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<strong>Application</strong> <strong>of</strong> <strong>the</strong> <strong>Integrated</strong> <strong>Theory</strong> <strong>of</strong> <strong>Party</strong> <strong>Change</strong> <strong>to</strong> <strong>Latin</strong><br />

America’s Volatile <strong>Party</strong> Systems<br />

by<br />

Robert Harmel and Michelle M. Taylor-Robinson<br />

Department <strong>of</strong> Political Science<br />

Texas A&M University<br />

College Station, TX 77843-4348 USA<br />

E339mt@polisci.tamu.edu<br />

Paper prepared for presentation at <strong>the</strong> 5 th CEISAL European Congress <strong>of</strong><br />

<strong>Latin</strong>americanists, Brussels, Belgium, April 11-14, 2007.<br />

Abstract: Desarrollamos una teoría de cambios adentro de partidos, usando como una<br />

base la teoría integrada de cambios adentro de partidos (Harmel y Janda 1994), para<br />

investigar cuando y como partidos en América <strong>Latin</strong>a responden a choques elec<strong>to</strong>rales.<br />

Harmel y Janda desarrollaron su teoría para democracias establecidas. En esta ponencia<br />

investigamos como los partidos, que actúan en un contex<strong>to</strong> de democracia menos certero,<br />

responden a los choques elec<strong>to</strong>rales. Específicamente investigamos con qué rapidez y<br />

con cuáles tipos de cambios partidos establecidos en países de América <strong>Latin</strong>a responden<br />

a resultados elec<strong>to</strong>rales muy malos. Dividimos choques elec<strong>to</strong>rales en dos tipos: (a) una<br />

pérdida dramática a un rival establecido y (b) una pérdida a un candida<strong>to</strong> o partido nuevo,<br />

especialmente un partido nuevo que tiene una ideología o plataforma de campaña que es<br />

una amenaza al partido establecido. El partido afectado tiene que interpretar la magnitud<br />

de su pérdida elec<strong>to</strong>ral; y para eso usamos como indicativo de si un choque ocurre o no,<br />

las valoraciones expresadas por los líderes del partido en los medios de comunicación.


<strong>Application</strong> <strong>of</strong> <strong>the</strong> <strong>Integrated</strong> <strong>Theory</strong> <strong>of</strong> <strong>Party</strong> <strong>Change</strong> <strong>to</strong> <strong>Latin</strong> America’s<br />

Volatile <strong>Party</strong> Systems<br />

During <strong>the</strong> Third Wave <strong>of</strong> democracy in <strong>Latin</strong> America, several long-established<br />

parties have met with elec<strong>to</strong>ral defeat on a disastrous scale, and even some party systems<br />

that were thought <strong>to</strong> be established have collapsed. Examples include <strong>the</strong> devastating<br />

loss by Costa Rica’s PUSC in 2006, which prompted an assessment that <strong>the</strong> party has<br />

been replaced by <strong>the</strong> PAC as one <strong>of</strong> Costa Rica’s two major parties (Alfaro Redondo<br />

2006; Wilson forthcoming); and Mexico’s PRI’s loss <strong>of</strong> <strong>the</strong> presidency in 2000 and its<br />

distant third place showing in 2006. Personalist or populist presidential candidates have<br />

won elections with decisive defeats <strong>of</strong> long-established parties (e.g., Evo Morales’s<br />

vic<strong>to</strong>ry in Bolivia in 2005, soundly defeating <strong>the</strong> candidates <strong>of</strong> <strong>the</strong> three long-established<br />

parties [Singer 2007]). Leftist parties, while not necessarily new participants in politics,<br />

have won presidential elections with decisive and embarrassing defeats <strong>to</strong> established<br />

parties with traditional ideologies (e.g., Frente Amplio’s vic<strong>to</strong>ry in Uruguay in 2004<br />

[Altman and Castiglioni 2006], Lula <strong>of</strong> <strong>the</strong> Workers’ <strong>Party</strong> in Brazil in 2002 and again in<br />

2006). The major parties anchoring <strong>the</strong> party system collapsed in Peru during <strong>the</strong> 1980s, 1<br />

and in Venezuela in <strong>the</strong> late 1990s.<br />

What explains <strong>the</strong> apparent inability <strong>of</strong> traditional parties <strong>to</strong> respond <strong>to</strong> new<br />

elec<strong>to</strong>ral competition? How have traditional parties that have managed <strong>to</strong> remain viable<br />

political players responded <strong>to</strong> elec<strong>to</strong>ral defeats? Our purpose in this paper is <strong>to</strong> apply and<br />

refine <strong>the</strong> <strong>Integrated</strong> <strong>Theory</strong> <strong>of</strong> <strong>Party</strong> <strong>Change</strong> (Harmel and Janda 1994) <strong>to</strong> cases from<br />

<strong>Latin</strong> American politics. Our intent is <strong>to</strong> expand <strong>the</strong> generalizability <strong>of</strong> this <strong>the</strong>ory <strong>to</strong> new<br />

democracies and <strong>to</strong> parties that may in <strong>the</strong>ir past lives have been restrictive or subversive<br />

1 Peru’s APRA reemerged in 2006 <strong>to</strong> win <strong>the</strong> presidential election, running former-president Alán Garcia.<br />

1


parties (Janda 1980), and which are currently acting as competitive parties due <strong>to</strong> <strong>the</strong><br />

installation <strong>of</strong> a democratic regime but may still in some ways resemble restrictive or<br />

subversive parties. In particular we explore whe<strong>the</strong>r and how unconsolidated democracy<br />

and an elec<strong>to</strong>ral challenge from a party whose ideology is threatening affect <strong>the</strong> ability <strong>of</strong><br />

traditional parties <strong>to</strong> respond <strong>to</strong> predicted elec<strong>to</strong>ral losses or <strong>to</strong> elec<strong>to</strong>ral shocks.<br />

Our primary focus in this paper is <strong>to</strong> <strong>the</strong>orize about when traditional parties will<br />

make decisions <strong>to</strong> change <strong>the</strong>mselves or <strong>the</strong>ir image (“party change” for short [Harmel<br />

and Janda 1994]), and <strong>to</strong> specify obstacles present in Third Wave democracies that may<br />

make it <strong>to</strong>o difficult for traditional parties <strong>to</strong> ei<strong>the</strong>r observe <strong>the</strong> need for party change, or<br />

<strong>to</strong> identify a change in strategy or tactics that seems an appropriate response (i.e., a<br />

change whose benefits appear <strong>to</strong> outweigh <strong>the</strong> costs <strong>of</strong> change). We refine <strong>the</strong> integrated<br />

<strong>the</strong>ory <strong>of</strong> party change <strong>to</strong> address <strong>the</strong> political environment faced by traditional parties in<br />

unconsolidated democracies. These democratic regimes may have been installed in a<br />

country with little his<strong>to</strong>ry <strong>of</strong> democratic governance, or where a democratic regime<br />

existed in <strong>the</strong> past but <strong>the</strong> traditional party(s) was out <strong>of</strong> power for an extended period<br />

while an authoritarian regime ruled.<br />

By traditional parties we mean parties that have been important players in a<br />

country’s politics for many decades. Borrowing from Janda’s (1980) classification <strong>of</strong><br />

competitive, restrictive, and subversive parties, we refine <strong>the</strong> integrated <strong>the</strong>ory <strong>to</strong> apply <strong>to</strong><br />

competitive traditional parties; even those that may still in some respects resemble<br />

restrictive or subversive traditional parties. 2 A “competitive traditional party” is one<br />

where “open competition in <strong>the</strong> elec<strong>to</strong>ral process plays <strong>the</strong> major role in <strong>the</strong> party’s<br />

2 As we explain fur<strong>the</strong>r later in <strong>the</strong> paper, competitive, subversive and restrictive are also strategies or<br />

tactics a party can use <strong>to</strong> achieve <strong>the</strong> goal <strong>of</strong> obtaining government <strong>of</strong>fice. Here, however, <strong>the</strong>se are types<br />

<strong>of</strong> parties defined by <strong>the</strong>ir dominant strategy for obtaining power in <strong>the</strong> country’s past.<br />

2


overall strategy” or possibly it was <strong>the</strong> party’s only strategy (Janda 1980: 79). A<br />

“restrictive party” would be one that pursues “<strong>the</strong> goal <strong>of</strong> placing its avowed<br />

representatives in government positions through a strategy <strong>of</strong> restricting competition by<br />

opposing parties” (Janda 1980: 81). A “subversive party” would be willing <strong>to</strong> place its<br />

representatives in power through <strong>the</strong> use <strong>of</strong> force or by fomenting a chaotic political<br />

situation (Janda 1980: 82). As is <strong>of</strong>ten <strong>the</strong> case, real world politics is not as crisply clear<br />

as <strong>the</strong> typologies <strong>of</strong> political science. Thus, a traditional party may have pursued a<br />

strategy that was sometimes competitive and sometimes restrictive or sometimes<br />

competitive and subversive at o<strong>the</strong>r times. If <strong>the</strong> party could win a fair election, it may<br />

have chosen <strong>to</strong> fight a fair fight. However, if it was concerned it might lose under fair<br />

rules, it may have been willing <strong>to</strong> “restrict <strong>the</strong> activities <strong>of</strong> o<strong>the</strong>r parties or <strong>to</strong> disrupt<br />

society for its own campaign ends” (Janda 1980: 79). 3 Thus, one <strong>of</strong> <strong>the</strong> possible party<br />

changes a traditional party can exhibit in <strong>the</strong> present democratic regime is <strong>to</strong> give up its<br />

old methods <strong>of</strong> restricting or subverting competition. This aspect <strong>of</strong> our project makes a<br />

significant departure from Harmel and Janda’s original work, as <strong>the</strong>y were interested in<br />

developing <strong>the</strong>ory <strong>to</strong> explain party change in competitive parties operating in established<br />

democracies, where most, if not all <strong>of</strong> those parties would have been competitive<br />

throughout <strong>the</strong>ir entire existence (Harmel and Janda 1994: 272). Here we adapt <strong>the</strong><br />

integrated <strong>the</strong>ory <strong>of</strong> party change <strong>to</strong> political systems which may have parties that were<br />

formerly primarily restrictive or subversive. Their changes in “goal orientation”<br />

generally, and even <strong>the</strong> component changes in strategies and tactics, are thus <strong>of</strong><br />

3 This quote comes from Janda’s operational definitions <strong>of</strong> competitive elec<strong>to</strong>ral strategy, which he coded<br />

on a 0-4 scale. The quote is from code 3 on <strong>the</strong> scale, where 4 was a party whose elec<strong>to</strong>ral strategy relied<br />

solely on competitive methods.<br />

3


interest <strong>to</strong> us here as dimensions <strong>of</strong> party change (i.e., on <strong>the</strong> dependent variable side <strong>of</strong><br />

<strong>the</strong> adapted <strong>the</strong>ory model).<br />

New parties that came in<strong>to</strong> existence with or since <strong>the</strong> installation <strong>of</strong> <strong>the</strong> Third<br />

Wave democratic regime can also experience party change, but those parties are not <strong>the</strong><br />

focus <strong>of</strong> our <strong>the</strong>orizing here. They may be important players in <strong>the</strong> political environment<br />

