Chapter 6: Governing Institutions In Democracies

Judiciary in Brazil

- Code law system w/moderate independence and legitimacy issues - Curbed executive/legislative power with a degree of judicial independence where the Supreme Federal Tribunal hears Constitutional cases and the Supreme Justice Tribunal hears non-Constitutional cases. - Rulings based on profesionalism, dating back to 1930s. - Public contempt for it - Impeachment in 1992 of Brazil - Processing high amounts of cases because if people lost case in legislative arena, they come to court to try and change it. - Court = veto point where actors can limit/reverse policy

Britain's Judicial System

- No single Constitution so precedence provides guidepost for legal decisions.

Highlights of Majoritarian

- Power is concentrated; fewer institutions to check executive powers - Single party executive - Executive dominance over legislature - Single legislative branch - Easily amended constitutions - Greater vertical accountability (people blame/hold institution responsible)

Presidentialism in Brazil

- System dates back to the 1988 Constitution - Has more extensive formal powers than US - Legislature has weak political parties - Decentralized federal system - Two round election - Bicameral legislature with Chamber of Deputies and Senate - 4 year presidential term w/another re-election year - "Coalition presidentialism" to get bills passed considering only some of the president's party holds seats in the Senate.

Britain's two major parties

1. Labor 2. Conservative - Thus coalition governments are very rare because one or the other wins the majority. However, the coalition government elected in 2010 and was led by PM, Dave Cameron.

Purpose of Federal Systems

1. Limit the power of the majority by decentralizing and dividing government power. - Bicameral legislature (house of rep/senate) - Judicial review - Several veto players 2. To protect the interests of religious or ethnic minorities. 3. Dominion over education, transportation, social services, and criminal law.

Bicameral Legislature in Britain

1. Lower House: the House of Commons has virtually all legislative power. Created committees that hold hearing on proposed legislation. 2. Upper House: the older, upper house, House of Lords consists of members known as peers. These are appointees of the PM and aristocrats who have inherited their positions. Had power to be final court of appeals, but this power was removed.

Africa's political culture

1. Primordial public which includes ethnic, religious, and communal identity where people feel moral responsibility 2. Amoral civic public involving the state to which people feel no obligations.

Unusual Presidential Powers in Brazil

1. Provisional decrees: authority where the President issues a law for 30 days that only remains permanent after 30 days if approved by National Congress. 2. Line Item veto: allows the president to eliminate individual measures in a bill sent from the National Congress without vetoing entire law. 3. Monopoly: over initiation of all legislation involving budget.

Role of Cabinet in Britain:

20 cabinet ministers who run the individual departments of government and whom the PM is supposed to consult with before making decision. By tradition, the PM's power is checked by the cabinet and the practice of collective responsibility. Many argue that the role of cabinet has declined and that the PM's look more presidential now.

Asymmetrical Federal System

A federal system in an ethnically divided society in which different subnational governments (states/provinces) have distinct relationships with and rights in relation to the national government. Relationship negotiated individually between leaders of group and central government, like at the end of the Civil War.

Symmetrical Federal System

A federal system in which all subnational governments (states or provinces) have the same relationship with and rights in relation to the national government. All states have the same relationship with and rights in relation to the national government.

Bicameral Legislature

A legislature that has two houses. In the United states, we have symmetrical bicameralism considering there is equal power share in both chambers of the House and the Senate.

Principal Agent Problem

A problem in which a principal hires an agent to perform a task but the agent's self-interest does not necessarily align with the principal's, so the agent may not carry out the task as assigned. This is a problem with bureaucracy because how can political leadership hold the bureaucracy accountable, considering their professionalization keeps them at least partly insulated. Efforts to influence bureaucracy is not very effective because principals never know what agents within bureaucracy are doing, especially as technocratic knowledge becomes more important.

Parliamentarism

A term denoting a parliamentary system of democracy in which the executive and legislative branches are fused via parliament's election of the chief executive.

Presidentialism

A term denoting a presidential system of democracy in which the executive and legislature are elected independently and have separate and independent powers. President must be independently elected in a process involving the entire nation, which gives this institutional system an element of consensual democracy where veto players are built into the system.

Semipresidentialism

A term denoting semi-presidential system of democracy in which power is divided between a directly elected president and a prime minister elected by parliament. Dual executives with allocation of power. President appoints MP's who must give majority support for President's appointment of the Prime Minister. Prime Minister appoints an executive cabinet. Originated in France in 1958 where the same party would win presidency and legislative majority, but in the 1980s, for the first time, the president was elected from one party and the majority of legislature from another.

