Lecture Notes: Politics, Institutions, and Democracy (Chapter 1)
Key Definitions of Politics
Politics as a process of determining who gets what, when, and how (Laswell). This highlights that politics is a dynamic process focused on the distribution of resources and collective decision-making.
Politics as a struggle over power or influence within organizations, government, or informal groups. These groups have the power to grant or withhold benefits; emphasis on control over distribution of resources.
Politics as a process of making collective decisions as a group to allocate resources democratically. This frames politics around collective decision-making and democratic mechanisms.
The concept of collective action problems: the core set of problems governments face about getting individuals to contribute to the collective good despite incentives to free-ride or pursue self-interest.
Institutions: Basic Definition and Characteristics
Institutions are organizations set up to perform specific functions, with a vision/purpose and a defined set of policies.
They are relatively sticky: they tend to last across presidential administrations and elections (e.g., IRS, EPA, Department of Education, universities, Congress).
Institutions impose guidelines and standard operating procedures that constrain how individuals within them can behave; they include decision-making procedures and SOPs.
Variation exists across countries and within countries: most countries have some form of legislature with elected representatives; governments are a kind of institution that resolves conflicts and allocates benefits; all have SOPs and guidelines for employees to follow.
Forms of Power and Democracy
Power can be highly concentrated under authoritarianism (extreme form), but there are variations in authoritatianism and oligarchy.
The United States is debated by some scholars as leaning toward oligarchy as income/wealth concentration rises; this is a topic tied to discussions of economic inequality and political influence.
Democracy can take different forms and degrees: the question is how much democracy and in what form.
In broad terms, democracy in the United States involves both direct and indirect elements.
Direct Democracy in the United States
Direct democracy means eligible participants directly vote on issues, typically at the state level.
Three variations commonly discussed:
Initiative: citizens collect signatures to place a question on the ballot (state-level).
Referendum: voters vote on a measure that the legislature has already placed on the ballot.
Recall: voters can attempt to remove an elected official before the end of their term.
Not all states have these instruments; states differ in which forms they allow.
Massachusetts and Colorado have initiative processes; California has initiative and referendum processes; Connecticut does not have these direct-democracy mechanisms.
Examples and practical applications:
California recall of Arnold Schwarzenegger: recall enabled the removal of a governor; Schwarzenegger was elected, served, and a recall attempt led to another election.
Gavin Newsom recall attempt (COVID-era scrutiny): recall effort occurred but did not succeed; Newsom remained governor.
Massachusetts: voters have used the initiative process, e.g., a tax-related initiative to raise taxes on high earners (e.g., those earning $1,000,000+ per year) with funds allocated to education.
The legalization of marijuana: states have independently legalized marijuana despite federal Schedule I status; this demonstrates the variance in direct democracy outcomes across states as public opinion shifts.
Note on state variations:
Some states allow both referendum and initiative; others allow only one; some have neither.
Redistricting and other policy changes can reflect both state-level direct-democracy outcomes and legislative actions.
Example context: the marijuana legalization trend shows how state policies can diverge from federal classifications over time as public opinion and state policy diverge.
Indirect (Representative) Democracy in the United States
Representative democracy is where eligible citizens elect representatives (e.g., Congress, state legislatures) to make decisions on their behalf.
Key terms related to representation and terms:
House of Representatives: 2-year terms; reelection every 2 years; fixed total at 435 seats since around 1910.
Senate: members elected to terms of 6 years; reelection cycles staggered over time.
The President: elected to a 4-year term.
The U.S. map and redistricting:
The number of seats in the House is fixed at 435; districts change with population via redistricting after each census.
A sample map (historical context) shows congressional districts (e.g., Connecticut has 5 districts in that period).
Key takeaway: the United States blends direct and indirect democracy, but this mix also creates certain drawbacks, including underrepresentation of some groups.
Representation gap
Across historical data, working-class backgrounds are underrepresented in the national legislature; never more than about 2\% of Congress from working-class backgrounds across a long historical span, with only a handful at any time.
This underrepresentation relates to broader concerns about how well the legislature captures the diverse makeup of the citizenry and how this affects policy outcomes.
