University at Albany Rockefeller College of Public Affairs and Policy Department of Political Science Prospectus for Dissertation Research POLITICAL CLEAVAGES AND PARTY SYSTEM STABILITY: A COMPARATIVE STUDY Submitted as one of the requirements for the degree of Doctor of Philosophy in Political Science Reviewed by: Prof. Erik P. Hoffmann, Chair Prof. Victor Asal Prof. José E. Cruz Prof. Sally Friedman Luis F. Clemente December 2005 1 Introduction Part of the emphasis of scholarly literature in comparative politics has been dedicated to political party systems. The reasons range from the theoretical to the empirical: party systems are not only considered an integral part of theory in the field (through structuralism), but also as crucial actors in political practice. In the words of Mala Htun, “[a] key insight of an institutionalist perspective on politics is that the configuration of governing institutions and political party systems shapes the relationships among political actors and the possibility for policy change (2003:17).” The consequences of that configuration for democracy stem from this assessment and have been considered crucial for its overall prospects for stability (Ibid:20). Related to this assessment, party systems are the arena where political parties perform the functions of political mobilization, political education, and interest aggregation within a specific polity. All these functions have direct relevance for governance, especially in the areas of policy formulation and implementation, because they represent the manifestation of a priori demands for the authoritative allocation of resources by the state. The existing literature presents reasons why party system stability is important1. Yet the building blocks of party systems – political parties – face situations that threaten their performance of those three functions and their overall character of crucial political actors and have a direct bearing on party systems themselves. The state as a political entity is currently affected by globalization, specifically by the ever more salient role of intergovernmental organizations in areas such as macroeconomic policy and human rights. The programmatic positions of political parties, when transformed into actual state policies, can be curtailed by external imperatives. All in all, the decisions of international organizations are a direct challenge to the concept of state sovereignty. Domestically, social movements have challenged the primacy of political parties as sources of information and axis for mobilization regarding specific issues, and have made important strides in influencing state policy through direct lobbying or transnational activist networks. Social movements are said to provide a more direct link between citizens and governments for the consideration of specific concerns that otherwise might be not considered by political parties, thus rendering the latter irrelevant. Demographic tendencies like international migration, sociological phases like post-materialism, and even technological advances pertinent to the links between politicians and the masses are also part of these challenges (Montero and Gunther 2002) because they transform some of the nuances of partisan competition. Some have spoken about a “crisis” in political parties and party systems that has four guises: parties as threats to the good society (denial of parties), “good” versus “bad” political parties (selective rejection of parties), “good” versus “bad” party systems (selective rejection of party systems), and parties as fleeting forms of political organization (redundancy of party) (Daalder 2002:39). It is noteworthy to mention that these assessments have been made in the case of Western European parties and party systems. It is also noteworthy to say that in the opinion of Hans-Jürgen Puhle (2002), Western European political parties have been able to adapt to changed conditions and 1 See pp. 8-9. 2 maintain their salience as political institutions, thus giving a “second wind” to party systems. The crisis seems to have been averted in that part of the world. However, political parties in fledging democracies not only have to face the same situations confronted by Western European parties, but also to the added pressures of being part of the process of democratic consolidation (Moreno and Gunther 2002:5). Latin America represents an important case in point. Elected leaders like Alberto Fujimori in Perú, Hugo Chávez in Venezuela, and Fernando Collor de Mello in Brazil have campaigned under an “above-all-parties” platform, representing citizens who are dissatisfied with traditional political parties. In some cases, these elected leaders have also resorted to plebiscitarian rule or direct democracy procedures in order to expedite the implementation of policies, thus sidelining political parties as mechanisms for interest aggregation and political education, and party systems as their overall framework. What these cases show are instances of breakdown in normal patterns of party competition that on the longer term represent a real threat to democratic stability, especially in Latin America’s fragile “third wave” democracies. Adding insult to injury is the fact that most Latin Americans distrust political parties and not consider them truly representative (United Nations Development Program 2004). Notwithstanding the importance of the challenges faced by political parties, the focus of this dissertation project is on party systems because they can initiate internal changes in the parties themselves (Sauger 2003)2. Although party systems are inextricably related to political parties to the point of mentioning the latter at several points in the project, the implication of the above statement is that much of the problems faced by political parties can be resolved through party systems. Political parties do their functions of mobilization, education, and aggregation within the larger arena of political competition for control of state and government; and party systems formalize, organize, and regulate that competition. While party systems cannot exist without political parties, political parties need to have their political rivalries structured and formalized if democratic politics is to achieve the highly important characteristics of predictability and controllability. I am dealing here with the concept of the stability of party systems, and thus I ask the following research question: what are the conditions that provide that stability to party systems? I will explain why studying party system stability is important in the next section. As a possible answer to my research question, I propose that the variable that explains party system stability is the concept of cleavage and thus hypothesize that the more profound the cleavage, the better the chances are for the party system to remain stable. The focus will be on Latin America because of the special salience and major implications of stable party systems for the overall prospects for democracy in that region. I will look at whether or not three cleavages that refer to political, social, and economic issues can set in motion a process that results in party system stability. The Sauger’s exact argument is that there is a feedback loop between political parties and party systems that can help bridge the systematic study of both. However, the other side of the loop (“The modification of the number of relevant parties in a system will modify the mechanics of inter-party relations therein [2003:7]”) points to an argument for party system stability that is not adequate for explaining certain cases. I will expand on this assessment later in this prospectus. 