Chapter Six

Government and Policymaking

Comparative Politics Today, 9/eAlmond, Powell, Dalton & Strøm

Pearson Education, Inc. publishing as Longman © 2008

Government and PolicymakingGovernment and Policymaking Policymaking is the pivotal stage in the

political process. To understand public policy, we must

know decisions are made. Government agencies are at the core of

policymaking. Two-way process:

Upward flow of influence and demands from society

Downward flow of decisions from the government

Policymaking is the pivotal stage in the political process.

To understand public policy, we must know decisions are made. Government agencies are at the core of

policymaking. Two-way process:

Upward flow of influence and demands from society

Downward flow of decisions from the government

Constitutions and Decision RulesConstitutions and Decision Rules A constitution establishes the basic rules of

decision-making, rights, and the distribution of authority in a political system. Written constitutions important in political systems based

on the rule of law Constitutions contain sets of decision rules.

These are the basic rules governing how decisions are made.

Policymaking is the conversion of social interests and demands into authoritative public decisions. Constitutions establish the rules by which this happens.

Constitutions confer the power to propose policies on specific groups and institutions.

A constitution establishes the basic rules of decision-making, rights, and the distribution of authority in a political system. Written constitutions important in political systems based

on the rule of law Constitutions contain sets of decision rules.

These are the basic rules governing how decisions are made.

Policymaking is the conversion of social interests and demands into authoritative public decisions. Constitutions establish the rules by which this happens.

Constitutions confer the power to propose policies on specific groups and institutions.

Constitutions and Decision RulesConstitutions and Decision Rules Decision rules

Determine what political resources are valuable in influencing decision and how to acquire and use these resources.

Different decision rules have different attractions. Inclusive rules (majority rule; cooperative rule)

Can protect against hasty decisions But they can also give a minority the power to block

proposals favored by a majority The more inclusive the voting rules are the less likely it is

that any decision can be made at all. Less inclusive rules make it easier to reach a policy, but

many interests may be ignored.

Decision rules Determine what political resources are valuable

in influencing decision and how to acquire and use these resources.

Different decision rules have different attractions. Inclusive rules (majority rule; cooperative rule)

Can protect against hasty decisions But they can also give a minority the power to block

proposals favored by a majority The more inclusive the voting rules are the less likely it is

that any decision can be made at all. Less inclusive rules make it easier to reach a policy, but

many interests may be ignored.

Constitutions and Decision RulesConstitutions and Decision Rules The government as a whole and its institutions have

decision rules. Numerous rules affect the policymaking process. In modern assemblies rules about voting - egalitarian rules;

one person, one vote Dictatorships - decision making is hierarchical

Pure hierarchy: only the vote of the person at the top counts When decisions are made through equal voting, the

inclusiveness of the decision rule still shapes the outcome. Simple majority voting Qualified majorities sometimes required for particularly

consequential decisions It is important that decision rules in a democracy be

transparent and stable.

The government as a whole and its institutions have decision rules. Numerous rules affect the policymaking process. In modern assemblies rules about voting - egalitarian rules;

one person, one vote Dictatorships - decision making is hierarchical

Pure hierarchy: only the vote of the person at the top counts When decisions are made through equal voting, the

inclusiveness of the decision rule still shapes the outcome. Simple majority voting Qualified majorities sometimes required for particularly

consequential decisions It is important that decision rules in a democracy be

transparent and stable.

Making ConstitutionsMaking Constitutions

Constitution making is a fundamental political act. It creates of transforms decision rules. Britain unusual in it does not have a formal written constitution

Has a long-accepted and highly developed set of customs and conventions

Gradual and peaceful political change Often new constitutions arise with civil upheaval.

An exception: The European Union Decades since WWII have seen much constitutional

experimentation. India Nigeria Eastern Europe Russia Other Soviet successor states South Africa

Constitution making is a fundamental political act. It creates of transforms decision rules. Britain unusual in it does not have a formal written constitution

Has a long-accepted and highly developed set of customs and conventions

Gradual and peaceful political change Often new constitutions arise with civil upheaval.

