Are you trustful about representative democracy, or are you
more cynical? Take this short
test to find out.
NOTE: What follows are excerpts from The Case for Representative
Democracy: What Americans Should Know About Their Legislatures produced
by the National
Conference of State Legislatures. Visit the NCSL site for
an on-line version of the complete publication and to order
the book.
Preface
About the Organizations
About the Authors
Executive Summary
Representative Democracy: Public Perceptions
vs.Reality
Introduction
Chapter Titles
Conclusion
Exercises for Readers
What's being said about this book
Preface
In February 2000, the National Conference of State Legislatures
(NCSL) marked its 25th anniversary by establishing the Trust
for Representative Democracy. The Trust for Representative
Democracy is a public outreach and education initiative designed
to counter the cynicism and distrust that prevails among the
public today by offering a more positive and accurate view
of elected officials, the people who work with them, and the
legislative institutions in which they serve.
The American Political Science Association (APSA), the Center
for Civic Education (CCE) and the Center on Congress at Indiana
University share NCSL's commitment to enhancing civic education
on representative democracy and join in a project to offer a
fresh perspective on Congress and our state legislatures. This
perspective is grounded in the ideas of the framers of the U.S.
Constitution and reflects the prevailing view of legislatures,
the legislative process and legislators among political scientists. The
Case for Representative Democracy: What Americans Should Know
About Their Legislatures forms the foundation of the project.
This publication first appeared as A New Public Perspective
on Representative Democracy: A Guide for Legislative Interns in
January 2000. Four political scientists-Alan Rosenthal of Rutgers
University, John Hibbing of the University of Nebraska, Karl
Kurtz of NCSL and Burdett Loomis of the University of Kansas-collaborated
on that guide for students who are interns in state legislatures.
The guide was field tested by the authors with legislative
interns in 12 states during 2000 legislative sessions. Because
interns are students who are intensely involved in the legislative
process, they offered a unique vantage point for providing
feedback on the content and exercises in the guide. The authors
also discussed the interns' guide with legislators, legislative
staff, political scientists and civics teachers. Most of these
readers reported that they found the guide to be useful and
compelling. Based on this response the authors have revised
and adapted the original interns' guide for a more general
audience.
We hope that The Case for Representative Democracy: What
Americans Should Know About Their Legislatures will serve
as a useful tool for all citizens who wish to engage in American
democracy to gain a broader perspective on the legislative
process, politics and representation. It describes the core
features of representative democracy in Congress and the state
legislatures and provides exercises that enable people to make
their own judgments about our political system. On-line resource
materials on NCSL's web site at www.ncsl.org/public/civiced.htm augment
this guide. Additional references for studying politics and
government can be found on the APSA's web site at www.apsanet.org.
The authors of this monograph have a point of view: they make
the case for representative democracy. Americans are so bombarded
by negative and inaccurate portrayals of government that it is
essential to offer an explicitly positive view of representative
democracy to balance the prevailing cynical and distrustful views.
Many civic education initiatives are under way across the United
States today. Considerable attention is being devoted to increasing
civic knowledge, which is at low levels, especially among younger
generations. Even more attention is being given to encouraging
civic engagement, whereby people vote and participate in government
between elections. Our effort complements these two thrusts.
It focuses on civic perspective-how citizens view the political
institutions, processes and people that are fundamental to representative
democracy in America.
William Pound, Executive Director, National Conference of
State Legislatures
Lee Hamilton, Director, Center on Congress at Indiana University
Charles Quigley, Executive Director, Center for Civic Education
Catherine Rudder, Executive Director, American Political Science
Association
About the Organizations
The National Conference of State Legislatures is a bipartisan
organization that serves the legislators and staffs of the
nation's 50 states, its commonwealths and territories. NCSL
has established the Trust for Representative Democracy to improve
public understanding of the concepts of American democracy.
The Trust for Representative Democracy offers a comprehensive
package of civic education programs about America's legislatures.
The American Political Science Association is the major professional
society for people who study politics, government and public
policies in the United States and around the world. Education
for civic engagement and responsive governance were founding
objectives of the political science profession at the beginning
of the 20th century, and they remain essential for the 21st century.
APSA maintains a national civic education network.
