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POL 252-01
Spring 2016
 Executives responsible for executing laws
following passage by a national legislature
(e.g. Parliament, Congress)
 Parliamentarism
 Presidentialism
 Semi-Presidentialism
 Nature of Executive Office
 Electoral Mechanism
 Continuance in Office
 Executive-Legislative Relationship
HEAD OF STATE
 Symbolic representative
 Ceremonial functions
HEAD OF GOVERNMENT
 Implements national laws
and policies
Hamid Karzai of Afghanistan cuts a
ribbon at Bayat Media Centre in Kabul.
Robert Mugabe of Zimbabwe
signs a constitutional bill into law.
PARLIAMENTARISM
 Head of State
 Head of Government
 Collegial Executive
PRESIDENTIALISM
 Both Head of State
and Head of Government
 Non-Collegial Executive
Gathering of U.S. Presidents,
January 2009
Queen Elizabeth II
MargaretThatcher
PARLIAMENTARISM
 Selected by majority party
in national legislature
PRESIDENTIALISM
 Direct election through
popular vote
 Indirect election through
Electoral College
PARLIAMENTARISM
 Dependent on legislature
confidence in abilities
 Vote of No Confidence
 PM may call for
Vote of Confidence
 “Snap Election”
 Why would you do this?
PRESIDENTIALISM
 Constitution places limit
 Case Studies:
 United States
▪ Two Four-Year terms (10 years)
▪ 22nd Amendment (FDR)
 Mexico
▪ One Six-YearTerm (Diaz)
 Other Countries
PARLIAMENTARISM
 Dependent on legislature
confidence in abilities
 Vote of No Confidence
 PM may call for
Vote of Confidence
 “Snap Election”
 Why would you do this?
PRESIDENTIALISM
 Constitution places limit
 Case Studies:
 United States
▪ Two Four-Year terms (10 years)
▪ 22nd Amendment (FDR)
 Mexico
▪ One Six-YearTerm (Diaz)
 Other Countries
PARLIAMENTARISM
 Service in both branches
 Dependent on legislature
 Centralized decision-making
 Can dissolve legislature
PRESIDENTIALISM
 Separation of Powers
and Checks and Balances
 Independent executive
 Cannot serve in legislature
 Decentralized decisions
 Cannot dissolve legislature
 Splits executive power
 President: Head of State; Direct Election
 Prime Minister: Head of Govt.; Presidential Appt.
 Passage of legislation requires both officials
 Roles and functions spelled out in constitution
 Works if both officials from same party
 What happens if officials from different parties?
▪ “Cohabitation”
▪ Compromise
 Can President remove Prime Minister?
 Case Study: Russia
 Putin replaced officeholders
after election; control of State
 2008 Switch
 Medvedev is President
 Putin is Prime Minister
 2012 Switch
 Putin wins presidency
 Medvedev PM again
▪ Weak power
Vladimir Putin
and Dimitri Medvedev
Formal Powers Informal Powers Unilateral Powers Partisan Powers
 Based in constitution or national laws
 Examples: Veto, Commander-in-Chief
 Ability to influence public opinion / debate
 “Bully Pulpit” in U.S.
 “The Power to Persuade”
 Executive acting alone without others
 Includes:
 Decrees
 Executive Orders
 States of Emergency
▪ Case Study: India
 Periodic Elections
 Constitutional Limitations
 Protection of Individual Rights (e.g. Bill of Rights)
 Impeachment
 Term Limits
 Separation of Powers / Checks and Balances
 Executive Leverage
 Party Legislators
▪ Example: The “JohnsonTreatment”
 Parties in Governing Coalition
 What does power balance depend on?
 Individual and Institutional Factors
Lyndon Johnson with
Sen. Richard Russell (D-GA)
Party Far Left Left Moderate Right Far Right
Seats 30 7 21 27 15
 MinimumWinning – No “surplus” parties
 Minimum Connected Winning - Parties
“connected”
 Minimum Size – Closest to threshold (50% +1)
 Median Party – Party with “middle seat” in
legislature
 Grand –Two or more parties over half of
electorate
 Accountability
 Direct election by citizens
 Identifiability
 President is head of national party
 Clear choice about direction of country
 Mutual Checks
 Checks and Balances
 Consensus in government
 “Arbiter-in-Chief”
 “Power to Persuade”
 Can president be non-partisan?
 Accountability
 Direct election by citizens
 Identifiability
 President is head of national party
 Clear choice about direction of country
 Mutual Checks
 Checks and Balances
 Consensus in government
 “Arbiter-in-Chief”
 “Power to Persuade”
 Can president be non-partisan?