An exception: The European Union Decades since WWII have seen much constitutional

experimentation. India Nigeria Eastern Europe Russia Other Soviet successor states South Africa

Democracy and AuthoritarianismDemocracy and Authoritarianism The most important distinction in policymaking

is between democratic and authoritarian systems. Democracy means government by the people.

Direct or indirect participation by the public Institutions facilitate indirect participation: elections,

competitive political parties, free mass media, representative assemblies

In authoritarian regimes the policymakers are chosen by military councils, hereditary families, dominant political parties and the like.

Citizens are either ignored or pressed into symbolic assent.

The most important distinction in policymaking is between democratic and authoritarian systems. Democracy means government by the people.

Direct or indirect participation by the public Institutions facilitate indirect participation: elections,

competitive political parties, free mass media, representative assemblies

In authoritarian regimes the policymakers are chosen by military councils, hereditary families, dominant political parties and the like.

Citizens are either ignored or pressed into symbolic assent.

Democracy and AuthoritarianismDemocracy and Authoritarianism The basic decision rules of political systems

- both democratic and authoritarian - differ along three important dimensions: The separation of powers between different

branches of government The geographic distribution of authority

between the central (national) government and lower levels, such as states, provinces, or municipalities

Limitations on government authority

The basic decision rules of political systems - both democratic and authoritarian - differ along three important dimensions: The separation of powers between different

branches of government The geographic distribution of authority

between the central (national) government and lower levels, such as states, provinces, or municipalities

Limitations on government authority

Separation of Government PowersSeparation of Government Powers Theory of separation of powers

Locke and Montesquieu Madison and Hamilton

Classic separation of powers theory Argued there are two forms of representative democratic

government Presidential

Two separate agencies of government: executive and legislative Separately elected and authorized by the people Fixed terms; cannot unseat the other branch; each with specific powers Coordination must be achieved to make policy

Parliamentary Executive and legislative branches are interdependent Legislative branch directly elected; prime minister and cabinet emerge from

the legislature Confidence relationship Do not experience the form of divided government that is common under

presidentialism

Theory of separation of powers Locke and Montesquieu Madison and Hamilton

Classic separation of powers theory Argued there are two forms of representative democratic

government Presidential

Two separate agencies of government: executive and legislative Separately elected and authorized by the people Fixed terms; cannot unseat the other branch; each with specific powers Coordination must be achieved to make policy

Parliamentary Executive and legislative branches are interdependent Legislative branch directly elected; prime minister and cabinet emerge from

the legislature Confidence relationship Do not experience the form of divided government that is common under

presidentialism

Separation of Government PowersSeparation of Government Powers Not all democracies fit neatly into the

presidential or parliamentary category. France- “semi-presidential” In some mixed types, the president and the

legislature are separately elected, but the president has the power to dissolve the legislature.

In such systems, the cabinet may be appointed by the president, but subject to dismissal by the legislature.

Debates have emerged as to the “best” system.

Not all democracies fit neatly into the presidential or parliamentary category. France- “semi-presidential” In some mixed types, the president and the

legislature are separately elected, but the president has the power to dissolve the legislature.

In such systems, the cabinet may be appointed by the president, but subject to dismissal by the legislature.

Debates have emerged as to the “best” system.

Geographic Distribution of Government PowerGeographic Distribution of Government Power Confederal - U.S. under the Articles of

Confederation Federal - U.S., Germany, Russia, India,

Nigeria, Mexico, and Brazil Unitary - Britain, France, China, Japan

and Iran Most of the world’s states are unitary Only 18 states are federal

Confederal - U.S. under the Articles of Confederation

Federal - U.S., Germany, Russia, India, Nigeria, Mexico, and Brazil

Unitary - Britain, France, China, Japan and Iran Most of the world’s states are unitary Only 18 states are federal

Geographic Distribution of Government PowerGeographic Distribution of Government Power Federalism is commonly thought to have

several advantages: In culturally divided societies it may help protect

ethnic, linguistic, or religious minorities, particularly if they are geographically concentrated.

Serve as a check on overly ambitious rules and thus protect markets and citizen freedoms

May allow subunits to experiment with different policy programs

But it promotes choice and diversity at the expense of equality.