2 3 model I will present later in this prospectus, which shows that process, will be compared with competing explanations for the same independent variable for the purposes of falsifying my hypothesis, and will be the subject of a qualitative comparison of a small sample of cases. Theory The theory I will propose for this project includes three intervening variables: polarization, political competition, and institutionalization. These variables, however, should not be regarded as three separate outcomes of the independent variable, but as part of something larger. Rather than three separate processes resulting from the existence of profound cleavages, they should be considered as steps in a process towards party system stability. The following paragraphs will provide the necessary explanation regarding those three variables, and will also define the independent and dependent variables. Party system stability I define party system stability as the condition in which the patterns of interaction between political parties are kept from one electoral event to the next. In turn, I define party systems in a way that combines the arguments of Samuel Huntington (1968) and Herbert Kitschelt and Elizabeth Zechmeister (2003): they are mechanisms that control the rate of political inclusion and participation; and serve as a canvas for political parties to define their positions, and for voters to make a choice between them. The literature review section will introduce two contrasting explanations for party system stability, but agrees that those patterns of interaction should remain in place. This definition is contrary to the one proposed for the same variable by Lawrence C. Dodd (1976): the continuity in time of the identity and strength of a parliamentary party. My definition goes beyond the characteristics of specific parties and emphasizes on the external conditions represented by cleavages. However, Dodd also argues that party system stability determines how complete is the information available to party leaders about other parties, something that is crucial for creating coalitions prior to forming cabinets. That argument is more consistent with interactions between parties than with their identity, but it explains why having party system stability as a dependent variable is important: it shows and facilitates the patterns of interaction between parties. The literature on Latin American democratization provides another justification: stable party systems are necessary (but not sufficient) for a successful democratic transition and consolidation, and for democratic regimes to work properly. Profound cleavages My concept of profound cleavages is a way of formulating Seymour Lipset and Stein Rokkan’s (1967) and Douglas Rae and Michael Taylor’s (1970) theses in a new way. Lipset and Rokkan define cleavages as a conflict over policies and value 4 commitments, while Rae and Taylor say they are “the criteria which divide the members of a community or subcommunity into groups [...],” arguing also that those cleavages that are relevant divide the people into political groups (1970:1). This means that contrasting positions in a political issue should be considered as the constitutive parts of a cleavage. Those cleavages can be classified as ascrpitive (traits such as ethnicity or race), attitudinal (opinions), and behavioral (related to voting or political membership) (Rae and Taylor 1970:1). My dissertation will pay the most attention to behavioral cleavages because of their evident relationship to political parties and party systems. However, I deviate from Rae and Taylor by changing their description of the properties of cleavages: crystallization (how many in the community have taken a position), fragmentation (how many in the community are divided over a cleavage), the intensity of that fragmentation, overlapping (how many in the community have taken a position on another cleavage and whether or not it is the same number on the previous one), and cross-cutting (how many in the community separated by one cleavage could be bridged together by a different one) (1970:3-4). The model I will propose later pays more attention to the first three characteristics because they have more relevance to the definition of cleavages as conflicts or divisions, thus leaving out overlapping and crosscutting. I also aggregate those three characteristics into the concept of profound cleavage to make the process described in my model more sound and consistent. Crystallization, fragmentation, and the intensity of fragmentation should be considered as preconditions for the eventual process of polarization I will describe later. I thus define profound cleavages as those that create the highest levels of crystallization and fragmentation. Those profound cleavages thus generate a process represented by the intervening variables of polarization, political competition, and institutionalization. I also deviate from Rae and Taylor by arguing that party systems produce mutually exclusive groupings. Their argument is that most party systems – not all of them – almost approach the condition of mutual exclusivity, but the reality is that they invariably do. Polarization A key element I identify in the concept of profound cleavages (and cleavages in general) is polarization. Many scholars (e.g. Haggard and Kaufman 1995, Mainwaring and Scully 1995, Coppedge 2001b) argue that polarization is dangerous because it entails the high probability of a breakdown in the political system caused by a lack of political compromise. However, I posit that this happens in situations that are not replicated often, such as during the power vacuum experienced by Germany during the Weimar years 3. The irreconcilability of political positions, as exemplified by this historical case, can and does cause governability crises, but polarization cannot be completely eradicated even in 3 Weimar Germany (1919-1939) is considered by historians and political scientists as the most salient example of extreme political polarization. The German party system at the time had a considerable number of political parties that occupied the entire political spectrum, including nationalists (right), communists (left), Christian Democrats (center), and Social Democrats (center-left). Polarization was exacerbated by the country’s parliamentary system, based on proportional representation. Almost all existing parties did not want to reach the necessary political consensus with the Social Democrats, which were the major political force. 5 more normal circumstances because issues never leave citizens apathetic. We only need to look, for instance, at how Americans react to current domestic issues (e.g., the best approach against terrorism, Social Security reform, abortion, etc.). This lack of apathy is at the center of cleavages defined as conflicts over value commitments. The view of polarization as something that has to be prevented at all costs has more importance for Western European parliamentary systems than for Latin American presidential systems because the need to bargain and create political consensus on parliamentary blocks is greater, especially when a winning party does not obtain a majority (see Dodd 1976). For the purposes of the project, I define polarization as a conscious choice within the electorate among contrasting positions in a political issue as opposed to being totally apathetic or not interested. It is something that should be controlled rather than eradicated. This even includes the Downsian “median voters” because they somehow have found a middle ground between the extremes in the continuum without sidelining themselves out of it. Crystallization and fragmentation (and the latter’s intensity, as well) polarize voters, who are then faced with the decision of supporting one alternative or another in a specific issue continuum. Because political parties perform the functions of interest aggregation and political mobilization, any decisive choice of issue positions on this kind of cleavages will be captured by party organizations and incorporated into party platforms. This applies to both the creation of new political parties and of programmatic positions by existing ones. In short, as Lipset (2001) argues, the polarization materialized by these cleavages creates social support bases for political parties. Political parties that are embedded in society reduce the information costs associated with the political education of voters, and impose constraints on elected politicians (Inter American Development Bank 2000)4. Political competition All these considerations make much more sense if and when we also look at the competitive interactions between the parties themselves – the lifeblood of party systems. We should start here by incorporating Max Weber’s (1994 [1919]) definition of politics as competition for the control of the state. There is a consensus in the comparative politics literature in that the state musters the capacity for having both its policy decisions authoritative and binding, but we should understand that those decisions first came to light as points in a platform espoused by a political party that once strived for control of the state and competes regularly with other parties with that same objective through periodic elections. Stefano Bartolini provides a more technical description: he defines political competition (“individual competition in politics”) as a way to achieve the social value of responsiveness or the periodic accountability of those in government, and as something that comprises four conditions: free and fair elections (contestability), the threat of electoral sanction against political leaders (vulnerability), the existence of electoral options within reach of voters (availability), and differentiation amongst those political offers (decidability) (2002:89-90). Nevertheless, this responsiveness can also be defined as the authoritative allocation of state resources in what has been contained in 4 Discipline and internal coherence are also important for this outcome. 