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The
Development of the Study of Comparative Politics
Hans Daalder
'Comparative politics4 existed long before it became a recognized subfield
of the modem discipline of political science. A century or so ago, a knowledge
of the variety of political systems formed part of the normal education
of literati in different disciplines, such as law and philosophy, history
and letters. There were classic writers on problems of modern government
in different countries such as Mill, Bagehot, Blunlschli, Radbruch, Redslob,
Duguit or Bryce. Their treatises contained many comparisons, over time as
well between different societies. One might go back further in history.
Political theory abounds with comparative discourse on both contrasts and
commonalities in political life, as even a superficial survey of the writings
of Aristotle and Polybius, of Dante and Machiavelli, of Bodin and Locke,
of Montesquieu and De Tocqueville. not to speak of the authors of The Federalist
Papers, immediately shows. Man has speculated comparatively on problems
of government and society in both prescriptive and descriptive terms since
times immemorial. If we nevertheless insist that modem comparative politics
is somehow different, this is for three not unrelated reasons: first, modern
comparative politics deals consciously with a political world which has
changed drastically from the universe known to the great writers of the
past; second, it has become the special terrain of a recognized subfield
of contemporary political science; and third, as such itsharct in both paradigmatic
shifts and new developments in research techniques in that discipline.
The Development of Comparative
Politics 1.1 The Learned Tradition
Several characteristics marked the understanding of government in Europe
and the United States as it had developed by the beginning of this century'.
First, there was a strong normative overtone in discussions on government.
Normative approaches were traditionally strong in fields like law, philosophy
or theology in which problems of government were discussed at the time.
Different ideological traditions, whether Conservative, Catholic or Protestant,
Liberal, Radical or Socialist, inevitably had their impact on political
discourse. So had more specific traditions of political theory which nourished
debates on crucial themes like sovereignty, community, authority, liberty,
constitutionalism, rule of taw, democracy and so forth.
Second, discussions of government often reflected particular conceptions
of history. In the hands of some, this might lead to the elaboration of
'historical laws',often couched in terms of different 'stages'through
which societies would develop. 'Diachronic' comparisons thus came naturally.
Models of social change often showed a clear evolutionary or even Ideological
bias.
Third, there was generally a strong emphasis on political institutions,
which were thought to be not only the results of past political strife,
but also factors which could control present and future political developments.
Fourth, 'comparative* politics generally assumed specific country perspectives.
Thus, in Britain 'cross-channel' dialogues easily developed into a contrast
between (stable) British "cabinet government' and (unstable) French
'gouvemement d'assemblee" (or for that matter British 'rule of law'
versus French 'droitadministratif). Cross-Atlantic debates resulted into
the conflicting typologies of a 'parliamentary' versus a 'presidential'
system of government. Perennial debates in France on the merits^ or lack
of merits, of the French revolution strongly colored political discussions
on problems of constitutionalism and popular sovereignty. Debates in what
was to become Germany had a powerful impact on the analysis of state and
nation, of the exercise of power, of 'organicist' versus 'liberal' modes
of social and economic development, and of
the comparative role of
bureaucracies - subjects which were to become the concerns of future social
science also outside German borders. Comparisons of European countries
with the United States underscored the early nature of American democracy
and stressed the importance of voluntary groups in a free society, but
the United States could also be held up as a negative yardstick for alleged
abuses, for its spoils system, the role of lobbies or a yellow press,
or more generally the dangers of 'mass society'.
Typically, smaller European countries tended to be neglected in the reasoning
of learned men outside the borders of the particular country itself. Linguistic
frontiers may partly explain this. But probably more important was the
assumption, typical of 19th and early 20th century power politics, that
small countries hardly mattered. At best they might be of little more
than folkloristic interest, at worst they were seen as no more than transient
players in a world in which Ihe larger countries determined history.
"Comparative polities' then went generally not much beyond speculation
and the study of 'foreign government'. Other states were generally seen
as entities all on their own, or at most as possible yardsticks against
which to measure developments jn one's own society, and then often as
negative yardsticks at that.
1.2 The Political Shocks of the 20lh Century and the Erosion of Institutional
Certainties
All this was to change drastically in the wake of three fundamental 20th
century shocks: the breakdown of democracy in Weimar Germany, the rise
of totalitarian systems and the turn towards aulhoritarianism of most
of the new states which were established following Ihe demise of European
colonialism.
The formally legal 'MachlUhernahme' in Weimar Germany in 1933 shattered
democratic hopes and self-confidence. The Weimar constitution had been
heralded as the perfect model of democratic constitutionalism. Its fall
destroyed the trust in political institutions as sufficient guarantees
of democratic rule. Admittedly, some theoreticians attempted to retain
' institutional ist' explanations, singling out 'faulty'inslitutions such
as proportional representation
(e.g. Hennena. 1941), the presence of a directly elected President next
to a 'normal' but thereby weakened Kamler, or the absence of judicial
review, as major factor* in the destruction of democratic rule. But generally,
institutional ist analye" stood discredited. A growing awareness
of the patent discrepancy between the proniises of the Soviet constitution
of 1936 and the realities of naked power relations in the USSR reinforced
this tendency, as were events in France in 1940.
The rise of totalitarian political systems massively changed (he perceptions
of politics. Their development, in some countries and not in others, raised
new problems of comparative enquiry. Earlier beliefs about the 'natural*
development of democracy foundered. 'Autocracy' had been a time-honored
category of political analysis, and 'absolutism' had been the natural
counterpoint of constitutionalism and later of democracy. But total itarianism
seemed to represent an entirely new political phenomenon. Problems of
power and leadership, of propaganda and mass publics, of repressive one-party
systems and police rule, came to dominate political discussion. Sociological
and psychological explanations seemed to offer better insights in the
realities of totalitarian rule than traditional political theory or institutional
analysis.
The post-1945 world was soon to see also the rise of many new states from
what had been colonial dependencies. Such states had generally been equipped
with constitutional arrangements, which in most cases proved ineffective
to stem developments of authoritarian regimes, whether in the hands of
traditional elites, military or bureaucratic governors, or revolutionary
party leaders. Such developments further undermined a belief in institutional
approaches, and called for alternative modes of analysis.
One effect of the great political shocks of i the 20th century was a massive
migration of scholars, notably to the United States, but to a lesser extent
also the United Kingdom. One needs only list prominent names such as Karl
W. Deutsch, Henry W. Ehrmann, Otto Kirchheimer. Paul Lazarsfeld, Kari
LoewCTStein, Hans Morgcnthau, Franz Neumann, Sigmund Neumann, and Joseph
Schumpeter, to make clear the importance of this factor for new developments
in the study of politics. That field was also to attract the progeny of
European refugees who as a typical 'second generation* turned to the analysis
of comparative and international politics in great numbers- Exiles from
Hitler were followed by migrants from Communist repression, and later
still by a
growing number of Third World scholars who opted to stay in the First
World. A desire for the systematic study of comparative politics came
naturally in such circumstances. It heightened concern with the realities
of political power, both within and between states. It made for a characteristically
ambivalent attitude about democracy: if anything the belief in democratic
values became stronger. but expectations about its chances turned more
pessimist.
1.3 Academe and a Changing Political Universe
If migrant scholars looked back naturally on developments in continents
they had left, the world was changing, and so was the role of the United
States in what was rapidly becoming global politics for policy-makers
and students of politics alike. Although Europe remained a key area, other
parts of the world, including notably the evolving Communist block, Japan
and a rapidly growing number of new states, became matters of urgent political
and intellectual concern. So did Latin America, long regarded as a backyard
of a Monroe doctrine America. Comparative politics saw the number of its
possible units of analysis grow beyond recognition. At the same time problems
of political stability and legitimacy, of social and economic development,
of competing political regimes and ideologies assumed an entirely new
importance.
The need to understand this new world could be met in a variety of ways.
It underscored the importance of experts on single countries, notably
those which became the object of particular policy concern. It increased
the relevance of traditional area studies which it released from their
(sometimes almost museum-like) preoccupation with the unique features
of 'other* civilizations; in the process cultural anthropology became
a more central field in contemporary social science. At the same time,
older beliefs about inevitable - and presumably static - differences gave
way to concerns with political and social change and beyond this: to discussions
to what extent such changes could, and should, be engineered.
All this fitted in well with the traditional temper of American academe.
The lure of 'science* had traditionally been strong and had expanded much
beyond (he 'natural sciences' into the social sciences and even the humanities.
So had tfae uMUDption that 'science' could and should lead to practical
policy results. There wa" a strong belief that the academic enterprise
should center on (he elaboration of testable theories. At the same time,
the idea of interdisciplinary study stood in high esteem. It was given
a strong impetus within some of the great univenities (the University
of Chicago being a particularly important center). Such ioterdisciplinarity
was moreover reinforced by new agencies, including government research
councilg, the newly established (American) Social Science Research Council
and a growing number of private foundations all becoming increasingly
involved in sponsoring 'relevant* research. This in turn facilitated a
massive expansion of graduate schools, and fostered collaborative research
between senior and junior scholars, the latter being called upon to 'test'
particular theories elaborated by the former through detailed empirical
research.
All this came to coincide with the development of new research tools,
which helped to foster what was soon to become known as the 'behavioral
revolution'. Next to library research and field work in a participatory
setting, the survey became a powerful research tool2. Governments began
to develop more and more important statistical data to monitor the effects
of new policies. A rapidly growing number of international organizations,
whether global (such as the United Nations and its specialized agencies,
the World Bank or the International Monetary Fund), or regional (the OECD
growing from the efforts of the Marshall Plan, and the European Communities
being particularly important), came to collect statistical data on many
countries. To the extent that they were presented in standardized form,
this facilitated comparative inquiry. More and more efforts also went
into the construction of time-series data, necessary for the study of
developments over time. This massive growth of quantitative data (initially
developed mainly in the context of economic and social policies and used
in particular by economists and experts in social policies) also found
their way into data handbooks and data archives. The computer revolution
was concurrently to facilitate the storage, analysis and access to such
data. The efforts of individual scholars first, research sponsoring agencies
later, made the pooling and preservation of research data (including the
products of survey research for secondary analysis) increasingly common
practice. All this occurred at a time of a massive expansion of academic
enrolment, which increased facilities not only for graduate research,
but also for publishing research findings. Both university presses and
specialized commercial publishers massively expanded. Journals proliferated.
So did professional associations and the number and specialization of
workshop and panels at academic conferences.
