POLS 373 Foundations of Comparative Politics

Three Research Traditions: Rationality, Structure, and Culture

______________________________________________A Primer on the Rational A Primer on the Rational

Choice Approach in Choice Approach in Comparative PoliticsComparative Politics

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Rational Choice Approach What does it mean to act in a rational manner?

Answer: Those who act rationally are assumed to be acting in their own self-interest

This is the basic assumption from which rational choice analysis begins

The rational choice approach begins with the presumption that Saddam was a rational actor

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Rational Choice Approach Defining Self-Interest

To act consistently in relation to one’s preferences

“Preference” can be for wealth, political power, survival, status/prestige, and so on

Also known as Also known as Utility Utility MaximizationMaximization

Different people have different preferences, different ways to “maximize utility”; this explains the rationality behind

different choices, such as the choice to purchase a Hummer vs. the choice to purchase a Toyota Prius

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Rational Choice Approach

Real-world Real-world examples of examples of utility utility maximization: maximization: Self-interest is Self-interest is not always not always obviousobvious

Those individuals who give higher utility to

“helping others” or to “defending the nation”

are also acting rationally; they are maximizing their

personal utility

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Rational Choice Approach

Complicating Factors of Rationality

Rational action is complicated by a number of other factors, including:

1. Strategic Calculation

2. Strategic Interaction

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Rational Choice ApproachComplicating Factors of Rationality

Strategic calculation is a fancy way of saying that any decision is based on a calculation of costs and benefits A Simple Example: Deciding to

attend or skip class; deciding to prepare for today’s quiz

Your decision is based on aweighing of the costs andbenefits; most decisions, from the biggest to the smallest,involve this type of “strategiccalculation”

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Rational Choice Approach

Complicating Factors of Rationality

Strategic interaction Most decisions are not made in isolation; that is, many decisions

involve two or more “players” In these cases, we can say that individual decisions are generally

part of an interactive process, in which one player’s decision is influenced by the existence of another player

In chess and football, strategic interaction is integral to the dynamics

and outcome of the game; players/coaches on both sides are engaged in a process of strategic

interaction

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Rational Choice ApproachComplicating Factors of Rationality

What is the significance of strategic interaction? When more than one player is involved, the “payoffs” (or the

benefits) of any decision will depend on what the other player does or does not do.

To determine what is rational, therefore, each player needs to To determine what is rational, therefore, each player needs to “guess” how another player might act.“guess” how another player might act.

The right “strategic” moves in football will lead to a touchdown; the right moves in chess will lead to checkmate. The wrong move, however, may result in defeat

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Rational Choice Approach Summing Up

Thus Far

Utility maximization, strategic calculation and strategic interaction can make “rational decision-making” much more complex than it appears on the surface

In this scenario, the final outcome (e.g, “mutually assured destruction” is the product of a process of rational decision-making shaped by strategic calculation and interaction. NOTE: The final result is not necessarily “optimal”

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Rational Choice Approach

Key Assumptions of Rational Choice

Rational choice scholars tell us that we should always assume that the large majority of decisions are rational

One of the major tasks of rational choice, therefore, is to uncover the underlying dynamics of the decision making process, even when or especially when decisions seem irrational

In rational choice, insane “decision-makers,” such as the fictitious Hannibal Lecter, are the rare exception, rather than the rule. It is assumed that most decision-makers, especially those occupying positions of

responsibility, are generally rational.

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Rational Choice ApproachKey Assumptions of Rational

Choice

Consider the following questions:

Why did North Korea’s Kim Jong Il decide to conduct a nuclear test?

Why did Saddam launch an invasion of Kuwait?

Why did George W. Bush launch a “pre-emptive” invasion of Iraq in 2003?

Are they all just crazy, evil, or obsessed?

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Rational Choice ApproachKey Assumptions of Rational Choice

Close examination of foregoing questions will likely lead to the Close examination of foregoing questions will likely lead to the identification of an identification of an underlying rationalityunderlying rationality

Paying attention to Paying attention to utility maximization, strategic calculationutility maximization, strategic calculation and and strategic interaction strategic interaction is critical is critical

Almost assuredly, as each of these pictures suggest, Kim, Saddam, and Bush all have/had justifiable reasons and clear objectives for their decisions …

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Rational Choice ApproachKey Assumptions of Rational Choice Perfect InformationPerfect Information

Rational actors don’t have access to “perfect information”Rational actors don’t have access to “perfect information”

People, unlike People, unlike God, are not God, are not omniscient, omniscient, all-knowing all-knowing beingsbeings

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Rational Choice Approach A Simple, but Critical LessonA Simple, but Critical Lesson

The complexity of strategic interaction, imperfect information The complexity of strategic interaction, imperfect information and other factors means that and other factors means that notnot all rational decisions are all rational decisions are good decisionsgood decisions

