Lecture Slides to Accompany ESSENTIALS OF COMPARATIVE POLITICS

Lecture Slides to Accompany: ESSENTIALS OF COMPARATIVE POLITICS FOURTH EDITION PATRICK H. O’NEIL Chapter 2 States Copyright © 2013 W. W. Norton, Inc.

Chapter 2: States 1. The Mexican Mafia Restraint and the regulation of violence 2. The States, regimes, governments 3. Origins Competition, Westphalia, mutual recognition 4. Consent and Legitimacy Traditional, charismatic, rational-legal legitimacy 5. Centralization and Decentralization Federal states, centralized state, asymmetric federalism 6. Autonomy and Capacity Autonomous, pluralistic, high and low capacity 7. Summary Copyright © 2013 W. W. Norton, Inc.

1. The Mexican Mafia § What is a state? § What is an institution? § The Mexican Mafia: A prison gang in Southern California that controls much of the drug trade in Los Angeles Copyright © 2013 W. W. Norton, Inc.

1. The Mexican Mafia § Two puzzles about drug gangs in Los Angeles: § How does the Mexican Mafia, which exists mainly in prison, exert control? § Why has the drug trade in L. A. flourished despite being fragmented into different gangs? Copyright © 2013 W. W. Norton, Inc.

1. The Mexican Mafia § The Mexican Mafia Prison gang § Founded in 1956 § Currently about 150 -300 official members and about 1, 000 associates § Most in prison, some on the street § Code of conduct, each member has 1 vote § "Blood in, blood out" Copyright © 2013 W. W. Norton, Inc.

1. The Mexican Mafia § Puzzle #1: Why so much influence? § Over 21, 000 gang members in about 400 gangs in Los Angeles - called Sureños - pay "taxes" to the Mafia. § People who may end up in prison someday (or who have friends who might) pay taxes to the Mafia and follow its rulings. § Gangs are more likely to pay taxes than individuals. § Taxes amount to 10 -30 percent of gang revenues. § Tax collectors get a fixed salary from the Mafia. Copyright © 2013 W. W. Norton, Inc.

1. The Mexican Mafia § Puzzle #2: Why are drug gangs so effective? § Mexican Mafia provides three services: § Protection: § In prison and on the street from other criminals (tattoo ”M” or ” 13”) § Adjudicate disputes: § Formal conferences § 15 percent drop in drive-bys after 1992 § Internal regulation: § Code of conduct § Replacement of leaders who are too violent Copyright © 2013 W. W. Norton, Inc.

1. The Mexican Mafia § Some clicker questions: 1. You are a leader in the Mexican Mafia. You have effective control over hundreds of Sureños -- street-level drug gangs. You can choose the level of "taxes" to collect from them. How much of their revenues do you demand? A. 100% -- take it all! B. 75% C. 25% D. 0% -- rely on voluntary contributions from Sureños. Copyright © 2013 W. W. Norton, Inc.

1. The Mexican Mafia 2. You are a leader in the Mexican Mafia. You have effective control over hundreds of Sureños -- street-level drug gangs -- who turn over 25 percent of their revenues to you. Suppose it would cost you $150 to buy better weapons to protect one of your Sureños. That would prevent other (non-Sureño) gangs from stealing $1, 000 from them. Would you do it? A. Yes B. No Copyright © 2013 W. W. Norton, Inc.

1. The Mexican Mafia 3. You are a leader in the Mexican Mafia. You have effective control over hundreds of Sureños -- street-level drug gangs -- who turn over 25% of their revenues to you. Suppose it would cost you $15, 000 to send one Sureño member to business school. That would make him a better drug dealer, raising his total lifetime revenue by $100, 000. Would you do it? A. Yes B. No Copyright © 2013 W. W. Norton, Inc.

2. The State § Some terms… § Country: State, government, regime, and the people who live within that political system § Nation: A group of people bound together by a common set of political aspirations (We'll cover nationalism later in the semester. ) Copyright © 2013 W. W. Norton, Inc.

2. The State § Institution: an organization or activity that is selfperpetuating and valued for its own sake § Institutions: § Persist § Transcend individuals § Have intrinsic value Copyright © 2013 W. W. Norton, Inc.

2. The State § Examples of institutions: § Marriage § Religious systems § Languages § Countries (in the geographic sense, as well as in the political) Copyright © 2013 W. W. Norton, Inc.

2. The State § Some more institutions: § State: institutionalized authority in a country § Regime: rules about authority § Government: people inhabiting roles, exercising authority in a regime Copyright © 2013 W. W. Norton, Inc.

2. The State Copyright © 2013 W. W. Norton, Inc.

2. The State § Some more institutions: § State: institutionalized authority in a country § Regime: rules about authority § Government: people inhabiting roles in a regime Copyright © 2013 W. W. Norton, Inc.