If both the mass, and the sophistication*, of such developments in social
science were taking place initially mainly in the United States, they
soon became an international reality. Early in the post-1945 period deliberate
efforts were made to foster international comparative research. One powerful
stimulus came from UNESCO, which established its own International Social
Science Research Council, and which provided a powerful stimulus for the
establishment of international professional bodies such as the International
Political Science Association (IPSA) or (he International Sociological
Association (ISA). Many national governments expanded their research councils.
The idea of international exchange and research cooperation found increasing
favor, with the fellowship programs of a number of American Foundations,
the Fulbright program, and to a lesser extent agencies like the British
Council setting a pattern. In the process. English became increasingly
the lingua franca of modern social science.
1.4 The New Comparative Politics
Against this general background of political change on the one hand, a
massive expansion of international and national policy-making and research
on the other hand, 'comparative polities' developed rapidly. The shift
in terminology from the older term of 'comparative government' to 'comparative
polities' was symbolic for what was in fact a conscious desire to move
away from the traditional concern with political institutions towards
a preoccupation with political and social developments generally.
There are some particular landmarks in the development of modem 'comparative
politics*. One of these was the Evanston seminar at Northwestern University
in 1952 which brought together a group of then younger scholars
including Samuel Beer, George Blanksten, Richard Cox, Karl. W. Deutsch,
Hurry Eckrtein, Kenneth Thompson and Robert E. Ward under the chairmar.-"hip
of Roy Macridis. In a statement, published in the American Political Science
Review, they branded the existing study of comparative government as parochial
in being mainly concerned with Europe only, as being merely descriptive
instead of analytical, as overly concerned with institutions rather than
processes, and as insufficiently comparative being wedded above all to
case method approaches (Macridis/Cox. 1953). Some of the members of the
Evanston group vigorously clashed with stalwart representatives of an
older generation, including such luminaries as Carl J. Friedrich, Maurice
Duverger, Dolf Stemberger and William A. Robson during a colloquium of
IPSA in Florence in 1954 (Heckscher, 1956). Such older practitioners of
comparative government were not readily persuaded by the new gospel. They
were to note gleefully that the most irascible proponent of the new 'comparative
polities', Roy Macridis, was soon to publish work on France and other
countries along what seemed after all rather traditional lines. The continuing
need to take account of specific country perspectives was also to become
apparent in the work of other scholar* of the group, who after all became
editors and authors of influential textbooks organized on the basis of
country studies (covering again mainly the larger countries; e.g. Beer/Ulam.
1958; Macridis/Ward, 1963).
In the meantime, a group of scholars (including some members of the Evanston
Seminar) was being formed who as a group would have a lasting influence
on the development of comparative politics. Many of them were. or would
be, active in what was soon to become known as 'the Committee' (i.e. the
Committee on Comparative Politics of the (American) Social Science Research
Council), In the second half of the 1950s, this Committee deliberately
brought together a number of leading area experts. With Gabriel A. Almond
as ils highly influential chairman, it set itself to recasting the analysis
of comparative politics along mainly structural-functionalist lines. As
Almond explicitly stated in the influential volume edited by himself and
James S, Coleman. The Politics of the Developing Areas (1960), the ambition
was to find "a common framework and set of categories to be used
in ...area political- analysis'; to this end Almond himself engaged in
"experiments in the application of sociological and anthropological
concepts in the comparison of political systems", irrespective of
time or area. This work was eventually to lead to the famous 'crises of
political
development' model, which sought to analyze political systems in terms
of the character and sequence of six major processes: legitimacy, identity,
penetration, integration, participation and distribution (see also: Pye,
1965). One manner in which to validate such approaches was to bring together
members of the Committee with experts on areas, particular institutions
or social processes for a series of books on different aspects of political
development, including communications (Pye, 1963), bureaucracies (LaPalombara,
1963), political culture (Pye/Verba, 1965), education (Coleman, 1965),
parties (LaPalomba-ra/Weiner, 1966), and (belatedly) stale-formation (Tilly,
1975). Two works were intended to cap the approach: a book offered mainly
as a textbook (Atmond/Po-well, 1966), and a co-authored volume on Crises
and Sequences in Political Development (Binder et al., 1971). Whereas
the first seemed to proclaim certainty, the latter revealed considerable
self-doubt and disagreement in the Committee. Clearly, its members did
not see eye to eye on such fundamental matters as the existence or not
of a linear development from tradition to modernity, and the possibility
to engineer social change or not.
Of course, such debates were not restricted to members of the Committee.
A great many scholars, in different disciplines, tried their hand defining
processes of political development and modernization3. For all their diversity
and disagreement, such writings had in common an attempt to understand
processes of social change, conceived as in principle comparable over
different areas and time-periods, and tackled with instruments from whatever
social science discipline seemed appropriate. Such approaches also led
to a reconsideralion of past patterns of political and social change in
nations already seen as fully or mainly modernized, including the United
Stales itself and Western Europe. Historians were asked to join in such
efforts at comparative understanding (see for example; Black, 1968; Grew.
1978; Tilly, 1975; 1990).
The impact of these approaches on the discipline was substantial. All
manner of Ph.D. candidates swarmed out to study processes of social and
political modernization in countries all over the world. They did so with
different interests and intent. Some became thoroughly intrigued with
the persistent role of traditional utructures and beliefs, nuking them
eager novices in the ranks of area specialists and cultural anthropologists.
Others concentrated rather on the other end of the presumed tradition-modernity
continuum, identifying largely with the search of economista and experts
on public administration for * development'. Yet others felt more happy
with the work of various international organizations which sought to monitor
and stimulate social and economic developments with the aid of statistical
indicators, regarding the universe of nations, or some particular sample
of it, as a laboratory in which to test particular development models.
1.5 Inevitable Reactions
For all its exhilaration the political development boom was to create
its own mctiocu, in rather different way.
One reaction consisted in the development of counter-models of development
which treated the prosperous West not as the prototype of a modern society
which others were naturally to attain at some later stage, but as the
root cause of an inequitable distribution of the world's goods. Marxist
theories of (neo)imperialism held capitalist development responsible for
the exploitation of the Third World, and regarded the so-called 'independence*
of former colonies as a thin guise for what was in practice 'neo-colonialism'.
Notably from the background of Latin America, which had much older independent
states than Africa and parts of Asia, developed the various brands of'dependency*
theory which emphasized the co-existence of traditional sectors of society
and the economy with modem economic sectors which were in practice little
more than the emporia of the advanced economies in the USA and Europe.
Such models were given a more elaborate treatment in Wallerstein's World
System approach, which became in many ways an academic industry of its
own.
A second reaction came from those who had difficulty fitting Communist
systems into the framework of general development theories. To many such
ft problem did not seem particularly urgent: the comparative study of
Commu-
nist societies was to a considerable extent a world on to itself and many
were happy to leave it at that. The idea of a possible convergence of
systems in the West and the East seemed to most observers bereft of reality,
perhaps a matter of speculation for economists, not for those who knew
the patent differences in political life from direct physical experience
or historical analogy. But developments of Communist states did yet enter
the field of general comparative politics for at least two reasons. Communist
models might and did serve as example and inspiration for Third World
countries, notably in their Chinese and Cuban variety. And in a more theoretical
vein, a debate arose on the issue to what degree totalitarian systems
were themselves a product of modernity. This point had been strongly argued
by Carl J. Friedrich, who saw in that characteristic the fundamental difference
between older systems of autocracy and royal absolutism and modem totalitarian
systems (Friedrich, 1954; Friedrich/Brzezinski, 1956), but was denied
by scholars like Wittfogel who saw many common features between the system,':
described by him in his 'Oriental Despotism' (1957) and systems of modem
totalitarian rule. Nevertheless, whether seen as possible models of modernization,
or as alternative expressions of modernity itself, the study of totalitarian
systems remained on the whole outside the scope of general comparative
politics writing. At least one reason for this was the tendency to equate
political modernity with democracy, in systems already existing or as
the natural end-product of political development.
A third reaction to the political development literature consisted in
the allegation that it rode roughshod over the uniqueness of particular
areas or countries. Such was the natural reaction of scholars nurtured
in a tradition of 'con figurative* studies, whether of a particular local
culture, or a particular political system. Such scholars were not comfortable
with what they regarded as overly general categories of analysis. They
emphasized that the essence of political and social systems lay in the
complicated interaction of many variables which could only be disentangled
by destroying the uniqueness of Ihe whole. And they tended to deny the
possibility of real comparative study given the inability of scholars
to really know more than one or two cases sufficiently well.
The Development of Comparative
Politics 1.6 Rethinking Europe
For a time Europe became a somewhat ambiguous area in the development
of the new comparative politics. The Third World seemed to attract most
of the theorizing and field research, as did to a lesser and more specialist
sense the development of Communist systems. Europe seemed possibly somewhat
old-fashioned, a world of staid democracies about which all was known
and where little happened. The very concept of Europe had become somewhat
hazy, moreover. The erection of the Iron Curtain had lopped off a number
of countries which had formerly formed a natural part of the European
universe. ]f one saw Western Europe as for all practical purposes identical
with 'democratic Europe', then certain European countries (including some
members of NATO like Greece, or Portugal, not to speak of Spain) presumably
did not belong. If democracy were the defining characteristic, why Ihen
not study all modem democracies together, thus abandoning the very existence
of 'Europe' as a distinct area (a conclusion drawn for example by Lijphart,
1984)?
Whatever such qualms, 'Europe* was soon to figure prominently on the map
of comparative politics again, through a variety of circumstances. The
persistent concern about 'totalitarianism' naturally made for comparative
enquiry into past events: what after all had caused the breakdown of democratic
regimes in some countries, and nol others (see notably the consciously
comparative study ofLinz/Stepan, 1978). When much later Greece, Spain
and Portugal alt returned to democratic rule, the reverse question arose:
what were the causes for such transitions from authoritarian rule (see:
O'Donnetl/Schmitter/Whitehead, 1986;
Diamond/Linz/Lipset, 1988). The failure of imposed constitutional regimes
in many former colonies raised the issue whether alternative models of
democracy might have done better; where was one to find these but in Europe
(the British dominions usually being regarded as mere offshoots of a British
system)? The general concern with development posed many questions for
which the history of different European countries might provide possible
answers, whatever the dangers of historical analogies. There was a rich
literature on European countries, and access to sources was relatively
easy. Europe provided, moreover, a variety of cases vital for comparative
analysis with a generalizing intent,
provided one really knew the specific cases that made up Europe, and went
beyond the exclusive concentration on a few larger countries only.