6 party platforms. This nuanced version of Bartolini’s description will be used as the definition of political competition I will apply to the project. The importance of competition lies in the fact that competitive political parties are “effective conduits of democracy (Corrales 2001)” and must be so if democratization is to make any sense. This concept of competitive parties immediately presupposes that this competition must be held within a party system. Institutionalization Those two elements – polarization and political competition – show the profundity of existing cleavages and the need to settle the matter. At this point, voters have taken sides within an issue continuum and have been mobilized by political parties that strive to transform the positions they represent into policy that will be enforced by the state. Thus, the next and final step in the process is to set up a party system (or to work within an existing one) through which political competition can occur. The idea here is that political competition will create the need for establishing a party system that will be binding to all concerned, organize the overall interactions between parties, and make political competition controllable and predictable. With the need to establish a party system comes the more important concern for having it accepted by all concerned – that is, institutionalized. The first mention of this variable comes from Huntington (1968), who defined the institutionalization of party systems as a widespread agreement on their existence and basic rules, and the element that imprints predictability and familiarity to political competition and party platforms. More recently, Scott Mainwaring, who agrees with Huntington, has argued repeatedly about the importance of institutionalized party systems, principally for Latin America (1995 [with Timothy R. Scully], 1998, 1999). Institutionalized party systems have four dimensions (Mainwaring 1999): 1. Stability: Party competition is regular and does not show consistently high electoral volatility. 2. Embededness: Political parties are rooted in society and can articulate social demands. 3. Legitimacy: Political parties are considered imperative for democratic politics even if there is criticism or skepticism towards specific parties. 4. Organizational independence: Party organizations are, in Weberian terms, rational and not dominated by charismatic leadership. It also entails territorial presence, internal coherence, and their own supplies of resources These two descriptions of party system institutionalization – Huntington’s and Mainwaring’s – will comprise the definition of that concept used in the project. The importance of party system institutionalization is noteworthy. An institutionalized party system reduces the possibility of political anomy and radical change (Huntington 1968), and where they are not institutionalized, governability suffers, 7 politics are more erratic, political personalisms are more pronounced, and accountability is lacking (Mainwaring and Scully 1995). Along with political parties themselves, they also determine the success and failure of democracy, especially in a region like Latin America (Diamond et. al. 1999). The model The following diagram illustrates the model I will test, which contains in turn the arrangement of all relevant variables: Profound cleavages → Political polarization → Political competition → Party systems → Party system stability (contain issue (the conscious choice (competing parties and the need to (the patterns of positions open to of issue positions representing issue institutionalize interaction are kept the choice of voters) within a cleavage line) positions) them (makes from one electoral patterns of event to the next) interaction binding and organizes political competition) Explained in words, if the cleavages are profound enough, citizens will be polarized and consciously take sides. As they take sides, they will also support political parties that have adopted their interests and views. These parties will display their traditional tendency to seize government and state power, by which their positions become policy. The citizens that take sides with those parties also expect responsiveness from that government. Partisan positions will be necessarily contrasting and differentiated, thus creating competition. This also creates the need for an institutionalized party system that will structure that competition. The need for institutionalization translates in the need to make political competition structured, effective, and knowable. There are two important considerations that apply to this model. First, it shows what some might consider a deterministic process: the existence of cleavages is always expected to set in motion the sequence of events represented by the intervening variables. Any challenge to this determinism might come from non-partisan organizations because it implies that profound cleavages do not always result in anything related to party system stability or even political parties. Polarized individuals can assemble in social movements or interest groups that can try to influence in policy implementation. However, the nature of those cleavages as a priori ideas for the allocation of state resources makes political parties more suited and prepared for political competition through periodic national elections than social movements. In Puhle’s (2002) assessment, social movements become more structured and institutionalized when they enter into politics. In other words, they behave more like political parties and less like non-partisan organizations within civil society. A second consideration has to do with the possibility of feedback loops. As alternative causal explanations that differ from the traditional linear model, they have an inherent danger: they do not establish a precise starting point in a causal relationship. 8 Such a determination is necessary if we want the testing of those causal relationships to build theories and, most importantly, to explain political phenomena. The project will base itself in traditional causation, but I will also present the possibility of a feedback loop between the variables. It could happen that the cleavages that initiated the process of stabilization will be reinforced and become permanent through the party system itself. Research Design With the theory described above in mind, I intend to test my hypothesis by employing both quantitative and qualitative methods. Quantitative methods If profound cleavages include crystallization, fragmentation and the intensity of fragmentation, the way to measure them is by replicating Rae and Taylor’s calculations of those characteristics (1970:24-26, 32-33): 1. Crystallization (C) is measured by looking at the number of people that choose between issue positions (N) and the total number of people in the community (S), or C=N/S 2. Fragmentation (F) is based on the following statement (Rae and Taylor 1970:24): A perfectly fragmented community over some given cleavage has no matched pairs of individuals, since each individual belongs to his own nominal group. A perfectly unfragmented community has no mixed pairs of individuals who are