Typologies: Forming Concepts and Creating Categorical Variables
OxfordHandbooksOnline
Typologies:FormingConceptsandCreatingCategoricalVariables DavidCollier,JodyLaporte,andJasonSeawright
TheOxfordHandbookofPoliticalMethodology
EditedbyJanetM.Box-Steffensmeier,HenryE.Brady,andDavidCollier
PrintPublicationDate: Aug2008
OnlinePublicationDate: Sep
2009
Subject: PoliticalScience,PoliticalMethodology,Comparative
Politics
DOI: 10.1093/oxfordhb/9780199286546.003.0007
AbstractandKeywords
Thisarticledescribesthecategoriesandtypologiesasanopticforlookingatconceptformationandmeasurement.
Italsoprovidesanoverviewofthemultiplecontributionsoftypologiesandpresentsnumerousexamplesfrom
diversesubfieldsofpoliticalscience.Itgivesaframeworkforworkingwithmultidimensionaltypologies,outliningthe
buildingblocksoftypologies,andillustratinghowthecelltypesconstitutecategoricalvariables.Inaddition,therole
oftypologiesinconceptformation,thesourceoftheconceptsandtermsinthecellsofthetypology,andtherole
ofidealtypesareexplained.Finally,itexploresthecontributionoftypologiestomappingempiricalandtheoretical
changeandtostructuringcomparisoninempiricalanalysis.Itsuggestsnormsforthecarefuluseoftypologies.
Amongtheguidelinesforcarefulworkwithtypologies,asignificantprioritytokeepclearlyinviewistheir
contributiontowidergoalsofformulatingandevaluatingexplanatoryclaims.
Keywords:descriptivetypology,politicalscience,multidimensionaltypology,conceptformation,measurement,cells,empiricalanalysis
1Introduction
Typologies—understoodasorganizedsystemsoftypes—makeafundamentalcontributiontoconceptformation
andtotheconstructionofcategoricalvariables.Althoughsomescholarsmightseetypologiesaspartofthe
qualitativetraditionofresearch,infacttheyarealsoemployedbyquantitativeanalysts.Thischapterprovides(p.
153) anoverviewofthesemultiplecontributionsoftypologiesandpresentsnumerousexamplesfromdiverse
subfieldsofpoliticalscience(Table7.1).
Givenourconcernwiththeroleoftypologiesinconceptualizationandmeasurement,thediscussionhere
necessarilyfocuseson“descriptive”typologies.Insuchtypologies,thecellscorrespondtospecifictypesor
instancesofabroaderconcept.Thesecanbecontrastedwith“explanatory”typologies,1inwhichtherowsand
columnsareexplanatoryvariables,andthecellscontainhypothesizedoutcomes.Bothdescriptiveand
explanatorytypologiescan,inaddition,beusedtoclassifycases.
Thisdistinctionbetweendescriptiveandexplanatorytypologiesisbynomeansintendedtosuggestthat
descriptivetypologies—aswithanyotherformofmeasurement—arenotconnectedwiththeformulationandtesting
ofexplanatoryclaims.Thecontrastingtypescontainedinaparticulartypologymaybetheoutcometobe
explainedinagivenstudy,ortheymaybeanexplanationthatisbeingformulatedandevaluatedbythe
researchers,aswewillseeinmanyexamplesbelow.
Thischapterproceedsasfollows.Weofferaframeworkforworkingwithmultidimensionaltypologies,reviewingthe
buildingblocksoftypologies,andshowinghowthecelltypesconstitutecategoricalvariables.Wethenconsider
theroleoftypologiesinconceptformation,thesourceoftheconceptsandtermsinthecellsofthetypology,and
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Typologies: Forming Concepts and Creating Categorical Variables
theroleofidealtypes.Finally,weexaminethecontributionoftypologiestomappingempiricalandtheoretical
changeandtostructuringcomparisoninempiricalanalysis—withthislattercontributionincludingtheirrolein
quantitativeaswellasqualitativeresearch.Weconcludebysuggestingnormsforthecarefuluseoftypologies.
2TheStructureofTypologies
Thissectionprovidesaframeworkforworkingwithmultidimensionaltypologies2 —inotherwords,typologiesthat
involvethecross‐tabulationoftwoormoredimensionstoformanalytictypes.
2.1TheBasicTemplate
Clicktoviewlarger
Table7.2. Matland'stypologyofpolicyimplementation
Source:AdaptedfromMatland(1995).
Multidimensionaltypologiesmaybeunderstoodintermsofseveralcomponents,whichweillustratewithreference
toMatland's(1995,160)conceptualizationofpolicy(p.154) (p.155) (p.156) implementation(Table7.2).
Whilethesebuildingblocksmightseemstraightforward,scholarstoooftenlimittheanalyticpotentialoftheir
typologiesbyfailingtofollowthisbasictemplate.Inthisexample,Matlandconceptualizespolicyimplementationby
differentiatingbetweenlevelofconflictandlevelofambiguityintheimplementationprocess.Theelementsofhis
typologyare:
(a)Overarchingconcept:Theconceptthatismeasuredbythetypology—inthiscase,“policy
implementation.”
(b)Rowandcolumnvariables:Thesevariablesarecross‐tabulatedtoformamatrix.Inthisexampletherow
variableis“ambiguity,”becauseitscomponentcategoriesdefinetherows,andthecolumnvariableis
“conflict.”
(c)Thematrix:Thiscross‐tabulationcreatesthefamiliar2×2matrix.Alternatively,morethantwo
categoriesmaybepresentoneachvariable,and/ormorethantwovariablescanbeincorporated,thereby
yieldingstillmorecells.
(d)Types:Thefourtypeslocatedinthecellsarethedifferentkindsofpolicyimplementation.Thesehave
substantivelymeaningfullabels:administrative,political,experimental,andsymbolic.Thesetypesgive
conceptualmeaningtoeachcell,correspondingtotheirpositioninrelationtotherowandcolumnvariables.
