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

POLS 373 Foundations of Comparative Politics POLS 373 Foundations of Comparative Politics

Research Traditions: Rationality, Structure, and Culture

Research Traditions: Rationality, Structure, and CultureJanuary 30, 2008

Timothy C. LimCalifornia State University, Los [email protected]

mailto:[email protected]



____________________________________________A Primer on the Rational

Choice Approach in Comparative Politics

____________________________________________A Primer on the Rational

Choice Approach in Comparative Politics

micro-levelmicro-level

3

A Basic QuestionWhat 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

H YORTThe Three Research

Traditions : RationalityE

Example

4

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 Also known as Utility Utility MaximizationMaximization

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

Utility Utility MaximizationMaximization

In the real-world, In the real-world, utility utility

maximization can maximization can complicated the complicated the concept of sconcept of self-elf-

interestinterestExamples: 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

Complicating Factors of RationalityRational action is complicated by a number of other factors, including:

1. Strategic Calculation

2. Strategic Interaction



The scale illustrates the concept of strategic calculation, which is

discussed in more detail on the following slide

The scale illustrates the concept of strategic calculation, which is

discussed in more detail on the following slide

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Complicating Factors of RationalityStrategic 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 aweighing of the costs andbenefits; most decisions, from the biggest to the smallest,involve this type of “strategiccalculation”



Hmm … should I go to class or go skate

boarding? I have a quiz, but skate boarding’s a

lot more fun

Hmm … should I go to class or go skate

boarding? I have a quiz, but skate boarding’s a

lot more fun

8

Complicating Factors of RationalityStrategic 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

Complicating Factors of RationalityWhat 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 To determine what is rational, therefore, each player needs to “guess” how another player might player needs to “guess” how another player might actact

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

Summing Up Thus FarUtility 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”



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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.



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Are they all just crazy, evil, or obsessed?

Are they all just crazy, evil, or obsessed?

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?

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Key Assumptions of Rational ChoiceClose examination of foregoing questions will Close examination of foregoing questions will likely lead to the identification of an likely lead to the identification of an underlying rationalityunderlying rationality

To discover the underlying rationality, paying To discover the underlying rationality, paying attention to attention to utility maximization, strategic utility maximization, strategic calculationcalculation and and strategic interaction strategic interaction is is

criticalcritical

Almost assuredly, as each of these pictures suggest, Kim, Saddam, and Bush all have/had rational reasons and clear objectives for their decisions …



14

Key Assumptions of Rational ChoiceNo “Perfect Information”No “Perfect Information” Rational actors don’t have access to “perfect information”Rational actors don’t have access to “perfect information”

People, unlike People, unlike God, are not God, are not omniscient, omniscient, all-knowing all-knowing beingsbeings

This means thatThis means thatrationality isrationality isboundedbounded



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A Simple, but Critical LessonA Simple, but Critical LessonThe complexity of strategic interaction, imperfect The complexity of strategic interaction, imperfect information and other factors means that information and other factors means that notnot all all rational decisions are good decisionsrational decisions are good decisions

Consider the Iraq War: AConsider the Iraq War: Aclassic example of a classic example of a rational decision rational decision leading to a leading to a “sub-optimal” “sub-optimal” outcomeoutcome



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The Strategic EnvironmentThe Strategic Environment

• Rationality is also affected by the larger “strategic environment” in which Rationality is also affected by the larger “strategic environment” in which decisions are madedecisions are made

• We cannot make any We cannot make any choice we please: choice we please: Because of Because of environ-environ-mental constraintsmental constraints,,we are sometimes we are sometimes “pushed”to make “pushed”to make certain choices, or certain choices, or forced to chooseforced to choosefrom only a handful from only a handful of relatively of relatively unattractive optionsunattractive options



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The Strategic EnvironmentThe Strategic Environment

There are two major types of There are two major types of constraintsconstraints ScarcityScarcity (material constraints)(material constraints)

InstitutionalInstitutional constraintsconstraints

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



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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?