divided by a cleavage, since all individuals belong to the same nominal group. Accordingly, fragmentation is determined by looking at how many mixed pairs exist in the community and the total number of possible pairs, or F = number of mixed pairs / total number of pairs After creating the individual formulas for number of mixed pairs and total number of pairs, and incorporating them into the basic formula for fragmentation, the authors come to this, more nuanced formula: F = 2 / N (N – 1) (Σ fi * fj) where 2 / N (N – 1) represents the total number of pairs and (Σ fi * fj) symbolizes the number of mixed pairs defined as the sum of all possible pairs. However, since we are considering millions of people who are crystallized by a cleavage, this formula needs further refinement. The result is 9 F = 1 – Σ (fi / N)2 3. In the simplest terms, the intensity of fragmentation (I) is measured by looking at the mixed pairs and how distant are their members, or I = 1 / 2m – 2 (Σ dPd) I will utilize those three calculations to determine the profoundity of existing cleavages in the cases that will be studied. Taking off from the model described in the theory section, it is expected that those profound cleavages will set in motion the process that will result in party system stability. The second set of quantitative methods (regression analysis) will compare that model with others that provide alternative explanations to party system stability. Those competing explanations are based in the following variables: 1. The number of political parties: It is perhaps the most studied variable in the existing literature about party systems for one crucial reason: those who emphasize on it argue that it is an important indication of power concentration and fragmentation, the streams of interaction between the parties, and the existing tactics of party competition. It has also sustained the more intuitive argument that bipartisan systems are more stable than multiparty ones because the former keep polarization in check, though polarization is defined in this sense as the first step towards political collapse and not as an inevitable mark of politics. 2. Political culture: It has been argued time and again that political culture is instrumental in the overall success of democracy because the former reflects the overall values, understandings and beliefs that sustain the institutionalization of democracy. One very compelling argument comes from Inglehart and Welzel (2004): “a political culture that emphasizes self-expression, tolerance, trust, life satisfaction, and participatory orientations plays a crucial role in effective democracy.” Although the main argument points to a dichotomy between democracies based solely on suffrage and those that include the recognition of formal equality, they also say that those values are essential for the flourishing of democratic institutions. One can intuitively argue that party systems – one of those democratic institutions – also depend on a political culture that is conducive to their acknowledgement. 3. Post-modernization: The literature on the political effects of post-modernization (Inglehart 1990 [1977], Inglehart and Flanagan 1987, Flanagan and Dalton 1990, Wolinetz 1990) concludes that the value changes caused by this process, in which the emphasis shifts from economic to non-economic issues, has created processes of political realignment or dealignment (Flanagan and Dalton 1990), fragmented existing party systems (Wolinetz 1990) and has set off a situation of electoral volatility that affected political parties that mobilize around economic issues (Inglehart 1990 [1977], Inglehart and Flanagan 1990). In this sense, it is a change 10 in existing cleavages rather than their creation what influences the stability of party systems, although this process can create cleavages of its own. Either way, post-modernization scholars have criticized Lipset and Rokkan’s (1967) idea that cleavages, once materialized, remained unchanged (the “freezing hypothesis”). 4. Cognitive mobilization: This theory posits that access to higher education is creating a class of individuals that are more politically sensitized and more interested in political information. This has a direct bearing on political parties as traditional sources of political education and crucibles of polarization, which is part of the process for party system stability. Conversely, limited or non-existent access to higher education results in apathetic citizens (Nevitte and Kanji 2004). 5. Social capital: Robert Putnam mentions that “[s]ocial context [...] profoundly condition[s] the effectiveness of institutions [...]. Effective and responsive institutions depend, in the language of civic humanism, on republican values and practices. Democratic government is strengthened, not weakened, when it faces a vigorous civil society (1993:182).” At the heart of that statement is the concept of social capital, defined as “features of social organization, such as trust, norms, and networks, that can improve the efficiency of society by facilitating coordinated actions (Putnam 1993:167). Although between political parties there is the concept of competiton, inside them we should find individuals engaging in coordinated actions thanks to social capital. This alternative explanation is very compelling when we consider existing political and socioeconomic issues in Latin America (see the analysis of Edward Newman [2001] below). 6. Electoral systems: “Duverger’s Law” (majority electoral systems will create twoparty systems) is perhaps the most important example of this theory, which also posits that “[t]aken as an independent variable and, indeed, as a causal factor, electoral systems are assumed to affect the party system [...]” and that “electoral systems cause the party system, which in turn causes parties per se to be as they are (Sartori 2001:90)5.” Qualitative methods I will make a comparative analysis of the party systems of four Latin American countries – Venezuela, Perú, Argentina, and Chile. The comparison will be made through the method of most similar systems design (MSSD), a method that shares a long and proud history in comparative politics. It is part of what is known as the widely used “comparative method,” which focuses on small samples of carefully chosen countries that are studied through a middle level of abstraction and taking into account the details of every case. MSSD owes its lineage to John Stuart Mill’s “method of difference” and, like its predecessor, it studies cases that share a set of characteristics but differ in the variable or variables that explain the analyzed outcome (Landman 2003:29). It is precisely what this method does what encapsulates its utility for the project, because the four cases are 5 Italics in the original. 11 comparable and indeed share a series of characteristics, though not the outcome to be explained. Before addressing the issue of comparability, I must justify my exclusive focus on Latin America. Although it can be safely argued that preventing party system breakdown is also crucial for a deeper democracy in areas of the world like Russia and Eastern Europe, the need for strong party systems in Latin America is more imperative. Authoritarian (or quasi-authoritarian) setbacks have gone from threats to actual occurrences in which regular political competition has been interrupted. To be sure, Russian president Vladimir Putin has been criticized for his increasingly autocratic rule, but by and large the experience of some Latin American countries is not being repeated in Russia or Eastern Europe. Another justification for focusing in Latin America, as described by Edward Newman (2001), is that the chronic social problems of the region undercut citizenship, and that the traditional “socio-political matrix” represented by the state, social actors and political parties is being challenged – sometimes subverted – by structural conditions that affect all three nodes of this matrix equally. Two of the conditions he identifies have already been mentioned in this prospectus: the effects of globalization, and the tendency shown by some presidents towards unconventional political procedures. He also points to other situations, such as a low quality of political debate, a lack of interest in political participation, and