Table7.1.Inventoryofmultidimensionaltypologies
Politicalregimes
Russianelites'perceptionsofborrowing(Moltz1993)
Bicameralism(Lijphart1984)
Socialpolicy(Mares2003)
Commitmenttodemocracy(Bellin
2000)
Stateeconomicstrategies(Boix1998)
Democracy(Lijphart1968)
Stateinterventionintheeconomy(Levy2006)
Democracy(Weyland1995)
Stateroleineconomicdevelopment(Evans1995)
Democracy,defenseagainstinternal
Strikeactivity(Hibbs1987)
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Typologies: Forming Concepts and Creating Categorical Variables
Democracy,defenseagainstinternal
threats(Capoccia2005)
Strikeactivity(Hibbs1987)
Democracy,pathwaysto(von
Beyme1996)
Internationalrelations
Democracy,transitionsto(Karl
1990)
Adversaries(Glaser1992)
Democratization(Collier1999)
Foreignpolicydecision-making(Schweller1992)
Dictatorships,personalist(Fish
2007)
Governanceintrade(Aggarwal2001)
Leadershipauthority(AnsellandFish
1999)
Greatpowerconflictmanagement(Miller1992)
Regimechange(Left1999)
Humanrightspolicies(Sikkink1993)
Regimes(Dahl1971)
Organizationalformsofinformationsystems(Dai2002)
Regimes(Fish1999)
Realists(Talliaferro2000–2001)
Regimes(Remmer1986)
Sovereignty(Krasner1999)
RegimesinAfrica(Brattonandvan
deWalle1997)
Sovietstrategies(Herrmann1992)
Regimes,authoritarian(Linz1975)
Statebehaviorintheinternationalsystem(Schweller1998)
Regimes,postcommunist(McFaul
2002)
Wars(Vasquez1993)
Transitionsfromauthoritarianrule
(O'DonnellandSchmitter1986)
Statesandstate-societyrelationsAmericanpolitics,publicpolicy,
publiclaw,andorganizational/administrativetheory
Contextofcontentiouspolitics(Tilly
andTarrow2007)
Decentralization(Leonard1982)
Corporatism;policiestowards
associability(Schmitter1971)
Effectofforeignpolicyissuesonelections(Aldrich,Sullivan,and
Borgida1989)
Corruption(Scott1972)
Ethnofederalstatesurvival(Hale
2004)
Issuevoters(CarminesandStimson1980)
Incorporationoflabormovements
(CollierandCollier1991)
Policemen(Muir1977)
Incorporationoftheworkingclass
(Waisman1982)
Policy(Lowi1972)
Informalpolitics(DittmerandWu
Policydecision-making(Kagan2001)
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Typologies: Forming Concepts and Creating Categorical Variables
Informalpolitics(DittmerandWu
1995)
Policydecision-making(Kagan2001)
Interestrepresentation/aggregation
(Schmitter1974)
Policyfeedback(Pierson1993)
Militaryservice(Levi1997)
Policyimplementation(Matland1995)
Nationstates(Haas2000)
Politicalrelationships(Lowi1970)
Nationstates(Mann1993)
Rationaladministration(Bailey1994)
Nationalunification,regionalsupport
for(Ziblatt2006)
Ruleapplication(Kagan1978)
Outcomesofsocialmovements
(Gamson1975)
Ruraldevelopment(Montgomery1983)
Revolutions,agrarian(Paige1975)
Votingbehavior(Abramson,Aldrich,Paolino,andRohde1992)
Separatistactivism(Treisman1997)
Whitehouse‐interestgroupliaisons(Peterson1992)
Statepower(Mann1993)
Genderpolitics
States(Ertman1997)
Stateresponsestowomen'smovements(Mazur2001)
Transnationalcoalitions(Tarrow
2005)
Statefeminism(MazurandStetson1995)
Union‐governmentinteractions
(Murillo2000)
Statefeminism(MazurandMcBride2008)
Parties,elections,andpolitical
participation
Women'spolicyagencyactivity(Mazur2001)
Electoralmobilization,targetingof
rewardsfor(Nichter2008)
Theoryandmethodology
Marketforvotes(Lehoucq2007)
Explanationsofaction(Parsons2006)
Partyregimes(Pempel1990)
Possibleoutcomesofahypothesestest(Vogt2005)
Partysystems(O'Dwyer2004)
Surveyquestions(Martin1984)
Politicalmobilization(Dalton2006)
Approachestocomparativeanalysis(Kohli1995)
Politicalparties(Levitsky2001)
Theoriesofmodernizationanddevelopment(Janos1986)
Politicaleconomy
Theoriesofpoliticaltransformation(vonBeyme1996)
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Typologies: Forming Concepts and Creating Categorical Variables
Politicaleconomy
Theoriesofpoliticaltransformation(vonBeyme1996)
Economictransformations(Ekiert
andKubik1998)
Timehorizonsincausalanalysis(Pierson2003)
Factorendowments(Rogowski1989)
Typologies(Bailey1992)
Financialregulatorysystems(Vitols
2001)
WesternscholarshiponRussia(Fish1995)
Goods(Mankiw2001)
Socialrelations
Nationalpoliticaleconomy(Halland
Soskice2001)
Norms(Barton1955)
Nationalwelfarestatesystems(Sapir
2005)
Socialenvironment(Douglas1982)
Politicaleconomies(Kullbergand
Zimmerman1999)
Sociality,orindividualinvolvementinsociallife(Thompson,Ellis,and
Wildavsky1990)
Regulatoryreforms(Vogel1996)
Reregulationstrategies(Snyder
1999)
2.2CellTypesasCategoricalVariables
Thecross‐tabulationoftwoormorevariablesgeneratesfourormorecells,therebycreatinganewcategorical
variablethatmaybenominal,partiallyordered,3 orordinal.Thesetypology‐basedcategoricalvariablesare
conceptualizedintermsoftwoormoredimensions,andthushelptoaddresstheconcernthatthevariables
employedinagivenanalysismayhidemultidimensionality(Blalock1982,109;Jackman1985,169;Shively2005,
32).
Matland'stypology,forexample,createsanominalscale.Thetwodimensionsofpolicyimplementation—conflict
andambiguity—areorderedinthesensethatboth(p.157) aregivenhigh‐lowvalues.Yetthefourcellsinthe
typologydonotformascalethatmeasuresgreaterorlesserdegreesofpolicyimplementation.Thefourcategories
arecollectivelyexhaustiveandmutuallyexclusive,butnotordered.Hence,theyareanominalscale.
