.1 Gulf War II: showing the effect of electoral systems 197
Preface
When a journalist asked British Prime Minister Harold Macmillan which aspect of the job caused him most difficulty, he replied, 'Events, dear boy, events.' We know just what he meant. Rewriting this book to take account of the dramatic events in the political world in the late 1980s and early 1990s has proved to be a challenging exercise.
In this new edition, we have given full coverage to the collapse of communism and to the emergence of postcommunist regimes in Eastern Europe. In rewriting all the sections on the second world, we aimed to give at least as much coverage to postcommunist governments as to their predecessors. In fact, limits of information and perspective mean that we have not kept completely to our own promise. But we think it has borne fruit anyway. We are delighted that Shaun Breslin, a young second-world specialist at Newcastle, agreed to join the existing authors for this edition - and we're even more pleased with his vivid coverage of the momentous developments in the second world.
On a minor note, we have used the past tense when referring to communist party states, except when discussing those states (notably China), where communist rulers still hang on to power.
The democratic revolution in the third world has been quieter, but perhaps no less important, than the changes in the second world. The retreat of the generals in Latin America has transformed the nature of regimes there. Elsewhere, international pressures have encouraged a transition towards democracy. We have sought to reflect these devel-opments, too, in this edition.
All this raises the question: If democracy is now universal, why have we retained a three worlds approach? The answer is that we still think this is the best and simplest way to capture contrasts between countries. The political differences between Canada, Chile and Czechoslovakia remain fundamental, even if they all now share democratic forms. The political agenda in a country is set by where a country comes from, as well as where it is now. The agenda also depends on the country's relationship to the world economy. On both dimensions, the differences between the three worlds are still vast.
The world, however, continues to shrink. Traditionally, comparative politics texts, including this one, have underplayed the whole issue of
XIX
xx Preface
interdependence between nations. We have therefore added a new chapter on 'the nation-state in one world' to this edition. Its purpose is to draw out those features of global politics which impinge most on politics within the nation-state. It reflects our belief that the dynamics of politics rest neither in national nor in global politics, but rather in the interaction between the two.
This book conforms to the law that new editions are always bigger. 'Elections and voters' and 'the military and police' now rate chapters of their own. Indeed, the section on the police is entirely new. The two opening chapters have also been strengthened, in order to provide a general introduction to political concepts (Chapter 1) and to compara-tive politics specifically (Chapter 2). New sections in other chapters include: majority and consensus democracy (Chapter 3); 1989 - the year of revolutions (Chapter 4); postmaterialism (chapter 6); new politics, public opinion, opinion polls and the media (Chapter 7); and the welfare state (Chapter 16).
We're pleased that this book is used in several countries where English is not the first language. We owe a special duty of clarity to such readers and we have made an effort to improve our expression throughout the book. Alison Wright, a recent politics graduate, went through the text for us, simplifying paragraphs, sentences and words. Passive sentences were also transformed by her into active ones (though she missed that one!) We are grateful to her for this careful work and to Paul Gliddon, another politics graduate, for compiling the index. Thanks also to Keith Povey, our copy editor for three editions of the book, for his painstaking work.
In these days of expanding student numbers, it's important for texts to provide students with a framework for independent study. We have tried to achieve this by including discussion points and key readings at the end of each chapter. We've also added an appendix giving detailed advice on information sources. We hope this will be useful for students' essays and projects. The appendix includes a detailed list of recent country and area studies, many (not all!) of which were used in preparing this edition. We've also included more sign posting in this edition, through a more detailed contents section and by adding chapter summaries. In response to feedback from students, this edition also contains more devices to break up the text and an extensive glossary of concepts.
We want to thank all our colleagues around the world who responded to our request for advice on how best to revise the book. The replies (and reading lists) really were helpful in setting the agenda for the revisions. Comments from experts on particular countries also helped us to broaden our range of examples, and in particular to
Preface XXI
provide more coverage of Australasia, North America, the Netherlands and Scandinavia. We're especially grateful to the wise owls who advised us not to change too much!
Specific thanks to:
Peter Aimer, University of Auckland Rudy Andeweg, University of Leiden Hugh Berrington, University of Newcastle upon Tyne Craig Dearden, University of Newcastle upon Tyne George Jones, London School of Economics Steven Kennedy, Macmillan Jan-Erik Lane, Lund University, Roger Leys, Institute of Political Studies, Copenhagen Chris Rudd, University of Otago Ulf Sundhaussen, University of Queensland Vincent Wright, Nuffield College, Oxford
The authors and publishers are grateful to The Observer for permission to reproduce the article by Sir John Harvey-Jones in its edition of 25 August 1991.
What began in the 1980s as an introduction to comparative govern-ment has now broadened out in the 1990s into a comparative introduction to politics. Although the book itself has changed over the years, our underlying aim has not. We have sought to write a clear and up-to-date introduction to politics for students beginning their study of the subject. We hope this edition goes a little further towards fulfilling that objective.
ROD HAGUE
MARTIN HARROP
SHAUN BRESLIN
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