<strong>to</strong> which a traditional party reacts, as <strong>the</strong> elec<strong>to</strong>ral success <strong>of</strong> a new party may be <strong>the</strong><br />

impetus for change in a traditional party. Thus, a new party would enter in<strong>to</strong> our <strong>the</strong>ory<br />

as an independent variable.<br />

We end <strong>the</strong> introduction <strong>to</strong> <strong>the</strong> paper by underscoring why expanded knowledge –<br />

both <strong>the</strong>oretical and empirical – about when, how, and why party change happens is<br />

important for <strong>the</strong> study <strong>of</strong> <strong>Latin</strong> American politics. In a region where democratic failures<br />

have been common in <strong>the</strong> past and are presumably still possible, <strong>the</strong> lack <strong>of</strong> party change<br />

can possibly result in <strong>the</strong> complete failure <strong>of</strong> traditional party players. That could have<br />

even more traumatic consequences than in established democracies for not just a single<br />

party or even <strong>the</strong> party system, but for <strong>the</strong> entire political system generally, because<br />

obsolescence <strong>of</strong> major party players could contribute <strong>to</strong> democratic regime failure. If<br />

party change is truly necessary <strong>to</strong> keep <strong>the</strong> party(ies) viable, <strong>the</strong>n party change could be a<br />

fac<strong>to</strong>r in keeping <strong>the</strong> democracy viable.<br />

A Brief Review <strong>of</strong> Expectations about <strong>Party</strong> <strong>Change</strong> in Established Democracies<br />

Parties are expected <strong>to</strong> resist changing <strong>the</strong>mselves as – according <strong>to</strong><br />

organizational <strong>the</strong>ory – are all large established organizations. The more institutionalized<br />

a party is, <strong>the</strong> more strongly <strong>the</strong> adage “if it ain’t broke don’t fix it” should apply. <strong>Party</strong><br />

4


leaders (an individual or a dominant faction) gained power via <strong>the</strong> organization and rules,<br />

or <strong>the</strong>y used those rules <strong>to</strong> consolidate <strong>the</strong>ir power, thus <strong>the</strong>y should not see changing <strong>the</strong><br />

party as desirable unless <strong>the</strong> party encounters a challenge that makes it unable <strong>to</strong> continue<br />

<strong>to</strong> achieve its goals (Harmel and Janda 1994).<br />

Despite this natural tendency <strong>to</strong> resist change, two primary fac<strong>to</strong>rs are expected <strong>to</strong><br />

induce party change: (1) a change in <strong>the</strong> party leader or dominant faction; or (2) an<br />

external shock. If both <strong>the</strong> leader and dominant faction change, <strong>the</strong> impetus for change in<br />

<strong>the</strong> party should be particularly strong (Harmel and Janda 1994). Whe<strong>the</strong>r an external<br />

stimulus (e.g., a poor election) constitutes a “shock” for a party depends on <strong>the</strong> party and<br />

its goals. For example, only parties that are primarily concerned with vote maximizing<br />

will be “shocked” by a substantial drop in <strong>the</strong>ir vote share, and only parties whose<br />

primary goal is executive <strong>of</strong>fice will be “shocked” by lack <strong>of</strong> success in that arena.<br />

Likewise, elec<strong>to</strong>ral failure may constitute a “shock” for a party, even if it does not<br />

actually lose <strong>the</strong> election, or loses, but does not lose badly. If <strong>the</strong> party expected <strong>to</strong> win<br />

in a landslide, and ultimately barely ekes out a vic<strong>to</strong>ry, that could constitute a “shock” for<br />

that party. A policy maximizing party could experience an external shock if an event<br />

makes obsolete a key plank <strong>of</strong> a party’s ideology (e.g., <strong>the</strong> collapse <strong>of</strong> Soviet<br />

Communism; neoliberal economic restructuring), but this same event may not affect a<br />

party whose primary concern is maximizing votes or executive <strong>of</strong>fice. Even in <strong>the</strong> face<br />

<strong>of</strong> a shock, party leaders are not expected <strong>to</strong> effect party change if <strong>the</strong> costs <strong>of</strong> <strong>the</strong> change<br />

are anticipated <strong>to</strong> outweigh <strong>the</strong> benefits (Harmel and Janda 1994). Thus an established<br />

party – barring a leadership change – may opt <strong>to</strong> ride-out a bad election or a change in <strong>the</strong><br />

5


ideology <strong>of</strong> <strong>the</strong> political landscape in <strong>the</strong> hopes that it is a short-term blip for <strong>the</strong> party,<br />

and not a portent <strong>of</strong> worse elections <strong>to</strong> come.<br />

More institutionalized parties are expected <strong>to</strong> resist change more than less<br />

institutionalized parties. The literature <strong>of</strong>ten uses party age as a proxy measure <strong>of</strong> party<br />

institutionalization, and <strong>the</strong> impact <strong>of</strong> institutionalization is expected <strong>to</strong> be non-linear,<br />

increasing at a decreasing rate as <strong>the</strong> party becomes older (Harmel and Janda 1994).<br />

The party change literature has focused on explaining when party change should<br />

occur within a party, and what form that change is likely <strong>to</strong> take. <strong>Change</strong> in competitive<br />

parties <strong>of</strong>ten takes <strong>the</strong> form <strong>of</strong> a modification <strong>of</strong> <strong>the</strong> party’s platform or ideology; new<br />

methods <strong>of</strong> selecting candidates or party leaders (change in <strong>the</strong> party organization); or<br />

adjustment <strong>of</strong> <strong>the</strong> party’s campaign strategy or tactics. In Harmel and Janda’s integrated<br />

<strong>the</strong>ory <strong>of</strong> party change, <strong>the</strong> dependent variable is “aspects <strong>of</strong> party change that are within<br />

a party’s direct control – that it decides <strong>to</strong> change … party change that comes directly<br />

from a group decision or from action taken by a person authorized <strong>to</strong> act for <strong>the</strong> party in<br />

that sphere. Examples are changes in party rules, structures, policies, strategies and<br />

tactics” (Harmel and Janda 1994: 275).<br />

Obstacles <strong>to</strong> <strong>Party</strong> <strong>Change</strong> in <strong>Latin</strong> American Traditional Parties<br />

As summarized in this simple form, <strong>the</strong>re are no obvious reasons why party<br />

change should be more or less likely, or take a different form in <strong>Latin</strong> American politics<br />

than in <strong>the</strong> long-established democracies in Western Europe or <strong>the</strong> U.S. Older parties<br />

should be less likely <strong>to</strong> change than newer parties, unless <strong>the</strong>y experience a major<br />

leadership change, and that alone may explain <strong>the</strong> difficulty <strong>Latin</strong> America’s traditional<br />

parties have had responding <strong>to</strong> threats from new parties. Some <strong>of</strong> <strong>Latin</strong> America’s leftist<br />

6


parties that began as revolutionary groups in <strong>the</strong> 1960s and 70s have proven quite willing<br />

<strong>to</strong> make major changes in party platform, organization, or tactics in response <strong>to</strong> <strong>the</strong><br />

diminished attractiveness <strong>of</strong> socialist or communist ideology after <strong>the</strong> fall <strong>of</strong> <strong>the</strong> Berlin<br />

Wall and <strong>the</strong> defeat <strong>of</strong> revolutionary groups in Nicaragua, El Salvador, and Guatemala.<br />

Possibly <strong>the</strong> relative youth <strong>of</strong> <strong>the</strong>se parties, combined with <strong>the</strong> intensity <strong>of</strong> this external<br />

shock, made <strong>the</strong> benefits <strong>of</strong> change appear <strong>to</strong> outweigh <strong>the</strong> costs, as <strong>the</strong> benefit was <strong>the</strong><br />

chance <strong>to</strong> remain politically viable in a changed world. Yet, o<strong>the</strong>r obstacles merit<br />

consideration in applying party change <strong>the</strong>ory <strong>to</strong> <strong>Latin</strong> America’s more traditional parties.<br />

One obstacle is <strong>the</strong> uncertainty <strong>of</strong> democracy for parties in <strong>the</strong> region. Prior <strong>to</strong> <strong>the</strong><br />

Third Wave, most democratic regimes in <strong>Latin</strong> America have been short-lived<br />

(Hunting<strong>to</strong>n 1991), and many only met <strong>the</strong> loosest procedural concept <strong>of</strong> democracy (i.e.,<br />

competitive elections). Uncertainty was also a fac<strong>to</strong>r in <strong>the</strong> early years <strong>of</strong> <strong>the</strong> Third<br />

Wave, as coup threats were common (O’Donnell and Schmitter 1986). More recently,<br />

presidents have been ousted by popular protest or impeachment (Pérez-Líñan<br />

forthcoming). Uncertainty about whe<strong>the</strong>r a democratic regime will continue could affect<br />

<strong>the</strong> cost/benefit assessment <strong>of</strong> party leaders about <strong>the</strong> potential efficacy <strong>of</strong> attempting <strong>to</strong><br />

change <strong>the</strong> party, particularly if <strong>the</strong> party change may take time <strong>to</strong> bear fruit. Instead <strong>of</strong><br />

party change, leaders <strong>of</strong> traditional parties may have considered extra-democratic means<br />

<strong>to</strong> protect party interests – planting coup rumors <strong>to</strong> induce an opposing party <strong>to</strong> not make<br />

policy innovations once it was in power.<br />

The high elec<strong>to</strong>ral volatility and declining voter turnout in <strong>Latin</strong> American<br />

elections may also be obstacles <strong>to</strong> party change, if <strong>the</strong>y make it difficult for a traditional<br />

party <strong>to</strong> determine that it is facing a threat. An elec<strong>to</strong>ral shock is in <strong>the</strong> eyes <strong>of</strong> <strong>the</strong><br />

7


eholder, so party leaders may interpret a loss <strong>to</strong> be just a single bad election showing,<br />

ra<strong>the</strong>r than <strong>the</strong> beginning <strong>of</strong> a potentially dangerous pattern for <strong>the</strong> party. Such an<br />

interpretation should be particularly likely if it is common for <strong>the</strong> party’s vote share <strong>to</strong><br />

fluctuate from election-<strong>to</strong>-election. A tendency for transient parties <strong>to</strong> enter and exit <strong>the</strong><br />

party system, winning representation in one election and <strong>the</strong>n fading away in <strong>the</strong> next,<br />

may make it difficult for a traditional party <strong>to</strong> “read <strong>the</strong> tea leaves” <strong>of</strong> election results.<br />

The propensity for such “noisy” election results may be greater in transitional<br />

democracies than in long-established democratic regimes, as parties <strong>of</strong>ten enter <strong>the</strong><br />

elec<strong>to</strong>ral arena in founding elections with little idea <strong>of</strong> <strong>the</strong>ir popular support (Przeworski<br />

1991; Moraski and Lowenthal 1999), and thus uncertainty may continue in <strong>the</strong> next<br />

elections, as coalitions break apart and new parties form. In addition, voter turnout has<br />

fallen precipi<strong>to</strong>usly in many <strong>Latin</strong> American countries since <strong>the</strong> beginning <strong>of</strong> <strong>the</strong> Third<br />

Wave, and many countries have changed elec<strong>to</strong>ral rules, in some cases several times. In<br />

such a difficult <strong>to</strong> interpret environment, party leaders may be more likely <strong>to</strong> “stay <strong>the</strong><br />

course” than <strong>to</strong> respond <strong>to</strong> negative elec<strong>to</strong>ral results by effecting party change.<br />

Ano<strong>the</strong>r potential obstacle <strong>to</strong> party change in <strong>Latin</strong> American cases comes from<br />

<strong>the</strong> immense power <strong>of</strong> <strong>Latin</strong> American presidents (Linz 1990; O’Donnell 1994). When a<br />

party loses an election, particularly in a unitary political system with extreme<br />

centralization <strong>of</strong> power in <strong>the</strong> hands <strong>of</strong> <strong>the</strong> national government, <strong>the</strong> losing party may<br />

have little ability <strong>to</strong> regroup and win back voter support, or even <strong>to</strong> retain <strong>the</strong> support <strong>of</strong><br />

its activists. Where <strong>the</strong> president can make policy without checks and balances from <strong>the</strong><br />

congress, as is <strong>the</strong> case in <strong>Latin</strong> America’s “delegative democracies,” <strong>the</strong>re is little <strong>the</strong><br />

opposition can do from its minority position in <strong>the</strong> legislature. If <strong>the</strong> president controls<br />

