chapter 1 five principles of politics theodore j. lowi benjamin ginsberg kenneth a. shepsle stephen...
TRANSCRIPT
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Chapter 1
Five Principles of Politics
Theodore J. Lowi
Benjamin Ginsberg
Kenneth A. Shepsle
Stephen Ansolabhere
AMERICAN GOVERNMENT
POWER & PURPOSE
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Why are you here?
• Let’s make a deal…
– Will you take a one question test?• With VERY high stakes??
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Who is this person?
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Who is this person?
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Who is this person?
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Making Sense of Government and Politics
• Two fundamental questions about government and politics:– What do we observe? An empirical question– Why? A fundamental concern of science.
Requires building a theory around principles– A third question could be normative
• Two objectives:– What is government and politics?– Introduce our five principles of politics
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What is Government?
• The institutions and procedures through which a land and its people are ruled
• Governments may be simple, like a tribal council that makes all decisions, or they may be complex, like our own system of separate branches and levels of government
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Discussion: Government in a Farming Society
• Imagine that everyone in this room is a farmer in our own self-contained society
• We’re all equal in every respect
• One of us proposes to build an irrigation system
• How do we make decisions?
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Forms of Government:Inclusiveness
• Autocracy – A single individual rules• Oligarchy – A small group of landowners,
military officers, or wealthy merchants rules
• Democracy – A system of rule that permits citizens to play a significant part in the governmental process
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Forms of Government: Recognition of Limits
• Constitutional – Formal and effective limits are placed on the powers of government
• Authoritarian – No formal limits are placed on government but government may be effectively limited by other social institutions
• Totalitarian – No formal or effective limits on government’s power of any kind
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Clicker Question
Imagine a hypothetical society in which a king has almost total power but is constrained in his coercive power by the church. This government would best be described as a(n):
A.authoritarian democracy.B.constitutional autocracy.C.totalitarian oligarchy.D.authoritarian autocracy.
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Imagine a hypothetical society in which a king has almost total power but is constrained in his coercive power by the church. This government would best be described as a(n):
A.authoritarian democracy.B.constitutional autocracy.C.totalitarian oligarchy.D.authoritarian autocracy.
Clicker Question
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What is Politics?
• The conflicts and struggles over the leadership, structure, and policies of government
• Politics takes many forms – voting, running for office, joining groups and parties, lobbying, and even speaking to friends and neighbors
• The 5 principles of politics can be used to explain political action
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Introducing the 5 Principles of Politics
• All political behavior has a purpose
• Institutions structure politics
• All politics is collective action
• Political outcomes are the products of individual preferences, institutional procedures, and collective action
• How we got here matters
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Rationality Principle
• All political behavior has a purpose
• Political behavior is instrumental– Not random– Done with forethought– Calculation
• Political actors pursue policy preferences, reelection, power, and to maximize their agency budgets
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Institution Principle
• Institutions structure politics
• Institutions are the rules and procedures that provide incentives for political behavior
• Remember that institutions themselves are not necessarily permanently fixed. Rules may change; they just don’t change easily
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Institutions Provide Authority in Four Ways
• Jurisdiction – The domain over which decisions may be made
• Agenda and Veto Power – Control over what a group will consider for discussion and the ability to defeat something
• Decisiveness – Rules for decision making
• Delegation – Transmission of authority
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Principal-Agent Relationship
• May be affected by the fact that each is motivated by self-interest, yet their interests may not be well-aligned
• As a result, the principal needs to have some way to monitor and validate what the agent is doing
• This leads to transaction costs – the cost of clarifying the relationship and making sure arrangements are complied with
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Collective Action Principle
• All politics is collective action
• Collective action is difficult and the difficulty mounts as the number of people and interests involved grows
• Sometimes there are collective action dilemmas – situations in which individually rational incentives do not align with shared, collective interests
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A Collective Dilemma
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Collective Action and Public Goods
• Collective action is the pooling of resources and the coordination of effort and activity to achieve common goals
• Public goods are those that may be enjoyed by anyone and may not be denied to anyone
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Collective Action is Difficult
• Collective action and provision of public goods becomes even more difficult as the number of parties involved increases or as the ability to bargain face-to-face is hampered. Examples:– Free Riding– Tragedy of the Commons
• Institutions are the solutions to these problems
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Clicker Question
Which of the following is NOT an example of a collective dilemma?
A. free-riding.
B. tragedy of the commons.
C. formal bargaining.
D. prisoner’s dilemma.
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Which of the following is NOT an example of a collective dilemma?
A. free-riding.
B. tragedy of the commons.
C. formal bargaining.
D. prisoner’s dilemma.
Clicker Question
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Policy Principle
• Political outcomes are the products of individual preferences and institutional procedures
• The policy principle is the logical combination of the first three principles
• Policy outcomes are frequently “lacking in neatness” because we have a system where personal ambition mixes with a decentralized political system
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History Principle
• How we got here matters
• Path dependency – certain possibilities are made more or less likely because of the historical path taken
• Three reasons why history matters:– Rules and procedures– Loyalties and alliances– Historically-conditioned points of view
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A member of Congress seeks to bring additional dollars home to his districts for construction of roads and bridges. This is an example of the:
A.Institution Principle.B.Rationality Principle.C.History Principle.D.Collective Action Principle.
Clicker Question
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A member of Congress seeks to bring additional dollars home to his districts for construction of roads and bridges. This is an example of the:
A.Institution Principle.B.Rationality Principle.C.History Principle.D.Collective Action Principle.
Clicker Question
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The Five Principles of Politics Applied to a Case
Take the example of immigration reform and think about how each of the principles of politics might inform the debate
– Rationality Principle– Institution Principle– Collective Action Principle– Policy Principle– History Principle
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2830
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