Bycontrast,Dahl's(1971,ch.1)famoustypologyofregimescreatesapartiallyorderedscale.Hebuildsthe
typologyaroundthedimensionsofpubliccontestationandparticipation,yieldingfourbasictypes.Amongthefour
types—polyarchy,competitiveoligarchy,inclusivehegemony,andclosedhegemony—polyarchyisthemost
“democratic,”andclosedhegemonyistheleastso.Yetthereisnoinherentorderbetweentheothertwotypes,
competitiveoligarchyandinclusivehegemony.Hence,thisisapartialorder.
Finally,thecellsinAldrich,Sullivan,andBorgida's(1989,136)typologyofissuevotingconstituteanordinalscale.
Theauthorstabulate(1)small‐versuslarge‐issuedifferencesbetweencandidates,against(2)low‐versushigh‐
salienceandaccessibilityoftheissues.Here,onecellcorrespondstoaloweffect,whileasecondcell
correspondstoahigheffectofopposingissuesonthevote.Theothertwocellsaregiventhesamevalue:“lowto
someeffect.”Thus,athree‐categoryordinalscaleiscreated.
Inallthreeexamples—inwhichthecelltypesconstituteanominal,partiallyordered,orordinalscale—thesame
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pointremainsvalid.Regardlessoftheresultinglevelofmeasurement,thetwoormoredimensionsaroundwhich
thetypologyisorganizedarethefoundationforthecelltypesthatconstitutethescale.
2.3MutuallyExclusiveandCollectivelyExhaustiveCategories
Iftypologiesaretomeetthenormsforstandardcategoricalscales,thecellsshouldbemutuallyexclusiveand
collectivelyexhaustive(Bailey1992,2188).Forthepurposeofclassification,itisessentialthatthesedualcriteria
bemet;otherwiseagivenobservedcasemightfitinmorethanonecell,ormightnotfitinanycell.
However,somewell‐knowntypologiesdonotmeetthestandardofmutuallyexclusivecategories.Forexample,
Hirschman's(1970)“exit,voice,andloyalty”hasprovidedaframeworkforconceptualizingtheresponseto
declineindifferentkindsoforganizations.YetasHirschmanhimselfpointsout(1981,212),thesearenotmutually
exclusivecategories.Voice,inthesenseofprotestorexpressionofdissatisfaction,canaccompanyeitherexitor
loyalty.
Hirschman'stypologycanreadilybemodifiedtocreatemutuallyexclusivecategories.Thus,theinitialcelltypes
canbeadaptedtodefinetherowandcolumnvariablesinanew2×2matrix.Onedimensionwouldbeexitversus
loyalty,andtheothertheexerciseversusnonexerciseofvoice.Twoofthecellswouldbeloyaltywithorwithout
voice,andtheothertwowouldbeexitwithorwithoutvoice.Thiswouldproduceanewtypologywhichcouldbe
usedforunambiguouslyclassifyingcases.Thesesteps—convertingthecellvaluesintocategoriesononeormore
dimensionsinarevisedtypology—maybeseenasageneralsolutiontotheproblemthatthecellsinatypologyare
notmutuallyexclusive.
(p.158) Withothertypologies,thequestionarisesofwhetherthecategoriesarecollectivelyexhaustive.This
mightoccurwhenatypologydevelopedforonesetofcasesisextendedtoadditionalcases.Forexample,in
studiesofLatinAmerica,Levitsky(2001,37)constructsa2×2typologytoidentifyfourtypesofpoliticalparties:
personalistic‐electoral,electoral‐professional,mass‐populist,andmass‐bureaucratic;andMurillo(2000,146)
identifiesfourtypesofunion—governmentinteractions:cooperation,opposition,subordination,andresistance.
Thesecelltypesappeartobecollectivelyexhaustiveforthecasesunderanalysis.Butifthesetypologieswere
appliedtoawiderrangeofcases,itseemslikelythatcaseswouldbeencounteredthatdidnotfitintothesecell
types.Thisshouldhardlyleadtotheconclusionthatthesearefailedtypologies.Rather,theideaofcollectively
exhaustivecategoriesmust,atleastinitially,beunderstoodinrelationtothedomainforwhichthetypologywas
constructed.
3ConstructingTypologies
Tounderstandtheconstructionoftypologies,wemustfocusonthebasictaskofconceptformation,theissueof
wheretheconceptsandtermscomefrom,andtheroleofidealtypes.
3.1ConceptFormation
Variousframeworkshavebeenproposedforsystematizingconceptformationinpoliticalscience.Amongthem,
thatofSartori(1970;1984)hasbeenhighlyinfluentialandprovidesausefulpointofdeparturehere.Sartori
challengedscholarsto(1)devotecarefulattentiontoconcepts,inpartbecausetheyyieldthebasic“data
containers”employedinresearch;(2)understandthesemanticfieldinwhichtheirconceptualreasoningis
situated—i.e.thefieldofconceptsandmeaningsthatframetheirresearch;and(3)recognizethatconceptscan
beunderstoodashavingahierarchicalstructure,involvingwhathasvariouslybeencalledaladderofabstraction
oraladderofgenerality.Thisrecognitionhelpsbothwithsituatingconceptsinrelationtooneanother,andwith
adaptingthemtodifferentdomainsofcomparison.Forthepresentdiscussion,weusethemoreself‐explanatory
label“kindhierarchy”forthisstructure.4 Anobviousexample:Aparliamentarydemocracyisakindofdemocracy,
whichisakindofpoliticalregime.
(p.159) Typologiesdirectlyaddressthesethreetasks.Firstofall,scholarswhoconstructtypologiesnecessarily
areworkingsystematicallywithconcepts.Moreover,iftheyemploythesetypologiestoclassifycases,thenthe
cellsinthetypologyare,indeed,datacontainers.Second,typologiesfocusspecificallyontherelationshipsamong
concepts.Wehaveusedtheterm“overarchingconcept”torefertotheoverallphenomenonmeasuredbythe
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categoriesinatypology,andwehavetreatedthecategoriesinatypologyasacategoricalmeasureofthis
overarchingconcept.Explicitdiscussionofconceptsandsubtypes,asinatypology,isanimportantstepin
mappingoutthesemanticfield.
Finally,theoverarchingconceptandthecategoricalvariablethatmeasuresitarerelatedasakindhierarchy.Let
usillustratethisclaimwithexamplesalreadypresentedinthischapter.Obviously,inMatland'stypology,
administrative,political,experimental,andsymbolicimplementationarekindsofpolicyimplementation.InDahl,
polyarchies,inclusivehegemonies,competitiveoligarchies,andclosedhegemoniesarekindsofpoliticalregimes.