The Center for Civic Education promotes informed, responsible
participation in civic life by citizens who are committed to
American democracy's fundamental values and principles. Among
the Center's range of curricular, teacher-training and community-based
programs is Project Citizen, a middle-school civic education
program designed to help prepare students to participate competently
and responsibly in state and local government.
The goals of the Center on Congress at Indiana University are
to improve public understanding of Congress-its role in our large
and diverse country, its strengths and weaknesses, and its impact
on the lives of ordinary people-and strengthen civic engagement,
especially among young people. The Center advocates a balanced,
realistic view of Congress, that leads to a desire to make things
better rather than to cynicism and giving up. Center programs
include syndicated op-ed and radio commentaries and on-line educational
activities for students.
About the Authors
Alan Rosenthal teaches at the Eagleton Institute of
Politics at Rutgers University and has written numerous books
and articles about state legislatures.
John Hibbing, professor at the University of Nebraska-Lincoln,
has written about Congress and currently is exploring public
attitudes toward the political system.
Karl T. Kurtz directs the National Conference of State
Legislatures initiative, the Trust for Representative Democracy,
and writes about state legislatures.
Burdett Loomis is professor of political science at
the University of Kansasand writes about interest groups, state
legislatures and Congress.
Executive Summary
Americans like the idea of representative democracy, but they
have little liking for the practices, institutions and politicians
that make representative democracy work. Nor are they tolerant
of the processes, which require debate (viewed as bickering),
compromise (viewed as selling out), advocacy (viewed as posturing)
and stalemate (viewed as obstructionism). They do not trust
government to do the right thing, they are cynical about elected
public officials who are supposed to represent their interests,
and they feel that the legislative system as it operates is
wide open to special interests but not to the public. The political
system gets low marks from most Americans.
There are many reasons for these negative public perceptions.
The virtues of representative democracy are not self-evident.
The processes in Congress, state legislatures and city councils
are messy and difficult to fathom, even to insiders. In their
efforts to draw readers, the media focus on conflict and overemphasize
negative events. All too often, politicians run against the political
system and the people in it. At the same time, significant societal
changes have taken place, and culture wars have broken out in
American society. Although expectations of what government can
do have risen, notions about why and how government should perform
have become more heterogeneous and conflicting.
The accumulation of negatives fuels public discontent and disenchantment.
No particular incident, specific charge, single newspaper story
or television portrayal makes a huge difference, but years of
battering have eroded support for the political system. This
climate of cynicism is deadly to representative democracy. It
hinders the recruitment to elective public office of talented
and concerned people, many of whom no longer will risk having
their characters assailed and their reputations damaged. It weakens
the bonds between citizens and their representatives. It makes
consensus more difficult to achieve, because trust is in such
short supply. It hinders steady and pragmatic solutions, while
encouraging posturing, scapegoating and quick fixes. It erodes
the representative assemblies that have served us remarkably
well for more than 300 years. It puts our system of representative
democracy in peril, even though we have nothing else we would
rather have in its place, and nothing that would serve nearly
as well.
This publication offers engaged Americans an alternative view
of representative democracy by providing a more accurate and
positive perspective. It is based on six operating principles
of representative democracy as it is practiced throughout the
nation. The first two principles focus on representatives as
individuals, and the latter four emphasize representation as
a system. The treatment of each operating principle includes
both a discussion of what the public perceives and a discussion
of how politicians and institutions work.
The authors of this guide believe that the system and its participants
work well-by no means perfectly, but well-and better than any
realistic alternative. Of course, there are problems with legislatures
and with legislators that need attention. Of special concern
are the conduct of political campaigns, the business of campaign
finance and conflicts of interest, partisanship and incivility
in the legislature. These concerns should not be taken lightly.
Yet, they should not detract from an appreciation of a system
that, while currently the envy of the world, is misperceived
and unappreciated here at home.
Representative Democracy: Public Perceptions
vs. Reality
What People Think |
How It Really Works |
1. Legislators are simply out for themselves,
lack integrity and act unethically. |
The overwhelming number of legislators
are out to promote the public welfare, as they and their
constituencies see it. Moreover, they are generally ethical,
although not everyone agrees on just what is and is not
ethical in public life. |
2. Legislators do not care what regular
people think. |
Legislators are very concerned about
what people in their districts want and need. Everybody's
opinions are invited and welcome before the legislature.