8


access <strong>to</strong> state resources for pork and patronage, and pork/patronage, not policy, is crucial<br />

<strong>to</strong> winning votes, a losing party will have trouble recuperating from its loss even if it tries<br />

changing its internal structure or rules. In such a case party leaders may view party<br />

change as needed, but <strong>the</strong>y may not be able <strong>to</strong> determine a type <strong>of</strong> party change that will<br />

be beneficial for <strong>the</strong> party’s future elec<strong>to</strong>ral chances, given <strong>the</strong> party’s weak opposition<br />

position and <strong>the</strong> formal powers <strong>of</strong> <strong>the</strong> executive <strong>to</strong> circumvent <strong>the</strong> legislature.<br />

We expect <strong>the</strong>se obstacles <strong>to</strong> act as filters through which party decision-makers<br />

process external shocks. If one <strong>of</strong> <strong>the</strong> basic principles <strong>of</strong> <strong>the</strong> <strong>the</strong>ory <strong>of</strong> party change is<br />

that an external shock will produce party change, <strong>the</strong>n one <strong>of</strong> our refinements <strong>of</strong> <strong>the</strong><br />

<strong>the</strong>ory is that an external shock passes through a filter (including <strong>the</strong> inherent<br />

conservativeness <strong>of</strong> organizations, such as parties, and <strong>the</strong>ir natural resistance <strong>to</strong> change)<br />

and only if <strong>the</strong> filtered assessment <strong>of</strong>, say <strong>the</strong> election results, appears <strong>to</strong> be “shocking”<br />

will party change occur. The more filters which are likely <strong>to</strong> dampen <strong>the</strong> ability <strong>of</strong> party<br />

decision-makers <strong>to</strong> view an external stimulus as a shock for <strong>the</strong> party, <strong>the</strong> less likely party<br />

change is <strong>to</strong> occur. Recall, however, that <strong>the</strong> integrated <strong>the</strong>ory <strong>of</strong> party change (Harmel<br />

and Janda 1994) predicts that ei<strong>the</strong>r personnel change or an external shock may produce<br />

party change. We return below <strong>to</strong> consideration <strong>of</strong> <strong>the</strong> relative importance <strong>of</strong> leadership<br />

change versus external shocks in prompting party change in <strong>Latin</strong> American traditional<br />

parties.<br />

A fourth obstacle may not make party change less likely in <strong>Latin</strong> American<br />

parties than in <strong>the</strong> parties found in established democracies, but it may affect <strong>the</strong> form <strong>the</strong><br />

change takes. In established democracies, party change is expected <strong>to</strong> take <strong>the</strong> form <strong>of</strong><br />

“changes in party rules, structures, policies, strategies and tactics” (Harmel and Janda<br />

9


1994: 275). Often, but not always, such changes would involve shifts in formal rules or<br />

policy positions. These formal types <strong>of</strong> change could also be implemented by <strong>Latin</strong><br />

American parties (e.g., moving from selecting candidates por dedo <strong>to</strong> holding a party<br />

primary). However, in many <strong>Latin</strong> American parties, informal institutions govern party<br />

behaviors, regardless <strong>of</strong> what <strong>of</strong>ficial party rules say <strong>the</strong> procedures should be, so rules<br />

changes may not really change <strong>the</strong> party or <strong>the</strong>y may not be needed if <strong>the</strong> “change” is <strong>to</strong><br />

start enforcing rules that have long been in <strong>the</strong> party statutes. For example, party statutes<br />

(or <strong>the</strong> national elec<strong>to</strong>ral and parties law) may outline a bot<strong>to</strong>m-up procedure for<br />

determining party leaders and candidates, but in reality national party leaders may select<br />

<strong>the</strong> delegates <strong>to</strong> <strong>the</strong> lower-level meetings, insuring that <strong>the</strong>ir loyalists are <strong>the</strong> delegates <strong>to</strong><br />

<strong>the</strong> national conference and that <strong>the</strong>ir candidates are nominated (see <strong>the</strong> country studies in<br />

Alcántara and Freidenberg [2001] for numerous examples <strong>of</strong> informal rules trumping<br />

formal party statutes). Where party activists, or even voters, know that formal party rules<br />

are not how <strong>the</strong> party really operates, party leaders can expect <strong>to</strong> gain little popular<br />

support from changing <strong>the</strong> statutes. A party could adopt a new policy platform, such as a<br />

new “reform” orientation, like campaigning against <strong>the</strong> old patronage system and<br />

corruption in government. However, if election after election <strong>the</strong> party says that it will<br />

work <strong>to</strong> help <strong>the</strong> poor majority, but once elected people perceive government policy as<br />

defending elite interests, a change in <strong>the</strong> party’s platform is not likely <strong>to</strong> win popular<br />

support. In both <strong>of</strong> <strong>the</strong>se cases, party leaders may perceive little cost <strong>to</strong> changing <strong>the</strong><br />

party’s formal rules or policy stances, but <strong>the</strong>y may also expect that doing so will produce<br />

little benefit.<br />

10


Due <strong>to</strong> <strong>the</strong> small perceived benefit (in <strong>the</strong> sense <strong>of</strong> winning more support for <strong>the</strong><br />

party) <strong>of</strong> a change internal <strong>to</strong> <strong>the</strong> party (and keeping in mind that <strong>the</strong>se internal changes<br />

may still be costly <strong>to</strong> party leaders if <strong>the</strong> change threatens <strong>to</strong> destabilize <strong>the</strong> leader’s hold<br />

on <strong>the</strong> party), traditional parties in <strong>Latin</strong> America may opt for change that begins<br />

internally with change in strategy or tactics, but that is <strong>the</strong>n implemented (or promoted)<br />

externally <strong>to</strong> <strong>the</strong> party. Such changes could include changing <strong>the</strong> country’s elec<strong>to</strong>ral law<br />

or party registration rules, amending <strong>the</strong> constitution, or working through <strong>the</strong> country’s<br />

elections tribunal. For example, a traditional party could propose and push through<br />

legislation <strong>to</strong> adopt mixed-member elections for a chamber <strong>of</strong> <strong>the</strong> legislature, or <strong>to</strong> switch<br />

from closed- <strong>to</strong> open-list elections as a way <strong>to</strong> signal <strong>the</strong> importance <strong>of</strong> giving local<br />

people a more direct connection <strong>to</strong> <strong>the</strong>ir elected representatives. It could promote a<br />

gender quota law as a way <strong>to</strong> signal its support for equal rights for women. A formerly<br />

restrictive party could vote on <strong>the</strong> national elections tribunal <strong>to</strong> allow a new party <strong>to</strong><br />

register <strong>to</strong> participate in elections as a way <strong>to</strong> signal that <strong>the</strong> traditional party is adopting a<br />

more democratic (open, competitive) view <strong>of</strong> elections, or <strong>the</strong> party could promote<br />

election law changes that make it more likely that small parties will win seats in <strong>the</strong><br />

legislature. 4 While <strong>the</strong> ultimate change is not internal, it is initiated in an action taken by<br />

<strong>the</strong> party (a decision made by party leaders) <strong>to</strong> work through national bodies <strong>to</strong> signal a<br />

change in <strong>the</strong> party. In o<strong>the</strong>r words, this <strong>to</strong>o should <strong>the</strong>n be seen as a form <strong>of</strong> party change.<br />

4 In regime transition negotiations, formal or informal pacts <strong>of</strong>ten limited competition <strong>to</strong> a small number <strong>of</strong><br />

parties, particularly when traditional parties believed that <strong>the</strong>ir interests would be served by a less<br />

competitive elec<strong>to</strong>ral arena. In later elections, a traditional party might make a high pr<strong>of</strong>ile effort <strong>to</strong> allow a<br />

new party <strong>to</strong> take part in elections, at least partly as a way <strong>to</strong> burnish its “democratic” credentials, and<br />

possibly <strong>to</strong> make ano<strong>the</strong>r traditional party appear <strong>to</strong> be “undemocratic.” Alternatively, a traditional party<br />

could demonstrate its restrictive nature by voting <strong>to</strong> block <strong>the</strong> registration <strong>of</strong> a new party, or by blocking<br />

changes in voter registration rules that make it easier for people <strong>to</strong> register.<br />

11


Refining <strong>the</strong> <strong>Integrated</strong> <strong>Theory</strong> <strong>of</strong> <strong>Party</strong> <strong>Change</strong> for <strong>Latin</strong> American Parties<br />

Above we laid out various reasons why party change may occur at different times<br />

or take different forms in <strong>the</strong> more volatile democratic regimes <strong>of</strong> <strong>Latin</strong> America than in<br />

long-established democracies where all major parties have long been competitive parties.<br />

Now we present our refinements <strong>to</strong> <strong>the</strong> <strong>Integrated</strong> <strong>Theory</strong> <strong>of</strong> <strong>Party</strong> <strong>Change</strong>.<br />

Like Harmel and Janda (1994: 261), our focus is on <strong>the</strong> decision making process<br />

<strong>of</strong> parties that determines whe<strong>the</strong>r <strong>the</strong> party will effect change, but we refine <strong>the</strong> <strong>the</strong>ory <strong>to</strong><br />

apply <strong>to</strong> traditional parties in unconsolidated democracies. We are particularly interested<br />

in <strong>the</strong>orizing about when party leaders are likely <strong>to</strong> view <strong>the</strong> benefits <strong>of</strong> party change as<br />

outweighing <strong>the</strong> costs (enumerated above are <strong>the</strong> difficulties <strong>of</strong> doing so). We explore<br />

whe<strong>the</strong>r and how parties change. Do traditional parties effect organizational, strategic, or<br />

issue pr<strong>of</strong>ile change when a new competi<strong>to</strong>r is on <strong>the</strong> horizon, or when an old competi<strong>to</strong>r<br />

appears <strong>to</strong> be gaining elec<strong>to</strong>ral strength? Or, do traditional parties wait until <strong>the</strong> external<br />

shock – <strong>the</strong> elec<strong>to</strong>ral failure – has occurred and <strong>the</strong>n react? Do traditional parties react by<br />

changing <strong>the</strong> party’s organization, internal rules (or norms <strong>of</strong> behavior), policy stances,<br />

internal practices? Do <strong>the</strong>y circle <strong>the</strong>ir wagons and do nothing? Or, do <strong>the</strong>y pursue<br />

strategic or tactical change that is <strong>the</strong>n implemented outside <strong>the</strong> party itself, through <strong>the</strong><br />

state’s elec<strong>to</strong>ral laws, actions in <strong>the</strong> elections tribunal, or by amending <strong>the</strong> constitution?<br />

Assumptions and Propositions<br />

We have concluded that all <strong>of</strong> <strong>the</strong> assumptions and propositions <strong>of</strong> Harmel and<br />

Janda’s integrated <strong>the</strong>ory <strong>of</strong> party change should apply in <strong>Latin</strong> America. In <strong>the</strong> cases <strong>of</strong><br />

Assumptions 1, 2, and 5 and Propositions 1 through 6, 13, 14, and 17, we see no need <strong>to</strong><br />

elaborate or clarify for application <strong>to</strong> <strong>the</strong> <strong>Latin</strong> American parties which concern us here.<br />

Indeed, since we feel (as argued below) that additional fac<strong>to</strong>rs exist in <strong>Latin</strong> America <strong>to</strong><br />

12


educe (filter) <strong>the</strong> impacts <strong>of</strong> external stimuli <strong>to</strong> party change, <strong>the</strong> internal fac<strong>to</strong>rs covered<br />

in Propositions 1 through 5 should actually be more potent in explaining party change in<br />