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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 A Primer on the Structural Approach in Structural Approach in Comparative PoliticsComparative Politics

____________________________________________________

A Primer on the A Primer on the Structural Approach in Structural Approach in Comparative PoliticsComparative Politics

macro-levelmacro-level

Structures: The Shaper of Our Structures: The Shaper of Our LivesLivesStructural approaches are based on the idea Structural approaches are based on the idea that human actions are partly and even largely that human actions are partly and even largely determined by underlying, sometimes invisible determined by underlying, sometimes invisible forces, over which individuals--acting alone forces, over which individuals--acting alone or in groups-- have little or no controlor in groups-- have little or no control

An analogy:An analogy: Consider the Consider the structure of DNA and its affect structure of DNA and its affect on our individual liveson our individual lives


Traditions : StructureE

22

The Impact of Structure: An ExampleFeudalism was a powerful social structure; it shaped, in profound ways, the lives of millions of people and of whole societies for centuries

To be born a peasant in feudal society meant you would die a peasant; your position in the social hierarchy was key



23

Key Assumption in Structural ApproachKey Assumption in Structural ApproachThe Centrality of RelationshipsThe Centrality of Relationships

Structuralists assume that central to any structure are relationships, Structuralists assume that central to any structure are relationships, which themselves exist within a which themselves exist within a broader framework of actionbroader framework of action

Examples:Examples: Consider the relationship Consider the relationship between between women and menwomen and men in a in a patriarchal structure, the patriarchal structure, the relationship relationship of workers to capitalistsof workers to capitalists (or the rich (or the rich and poor) in a capitalist structure, and poor) in a capitalist structure, the the relationship of slaves to mastersrelationship of slaves to masters in a structure of slavery, and so onin a structure of slavery, and so on



24

Key Assumptions in (Historical) Structural Key Assumptions in (Historical) Structural ApproachApproach

Structures are enduring, but not permanentStructures are enduring, but not permanent

Structures contain their own logic and dynamicStructures contain their own logic and dynamic

Structures create particular relationshipsStructures create particular relationships

The fate of individuals, groups, and The fate of individuals, groups, and societies are largely determined by societies are largely determined by their position within a structuretheir position within a structure



Feudalism was a powerful social structure, but it eventually collapsed after

more than 500 years

Feudalism was a powerful social structure, but it eventually collapsed after

more than 500 years

25

Structures as Deeply Embedded Structures as Deeply Embedded GamesGames

Another way of understanding the structural Another way of understanding the structural approachapproach



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Some Key Questions to Ask in a Structural Analysis

• What is the overarching structure and what are the What is the overarching structure and what are the key relationships within that structure?key relationships within that structure?

• How does the structure “work” or operate? What is the How does the structure “work” or operate? What is the internal logic and basic dynamic of the structure?internal logic and basic dynamic of the structure?

• What are the (structural) rules of the games, who are What are the (structural) rules of the games, who are the key players and what are their roles within the the key players and what are their roles within the structure?structure?



________________________________________A Primer on the A Primer on the

Cultural Approach in Cultural Approach in Comparative PoliticsComparative Politics

________________________________________A Primer on the A Primer on the

Cultural Approach in Cultural Approach in Comparative PoliticsComparative Politics

meso-levelmeso-level

28

A Caveat, A Warning!A Caveat, A Warning!Using culture to explain social, Using culture to explain social, political or economic phenomena political or economic phenomena may seem easy and intuitive, may seem easy and intuitive, but it’s notbut it’s not

““Cultural arguments” are Cultural arguments” are often very bad arguments,often very bad arguments,because the people whobecause the people whouse culture do so in ause culture do so in acrude, naïve, andcrude, naïve, andsloppy manner!sloppy manner!


Traditions : CultureE

29

Introduction: Some Basic PointsThe cultural perspective is a complement to, rather than a substitute for, other explanatory accounts of social, political or economic phenomena. We can also say that …

“ … the cultural perspective is aimed at providing researchers

with a frame of reference within which they can see how values, attitudes,

and practices [i.e., the general elements of

culture] have influenced … countries.”