But organized groups that have sizeable memberships or
major employers in their districts may have more influence
than individuals alone. |
3. Americans agree on what is right and
what is necessary, so the legislature should just pass
the laws that the people want. |
People in our diverse and pluralistic
system do not agree on issues except at a general level.
It is the job of the legislature to resolve the clash
of values, interests and claims. |
4. Legislators are the servants of special
interests that look out for themselves, not the will
of regular people. A few big interests run the government. |
There is an organized group for almost
every conceivable policy interest that anyone might have.
The number and diversity of organized interests ensure
that all sides of an issue are heard but not that any
one group comes out ahead. |
5. The lawmaking process doesn't work
well because of politics, unprincipled deal making and
needless conflict. |
Making laws is a contentious process
because it encompasses different and competing values,
interests, and constituencies, all of which are making
claims on government or one another. Some differences
are fought out, but most are negotiated, compromised
and settled-at least to a degree and for a while. |
6. The political system and politicians
are not accountable for their actions. |
Legislators who run every two or four
years, who may be subject to recall and whose every vote
is on record are as accountable as anyone can be. |
Introduction
The framers of the U.S. Constitution devised a system of representative
democracy that has endured for more than 200 years. In Washington,
D.C., and in the capitals of the 50 states, the resilience
of the legislative institutions and processes that are at the
heart of our political system demonstrate the genius of James
Madison and his colleagues. However durable and serviceable
the system has proven to be, it currently is under assault.
Americans like the idea of representative democracy, but they
have little liking for the practices, institutions and politicians
that make representative democracy work. Nor are they tolerant
of the processes, which require debate (viewed as bickering),
compromise (viewed as selling out), conflict (viewed as posturing),
and stalemate (viewed as obstructionism). They do not trust government
to do the right thing, they are cynical about elected public
officials who are supposed to represent their interests, and
they feel that the legislative system as it operates is wide
open to special interests but not to the public. The political
system gets low marks from most Americans.
It is little wonder that the public is not positive. The virtues
of representative democracy are not self-evident. The processes
in Congress, state legislatures and city councils are messy and
difficult to fathom, even to insiders. What goes on often is
like a three-ring circus with action occurring continuously,
simultaneously and in many arenas at once. The people who are
engaged in politics-professional and citizen politicians alike-seem
to be a breed apart, not even as familiar to ordinary people
as are aliens from outer space.
Skepticism is a normal and healthy characteristic in a democracy.
But in the quarter of a century since Watergate, the effects
of attack and innuendo have transformed skepticism into outright
distrust and cynicism. The media, as principal storyteller about
politicians and political institutions, bear considerable responsibility
for the trend. In their efforts to draw readers, the media focus
on conflict and overemphasize events that cast the political
system in a negative light. Increasing competition among the
print and electronic media have put a premium on the sordid,
sensational and scandalous, whether real or inferred. Even the
entertainment media have contributed to the unflattering picture
of politics and politicians. Since 1975, with the notable exception
of West Wing, three of every four television episodes involving
the American political system have portrayed it as corrupt.
Politicians themselves cannot escape blame. The widespread use
of government as a target in political campaigns also damages
public trust. All too often, politicians run against the political
system and the people in it. "I'm all right," you will hear them
say during the course of an election campaign, "but the system
is broken. Elect me and I'll fix it." If both an incumbent and
a challenger trash the system, why shouldn't voters conclude
that something-indeed, more than something-must be wrong?
Add to all this the significant societal changes that have taken
place and the culture wars that have broken out in American society.
Although expectations of what government can do have risen, notions
about why and how government should perform have become more
heterogeneous and conflicting. Ethnicity, race, gender, sexual
preference and attitudes toward the family, abortion, drugs and
immigration polarize opinions nowadays more than in the past.
Political institutions are caught in the crossfire.
The accumulation of negatives fuels public discontent and disenchantment.
No particular incident, specific charge, single newspaper story
or television portrayal makes a huge difference, but years of
battering have eroded support for the political system. Younger
generations probably are most affected, in that their social
trust, as well as their political trust, is diminished. They
express overwhelmingly cynical views, and they cite their cynicism
as a reason for indifference to and disengagement from politics.