Consider the Iraq War: AConsider the Iraq War: Aclassic example of a classic example of a rational decision leadingrational decision leadingto a “sub-optimal” to a “sub-optimal” outcomeoutcome

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Rational Choice ApproachThe Strategic EnvironmentThe Strategic Environment

Rationality is also affected by the larger “strategic environment” in which Rationality is also affected by the larger “strategic environment” in which decisions are madedecisions are made

We cannot make any choiceWe cannot make any choicewe please because of we please because of “environmental constraints”:“environmental constraints”:we are sometimes “pushed”we are sometimes “pushed”to make certain choicesto make certain choices

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Rational Choice ApproachThe Strategic EnvironmentThe Strategic Environment

There are two major types of constraintsThere are two major types of constraints ScarcityScarcity (or material constraints)(or material constraints)

InstitutionalInstitutional constraintsconstraints

Having no money severely limits the choices you can make • Arnold Schwarzenegger learned first hand about the power of institutional constraints in California state politics.

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Rational Choice ApproachSome Key Questions to Ask in Rational Choice Analysis:

Who are the main actors?

How are their interests defined?

What information is available to them?

What type of constraints do they face?

How do the constraints influence their actions?

What are other important elements of the strategic environment?

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Rational Choice Approach

Repeating, Restating, Reiterating a Key Point:

To use rational choice to explain social, political or economic phenomena, you need to go well beyond simply asserting that actors are rational

You must take account of utility maximization, strategic calculation, strategic interaction, actors’ knowledge, and the impact of the strategic environment

__________________________________________A Primer on the A Primer on the

Structural Approach in Structural Approach in Comparative PoliticsComparative Politics

The Structural Approach

Structures: The Shaper of Our LivesStructures: The Shaper of Our Lives

Structural approaches are based on the idea that Structural approaches are based on the idea that human actions are partly and even largely human actions are partly and even largely determined by underlying, sometimes invisible determined by underlying, sometimes invisible forces, over which individuals have little or no controlforces, over which individuals have little or no control

An analogy:An analogy: Consider the Consider the structure of DNA and its affect structure of DNA and its affect on our individual liveson our individual lives

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The Structural Approach

The Impact of Structure: An Example

Feudalism was a powerful social structure; it shaped, in profound ways, the lives of millions of people and of whole societies for centuries

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The Structural ApproachKey Assumption in Structural ApproachKey Assumption in Structural Approach The Centrality of RelationshipsThe Centrality of Relationships

Structuralists assume that central to any structure are relationships, which themselves exist Structuralists assume that central to any structure are relationships, which themselves exist within a broader framework of actionwithin a broader framework of action

Examples:Examples: Consider the relationship between Consider the relationship between women and menwomen and men in a patriarchal structure, the in a patriarchal structure, the relationship relationship of workers to capitalistsof workers to capitalists (or the rich and poor) in a capitalist structure, the (or the rich and poor) in a capitalist structure, the relationship of slaves to relationship of slaves to mastersmasters in a structure of slavery, the in a structure of slavery, the relationship of peasant to lordrelationship of peasant to lord in a feudal structure, and so on in a feudal structure, and so on

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The Structural ApproachKey Assumptions in (Historical) Structural ApproachKey Assumptions in (Historical) Structural Approach Structures are enduring, but not necessarily permanentStructures are enduring, but not necessarily permanent

Structures contain their own logic and dynamicStructures contain their own logic and dynamic

Structures create particular relationshipsStructures create particular relationships

The fate of individuals, groups, and societies are largely determined by their position within The fate of individuals, groups, and societies are largely determined by their position within a structurea structure

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The Structural Approach

Structures as Deeply Embedded GamesStructures as Deeply Embedded Games Consider the game of chess …Consider the game of chess …

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The Structural ApproachThe Structural Approach

Some Key Questions to Ask in a Structural Analysis What is the overarching structure and what are the key What is the overarching structure and what are the key

relationships within that structure?relationships within that structure?

How does the structure “work” or operate? What is the internal How does the structure “work” or operate? What is the internal logic and basic dynamic of the structure?logic and basic dynamic of the structure?

What are the (structural) rules of the games, who are the key What are the (structural) rules of the games, who are the key players and what are their roles within the structure?players and what are their roles within the structure?

______________________________________________A Primer on the Structural A Primer on the Structural Approach in Comparative Approach in Comparative

PoliticsPolitics

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Cultural Approach

A Caveat, A Warning!A Caveat, A Warning! Using culture to explain social, political Using culture to explain social, political

or economic phenomena or economic phenomena may seem easy and intuitive, may seem easy and intuitive, but it’s notbut it’s not

““Cultural arguments” are Cultural arguments” are often very bad argumentsoften very bad arguments

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Cultural Approach

Bad Cultural Arguments: An Example

Here’s an example of “bad” cultural argument purporting to explain the lack of democracy in the Middle East:

There is a reason political pluralism, individual liberty and self-rule do not exist in any of the 16 Arab nations in the Middle East. Cultural traditions there tend toward anti-intellectualism, religious zealotry and patriarchy, values which provide little fertile ground for progressive thinking.