30

Introduction: Some Basic PointsCulturalists (or those who use culture in their analysis) believe that culture can and does have an important, although not always obvious or measurable, effect on social, political and economic processes

Culture, in short, “matters”Saying culture matters, however, is not enough: We also need to determine how it matters, to what extent it matters, and in what context it matters--needless to say, none of this is easy to do



31

Introduction: Some Basic PointsCultural arguments are probably the most maligned (by social scientists) and the most misused approach, especially by pundits and other “arm-chair” analysts

But even seasoned comparativists can seriously misuse or misunderstand culture

On the surface, there’s an obvious reason for this, which is simply that the cultural perspective seems cut-and-dry, but really is much more complicated and nuanced than it appears



32

Introduction: A Question

How could we use culture to How could we use culture to explain the lack of democracy explain the lack of democracy in the (Arab) Middle East?in the (Arab) Middle East?



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A “Bad” Cultural Argument 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”

What’s wrong with this argument?What’s wrong with this argument?



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A “Bad” Cultural ArgumentThe problem with the foregoing argument can be summed up very simply: It assumes that culture is essentially fixed, monolithic, and one-directional

Fixed: Cultures don’t ever change

Monolithic: Within a culture, there is but a single, unchallenged and unquestioned “voice”

One-directional: Culture is either an obstacle to change, or it’s not; it is either progressive or regressive, but cannot be both

To this list, we can also add a fourth flaw: it is fatally

simplistic

To this list, we can also add a fourth flaw: it is fatally

simplistic



35

Culture: The First Basic LessonTo properly use culture in comparative analysis, we must begin with the assumption that culture is highly malleable, multivocal, and multidirectional (with regard to causation)

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

1.1.

2.2.

3.3.



36

Culture: The First Basic Lesson

Culture, in sum, is complex and

highly contingent

Culture, in sum, is complex and

highly contingentOkay. But what is

culture? How should culture be defined?



37

What is culture? A Basic DefinitionCulture is a shared, learned, symbolic system of values, beliefs and attitudes that shapes and influences perception and behavior -- an abstract “mental blueprint” or “mental code.” Culture is mutually constructed and inherently intersubjective. It is generally internalized

Shared by members of a society; no “culture of

one”

Shared by members of a society; no “culture of

one”

Learned: Culture is not transmitted genetically,

but must be passed down and learned

Learned: Culture is not transmitted genetically,

but must be passed down and learned

Culture is symbolic as opposed to tangible

Culture is symbolic as opposed to tangible

Mutually Constructed: Culture is not created through a one way process, but is a product

of social interaction

Mutually Constructed: Culture is not created through a one way process, but is a product

of social interaction

Intersubjective: Culture exists inside our

“collective heads”

Intersubjective: Culture exists inside our

“collective heads” Internalized: Culture is

habitual, taken for granted, perceived as

natural

Internalized: Culture is habitual, taken for granted, perceived as

natural



38

What is culture? Repeating Key PointsAs shared, learned, symbolic system of values, beliefs and attitudes culture is inherently and unavoidably subjective (as opposed to objective)

The subjective nature of culture means, to repeat, that culture has no concrete existence: culture is, to large extent, what we think it is (or want it to be)

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

Cultur

e is h

ere

Cultur

e is h

ere



39

The Significance of CultureRecognizing that culture is intangible and inherently subjective/intersubjective, however,

does not mean that culture is unimportant or insignificant in human affairs

This leads to a second basic lesson …

This leads to a second basic lesson …



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Culture: The Second Basic Lesson

Culture has power.The ideas, beliefs, values and identities of culture have power at both the individual and collective levels

They 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



41

Culture as a Political ResourceThe 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 the importance of culture in …BosniaBosnia

RwandaRwanda

“Islamicterrorism”“Islamicterrorism”



42

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.

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.