InAldrich,Sullivan,andBorgida'stypologyoftheeffectofforeignpolicyissuesonelections,thescalecontainedin
theirtypologyprovidesanorderedcharacterizationofthekindsofeffectsderivingfromforeignpolicy:low,“lowto
some,”andlarge.
Akindhierarchymayofcoursehavemorethantwolevels.InCollierandCollier'sanalysis,theirtypology(1991,
166–7)distinguishesbetweentwokindsofincorporationperiods:stateincorporationandpartyincorporation.Party
incorporationisinturndifferentiatedintothreekinds:radicalpopulism,laborpopulism,andelectoralmobilization
byatraditionalparty.
Toconclude,scholarswhoworkwithtypologiescantherebyaddressthebasicprioritiesofconceptanalysis
entailedinaframeworksuchasSartori's.Wethusfindaconvergencebetweenthesetwoalternativeperspectives.
3.2WheretheConceptsandTermsComefrom
Akeyfeatureofatypologyisthespecificcelltypesitestablishes—i.e.theconceptslocatedinthecellsandthe
termstowhichtheycorrespond.Howdoresearchersselecttheconceptsandtermsforeachcell?
Forsometypologies,theanalystsimplylabelsthecellswithtermsthatrepeatthecorrespondingvaluesontherow
andcolumnvariables.TillyandTarrow's(2007,56)bookoncontentiouspoliticscharacterizescontextsof
contentionbycross‐tabulatinggovernmentalcapacityandregimetype.Theyestablishfourtypesofcontexts,the
namesofwhichsimplyrepeatthecategoriesoftherowandcolumnvariables:high‐capacityundemocratic,high‐
capacitydemocratic,low‐capacityundemocratic,andlow‐capacitydemocratic.
Similarly,Rogowski's(1989,8)studyofcommerceandcoalitionsdistinguishesamongfourmainconstellationsof
factorendowmentsaccordingtowhethertheyinvolveahighorlowland—laborratioandanadvancedor
backwardseconomy.Thefourcellsbasicallyrepeattheinformationpresentedintherowsandcolumnssothat,(p.
160) forexample,ahighland—laborratioandadvancedeconomycorrespondtoacellwithabundantcapitaland
landbutscarcelabor.Ontheotherhand,alowland—laborratioandbackwardeconomycorrespondtoacellwith
abundantlaborbutscarcelandandcapital.
Morecommonly,scholarsdrawtermsandconceptsfromotherstudiesintheparticulardomainofresearch.
Typologiesservetosystematizethemeaningoftheseterms,sometimesbyprovidinganewdefinitionthatthe
researcherfindsanalyticallyproductive.
Forexample,Weyland's(1995,129)typologyofdemocraciesborrowscommontermsfromthestudyofLatin
Americanpolitics—populism,liberalism,concertation,andbasismo5—andplacesthemwithinSchmitterandKarl's
(1992,67)dimensionsofdemocracy.Thesedimensionsconcernwhetherthelocusofpoliticalpoweristoa
greaterdegreeinthestateorinsociety,andwhetherthedominantprincipleofaggregationinvolvesnumbers(as
intheelectoralarena)orintensity(asmightbethecasewithpowerfulelites).Weyland'sgoalindevelopingthis
typologyistoprovideaframeworkforunderstandingopportunitiesandconstraintsinpursuing“equity‐enhancing
reform”inLatinAmerica.Hefocusesspecificallyontheopportunitiesandrisksassociatedwiththefourtypes,
accordingtothedegreeofpolicygradualismandthekindofsupportbasethatcharacterizeeachtype.Weyland's
exampletherebyillustrateshowatypologycanbeusedtoadaptalreadyestablisheddimensionsandrelatively
standardtypestoaspecificanalyticpurpose.
Researchersmayalsoborrowexistingterms,butdevelopanewmeaningforthemthathelpsadvanceaparticular
researchprogram.Schmitter's(1974)widelycitedtypologyofinterestrepresentation(orintermediation)situated
theconceptofcorporatisminrelationtopluralism,monism,andsyndicalism.Heseekstopersuadescholarsthat
corporatismshouldbetakenseriouslyasaspecifictypeofinterestrepresentationthatcanbeanalyzed—based
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onalargenumberofdimensions—withinasharedframeworkvis‐à‐vistheseothertypes.Correspondingly,he
advocatestreatingcorporatismasaformofpoliticalstructureratherthanapoliticalideology,assomeother
scholarshaddone.Schmitter'stypologyplayedanotableroleinrefocusingamuchwiderliteratureoninterest
grouppolitics.
Otherscholarsborrowfrompreexistingconceptualizationsinalessdirectway,synthesizingvariousexisting
theoreticalapproachesinordertocoinnewandusefulterms.Kagan(2001,10)proposestheconceptof
“adversariallegalism”todescribepolicyimplementationproceduresthatarebothformalandparticipatory.In
developingthisconcept,hedrawsonthenotionofan“adversarialsystem,”whichhasbeenusedforseveral
centuriestocharacterizeAnglo‐Americanmodesofadjudication,asopposedtotheContinental/civillawtradition.
Further,hebuildsonthetraditionaldistinctionbetweenlegalisticandinformalmodesofgovernance.Kaganthus
joinsthesetwoseparatetheoreticalapproachesintoasingletypologyfocusedonmodesofpolicyimplementation.
(p.161) Theseseveralexamplesshowwhythetermsandconceptspresentedinthecellsoftypologiesmustbe
understoodinrelationtotheevolvingliteratureinthegivenfield.Typologiescansystematizethemeaningofthese
termsandconceptsinnovelandanalyticallyproductiveways.
3.3IdealversusClassificatoryTypes
Scholarssometimesrefertotheiranalyticcategoriesasidealtypes,suggestingthatthesecategoriesarebroad
abstractionsthatmaynotconsistentlyservetoclassifyempiricalcases.Examplesarefoundinthewritingsof
Schmitter,Luebbert,Weyland,HallandSoskice,andLevy.6 However,inthesestudiesthescholarsproceedwith
theclassificationofcases,suchthattheyareatthesametimeworkingwithclassificatorytypes.