Sometimes there is a discrepancy between formal and actual federalism: Mexico

Federalism is commonly thought to have several advantages: In culturally divided societies it may help protect

ethnic, linguistic, or religious minorities, particularly if they are geographically concentrated.

Serve as a check on overly ambitious rules and thus protect markets and citizen freedoms

May allow subunits to experiment with different policy programs

But it promotes choice and diversity at the expense of equality.

Sometimes there is a discrepancy between formal and actual federalism: Mexico

Limitations on Government PowerLimitations on Government Power Constitutional regimes

Civil rights protected Courts are crucial to the limitations on

governmental power. Judicial review

Lijphart characterizes only four of the 36 democratic systems he examines as having “strong” judicial review.

Often in constitution but harder to implement in practice

Amending procedures Vary widely

Constitutional regimes Civil rights protected

Courts are crucial to the limitations on governmental power.

Judicial review Lijphart characterizes only four of the 36

democratic systems he examines as having “strong” judicial review.

Often in constitution but harder to implement in practice

Amending procedures Vary widely

Checking the Top PolicymakersChecking the Top Policymakers Challenge: control the excesses of the

top political leaders Authoritarian systems: problematic Democracies: procedures vary between

types of systems Parliamentary system: removed virtually at any

time Presidential system: impeachment

Associated with constitutions having powerful presidencies with fixed terms of office

Ultimate control of democratic order is periodic and competitive elections.

Challenge: control the excesses of the top political leaders Authoritarian systems: problematic Democracies: procedures vary between

types of systems Parliamentary system: removed virtually at any

time Presidential system: impeachment

Associated with constitutions having powerful presidencies with fixed terms of office

Ultimate control of democratic order is periodic and competitive elections.

AssembliesAssemblies

Almost all contemporary political systems have assemblies. More than 80% of the countries belonging to

the U.N. Vary in structure; bicameralism is common Differ in their internal organization All have a committee structure

Almost all contemporary political systems have assemblies. More than 80% of the countries belonging to

the U.N. Vary in structure; bicameralism is common Differ in their internal organization All have a committee structure

Assembly FunctionsAssembly Functions

Deliberate, debate, and vote on policies that come before them.

Typically also control public spending decisions Some have important appointment powers. Some may serve as a court of appeals. Range in terms of their role as policymaking

agencies: U.S. - highly active role; National People’s Congress of the People’s Republic of China, rubberstamp function

Assemblies should not be viewed only as legislative bodies.

Deliberate, debate, and vote on policies that come before them.

Typically also control public spending decisions Some have important appointment powers. Some may serve as a court of appeals. Range in terms of their role as policymaking

agencies: U.S. - highly active role; National People’s Congress of the People’s Republic of China, rubberstamp function

Assemblies should not be viewed only as legislative bodies.

Representation: Mirroring and Representational BiasesRepresentation: Mirroring and Representational Biases Descriptive representation/mirroring For politicians to be good agents, they need to

have similar preferences to the citizens they represent and they need the appropriate skills to do the job. Democracies- role of parties for preference alignment

Mirroring versus expert delegation Most of the time that elected members of legislative

assemblies hardly ever mirror the citizens they represent on standard social characteristics.

Working class Advancement of women- visible but uneven Age

Descriptive representation/mirroring For politicians to be good agents, they need to

have similar preferences to the citizens they represent and they need the appropriate skills to do the job. Democracies- role of parties for preference alignment

Mirroring versus expert delegation Most of the time that elected members of legislative

assemblies hardly ever mirror the citizens they represent on standard social characteristics.