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On the other hand, culture On the other hand, culture can serve as a rallying cry, can serve as a rallying cry,

a force of broad based a force of broad based mobilization, for progressive mobilization, for progressive change. This was the case in change. This was the case in

the Philippines (the the Philippines (the “People Power” movement), in “People Power” movement), in

Poland, in the Poland, in the former Soviet former Soviet

Union, and in the US Union, and in the US with the Civil with the Civil

Rights Rights movement movement



44

Intersecting Forces

When attempting to incorporate culture into When attempting to incorporate culture into your analysis, it’s critical to remember that your analysis, it’s critical to remember that cultural forces can cultural forces can nevernever be understood be understood without examining them within specific without examining them within specific contextscontexts

Thus, it is more appropriate to see culture Thus, it is more appropriate to see culture as as intersectingintersecting with political, social, with political, social, economic and other forces to produce specific economic and other forces to produce specific outcomes in specific places and time periodsoutcomes in specific places and time periodsCulture is one of many intersecting forces in the social world. It never

acts alone or in isolation

Culture is one of many intersecting forces in the social world. It never

acts alone or in isolation



45

Intersecting Forces

Cultural

forces

Cultural

forces

Economic forces

Economic forces

Institutional factors

Institutional factors

“Outcome”

“Outcome”

Transnational factorsTransnational factors



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The Cultural Approach: Summing UpThe Cultural Approach: Summing Up

Culture is complex Culture is complex

It is malleableIt is malleable

Its effects are sometimes obvious, but frequently Its effects are sometimes obvious, but frequently subtle and even hidden and contradictorysubtle and even hidden and contradictory

Culture has power, but it is not always or Culture has power, but it is not always or necessarily a causal power; the power of culture, necessarily a causal power; the power of culture, moreover, does not always flow in the same directionmoreover, does not always flow in the same direction

Culture does not act alone toCulture does not act alone toproduce outcomesproduce outcomes



47

Culture: Some CriticismsCulture: Some CriticismsMany social scientists dismiss culture because its Many social scientists dismiss culture because its causal power is difficult, even impossible, to evaluatecausal power is difficult, even impossible, to evaluate

Some argue that culture is simply a reflection of more Some argue that culture is simply a reflection of more basic forcesbasic forces

Some argue that culture, at most, marginally affects the Some argue that culture, at most, marginally affects the “framework of action” and is, therefore, only indirectly “framework of action” and is, therefore, only indirectly importantimportant

Some argue that culture is simply irrelevant because it Some argue that culture is simply irrelevant because it cannot be quantified or measured--in part because culture cannot be quantified or measured--in part because culture is inherently subjective; put another way, many social is inherently subjective; put another way, many social scientists dislike culture because it cannot be scientists dislike culture because it cannot be operationalizedoperationalized



Example: StructuralistsExample: StructuralistsExample: RationalistsExample: RationalistsExample: EmpiricistsExample: Empiricists

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Culture as an Independent VariableThe debate about culture’s causal powers cannot be The debate about culture’s causal powers cannot be resolved easily; however, one way to think about resolved easily; however, one way to think about culture is to see it as both culture is to see it as both cause and effectcause and effect

In this view, culture is understood as a product of In this view, culture is understood as a product of underlying social, economic or political forces, but underlying social, economic or political forces, but once established, certain cultural practices and beliefs once established, certain cultural practices and beliefs tend to perpetuate themselves from generation to tend to perpetuate themselves from generation to generationgeneration

Culture, in short, becomes “independent” over time: it Culture, in short, becomes “independent” over time: it takes on a “life of its own” and begins to operate as an takes on a “life of its own” and begins to operate as an autonomous or autonomous or semi-autonomous forcesemi-autonomous force

The expression, “The tail wagging the dog” means an item of minor importance (i.e. the “tail”) dominating a

situation (i.e., the “dog). Modifying this expression, we might say that a when a variable turns from effect to

cause, the “tail” becomes the “dog.”

The expression, “The tail wagging the dog” means an item of minor importance (i.e. the “tail”) dominating a

situation (i.e., the “dog). Modifying this expression, we might say that a when a variable turns from effect to

cause, the “tail” becomes the “dog.”



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Culture as an Independent Variable

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)



50

Culture as an Independent VariableOnce 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



51

Culture as an Independent VariableKey PointsOnce 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



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The Cultural Approach: Conclusion• 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

• Instead recognize that culture is contested, profoundly political, and inherently fluid



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