<strong>Latin</strong> America, by default. Because we are limiting <strong>the</strong> scope <strong>of</strong> this exercise <strong>to</strong> parties<br />

whose primary goals are <strong>of</strong>fice-seeking (i.e., winning <strong>the</strong> presidency) or vote-seeking,<br />

Propositions 9, 10, and 16 have no relevance <strong>to</strong> this discussion.<br />

Where an assumption or proposition can be carried forward directly from Harmel<br />

and Janda (1994), we provide <strong>the</strong> abbreviated version <strong>of</strong> <strong>the</strong> assumption/proposition. 5<br />

These assumptions/propositions are printed in bold and italicized text. For <strong>the</strong> remaining<br />

Assumptions and Propositions, we feel it is helpful <strong>to</strong> add clarification for application <strong>of</strong><br />

<strong>the</strong> integrated <strong>the</strong>ory <strong>to</strong> <strong>the</strong> <strong>Latin</strong> American context. The original assumption or<br />

proposition, as found in Harmel and Janda (1994), is printed in bold text.<br />

Assumption 1: Parties are conservative organizations and resist change.<br />

Assumption 2: When party change occurs, it is imposed by <strong>the</strong> dominant coalition at<br />

<strong>the</strong> time <strong>of</strong> <strong>the</strong> change.<br />

Assumption 3: The dominant coalition will introduce change only when it estimates<br />

that <strong>the</strong> benefits will overcome <strong>the</strong> costs.<br />

As noted in Harmel and Janda (1994), <strong>the</strong> sources <strong>of</strong> <strong>the</strong> pressure <strong>to</strong> change may<br />

be ei<strong>the</strong>r internal as <strong>the</strong> dominant coalition tries <strong>to</strong> consolidate its power, or external as<br />

<strong>the</strong> party apparently becomes unable <strong>to</strong> achieve its goals. Particularly regarding external<br />

stimuli, it may be helpful <strong>to</strong> elaborate on obstacles in <strong>Latin</strong> American which may hinder<br />

<strong>the</strong> party’s ability <strong>to</strong> gauge <strong>the</strong> benefits which could come from party change, <strong>the</strong>reby<br />

reducing party change. 6<br />

5<br />

Bold, or bold and italicized text is quoted from Harmel and Janda (1994: 278-82).<br />

6<br />

When we say “reduced party change” we mean less frequency <strong>of</strong> change, or if change occurs, that it will<br />

be <strong>of</strong> smaller magnitude.<br />

13


In established democracies <strong>of</strong> Western Europe, which were <strong>the</strong> main focus <strong>of</strong><br />

Harmel and Janda’s original treatment, continuation <strong>of</strong> <strong>the</strong> competitive democratic<br />

regime is normally not in doubt. Hence, party decision-makers may assume that any<br />

party changes <strong>the</strong>y make will have time <strong>to</strong> reap <strong>the</strong>ir benefits. However, in situations <strong>of</strong><br />

uncertainty <strong>of</strong> <strong>the</strong> continuation <strong>of</strong> democracy, as has <strong>of</strong>ten been <strong>the</strong> case in <strong>Latin</strong><br />

America, party decision-makers may well discount benefits <strong>of</strong> party change that would<br />

not be immediate, and – in such an uncertain environment – may seem unlikely. The<br />

consequence should be reduced party change generally, regardless <strong>of</strong> <strong>the</strong> potential<br />

external “stimulus.” Thus we add assumption A3.1:<br />

A3.1 The ability <strong>of</strong> <strong>the</strong> dominant coalition <strong>to</strong> gauge likely benefits <strong>of</strong> party change for<br />

accomplishing party goals is inversely related <strong>to</strong> <strong>the</strong> degree <strong>of</strong> uncertainty<br />

regarding continuation <strong>of</strong> inter-party competition for selection <strong>of</strong> governmental<br />

leaders and continuation <strong>of</strong> <strong>the</strong> democratic regime.<br />

Elec<strong>to</strong>ral volatility, dropping turnout rates and transient parties, while not unique<br />

<strong>to</strong> <strong>Latin</strong> America, are endemic <strong>the</strong>re. Separately and <strong>to</strong>ge<strong>the</strong>r, <strong>the</strong>se obstacles could make<br />

it difficult for party decision-makers <strong>to</strong> interpret what may seem <strong>to</strong> outside observers as<br />

“elec<strong>to</strong>ral failures.” For example, loss <strong>of</strong> votes or seats <strong>to</strong> a new entrant in<strong>to</strong> <strong>the</strong> party<br />

system may be dismissed as a “one-time loss,” and thus not meriting a response in <strong>the</strong><br />

form <strong>of</strong> party change, particularly if <strong>the</strong> party is used <strong>to</strong> its vote share changing markedly<br />

from election <strong>to</strong> election. Declining voter turnout may appear <strong>to</strong> affect all major parties,<br />

or <strong>to</strong> be least harmful <strong>to</strong> traditional, clientelistic parties, and thus may make an elec<strong>to</strong>ral<br />

loss not appear <strong>to</strong> be a threat <strong>to</strong> <strong>the</strong> party’s over-time ability <strong>to</strong> achieve its <strong>of</strong>fice-<br />

maximizing goal. Alternatively, low voter turnout may mask a loss <strong>of</strong> voter support that<br />

would prompt party change if <strong>the</strong> elec<strong>to</strong>ral shock were clear. The consequence <strong>of</strong> such a<br />

14


“noisy” elec<strong>to</strong>ral environment should be reduced party change as a consequence <strong>of</strong><br />

elec<strong>to</strong>ral failure. Thus we add assumption A3.2:<br />

A3.2 The ability <strong>of</strong> <strong>the</strong> dominant coalition <strong>to</strong> estimate costs and benefits <strong>of</strong> reacting <strong>to</strong><br />

elec<strong>to</strong>ral or <strong>of</strong>fice failure with party change is inversely related <strong>to</strong> <strong>the</strong> degree <strong>to</strong><br />

which elec<strong>to</strong>ral results are not easily interpretable.<br />

In established democratic systems, where governmental arrangements tend <strong>to</strong> be<br />

ei<strong>the</strong>r parliamentary or presidential with limited formal powers (Shugart and Mainwaring<br />

1997), a party that loses <strong>the</strong> executive but has a substantial number <strong>of</strong> seats in <strong>the</strong><br />

legislature may still feel efficacious. Where <strong>the</strong> executive has strong formal powers (e.g.,<br />

decree power, exclusive rights <strong>to</strong> initiate legislation on certain <strong>to</strong>pics), as in many <strong>Latin</strong><br />

American countries, a party may perceive that it is unable <strong>to</strong> accomplish its primary goal<br />

from its weak opposition position. The consequence is that, even when a party perceives<br />

a need for change, it may be pessimistic regarding its likelihood <strong>of</strong> making a difference.<br />

This also may have <strong>the</strong> effect <strong>of</strong> reducing party change generally, regardless <strong>of</strong> external<br />

stimulus. Thus we add assumption A3.3:<br />

A3.3 The likelihood <strong>of</strong> <strong>the</strong> dominant coalition <strong>to</strong> perceive benefits <strong>of</strong> party change for<br />

accomplishing party goals is inversely related <strong>to</strong> <strong>the</strong> degree that it is<br />

difficult/impossible <strong>to</strong> accomplish goals from opposition status.<br />

Each <strong>of</strong> <strong>the</strong>se fac<strong>to</strong>rs – all <strong>of</strong> which have existed in some <strong>Latin</strong> America countries<br />

– acts as “filters” through which parties would interpret potential external stimuli for<br />

change. Absent <strong>the</strong> filters – as would be <strong>the</strong> case in most established western<br />

democracies – those stimuli are likely <strong>to</strong> result in even larger numbers and magnitudes <strong>of</strong><br />

party change.<br />

We also note that in spite <strong>of</strong> <strong>the</strong> obstacles <strong>to</strong> gauging elec<strong>to</strong>ral shocks, <strong>the</strong>re are<br />

circumstances that can clarify <strong>the</strong> picture and hence affect <strong>the</strong> party’s calculus for<br />

15


gauging <strong>the</strong> severity <strong>of</strong> a loss. One is that losses in multiple concurrent national elections<br />

or at several levels <strong>of</strong> government can magnify <strong>the</strong> perception <strong>of</strong> a loss in <strong>the</strong> presidential<br />

election. In presidential systems, voters typically get <strong>to</strong> vote in more than one national<br />

government election (president, one or two chambers <strong>of</strong> <strong>the</strong> legislature) at <strong>the</strong> same time.<br />

Voters also may get <strong>to</strong> cast ballots for <strong>the</strong> same parties running in local or state elections.<br />

If a party only loses one race (i.e., failing <strong>to</strong> achieve its <strong>of</strong>fice maximizing goal by<br />

winning <strong>the</strong> presidency), but it wins a large block <strong>of</strong> seats in <strong>the</strong> legislature, possibly even<br />

a larger block <strong>of</strong> seats than <strong>the</strong> president’s party, or it wins several governorships or <strong>the</strong><br />

mayors <strong>of</strong>fice in <strong>the</strong> country’s major cities; party leaders may conclude that <strong>the</strong>re is no<br />

need <strong>to</strong> change. However, if <strong>the</strong> party loses in all elections at all levels, <strong>the</strong> results <strong>of</strong> <strong>the</strong><br />

“lesser” elections may add clarity <strong>to</strong> <strong>the</strong> meaning <strong>of</strong> <strong>the</strong> loss in <strong>the</strong> presidential election,<br />

reinforcing a need for party change.<br />

Two is that elec<strong>to</strong>ral failure – even when <strong>the</strong> magnitude <strong>of</strong> <strong>the</strong> loss is numerically<br />

small – may reach <strong>the</strong> magnitude <strong>of</strong> a “shock” when <strong>the</strong> party loses <strong>to</strong> a party that is very<br />

different from itself. 7 A traditional party may perceive differently an elec<strong>to</strong>ral threat or<br />

loss <strong>to</strong> a party whose platform presents a policy threat <strong>to</strong> <strong>the</strong>ir key constituents than an<br />

elec<strong>to</strong>ral loss <strong>to</strong> a party that is ano<strong>the</strong>r traditional party. Put differently, it may be<br />

frustrating in terms <strong>of</strong> loss <strong>of</strong> patronage access <strong>to</strong> be out <strong>of</strong> power while ano<strong>the</strong>r<br />

traditional party uses <strong>the</strong> spoils <strong>of</strong> government <strong>to</strong> reward its supporters and clients; but it<br />

may be viewed as a treat <strong>to</strong> <strong>the</strong> very existence <strong>of</strong> <strong>the</strong> traditional party and its traditional<br />

policy clientele <strong>to</strong> be in opposition while a populist party or a party with a widely<br />

7 We do not view <strong>the</strong> “shock” effect <strong>of</strong> losing, even by a small margin, <strong>to</strong> a party that is ideologically<br />

polarized <strong>to</strong> your own as a phenomenon unique <strong>to</strong> <strong>Latin</strong> America. For example, had <strong>the</strong> Christian<br />

Democrats in Italy lost a national election <strong>to</strong> <strong>the</strong> Communist <strong>Party</strong>, we would expect such a loss <strong>to</strong> be<br />

viewed as a “shock” even if <strong>the</strong> party barely lost <strong>the</strong> election. Similarly, we would expect <strong>the</strong> conservative<br />

coalition’s first loss in France <strong>to</strong> <strong>the</strong> Socialist <strong>Party</strong> <strong>to</strong> have been this sort <strong>of</strong> “shock.”<br />