Much of the history of the development of comparative politics writing
in and on Europe can in fact be written in terms of a desire to take account
of the political experience of particular countries (for a fuller elaboration
of this theme, see Daalder, 1987). As a special subdiscipline, European
comparative politics grew largely from the efforts of a new/postwar generation
of younger scholars who engaged in a massive trek, to some extent to the
United Kingdom, but particularly to the United Stales. They found there
an exhilarating world of scholarship, with all manner of theoretical speculation
and rich empirical research. This was in strong contrast with the paucity
of 'modem' social science literature in their own country, and led naturally
to a desire to emulate and replicate studies on America with comparable
studies at home. At the same time, a confrontation with Anglo-Saxon scholarship
also provoked a natural reaction against what were often fell to be too
specifically 'British* or 'American* theories, typologies or models, and
fostered a desire to develop alternative theories and typologies which
were more in line with the understanding of one's own country. At a minimum,
more countries should be brought onto Ihe map of European comparative
politics, which somewhat ironically required 'translating' their experience
into Anglo-American concepts.
Thus, some of the most innovative comparative politics writing by European
scholars betrays, on closer analysis, a strong influence of particular
country perspectives. This had been irritatingly clear from what purported
to be a general study of political parties by Maurice Duverger (1951),
which for all the help the author received in data collection from an
early IPSA network of European political scientists, was shot through
with French perspectives and prejudices. But one can also document the
impact of Italian concerns in the much more sophisticated analyses of
party systems by Giovanni Sartori (1976). There is the disappointments
of a left-socialist German emigre-scholar about postwar developments in
Germany and Austria in the work of Otto Kirchheimer (see the collection
by: Burin/Shell, 1969), just as Scandinavia provided the undoubted background
of the development of a center-periphery model in the rich work of Stein
Rokkan (1970). An even clearer example is the deliberate development of
the consociationalist model against the background of The Netherlands,
Belgium. Austria and Switzerland, to counter the massive impact
of what eeemed too easy an identification of Anglo-American models of
government with democracy perse*.
From the mosaic of such parallel studies a much more sophisticated picture
emerged of the diversities of European experience which could be otudied
both in a diachronic and a synchronic manner, culminating in what is as
yet the most satisfactory attempt at understanding the complexities of
European political developments contained in Stein Rokkan's so-called
'topological-typological' map, or 'macro-model' of Europe (Rokkan, 1970;
Rokkan. 1975;
1.7 Different Research
Strategies
Taking developments in the study of 'Europe' as an example, the considerable
variety of modes of comparative study becomes readily apparent.
A seeming paradox is provided by the country monograph. To the extent
xuch a monograph is written to elucidate particular political experiences
for a more general public, it may offer insights of comparative importance.
Fhis is much more true if the monograph seeks lo prove, or disprove, specific
theoretical propositions first developed with one or more other countries
in mind. The most telling example, however, is the consciously theory-based
analysis of a single country case (e,g. Eckstein, 1966; Lijphart, 1968b).
Moving o to a somewhat higher level of abstraction are comparative analyses
of two, or a few, particular countries'. Most 'comparativists* must confess
that their real knowledge of different countries tapers off quickly beyond
a rather limited number of cases. One obvious way to overcome such limitations
is collaborative research, in which for any given research question experts
on different countries
The value of this strategy had not been lost by members of the Committee
on Comparative Politics which sponsored as one of its first projects a
comparison of Japan and Turkey, see Ward/Rustow eds. 1964
are asked to join in a common research effort. Much the roost frequent
books on (European) comparative politics consist of edited volumes of
this kind. Such volumes bring much needed information on different countries
together and testify to the fruits of cross-fertilization- But most of
them suffer the natural defects of group enterprises. The choice of countries
is often a function of the availability, or even the reliability, of individual
country experts. Even the most rigorous attempt at editorial guidance
rarely wsolts in an even quality, let alone genuine comparability, of
country chapters. Introductory and concluding chaplers very often are
of a rather ad hoc and impressionistic nature (but see for impressive
examples volumes of a lasting nature, such as Neumann, 1956; Dahl, 1966;
Rose, 1974; Budge/Robertson/Hearl, 1987).
This strengthens the case for attempting individual syntheses after all.
The difficulty of such an enterprise becomes readily apparent, however,
if one seeks for post-war equivalents of the great comparative government
treatises of the past (e.g.Friedrich, 1937; 1941 ;H. Finer, 1932; 1949.
not to speak of earlier classics such as Lowell, 1896 or Bryce, 1929).
These are very hard to find (e.g. Blondel, 1969; Finer, 1970; for later
attempts to analyze 'European polities'see Smith, 1972; 1989; Steiner,
1986; Lane/Errson, 1987; Pelassy, 1992; and the three-author volume of
Gallagher, Laver and Mair, 1992), and encounter the obvious problem of
an increased number of countries to be treated, with many more empirical
research findings of potential relevance to be covered.
Ralher than on analysis at the level of countries as a whole, work has
tended to focus on particular institutions such as monarchy (e.g. Fusilier,
1960). heads of state (Kaltefleiter, 1970), the formation of cabinets
(e.g. Bogdanor. 1983; Pridham, 1986), parliaments (Wheare, 1963; Von Beyme.
1970). electoral systems (Lijphart, 1993), parties in general (Sartori,
1976; Von Beyme, 1985;
Panehianco, 1988), particular party families, interest groups, bureaucratic
structures, and so on. In studies focusing on particular institutions
or groups, there is always real danger of analyses out of political and
social context.
Alternatively, there is the massive growth of quantitative 'cross-national
studies*. As stated before, both the quantity and the quality of data
has increased massively in the last decades, through the efforts of governments,
international
organizations, the gallant
work of those who prepare "data handbooks'^), and organize data archives.
Such data invite cross-naliona) studies, in a large number of fields.
Thus one need only inspect the guide to journal articles in 'Electoral
Studies', not to speak of important collaborative volumes (ranging from
Rose, 1974 to Franklin ct al., 1992). to see the richness of studies on
electoral behavior, and of elections (cf. Bartolini and Mair, 1990). We
have important studies oa political participation (influenced notably
by the works of Ver-ba/Nie/Kim, 1978; and Barnes/Kaase, 1979) and on the
impact of changing values (an area dominated by the highly debated analyses
of Inglehart, 1977;
1990). The study of cabinet coalitions has offered a fertile a testing-ground
of formal theories (for a useful survey and discussion see: Laver/Schofield,
1990). As we shall see presently, the data revolution has also had a great
impact on the study of the development and problems of modem welfare states
and public policy. Not all such cross-national studies are really comparative,
however. Although they draw on data from many countries, they are often
directed more to problems of general political sociology or psychology
than lo a systematic inspection of country variables. 'Contextual' knowledge
is often neglected, and with it possibly the essence of comparative politics
itself, which in the words of Sidney Verba presupposes that one
"tries to generalize - using that term loosely - about nations, or
to generalize about subnational entities like bureaucracies, parties,
armies and interests groups in ways that use national variation as part
of the expl(inalion''(ital'ics HD; Verba, 1986:28)
A lack of knowledge of (he countries studied has made some such 'cross-
Mtional' analyse! verge on what Stein Rokkan once dubbed mere 'numerologi-cal
nonsense*.
See for some notable examples covering rather different variables and
countries TayIor/Jodice, 1983; Flora, 1983; Mackie/Rose, 1991; Lane/
Mackay/Newton, (991; Katz/Mair, 1992; Woldendorp/Keman/Budge, 1993
1.8 New Approaches
Developments in modem comparative politics, then, were largely the result
of a greater knowledge of individual countries on the one hand, and of
a true revolution in data collection and analysis techniques on the other.
But at the same time, new political problems appeared^-on the political
agenda, which resulted in something like a paradigmatic shift. If comparative
politics had concentrated thus far mainly on problems of regime change,
political institutions, and what in systems theory one calls 'input' structures,
a new concern developed with problems of public policy and political 'output'.
Various factors contributed to this development.
One cause was the (renewed?) 'left' revolution in social science in the
1960s and 1970s, which faced the question why 'capitalist' systems endured,
once-confident prophesies to the contrary notwithstanding. This led to
a new concern with the role of the state which seemed somewhat forgotten
in otherwise rival approaches of systems theory and economic determinism7.
A parallel debate arose on the extent to which political parties - notably
Socialist ones (see Castles, 1978; Schmidt. 1982; Scharpf, 1992;Keman,
1988;1990) - did affect government policies or not. A major element in
the discussion became the degree to which slates differed in their dependence
on external economic forces (e.g. Katzcnslein, 1985), which could only
be solved by comparative inquiry. Even when such studies related to European
countries only, the obvious relevance of international economic structures
and events brought scholars closer to those who had long been preoccupied
with world economic realities (e.g. the proponents of a World Systems
approach mentioned earlier).
A second major factor was the development of 'neo-corporatism'. Originating
to some extent from a transposition of an approach found useful in the
sludy of Latin America (e.g. Schmitler, 1974, reprinted in Schirutler/Lehm-bruch,
1979), it won great acclaim in attempts to explain 'Europe', and possible
differences within it. By emphasizing the close interaction between public
and
In that light the famous title of Evans, Rueschemeyer and Skocpol, 'Bringing
the State Back In' (1985) would seem to testify as much to a new vision
of those who had been strangely blind, as to the real record of political
studies they criticized.
private actors, the neo-corporatist
approach seemed successfully to bridge input and output structures, and
to present a more realistic picture of power relation! and policy-making
than either those who had spoken uncritically of *the' state, or those
who had embraced a naive 'pluralism', had been able to provide. Neo-corporatism
became in Schmitter's words 'something like a growth industry'. But the
gap between 'general' theory and empirical validation remained substantial,
to the detriment of the value of the approach as a tool for general comparative
analyses as distinct from the study of specific policy areas.
A third major contribution came from those who set out to analyze the
development of the welfare slate in comparative terms. On the one hand,
this work fitted in well with the concerns of older development theorists:
one should note the link between stale expansion, economic policies and
processes of political development which had characterized the work of
German Kathedersoti-afistm md Nationaloekonomen; (redistribution had been
one of the paramount concerns of the Committee on Comparative Politics;
and the leading empirical scholar in this field, Peter Flora (1974; 1975;
Flora/Heidenheimer, 1981: Flora, 1986 and following years) saw his work
as filling a gap Rokkan's macro-model of Europe. On the other hand, comparative
work on the welfare state was to encounter what was soon to become the
major debate on its 'fiscal crisis', and on possible limits of state intervention
more generally (Lehner et al., 1987;
Kenuui et al., 1987; Lana/Ersson, 1990). The label 'political economy'
was to cover a wide variety of concerns, ranging from rational choice
paradigms based on individualist self-interest, to studies of specific
policy areas, competing models of general economic and monetary &
fiscal policy, and renewed debates on political legitimacy. The full weight
of such new approaches on the study of comparative politics is discussed
by other contributors in this volume.