In the end, many of them simply do not see themselves as part
of the American political community.
This climate of cynicism is deadly to representative democracy.
It hinders the recruitment to elective public office of talented
and concerned people, many of whom no longer will risk having
their characters assailed and their reputations damaged. It weakens
the relationship between voters and elected officials that is
at the heart of our idea of representative democracy. It makes
consensus more difficult to achieve, because trust is in such
short supply. It hinders steady and pragmatic solutions, while
encouraging posturing, scapegoating and quick fixes. It erodes
the representative assemblies that have served us remarkably
well for more than 300 years. It puts our system of representative
democracy in peril, even though we have nothing else we would
rather have in its place, and nothing that would serve nearly
as well.
There is much to be said in defense of the political system,
but few defenders have come forward. Congress and state legislatures
are the engines of representative democracy, and they are under
severe assault. Legislators themselves-or even legislative leaders-too
rarely rise to the defense of institutions that ought to command
their allegiance. Outside the legislative communities of the
nation, few people challenge the contemporary criticisms. The
few academic experts who study the subject reach very different
conclusions than most people about representative democracy and
legislative institutions.
As political scientists, the authors offer a more balanced and
accurate view of the political system. As professionals and as
citizens, the four of us believe that the perceptions Americans
have of legislators and legislatures do not reflect the reality
of actual practice and performance. The overly negative environment
for politics represents not only a disservice to the nation's
institutions, but a disservice to the nation's citizens as well.
People have a right to an alternative to the perspective that
prevails today.
This guide presents such a perspective. It is designed for people
who are (or would like to be) interested and involved in the
legislative process: from high school students and legislative
interns to corporate and union managers to senior citizen organizations.
We are concerned that if citizens come to their involvement in
the political process with the perspective held by most people,
what they see and experience will take on a very negative cast.
The purpose of this guide is to offer engaged citizens an alternative
view of representative democracy-a more accurate and positive
perspective.
We offer here six operating principles of representative democracy
as it is practiced throughout the nation. Interested and involved
citizens should think about each of these operating principles
and decide for themselves if they match the reality of Congress
or their state legislature. The first two principles focus on
representatives as individuals, and the latter four emphasize
representation as a system. Our treatment of each principle includes
both a discussion of what the public perceives and a discussion
of how politicians and institutions work. At the conclusion of
this guide are exercises to help people make up their own minds
about representative democracy in America.
Naturally, elected public officials vary in their characteristics,
just as political systems vary in theirs. Representative democracy
operates somewhat differently in the Congress and from state
to state- better in some places than in others. We assume that
the judgments citizens make about their own political systems
will vary as well, but we are confident that, using this guide,
they will gain a positive impression of how representative democracy
actually works.
The authors of this guide believe that the system and its participants
work well-by no means perfectly, but well-and better than any
realistic alternative. Of course, there are problems with legislatures
and with legislators. They have to strive constantly for improvement.
Of special concern nowadays are the conduct of political campaigns,
the business of campaign finance and conflicts of interest, partisanship
and incivility in the legislature. These concerns should not
be taken lightly. Yet, they should not detract from an appreciation
of a system that, while currently the envy of the world, is misperceived
and unappreciated here at home.
Chapter Titles
Please refer to the National Conference of State Legislatures Web
site for the contents of the following chapters:
What Makes Legislators Run?
How Legislators Are Linked to Constituents
Where People Stand
How Special Are Interests?
Why the Process is Contentious
What Makes the System Accountable?
Conclusion
The perspective that has been suggested here is in sharp contrast
to the perspective that dominates the public sphere today.
The popular orientation toward politicians and political institutions
should come as no surprise. Practically anyone who developed
political views since Watergate and Vietnam would almost certainly
have to be cynical and distrustful, given the media and communications
that shape how we look at things.
