POLS 373 Foundations of Comparative Politics Three Research Traditions: Rationality, Structure, and Culture

_______________________ A Primer on the Rational Choice Approach in Comparative Politics

3 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

4 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 Utility Maximization 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

5 Rational Choice Approach Real-world examples of utility maximization: Self-interest is not always obvious Those individuals who give higher utility to “helping others” or to “defending the nation” are also acting rationally; they are maximizing their personal utility

6 Rational Choice Approach Complicating Factors of Rationality Rational action is complicated by a number of other factors, including: 1. Strategic Calculation 2. Strategic Interaction

7 Rational Choice Approach Complicating 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 a weighing of the costs and benefits; most decisions, from the biggest to the smallest, involve this type of “strategic calculation”

8 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

9 Rational Choice Approach Complicating 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 “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

10 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”

11 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.

12 Rational Choice Approach Key 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?

13 Rational Choice Approach Key Assumptions of Rational Choice  Close examination of foregoing questions will likely lead to the identification of an underlying rationality  Paying attention to utility maximization, strategic calculation and strategic interaction 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 …

14 Rational Choice Approach Key Assumptions of Rational Choice Perfect Information Perfect Information  Rational actors don’t have access to “perfect information”  People, unlike God, are not omniscient, all-knowing beings

15 Rational Choice Approach A Simple, but Critical Lesson A Simple, but Critical Lesson  The complexity of strategic interaction, imperfect information and other factors means that not all rational decisions are good decisions  Consider the Iraq War: A classic example of a rational decision leading to a “sub-optimal” outcome

16 Rational Choice Approach The Strategic Environment Rationality is also affected by the larger “strategic environment” in which decisions are made Rationality is also affected by the larger “strategic environment” in which decisions are made We cannot make any choice we please because of “environmental constraints”: we are sometimes “pushed” to make certain choices We cannot make any choice we please because of “environmental constraints”: we are sometimes “pushed” to make certain choices

17 Rational Choice Approach The Strategic Environment There are two major types of constraints There are two major types of constraints  Scarcity (or material constraints)  Institutional constraints 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.

18 Rational Choice Approach Some 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?

19 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 Structural Approach in Comparative Politics

The Structural Approach Structures: The Shaper of Our Lives Structural approaches are based on the idea that human actions are partly and even largely determined by underlying, sometimes invisible forces, over which individuals have little or no control An analogy: Consider the structure of DNA and its affect on our individual lives

22 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

23 The Structural Approach Key Assumption in Structural Approach The Centrality of Relationships The Centrality of Relationships  Structuralists assume that central to any structure are relationships, which themselves exist within a broader framework of action  Examples: Consider the relationship between women and men in a patriarchal structure, the relationship of workers to capitalists (or the rich and poor) in a capitalist structure, the relationship of slaves to masters in a structure of slavery, the relationship of peasant to lord in a feudal structure, and so on

24 The Structural Approach Key Assumptions in (Historical) Structural Approach Structures are enduring, but not necessarily permanent Structures are enduring, but not necessarily permanent Structures contain their own logic and dynamic Structures contain their own logic and dynamic Structures create particular relationships Structures create particular relationships The fate of individuals, groups, and societies are largely determined by their position within a structure The fate of individuals, groups, and societies are largely determined by their position within a structure

25 The Structural Approach Structures as Deeply Embedded Games Consider the game of chess … Consider the game of chess …

26 The Structural Approach Some Key Questions to Ask in a Structural Analysis What is the overarching structure and what are the key relationships within that structure? What is the overarching structure and what are the key relationships within that structure? How does the structure “work” or operate? What is the internal logic and basic dynamic of the structure? How does the structure “work” or operate? What is the internal logic and basic dynamic of the structure? What are the (structural) rules of the games, who are the key players and what are their roles within the structure? What are the (structural) rules of the games, who are the key players and what are their roles within the structure?

_______________________ A Primer on the Structural Approach in Comparative Politics

28 Cultural Approach A Caveat, A Warning! Using culture to explain social, political or economic phenomena may seem easy and intuitive, but it’s not Using culture to explain social, political or economic phenomena may seem easy and intuitive, but it’s not “Cultural arguments” are often very bad arguments “Cultural arguments” are often very bad arguments

29 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.