scarcity of political choices. My assumption is that such problems could discourage citizens to crystallize themselves in cleavages and join political partisanship. The four countries that will be compared are similar in the following characteristics: 1. They reactivated their party systems after episodes of non-democratic rule: The four cases experienced military regimes that eventually gave way to democracies, and one of the first actions under all of them was the celebration of presidential elections, which presupposes the reappearance of political parties and party systems. Argentina and Chile are two classic examples of a type of nondemocratic regime imposed by the military during the 1960s and 1970s that was characterized by an ideology based on the aspects of social reordering, national security, renovation of public administration, and the deepening of import substitution initiatives based on economic investments sustained by favorable political stability (Htun 2003:19-20). In the cases of Argentina and Chile, the military establishment in those countries saw itself as a “protector” of the status quo in the face of political pressures. Hence, Argentina had two of those regimes in a period of less than 20 years (1966-1973, 1976-1983), while its Chilean equivalent spanned from 1973 to 1990. Argentina’s democratization started in 1983 and was sparked both by a gripping economic crisis (Haggard and Kaufman 1995) and the country’s defeat in the Falklands War against the United Kingdom. That same year, presidential elections were held (Linz and Stepan 1996). The Chilean regime started to unravel in 1988, when General Augusto Pinochet – the head of government – called for a referendum on his permanence in power. In numerical terms, Pinochet won the referendum with 44% of the vote, but in 12 practice Pinochet was “forced” out of office because his winning percentage was short of an absolute majority. A number of moderate parties created a coalition known as Concertación and later won the presidential elections of 1990, although the outgoing regime implemented a number of rules and laws that severely constrained democratic consolidation (Linz and Stepan 1996). Perú and Venezuela represent two slightly different cases because their military regimes were not consistent with Htun’s description of those of the 1960s and 1970s, but were nevertheless non-democratic. The Peruvian military regime began in 1968 with a bloodless coup led by General Juan Velasco Alvarado that was nevertheless quietly supported by most citizens because of the gross incompetence of the prior civilian presidency. Although it was undoubtedly a dictatorship, its most fascinating aspect was its ideology and resulting policies, which were populist in character and included nationalizations of industries and foreign-owned lands, protectionism, agrarian reform, and social welfare initiatives, among other policies. Starting in 1975, after the ousting and death of Velasco Alvarado, the Peruvian regime initiated negotiations with civilian political groups with the aim of reestablishing democratic rule, but it was not until 1985 that presidential elections were held (Sonntag 2001:139-140). The Venezuelan regime also started with a coup; in 1948, the military and the bourgeoisie forced a democratically elected president out of office because of what they believed was a lack of will on the latter’s part to quell rising political pressure from lower socioeconomic classes. In 1952, General Marcos Pérez Jiménez proclaimed himself president, but when his policies clashed with the interests of the Venezuelan bourgeoisie the latter withdrew their support and started negotiations with exiled political leaders. This led to Pérez Jiménez’s demise in January 1958 and a formal agreement known as “Pacto de Punto Fijo,” which instituted a political system in which political parties were considered the most important channels for citizen participation, among other points. There were many political parties created after that agreement was reached, but the ensuing party system was sustained by two parties, AD and COPEI. The first presidential elections under Punto Fijo were held in December 1958 (Sonntag 2001:148-149). 2. Their citizens show a widespread dislike of political parties: Recent results of Latinobarómetro, the most important database of Latin American public opinion, are extremely revealing, but also sobering for supporters of democracy and even ominous. In Latin America as a whole, only 4% of those surveyed in 2001 had “a lot of confidence” in political parties (Lagos 2003). In general, political parties are said to be “aloof and an alien and self interested sector that offers no possibility of a shared future (UNDP 2004),” or as “weak links” in Latin American politics (Colburn 2002). A 2002 consultation with the leaders of Venezuela, Argentina, Chile and Perú shows that they all believe that political parties are not fulfilling their roles (UNDP 2004)6. The percentages of confidence in political parties by 6 This consultation was made to 231 individuals who were considered influential in policy making, including former and current presidents and vice-presidents. The sample included not only the four cases, but the rest of Latin America. 13 country in 20027, also calculated by Latinobarómetro, demonstrate that 20% of Venezuelans8, less than 15% of Peruvians, 10% of Chileans, and almost 17% of Argentines show confidence in political parties (The Economist, 17 August 2002:30, chart 7). If citizens distrust political parties this much, then party systems are pointless. 3. They all share significant cleavages: This should not be interpreted as saying that those cleavages are profound. What I mean is that there are discernible cleavages that can be found in the four countries of the sample. The analysis of Alejandro Moreno (1999) is fundamental. He identifies three issue dimensions within which citizens in the four countries can be found: democratic-authoritarian (political regime), liberal-fundamentalist (abortion, religion, national sentiment) and economic left-right (social change, income equality and economic individualism). The utility of Rae and Taylor’s calculations lies in that they should determine how profound these cleavages are, although Moreno also argues that the democraticauthoritarian cleavage has lost importance as Latin America embraces democracy. Determining how profound are those three dimensions is an important first step before analyzing if those cleavages do set in motion the process described in my model and if it has more weight than the alternative explanations. Previous Research: Party Systems and their Stability Before analyzing the existing literature about party system stability, it is imperative to look closely at how the root concept – party systems – has been defined. In Kenneth Janda’s (1993) assessment, the existing theory about party systems has two characteristics: 1. what defines a party system for most investigators are the parts and how do they interact, and 2. the theory of electoral systems is its most developed version. Examples of the existing literature (some of them already mentioned in this prospectus) include Kenneth Benoit’s (2002) review of the existing literature about this subject, Stefano Bartolini’s (2002) differentiation between political and economic competition, and Arendt Lijphart’s (1990) study of the effects of electoral systems over political parties. Janda (1993) also says that attention has been paid to seven factors or dimensions: minimum winning coalitions, government durability, the effective number of parties, issue dimensions, electoral disproportionality, party competition, and electoral volatility. A large number of interpretations of party systems, however, (e.g. Sodaro 2004, Danziger 2005, Dodd 1976, Ware 1996, Duverger 1965 [1954], Sartori 1976, Pedersen 1990 [1979], Chhibber and Kollman 1998) focus on the total number of political parties. This variable includes the creation of related quantitative measurements such as the widely used indices created by Douglas Rae (the index of fractionalization) and Laakso & Taagapera. Other characteristics considered to be constitutive of party systems have also been mentioned, such as ideology (Sodaro 2004) and nationalization The percentages shown are those of respondents who answered “a lot” and “some” taken together. It is nevertheless striking that a similar survey made in 1996 showed even lower numbers – the level of confidence in political parties was just above 10%. However, the larger implication of this and the other cases is that political parties are held in a very low esteem. 