1.9 The Great New Challenges
But such challenges would seem to pale before the momentous changes taking
place in what had been thought of as the Communist world, and the attendant
shifts in contemporary international relations. In addition, the progress
of European integration, however halting, is affecting the very basis
of independent
states as the unit of analysis cm which so much of comparative politics
has rested.
The long-standing assumption ofa natural division of labor between the
study of international relations engaged in analyzing the interaction
of states, and comparative politics concerned with the study of processes
within states, always rested on somewhat dubious ground. It left unclear
what scholars were to handle the formation of (new) slates; it glossed
over the great importance of domestic political processes on the making
of foreign policies; it belittled what became known in the international
relations literature as 'transnational' politics;
and it postulated a degree of political independence for 'sovereign* states
which never completely fitted the realities of an interdependent world
(as advocates of a World System approach, dependency theorists and other
political economy theorists had long maintained).
The division of the world in rival blocs had arguably permitted a certain
separation of international relations and comparative politics. The assumption
that existing states within a bloc remained distinct units of analysis
seemed tenable in a world of relatively stable alliances (the necessary
ceferis paribus qualification being as easily forgotten as it was given).
The much more fluid international scene of to-day makes such an assumption
rather more questionable.
At the same time, developments within the European Community increasingly
undermine the role of member stales as independent units, even though
international modes of decision-making remain juxtaposed to supranational
ones. Powers of decision in vital matters are either shared or transferred
to organs 'beyond the nation-stale', while at the same time states also
lose formal or effective powers to regional or local units. The 'national'
power to control citizens, groups and enterprises becomes more dubious
in a world of increased mobility and communication, affecting the status
of individual 'states' as realistic units for comparative analysis.
But the greatest, if generally unexpected, challenge to comparative politics
comes from events in Central and Eastern Europe. We mentioned earlier
that the study of Communist states had become mainly the concern of a
specialist group of (cholars. Experts on Communism have largely lost their
"subject', although they have retained their knowledge of language
and area. Scholars who were mainly concerned with the study of the development
and the
working of democracies, on the other hand, stand before an entirely new
universe. Their concern had generally been with the comparative treatment
of ecuf/n^ democratic states, which is a far cry from the making of new
democracies in societies which have not known democratic rule for two
political generations or more. For all the words spoken by pundits at
symposia, in newspaper columns or journal articles, the extent to which
proven knowledge exists is unclear.
The future of democracy presupposes at a minimum the creation of new institutions,
but the brunt of comparative politics teaching since Weimar has tended
to discount the independent effect of political institutions. Seemingly
abstract debates on the merits of presidential, semi-presidential or parliamentary
systems of government, on unicameral or bicameral legislatures, on electoral
systems and their effect on the politicization of cleavages and the formation
of party systems, on the proper role of Judicial bodies, become suddenly
matters of crucial importance again. But they must function in areas with
all the remnants of a totalitarian past, rival claims for political control
and citizenship, possibly severe disagreements on the nature of the political
unit itself - and all this amidst economic ruin and change. It is as if
all major issues in the study of comparative politics are chaotically
thrown together: the formation of states, the working of institutions,
the rivalry of parties and groups, competing ideologies, the provision
of state services and their limits, issues of economic interdependence,
international power politics, and what not. Against this, one must ruefully
acknowledge that basic political phenomena such as civil war, terror,
ethnic conflict or the shattering effects of ideological strife, have
traditionally tended to fell in the interstices of the study of international
relations, comparative politics and political theory, rather than forming
their core.
Comparative politics, then, stands before its greatest challenge yet.
Never before were so many fundamental questions raised at one and the
same time. In all honesty one should acknowledge that it provides few
definite answers. o
2 Comparative Politics:
A Distinctive Approach to Political Science?
Hans Keman
There have been several attempts to delineate the boundaries of comparative
politics, yet there is little agreement at present on its distincliveness.
Essentially, one could argue that there exist four different ways of defining
comparative politics; firstly, those who distinguish it from other approaches
to political science by referring to certain concepts employed which can
only be properly understood by means of comparative analysis; secondly,
those who take as a point of departure the central features of the political
process which can be analyzed for all political systems; thirdly, there
are those who maintain that politics can only be understood by employing
a macro-scopical perspective;
fourthly, and finally, there are many who define comparative politics
by means of its method: i.e. the art of comparing, and who justify this
by referring to the famous quote of Kipling: what know they of England,
who only England know!
Although the last way of delineating comparative politics is purely methodological,
it is the most prevalent one and not the worst way to define this field.
However, 1 do not wholly concur with this view, for it would mean that
the domain of a discipline is defined by its method, rather than by either
its core subject, i.e. the study of politics, which is then, of course,
still in want of a definition itself, or by its mode of explanation that
is supposed to advance our knowledge of the core subject. In this chapter
our concern will be therefore to demonstrate what comparative politics
can add to political science by means of its use of attributes of macro-social
units in explanatory statements (Ragin, 1987:
5). This calls for an elaboration of the core subject in terms of an identifiable
object of study and how this relates to various levels of analysis. In
addition, a
second concern will be to develop a mcta-theoretical approach that is
capable of explaining or lnterpretingmu\ti-\eve\ variations of the subject
under review (the so-called micro-macro linkage). A final concern is a
resultant of (he preceding ones, and involves scrutinizing existing logics
of comparative inquiry to account for the observed variation by means
of testing empirical hypotheses, thereby either corroborating or falsifying
them (LiJphart, 1975: 159).
All these concerns are in itself worthy of serious discussion and deliberation,
yet the main issue at hand is that comparative politics, as a field within
political science, lacks coherence in terms of a set of theoretical references
and related logics of inquiry. In short this chapter is not only an attempt
to delineate comparative politics as a separate field, but most of all
must be seen as an argument to relate theory and method of this approach
of political science in order to gain a viable and feasible approach to
explain political processes.
In order to clarify my point of view, I shall first elaborate some of
the existing definitions of just what comparative politics is (section
1). In addition I shall argue in section 2 that comparativists should
focus on the political process rather than on the context of 'polities'
In the sections 3 and 4,1 shall delve into the matter whether or not comparative
politics can be characterized by a 'core subject' of its own, and if so.
whether or not it can be distinguished by a theory? In section 5,1 enter
into the most disputed domain of comparative politics, i.e. the comparative
method and its implications fora 'proper* research design. In section
6,1 shall tie together the different arguments regarding views on comparative
politics as a more or less distinctive field within political science.
The central argument will be that a coherent framework of theoretical
references and a corresponding logic of inquiry is required. If il is
not possible to do this, comparative politics will still remain a valuable
asset to political ocieoce, yet any claim of being a distinctive approach
should then be put to rest.
2.1 Delineating the Field of Comparative Politics:
Definitions and Justifications
Comparative politics has grown out of the wish to know more about one's
own political system by comparing it with others. In particular, it was
previously believed that knowledge about the institutional framework of
politics would not
only help to understand the peculiar rites of one's own polity, but would
also enable one to draw conclusions about its merits and disadvantages.
However, this approach was dominated by the idea that supplying comparable
information on the structure and working of a political system in toto
would be sufficient to further knowledge about the political process and
that the analysis should therefore remain of a descriptive nature based
on facts. For example, James Bryce (1929) stated his task as a comparativist-as
follows:
"What I desire is, not to impress upon my readers views of my own,
but to supply them with facts, and (so far as I can) with explanations
of facts, on which they can reflect and from which they can draw Iheir
own conclusions" (p. IX).
This institutional and empiricist approach ('it is facts that are needed:
Facts, facts, facts. When facts are supplied, each of us can try to reason
from them", Bryce, 1929: 13) lost its appeal after the Second World
War when a more analytical perspective was introduced (Blondel, 1981:
173-178). A good example of this change is offered by Roy Macridis (1955),
who argues strongly favor of a more 'scientific' approach to politics
in general and considers the comparative approach as the most promising,
if not revolutionary way to go:
"Comparative analysis is an integral part of the study of politics.
The comparative study suggests immediately the laboratory of a scientist.
It provides us with the opportunity to discuss specific phenomena in the
light of different historical and social backgrounds. It suggests variables
of a rather complex order that can be dissociated from the cultural background
and studied comparatively. (.....)The comparative study of politics is
beginning only now to enter a new stage which reflects in essence the
progressive systematic orientation in the study of politics. Il is beginning
to assume a central role in empirically oriented study" (Macridis,
1955: 1 & 3)
In sum, Macridis believed that comparative politics as a distinctive field
within political science, as he saw it, would be able to bridge the growing
cleavage between political theory and the empirically based study of politics.
This so-called 'revolution* of political science did not materialize and
became a "stalled revolution" (Mayer, 1989; 20) being reduced
to a 'movement' and not o distinctive field, or sub-discipline within
political science. Almond contended
that comparative politics has indeed revolutionized political science,
but that this development should be considered as a stage in the development
of political acieoce. He concludes:
"It is difficult to see therefore, that comparative politics has
a long-run future as a sub-discipline of political science. Rather, it
would appear that, like the political behavior movement which preceded
it, its promises lies in enriching the discipline of political science
as a whole" (Almond, 1968: 336).
Almond's 'developmental' explanation, of course, would mean an integration
of the comparative movement into political science. His view is not wholly
shared by all of his contemporaries such as Macridis, Rokkan, Daalder
and Verba (compare: Daalder, 1986). Although they are critical with respect
to the development of comparative politics as a distinctive field within
Political Science, they instead stress the fact that the 'stalled revolution'
might be seen os the paradoxical result of the growth of comparative research.
Thus, instead of ft 'paradigmatic' development there has been a 'pluralistic*
one. Verba therefore concludes his views on "where have we been,
where are we going?" u follows:
"For the future, one can expect to sec more of the same in the comparative
politics field. It will remain fragmented and appear disorganized. (,..,)My
guess, nonetheless is, that the discipline will maintain its heterogeneity
of styles and theories and that most of its practitioner* will continue
lo view that as healthy." (Verba, 1989: 36)
I do not concur with this view, for such a liberal approach to a sub-discipline
ultimately evades the question what distinguishes it from other Fields
within political science. Furthermore, it avoids Ihe important question
of what it has to offer to a student of politics in his, or her, quest
for understanding and explaining the politica process in a society. It
is remarkable to nole that those who assess the 'slate of the art' in
comparative politics choose either lo view it in an evolutionary way.
or to see it as a pluralistic development.