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Cultural ApproachErroneous Assumptions in Bad Cultural

Arguments Typically, bad cultural arguments assume that culture is

essentially fixed, monolithic, and one-directional

Fixed: Cultures don’t ever change, ever

Monolithic: Within a culture, there is but a single, unchallenged and unquestioned “voice”

One-directional: Culture is either an obstacle to change, or it’s not; it is either progressive or regressive, but not both

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Cultural ApproachThe First Lesson for “Good” Cultural Arguments Begin with the assumption that culture is highly

malleable, multivocal, and multidirectional

Malleable: Cultures can and do change, both quickly and slowly.

Multivocal: People of a “single” culture can and do disagree, sometimes in a fundamental manner.

Multidirectional: Culture can have contradictory and complex effects; in different contexts, at different times, culture may block change or it may be a source of change.

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Cultural Approach

What is culture? A very general definition:

Culture “marks a distinctive way of life” that members of the culture share and upon which they forge a common and unique identity

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Cultural ApproachWhat is culture? What are the major elements of culture? That is,

what “things” constitute the worldview or distinctive “way of life” that define culture?

Consider some general categories:

Religious beliefs and values

Political beliefs and values

Philosophical belief and values

Ideological beliefs and values

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Cultural ApproachWhat is culture?What is culture? A Key Point: As a “worldview,” as a set of cognitive beliefs and A Key Point: As a “worldview,” as a set of cognitive beliefs and

values, as a “shared identity,” culture is inherently and unavoidably values, as a “shared identity,” culture is inherently and unavoidably subjective,subjective, or more accurately, or more accurately, intersubjectiveintersubjective

The The subjectivesubjective nature of culture means, in part, that culture is nature of culture means, in part, that culture is intangibleintangible; it exists only “inside our (collective) heads” ; it exists only “inside our (collective) heads”

The The intersubjectiveintersubjective nature of culture means that it is subject to nature of culture means that it is subject to continual “negotiation” and (re)interpretation, since it must be continual “negotiation” and (re)interpretation, since it must be reproducedreproduced over and over again* over and over again*

* * This tells us, in large part, why culture is never fixed or monolithicThis tells us, in large part, why culture is never fixed or monolithic

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Cultural ApproachA Key Assumption in Cultural ApproachA Key Assumption in Cultural Approach

Culturalists believe culture hasCulturalists believe culture has power power

Culture has power at both the individual and collective Culture has power at both the individual and collective levelslevels

““Culture” can compel individuals and whole peoples to Culture” can compel individuals and whole peoples to act and behave in certain ways, to make profound act and behave in certain ways, to make profound sacrifices and even give up their very lives for the sake sacrifices and even give up their very lives for the sake of a larger goodof a larger good

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Cultural ApproachThe Power of Culture: Individual ExamplesThe Power of Culture: Individual Examples

Values, beliefs, and ideals--that is, “culture”--compels some

individuals to make profound personal sacrifices: a lone

protestor trying to stop a column of tanks …

… a suicide bomber and a Buddhist monk • Can rational choice truly explain the power of culture?

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Cultural ApproachCulture as a political resource or assetCulture as a political resource or asset The power of culture gives it huge potential as The power of culture gives it huge potential as

a political resource or asseta political resource or asset

Significantly, the power of an ostensibly single culture Significantly, the power of an ostensibly single culture can be harnessed or co-opted by opportunistic leaders can be harnessed or co-opted by opportunistic leaders and others to achieve self-serving goals: consider, and others to achieve self-serving goals: consider, Bosnia, Rwanda, and al Qaida …Bosnia, Rwanda, and al Qaida …

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Cultural ApproachCulture as a political resource Culture as a political resource

or assetor asset

In these three cases, political leaders co-opted culture to serve their own political ends. Culture and cultural “differences” were used to motivate collective action for horrendous political goals.