7 8 14 (Jones and Mainwaring 2003). Anne Bennett (1998) provides a different interpretation: party systems have as characteristics the number of parties, social orientation, and volatility. Typologies of party systems also reflect the emphasis on the number of parties that compose them. Duverger (1965 [1954]), for instance, has divided party systems into single-party, two-party and multiparty systems, and most scholars of the subject have adopted more or less similar typologies. Giovanni Sartori (1976) argues that party systems have a channeling function: they provide channels of communication to the state where specific demands are autonomously represented and expressed. This proposition implies that political parties are the vehicles for the expression and communication of political demands coming from society, and for the overall representation of citizens. When combined with how concentrated or dispersed is political power throughout the polity, we have seven kinds of party systems, based on the capacity of individual parties to create coalitions or influence competition in a significant way (“blackmail potential”) (Sartori 1976): 1. One-party system: Only one political party, which concentrates all political power, is allowed to exist. 2. Hegemonic party system: There is more than one party, but the others exist as satellite or subordinate parties. The only effective party retains all the power. 3. Predominant party system: More parties are allowed without restrictions and a single party wins elections by absolute majority (as all political parties strive to do), but there is no alternation. Political power is concentrated on that governing party in a unimodal fashion. 4. Two-party system: There is alternation and political power is spread evenly between two parties. It also includes when there is a third party that nevertheless does not affect bipartisan competition. 5. Limited pluralist party system: Alternation remains, but political power is spread between more than two parties (fragmentation increases, but to manageable levels). Polarization is kept low. 6. Extreme pluralist party system: Polarization and fragmentation increase. Political power is dispersed between more parties. 7. Atomized party system: Political power is scattered throughout the system, and fragmentation and polarization are extreme. Herbert Kitschelt and Elizabeth Zechmeister (2003) offer a very innovative interpretation of party systems: they include processes in which politicians coordinate in building brand names and reputations for policies, and voters have to screen those alternatives and act upon their choices. Huntington (1968) defined party systems as mechanisms that control the rate of political inclusion and participation. In other words, a party system organizes and mobilizes citizens, and controls polarization (meaning here extreme political disagreement). Stable party systems can fulfill these functions to the highest degree, and one of their characteristics is their degree of institutionalization (Huntington 1968)9. 9 Huntington mentions another main characteristic of stable party systems: their degree of participation, or how it is capable to mobilize prospective voters. He also applied the concept of institutionalization to the study of political parties as the establishment of long-term ties and commitments to political parties that will make them legitimate institutions instead of vehicles for the ulterior motives of power-seekers. 15 Mainwaring and Scully (1995) create a typology of Latin American party systems that is based on their description of institutionalized party systems and has three types: institutionalized (where the four characteristics are present), inchoate (where they are not), and hegemonic systems in transition (halfway between institutionalization and noninstitutionalization, and usually characterized by the total dominance of one political party [e.g., Mexico]). The authors have characterized the Argentine, Chilean, and Venezuelan party systems as institutionalized, but that remark does not show the progression of the Venezuelan system towards breakdown (Coppedge 1998 and 2000, Sonntag 2001). Perú is listed in the category of inchoate systems. Regarding party system stability, I classify the existing literature into two kinds of explanation: endogenous and exogenous. These two terms are mine and point to where is the main factor for explaining the dependent variable, whether inside or outside the party system, respectively. The endogenous explanation conceives a party system as a system of interaction between political parties; and its stability depends on what the parties do, not on factors external to the structure. The number of parties that integrate the system is the most important variable and, as a result, what constitutes party system stability is whether or not a particular system maintains a specific number or parties for a considerable amount of time. Conversely, a change in the party system is a function of new parties entering it or older ones leaving it. This latter argument has been advanced by Ware (1996), who focuses on the variation between countries on the propensity of existing parties to split and of new parties to appear. Another argument with bearing on the number of political parties as the key for stability is that multiparty systems are inherently more unstable (Midlarski 1984, Roberts and Wibbels 1999) because of fractionalization. In turn, G. Bingham Powell, Jr. (1981) believes that party systems that curtail citizen involvement, contribute to the springing-up of riots, and harbor many political parties show more instability than others, which is shown in the electoral support for extremist parties (communist, fascist, etc.). Sartori makes two arguments: first, that the continuity of party systems and their transformation from competitive to noncompetitive is a function of discontinuous change (i.e., political breakdown or the result of a violation of the existing constitutional order in the face of a revolutionary threat or occurrence, military insurgence, or coups) while also taking the effective number of political parties as the independent variable of his model (1976); and second, that mass parties are what ensures the stability of party systems and what can also alter the latter’s constitutive nature because pre-existing political élites are forced into forming more solid parties, or else their parties will lose electoral support and be pushed to the margins of the party system (1990 [1968]). Scholars that take sides with the endogenous explanation, including Moshe Maor (1997), believe that the reason why party systems are stable is because political parties have strategic capabilities; that is, they create their own mechanics rather than being subject to exogenous circumstances. Katrina Burgess and Steven Levitsky (2003) present an argument very similar to Maor’s by studying how Latin American populist parties have reacted to external pressures. Methodologically, research based on this interpretation is based on case studies, such as Maor’s (1997) largely qualitative single case study of the British party system, but it also includes the more quantitative examination of electoral results (Sartori 1976) and the inclusion of the existing measurements of number of parties. Peter Mair (1997) believes that the key for 16 understanding party system stability is the separation of party members from party elites, but John Carey (1998) points out an inconsistency in his argument: what Mair thinks is the reason for party system stability in the West contributes to the opposite effect in new democracies. The exogenous approach gives more importance to factors external to the party system, mainly electoral shifts (volatility) and cleavages (Mair 1997)10. These variables can also be interconnected. Also, following Benoit’s (2002) analysis, we can also say that the study of electoral systems proper as independent variables over