Forinstance,inhisanalysisofpolitical‐economicregimesininterwarEurope,Luebbert(1991,3)statesthatheis
workingwithidealtypes,andthengoesontoarguethathiscategoriesarevaluableforsortingregimes.Hestates
thatalthough“theextenttowhichthesocietiescorrespondedtotheidealizedmodeloftheregimevaried,”“itis
seldomdifficulttolocateinterwarEuropeansocieties”inhisthreecategoriesofliberaldemocracy,social
democracy,andfascism.Schmitter(1974,94),inconjunctionwithhiselaboratedefinitionofcorporatism,makesa
similarpointabouttheinterplaybetweenabstractionandtheconcreteutilityofhistypes:“Obviously,suchan
elaboratedefinitionisanideal‐type.”Yetwhile“noempiricallyextantsystemofinterestrepresentationmay
perfectlyreproduceallthesedimensions,twowhichIhavestudiedinsomedetail(BrazilandPortugal)comerather
close.”7
Relatedly,CollierandCollier(1991,17)framethediscussionintermsof“analyticcategories”ratherthan“ideal
types.”Theyemphasizethatthekindsof“incorporationperiods”theyanalyzeshouldbethoughtofasanalytic
categories,andnotas“perfectdescriptionsofeachcountry”thatisplacedinaparticularcategory.Intheir
analysis,focusedonpairsofcountries,theystatethat
obviously,thetwocountrieswithineachcategoryarenotidenticalintermsofthedefiningdimensions,but
theyarefarmoresimilartooneanotherintermsofthesedimensionsthantheyaretothecountries
identifiedwiththeothercategories.(1991,17)8
Thisargumentpointstoonepossiblereasonforevokingidealtypes.Insomecasestheseanalystsareperhapsnot
drawingheavilyontheWeberiantradition,as(p.162) mightappeartobethecase.Rather,theymaybe
indirectlyexpressingtheuneasethatreadilyariseswhenoneseekstofitcasesintoanyschemeofclassification.
Thisuneasemayderivefromtherecognitionthatthecasesgroupedtogetherinanyonecategoryusuallycannot
beunderstoodasperfectly“equal.”Rather,theclaimisthattheydoindeedfitinaparticularcategory,andnotin
another.Theresolutionheremaybeasimplerecognitionthatcategorizationnecessarilyentailsaprocessof
abstraction.
4PuttingTypologiestoWork
Carefulworkwithtypologiesgivesstructuretoempiricalcomparisonandmapschange.Typologiesalsoprovidea
usefulbridgebetweenqualitativeandquantitativeresearch.
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4.1StructuringComparison
Well‐executedanalysisandcomparisonrequirescarefullyconstructinganappropriateanalyticframework.
Typologiesmakeavaluableanddirectcontributiontoachievingthis.Forexample,Thompson,Ellis,andWildavsky
(1990,8)employthegrid‐grouptypology,originallydevelopedbyMaryDouglas(1982,191),intheirbookon
culturaltheory.Workingwiththefivetypesgeneratedbythegrid‐groupframework—fatalists,hierarchists,
individualists,egalitarians,andhermits—theseauthorsfocusthroughouttheiranalysisonhowindividualsinthe
fivecategoriesrespondtoissuessuchasapathy,blame,religion,risk,andscarcity.
AfurtherexampleisfoundinMazur(2001,22),whoseekstounderstandtheinteractionsbetweenwomen'ssocial
movementsandthepublicsector.BorrowingfromGamson(1975,29),shedistinguishesfourtypesofstate
responsetowomen'smovements:dualresponse(i.e.achievingboth“descriptive”representationand
“substantive”representation),co‐optation,pre‐emption,andnoresponse.Intheirstudy,Mazurandher
collaboratorscarryoutasustainedapplicationoftheirtypologytoeightnationalcases,andtotheEuropeanUnion,
focusingespeciallyontheconditionsunderwhichthedualresponseoccurs.
Finally,CollierandCollier(1991,504)—asnotedabove—presentatypologyofthe“initialincorporation”ofthe
labormovementinLatinAmerica.Theirgoalistodifferentiatecasesaccordingtotheinterplaybetweenstate
controlanddifferentformsofpopularmobilization.Throughouttheiranalysis,alternativeconstellationsofcontrol
andmobilizationareacentralpointofreference,andtheinitialdifferentiationamongcasesidentifiedinthe
incorporationperiodisexploredthroughthefulltimespanunderinvestigation.
Inthesethreestudies,thetypologyspecifiesanoverarchingconcept(politicalculture,stateresponses,andinitial
incorporation),differentiateseachoverarching(p.163) conceptintoanalyticcategories,andsortscases
accordingly.Thesetypologiestherebyprovideasystematicbasisfororganizingkeyconcepts,aswellasfor
comparingcasesandframingarguments,andthedistinctionscontainedinthetypologiesarecarriedthroughthe
entireanalysis.
4.2MappingEmpiricalandTheoreticalChange
Typologiescontributetoconceptualizinganddescribingnewempiricaldevelopments.Forexample,intheliterature
onpartyorganizations,Duverger(1954)proposesaninitial(andveryinfluential)distinctionbetween“mass”and
“cadre”parties,adistinctionthatrevolvesaroundthreeorganizationaldimensions:(a)broadversusnarrowor
nonexistentpartymembership(pp.62–90);(b)extensiveversusweakeffortstoeducatepotentialvotersabout
politicsandeconomics(p.63);and(c)financialcultivationofabroadbaseofrelativelymodestcontributions
versusrelianceonasmallsetofwealthyindividualcontributors—inDuverger'swords,“afewbigprivatedonors,
industrialists,bankers,orimportantmerchants”(pp.63–4).Hence,oftheeightpossibletypesofparties—derived
fromdichotomousvaluesoneachofthethreedimensions—Duvergersuggeststhatonlytwoareempirically
significant.ThedistinctionbetweenthemgrowsoutofDuverger'simmersioninthehistoryofpoliticalpartiesin
Europe,wheremanyoftheearliestpartieshadanelite‐dominatedcharacternotablyabsentfrommorerecent
ones,particularlysocialistandcommunistparties.