For example, Holt and Turner represent the evolutionary, not to say a
'positivist', view. In the early seventies they stressed the pre-paradigmatic
Mtuntion and sought a solution in 'scieotism' in order to move beyond
heuristic
schemata (Holt/Turner, 1970: 70). Hence the ftiture of comparative politics
depended, according to them (and many others; e.g. Mayor, 1972; Lasswell,
1968:
Memtt/Rokkan, 1966), by and large on the development of a proper methodology
and genuinely comparable datacol lections. There is nothing wrong with
such an empirical analytical approach, but one wonders to what extent
this 'solution' is in fact different from Lord Bryce's optimistic view
that factual description would render deeper knowledge about thc'Tiature
of politics.
The 'later' Macridis does indeed not share this way of thinking any more.
Reappraising his own optimism of the 1950ies in 1986 led him to a rather
ambivalent posilion. On the one hand. he maintains that "Comparative
politics is emerging as the most comprehensive and theoretical branch
of political science" (p.49), and on the other hand, he suggests
that the search for a grand theory should indeed be abandoned and political
scientists should rely entirely on the development of subfields or specializations
(p. 21). Hence heterogeneity and compartmentalizalion suddenly becomes
a positive development, for:
"clustering, as opposed to the search for grand theory, has given
to the field a new vitality, and may ultimately pave the way to the development
of some unifying models and priorities" (Macridis, 1986: 22),
These lines of reasoning to justify comparative politics as a distinctive
approach are not appear fruitful, nor do they help to develop a description
of this field within political science. Such reasoning only leads to a
situation, which Wiarda (1986) has described as follows:
"Indeed, the field itself seems presently so fragmented and dispersed
as to raise the question in some minds of whether comparative politics
can still properly be called a field at all" (Wiarda, 1986:5).
Clearly the lack of a general theoretical framework and the continuing
debate on both the method and the principal concepts to be used is most
disturbing. This is not necessarily a consequence of using different approaches
within comparative politics, or of employing a wide variety of concepts
alone (see foi this: Sartori, 1970). However, such a pluralistic attitude
precisely produces a situation that most protagonist of this field with
to avoid. For this 'live-and-let-
live' attitude implies an abandonment of the search for a more coherent
approach to comparative politics and, in fact, robs it from any substantial
meaning and theoretical rigor. It will only lead to sacrificing substance
to method, or to raising only those questions that can be empirically
answered, but do not relate to the critical problems of mankind (also:
Mayer, 1989; 21 .Castles, 1987: 222). It is also unproductive to focus
on partial problems within the field, such as choosing the correct method,
selecting the right concepts, and finding the proper data. However, do
not let me be misunderstood, it is not my aim to suggest an alternative
'grand theory' or an overarching 'concept' of politics, that would save
the day for the comparative approach and retaliate its critics. Nor do
I think that by solving the methodological issues comparative politics
will become a 'paradigm' of political science. Instead. I propose the
following guidelines to define comparative politics as an separate field
within political science:
1. describe the core subject of comparative politics. In other words to
question how do we recognize a comparativist, what distinguishes him or
her?
develop a view on which theoretical concepts can 'travel'comparatively
as well as possess a unifying capacity for explaining political processes?
discuss the logic of the comparative method as a means to a goal, rather
than as an end in itself. In other words, which method fits the (research)
questions asked by a political comparativist best?
2.
3.
This is, of course, a rather ambitious agenda, but if we do not at least
attempt to investigate the possibilities of new directions in comparative
politics to journey toward a more or less integrated and distinctive field
within political science, we had better leave the field as a separate
approach. Yet, I wish to uphold the original motives and intentions of
comparativists to develop this approach to political science to enhance
its rigor and claim as a discipline. Whatever the today's skepticism of
the erstwhile protagonists may be, it is worthwhile to investigate the
possibilities of comparative politics thoroughly. Let us therefore now
turn to the first point on the agenda: the description of the field.
2.2 Comparatively Researching
the Political Process
Comparative political research
is generally defined in two ways: either on the basis of its supposed
core subject, which is almost always defined at the level oJ political
system (Kalleberg, 1966; Wallerstein, 1974; Almond/Powell, 1978), or by
means of descriptive features that claim -to'enhance knowledge about politics
as a process (e.g.: Apter/Andrain, 1972; Roberts, 1978; Dogan/Petassy,
1990) These descriptions are generally considered to differentiate comparative
politics from other fields within political science. Although it is a
useful starting point. K is nol sufficient. Some authors are more specific
in their description and add to this general point of departure that comparative
politics concerns nations and their political systems (Wiarda, 1986),
or the study of geographic areas. Finally some authors deliver a more
or less exhaustive definition in which "thi comparative study of
political phenomena against the background of cultural. sociological and
economic features of different societies" is the focus o;
comparative politics (Macridis, 1986; Berg-Schlosser et al., 1987).
All these descriptions may be useful up to a point, but they do not help
to mark off the field and require greater specification. Comparative Politics
must be defined in terms of its theoretical design and its research strategy
on the basi;
of a goal-oriented point of reference, i.e. what exactly is to be explained.
A wa;
of accomplishing this is to argue for a more refined concept of 'polities'
anr develop concepts that 'travel' and can thus be related to the political
process ii various societies. In addition, a set of rules must be developed
that direct thi research strategy, aiming al explanations rather than
at a complete description of political phenomena by comparing them across
systems, through time, o cross-nationally. At this point most comparativists
stop elaborating then approach and start investigating, often however,
without realizing that theon and method are interdependent modes of explanation.
In contrast, comparative politics should be seen as an approach lha' aims
at explaining the political process in a society by means of a (meta-i
theoretical framework of reference and where explanations are validated
h comparing units of analysis (see also: Roberts, 1978; Ragin, 1987; Przeworski
1987; Castles, 1989). The goal of comparative politics is to explain thos.
'puzzles' which cannot be studied without comparing and are derived fron
logical reasoning. Hence, no comparative research without an extensive
theoretical argument underlying it, nor without a methodologically adequate
research design to undertake it.
In most discussions of comparative politics, it appears to me, that both
theoretical and methodological aspects arc divorced, or - at least - treated
separately. For example, Ragin (1987) and Przeworski (1987) emphasize
predominantly the methodological aspects of the art of comparison as a
'logic of inquiry', which is often underdeveloped or incompletely elaborated.
At the same time these authors argue their case by mean;; of examples
that are seemingly picked at random. Worse even, it seems that some of
the examples are selected to demonstrate the tenability of their view.
Theoretical progress and explanatory value appears then to emanate from
their 'logic'tsee: Przeworski, 1987: 45ff; Ragin. 1987: 125ff). Yet. the
comparative analysis of the political process must be founded a priori
in theory and then related to the best fitting 'logic of inquiry'".
Another example of such a separation of theory and method can be found
in the study of electoral behavior. This vital part of the political process
can be explained fairly well on the basis of deductive reasoning. To validate
its micro-level founded hypotheses a comparative research design is not
necessary. It can be done, but it is only genuinely comparative, if the
explanatory concepts are analyzed by examining the variation in the political
properties on both the micro- and macro-level. Electoral behavior or party
behavior that is explained by means of the working of electoral systems,
features of a party system, or the existing rules of government formation
are in need of a comparative anlysis(see. for example, Lijphart, 1984;
Sartori, 1976; von Beyme. 1985; Bogdanor/Buller. 1983; Budge/Keman, 1990).
However, studies which focus on inlra-systemic variation or micro-level
variation are, notwithstanding their quality per se and
usefulness as sources of information, not genuinely comparative in nature
(see, for example, Blondel, 1985; Henig. 1979).
This conclusion seems to hold for other types of cross-national research
too: since the seventies the study of 'electoral volatility' in Western
Europe gained momentum, when it appeared that the division of party systems
and the gtructure of voting patterns was less stabilized than originally
assumed (Crewe/Denver, 1985; Daalder/Mair. 1984). It is interesting to
note (with the help of hindsight) that most analyses were, in fact, based
on country-based analytical descriptions with little comparative information.
What was lacking was a truly comparative set of theoretical references
concerning - in this case - the expticandum i.e. 'political stability'
that at the same time is consciously linked to a comparable set of operational
terms (see: Bartolini/Mair, 1990:35-46).
The same observation can be made with respect to the study of government
formation. On the one hand, there are collections of country-studies (more
often than not, I hasten to add, developed on a shared list of elements
present in each case description; e.g.Pridham, 1986) that stress the idiosyncratic
nature of a country's political process, rather than the communality of
the development under review. On the other hand, a development can be
observed with respect to the politics of coalition-building in which an
underlying theoretical argument has been developed that directs the research,
where countries are not the principal focus, but a collection of comparable
cases that show variation concerning what is to be explained (e.g. Laver/Schofield,
1990. Budge/Keman, 1990). Other examples could be mentioned to support
this point regarding the relation between theory and method in comparative
politics (such as the comparative research into the relation between "politics
& policy'; see:
Castles, 1989;Schmidl, 1991; Keman/Lehner. 1984; Chapter 7 & 8 in
this book). Yet. the principal message is that much of the research that
is labeled as comparative, either lacks theoretical foundation, or is
based on a research design that is not comparative.
In fact, what one often sees, as Sigelman and Gadbois (1983) have found
for the United States, is that the majority of studies published as being
comparative are single nation studies. Even iflhis criterion is relaxed
(i.e. case-studies with a comparative focus) the non-comparative studies
are one-third ol the total reviewed. The same applies to textbooks and
courses on comparative politics. Mayer (1983) concludes that nearly half
of these are basically country-
focussed presentations without a clear overarching theme or comparative
focus. Again, however useful and interesting these studies, textbooks
and courses actually may be, they are not genuinely representing comparative
politics nor, for that matter, enhancing it as a distinctive field within
political science. What is needed, therefore, is to examine the possibility
of developing a theoretical perspective of the 'core subject' of comparative
politics.
2.3
Modes of Explanation in Comparative Politics: Topics and Approaches
The 'history* of the theoretical
development has by and large already been told in Chapter 1 and can be
characterized by the development from 'grand theories* spilling over in
central topics and related concepts which gradually evolved in more or
less separate approaches (see also: Nohleo, 1983: 1077-1079; Wiarda, 1986:
Chapter l;Macridis, 1986; Berg-Schlosser et al., 1987). What is remarkable
is that in most contributions the core subject under review is either
taken for granted, or assumed to be self-evident (e.g. Blondel, 1981).