Majoritarian Democracy

A type of democratic system that concentrates power more tightly in a single-party executive with executive dominance over the legislature, a single legislative branch, and constitutions that can be easily amended. One party and bare majority cabinets and majority party control of cabinet where there is one political party with the most votes and controls the executive and that party also controls the cabinet where power is not shared.

Political Accountability

Ability of the citizenry to directly or indirectly control political leaders and institutions.

Adversarial vs. Inquistorial

Adversarial- Judge refers to earlier cases' findings Inquisitorial- Judge relies on facts rather than cases' findings.

Collective Responsibility

All cabinet members must publicly support all government decisions and one who cannot is expected to resign.

Veto Player

An individual or collective actor whose agreement is essential for any policy change.

Legislative Oversight

Another method to hold bureaucracy horizontally accountable; where members of legislature usually in committees, oversee the bureaucracy by interviewing key leaders, examining budgets, and assessing how successfully a particular agency has carried out its mandate.

Institutionalization

Asking the question to what degree are a state's government processes and procedures established, predictable, and routinized. The actual power of particular institutions often changes ver time.

Corruption in wealthy, established democracies

Based on influence markets in which corporations use access to politicians via generous contributions to campaigns to gain preferential treatment.

Judiciary

Branch of government that interprets the law and applies it to individual cases. Essential for the state to punish crime and enforce property and contract rights, but it need not have a political role independent of the executive.

Legislature

Branch of government that makes law in a democracy. Acts with autonomy from the executive under idea of horizontal accountability. Legislators often delegate more technical decisions implied in particular laws to bureaucrats.

Brits vs. Yankees

Brits: Parliament has the legal right to pass any legislation it pleases, giving the majority party tremendous powers. Yanks: Rely on Constitution that divides and limits power.

First modern federal system

Dutch Republic of United Provinces, AKA, Netherlands. Best known early example is the US. Australia and Switzerland are other examples.

2011 Earthquake/Tsunami in Japan

Bureaucracy was inept in 2011 with tsunami/earthquake crisis which killed 20,000 people and displaced thousands. Part of the problem was that various ministry's inability to coordinate policy, as a result of government having eliminated regular meetings among senior bureaucrats from different ministries. PM resigned. LDP came back in power. Power of the bureaucracy today remains in dispute.

Modern federations

Came about when states were trying to remain together often after colonial rule, rather than entities coming together to form a new state.

Unitary System

Central government grants sovereignty to the power of he states where all legislative and executive power is vested in the central government.

Unitary Systems

Central government has sole constitutional sovereignty and power in contrast to a federal system. IE UK and Ireland where central government collects more than 3/4 of total government revenue. Responsible for 60$ of expenditures.

Federalism: India

Centralized Asymetric

Typical Parlimentary System: Citizens

Citizens elect: - Local councils - Provincial parliament - Members of parliament - A President or unelected monarch, the head of state (power to nominate a parliamentary leader as prime minister).

Citizen Power in a Presidential System

Citizens elect: - Local government official - Provincial government officials in federal systems - Members of legislature - President

Most Consensus

Coalition government in Israel or divided government in US

Separation of Powers

Constitutionally explicit division of power among the major branches of government with legislative and executive.

Consensus Democracy

Contrast to majoritarian democracy. This is a democratic system w/multiparty executives in a coalition government, executive-legislative balance, bicameral legislatures, and rigid constitutions that are not easily amended.

Least institutionalized poor states with neo-patrimonial rule

Corruption takes form of the official mogul or the strongman who uses the resources of the state as he pleases to favor his political allies and punish his enemies.

Rent Seeking Model of Corruption

Countries with a more highly regulated economy and greater inequality are countries likely to be more corrupt where bureaucrats demand bribes frequently. Corruption is greater where societies lack shared values of the importance of the public sphere.

Judicial Accountability

Court system may have the power to rule legislative/executive actions as unconstitutional, which shows an example of horizontal accountability through state institution on state institution.

Federalism: Brazil

Decentralized Symmetric like US; wanted power at local level.

Parliamentary Rule in India

Different than British model because of the number of multiple parties involved, need for coalition government's despite the fact that one party dominated India for the first 40 years after the nation's independence. The Indian National Congress (1947-1989) lost its position after 1989. Like Britain, India's MP's almost always vote with their party. Need for compromise on account of PM lead to instability.