The subjects of "special interests" and campaign finance and
their influence on legislators' behavior have come up in every
chapter of this work. Indeed, the subject pervades political
life in America. The media harp on it. Candidates for elected
office-from president to county assessor-accuse their opponents
of being "tools of the special interests." Government reform
organizations trumpet alleged correlations between campaign contributions
and legislators' roll call votes. At the end of chapter one,
we listed a series of factors that influence the behavior of
legislators in an effort to place concerns about special interests
and campaign contributions in proper perspective. Now that we
have explored the relationships among these different influences
in more detail, we are in a good position to revisit that list
of factors and summarize their effects. These influences on legislators'
decisions are complex, highly interrelated and almost impossible
to isolate on any given issue:
Legislators' core principles and beliefs and their public
records
Many legislators come into public service with strong dispositions
toward public policy issues. As they gain experience in the legislature
these views and beliefs grow stronger, and legislators build
a public record on issues. This record is subject to attack from
their opponents in election campaigns, especially if the record
shows frequent changes in positions or other inconsistencies.
Beyond the natural tendency for people to behave in ways that
match their personal beliefs, there is pressure to maintain consistent
views. Periodic elections hold legislators accountable for their
beliefs, positions and voting records.
The merits of the issue
There are few issues in American life on which everyone agrees.
Usually there are merits on both sides, just as there are organized
interests on both sides. The contentiousness of the legislative
process ensures that each issue is thoroughly argued on its
merits.
Constituents
Legislators pay close attention to their constituents' views
because they are products of their communities and think in
similar ways, they want to do good for their districts and
most want to be reelected to office. On matters that are important
to their districts and on which most of their constituents
agree, nothing is likely to sway legislators from voting their
district's opinion.
Organized interest groups and campaign contributors
There is a great diversity of organized interests. Legislators
hear from all sides on issues of importance. Individuals and
groups that make campaign contributions usually give to legislators
who are predisposed to support their positions. Large, well-organized
interests that give to political campaigns guarantee that their
message will be heard by legislators, but not to the exclusion
of all of the other competing interests.
Legislative leaders and political parties
Even though political parties in the United States usually are
characterized as weak compared to those of many other countries,
they still have strong influences on legislators' behavior.
People who run for public office choose one party or another,
usually on the basis of their core principles and beliefs.
All but a few legislators in the country are elected under
the banner of one of the two major parties. In order to get
ahead and achieve positions of influence that allow them to
achieve their policy goals, legislators must respond to their
party's leaders, who usually are trying to advance a party
policy agenda.
The executive branch
Because of their ability to dominate media attention, their positions
as party leaders and the powers of their office, chief executives
have important influences on legislators' decisions. They are
lightning rods that can cause legislators to go one way or
another, depending on whether they are of the same party as
the governor or president. Executive agency officials also
can have a significant effect because of their specialized
knowledge, larger resources and greater expertise.
Legislative committees or trusted colleagues
Legislators cannot be experts on all the hundreds of issues that
come before them. On matters on which they don't know a lot
or don't have strong positions, they rely on the recommendations
of the legislative committees that have studied the issue in
more detail or on colleagues they know are knowledgeable in
the area.
Family and personal friends
Legislators' personal connections help to define their core values
and beliefs in the first place. On some issues they may feel
more accountable to friends and family than to almost anyone
else. A former Colorado legislator says, "I found it more difficult
to say `no' to my friends than to the people who contributed
to my campaign."
We have argued that lawmakers and legislatures behave much better
than the public perceives. But that does not mean that their
performance leaves nothing to be desired. Legislators, like the
rest of us, are imperfect human beings. No matter how many ethics
laws and regulations the Congress or the states enact, some legislators
--albeit a small proportion -- will cross the line.
Legislatures as institutions also need to improve-not necessarily
their work products (legislation), about which people in a pluralistic
society will naturally disagree, but the legislative process
itself. Some legislative practices are flawed, more seriously
in some places than in others.
Although we have tried to place it in proper perspective, the
American system of campaign finance receives a large part of
the criticism leveled at American political institutions. There
is little doubt that the campaign finance system needs repair.
But, it should be noted, in many of the smaller and even some
medium-sized states fund raising and campaign spending present
few real problems. The amounts are far from excessive. In the
larger states, and particularly in the most competitive districts,
the sky is becoming the limit for hard money, soft money, party
expenditures and independent expenditures. This is a reflection
of the high stakes and increasing competitiveness of state politics.
Congressional campaigns also vary in campaign expenditures.