16


different ideology governs. <strong>Party</strong> change would be more likely <strong>to</strong> occur under <strong>the</strong>se<br />

circumstances than when <strong>the</strong> loss is <strong>to</strong> ano<strong>the</strong>r traditional party. 8<br />

Assumption 4: All parties have multiple goals, but one is more important than any<br />

o<strong>the</strong>r.<br />

The literature on political parties recognizes that most parties have multiple goals,<br />

and that not all parties have <strong>the</strong> same primary goal. Strom (1990) argues that parties can<br />

be primarily vote, <strong>of</strong>fice, or policy maximizers. Harmel and Janda (1994) add <strong>the</strong> goal <strong>of</strong><br />

“internal democracy” <strong>to</strong> <strong>the</strong>se options. In <strong>Latin</strong> American, <strong>the</strong> major party players are <strong>of</strong><br />

<strong>the</strong> vote-maximizing or – even more so – <strong>of</strong>fice-maximizing varieties. For our purposes,<br />

we have made a practical decision – <strong>to</strong> reduce <strong>the</strong> complexity <strong>of</strong> <strong>the</strong>orizing we are doing<br />

here – <strong>to</strong> limit our scope <strong>to</strong> older parties with vote-seeking or <strong>of</strong>fice-seeking as <strong>the</strong><br />

primary goal, i.e. those which have a viable chance <strong>of</strong> winning legislative seats (votes) or<br />

<strong>the</strong> presidency (<strong>of</strong>fice). We recognize that <strong>the</strong>re are parties in <strong>Latin</strong> American which<br />

have primary goals <strong>of</strong> internal democracy or policy, but we leave <strong>the</strong>orizing for those<br />

smaller groups <strong>of</strong> parties <strong>to</strong> o<strong>the</strong>rs. This decision, <strong>to</strong> focus this paper on vote- and <strong>of</strong>fice-<br />

seeking parties, means that certain propositions from <strong>the</strong> original <strong>Integrated</strong> <strong>Theory</strong> <strong>of</strong><br />

<strong>Party</strong> <strong>Change</strong> are rendered irrelevant for <strong>the</strong> context we are <strong>the</strong>orizing about.<br />

Traditional parties that have long been major players in <strong>Latin</strong> American politics<br />

tend <strong>to</strong> have <strong>of</strong>fice maximizing as <strong>the</strong>ir primary goal. In <strong>Latin</strong> America’s presidential<br />

systems, where <strong>the</strong> presidency is <strong>the</strong> real plum that a major party wants <strong>to</strong> win <strong>to</strong> have<br />

8 We note, however, that <strong>the</strong> threat <strong>of</strong> a loss <strong>to</strong> an extremely different party may be less likely <strong>to</strong> induce <strong>the</strong><br />

traditional party <strong>to</strong> change <strong>the</strong>n an actual loss <strong>to</strong> <strong>the</strong> ideologically distant party. The party change literature<br />

anticipates that parties that do not fit <strong>the</strong> norm (i.e., parties that do not look and act like, or possibly even<br />

think like traditional parties and that are <strong>to</strong>o different <strong>to</strong> be viewed as acceptable coalition partners by<br />

established parties) are <strong>the</strong> parties that will be forced <strong>to</strong> change so that <strong>the</strong>y will have access <strong>to</strong> government<br />

(Harmel and Janda 1994: 264). By extension, traditional parties in <strong>Latin</strong> America may not change in<br />

response <strong>to</strong> a threat from a new leftist or populist party because <strong>the</strong>y do not perceive that party as a true<br />

threat until it is <strong>to</strong>o late <strong>to</strong> respond – i.e., after <strong>the</strong> election has lost a substantial share <strong>of</strong> its voter support.<br />

17


access <strong>to</strong> state resources, coming in first, even by very few votes is <strong>of</strong>ten enough <strong>to</strong><br />

maximize <strong>of</strong>fice. 9 Where many parties and permissive elec<strong>to</strong>ral rules mean that <strong>the</strong><br />

president’s party is unlikely <strong>to</strong> enjoy a majority in <strong>the</strong> congress, or if due <strong>to</strong> a lack <strong>of</strong><br />

partisan powers a president cannot count on <strong>the</strong> loyalty <strong>of</strong> his co-partisans in <strong>the</strong><br />

legislature (Jones 1995; Mainwaring and Shugart 1997), <strong>the</strong>n <strong>the</strong> president will be forced<br />

<strong>to</strong> reach out <strong>to</strong> o<strong>the</strong>r parties <strong>to</strong> form a governing coalition. In those cases (e.g., Bolivia,<br />

Brazil, Ecuador) small parties may be able <strong>to</strong> succeed at <strong>the</strong>ir <strong>of</strong>fice maximizing goal –<br />

particularly if <strong>the</strong> party is a “party for hire” that wants pork and patronage resources more<br />

than policy (Kellam 2007).<br />

Traditional parties in <strong>Latin</strong> American politics are <strong>of</strong>ten more concerned about<br />

gaining access <strong>to</strong> state resources for clientelism than about policy maximizing. They<br />

<strong>of</strong>ten pursue policies that benefit <strong>the</strong> traditional oligarchy at <strong>the</strong> expense <strong>of</strong> <strong>the</strong> poor<br />

majority, regardless <strong>of</strong> <strong>the</strong> promises politicians make at election time, and <strong>the</strong>se<br />

traditional parties do not try <strong>to</strong> differentiate <strong>the</strong>mselves based on <strong>the</strong>ir policy platform.<br />

They have a clientele that <strong>the</strong>y want <strong>to</strong> protect (i.e., <strong>the</strong> policy preferences <strong>of</strong> <strong>the</strong><br />

traditional oligarchy or business and <strong>the</strong> clientelistic expectations <strong>of</strong> <strong>the</strong>ir clients), but<br />

competition is between traditional parties and <strong>the</strong>ir clientelistic networks, more than it is<br />

a policy debate. Even when a party has strong policy goals, winning <strong>the</strong> executive is a<br />

logical strategy for obtaining those goals, due <strong>to</strong> <strong>the</strong> strong policy initiative powers <strong>of</strong><br />

many <strong>Latin</strong> American presidents.<br />

Finally, our focus on traditional parties means that increasing party democracy is<br />

unlikely <strong>to</strong> be <strong>the</strong> party’s primary goal. There are some parties in <strong>Latin</strong> America that<br />

9 Coming in second is what is needed <strong>to</strong> take part in a presidential run-<strong>of</strong>f, even a distant second, though in<br />

<strong>the</strong> second round <strong>of</strong> elections for <strong>the</strong> presidency, a party must work <strong>to</strong> obtain <strong>the</strong> most votes.<br />

18


place high value on internal party democracy (e.g., <strong>the</strong> Workers <strong>Party</strong> in Brazil), but<br />

traditional parties tend <strong>to</strong> maintain <strong>the</strong> old-fashioned norm <strong>of</strong> control by a party caudillo,<br />

even if <strong>the</strong> party’s statutes on paper give control <strong>to</strong> party congresses from <strong>the</strong> local <strong>to</strong> <strong>the</strong><br />

national level. Even parties with a more modern face and a middle- or working-class<br />

appeal also are controlled by national-level party leaders, particularly when it comes <strong>to</strong><br />

selecting legislative candidates (e.g., <strong>the</strong> Concertación coalition and its member parties in<br />

Chile [Navia forthcoming]).<br />

Assumption 5: The criteria for judging <strong>the</strong> party’s performance in achieving its goals<br />

vary with <strong>the</strong> nature <strong>of</strong> its primary goal.<br />

A5.1 If <strong>the</strong> primary goal is winning elections, <strong>the</strong> performance criteria is winning<br />

votes or seats.<br />

A5.2 If <strong>the</strong> primary goal is gaining executive <strong>of</strong>fice, <strong>the</strong> performance criterion is<br />

participation in government.<br />

Proposition 1: The more stable <strong>the</strong> conformation <strong>of</strong> <strong>the</strong> dominant coalition, <strong>the</strong> less<br />

likely <strong>the</strong> party will change.<br />

Proposition 2: The greater <strong>the</strong> change in <strong>the</strong> conformation <strong>of</strong> <strong>the</strong> dominant coalition,<br />

<strong>the</strong> more likely <strong>the</strong> party will change.<br />

Proposition 3: A change in <strong>the</strong> composition <strong>of</strong> <strong>the</strong> dominant coalition is likely <strong>to</strong><br />

produce party change.<br />

Proposition 4: <strong>Change</strong>s in <strong>the</strong> dominant coalition’s conformation have more effect on<br />

party change than changes in its composition.<br />

Proposition 5: A change in <strong>the</strong> person who leads <strong>the</strong> party is likely <strong>to</strong> produce party<br />

change.<br />

Proposition 6: The poorer <strong>the</strong> party’s performance in achieving its goals, <strong>the</strong> greater<br />

<strong>the</strong> pressures for party change.<br />

Here we note that for traditional parties in <strong>Latin</strong> America, <strong>the</strong> challenge may<br />

come in determining why <strong>the</strong> party did not win an election, or why its elec<strong>to</strong>ral<br />

performance deteriorated. Thus, <strong>the</strong> need for change may be clear, but change may not<br />

occur if it is not obvious what type <strong>of</strong> party change is likely <strong>to</strong> produce a benefit (i.e., an<br />

improvement in elec<strong>to</strong>ral performance) that exceeds <strong>the</strong> cost <strong>of</strong> making <strong>the</strong> change. The<br />

19


obstacles <strong>to</strong> making <strong>the</strong>se decisions are discussed above under Assumption 3, and below<br />

under Propositions 7 and 8.<br />

Proposition 7: For vote-seeking parties – those that pursue winning elections as <strong>the</strong>ir<br />

primary goal – <strong>the</strong> more pronounced <strong>the</strong>ir elec<strong>to</strong>ral failures; <strong>the</strong> more likely <strong>the</strong>y<br />

are <strong>to</strong> change.<br />

Proposition 8: For <strong>of</strong>fice-seeking parties – those that pursue executive <strong>of</strong>fice as <strong>the</strong>ir<br />

primary goals – <strong>the</strong> more pronounced <strong>the</strong>ir failure <strong>to</strong> achieve executive <strong>of</strong>fice;<br />

<strong>the</strong> more likely <strong>the</strong>y are <strong>to</strong> change.<br />

For Harmel and Janda (1994), changes are more likely <strong>to</strong> follow elec<strong>to</strong>ral shocks<br />

<strong>of</strong> “shattering defeats” or “trends in declining shares <strong>of</strong> votes or seats,” or <strong>of</strong>fice shocks <strong>of</strong><br />

“significant failures <strong>to</strong> enter cabinet governments or trends <strong>of</strong> failures.” Both elec<strong>to</strong>ral<br />

and <strong>of</strong>fice shocks would involve sources external <strong>to</strong> <strong>the</strong> party, but it is important <strong>to</strong> note<br />

that what is a shock is in eye <strong>of</strong> beholder. In <strong>Latin</strong> America, where <strong>the</strong> above-discussed<br />

filters can make <strong>the</strong> meaning <strong>of</strong> election results quite opaque, party decision-makers<br />

might be more prone <strong>to</strong> interpreting elec<strong>to</strong>ral failure as a “one-time loss” that does not<br />

achieve <strong>the</strong> stature <strong>of</strong> a shock, and thus not meriting change.<br />