party systems is also part of this approach11. The concept of electoral volatility has been defined as “the change in vote shares obtained by individual parties in a given political system across consecutive elections (Roberts and Wibbels 1999),” and research on the subject incorporates comparative case studies of Western European party systems using qualitative methods and, like within the endogenous interpretation, the examination of electoral results. Existing studies also include mathematical formulas to determine change such as Mogens Pedersen’s (1990 [1979]). He (1990 [1979]) and Richard Rose & Derek Urwin (1990 [1970]) include volatility as an independent variable, but they reach different conclusions: for Rose and Urwin, Western party systems do not show significant changes since the end of World War II; but for Pedersen some party systems have gone through considerable changes. Kenneth Roberts and Erik Wibbels (1999) argue that unstable party systems, especially multiparty ones, contribute to electoral volatility, thus reversing the causal arrow. Because of its nature for purposes of this project as the independent variable, the concept of cleavages deserves a separate mention in this prospectus. That concept was first addressed in the work of Seymour Lipset and Stein Rokkan (1967), who believe that cleavages are the main building blocks of political parties and party systems by polarizing individuals into specific dimensions within those considerations. One proposition made by both authors, that those cleavages have remained the same since the 1920s (the “freezing hypothesis”), has been the subject of research because of its alleged lack of clarity, but Mair (2001) believes that what froze was actually the interactions between political parties rather than any sociological differentiations. In any event, Lipset and Rokkan’s conclusions have been debated and questioned by a considerable number of scholars. For instance, Pedersen’s (1990 [1979]) conclusion about electoral volatility in Western Europe does point to something different than what Lipset and Rokkan have concluded. Post-modernization theory has brought strong criticism to Lipset and Rokkan’s conclusions, and in response Lipset (2001) argues that even with the issues created by post-modernization the traditional cleavage structure – mostly the class cleavage – remains in place because its representative political actors are still predominant in polities. Finally, Alan Zuckerman (1975) posits that the linkages between 10 Mair mentions a third subject: the study of changes in coalitional alignments and in the balance of representative power between parties and interest groups. Nevertheless, this part of the existing research can be related to the study of political cleavages because the cleavage shifts created by post-modernization do have an effect in the creation of new party coalitions and the newfound salience of interest groups. This will be explained below. 11 I separate electoral volatility from the study of electoral systems despite their relatedness because the former analyzes individual behavior and the former is more related to the study of institutions. 17 cleavages and political conflict must be revised, and that the primacy of the former in most research shuns other variables of equal importance, such as elites. In the case of Latin America, Mainwaring (1999) and Robert Dix (1989) argue that the theory cannot be applied to Latin America because the region has experienced a sociological development much more different than the one in Western Europe, hence reducing the possibility of the formation of cleavages. However, the concept of cleavages still has its supporters: 1. Ronald Rogowski (1987) argues something very similar to Lipset and Rokkan: changes in the conditions of external trade (risks and costs) create conflict between producers of abundant and scarce materials, thus demonstrating the polarization effect of cleavages. 2. Lawrence Dodd (1976) identifies the importance of cleavages for the stability of parliamentary party systems, arguing that it is this characteristic what enables bargaining towards the creation of cabinets. 3. Shaheen Mozaffar, James Scarrit and Glen Galaich (2003), in their comparative study of African party systems, believe that there is a debate in the literature between cleavages and electoral institutions as the determinants of party system structure, but that both taken together can also create effects, especially when coupled with ethnopolitical cleavages and establishing the long-term effects of those party systems for democratic stability. 4. Kanchan Chandra (2005) argues that Indian ethnic politics can contribute to democratic stability when anchored in multiple dimensions of ethnic identity. The concept of ethnic politics is studied in a way that resembles Mozaffar, Scarrit and Galaich (2003) in that it is considered a cleavage with political repercussions. 5. Powell, Jr. (1976) points that individuals who belong to two groups represented by different parties show weak partisanship because they are in the middle of a cross-cutting cleavage, although he also tries to fine-tune this theory. While not replicating Lipset and Rokkan, he nevertheless proves the relevance of the subject of cleavages by arguing for its existence. 6. Gary Miller and Norman Schofield (2003) conclude that American political parties (Democrats and Republicans, more exactly) function in the midst of cleavages that have changed since the late 1890s, and that the reason for the change are their spatial positions through time. Political parties thus engage in “flanking moves” that target disaffected voters whose issues have been ignored by the major parties, resulting in a shift of emphasis from economic to social issues. The conclusion reached is that the American cleavage structure (defined much à la Lispet and Rokkan) is still there, but that Democrats and Republicans have switched sides. 18 7. Alan Angell (undated manuscript) argues that there is a cleavage in Chilean politics, that between those who have supported the authoritarian regime of General Augusto Pinochet and those who opposed it. This is materialized in the constant electoral support for the governing Concertación alliance (antiPinochet) over right-wing parties (pro-Pinochet). 8. Jakub Zielinski (2002) addresses the relationship between cleavages and partisan politics in the case of democratizing Eastern Europe. He argues that a reduced number of political parties affects the political expression of cleavages, but also that not all new cleavages have to be salient in a polity. His research combines game theory with the Lipset and Rokkan thesis. The analysis of Kitschelt and Zechmeister (2003) represents a “curious” case. While not defending the concept for the same reasons exposed by Mainwaring (1999) and Dix (1989), they nevertheless do not discount the possibility of the existence of cleavages that appeared in a different way than those in Western Europe. What makes this case curious is that it cannot be placed squarely within the literature about cleavages due to theoretical or empirical disagreements with Lipset and Rokkan’s thesis, but nevertheless acknowledges that the theory is not entirely flawed or irrelevant. Despite the evident depth and breadth of the existing literature about party system stability, there are several counts for why it falls short in many respects at present. Although the number of parties is a widely used variable, thus justifying its inclusion in this project as an alternative explanation, it does not seem to elucidate why party systems such as the Venezuelan system broke down after Hugo Chávez’s electoral victory in 1999 despite the fact that Punto Fijo created a virtual two-party system sustained by Acción Democrática and COPEI. While scholars like Roberts and Wibbels (1999) think that multiparty systems are unstable because of their inherent fragmentation, with Midlarski (1984) making the implicit argument that two-party systems are more stable, such a conclusion is not warranted empirically, because this two-party system did break down. Other cases, such as Colombia, for instance, show that two-party systems cannot always curtail unrestrained political polarization. Two of that country’s historical political parties – Liberals