Constitutional Limits

Even when the same party controls both houses of Congress and the presidency, the party's power is limited by the ability of the Supreme Court to declare laws unconstitutional and by the various powers reserved specifically for state government.

Parliamentary Rule in Britain

Executive power is greater in Britain than India, however veto players are weak in Britain with stronger and fewer parties. Strong vertical accountability (people blame government and hold government responsible). Vertical accountability weakens with coalition governments.

Democratic Federalism

Federations that arise via democracy and implicit bargaining between regional elites and central government.

Japan's Problem w/bureaucracy

Globalization, derregulation which reduced economic control of economy. Internally divided.

Coalition Democracy

Government in a parliamentary system where at least two parties negotiate an agreement to rule together. Consensus democracies have multiparty executives called a coalition government.

Goal of MP:

Member of parliament wants to become a cabinet minister because the head of the party, or the PM, controls this position. Thus, MP's demonstrate loyalty to their party leadership. The MP's are heads of the majority party, who get legislation passed with ease and few veto players involved.

Prime Minister

Head of government in parliamentary and semi presidential systems.

Member of Parliament

Head of government who makes decisions and is extremely powerful especially when a PM is the leader of the party that holds the majority seats in parliament. PM is the executive but also member of legislature. AKA Party! It is the elected member of the legislature in a parliamentary system by the citizens. Citizens vote for parliament, they know who the PM candidate is for each party, so their vote is for their preferred member of parliament. Generally the member of parliament serves at the pleasure of parliament but should the majority lose confidence in the PM, members can cast their vote of no confidence.

President

Head of state and head of government who appoints an executive cabinet. The President and legislature propose, debate, and pass laws. Both branches must approve all laws. In most presidential systems, at least one branch of the legislature must approve cabinet members.

Authoritarian Federalism

Help rule a vast, heterogenous territory, imposed federalism seldom proved stability that negotiated federalism does. Federalism allows semi-authoritarian rule to continue at state level because political bosses in particular states use clientelism to maintain their rule unchallenged.

Cabinet in Parlimentary System

Holds a check on the Prime Minister, especially in a coalition. Appointed by Prime Minister. Cabinet ministers are members of Parliament. The cabinet is often the site of the most important negotiations over policy. Whether all cabinet members are from the same party or from different parties in a coalition, once they have agreed to put forth a piece of legislation, it should pass legislature easily.

Federal Power

How much can the government collect on taxes and how much can the government spend. Power of taxation gives subnational units greater autonomy than they would have if they were wholly dependent on central government for revenue.

Queen of Britain's Role

Small/ceremonial and leaves important function to the head of government.

Vote of no confidence

In parliamentary systems, a vote by parliament to remove a government (the prime minister and cabinet) from power.

American Federalism

In the US, separate states formed into a loose confederation. Rational choice explanation--> Emerged from a bargain among self-interested leaders of a separate state who were motivated primarily by military concerns and protecting themselves from external threats. This restricts majority rule, however. Senate is the upper house that approves legislation. Smaller states are overrepresented in the Senate. Every state has 2 seats to the Senate. People in the least populous state elected 40% of the senators. Representation gap widens as people move away from rural conservative states to larger, liberal cities. Thus, representation gap has partisan implications favoring conservatives.

Reduce corruption

Increase horizontal accountability, have strong political competition, have strong parties. However, there is a line of thinking where stronger parties increase corruption because they control the legislative process and need higher levels of cash for campaigns.

Semipresidentialism in Russia

Initially strong; there is minimal accountability. There is strong policymaking. Under Putin, there is even further expansion of presidential powers. The legislative power is very weak where cabinet ministers do not need to be members of legislature. No veto players, power with executive. Putin's use of appointments, constitutional changes, control of the economy, and restrictions on political freedoms gave him so much unilateral control that most analysts argue Russia is no longer a true democracy, but a semi-authoritarian regime. Putin's exercise of electoral system to create a dominant ruling party with no effective opposition nearly eliminated horizontal/vertical accountability.

Knesset

Israel's parliament: Majority vote is required to elect a prime minister/form government. Electoral system encourages rise of smaller parties. A dozen small parties win seats in government and most government are a coalition of one major party. It took a block 6 weeks to put together a working coalition government that included 4 parties in cabinet. Israel's system demonstrates the weaknesses of this system with instability. If no party can win a majority, a coalition is essential. Small parties with few seat can become crucial veto players.