Collective Action Problems, Public Goods, and Government Responses
A public good is a benefit provided to the group that all can enjoy whether or not they pay for it; e.g., clean air and clean water.
Free riding: individuals benefit from the public good without contributing to its provision, e.g., enjoying PBS with little or no contribution.
The government uses coercion to ensure contributions to the public good and to resolve collective action problems, though coercion has negative connotations.
Informal sanctions in small communities can enforce cooperation (e.g., social disapproval), but in large anonymous societies, informal sanctions are less effective.
Long-term policies and incentives: government policies can create incentives that improve societal outcomes (e.g., home ownership correlations with lower crime rates and better health; mortgage interest tax deductions historically provided such incentives).
The legitimacy of democratic action depends on how coercion is applied and whether actions align with the consent and expectations of the governed.
Authority vs Legitimacy
Authority: the formal right or power to make decisions; authority often rests with an official (e.g., police officer, president, judge) or a written rule/constitution.
Legitimacy: the perceived rightfulness or appropriateness of an action taken by an authority; legitimacy is about whether actions are morally, legally, and procedurally rightful.
In a democracy, legitimacy is assessed by the populace and institutions, including whether actions like the use of military force domestically align with the democratic framework and the will of the people (often requiring broad support or legal authorization).
Practical Implications and Real-World Relevance
Government can address collective action problems and free riding through policy design, taxation, regulations, and public investments.
The mix of direct and indirect democracy affects how policies are initiated, debated, and implemented; some issues can be decided by citizen votes, while others are decided by elected representatives.
Historical and contemporary debates about the U.S. political system include discussions about representation, inequality, and how institutional designs shape outcomes.
Real-world notes mentioned in the lecture:
Redistricting fights and state-level policy experiments (e.g., CA, TX redistricting debates).
The ongoing evolution of marijuana policy across states as an example of how state-level democracy can diverge from federal policy.
Public policy incentives (e.g., homeownership benefits) illustrate how policy shapes individual behavior and social outcomes over the long term.
Key Numbers and Concrete Details to Remember
House of Representatives: 435 members; terms of 2 years; fixed since 1910.
Senate: 100 members; terms of 6 years.
President: 4-year term.
Direct democracy instruments and examples in specific states:
California: initiative and referendum processes; recall procedure used historically for gubernatorial recall.
Massachusetts: initiative to raise taxes on high earners; funds designated for education.
Colorado: has both initiative and referendum processes; varies by issue.
Connecticut: does not have initiative or referendum in the same way as MA/CO/CA; no direct democracy on issues via citizen ballot.
Public goods and collective action problem concepts are central to why government exists and remains a persistent focus in political science.
Working-class representation in Congress has historically been extremely low, never exceeding approximately 2\% of lawmakers from working-class backgrounds over a long historical period.
Quick Reference: Concepts to Connect with Earlier and Later Lectures
Collective action problems connect to broader debates about democracy, participation, and the design of institutions.
The distinction between authority and legitimacy will be revisited when discussing constitutional design, the use of executive power, and judicial review.
Direct democracy instruments (initiative, referendum, recall) illustrate how citizen input can shape policy beyond electoral cycles and legislative action.
The discussion of oligarchy, income/wealth concentration, and representation ties into longer-term analyses of political economy, inequality, and policy responsiveness.
The role of institutions as “sticky” structures helps explain why certain policy arrangements persist despite changes in leadership or political cycles.
Questions to Consider for Exam Preparation
How would you define politics using the four classic perspectives presented in the lecture? Which definition best explains a given political scenario?
What makes an institution “sticky,” and why does that matter for policy stability or change?
What are the main forms of direct democracy, and which states exemplify each form? What are the potential advantages and drawbacks of direct democracy in large federations?
How do collective action problems generate the need for government coercion, and what are some legitimate uses of coercion within a democracy?
Differentiate between authority and legitimacy with examples. Why is legitimacy crucial for democratic governance, especially in the use of executive power?
How does the composition of the U.S. Congress (House vs Senate) influence policy outcomes, given fixed seats and term lengths?
What does the data on working-class representation suggest about the inclusivity of representative democracy in the United States?
How can public goods problems be mitigated through policy design, and what are some real-world examples of successful or failed approaches?