In that same context <strong>of</strong> difficult-<strong>to</strong>-interpret election results, even when a loss is<br />

so dramatic as <strong>to</strong> catch <strong>the</strong> attention <strong>of</strong> <strong>the</strong> decision-makers, <strong>the</strong> reason for <strong>the</strong> loss may<br />

be <strong>to</strong>o illusive <strong>to</strong> motivate any particular change. Such loss is more likely, in those<br />

circumstances, <strong>to</strong> produce personnel change (replacing a party leader with a new face that<br />

pursues <strong>the</strong> same old methods, tactics, and ideas) than genuine party change as we have<br />

defined it above.<br />

In combination with Assumption 3 (and A3.1 – A3.3), propositions 7 and 8 yield<br />

several new sub-propositions. Combination with A3.1 yields:<br />

P7.1 For vote-seeking parties – <strong>the</strong> more pronounced <strong>the</strong>ir elec<strong>to</strong>ral failures, <strong>the</strong> more<br />

likely <strong>the</strong>y are <strong>to</strong> change, though less so <strong>to</strong> <strong>the</strong> extent that <strong>the</strong> party is uncertain<br />

that <strong>the</strong> democratic regime will continue.<br />

20


P8.1 For <strong>of</strong>fice-seeking parties – <strong>the</strong> more pronounced <strong>the</strong>ir failure <strong>to</strong> achieve<br />

executive <strong>of</strong>fice, <strong>the</strong> more likely <strong>the</strong>y are <strong>to</strong> change, though less so <strong>to</strong> <strong>the</strong> extent<br />

that <strong>the</strong> party is uncertain that <strong>the</strong> democratic regime will continue.<br />

Likewise, combining Propositions 7 and 8 with A3.2 yields:<br />

P7.2 For vote-seeking parties – <strong>the</strong> more pronounced <strong>the</strong>ir elec<strong>to</strong>ral failures, <strong>the</strong> more<br />

likely <strong>the</strong>y are <strong>to</strong> change, though less so <strong>to</strong> <strong>the</strong> extent that elec<strong>to</strong>ral results are not<br />

easily interpretable.<br />

P8.2 For <strong>of</strong>fice-seeking parties – <strong>the</strong> more pronounced <strong>the</strong>ir failure <strong>to</strong> achieve<br />

executive <strong>of</strong>fice, <strong>the</strong> more likely <strong>the</strong>y are <strong>to</strong> change, though less so <strong>to</strong> <strong>the</strong> extent<br />

that elec<strong>to</strong>ral results are not easily interpretable.<br />

Finally, combining Proposition 8 with A3.3 yields: 10<br />

P8.3 For <strong>of</strong>fice-seeking parties – <strong>the</strong> more pronounced <strong>the</strong>ir failure <strong>to</strong> achieve<br />

executive <strong>of</strong>fice, <strong>the</strong> more likely <strong>the</strong>y are <strong>to</strong> change, though less so <strong>to</strong> <strong>the</strong> extent<br />

that accomplishing party goals is difficult/impossible from opposition status.<br />

Proposition 11: Goal-oriented changes attract more controversy and are more<br />

difficult <strong>to</strong> achieve than power-oriented changes. 11<br />

Harmel and Janda (1994: 281) explain that, “Power-oriented changes are inside<br />

jobs, while goal-oriented changes invite involvement by all classes <strong>of</strong> party ac<strong>to</strong>rs and <strong>the</strong><br />

public.” The latter attracts public commentary and can produce controversy inside <strong>the</strong><br />

party and out. This proposition may have different implications for parties operating in<br />

established vs. in unconsolidated democracies. For parties in established democracies,<br />

power-oriented changes are likely <strong>to</strong> be more common than goal-oriented changes. For<br />

<strong>Latin</strong> America’s traditional parties, however, we can envision scenarios where <strong>the</strong><br />

controversy generated by a goal-oriented change may make that type <strong>of</strong> change more<br />

10 We do not see that A3.3 would make it less likely for vote-seeking parties <strong>to</strong> change because <strong>the</strong> primary<br />

goal <strong>of</strong> vote-seeking parties is <strong>to</strong> win votes that translate in<strong>to</strong> seats in <strong>the</strong> legislature. With those seats, a<br />

vote-seeking party may be part <strong>of</strong> <strong>the</strong> opposition, or it might take part in <strong>the</strong> president’s coalition, but<br />

presumably a vote-seeking party would not view opposition status as an impossible obstacle <strong>to</strong> achieving<br />

its primary goal.<br />

11 Propositions 9 and 10 from Harmel and Janda (1994: 281) are dropped when we refine <strong>the</strong> integrated<br />

<strong>the</strong>ory <strong>of</strong> party change for application <strong>to</strong> traditional parties in <strong>Latin</strong> America, because <strong>the</strong>y apply <strong>to</strong> policyseeking<br />

or democracy-seeking parties, which we have opted <strong>to</strong> not include here.<br />

21


eneficial <strong>to</strong> <strong>the</strong> party, and thus more likely than power-oriented change, precisely<br />

because it generated controversy and (hopefully) positive attention for <strong>the</strong> party.<br />

In <strong>Latin</strong> American countries, where <strong>the</strong> permanence <strong>of</strong> democracy has <strong>of</strong>ten been<br />

uncertain, and where parties have <strong>of</strong>ten broken <strong>the</strong>ir word <strong>to</strong> voters (S<strong>to</strong>kes 2001), <strong>the</strong><br />

“controversy” that a goal-oriented change generates may in fact be seen as a benefit.<br />

Goal-oriented changes related <strong>to</strong> change in party strategy or tactics are intended <strong>to</strong><br />

generate publicity in order <strong>to</strong> increase voter support for <strong>the</strong> party beyond party militants.<br />

For example, a his<strong>to</strong>rically undemocratic party – whe<strong>the</strong>r formerly restrictive or<br />

subversive – may renounce old tactics or adopt new ones <strong>to</strong> emphasize its commitment <strong>to</strong><br />

democracy.<br />

Proposition 12: If a dominant faction is replaced by a faction that favors a different<br />

goal, <strong>the</strong> new dominant coalition will engage in both power-motivated and goalmotivated<br />

changes.<br />

While Proposition 12 as stated by Harmel and Janda (1994) still holds, we add<br />

that this incentive for change may occur for a <strong>Latin</strong> American traditional party when a<br />

formerly dominant party loses power and a new dominant faction within <strong>the</strong> party sets<br />

aside <strong>the</strong> <strong>of</strong>fice goal in favor <strong>of</strong> using vote-maximizing strategies/tactics <strong>to</strong> rebuild <strong>the</strong><br />

party’s base <strong>of</strong> support. In this type <strong>of</strong> situation, <strong>the</strong> change in goal-orientation may be<br />

driven by <strong>the</strong> new leader’s fight <strong>to</strong> keep <strong>the</strong> party alive, more than by <strong>the</strong> new leader’s<br />

lack <strong>of</strong> support for <strong>the</strong> old party goal.<br />

Proposition 13: When making goal-oriented changes, vote-seeking parties are more<br />

likely <strong>to</strong> modify <strong>the</strong>ir rules and structure than are <strong>of</strong>fice-seeking or policy-seeking<br />

parties.<br />

Proposition 14: Power-motivations are more likely <strong>to</strong> produce changes in party rules<br />

and structure than in party issues.<br />

Proposition 15: Outside <strong>of</strong> democracy-seeking parties, goal-motivations are more<br />

likely <strong>to</strong> produce changes in party issues, strategies and tactics.<br />

22


Harmel and Janda (1994: 282) add “Because parties achieve <strong>the</strong>ir goals by<br />

reacting with <strong>the</strong> environment, if <strong>the</strong>y fail <strong>to</strong> achieve <strong>the</strong>ir goals, <strong>the</strong>y must modify <strong>the</strong><br />

way <strong>the</strong>y interact with <strong>the</strong>ir environment.” Here we would simply draw special attention<br />

<strong>to</strong> parties that were formerly restrictive or subversive and now face an environment in<br />

which – whe<strong>the</strong>r for domestic or international reasons – anti-democratic tactics are no<br />

longer viable. In that circumstance, a formerly restrictive traditional party could be<br />

expected <strong>to</strong> embrace changes which may make it more effective in <strong>the</strong> changed<br />

environment, e.g. adopting tactics traditionally associated with vote-maximization and<br />

even supporting elec<strong>to</strong>ral reforms. Parties which formerly contained guerilla movements<br />

(i.e., subversive parties) could indicate this change by signing peace treaties and<br />

becoming active participants in <strong>the</strong> elec<strong>to</strong>ral arena which <strong>the</strong>y formerly shunned. These<br />

behaviors would be individual indica<strong>to</strong>rs <strong>of</strong> a party fundamentally changing its strategies<br />

or tactics for accomplishing its primary goal <strong>of</strong> maximizing votes or <strong>of</strong>fice.<br />

Proposition 17: Propensity <strong>of</strong> a party <strong>to</strong> change is inversely related <strong>to</strong> party age. 12<br />

Some Hypo<strong>the</strong>ses Derived from <strong>the</strong> Refined <strong>Integrated</strong> <strong>Theory</strong> <strong>of</strong> <strong>Party</strong> <strong>Change</strong><br />

and an Illustrative Case<br />

From <strong>the</strong> assumptions and propositions outlined above in <strong>the</strong> Refined <strong>Integrated</strong><br />

<strong>Theory</strong> <strong>of</strong> <strong>Party</strong> <strong>Change</strong>, we now <strong>of</strong>fer some specific hypo<strong>the</strong>ses about party change for<br />

traditional parties in <strong>Latin</strong> America. Assumption 3.1 in combination with P7.1 and P8.1<br />

yields:<br />

12 Proposition 16 from Harmel and Janda (1994: 282) is dropped when we refine <strong>the</strong> integrated <strong>the</strong>ory <strong>of</strong><br />

party change for application <strong>to</strong> traditional parties in <strong>Latin</strong> America, because it applies <strong>to</strong> democracyseeking<br />

parties, which we have opted <strong>to</strong> not include here.<br />

23


H7.1.1: For vote-seeking parties: occurrence [or magnitude] <strong>of</strong> party change attributable<br />

<strong>to</strong> perceived elec<strong>to</strong>ral failure is inversely related <strong>to</strong> frequency or cumulative duration<br />

<strong>of</strong> authoritarian regimes in previous decades.<br />

H7.1.2: For vote-seeking parties: occurrence [or magnitude] <strong>of</strong> party change attributable<br />

<strong>to</strong> perceived elec<strong>to</strong>ral failure is inversely related <strong>to</strong> <strong>the</strong> frequency <strong>of</strong> coup attempts or<br />

<strong>the</strong> intensity <strong>of</strong> coup rumors in <strong>the</strong> previous year.<br />

H8.1.1: For <strong>of</strong>fice-seeking parties: occurrence [or magnitude] <strong>of</strong> party change attributable<br />

<strong>to</strong> failure <strong>to</strong> achieve <strong>of</strong>fice is inversely related <strong>to</strong> frequency or cumulative duration <strong>of</strong><br />

authoritarian regimes in previous decades.<br />

H8.1.2: For <strong>of</strong>fice-seeking parties: occurrence [or magnitude] <strong>of</strong> party change attributable<br />

<strong>to</strong> failure <strong>to</strong> achieve <strong>of</strong>fice is inversely related <strong>to</strong> <strong>the</strong> frequency <strong>of</strong> coup attempts or<br />

<strong>the</strong> intensity <strong>of</strong> coup rumors in <strong>the</strong> previous year.<br />

Assumption 3.2 in combination with P7.2 and P8.2 yields:<br />

H7.2: For vote-seeking parties: occurrence [or magnitude] <strong>of</strong> party change attributable <strong>to</strong><br />

perceived elec<strong>to</strong>ral failure is inversely related <strong>to</strong> elec<strong>to</strong>ral volatility or dropping<br />

turnout rates or transient parties.<br />

H8.2: For <strong>of</strong>fice-seeking parties: occurrence [or magnitude] <strong>of</strong> party change attributable<br />