Subsequently,Kirchheimer(1966,184–92)observesthatinthe1960smanyEuropeanpartiesmoveawayfromthe
organizationalpatternofthemassparty,withouttherelianceonsocialelitesthatDuvergerseesascharacteristic
ofcadreparties.Thesenewpartiesdifferfrommasspartiesinthattheyshifttheirideologicalappealsfromnarrow
classintereststowardpoliciesofpotentialbenefittomajoritieswithinsociety.Atthesametime,theyseekelectoral
andotherresourcesfromadhoccoalitionsofinterestgroups,ratherthanfromamassbaseorwealthyindividuals
(1966,192–5).Tocapturethisconfiguration,Kirchheimeridentifiesanewcategoryonthedimensionoffinancial
support:supportderivedfromtheseorganizedgroups.Kirchheimerthusaddsthe“catch‐all”partytoprevious
types.
Morerecently,KatzandMair(1995)conclude,throughasystematicanalysisofpartyorganizationsthroughout
WesternEurope,thatnewerpartieshaveturnedawayfromfinancialrelianceonprivateindividuals(whether
wealthyornot)andlikewisenolongerseekfundingfrominterestgroups.Instead,partiesobtainfinancingdirectly
fromthestate(1995,15–16).Thispatternoffundingcanencouragecooperationamongpartiesastheyjointlyseek
toestablishstablestatesupportthatextendsbeyondtheincumbencyofoneoranotherparty(1995,17),leading
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KatzandMairtodesignatetheemergentorganizationalpatternasthatofthe“cartel”party.
Insum,giventhisunderstandingofpartytypesintermsofthreedimensions,itisspecificallytheappearanceof
novelpatternsononeofthedimensions—thesource(p.164) offinancialsupport—thatyieldstheemergenceof
newtypes.Theuseoftypologiesthushelpsbringintosharperfocusthisareaoforganizationalchange.
Scholarshavealsousedtypologiestocapturechangeovertimeinthepoliticaleconomyofadvancedindustrial
countries.Sincethe1980s,thestate'sroleintheeconomyhasbeensubstantiallytransformed,andconsiderable
scholarlyefforthasbeendevotedtocharacterizingthistransformation.Againstthebackdropofpriorresearchby
otherscholars,Levy(2006,386)presentsanewtypologythatsynthesizesearlierapproachestonationalpolitical
economies,aswellashisownperspectiveonrecentpatternsofchange.Levycharacterizesas“marketdirection”
themorecomprehensivestaterolecharacteristicoftheearlier,post‐SecondWorldWarperiod,asopposedto
“marketsupport,”whichismorecharacteristicofeconomiesinthecontemporaryperiod.Healsointroducesa
seconddimension:thedistinctionbetweentheauthoritativeexerciseofstatepowerandtheuseofinfrastructural
powerbythestate.
The2×2typologyderivedfromthesedichotomiesallowsLevytocomparemoresharplythecharacteristicsofthe
earlierversuslaterstateroleintheeconomy.Intheearlierperiod,thecasescharacterizedbyanauthoritative
formofstatepowerwere“developmental”states,whichengagedinplanning,sectoralindustrialpolicy,
nationalizations,andselectiveprotectionism.Bycontrast,theearliercasescharacterizedbyinfrastructuralstate
powerarelabeled“corporatist,”involvingdistinctiveformsofcooperationandcoordinationwithsocietalactors.He
classifiespostwarFranceandJapanasdevelopmentalstates,andpostwarGermanyandSwedenascorporatist
states.However,hesuggeststhatforthemorerecentperiod,whichcorrespondstothecategoriesof“corrective”
stateand“constructive”state,theassignmentofentirecountriestothetwocellsisnotmeaningful,giventhehigh
levelofwithin‐countryheterogeneityacrossdifferentpolicyareas.Insteadoffocusingonentirecountries,Levy
classifiesspecificpolicieswithinthesetwocells.Thisasymmetryintheunitofanalysiswithinthetypologyserves
tocapturewhatLevyseesasakeyshiftintheappropriatelevelofaggregation.
Typologiescanalsoplayaroleineffortstoreshapescholarlythinkingaboutpoliticalrealitiesthatevolvelessthan
hadbeenanticipated.Forexample,inconceptualizationsofregimetypes,post‐SecondWorldWarSpainplaysa
prominentroleindrivingananalyticreorientationofthiskind.AlthoughmanyobserversinterpretedtheSpanish
fascistregimeasbeingintransitiontowarddemocracy,itretainedasurprisingdegreeofstabilityforthree
decades.ThisdivergenceledAnderson(1970,3)toobservethat“theconventionalinterpretationsofSpanish
politicsshouldbeembarrassingtostudentsofcomparativepolitics.”Anderson'sownanalysisbuildsonthe
innovativeconceptualizationofLinz(1964),whoproposesarevisiontoearlierframeworksthathademphasized
thedistinctionbetweendemocracyandtotalitarianism,treatedeitherasadichotomyoracontinuum.Linzargues
thatSpaincouldnotbeunderstoodinthoseterms,andheaddsauthoritarianismasadistinctiveregimetype.He
definesanauthoritarianregimeintermsoffourdimensions:asapoliticalsystemwithlimitedpluralism;distinctive
mentalitiesratherthanaguidingideology;limitedpoliticalmobilization,exceptpotentiallyatcertainpointsinits
development;(p.165) andanexerciseofpowerwithinill‐defined,butinfactquitepredictable,limits(Linz1964,
297).Subsequently,Linz(1975,278)drawsonthreeofthesefourdimensionstoconstructageneraltypologyof
authoritarianandtotalitarianregimes.
Thus,startingwithaspecificcasethatcalledintoquestionaprioranalyticframework,Linzdevelopsanew
approachtonondemocraticregimes,basedonamuchmoreelaborate,multidimensionalframework.
4.3TypologiesandQuantitativeAnalysis
Farfrombeingincompatiblewithquantitativeresearchorofferingamethodologicallyinferiorformofanalysis,
typologiesplayaroleinmanyquantitativestudies.Inagivenpieceofresearchthatispredominantlyquantitative,
atypology—andthecategoricalvariablesuponwhichitisconstructed—mayhelptoovercomeanimpasseinthe
analysis,toidentifyasubsetofcasesonwhichtheresearcherwishestofocus,ortodrawtogetherthe
conclusions.Inotherinstances,researchersmayusequantitativeanalysistoassigncasestothecellsina
typology.
InHibbs's(1987,69)analysisofstrikesinelevenadvancedindustrialcountries,a2×2typologyisintroducedata
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pointwherequantitativeanalysiscanbepushednofurther.Hibbscreatesadata‐setofstrikesinordertoanalyze
long‐runtrendsintheirsize,duration,andfrequency.Heusesbivariatecorrelationstodemonstratethatincreases
inthepoliticalpoweroflabor‐basedandleftpartiesareassociatedwithlowerlevelsofstrikesinthedecadesafter
theSecondWorldWarandhypothesizesthattheroleofpublicsectorallocationservesasaninterveningfactor.