2. The State § State: institutionalized authority in a country § Characteristics of states: § Authority - citizens generally accept that states and their leaders have the right to issue rules. § Sovereignty - states can issue rules without much interference from competitors, external or internal. § By definition, states have: § A monopoly on force. § Recognized rights that other organizations don't. Copyright © 2013 W. W. Norton, Inc.

2. The State § Clicker question: 1. How different are states from criminal gangs? Is the United States government really that different from the Mexican Mafia? A. They are pretty much alike. B. They are different because the United States has more effective control over a larger territory. C. They are very different because it is proper and correct that the United States exists, but it is improper and wrong the Mexican Mafia has any power. Copyright © 2013 W. W. Norton, Inc.

3. Origins § Why did people create rulers? § Two classical ideas: 1. Consensus § Thomas Hobbes (1588 -1679) § Life without rulers is "solitary, nasty, brutish, and short, " so people choose to create rulers. Copyright © 2013 W. W. Norton, Inc.

3. Origins 2. Coercion § Jean-Jacques Rousseau (1712 -1778) § Life without rulers is good § People were "noble savages" before kings robbed them of liberty. Copyright © 2013 W. W. Norton, Inc.

3. Origins § Clicker question: What is the nature of humanity? A. People are inherently good. If left to themselves, unregulated, they will create peaceful communities. In contrast, governments are inherently destructive. B. People are inherently bad. If left to themselves, unregulated, they will destroy everything. In contrast, governments are inherently necessary to keep the peace. Copyright © 2013 W. W. Norton, Inc.

3. Origins § Why did people create rulers? § Two classical ideas; both are probably wrong. § In fact, humans are inherently social and political; people and politics evolved together. § The real question is: why states? Copyright © 2013 W. W. Norton, Inc.

3. Origins § Middle ages in Europe § Authority is based on relationships between people, not territory. § Multiple, overlapping lines of authority exist. § Religious wars, Catholic vs. Protestant, lead to 1648 Treaty of Westphalia. Copyright © 2013 W. W. Norton, Inc.

3. Origins § 1648 Treaty of Westphalia § Ends a series of wars: § Kings recognize each other. § Authority is bound by territory. § Key consequences: § Kings get all revenues from their territory. § Gives kings incentives to regulate well. Copyright © 2013 W. W. Norton, Inc.

3. Origins § But why states? One theory: § "War made the state and the state made war. ” - Charles Tilly § States compete with each other through war. § In the year 1500, there were over 1, 000 independent political units in Europe; now there about 30. Copyright © 2013 W. W. Norton, Inc.

3. Origins Why did the Mexican Mafia grow successful? Environment (drug trade, dealers compete) Advantage to group that can control violence Most effective gang consolidates control. Copyright © 2013 W. W. Norton, Inc.

Copyright © 2013 W. W. Norton, Inc.

Thousands of tiny principalities with no effective central government. Copyright © 2013 W. W. Norton, Inc.

3. Origins § "War made the state. ” § Technological developments give an advantage to groups that can mobilize resources on a large scale. § Key developments are military: § Gunpowder (cannons wreck castles) § Longbows (peasants wreck cavalry) § Logistics (large armies wreck small domains) Copyright © 2013 W. W. Norton, Inc.

3. Origins § Once established, states made more states. § Example: Australia and New Zealand, early 1800 s § Australian Aborigines: § Decentralized bands, no single rulers § British try negotiations but end with genocide. § New Zealand Maoris: § Centralized tribes with strong chiefs § Warfare between Maoris and British leads to treaties and negotiation. Copyright © 2013 W. W. Norton, Inc.

4. Consent and Legitimacy § How do rulers stay in power? § Subjects consent when they obey rulers. § Rulers lose consent when they overreach. § Rulers know that there is a limit to what they can ask; if they push too hard, subjects will resist, or even rebel. Copyright © 2013 W. W. Norton, Inc.

4. Consent and Legitimacy There is a balance between rulers and subjects. Commands Copyright © 2013 W. W. Norton, Inc. Consent

4. Consent and Legitimacy § Clicker question: 1. How does the U. S. government stay in power? A. Fear. Citizens obey to avoid punishment. B. Bribery. Citizens obey to receive benefits. C. Values. Citizens obey because they think it's right. Copyright © 2013 W. W. Norton, Inc.

4. Consent and Legitimacy § How do rulers stay in power? § Subjects consent when they choose not to rebel. § Mechanisms: Rulers can rule through: § Fear: punish dissent § Rewards: bribe supporters § Legitimacy: shared idea that rulers have the right to rule Copyright © 2013 W. W. Norton, Inc.

4. Consent and Legitimacy § Legitimacy: the extent to which someone or something is recognized or accepted as right and proper § Why do people accept rulers as legitimate? Copyright © 2013 W. W. Norton, Inc.

4. Consent and Legitimacy § Max Weber (1864 -1920) § Three kinds of legitimacy: § Traditional § Charismatic § Rational-legal § According to Weber, most modern states rely on rational-legal legitimacy. Copyright © 2013 W. W. Norton, Inc.