Judicialization

Judicialization of politics is when courts/judges replace elected officials as key decision makers. This is the most significant trend in late 20th/early 21st century government as the judiciary has chosen to act as a veto player but also because other political actors increasingly use the judicial system to conduct their policy battles, making the judicial venue a veto point for politicians and judiciary.

Federalism trends

Larger countries, but for China, adopt federal systems to provide some level of government closer to the populace than the national government. (IE Belgium serving as buffer against French expansion)

Common Law

Legal system originating in Britain in which judges base decisions not only on their understanding of the written law but also on their understanding of past court cases; in contrast to code law. Adopted in the United States. In common law, judges use the principle of stare decisis. Most common law systems have concrete judicial review where those negatively affected by the law initiate a case. However, common law countries generally have decentralized judicial review, same courts that handle everyday criminal cases can also rule on constitutional issues.

Code Law

Legal system originating in ancient Roman Law and modified by Napoleon Bonaparte in France in which judges may only follow the law as written and must ignore past decisions; in contrast to common law. Code law countries usually have centralized judicial review as a special court handles constitutional questions. With code law there is abstract judicial review as public officials or major political groups call on courts to make constitutional changes.

Stare Decisis

Let the decision stand; in common law, the practice of accepting the precedent of previous similar cases.

Judicial Review

Many argue judicial review exists in the US to protect minority rights that might be trampled by majority opinion.

New Public Management

Movement that arose in United States and UK in the 1980s in response to self-interested bureaucracy. This was associated with Margaret Thatcher and Ronald Reagan where it is the theory of the reform of bureaucracies that argues for the privatizing of many government services, creating competition among agencies to stimulate a market, focusing on customer satisfaction and flattening administrative hierarchies. Reduced the size of the government. Wanted to combat corruption.

Parliament can refuse to support Prime Ministers:

Occasionally, Parliament does refuse to support the PM like Cameron when he asked for authorization to bomb the Syrian government in response to the use of chemical weapons in September 2013. PM's have stated that his party's MPs are free to vote their conscience rather than party position on a particularly important/divisive issue.

Corruption in middle income countries that just became democracies

Oligarchs and clans scramble for spoils in the system, ie Russia.

Executive relationship to modern state:

Only branch of government that is essential to the modern state and must exist in all modern states. Executive power and accompanying bureaucracy is essential to modern state. The bureaucracy is a large set of lesser officials whose function it is to implement the laws of state as directed by executive.

Majoritarian Systems

Ought to be more effective with the relationship between representation and effective policymaking because there is concentrated power with few checks/balances. They seem likely to produce LESS horizontal accountability (institution --> actors in institution).

Watchdog function in Parliament:

PM must attend Parliament for weekly Question time, a lively, televised debate among the major politicians of the day. Cabinet must publicly air concerns raised by MP's.

Presidentiality of Cabinet:

PM: 1. Margaret Thatcher- Conservative (1979-1990) 2. Tony Blair- Labourite (1997-2007) 3. 2010 election leads to further presidentialization - Centralized decision making in an inner circle of advisors and paid less attention to input from the cabinet as a whole. This practice reflected both their personalities as strong leaders and their popularity with the voting public.

Devolution

Partial decentralization of power from central government to subunits such as states or provinces, with subunits' power being dependent on central government and reversible. Britain is an example of asymmetrical devolution since each region has its own set of devolved responsibilities.

Corruption in middle income countries with newer democracies

Political cartels where political and business leaders gain control of government and use it to their own advantage and get financial benefits.

Political Appointees

Political leadership of the executive branch selects a certain number of political appointees to head bureaucracy. Officials who serve at the pleasure of the president/prime minister and are assigned the task of overseeing their respective segments of bureaucracy. This is one way to keep the bureaucracy in check/hold them accountable in a horizontal fashion.

Magna Carta

Precursor to the House of Lords and the modern jury where the Great Council of lords who swore allegiance to the king in return for assurance that the king would follow set legal processes when dealing with illegality by the lords. Lord's peers would decide whether the lord broke any custom/law.

Typical Parliamentary System: PM

President nominates PM--> The leader of the party or coalition that wins most seats in Parliament becomes Prime Minister or the head of government. Members of Parliament debate and pass laws proposed by the Cabinet. Prime minister appoints an executive Cabinet from among the members of Parliament.