Hibbsarguesthataslabor‐leftpartiesgainmorepoliticalpower,thelocusofdistributionalconflictshiftsfromthe
marketplacetothearenaofelectionsandpublicpolicy,therebymakingstrikeslessrelevantfortradeunionactors.
However,themulticollinearityamonghisvariablesissohighthat—especiallygivenHibbs'ssmallnumberofcases
—itisnotfeasibletosortoutthecausallinks.Hethereforeshiftsfrombivariatelinearcorrelationstoa2×2
typologythatcross‐tabulatesthelevelofstateinterventionintheeconomyagainstalternativegoalsofthis
intervention.Fortheperioduptothe1970s,Hibbsidentifiesasubsetofcasesthatmanifestthreepatterns:
relativelyhighlevelsofstrikesdirectedatfirmsandenterprises(Canada,UnitedStates);highlevelsofstrikes
whichserveasaformofpressureonthegovernment(France,Italy);anda“witheringawayofthestrike”that
accompaniesthedisplacementofconflictintotheelectoralarena(Denmark,Norway,Sweden).Usingthis
typology,heanalyzestheoutcomeintermsofthreenonorderedcategories—incontrasttohisoverallargument
aboutchangeinstrikelevelthatcomesoutofthestandardcorrelationaltreatment.
Vasquez(1993,73)likewiseintroducesatypologytoresolvewhatheseesasanimpasseinquantitativeanalyses
—inthiscase,ofthecausesofwar.UsingtheCorrelatesofWardata,heobservesthattheliteraturehasproduced
inconsistentfindingsinexplainingtheincidenceofwar,andhearguesthatsuchinconsistenciesarisebecause
warisbeinganalyzedattoohighalevelofaggregation.Heidentifieseighttypesof(p.166) warbycross‐
tabulatingthreedimensions:(1)equalversusunequaldistributionofnationalpoweramongbelligerentstates,(2)
limitedversustotalwar,and(3)numberofparticipants.Vasquezusesthistypologytofocusonasubsetofcases,
i.e.warsofrivalry.Hedrawsonfindingsfromawiderangeofqualitativeandquantitativestudiestoaddresssuch
questionsaswhysomewarsbetweenrivalsarelimitedwhileothersaretotal,andwhysomewarsofrivalryinvolve
twoplayerswhileothersincludemore.
Typologiesmayalsosynthesizethefindingsofaquantitativeanalysis.Aldrich,Sullivan,andBorgida(1989,136),
intheirstudyoftheimpactofforeignpolicyplatformsonUSpresidentialcandidates'voteshare,useatypologyin
thisway.Analyzingsurveydata,theyexplorethedegreetowhichcampaignmessagesfrompresidential
candidateshaveresonancewithvoters:specifically,thedegreetowhichthecampaignissuesare(1)“available,”
inthesensethatanopinionorpositiononagivenissueisunderstood,and(2)“accessible,”orperceivedas
relevantbyvoters.Whereasmuchofthearticleemploysprobitanalysistopredictthevictoryofspecific
candidates,intheconclusiontheauthorsseektocharacterizebroadertypesofelections.Theyemploya2×2
matrixthatclassifiespresidentialelectionsaccordingtowhethertherearesmallversuslargedifferencesin
candidates'foreignpolicystances,andaccordingtothelow‐versushigh‐salience/accessibilityofforeignpolicy
issuesraisedintheeachelection.
Finally,otherstudiesemployquantitativetools,includingprobitanalysis,toplacecasesinthecellsofatypology.
CarminesandStimson(1980,4)positadistinctionbetween“easy”issuevoting,inwhichcitizenshaveadeeply
embeddedpreferenceonaparticularissue,and“hard”issuevoting,inwhichcitizens'issuepreferencesdepend
onacomplexdecisioncalculus,typicallyinvolvinginteractionsandtradeoffsamongissues.Totestthis
hypothesis,theauthorsconstructa2×2typologytodescribedifferenttypesofvoters,basedonwhether,in
makingagivenelectoralchoice,thevoterwasswayedbyeasyversushardissues.Thisyieldsatypologyinwhich
thecelltypesarenonissuevoters,easy‐issuevoters,hard‐issuevoters,andconstrainedissuevoters.The
authorsbuildonprobitanalysistoplacerespondentsinthesefourcells,andtheyusethistypologytoshowhow
easy‐versushard‐issuevotingarefundamentallydifferentprocesses.
5Conclusion
Typologiesserveimportantgoalsinsocialscienceresearch.Goodtypologiesdependoncarefulandsubstantively
groundedconceptualization,andtheyareabasictoolfororganizingandanalyzingdata.Theuseoftypologiesis
stronglyconnectedtothequalitativetraditionofresearch,yettheyplayaroleinquantitativeanalysisaswell.
(p.167) Drawingtogetherthediscussionabove,weproposesomeguidelinesforcarefulworkwithtypologies.
First,thepresentationoftypologiesshouldbeclearandreadilyunderstandable,involvingeitheranexplicitmatrix
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and/orcarefuldiscussioninthetext.Wehavemappedoutthebuildingblocksofagoodtypology,whichcentrally
involveidentifyingtheoverallconceptbeingmeasured,organizingtherowandcolumnvariables,andestablishing
thecelltypes.Typologiesthatfailtofollowthistemplatemayendupconfusingratherthansharpeningtheanalysis.
Second,theconstructionofcelltypeshasspecialimportance.Employingvividnamesforthetypesenhances
scholarlycommunication.Morefundamentally,carefulworkwithcelltypespushestheresearchertowardbetter
conceptualization.Furthermore,thecelltypes,takentogether,provideanewvariablethatmeasurestheconcept
aroundwhichthetypologyisorganized.Scholarsshouldnotecarefullythelevelofmeasuremententailedinthis
variable.Wehavediscussedthreelevelsthatarerelevanthere—nominal,partiallyordered,andordinalscales.
Understandingthesubstantivecontentofthetypology,andhowthecategoriescanbeemployed,requiresaclear
graspofthesealternatives.