4. Consent and Legitimacy § Traditional legitimacy: § Obey out of habit § Cultural value § Example: § hereditary monarch, Elizabeth II Copyright © 2013 W. W. Norton, Inc.

4. Consent and Legitimacy § Traditional legitimacy: § Obey out of habit § Cultural value § Example: § hereditary monarch, Mohammad Reza Pahlavi Copyright © 2013 W. W. Norton, Inc.

4. Consent and Legitimacy § Charismatic legitimacy: § Based on qualities of leader § Tied to a specific person § Example: § revolutionary heroes § Nelson Mandela Copyright © 2013 W. W. Norton, Inc.

4. Consent and Legitimacy § Rational-legal legitimacy: § Obey leaders who inhabit offices § Depersonalized § Example: § elected officials § Barack Obama Copyright © 2013 W. W. Norton, Inc.

4. Consent and Legitimacy § Legitimacy adds to consent. Commands Consent §Fear §Rewards §Legitimacy Copyright © 2013 W. W. Norton, Inc.

4. Consent and Legitimacy § If rulers have more legitimacy, they are more powerful. Commands Consent §Fear §Rewards §Legitimacy Copyright © 2013 W. W. Norton, Inc.

5. Centralization and Decentralization § Centralized states have one national government. Unitary state: a single center of authority. Commands Copyright © 2013 W. W. Norton, Inc. Consent

5. Centralization and Decentralization § A unitary state might have administrative regions, but these are still under the control of the center. Region 1 Copyright © 2013 W. W. Norton, Inc. Region 2

5. Centralization and Decentralization § A federal state is made of smaller states joined together. The smaller states have their own sources of consent, not just as extensions of the center. § Federalism: Some powers are held by regional institutions, and cannot easily be taken back. § Consequences of federalism: § Regions and Center compete for power. § Influence of Center is limited. § More variation in policy across regions. Copyright © 2013 W. W. Norton, Inc.

5. Centralization and Decentralization § Federalism: Regions and Center have independent relationships with subjects, or “dual sovereignty”. State 1 Copyright © 2013 W. W. Norton, Inc. State 2

5. Centralization and Decentralization § Examples of unitary states: § France § Japan § China § Examples of federal states: § United States of America § Germany § Russia § India § Canada § United Arab Emirates Copyright © 2013 W. W. Norton, Inc.

5. Centralization and Decentralization § Symmetric Federalism: all regions have the same powers. § Example: § United States: each state has the same status. § Asymmetric Federalism: different regions have different powers. § Examples: § Canada: Quebec has powers over taxation and health care that other provinces do not. § Russia: Oblasts (provinces) have less autonomy; Republics (intended for ethnic minorities) have more. Copyright © 2013 W. W. Norton, Inc.

6. Autonomy and Capacity § Autonomy § Can the state act independently of society? § Two extreme cases: § Autonomous state: § The state is completely independent. § Rulers are free to pursue their internal goals. § Pluralistic state: § The state is a tool seized by social groups. § Policies depend on which group is winning. Copyright © 2013 W. W. Norton, Inc.

6. Autonomy and Capacity § Once a decision is made, can the state implement it? § Can the state command the resources of the country to meet its goals? Copyright © 2013 W. W. Norton, Inc.

6. . Autonomy and Capacity § High capacity, high autonomy § States, unchecked, can pursue any goals they want. Example: China Copyright © 2013 W. W. Norton, Inc.

6. Autonomy and Capacity § High capacity, low autonomy § States could accomplish much but are often stymied by internal opposition. Examples: modern democracies like Britain and the United States. Copyright © 2013 W. W. Norton, Inc.

6. Autonomy and Capacity § Low capacity, high autonomy § States that are unresponsive, and lack the ability to pursue their own goals. Example: 1990 s Russia. Copyright © 2013 W. W. Norton, Inc.

6. Autonomy and Capacity § Low capacity, low autonomy § States are constrained by society, but are unable to accomplish society's goals. Example: South Africa. Copyright © 2013 W. W. Norton, Inc.

6. Autonomy and Capacity High Capacity Low Capacity High Autonomy China Russia (1990 s) Low Autonomy United States South Africa Copyright © 2013 W. W. Norton, Inc.

6. Autonomy and Capacity § Clicker question: 1. How would you describe the Mexican Mafia? A. High autonomy, high capacity B. Low autonomy, high capacity C. High autonomy, low capacity D. Low autonomy, low capacity Copyright © 2013 W. W. Norton, Inc.

7. Summary 1. The Mexican Mafia: Restraint and the regulation of violence 2. The State: States, regimes, governments 3. Origins: Competition, Westphalia, mutual recognition 4. Consent and Legitimacy: Traditional, charismatic, rational-legal legitimacy 5. Centralization and Decentralization: Federal states, centralized state, asymmetric federalism 6. Autonomy and Capacity: Autonomous, pluralistic, high and low capacity Copyright © 2013 W. W. Norton, Inc.