Presidentialism in US

President's main powers: 1. Approving or vetoing legislation passed by Congress 2. Appointing cabinet secretaries and Supreme Court judges/other federal judges and political appointees in the bureaucracy. 3. Serving as the head of state and commander in chief of the armed forces 4. Entering into treaties and declaring war, again subject to Senate approval. Today, the president has become the central focus of national politics, unlike before as the executive party is growing stronger with fewer parties; strong horizontal accountability, but problems with gridlock. - Congress is most powerful legislature in world because of its autonomy from executive branch and has legislative powers.

Rent Seeking

Primary form of corruption in bureaucracy which is the gaining of an advantage in market without engaging in equally productive activity; usually involves using government regulations for one's own benefit. For example, when businesses bribe officials to grant them exclusive rights to import certain items, thereby reaping huge profits for little effort. This model of corruption is based on a rational choice theory why corruption is greater in some countries.

Coalition Government w/Legislation

Process becomes more complex because no single party has a majority in the parliament. We see this with Israel w/ the Knesset, where multiple parties compete in an election and coalitions must band together to form a government.

Blurred Lines: Unitary vs. Federal

Recent trends show that the most decentralized federal systems have become somewhat more centralized as these federal government have used their revenue power and constitutional authority to override state prerogatives in such areas as the drinking ages where since the 1980s, US federal government has enforced the mandatory drinking age of 21 by denying transportation funding for states that refuse to obey.

Vertical Accountability

Refers to the ability of individuals and groups in society to individuals and groups in a society to hold state institutions accountable. Individuals hold legislature/executive accountable.

Horizontal Accountability

Refers to the ability of the state's institutions to hold one another accountable and represents the indirect control on the part of the citizens. Institutions act on behalf of the people to limit the power of and control other institutions. Just like the legislative branch limits what the executive can do and judiciary holds executive/legislature accountable.

Cohabitation

Sharing of power between president and prime minister from different parties in a semi presidential system where the president myst compromise with legislature by appointing a PM from the majority party in the legislature rather than from his own party. A compromise had to be worked out regarding the specific power of the president. President = foreign policy. PM = domestic policy.

Unpopularity of Margaret Thatcher

She refused to changer her policies or call a new election so conservative MP's voted to replace her with John Major who became the PM. New executive appointed w/out general election.

Semi presidential Trends

Spread rapidly in the 1990s with the wave of democratization in Africa and Eastern Europe. Between 1990-1992, the number of semi-presidential systems worldwide increased from 10 to 39 and then to 52 in 2010. Most semi presidential countries are free (22), some are partly free (17), and some are not free (13).

Judicial Independence

Stresses horizontal accountability. The belief and ability of judges to decide cases as they think appropriate, regardless of what other people, especially politically powerful officials or institutions desire.

Federal Systems

The central government shares constitutional sovereignty and power with subunits, such as states, provinces, or regions. Political systems in which a state's power is legally and constitutionally divided among more than one level of government; in contrast to a unitarian system. Unusual institution choices that accounts for over 40% of population as 26 countries maintain a federal system. They ultimately derive power from central government and exist in heterogenous societies.

Executive

The chief political power in a state and implements all laws. The position is filled through elections in a democracy and is typically embodied in the single most powerful office, either can be referred to as a president or prime minister in most countries. Has strengthened since the past! Now, there is an upward trends in size and power of the bureaucracy that the executive branch leads.

Head of Government

The key executive power in a state; usually president or parliament. Implements the nation's laws and policies.

Head of State

The official, symbolic representative of a country, authorized to speak on its behalf and represent it, particularly in world affairs; usually presidents or monarchs. Parliamentary maintains a "non-executive head of state" who embodies the country ceremonially and often called the President.

Iron Triangle

Three sided cooperative interaction among bureaucrats, legislators, and business leaders in a particular sector that serves the interest of all involved but keeps others out of this political making process. Setting policy for mutual interest where businesses give generous contributions to top politicians, top politicians secure favorable treatment from bureaucrats, and bureaucrats grant favors. Prevalent in Japan ca. 1950-1980. Then scandal broke out in 1980s/1990s. Reform w/Japan in 2009 when DPJ cut many bureaucrats from staff and broke with past traditions.

Most Majoritarian

UK's Westminister

Federalism: Russia

Very Centralized Asymetric

Statistics: Since the 1970s, MP's have:

Voted against their party more frequently, even though this dissent constitutes less that 10% of all parliamentary votes. Voting against party leadership is a way for MP's to express their disagreement with the leaders, often to garner greater support from their voters back home, but not a means of preventing government legislation from passing.

Confederal State

Where sovereignty is vested in lower levels of government where the lower levels have more authority than the central government so states grant sovereignty to the central government.