'Polities' is what governments do (or do not do), the actions of politicians
and (their) parties, the institutions that make up a political system
and also the process of policy-formation. Yet, little is said about what
the nature of politics is, apart from referring to it as an inevitably
'contested notion' (Cf. Connolly, 1983).
I shall not endeavor to put forward here a neatly packaged definition
of politics, but rather attempt to show that it is possible to circumscribe
it in terms of reference that enables us to distinguish 'polities'from
other phenomena in society. I feel this to be necessary, since many of
the theories that have been used in comparative politics have failed to
recognize that without a coherent circumscription of its core subject,
i.e. the 'Political', explanations have tended to become de-politicized.
Hence, the theory was not using politics as an explicandum, but as what
had to be explained by other non-political features. This development
can be amply illustrated by means of the 'grand theories' which were in
essence cultural, or functional explanations of political behavior, or
conversely remained 'economistic* in nature,
It is not relevant for our discourse to repeat here the criticism;; on
these socio-cultural inclined 'grand'theories of comparative politics.
Our aim is rather
to demonstrate that the developments in this field led to a kind of theoretical
'escapism' by an attempt to explain politics by means of non-political
features of a society and to create an almost ideal-typical concept of
political behavior:
the concept of the "proper* citizen, who would enhance the (value-related)
concept of the 'best' political system, namely sustaining the working
of democracy. Such an approach, however, will often not lead to a theory
about the political process, but rather will offer an explanation about
its socio-cultural preconditions. Hence my point here is not whether the
theory or methodology is correct or not, but rather that this approach
is missing the important point of explaining what the political process
itself is about (see; Blondel, 1981; Roberts. 1978; Keman. l992a).
In the same mold is, albeit from another angle, the 'economislic' approach
(see for this distinction; Barry, 1970). The 'rational choice* school
is less guilty of 'escapism' and confusing research designs. Yet, in this
approach the main problem is the extent to which the concept of rationality
is narrowly defined or not (see: the Chapters 4 & 5 in this book;
for an excellent overview consult: Renwick Monroe, 1991), the degree to
which the topic under review is essentially still formulated in terms
of individual behavior (i.e. on the microlevel of observation), and thirdly,
whether or not these theories are - implicitly or explicitly - equating
the 'logic' of the market with the 'logic' of the political arena. These
criticisms point to a central problem of this approach in terms of theory
and research: an 'economistic' concept of rationality suffers from an
ecological bias (both on the level of formulating hypotheses and of measuring
beyond the level of individual behavior; Dogan/Rokkan, 1966), on the one
hand, and from the fact that there is more to politics than can be explained
by economic rationality alone, on the other. However, it must be noted
that protagonists of the rational choice-approach have attempted to solve
this problem. Both the 'public choice' literature (e.g. Mueller, 1989;
van den Doel/van Velthoven, 1989) and the development of the so-called
'positive political economy' (e.g. Laver, 1986; Alt/Shepsle, 1990) elaborate
the political process per se by means of the institutions that direct
the scope of rational behavior of the participants and the consequences
in terms of interdependent relations (Scharpf, 1987; North, 1990; Chapter
7 in this book). Notwithstanding the fact that these developments are
promising, it is not yet clear to what extent
this type of explanation will eventually lead to a genuine definition
of Ihe political process as a core subject of investigation in comparative
politics.
In sum; whatever the merits of these approaches are as potential explanations
of politics, they do not tell us much about the nature of politics, and
therefore are not really theories of the political process, but are instead
possible explanations about political phenomena and (series of) political
events. How then should we proceed from here if socio-cultural and socio-economic
properties are to be considered merely relevant as contextual variables
in explaining variations of politics, but not always adding knowledge
about the 'political' itself?
Generally speaking comparativisis have proceeded from this point either
in the direction of focusing on central concepts, or they have resorted
to a 'scientific'mode of explanation by applying the canons of empirical-analytical
methodology (including high-powered statistical techniques) to political
topics.
The first approach, for example, concentrated on various topics like democracy,
political regimes, parliaments, revolutions, welfare states, war &
peace, etc. (see for an extensive list of such topics, including the literature:
Berg-Schlosser et al., 1987: 271-304). The 'scientific'approach did not
differ from the first in this respect, but concentrated much more on the
question whether or not hypotheses could be corroborated by available,
quantifiable data. Again, this certainly added to the body of knowledge
of political situations, events and societal development, but hardly answered
the question what politics was all about and how politics itself may have
an impact on societal developments. In other words: it appears that we
know a lot about politics in the real world, and due to comparative research
how different its complexion can be, but at the same time we know preciously
little about its nature and the extent to which it is an independent explanatory
factor.
An example of this latter issue .is a debate within comparative politics
on the question whether or not 'Politics Does Matter' (see: Castles. 1982:
4-15;
von Beyme, 1985: 334-359; Keman, 1988: 71-75; Gallagher et al, 1991: 236ff).
It has been one of the first attempts to re-install the 'political' (here:
parties and governments) in comparative politics as a variable influencing
societal developments. On the one hand, the debate focussed on a topical
relation, i.e. democratic decision-making and public policy-formation;
on the other hand, it searched for the method to prove right from wrong.
Both the theoretical
conceptualization and the correct comparative method were al issue. Regardless
of the result of this debate, it demonstrated that seemingly endless debates
were possible on concepts itself, the way of analyzing it and the data
and techniques used and so on. At the end of the day it appeared, dependent
on the countries studied, the time-period under review, the level of measurement
and the operational izations employed, that all contenders were sometimes
right and sometimes wrong (see also: Castles, 1987; 1989; Keman. 1990).
Undoubtedly, this debate within the realm of comparative public policy
analysis has helped to further our knowledge of political processes and
the usage of the comparative methods. However, it also shows that without
a clear view of what the core subject actually is, both the methods used
and the data collected cannot really enhance our knowledge of 'polities'
as such. Moreover, it does not help us to define and describe comparative
politics as a distinctive approach within political
2.4 The Political as the Core Subject of Comparative Politics
The 'political' in a society can be described on the basis of three dimensions:
politics, polity and policy (Schmidt, 1991; Keman, 1992a). Politics is
then what I would like to call the political process. On this level actors
(mostly aggregates of individuals organized in parties, movements, or
groups) interact with each other when they have conflicting interests
or views regarding societal issues that cannot be solved by themselves
(i.e. deficiency of self-regulation). The process of solving those problems
which make actors clash, is more often than not visible through the institutions
that have emerged in order to facilitate conflict resolution. Institutions
help to develop coalescence and to achieve a consensus among conflicting
actors through compromising alternative preferences. These institutions
manifest themselves in the rules of the game in a society. This is what
is meant with the 'polity'. To put it more formally, rules are humanly
devised constraints that shape political interaction. Institutions are
here considered to be both formal, like for instance in a constitution,
and can be enforced,
wad informal, i.e. they evolve over time and are respected ss a code of
conduct by moot actors involved3.
The necessity to solve deepsealed societal conflicts and thus the need
for effective 'rules' which enable a political consensus among contestants
can be understood as follows: firstly, rules reduce uncertainty among
the actors involved, hence they can act strategically (see Chapter 5 in
this book); secondly, they provide room for exchange and compromises for
those problems thai are aptly circumscribed by Ostrom (1990) as "common
pool requirements". The options chosen or decided upon for political
action to solve the problem (in whatever form, i.e. this also includes
non-decisions and non-actions) is what we shall call policy formation.
This process is equivalent to what others would call 'state-intervention'
or the 'authoritative allocation of values in a society'. The actions
of the state or the allocating agency are in this conceptualization of
the 'political'viewed as relatively independent from societal interests
(Skocpol, 1985:
45), That is to say: political action, i.e. the relation between politics
and policy-making, requires a degree of autonomy in order to be feasible
and effective. If this is not the case then the political process is merely
'ritual' and indeed simply a reflection of societal features and developments.
In short, a theory of the political process must assume that there exists
a mutual and interdependent relation between politics and society, and
that its organization is to a large extent independent from society. The
issue at hand is then to investigate to what extent and in what way this
process can be observed and affects social and economic developments.
It should be kept in mind, that the triad of "polilics-potiiy-policy"
in itself is not a theory of the political process. It is instead a heuristic
device to delineate the 'political' from the 'non-political'. This description
of the ^political', however, makes it possible to elaborate on the core
subject ofcompa-
rative politics. That is to say that all those processes that can be defined
by means of these three dimensions are worthy of our attention as long
as the analysis requires comparison in order to explain the process. The
next step therefore is to specify the unit of analysis for comparative
purposes.
This is a more complex undertaking than it appears since, as Ragin (1987:
7-9) and Przeworski (1987: 2-4) correctly point out, the unit of analysis
is not by definition the same as the properties under review, but may
also indicate the theoretical categories that direct the research question
at the same time. The term 'unit of analysis' can have two meanings therefore;
on the one hand it signifies an elaboration of the theoretical argument,
on the other hand it concerns the translation of the theory in properties
to be observed empirically.
A number of comparative researchers have drawn attention to this confusing
way of using the term 'unit of analysis', which easily leads to equating
description with explanation. However, it is quite important to know exactly
what is under discussion, if we wish to validate theoretical statements
by means of empirical knowledge. Przeworski and Teune propose a distinction
between 'levels of observation' and 'levels of analysis' (1970: 50), whereas
Ragin introduces the terms 'observational unit' and 'explanatory unit'
(Ragin, 1987: 8-9). Both these distinctions between respectively empirical
knowledge and theoretical statements appear useful, but I still find them
confusing.
Levels or units of observation and analysis may either appear to correspond,
as is the case with, for example, studies of political parties and party
systems, or in fact do not intersect (e.g. with respect to theories of
the world system, where the explanatory variable, the system, by definition
equals the observational units, i.e. the nation-states). However, in both
these examples, both units are, in one way or another, supposed to be
conceptually interlinked. Whatever name one gives it, it does not solve
the problem at hand. The comparative analysis of the 'political' always
involves a multi-level type of argument. Hence, it involves the observations
of comparable parts that are considered to be an analytical whole. Of
course, both Ragin and Przeworski realize this also, but instead of specifying
the core subject of comparative politics, they resort to a methodological
refinement as a solution. I therefore propose to consider the unit of
analysis to encompass every topic that can he formulated in terms of ihe
heuristic triad of politics, polity and policy. The unit of observation
is then simply the operational izal ion of the 'triad'in comparative
perspective, making them belong to the field of comparative politics.