and Conservatives – were immersed in a bloody conflict known as “La Violencia (“The Violence”).” However, Sartori’s notion of party system breakdown, the view of party systems as systems of interaction, and the concept of institutionalization proposed by Mainwaring and Scully (1995) should not be ignored because they all point to important structural factors that stabilize party systems other than the number of parties, such as links between political parties and society, and electoral volatility. The exogenous interpretation is ostensibly more solid. Electoral volatility reflects points of stress in the party system that can cause a breakdown, even if Mair (1997) cautions against the use of electoral statistics; and Ersson & Lane (1998) think that any change in the vote share of a political party does not have a determinant effect on party system stability. Mainwaring (1998, 1999) and Mainwaring and Scully (1995) include volatility as part of what differentiates institutionalized party systems from those that are 19 not, as I mentioned before. The theory of cleavages points to the fact that political parties are not (and cannot be) in a vacuum; Maor’s (1997) strategic capacity of parties is actually determined by external conditions such as the ones identified by Inglehart and others, and Burgess & Levitsky’s (2003) thesis does point to external factors influencing political parties. Those two conditions influence party systems by altering their composition and recasting existing cleavages, thus transforming political competition. This explanation, to be sure, does not ignore completely the number of political parties, but it does not stop there. Most importantly, reprising Lipset (2001), political parties must have links with society, and cleavages represent existing issue positions within society that existing parties can incorporate. Nevertheless, the issue of post-modernization has been mostly addressed for Western Europe and not for Latin America. If that theory is to have any explanatory or predictive power, it must be extrapolated to that region. Flanagan and Dalton (1990) argue that cleavages have changed rather than remaining frozen by looking at how the value changes associated to post-modernization have occasioned electoral realignment and dealignment. If they are correct, then those countries that have not reached a healthy state of economic development cannot experience any level of electoral dealignment (or realignment) because their basic economic needs have not been satisfied so far. As a consequence, the traditional economy-based cleavage system and its subsequent electoral alignments should remain in place, especially in a region with chronic economic problems such as Latin America. Moreno (1999) points to this possibility by examining the economy left-right dimension. What we should do then is to determine the profundity of that cleavage, whether or not it could initiate the process towards party system stability, and if my model can hold ground against post-modernization theory. Potential contribution The review of the literature points to one of the potential contributions of my project, also the most important one. The literature on party system stability at present is not entirely adequate for explaining it if the endogenous approach bases party system stability as an increase or decrease in the number of existing political parties, and if postmodernization theory has ignored the experience of Latin America. I speak of a normative gap (what party system stability ought to be). In normative terms, the number of existing political parties does not necessarily have an effect on the probabilities for party system stability. The American party system is quite similar to what the Venezuelan system was before Hugo Chávez was elected (multiparty on the surface but practically sustained by two major parties), but the American system still stands and the Venezuelan system broke down. We should hence concentrate on external structural causes for stability, especially on the fact that political parties need to be connected to society. More technically, 1. We must start thinking about party system stability not by looking at the number of parties, but at polarization, political competition, and institutionalization, and 20 2. We must acknowledge that the interactions between parties are not wholly dependent on the parties themselves, as the endogenous approach suggests. Another contribution of the project is empirical. Almost all sources on party system stability concentrate on Western Europe and its parliamentary systems, not on Latin America and its presidential systems (especially those in its “third wave” countries). The region’s economic issues make the closing of the empirical gaps all the more important because of their possible relation to party system stability. Lipset (2001) mentions some Latin American countries, but his analysis is very superficial. Roberts and Wibbels (1999) talk in more detail about Latin America, but they concentrate more on electoral volatility as a dependent variable, not on cleavages. Bennett (1998) centers her analysis of party systems on democratizing countries, but the sample does not include Latin American countries at all. Mainwaring (1999) provides a much better source by mentioning the possible causes of party system breakdown, but he does not incorporate a cross-country analysis that can sustain the salience of those causes. The closing of the existing normative and empirical gaps can be related quite closely to a concern brought in by Morris Fiorina (2002): the interaction between theory and practice in the study of political parties. More exactly, when assessing the state of research in American political parties, he argues that “important components of traditional democratic theory now lag the realities of contemporary American democracy (Fiorina 2002:511).” In other words, the theory is not consistent with the empirical facts. A third possible contribution of the project is that it will address the same issue from a slightly different standpoint. The issues of how globalization influences polities and their politics, and how political parties lost their monopoly on political mobilization should be sufficient reason for studying the interaction between theory and practice in the study of party systems and, more importantly, in the more narrow study of party system stability. A final possible contribution has to do with the field of comparative politics in general. As Peter Hall has argued regarding comparative methodology (2003), the ontologies of comparative politics have outgrown its methodologies, meaning that the political world cannot be construed any longer in the terms of traditional causality. His suggestion is to do systemic process analyses – small-n studies that, instead of determining causal relationships, test the predictions of existing theories and focus on multiple interaction effects. Although my hypothesis and overall research design point precisely to the establishment of traditional causal relationships, they also point – indirectly – to testing the theory of political cleavages and its predictions, something precisely within the expectation of determining how consistent is the theory with empirical facts. Hall’s suggestion of doing small-n studies is also consistent with the technique of paired comparisons as described in the research design section. That, in itself, constitutes a contribution in the sense that it proves the plausibility of Hall’s proposition, and that it does not have to be diametrically opposed to traditional explanation in comparative politics. 21 Appendix: Preliminary table of contents Chapter I: Introduction a. Initial comments and research question b. Hypothesis c. Research design d. Theory Chapter II: Review of the literature Chapter III: The Peruvian case Chapter IV: The Venezuelan case Chapter V: The Chilean case Chapter VI: The Argentine case Chapter VII: The cases in comparative perspective Chapter VIII: Conclusion Chapter IX: Bibliography 22 Preliminary Bibliography Adcock, Robert and David Collier. 2001. “Measurement Validity: A Shared Standard for Qualitative and Quantitative Research.” American Political Science Review 95:3 (September), 529-546. 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