 Temporal Rigidity
 FixedTenure in Office
 Unpopular and Popular Presidents
 Executive-Legislative Relations
 Dual Democratic Legitimacy
 Separate Elections  Popular Mandate
 “Outsiders” as Presidential Candidates
 Temporal Rigidity
 FixedTenure in Office
 Unpopular and Popular Presidents
 Executive-Legislative Relations
 Dual Democratic Legitimacy
 Separate Elections  Popular Mandate
 “Outsiders” as Presidential Candidates

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POL 252-01 Spring 2016: Comparing Models of Executive Governance

  • 2.
  • 3.
  • 4.  Executives responsible for executing laws following passage by a national legislature (e.g. Parliament, Congress)
  • 5.
  • 7.
  • 8.  Nature of Executive Office  Electoral Mechanism  Continuance in Office  Executive-Legislative Relationship
  • 9.
  • 10. HEAD OF STATE  Symbolic representative  Ceremonial functions HEAD OF GOVERNMENT  Implements national laws and policies Hamid Karzai of Afghanistan cuts a ribbon at Bayat Media Centre in Kabul. Robert Mugabe of Zimbabwe signs a constitutional bill into law.
  • 11. PARLIAMENTARISM  Head of State  Head of Government  Collegial Executive PRESIDENTIALISM  Both Head of State and Head of Government  Non-Collegial Executive Gathering of U.S. Presidents, January 2009 Queen Elizabeth II MargaretThatcher
  • 12.
  • 13. PARLIAMENTARISM  Selected by majority party in national legislature PRESIDENTIALISM  Direct election through popular vote  Indirect election through Electoral College
  • 14.
  • 15. PARLIAMENTARISM  Dependent on legislature confidence in abilities  Vote of No Confidence  PM may call for Vote of Confidence  “Snap Election”  Why would you do this? PRESIDENTIALISM  Constitution places limit  Case Studies:  United States ▪ Two Four-Year terms (10 years) ▪ 22nd Amendment (FDR)  Mexico ▪ One Six-YearTerm (Diaz)  Other Countries
  • 16. PARLIAMENTARISM  Dependent on legislature confidence in abilities  Vote of No Confidence  PM may call for Vote of Confidence  “Snap Election”  Why would you do this? PRESIDENTIALISM  Constitution places limit  Case Studies:  United States ▪ Two Four-Year terms (10 years) ▪ 22nd Amendment (FDR)  Mexico ▪ One Six-YearTerm (Diaz)  Other Countries
  • 17.
  • 18. PARLIAMENTARISM  Service in both branches  Dependent on legislature  Centralized decision-making  Can dissolve legislature PRESIDENTIALISM  Separation of Powers and Checks and Balances  Independent executive  Cannot serve in legislature  Decentralized decisions  Cannot dissolve legislature
  • 19.
  • 20.  Splits executive power  President: Head of State; Direct Election  Prime Minister: Head of Govt.; Presidential Appt.  Passage of legislation requires both officials  Roles and functions spelled out in constitution
  • 21.  Works if both officials from same party  What happens if officials from different parties? ▪ “Cohabitation” ▪ Compromise  Can President remove Prime Minister?  Case Study: Russia
  • 22.  Putin replaced officeholders after election; control of State  2008 Switch  Medvedev is President  Putin is Prime Minister  2012 Switch  Putin wins presidency  Medvedev PM again ▪ Weak power Vladimir Putin and Dimitri Medvedev
  • 23.
  • 24.
  • 25. Formal Powers Informal Powers Unilateral Powers Partisan Powers
  • 26.
  • 27.  Based in constitution or national laws  Examples: Veto, Commander-in-Chief
  • 28.
  • 29.  Ability to influence public opinion / debate  “Bully Pulpit” in U.S.  “The Power to Persuade”
  • 30.
  • 31.  Executive acting alone without others  Includes:  Decrees  Executive Orders  States of Emergency ▪ Case Study: India
  • 32.  Periodic Elections  Constitutional Limitations  Protection of Individual Rights (e.g. Bill of Rights)  Impeachment  Term Limits  Separation of Powers / Checks and Balances
  • 33.
  • 34.
  • 35.  Executive Leverage  Party Legislators ▪ Example: The “JohnsonTreatment”  Parties in Governing Coalition  What does power balance depend on?  Individual and Institutional Factors Lyndon Johnson with Sen. Richard Russell (D-GA)
  • 36.
  • 37.