Working class Advancement of women- visible but uneven Age

Political ExecutivesPolitical Executives

In modern states, the executive branch is by far the largest, the most complex, and typically the most powerful branch of government. Chief executives

Single or split Divided between effective power over policy, purely

ceremonial roles or both Presidents and Prime Ministers Chairman of the Communist Party in China Monarchs

Advantages the split system

In modern states, the executive branch is by far the largest, the most complex, and typically the most powerful branch of government. Chief executives

Single or split Divided between effective power over policy, purely

ceremonial roles or both Presidents and Prime Ministers Chairman of the Communist Party in China Monarchs

Advantages the split system

Recruitment of Chief ExecutivesRecruitment of Chief Executives Recruitment structures

Competitive party systems Noncompetitive parties and military

organizations Authoritarian systems rarely have effective

procedures for leadership succession. Poorer nations show substantially less stability

and the regimes have usually had less experience at surviving succession crises. African nations: repeated coups

Recruitment structures Competitive party systems Noncompetitive parties and military

organizations Authoritarian systems rarely have effective

procedures for leadership succession. Poorer nations show substantially less stability

and the regimes have usually had less experience at surviving succession crises. African nations: repeated coups

The CabinetThe Cabinet

In many political systems, the Cabinet is the most important collective decision-making body. Very powerful in parliamentary systems

Selection Presidential systems: presidential prerogative with

legislative approval; President can dismiss Cabinet members; legislature severely limited in this area

Parliamentary systems: formation depends on the result of parliamentary elections and on the composition of Parliament

Majority single-party cabinet Coalition cabinet

In many political systems, the Cabinet is the most important collective decision-making body. Very powerful in parliamentary systems

Selection Presidential systems: presidential prerogative with

legislative approval; President can dismiss Cabinet members; legislature severely limited in this area

Parliamentary systems: formation depends on the result of parliamentary elections and on the composition of Parliament

Majority single-party cabinet Coalition cabinet

Functions of the Chief ExecutiveFunctions of the Chief Executive Typically the most important structure in

policymaking The executive normally initiates new policies. May have role in adoption Typically has veto powers Oversees policy implementation Recruitment function Conduct affects trust and confidence in the political

system Central role in communication, in explaining and

building support for new policies Improving the performance in various sectors of

society and economy

Typically the most important structure in policymaking The executive normally initiates new policies. May have role in adoption Typically has veto powers Oversees policy implementation Recruitment function Conduct affects trust and confidence in the political

system Central role in communication, in explaining and

building support for new policies Improving the performance in various sectors of

society and economy

The BureaucracyThe Bureaucracy

Large organizations in charge of implementing public policy Size has increased Civil service

Functions Almost alone in implementing and enforcing laws

and regulations May articulate and aggregate interests Adjudication Involved in communication

Large organizations in charge of implementing public policy Size has increased Civil service

Functions Almost alone in implementing and enforcing laws

and regulations May articulate and aggregate interests Adjudication Involved in communication

Bureaucracy and PerformanceBureaucracy and Performance Weber: features of bureaucracies

Decision making is based on fixed and official jurisdictions, rules and regulations;

There are formal and specialized educational or training requirements for each position;

There is a hierarchical command structure: a firmly ordered system of super- and subordination, in which information flows upward and decisions downward;

Decisions are made on the basis of SOPs, which include extensive written records; and

Officials hold career positions, are appointed and promoted on the basis of merit, and have protection against political interference, notably in the form of permanent job tenure.

Weber: features of bureaucracies Decision making is based on fixed and official

jurisdictions, rules and regulations; There are formal and specialized educational or

training requirements for each position; There is a hierarchical command structure: a firmly

ordered system of super- and subordination, in which information flows upward and decisions downward;

Decisions are made on the basis of SOPs, which include extensive written records; and

Officials hold career positions, are appointed and promoted on the basis of merit, and have protection against political interference, notably in the form of permanent job tenure.

Bureaucracy and PerformanceBureaucracy and Performance Positive features Liabilities Control of bureaucracies in democratic countries

External government control: political executive Centralized budgeting and administrative reorganization

are other means of executive control. Nomenklatura Assemblies and courts

Hearings or judicial investigations Ombudsman

Limited control in authoritarian systems Corruption/failure of rule of law

Positive features Liabilities Control of bureaucracies in democratic countries

External government control: political executive Centralized budgeting and administrative reorganization

are other means of executive control. Nomenklatura Assemblies and courts

Hearings or judicial investigations Ombudsman

Limited control in authoritarian systems Corruption/failure of rule of law