Third,drawingonconventionaldiscussionsofcategoricalvariables,wearguethatthecriterionofestablishing
mutuallyexclusivecategoriesprovidesausefulnorminconstructingtypologies.Yetnotallanalyticallyinteresting
typologiesmeetthisstandard,andwehaveshownthatasimplereorganizationofsuchtypologiescanbringthem
intoconformitywiththisnorm.
Fourth,comingbacktothedistinctionbetweendescriptiveandexplanatorytypologiesnotedatthebeginningof
thischapter,itiscrucialtorecognizewhichiswhich.Onemustdistinguishcarefullybetweencelltypesthat
provideamoredifferentiateddescriptivecharacterization,asopposedtothosethatdenoteexplanatoryoutcomes.
Confusionaboutthisdistinctiondistortstheinformationcontainedinatypology.
Fifth,wemustemphasizeoncemorethatthisdistinctionbetweendescriptiveandexplanatorytypologiesdoesnot
meanthatdescriptivetypologies—again,aswithanyformofmeasurement—playnoroleinformulatingand
evaluatingexplanations.Insomeinstances,thecategoriescontainedinthetypologyaretheexplanatoryvariable.
Forexample,Thompson,Ellis,andWildavskyusethecategoriesinthegrid‐grouptypologyastheyseektoexplain
apathyandperceptionofrisk.Similarly,Dahlintroduceshistypologyofregimetypeswiththecentralobjectiveof
distinguishingalternativetrajectoriesinthemovementtowardpolyarchy.Hisgoalistoexplorethehypothesisthat
differenttrajectories,asdefinedinrelationtothecategoriesinhistypology,haveimportantconsequencesfor
long‐termregimeoutcomes.
Inotherinstances,thetypologyistheoutcometobeexplained.Amongalternativestateresponsestowomen's
movements,Mazur'stypologyhighlightsthepatternofdualresponse,andsheproceedstoconsidertheconditions
underwhichthisparticularresponseoccurs—asopposedtotheothersdelineatedinthetypology.Relatedly,the
typologycancontributetoadisaggregationofthedependentvariable,adisaggregationthattheresearchersees
asnecessaryfortheexplanatoryenterprisetoproceed.Thus,Vasquezarguesthatformulatingandtesting
explanationsofwar(p.168) cannotadvancewithoutamoredifferentiatedconceptualizationofwar.Histypology
distinguishesoneparticulartype,onwhichhethenfocusesinevaluatingalternativeexplanations.
Thus,amongtheseseveralguidelinesforcarefulworkwithtypologies,animportantprioritytokeepclearlyinview
istheircontributiontowidergoalsofformulatingandevaluatingexplanatoryclaims.
Finally,andmorebroadly,wehavearguedthattypologiescanplayacriticalroleincomparativeanalysis,andthis
roleshouldberecognized.Typologiesprovidethebasisforsharpeningthetheoreticaltypesbeinginvestigatedin
agivenstudyandclarifyingthemeaningofthesetypesvis‐à‐visrelatedconcepts.Typologiesservetocompare
concretecases,bothcross‐sectionallyandovertime,and—asjustemphasized—canbecriticalintheformulation
andevaluationofexplanatoryclaims.Theadoptionofclearnormsforusingtypologiesfacilitatescareful
comparativeworkandhelpsscholarsdrawconclusionsthatarebothconceptuallysoundandanalytically
productive.
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Notes:
Forthelargerprojectofwhichthischapterisapart,manycolleagueshaveprovidedvaluablecomments,including
AndrewBennet,ColinElman,DavidFreedman,JohnGerring,JamesMohaney,JasonWittenberg,andmembersof
theBerkeleyLatinAmericanPoliticsResearchWorkshop.
(1)SeeElman(2005)andBennettandElman(2006,465–68).GeorgeandBennett's(2005,ch.11)discussionof
“typologicaltheory”isanimportantvariantofthisapproach.
(2)Thesemaybecontrastedwithunidimensionaltypologies,whicharecategoricalvariablesorganizedarounda
singledimension.See,forexample,Krasner'stypologyofthecapacityofnationalstatestoshapetheformationof
internationalregimes,involving“makers,breakers,andtakers”(1977,52).Wefocushereonmultidimensional
typologiesgiventheirdistinctivecontributiontoconceptualizationandmeasurement.However,manyideasabout
multidimensionaltypologiesalsoapplytounidimensionaltypologies.
(3)SeeDaveyandPriestley(2002,ch.1).
(4)Sartori(1970)calledthisaladderof“abstraction,”andCollierandMahon(1993)soughttoclarifythefocusby
callingitaladderof“generality.”Weareconvincedthatitismoreself‐explanatorytocallitakindhierarchy,a
labelthatfitsalloftheexamplesdiscussedintheseearlierstudies.Forexample,Sartoriofferstheexampleofstaff
(inWeber'ssense),bureaucracy,andcivilserviceasinvolvingaladderofgenerality,butclearlyitisalsoakind
hierarchy;andCollierandMahon'sexampleofWeberiantypesofauthoritylikewiseconstituteakindhierarchy.
(5)I.e.“bottom‐up”politicalrelationships.
(6)Schmitter(1974,94),Luebbert(1991,3),Weyland(1995,128n.8),HallandSoskice(2001,8),andLevy
(2006,387).
(7)Forotherexamplesoftypeconceptsthatareinitiallylabeledasidealtypes,butthenusedasclassificatory
types,seealsoWeyland(1995,128n.8);HallandSoskice(2001,8);Levy(2006,387).
(8)Relatedly,bothRogowski(1989,6)alsoMares(2003)refertotheprocessofsimplificationentailedinthe
generationofdimensionsandtypes,withoutusingthelabel“idealtype.”
DavidCollier
DavidCollierisProfessorofPoliticalScienceatUniversityofCalifornia,BerkeleyandformerPresidentoftheAmericanPolitical
ScienceAssociation.Hisfieldsarecomparativepolitics,LatinAmericanpolitics,andmethodology.HislatestbookisRethinking
SocialInquiry:DiverseTools,SharedStandards,ofwhichheisco-editorandco-authorwithHenryE.Brady.
JodyLaporte
JodyLaPorteisaDoctoralCandidateintheCharlesandLouiseTraversDepartmentofPoliticalScience,UniversityofCalifornia,
Berkeley.
JasonSeawright
JasonSeawrightisAssistantProfessorofPoliticalScience,NorthwesternUniversity.
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