<strong>to</strong> failure <strong>to</strong> achieve <strong>of</strong>fice is inversely related <strong>to</strong> elec<strong>to</strong>ral volatility or dropping<br />

turnout rates or transient parties.<br />

Assumption 3.3 in combination with P8.3 yields:<br />

H8.3: For <strong>of</strong>fice-seeking parties: occurrence [or magnitude] <strong>of</strong> party change attributable<br />

<strong>to</strong> failure <strong>to</strong> achieve <strong>of</strong>fice is inversely related <strong>to</strong> <strong>the</strong> degree <strong>the</strong> regime’s executive<br />

has strong formal powers.<br />

Many specific hypo<strong>the</strong>ses can flow from a single proposition. In future empirical<br />

tests <strong>of</strong> such hypo<strong>the</strong>ses, we may find some <strong>to</strong> be supported and o<strong>the</strong>rs <strong>to</strong> fail. If a<br />

hypo<strong>the</strong>sis fails in empirical test that casts doubt on <strong>the</strong> proposition from which it is<br />

derived. Some successful hypo<strong>the</strong>ses and some failures should result in rethinking <strong>of</strong> <strong>the</strong><br />

breadth <strong>of</strong> <strong>the</strong> concepts employed in <strong>the</strong> proposition, and thus, revision <strong>of</strong> <strong>the</strong> <strong>the</strong>ory.<br />

For this paper our purpose is <strong>to</strong> refine <strong>the</strong> <strong>Integrated</strong> <strong>Theory</strong> <strong>of</strong> <strong>Party</strong> <strong>Change</strong> so<br />

that it can be applied <strong>to</strong> traditional parties in unconsolidated democracies. Ra<strong>the</strong>r than<br />

conduct a test <strong>of</strong> hypo<strong>the</strong>ses here, using systematic data from many traditional parties in<br />

many <strong>Latin</strong> American countries, we use <strong>the</strong> experiences <strong>of</strong> Venezuela’s traditional parties<br />

24


in <strong>the</strong> 1990s as an illustration. Keeping in mind that in studies <strong>of</strong> party change it is a<br />

judgment call whe<strong>the</strong>r “<strong>the</strong> glass is half full or half empty” regarding whe<strong>the</strong>r significant<br />

change has occurred, <strong>the</strong> actions by Venezuela’s two traditional parties, illustrate how<br />

this class <strong>of</strong> parties respond <strong>to</strong> elec<strong>to</strong>ral failures. In particular <strong>the</strong>y allow us <strong>to</strong> illustrate<br />

how falling voter turnout, new parties, and uncertainty about democracy make it difficult<br />

for party leaders <strong>to</strong> determine whe<strong>the</strong>r and what type <strong>of</strong> party change may have benefits<br />

that outweigh costs (A3.1, A3.2, P8.1, P8.2, H8.1.2, and H8.2). In light <strong>of</strong> <strong>the</strong> existence<br />

<strong>of</strong> <strong>the</strong>se filters, interacted with <strong>the</strong> natural conservatism <strong>of</strong> political parties as<br />

organizations (A1), any party change is worthy <strong>of</strong> special note.<br />

The Venezuelan national elections <strong>of</strong> December 1993 and 1998 look like cases<br />

written from <strong>the</strong> Refined <strong>Integrated</strong> <strong>Theory</strong> <strong>of</strong> <strong>Party</strong> <strong>Change</strong>. The Venezuelan experience<br />

highlights how filters make it difficult for party leaders <strong>to</strong> interpret <strong>the</strong> meaning and<br />

causes <strong>of</strong> an elec<strong>to</strong>ral failure.<br />

With hindsight, <strong>the</strong> 1993 election was <strong>the</strong> beginning <strong>of</strong> <strong>the</strong> collapse <strong>of</strong> Acción<br />

Democrática’s (AD) and Comité de Organización Política Elec<strong>to</strong>ral Independiente’s<br />

(COPEI) dominance <strong>of</strong> Venezuelan politics. Both traditional parties had <strong>of</strong>fice-seeking<br />

as a primary goal, and <strong>the</strong>y alone had won <strong>the</strong> presidency since <strong>the</strong> installation <strong>of</strong><br />

Venezuela’s democratic regime in 1958 (AD five times, COPEI twice). AD and COPEI<br />

had grown accus<strong>to</strong>med <strong>to</strong> winning a combined <strong>to</strong>tal <strong>of</strong> 80% or more <strong>of</strong> <strong>the</strong> seats in<br />

Congress (Crisp 2000: 45). They expected <strong>to</strong> alternate in power and <strong>to</strong> control policy and<br />

clientelistic resources – but <strong>the</strong> 1993 election was <strong>the</strong> beginning <strong>of</strong> <strong>the</strong> end <strong>of</strong> that<br />

hegemony.<br />

25


The revised party change <strong>the</strong>ory predicts that <strong>the</strong> traditional parties might not take<br />

definitive action (party change) in <strong>the</strong> face <strong>of</strong> <strong>the</strong>ir failures <strong>to</strong> win executive <strong>of</strong>fice,<br />

because <strong>of</strong> <strong>the</strong> filters that made it difficult for <strong>the</strong>m <strong>to</strong> interpret <strong>the</strong> meaning and severity<br />

<strong>of</strong> <strong>the</strong>ir elec<strong>to</strong>ral failure. One filter was <strong>the</strong> 40% abstention in <strong>the</strong> 1993 election – twice<br />

<strong>the</strong> abstention rate in <strong>the</strong> 1988 election (Landman 1995: 100; Molina and Pérez 1998: 15-<br />

6). Abstention was again high in 1998, and <strong>the</strong> low participation was thought <strong>to</strong> benefit<br />

AD and COPEI (Chávez Spells Out his Policies 1998). Ano<strong>the</strong>r filter was <strong>the</strong> types <strong>of</strong><br />

parties (coalitions and candidates) that did well in <strong>the</strong> 1993 election. They were small<br />

parties that increased <strong>the</strong>ir seat share in <strong>the</strong> Congress but were still small blocks (MAS,<br />

Causa R), and a coalition <strong>of</strong> new parties (Convergencia -- whose primary members were<br />

defec<strong>to</strong>rs from <strong>the</strong> traditional parties) that won <strong>the</strong> presidency. 13 AD and COPEI were<br />

still <strong>the</strong> largest parties in <strong>the</strong> Congress, winning 30 <strong>of</strong> 46 seats in <strong>the</strong> Senate and 109 <strong>of</strong><br />

199 seats in <strong>the</strong> Chamber (though this was a dramatic drop from <strong>the</strong> number <strong>of</strong> seats each<br />

held in <strong>the</strong> 1988-93 Congress). The traditional parties also lost <strong>the</strong> presidency <strong>to</strong> Rafael<br />

Caldera and his Convergencia coalition, but Caldera was a former COPEI president as<br />

well as COPEI’s founder, which may have caused <strong>the</strong>m <strong>to</strong> think <strong>the</strong>ir elec<strong>to</strong>ral loss was<br />

not a threat <strong>to</strong> <strong>the</strong>ir constituencies. 14 In addition, Caldera won <strong>the</strong> presidency with only<br />

30.45% <strong>of</strong> <strong>the</strong> popular vote, while AD’s candidate won 24.22% and COPEI’s won<br />

23.45%. Again, <strong>the</strong> combined vote share <strong>of</strong> AD and COPEI represented a massive drop<br />

from <strong>the</strong> 93% <strong>of</strong> <strong>the</strong> vote <strong>the</strong>y shared in 1988, but what <strong>the</strong>ir candidates’ vote shares<br />

meant in <strong>the</strong> 1993 election was probably difficult <strong>to</strong> interpret. In sum, this noisy elec<strong>to</strong>ral<br />

13 Causa R’s vic<strong>to</strong>ry in <strong>the</strong> mayoral race for Caracas in 1993 should, however, have been ano<strong>the</strong>r sign <strong>of</strong><br />

popular discontent with <strong>the</strong> traditional parties (Goldfrank 2002: Chapter 3; Coppedge 1996). News reports<br />

do indicate that AD was concerned by its poor showing in <strong>the</strong> December 1992 guberna<strong>to</strong>rial elections, but<br />

that party leaders disagreed about what <strong>to</strong> do (Rattled AD Splits over Strategy 1993).<br />

14 Caldera broke with COPEI and ran as <strong>the</strong> candidate <strong>of</strong> <strong>the</strong> Convergencia coalition <strong>of</strong> 17 disparate parties.<br />

26


environment would have made it difficult for ei<strong>the</strong>r traditional party <strong>to</strong> interpret <strong>the</strong> cause<br />

<strong>of</strong> <strong>the</strong>ir elec<strong>to</strong>ral failure. H8.2 predicts that party change by AD and COPEI would be<br />

relatively unlikely even in <strong>the</strong> face <strong>of</strong> <strong>the</strong> failure <strong>of</strong> both parties <strong>to</strong> achieve <strong>the</strong>ir <strong>of</strong>fice-<br />

seeking goal: <strong>the</strong> presidency.<br />

In addition, throughout <strong>the</strong> 1990s <strong>the</strong>re was uncertainty about <strong>the</strong> stability <strong>of</strong> <strong>the</strong><br />

democratic regime in Venezuela. 15 In 1992, Hugo Chaves led an unsuccessful coup<br />

attempt, with ano<strong>the</strong>r coup attempt later in <strong>the</strong> year; and mass protests against<br />

government policies were frequent, <strong>of</strong>ten being violently repressed. 16 Throughout Rafael<br />

Caldera’s administration (1994-98) rumors <strong>of</strong> a possible military coup persisted, as did<br />

popular protests against government policies. H8.1.2 predicts that party change by AD<br />

and COPEI is less likely, even in <strong>the</strong> face <strong>of</strong> <strong>the</strong>ir failure <strong>to</strong> achieve <strong>the</strong>ir <strong>of</strong>fice-seeking<br />

goal in 1993, because <strong>of</strong> <strong>the</strong> questions about <strong>the</strong> future <strong>of</strong> democracy.<br />

The revised party change <strong>the</strong>ory predicts that, given <strong>the</strong>se filters which may<br />

reduce <strong>the</strong> likelihood <strong>of</strong> party change in response <strong>to</strong> an external shock, leader or<br />

dominant faction change within a party is a particularly likely source <strong>of</strong> party change (P1-<br />

5). Certainly <strong>the</strong>re was leader change in AD when President Carlos Andrés Pérez<br />

resigned in June 1993 in <strong>the</strong> midst <strong>of</strong> corruption scandals and impeachment proceedings.<br />

But Pérez was not gone (from government or AD) until very late in <strong>the</strong> multi-year period<br />

during which popular discontent grew in Venezuela, and his leadership power within <strong>the</strong><br />

party had been questionable for some time. Anti-Pérez factions within AD, acting from<br />

15 This makes Venezuela’s traditional parties particularly interesting cases for study, because before <strong>the</strong><br />

crisis that developed during <strong>the</strong> administration <strong>of</strong> Pres. Pérez, Venezuela was “considered a thoroughly<br />

consolidated democracy” (Coppedge 1994: 1).<br />

16 In <strong>the</strong> first three years <strong>of</strong> Pérez’s term, <strong>the</strong>re were 5000 street protests, at least 2000 <strong>of</strong> which ended in<br />

violence. There was also a constant litany <strong>of</strong> negative public opinion polls about <strong>the</strong> government and <strong>the</strong><br />

state <strong>of</strong> <strong>the</strong> economy (Canache and Kulisheck 1998: 5; Myers 2000: 272 and 280; Molina 2001: 533;<br />

Canache 2004: 33).<br />

27


within <strong>the</strong> Congress, blocked his economic austerity, tax, and constitutional reform<br />

initiatives, and repeatedly proposed motions <strong>to</strong> shorten his term (Fur<strong>the</strong>r <strong>Change</strong>s 1992;<br />