That is, if (he question under review can only be explained in terms of
mocro-scopical properties which vary from one system to another.
To give a concrete example; the study of the development of the welfare
stale is not, by definition, a subject of comparative political research.
In my view, it becomes a comparative topic only, if an attempt is made
to explain this development by means of macro-political properties such
as conflicting interests between economic classes. These conflicts are,
depending on the existing features of the liberal democratic state, fought
out and subsequently may result in a patterned variation of public policy-formation
at the system-level of the state. Hence the core subject is not the welfare
state, but instead the extent to which politics, polity and policy can
be identified as properties of me political process. This being the case,
the extent to which elements of this process are relevant, is explaining
the political developmeni of the welfare state.
Alternatively, if one focusses on 'classes'it is not their existence perse
that matters, but their degree of political action which may, for instance,
explain the emergence, or the change of political institutions (e.g. the
rule of universal suffrage, or the role of trade unions in the decision-making
process). In the latter case, i.e. institutional change, the "political'
is regarded as consequential, whereas in the first example, i.e. the development
of the welfare state the 'political' is explanatory. In both examples
the unit of analysis is expressed in terms of macro-scopical properties
related to the political process, and measured or observed across systems
or across time within a system at a level that is representing a coherent
political unit. Politics, polity, and policy are thus in my view a set
of theoretical references as well as an empirical point of reference,
which form together the core subject of comparative politics.
Although here the core subject of comparative politics has been specified
in relation to the 'political' in a society, it does not imply that we
have o theory too. This implies that an appropriate (meta-)lheorelical
approach should be related to the macro-scopical properties, which represent
the features of politics, polity and policy. This means, in my view, that
approaches which are basically formulated on the micro-level are less
likely to be useful to explain political processes (like, for instance,
economistic explanations of government formation; see: Lijphart, 1984:46-66).
The same applies to 'grand theories' that depart from one overarching
concept (like. for instance, political development;
see: Mayer, 1989: 64-74; Lane/Ersson, 1990: 90-126), or theories that
are in fac based on socio-economic or socio-cultural features (see: Rokkan,
1970 Dogan/Pelassy, 1990: 3-44). The problem is namely that these macro-societal
approaches cannot separate (he political from the non-political in then
explanation of events, situations or developments.
Rather than looking for broad concepts or micro-based theories i appears
to me that a theoretical approach in comparative politics should h. focusing
on the interaction between political actors and institutions, in whici
way this interaction influences a system's capacity to perform in accordance
will the needs and demands of a society. A viable trajectory to follow
is the politica economy of institutionalized behavior of interdependent
actors in relation to th< political actions which are, in turn, molded
by the political organization of th< slate in a society (see: Laver,
1986; Krasner, 1988; North. 1990; Scharpf, 1987 1991; Strom, 1990; All/Shepsle.
1990; Budge/Keman. 1990; Ostrom, 199( Czada/Windhoff-Heritier, 1991; Grafstein,
1991; Schmidt, 1991; Olsen. 1991 Keman, 1992a). What these authors have
in common, is the idea that actor related behavior (i.e. 'politics') must
be understood within the context o political institutions (i.e. 'polity').
In addition, thai the variation of the polic performance of a political
system can to a large extent be accounted for h examining Ihe patterned
interaction between the working of institutions and th. related room for
manoeuver of political actors.
Hence the theory-guided question of comparative politics is to wha extent
the 'political', the core subject of comparative politics, can indeed
accoun* for, and is shaped by the political actions in one system compared
to another It is this process and the attempts to explain it by systematic
comparison tha distinguishes comparative politics from other fields in
political science and it a the same time makes it a field within political
science. Which brings us to lh-next question this esny seeks to answer:
how and when to compare in a mctho dologically sound fashion?
2.5 The Meaning and Use of the Comparative Method
There IE little dispute about the comparative method being the most distinctly.
feature of compntive politics. Yet. at the Mime time there has been a
conti nuing debate about what, when, why and how lo compare (e.g. Lijphart,
1975;
Roberta, 1978; Dogan/Pelassy. 1990; Rueschemeyer et al., 1991). There
is no need here to go into the comparative method as such (see; Przeworski/Teune.
1970; Merrit/Rokkan, 1966; Maycr, 1972). In view of the theoretical perspective
developed in the previous section, I would instead like to focus on the
extant methodological controversies which this debate provoked.
What to compare? Rather than focusing on 'macro-social', 'societal' or
'contextual* entities, it should now be clear thai I propose to study
the 'political' m a society. This further implies that the conceptualization
of 'politics, polity and policy* as a comparative tool is the major methodological
concern. The social and economic configuration of a society, or situation
is not the primary goal or meaning of comparison, instead capturing the
specified differentia of the 'political' across situations and across
time will have my concern.
By taking this point seriously, there are a number of implications for
the controversies on the comparative method. It concerns questions like:
whether or not political science per se is comparative by nature (e.g.
Almond, 1966; Lasswell, 1968; PrzeworskiTTeune, 1970; Lewis er al., 1978;
Mayer, 1989),
whether or not the substance, i.e. the relationship between theory and
reality, defines the correct approach w terms of case-studies, cross-sectional
analysis, variable-oriented (often equated with statistics) research designs
(e.g. Lijphart, 1971; 1975; Przeworski, 1987; Ragin, 1987).
whether or not comparisons are only meaningful by applying the longitudinal
dimension and confine the number of relevant cases to analyze (e.g. O'Donnel,
1979; Castles, 1989; Bartolini. 1991; Ruesche-meyer ct al., 1991),
whether or not causal explanation is achieved by means of empirical-statistical
corroboralion (Ragin, 1987; Lijphart, 1975; Holt/Turner, 1970; Smelser,
1976).
The first issue is more or less reminiscent of the transition from the
'behavioral' dominance in political science and its attempt to achieve
'scientific* status (Mayer, 1972). The comparative method was considered
to be the ideal platform, if executed on the basis of statistical techniques
of data-collection, variable construction and causal modelling, to reach
this status (e.g. Holt/Turner, 1970).
This position strongly coincided with the search for a 'grand theory'
of politics. Apart from the fact that for various reasons 'scienticism'
in the social sciences has lost its appeal, it simply induced a situation
in which we lost track of whal the substance, i.e. the 'political', is
(Mayer. 1989: 56-57). Francis Castles (1987) has succinctly pointed out
that "the major incongruity is not a matter of theory not fitting
the facts, but of the facts fitting too many theories' (p. 198).
Thus, even if one knew what to compare, the refined techniques cannot
really help us in deciding what is right or wrong, since what we often
lack is a adequate theoretical perspective that is consciously elaborated
in proper conceptualizations of the 'political'.
The latter point, i.e. the relation between conceptualization and operational
izalion (Sartori, 1970; Lijphart, 1975; Scheuch, 1980; Przeworski. 1987)
has been taken up since the early 1970s. Even if one thinks one knows
what to compare, the question remains of how to translate it into proper
terms for empirical research.
As I pointed out in the preceding section the use of the term 'unit ot
analysis' is confusing, moreover I concluded that this issue cannot and
should not be solved by means of a methodological point of view alone,
but instead ought to be primarely formulated in terms of the core subject
of comparative politics. However, this task remains unresolved by the
definition of the core subject of the 'political'. It essentially means
that one has to chose, on the basis of a topical research question that
is formulated in terms of the 'political', the correct research design
(see for this: Robertson, 1978; Schmidt, 1987; Kernan, 1988; Rueschemeyer
el al., 1991). The question what to compare leads to the matter of how
to compare.
Generally speaking, the 'logic'of comparative research goes back to the
famous predicament of John Stuart Mill (1806-1873) which has led to the
equally well-known distinction between the 'most similar" and the
'most different systems' design for comparing (Przeworski/Teune, 1970;
32). Most comparativists agree on this distinction, but differ on the
question of whether or not the research design should be based on as many
similar cases as possible, or upon a small number of dissimilar cases.
The first approach leads easily to the so-called 'Gallons problem' (Lijphart,
1975: 171), that is to say; few cases, many variables, which make it difficult
to arrive at conclusions of a causal nature. This is ultimately the result
of'diffusion'(i.e. processes of historical learning), which
leads to spurious relationships, or to 'overdetermination* (i.e. even
if cases are, to o large degree, similar, the remaining differences will
be large due to the use of concepts that are too broadly operational ized)
and in turn this situation will affect the relation between apparently
independent variables and the dependent phenomenon (Przeworski/Teune,
1970; 34. Przeworski, 1987: 38-39). As far as I can see, there is, as
of yet, no proper solution to this problem. It is by and large due to
the dynamic nature of social reality, which cannot be captured by means
of controlled experiments.
This problem, inherent to the substance of social sciences, is thus also
an inevitable problem of comparative research of the 'political'. Rather
than abandoning empirical research aimed at explanatory results altogether
(like, for example, Maclntyre, 1971 concludes). Instead 1 suggest to take
into account the limitations and constraints of the comparative method
and to attempt to develop a research design that is suitable for the research
question under review (see also: Ragin, 1987: 9-10).
Four issues with regard to method are to be observed when a research design
is developed. Firstly, the context of what is compared; secondly, the
role of 'time' with respect to the problem under scrutiny; thirdly, the
level of inquiry, Le. the micro-macro link; and fourthly, the number of
cases involved. These issues are equally important and decisions made
upon them will have a great impact on the plausibility, validity and quality
of the outcomes of a comparative research project.
Contextual variables are those variables that make up the environment
of the core subject, i.e. of the 'political'. A 'most similar' design
is intended to reduce them to the barest possible minimum by means of
selecting cases (or:
systems) that are by and large identical, except for the relations between
variables under review that represent the research question, i.e. what
is to be explained. The debate on 'Does Politics Matter' which 1 referred
to. or the analysis of the development of welfare stales that I mentioned,
are both examples of how important the choice of cases is in relation
to the analytical conclusions based on them. For instance, comparing non-democratic
regimes with democratic ones, or 'young'democratic systems with long established
ones could lead to conclusions of whether or not parties do play a role
in political decision-making. However, such a comparison would not render
information regarding about the question to what extent political parties
in parliamentary
democracies do matter with
respect to policy formation in general, or whether party differences are
relevant for the development of welfare statism (Castles. 1982; von Beyme.
1985; Schmidt, 1987; Keman, 1990).