  • 38. Party Far Left Left Moderate Right Far Right Seats 30 7 21 27 15
  • 39.  MinimumWinning – No “surplus” parties  Minimum Connected Winning - Parties “connected”  Minimum Size – Closest to threshold (50% +1)  Median Party – Party with “middle seat” in legislature  Grand –Two or more parties over half of electorate
  • 40.
  • 41.
  • 42.  Accountability  Direct election by citizens  Identifiability  President is head of national party  Clear choice about direction of country  Mutual Checks  Checks and Balances  Consensus in government  “Arbiter-in-Chief”  “Power to Persuade”  Can president be non-partisan?
  • 43.  Accountability  Direct election by citizens  Identifiability  President is head of national party  Clear choice about direction of country  Mutual Checks  Checks and Balances  Consensus in government  “Arbiter-in-Chief”  “Power to Persuade”  Can president be non-partisan?
  • 44.  Temporal Rigidity  FixedTenure in Office  Unpopular and Popular Presidents  Executive-Legislative Relations  Dual Democratic Legitimacy  Separate Elections  Popular Mandate  “Outsiders” as Presidential Candidates
  • 45.  Temporal Rigidity  FixedTenure in Office  Unpopular and Popular Presidents  Executive-Legislative Relations  Dual Democratic Legitimacy  Separate Elections  Popular Mandate  “Outsiders” as Presidential Candidates

Editor's Notes

  1. The following lecture slides and notes are the sole materials of Austin Trantham. You may NOT copy or reproduce this material in any form without express permission from the author.
  2. We begin by considering different forms of executives. We will want to ask ourselves the following questions during our discussion: Who are executives? How do executives govern in various political systems? What powers do executives have to influence politics?
  3. Executives are those individuals responsible for executing the laws following passage by a national legislature (Parliament or Congress)
  4. There are three main forms of governing arrangements involving executives: #1: Parliamentarism #2: Presidentialism #3: Semi-Presidentialism
  5. We can distinguish the first two types based on four elements: #1: The nature of the executive office #2: The electoral mechanism by which an executive gains political authority #3: How an executive remains in office once elected #4: The executive’s relationship with a national legislative body Understanding these distinctions is a useful first step toward making an informed judgment on the nature of executives within the political system.
  6. Executives perform two basic roles: #1: Head of State Official symbolic representative of a country Authorized to represent nation, usually in foreign affairs Example: Afghan President Hamid Karzai cuts a ribbon at Bayat Media Centre in Kabul #2: Head of Government Work to implement national laws and politics Example: Robert Mugabe, President of Zimbabwe, signs a constitutional bill into law
  7. Parliamentarism - The Head of State is either President or Monarch (e.g. Queen Elizabeth II) - The Head of Government is the Prime Minister (e.g. Margaret Thatcher)   This system is characterized by a Collective or Collegial Executive - Governing power shared by Prime Minister and cabinet members   Presidentialism - One individual serves as both Head of State and Head of Government This system is characterized by a Non-Collegial Executive - The U.S. presidency held by only one individual at any given time - Selects others for administration (e.g. cabinet), but these individuals do not have major say in policy decisions and can be ignored by White House..
  8. How are executives elected to serve in office? Parliamentarism - Selected by majority party in national legislature   Presidentialism - Direct Election through Popular Vote - Indirect Election through Electoral College System used in United States and other countries Should we abolish the Electoral College? Why or why not?
  9. Parliamentarism - Tenure in office depends on legislature confidence in governing abilities - Removed at any time through vote of no confidence - Prime Minister can also call for vote of confidence - This action triggers “snap-election” ahead of regularly scheduled elections   Why would they want to do this? - Provides popular mandate for current government - Provides support for policy agenda - Allows “electoral advantage” in next election - Assured of support sooner than last vote
  10. Presidentialism - Constitutions place time limit on service Case Example: United States - Originally Unlimited tenure - 22nd Amendment: Two Four-Year Terms or Ten Years - Response to FDR serving four terms (twelve years)   Case Example: Mexico - One Six-Year Term - Amendment to Mexican Constitution in 1920 following reign of Porfirio Diaz (1884-1911)   Case Examples: Other Nations: - Finland: One Six-Year Term - Israel: One Seven-Year Term - Botswana: Two Five-Year Terms - Ecuador: Three Four-Year Terms - Republic of Congo: Two Seven-Year Terms President cannot be forced to resign office, but can be removed through impeachment process.