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Cultural ApproachCulture as a political resource Culture as a political resource

or assetor asset

On the other hand, culture can serve as a rallying cry, a force of broad based mobilization, for progressive On the other hand, culture can serve as a rallying cry, a force of broad based mobilization, for progressive change. This was the case in the Philippines (the “People Power” movement, in Poland, in the former Soviet change. This was the case in the Philippines (the “People Power” movement, in Poland, in the former Soviet Union, and in the US with the Civil Rights MovementUnion, and in the US with the Civil Rights Movement

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Cultural ApproachIntersecting ForcesIntersecting Forces As variable,As variable,

“culture” should“culture” shouldnever benever betreated astreated asseparate fromseparate fromother variablesother variables

Instead, think ofInstead, think ofculture asculture asintersecting withintersecting withother social,other social,political, economicpolitical, economicand historicaland historicalforcesforces

Cultural forces

Economic forces

Political forces

Institutional factors

Transnational factors

“Outcome”

Historical forces

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Cultural Approach In sum …In sum …

culture is complex culture is complex

It is malleableIt is malleable

Its effects are sometimes obvious, but frequently subtle and even hidden Its effects are sometimes obvious, but frequently subtle and even hidden and contradictoryand contradictory

Culture has power, but it is not always or necessarily a causal power; the Culture has power, but it is not always or necessarily a causal power; the power of culture, moreover, does not always flow in the same directionpower of culture, moreover, does not always flow in the same direction

Culture does not act alone toCulture does not act alone toproduce outcomesproduce outcomes

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Cultural Approach

Culture as an Independent VariableCulture as an Independent Variable Many social scientists dismiss culture because its causal power is Many social scientists dismiss culture because its causal power is

difficult, even impossible, to evaluatedifficult, even impossible, to evaluate

Some argue that culture is simply a reflection of more basic forcesSome argue that culture is simply a reflection of more basic forces

Some argue that culture, at most, affects the “framework of action” Some argue that culture, at most, affects the “framework of action” and is, therefore, only indirectly important (e.g., a rational choice and is, therefore, only indirectly important (e.g., a rational choice analyst may argue that culture affects the strategic environment, but is analyst may argue that culture affects the strategic environment, but is not a fundamental element of behavior)not a fundamental element of behavior)

Some argue that culture is simply irrelevant because it cannot be Some argue that culture is simply irrelevant because it cannot be quantified or measured--in part because culture is inherently quantified or measured--in part because culture is inherently subjectivesubjective

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Cultural Approach

Culture as an Independent VariableCulture as an Independent Variable

The debate about culture’s causal powers cannot be resolved easily; The debate about culture’s causal powers cannot be resolved easily; however, one way to think about culture is to see it as both however, one way to think about culture is to see it as both cause cause and effectand effect

In this view, culture is understood as a product of underlying social, In this view, culture is understood as a product of underlying social, economic or political forces, but once established, certain cultural economic or political forces, but once established, certain cultural practices and beliefs tend to perpetuate themselves from generation practices and beliefs tend to perpetuate themselves from generation to generationto generation

Culture, in short, becomes “independent” over time: it takes on a “life Culture, in short, becomes “independent” over time: it takes on a “life of its own” and begins to operate as an autonomous or semi-of its own” and begins to operate as an autonomous or semi-autonomous forceautonomous force

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Cultural ApproachCulture as an Independent VariableCulture as an Independent Variable

An example …An example … In the Terminator, a computer network In the Terminator, a computer network

based on artificial intelligence is produced based on artificial intelligence is produced by scientists (i.e., it is the product of outside by scientists (i.e., it is the product of outside forces). Once created, however, it becomes forces). Once created, however, it becomes sentient: it not only “thinks,” but acts to sentient: it not only “thinks,” but acts to defend itself. It takes on a life of its owndefend itself. It takes on a life of its own

Although the analogy is not perfect, this is a Although the analogy is not perfect, this is a useful way of understanding how a culture, useful way of understanding how a culture, once created by “outside forces,” can also once created by “outside forces,” can also take on a life of its owntake on a life of its own

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Cultural Approach

Culture as an Independent VariableCulture as an Independent Variable

Key PointKey Point Once culture “takes on a life of its own,” it can be analyzed as Once culture “takes on a life of its own,” it can be analyzed as

an independent variablean independent variable

Remember, though, that culture is Remember, though, that culture is notnot static, nor is it tangible. static, nor is it tangible. Thus, as an independent variable, it must be treated with Thus, as an independent variable, it must be treated with extreme careextreme care

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Cultural ApproachConcluding Points: Doing “Good” Cultural AnalysisConcluding Points: Doing “Good” Cultural Analysis Using culture in an analysis is not easy; indeed, it can be quite Using culture in an analysis is not easy; indeed, it can be quite

confusingconfusing

The key is to avoid treating culture as an unambiguous set of The key is to avoid treating culture as an unambiguous set of unchanging values, norms and beliefs that define and unchanging values, norms and beliefs that define and unproblematically shape, and even determine, the social, unproblematically shape, and even determine, the social, political, and economic fates of individuals, societies and political, and economic fates of individuals, societies and countriescountries

Instead recognize that culture is contested, profoundly political, Instead recognize that culture is contested, profoundly political, and inherently fluidand inherently fluid