Moreover, the number of variables not controlled for in such a research
design would be immense and would thus engender Gallon's problem. Obviously,
this is an erroneous path to lake, although it is worth noting it ha,1
been suggested that the problem could be by-passed by using functional
equivalents, i.e. assuming that particular actors and institutions in
one systen are identical to certain phenomena in an other system. For
instance the role o 'leaders' in the Third World and 'traditional' modes
of decision-making couk' be compared with the ways party elites and concomitant
bargaining take plact in a parliamentary democracy (Dogan/Pelassy. 1990:
37-43), However, given Iht already existing problems of comparing on the
basis of similarity I do nol consider this a sound trajectory to follow.
The number of contextual variable' must be tow in the eventuality of a
research question that is akin to the mosi similar approach, and even
in a most different design the number of 'contextual variables should
not be excessive, otherwise one would end up with conclusions that everything
is indeed different and all situations are peculiar by definition. It
is the enduring paradox of Scylla and Charybdis, and there is no easy
solution.
Much comparative research is characterized by a //me-dimension. Thi-poses
a number of problems which are related to the consequentality of tinu
itself, the number of cases that can be studied and Finally, the measurement
o time in terms of variation (Grew, 1978: Flora. 1974; Bartolini. 1992).
Bartolini notes that, surprisingly enough, the historical method is rarely
disputed by social scientists. However, there exists a large body of literature
within historiography that discusses .the complexities of temporal variance
and its explanatory valm (Romein, 1971; Braudel, 1977; Althusser, 1983;
Burke, 1978) and has revolve^ around the so-called 'Annales' school. Like
the pervasive discussion withn social science on levels of measurement,
i.e. the nucro-meso-macro linkages, the 'Annales' (and Braudel in particular)
attempted to differentiate 'time* h;
distinguishing three levels of diachronic development: the long term (macro).
the cyclical movement (meso), and the occurrence of events (micro). The
lonj term development structures the other levels and makes it possible
to relate events to cycles and. according to Braudel, events can be understood
in theil proper historical context. In this way, it was claimed, objects
of study, such a'
the political development of a society, can be compared as if they were
synchronical. Yet, a problem remains that one is implicitly assuming that
the structuration of time is a result of a few, universal factors (for
instance, the impact of processes of'modernization'). Hence, time remains
uni-dimensionally defined and is therefore potentially an overdetermining
factor.
The alternative route, which is often advocated, is to incorporate time
in the research-design by means of a case study design (Ahrams, 1982;
Tilty, 1984; Skocpol, 1985; Ragin, 1991). Apart from the problem of the
time dimension in relation to consequentality, another problem is contained
in the conceptualization of the 'political': are we looking at the same
phenomenon through time or at functional equivalents? In other words:
is the development of ft political process captured over time, or does
it concern the cross-time variation in a political phenomenon3?
As Bartolini correctly points out, there is no fundamental (or logical)
difference between using a synchronical or a diachronical research-design.
In both cases the comparativist has to grapple with the fact of whether
or not the observed variation is part and parcel of both the independent
and dependent variables. Hence, the so-called qualitative comparative
case approach (Ragin, 1991; O'Donnel, 1979) which claims to be superior
to the quantitative comparative spatial approach is wrong-footed, as long
as its proponents do not supply us with a logical argument that the time
dimension can only be applied in a comparative analysis based on case
studies.
Again, I would instead suggest to reach a decision on the use of time
in a research-design on the basis of the research-question. If one investigates,
for instance, economic policy-making in OECD-countries, one may make use
of a perioditotion which represents a similar incident or event in all
the cases under review (see Chapter 8 in this book). If one wishes to
analyze the development
.
of 'welfare statism" one could decide to use time-series analysis,
whether or not it concerns one or more countries. A final example of choosing
a research design may be the study of processes ofdemocratization ofa
society. To do this on the basis ofa single case-study is very well justified
and useful (e.g. Daalder, 1966;Rokkan, 1966), but a comparative investigation
of this process diachroni-cally can be equally justified and useful (e.g.
Lipset, 1963; Rueschemeyer et al. 1991). All these examples demonstrate
that time can be explicitly taken into account with respect to the research-design.
However, the choice in what wa) this is done has more to do with the research
question than with a specific approach of including time into comparative
research.
Contrary to the time dimension, as has been pointed out here, the problems
with spatial analysis have been discussed at great length. Spatial analysis
has to do with the level of measurement in relation to the selection o)
cases under review. Lijphart (1971) in his seminal article, distinguishes
three types of spatial analysis, namely: statistically based, case-oriented,
and the comparable case approach (see also: Ragin, 1987; Rueschemeyer
et al., 1991) Ragin, in particular, overstates the differences between
the various methodological approaches. He develops a dichotomy that is
separates the 'case-oriented' from the 'variable-related' research design.
The first approach would enable the comparativist to analyze the 'political'
more comprehensively than would be possible by means ofa 'few variables,
many cases' approach. The latter method is, in Ragin's view, inferior
to the 'comparable case' approach because the relationships observed are
bound to be biased or 'overdetermined' as a result ol empirical indicators
which are either too generally constructed or measured at a highly aggregated
level. Hence conclusions based on (quantitative) broad comparative analyses
are often only seemingly (statistically) robust and the causal interpretations
not always as valid as is pretended they are (see also:
Robertson, 1978; Przeworski, 1987).
However valuable these insights may be and how important a reflection
on these issues is, it concerns an argument, which is a false one. In
my viev behind these arguments there is essentially a difference in epistimological
tradition and even in 'belief systems' or paradigmata. The differences
between research designs is often exaggerated and often not based on logical
arguments. It is quality (i.e. historical knowledge) versus quantity (i.e.
analytical empiricism), holistic explanations versus parsimonious modelling,
interpreting
patterned diversity (e.g. on the basis of a 'most different' design) versus
judging patterned variation (by means of" 'most similar' design),
detailed knowledge of the cases versus theoretical knowledge from relations
and so on (Ragin, 1987:
Ch. 2 and 3). Yet. is there really such a difference between the two approaches
that warrants such strong views on the rights and wrongs of either approach?
It is obvious, that I do not think this to be the case nor that it is
necessary (see also: Rueschemeyer et al.. l99I:27ffon this point). Elsewhere
I have attempted to clarify this point about applying the logic of comparison
to a research question *s a means to develop a theory within the field
of comparative politics:
"to construct a theory at all one has to simplify and generalize,
rather than describe. There is no point in constructing a general explanation
clogged up with minutiae of time and place. The purpose of a theory is
to catch and specify general tendencies, even at the cost of not fitting
all cases (hence one can check it only statistically, and it is no disproof
to cite one or two counter-examples). The theory should, however, fit
the majority of cases at least in a general way, and provide a sensible
and above all an applicable starling-point for discussion of any particular
situation, even one which in the end it turns out not to explain - here
it can at any rate serve as the basis of a special analysis which shows
which (presumably unique or idiosyncratic) factors prevent it from fitting.
A general theory of this kind serves the historian by providing him with
an entry point and starling-ideas. These, we would argue, he always brings
to the case anyway; with a validated theory he knows they are reasonably
founded and has a context within which he can make comparisons with greater
confidence. As we suggested at the outset, there is no inherent conflict
between historical analysis and general theory. Each can, indeed must,
be informed by the other and supplement the other's efforts. Theory is
therefore a necessary simplification and generalization of particular
motives and influences, not simply a restatement of them, though complete
loss of contact with historical reality will render it too abstract and
ultimately ilTelevant.'(Budge/Keman, 1990: 194)
2.6 Comparative Politics
as a Distinctive Approach in Political Science
The main argument throughout this essay has been that the purpose of applying
the comparative method in political science is to identify regularities
regarding the relationship between societal and political actors, the
accompanying processes of Jnstitutionalization of political life, and
the societal change that emerged simultaneouly. In addition the logic
of comparison is seen as the 'royal way' to establish theoretical and
empirically refutable propositions that explain these regularities in
terms of causality.
To this end. comparative politics as a distinctive approach selects and
compares the'political'in a variety of different situations. Comparative
analysis is considered to provide a greater opportunity to analyze a greater
variety of political behavior and institutions, within and among political
systems. Assuming, one knows what to compare and foremost why, the proper
research design can be developed to allow for an analysis that accounts
in a plausible way for the research question. Thus, it is not a matter
of discovering a particular method that can be considered as quasi-paradigmatic
for comparative politics.
There are a number of options open to the comparative researcher. In the
process of selecting the correct research design one should be aware of
the caveats and pitfalls of the several approaches that are in existence.
Instead, comparative political science may be defined by the use of a
particular core subject, i.e. the triad of polilics-polity'policy, which
involves understanding of:
firstly, how concepts are derived from the 'political' in relation to
the
research question posed;
secondly, how these concepts can be nude to "travel" from one
system (understood here in relation to the unit of analysis) to another;
thirdly, how a set of units of observation can be developed within which
systems may be compared and classified;
finally, how and when one compares similar and dissimilar systems. synchronically
and/or diachronically; and how and when case-studies may contribute to
more general theoretical knowledge.
The understanding of these 'rules' is vitally important for every student
of comparative politics and distinguishes it from other fields within
political science. They characterize the dislinctiveness of comparative
politics. In the
56
following table the main distinguishing features, which have been discussed
in this chapter, of comparative politics ssn distinctive fie\d are summarized
(see for this also: Nohlen, 1983: 1083):
Core Subject: the political Level of Observation Time Dimension N. of
Cases Contextual Variables
1. Politics, Polity & Policy Political System & Society SynchronicalDiachronical
Many Few HeterogeneousHomogeneous
2. Politics & Polity Intra-System SynchronicalDiachronical Many Few
Homogeneous Homogeneous
3. Polity & Policy Inter-System Synchronical Periodical Many Fewer
Heterogeneous Homogeneous
4. Politics WorldSystem Diachronical One Heterogeneous
Of course, other classifications
are also possible, but the main point is that a student of comparative
politics leams how to develop his or her research design by systematically
assessing which options are available on the basis of the research question
under review. Such a research design must then be conceptualized in terms
of the 'political' that is competent not only answering the specific question
under review, but also enhances our (meta-)theorelical understanding of
the political process, the 'core subject', for instance in'rational institutional
ist1 terms.
Examples of comparative research which can be categorized within this
framework are the cross-national analysis of political performance (core
subject H\) throughout the world by Powell (1982), the comparative analysis
of the politics of government formation (core subject #2), the development
of the welfare stale (core subject #3), and the 'world system' approach
(core subject )C4). In all these instances important choices were made
to connect the research question with a research design. Budge and Keman,
for instance, consciously choose to explain the process of government
formation in terms of actors (i.e. political parties) in relation to their
room for manoeuver due to existing modes of institutionalized behavior
(the 'rules of the game').
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