  11. What is the relationship like between executives and legislatures? Parliamentarism - Simultaneous service in both branches - Dependent on legislature - Centralized decision-making process (with cabinet) - May dissolve legislature   Presidentialism - Separation of powers via checks and balances - Certain degree of independence for executive - Cannot serve in both branches - U.S. presidents have served in Congress before and after term - Decentralized decision-making process - President can make unilateral decisions - Cannot dissolve legislature
  12. Semi-presidentialism splits executive power between an elected president and a selected prime minister. President - Elected by citizens as in presidential system - Functions as Head of State but has power in running government Prime Minister - Head of Government as in parliamentary system - Appointed by president; must have majority support in legislature   - Passage of legislation requires approval of both officials - Power of roles must be spelled out in national constitution for arrangement to work President gets foreign policy authority; PM over domestic issues
  13. - Semi-Presidentialism works as long as both officials from same party What happens if officials from different parties? It can happen—and did in France in 1980s Called “cohabitation” Compromises have to be ironed out   - Question with Semi-Presidential Systems: Can president remove PM? - Russia serves as a classic case study of this arrangement.
  14. Case Example: Russia Largest semipresidential system in world Government demonstrates worst things about arrangement President appoints PM with approval of Parliament President appoints ALL cabinet members - Does NOT need legislative approval (Duma) Neither PM or cabinet have to be members of Duma, so president can appoint literally whoever they want to these positions President has control over key portfolios (e.g. Foreign Affairs, Defense) - Can bypass PM and cabinet - Presidential decrees have force of law   President: Vladimir Putin; Prime Minister: Dimitri Medvedev - Putin replaced officeholders with supporters; gained control of State - Appointed Medvedev as president after two terms in office - Putin became PM and controlled largest party in Duma - Medvedev’s power was reduced significantly - After term as PM, Putin ran and won the presidency again - Medvedev became PM again, but was far weaker in power
  15. Please review Table 9.1 in your textbook over these major types of executive systems. (p. 230)
  16. The next topic is this section turns to the powers of executives.
  17. There are four main types of executive powers: #1: Formal Powers Example: U.S. Constitution #2: Informal Powers Example: President Theodore Roosevelt using the “bully pulpit” to give a public address #3: Unilateral Powers Example: Canadian Prime Minister Stephen Harper #4: Partisan Powers Example: Institutional Revolutionary Party (PRI) – Mexico Example: Christian Democratic Union (CDU) - Germany
  18. Formal powers are based in a national constitution or basic laws of a country. Examples of Formal Powers: 1) Veto, 2) Being the Commander-in-Chief
  19. An executive’s informal powers provide them the ability to influence public debate and mold public opinion. This is known as the “bully pulpit” in the U.S. Presidents Theodore Roosevelt, Woodrow Wilson, and Franklin Delano Roosevelt all made significant contributions using this medium. Informal powers are called “the power to persuade” by political scientists. This idea was famously coined by presidential scholar Richard Neustadt in his 1960 book, Presidential Power and the Modern Presidents.
  20. Unilateral powers represent what executive can do alone without other branches of government (e.g. legislature, courts, etc.). Unilateral actions include the following: #1: Issuing Decrees Decrees are orders having force of law but NOT passed by legislature) . Used in authoritarian governments and some democratic nations   #2: Issuing Executive Orders Shape how bureaucracy and other actors enact and interpret law   #3: Declaring States of Emergency Condition temporary granting executive wider set of powers due to extraordinary circumstances (e.g. emergencies) Case Example: India PM India Gandhi was able to essentially rule by decree during an imposed state of emergency from 1975 to 1977.
  21. Can an executive’s unilateral authority be limited? The answer is Yes. #1: Periodic Elections for New Governments Ensures executives must have popular support to remain in office. #2: Constitutional Limitations Protection of Individual Rights (e.g. Bills of Rights) Separation of Powers / Checks and Balances Legislature may impeach the president Two U.S. presidents have been impeached by Congress Andrew Johnson: Tenure of Office Act (Acquitted) Bill Clinton: Lewinsky Scandal (Acquitted) How does impeachment work in other countries? I have placed supplementary video and website links on Canvas regarding impeachment in Madagascar and Brazil. Please review this material. Term Limits for Executive Tenure   #3: Separation of Powers / Checks and Balances Separation between national and sub-national governments (e.g. Federalism)
  22. I have placed a video clip on Canvas concerning Bill Clinton’s impeachment due to what journalists dubbed, “The Lewinsky Matter.” Please review it.