Pérez Wants Taxes 1992). Yet even with Pérez gone, no new faction was able <strong>to</strong><br />

definitely take over AD.<br />

COPEI was also internally fragmented before <strong>the</strong> 1993 election. COPEI’s<br />

fragmentation, however, led <strong>to</strong> a significant change in <strong>the</strong> party. In an attempt <strong>to</strong> avoid a<br />

party split, and <strong>to</strong> enhance <strong>the</strong> democratic image <strong>of</strong> <strong>the</strong> party, COPEI held an open<br />

primary <strong>to</strong> select its presidential candidate (COPEI ‘Cogollo’ 1993). None<strong>the</strong>less, this<br />

change was not sufficient <strong>to</strong> prevent Rafael Caldera from leaving <strong>the</strong> party and running as<br />

<strong>the</strong> presidential candidate <strong>of</strong> Convergencia. In addition, though COPEI had made a<br />

dramatic change <strong>to</strong> party rules for how it selected its presidential candidate, <strong>the</strong> party still<br />

nominated a candidate who supported neoliberal economic policies; which AD did as<br />

well. These candidates were not chosen because <strong>of</strong> <strong>the</strong>ir economic policy beliefs, but<br />

ra<strong>the</strong>r because <strong>the</strong>y had known regional bases <strong>of</strong> support (Coppedge 2000: 133). It was<br />

not until after COPEI failed <strong>to</strong> achieve its <strong>of</strong>fice-seeking goal in <strong>the</strong> 1993 presidential<br />

election that <strong>the</strong> party underwent a change in dominant coalition. COPEI and AD both<br />

purged <strong>the</strong>ir neoliberal reform-oriented faction in 1994 (Coppedge 1996: 14; Coppedge<br />

2000: 134-5). COPEI reinforced <strong>the</strong> leadership change by bringing back former<br />

president Luis Herrera Campins <strong>to</strong> run <strong>the</strong> party (Caldera Survives 1995). Yet even with<br />

new party leaders, it was not clear outside <strong>the</strong> party that party strategy or policy had<br />

changed. AD’s delegation in Congress worked with President Caldera <strong>to</strong> pass several<br />

important pieces <strong>of</strong> legislation (New Majority 1996; Optimism 1995; Military Unveil<br />

Plans 1995), while AD and COPEI members <strong>of</strong> <strong>the</strong> Caracas city council refused <strong>to</strong><br />

28


approve key reform programs proposed by <strong>the</strong> Causa R mayor (Coppedge 1996: 14;<br />

Goldfrank 2002: 17). Differences <strong>of</strong> opinion within <strong>the</strong> Venezuelan business community<br />

about whe<strong>the</strong>r Venezuela should pursue transparent and neo-liberal economic policies, or<br />

protectionist and clientelistic policies, hampered policy change within <strong>the</strong> major parties,<br />

both before and after <strong>the</strong> 1993 elections (Coppedge 2000: 126-7 and 133; Coppedge<br />

1996).<br />

AD did attempt some changes prior <strong>to</strong> <strong>the</strong> 1993 election. In 1992 President Pérez<br />

proposed, and eventually got passed, a potentially significant change <strong>to</strong> <strong>the</strong> elec<strong>to</strong>ral law.<br />

Elections for <strong>the</strong> lower chamber were changed from a pure closed-list PR system <strong>to</strong> a<br />

mixed-member proportional system. This change was intended <strong>to</strong> create a stronger link<br />

between local needs and interests and <strong>the</strong> Congress. Based on <strong>the</strong> refinement we <strong>of</strong>fer <strong>to</strong><br />

Proposition 11, it is possible that AD pursued this high pr<strong>of</strong>ile change <strong>to</strong> <strong>the</strong> elec<strong>to</strong>ral<br />

rules, ra<strong>the</strong>r than engaging in change internal <strong>to</strong> <strong>the</strong> party, because a change that would<br />

be embedded in law may have been seen as more beneficial <strong>to</strong> <strong>the</strong> party. Such a public<br />

and high pr<strong>of</strong>ile attempt at party change may have been necessary <strong>to</strong> cut through <strong>the</strong><br />

intense political controversy and speculation about <strong>the</strong> regime’s future that characterized<br />

Venezuelan politics at <strong>the</strong> time, along with <strong>the</strong> corruption charges and attempts within<br />

Congress <strong>to</strong> shorten Pres. Pérez’s term. However, <strong>the</strong> change ultimately had little impact<br />

on <strong>the</strong> behavior <strong>of</strong> members <strong>of</strong> <strong>the</strong> Congress because nominations were still controlled by<br />

national-level party leaders (Crisp 2000: 56).<br />

It is interesting <strong>to</strong> note that for <strong>the</strong> 1998 contest, COPEI reverted back <strong>to</strong> its<br />

closed-door methods for selecting its presidential candidate (Saez Strikes a Deal 1998).<br />

In addition, both AD and COPEI worked <strong>to</strong> push through a change in <strong>the</strong> election rules,<br />

29


<strong>to</strong> move up state and Congress elections <strong>to</strong> November 1998, instead <strong>of</strong> holding those<br />

elections concurrently with <strong>the</strong> December presidential elections. This new format was<br />

expected <strong>to</strong> allow <strong>the</strong> traditional parties <strong>to</strong> make use <strong>of</strong> <strong>the</strong>ir extensive network <strong>of</strong> local<br />

party clubs <strong>to</strong> help get out <strong>the</strong> vote, focusing on clientelistic relationships (Saez Strikes a<br />

Deal 1998). It thus constituted a change in elec<strong>to</strong>ral strategy by both traditional parties,<br />

but also was a signal (in <strong>the</strong> eyes <strong>of</strong> <strong>the</strong> press and smaller parties) <strong>of</strong> <strong>the</strong> undemocratic<br />

nature <strong>of</strong> <strong>the</strong> two parties. Finally, after observing <strong>the</strong> elec<strong>to</strong>ral success <strong>of</strong> Chávez’ MVR<br />

party in <strong>the</strong> guberna<strong>to</strong>rial and Congress elections (MVR won a third <strong>of</strong> <strong>the</strong> governorships<br />

and <strong>the</strong> same percentage <strong>of</strong> seats in <strong>the</strong> Chamber as AD) (Chávez Stands Up 1998), AD<br />

and COPEI responded with a fur<strong>the</strong>r change in strategy. Due <strong>to</strong> pressure from <strong>the</strong><br />

recently elected AD and COPEI state governors, both parties dropped <strong>the</strong>ir failing<br />

presidential candidates and united behind <strong>the</strong> front-running independent candidate, Salas<br />

Romer (Revolts Swing Old Parties <strong>to</strong> Salas 1998).<br />

These changes ultimately were not enough <strong>to</strong> enable AD or COPEI <strong>to</strong> rebound<br />

from <strong>the</strong>ir losses in 1993. In December 1998 Hugo Chávez won <strong>the</strong> presidency with<br />

56.2% <strong>of</strong> <strong>the</strong> vote, and even when fielding a single candidate, AD and COPEI only<br />

managed <strong>to</strong> win 39.97% <strong>of</strong> <strong>the</strong> presidential vote. Possibly even more devastating, <strong>the</strong><br />

share <strong>of</strong> seats won by <strong>the</strong> traditional parties dropped <strong>to</strong> 32.9% <strong>of</strong> seats in <strong>the</strong> Senate and<br />

32.3% <strong>of</strong> seats in <strong>the</strong> Chamber.<br />

What can we conclude from <strong>the</strong> experience <strong>of</strong> <strong>the</strong> two traditional parties in<br />

Venezuela? It does appear that filters, such as dropping turnout, new parties, or<br />

uncertainty about democracy, make traditional parties less likely, or possibly less able <strong>to</strong><br />

respond definitively <strong>to</strong> a failure <strong>to</strong> achieve <strong>the</strong>ir <strong>of</strong>fice-seeking goal. Their 1993 loss <strong>to</strong><br />

30


Rafael Caldera and his Convergencia coalition was <strong>the</strong> first time since 1958 that AD or<br />

COPEI had not controlled <strong>the</strong> executive branch, which appears <strong>to</strong> be a pronounced failure<br />

by both parties <strong>to</strong> achieve <strong>the</strong>ir <strong>of</strong>fice-seeking goal. But despite <strong>the</strong> noisiness <strong>of</strong> <strong>the</strong><br />

elec<strong>to</strong>ral environment, and <strong>of</strong> <strong>the</strong> political situation more generally, both parties did<br />

engage in some anticipa<strong>to</strong>ry change: AD with <strong>the</strong> new elec<strong>to</strong>ral formula for <strong>the</strong> lower<br />

house; COPEI with an open primary <strong>to</strong> select <strong>the</strong>ir presidential candidate. However, both<br />

parties also sent <strong>the</strong> Venezuelan voters signals that <strong>the</strong>y were not changing in a way that<br />

would constitute a response <strong>to</strong> popular discontent, as <strong>the</strong>ir presidential candidates in 1993<br />

supported <strong>the</strong> unpopular neoliberal economic reforms (i.e., <strong>the</strong> change was not policy<br />

change). To fur<strong>the</strong>r confuse <strong>the</strong> signal party change would send <strong>to</strong> voters, COPEI also<br />

had an “on again <strong>of</strong>f again” relationship <strong>of</strong> cooperation with AD President Pérez, and<br />

<strong>the</strong>n AD more <strong>of</strong>ten <strong>the</strong>n not supported President Caldera from <strong>the</strong> Congress. Both<br />

traditional parties pursued elec<strong>to</strong>ral law change <strong>to</strong> try <strong>to</strong> defend <strong>the</strong>ir <strong>of</strong>fice-seeking<br />

interests in 1998, when <strong>the</strong>y moved up <strong>the</strong> Congress and state elections. That change was<br />

high pr<strong>of</strong>ile and controversial because it was opposed by <strong>the</strong> elections tribunal (Saez<br />

Strikes a Deal 1998), and was seen as a way that <strong>the</strong> traditional parties could capitalize on<br />

<strong>the</strong>ir highly developed clientelistic networks. As explained in Proposition 11, goal-<br />

oriented changes are controversial and <strong>the</strong>y generate publicity, but in this case that<br />

publicity may not have benefited <strong>the</strong> traditional parties.<br />

Yet we conclude by clarifying that party change is a potential response <strong>of</strong> party<br />

leaders <strong>to</strong> an elec<strong>to</strong>ral shock or a dominant faction change. The revised party change<br />

<strong>the</strong>ory is intended <strong>to</strong> provide testable predictions about when parties will change. It is not<br />

31


intended <strong>to</strong> predict when a party’s change will succeed in reversing <strong>the</strong> party’s elec<strong>to</strong>ral<br />

misfortunes or enable <strong>the</strong> party <strong>to</strong> achieve its <strong>of</strong>fice or vote-seeking goals.<br />

Clearly, a systematic test <strong>of</strong> <strong>the</strong> Refined <strong>Integrated</strong> <strong>Theory</strong> <strong>of</strong> <strong>Party</strong> <strong>Change</strong> is<br />

needed <strong>to</strong> empirically verify its predictive power for understanding how traditional<br />

parties in unconsolidated democracies respond <strong>to</strong> external shocks and dominant faction<br />

change. The Venezuelan case illustrated how filters dampen <strong>the</strong> ability <strong>of</strong> parties <strong>to</strong><br />

change because <strong>the</strong>y make it more difficult for parties <strong>to</strong> interpret <strong>the</strong> cause(s) <strong>of</strong> an<br />

elec<strong>to</strong>ral failure or <strong>the</strong> type <strong>of</strong> party change that will be beneficial.<br />

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