30 Cultural Approach Erroneous Assumptions in Bad Cultural Arguments Typically, bad cultural arguments assume that culture is essentially fixed, monolithic, and one- directional FFixed: Cultures don’t ever change, ever MMonolithic: Within a culture, there is but a single, unchallenged and unquestioned “voice” OOne-directional: Culture is either an obstacle to change, or it’s not; it is either progressive or regressive, but not both

31 Cultural Approach The 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.

32 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

33 Cultural Approach What 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

34 Cultural Approach What is culture? A Key Point: As a “worldview,” as a set of cognitive beliefs and values, as a “shared identity,” culture is inherently and unavoidably subjective, or more accurately, intersubjective A Key Point: As a “worldview,” as a set of cognitive beliefs and values, as a “shared identity,” culture is inherently and unavoidably subjective, or more accurately, intersubjective  The subjective nature of culture means, in part, that culture is intangible; it exists only “inside our (collective) heads”  The intersubjective nature of culture means that it is subject to continual “negotiation” and (re)interpretation, since it must be reproduced over and over again* * This tells us, in large part, why culture is never fixed or monolithic

35 Cultural Approach A Key Assumption in Cultural Approach Culturalists believe culture has power Culturalists believe culture has power  Culture has power at both the individual and collective levels  “Culture” can compel individuals and whole peoples to act and behave in certain ways, to make profound sacrifices and even give up their very lives for the sake of a larger good

36 Cultural Approach The 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?

37 Cultural Approach Culture as a political resource or asset The power of culture gives it huge potential as a political resource or asset The power of culture gives it huge potential as a political resource or asset  Significantly, the power of an ostensibly single culture can be harnessed or co-opted by opportunistic leaders and others to achieve self-serving goals: consider, Bosnia, Rwanda, and al Qaida …

38 Cultural Approach Culture as a political resource or 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.

39 Cultural Approach Culture as a political resource or asset 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 Union, and in the US with the Civil Rights Movement

40 Cultural Approach Intersecting Forces As variable, “culture” should never be treated as separate from other variables As variable, “culture” should never be treated as separate from other variables Instead, think of culture as intersecting with other social, political, economic and historical forces Cultural forces Economic forces Political forces Institutional factors Transnational factors “ O u t c o m e ” Historical forces

41 Cultural Approach In sum … In sum …  culture is complex  It is malleable  Its effects are sometimes obvious, but frequently subtle and even hidden and contradictory  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 direction  Culture does not act alone to produce outcomes

42 Cultural Approach Culture as an Independent Variable Many Many social scientists dismiss culture because its causal power is difficult, even impossible, to evaluate  Some  Some argue that culture is simply a reflection of more basic forces argue that culture, at most, affects the “framework of action” and is, therefore, only indirectly important (e.g., a rational choice analyst may argue that culture affects the strategic environment, but is not a fundamental element of behavior) argue that culture is simply irrelevant because it cannot be quantified or measured--in part because culture is inherently subjective

43 Cultural Approach Culture as an Independent Variable The debate about culture’s causal powers cannot be resolved easily; however, one way to think about culture is to see it as both cause and effect The debate about culture’s causal powers cannot be resolved easily; however, one way to think about culture is to see it as both cause and effect  In this view, culture is understood as a product of underlying social, economic or political forces, but once established, certain cultural practices and beliefs tend to perpetuate themselves from generation to generation  Culture, in short, becomes “independent” over time: it takes on a “life of its own” and begins to operate as an autonomous or semi- autonomous force

44 Cultural Approach Culture as an Independent Variable An example … An example …  In the Terminator, a computer network based on artificial intelligence is produced by scientists (i.e., it is the product of outside forces). Once created, however, it becomes sentient: it not only “thinks,” but acts to defend itself. It takes on a life of its own  Although the analogy is not perfect, this is a useful way of understanding how a culture, once created by “outside forces,” can also take on a life of its own

45 Cultural Approach Culture as an Independent Variable Key Point Key Point  Once culture “takes on a life of its own,” it can be analyzed as an independent variable  Remember, though, that culture is not static, nor is it tangible. Thus, as an independent variable, it must be treated with extreme care

46 Cultural Approach Concluding Points: Doing “Good” Cultural Analysis Using culture in an analysis is not easy; indeed, it can be quite confusing Using culture in an analysis is not easy; indeed, it can be quite confusing The key is to avoid treating culture as an unambiguous set of unchanging values, norms and beliefs that define and unproblematically shape, and even determine, the social, political, and economic fates of individuals, societies and countries The key is to avoid treating culture as an unambiguous set of unchanging values, norms and beliefs that define and unproblematically shape, and even determine, the social, political, and economic fates of individuals, societies and countries Instead recognize that culture is contested, profoundly political, and inherently fluid Instead recognize that culture is contested, profoundly political, and inherently fluid