  23. Partisan powers represent an executive’s leverage over same-party legislators and parties in a governing coalition. Example: President Lyndon Johnson used partisan powers to great effect by demonstrating his physical presence when in conversation, known as the “Johnson Treatment.” He was able to twist the arms of fellow Democrats The executive-legislative power balances can depend on two things: #1: Individual-Level: Controlling electoral fortunes of legislators More Power: Control over party list for electing candidates to office Less Power: Candidates elected by voters (e.g. primary system)   #2: Institutional-Level: Having strong majority in chamber
  24. Please review Table 9.4 in your textbook on presidential powers (p. 239).
  25. What happens when an executive (or their party) does not have enough political strength to independently make decisions, enact policy, etc.? Answer: They can (and often do) form coalitions or partnerships with others in government. Coalitions arise when there are several major parties in a country and the party that won the most legislative seats does not the majority needed to enact legislation on their own, as the diagram above shows. In parliamentary systems, coalitions are sometimes politically vital, as the ruling government could be voted out of office otherwise. In presidential systems, coalitions are less common due to the executive representing a single party. Coalitions often take different forms, depending on the structure of the political party system (which we discuss more in the chapter on parties and party systems).
  26. Different Types of Coalitions: #1: Minimum Winning: No “surplus” parties beyond those required to form government. #2: Minimum Connected Winning: All parties in coalition are “connected’ to one another on spectrum. Takes into account policy preferences as part of forming coalition   #3: Minimum Size: Governing coalition will be closest to threshold needed (50% + 1) - 51% coalition preferred to larger one due to power maximization   #4: Minimum Number of Parties: Prefer two-party coalitions or multi-party associations   #5: Median Party: Coalition should contain party with ‘middle seat” in legislature - Echoes will of “median voter” or average citizen.   #6: Minimum Range: Minimizes range or number of “spaces” on political spectrum within parties   #7: Grand: Comprised of two or more parties that make up over half of the electorate. Motivation: National unity among larger, coordinated parties during crisis Think about which type of coalition might be most advantageous to an executive.
  27. Please review Table 9.3 in your textbook on different coalition arrangements (p. 236).
  28. There has been a scholarly debate for some time over the advantages and disadvantages of a presidential system of government. Instead of reading the entire Linz piece on this topic originally in the syllabus, I am only requiring you to know and understand the five reasons that Linz cites for why parliamentary systems are better than presidential systems. You can find this information in the “Insights” box on p. 239 of your textbook titled, “The Perils of Presidentialism and the Virtues of Parliamentarism.”
  29. There are four main arguments FOR a presidential system of government. Reason #1: Accountability This refers to the degree and means by which elected officials are responsible to citizens. Accountability increases with choices made during elections and expectations to which politicians and others are held. Related to retrospective voting – “throw the bums out” Officials want to get re-elected, so they are sensitive to voters’ concerns Voters directly choose presidents that cannot be removed in cases of party shifts in legislature   Reason #2: Identifiability - This is characterized by the degree to which voters can identify before election the likely alternative governments that may emerge after election. Accountability – Voters have clear choices in election Identifiability – Voters have clear prospective choice - In presidential systems, voters have a very good idea of the alternatives that are being put forth by candidates. However, the range of candidate choice may be limited - Parliamentary systems, in contrast, allow voters to know what they are asking for, but presidential systems make it clearer what they are getting
  30. Reason #3: Mutual Checks Executive can be checked more freely by legislature, due to not having to worry about government survival. One party is also prevented from ruling alone - If president lacks majority in legislature, consensus may be the result.   Reason 4: “Arbiter-in-Chief” Resembles Neustadt’s notion of a president having “the power to persuade” - Two main problems with this idea: 1) Do we really expect presidents to act in a non-partisan manner? 2) Celebrates presidential weakness and compromises accountability - If president has majority support, there should be no need for an arbiter - If president does NOT have majority support, they will be arbiter as a last course of action.
  31. There are two arguments AGAINST a presidential system. Reason #1: Temporal Rigidity Refers to fixed length of presidential and congressional terms While impeachment is an option in constitutions, the threshold for actually removing an executive from office is very high. One problem comes with an executive who is unpopular, or even mildly popular but faces opposition in legislature. Cannot pass legislative program or gain support from citizenry Opposite problem is when popular and competent chief executive has to step down following their term of office. Do you lose effective government or tamper with constitution? Presidential systems forced to have generate leader every 4-5 years. Becomes a burden on the overall political system. - President cannot dissolve legislature  
  32. Reason #2: Dual Democratic Legitimacy - Both legislature and executive are popularly elected, so both may (and do) claim a popular governing mandate. - Need for cooperation in interbranch relations is slim, because tenure of one branch does not depend on the other. - Can have “outsiders” as president due to electoral system. - Can “run against Washington” to gain public approval. How does this mesh with actual DC experience? - Anyone can run for president—with little or no experience Legislature does not have to cooperate with executive   Are presidential systems inherently bad? How do they compare to parliamentary systems? If you were designing a country, which system would you set up? Why?