Candidates for senate races in small states go for less, whereas
in large states candidates in a competitive race may spend $10
million to $20 million. In New Jersey's 2000 election for the
Senate, one candidate spent $60 million-all of which was his
own money. Most house races are relatively safe for the incumbent,
no matter which party, but in any single election both sides
target 40 to 50 seats. Control of the house depends on the outcomes
in these races, so the candidates, the congressional parties
and interest groups raise and spend as much money as possible
to win these races.
The goals of campaign finance reform are to: limit expenditures;
minimize the possibility that contributions will corrupt legislators;
assure full disclosure, so citizens know who is giving to whom;
reduce the amount of time legislators have to take away from
lawmaking responsibilities in order to raise funds; enable candidates
to get their message to the public; and even give challengers
a better chance to compete with incumbents. These goals are not
easy to achieve, and some of them actually may be in conflict
with others. Nonetheless, improvements are necessary in this
area.
Campaigns, themselves, need improvement. Too often they are
nasty, accusatory and unfair, tending to promote cynicism among
the citizenry. At the very least, incumbents ought to renounce
running against the institution in which they serve. In Congress
and the larger and more competitive states-California, Illinois,
Michigan, New Jersey and Pennsylvania, for example-the campaign
has become too much a part of the legislative process itself.
Legislative leaders and legislative parties raise and allocate
funds or other resources, resulting in the further politicization
of a process that is already (and should be) political. To an
unhealthy extent, election campaigns are fought out in the legislative
assemblies as well as in the legislative districts of the states.
Partisanship increases beyond expected levels and settlements
on policy are more difficult to achieve. In some chambers, moreover,
civility suffers and members on opposite sides of the aisle stop
communicating with one another.
In a few places-but certainly not many anymore-legislative leaders
hold power too tightly. In many more places, leaders have a tougher
time leading members who are disinclined to follow. It is no
simple matter to determine what to do about such arrangements.
Although a rules change might work, essentially it is up to members
to select the kind of leadership that suits them and to follow
them in their own manner. The legislature itself is a democratic
system.
Ethical issues also have to be dealt with. Some members step
over the bounds, even when it is reasonably clear where the line
should be drawn. Others, however, have to navigate the gray areas
of legislative life, which are like uncharted minefields with
no agreement about where the line should be drawn. Legislators,
as individuals, are still not as conscious of ethics as they
ought to be and legislatures, as institutions, have not taken
the responsibility for promoting ethical conduct that they should.
It is no easy matter for members of Congress and state legislatures
to judge their colleagues. Moreover, the ultimate responsibility
for the membership of the legislature resides with the electorate
in each legislative district. The voters who send legislators
to the capitol also can stop sending them.
The institutional problems that legislatures ought to address
are peculiar to each legislature. They are not the same everywhere.
Campaign finance reform is not a pressing issue in Wyoming, and
legislative ethics is not a priority concern in Vermont.
The flaws of Congress, which is an extraordinarily complex institution,
differ from those of legislatures in the states. Currently, the
U.S. House (which has different problems than the Senate) probably
needs to strengthen a committee system that has been seriously
weakened in recent years. It focuses too much on short-term solutions
at the expense of future problem-solving. It could improve its
oversight of executive performance of the policies and programs
that Congress previously enacted. It also needs to devise ways
to balance the power of the executive branch without overstepping
the bounds of its own legitimate powers.
On balance, how well do America's legislatures perform? Compared
to an absolute standard, legislative performance will never completely
measure up. We wouldn't expect it to. Yet, the performance of
some legislative bodies would come closer than that of others.
Compared to an earlier time-say 35 years ago, immediately after
the reapportionment revolution and at the beginning of the legislative
modernization movement-legislatures have improved as political
institutions in at least seven ways.
1. They are more representative, with substantially more women
members and also more racial and ethnic minority members.
2. They have greater capacity, the wherewithal in staff and
information, to do the job.
3. They are more independent, and truly check and balance the
executive.
4. They exercise more responsibility, taking on problems and
seeking solutions in areas that heretofore were left to the
federal government or ignored entirely.
5. They are more open, so that the media and citizens can (if
they wish) observe a large part of the process and legislators
can be held more accountable for the actions they take.
6. They are more competitive-not district by district but chamber
by chamber-with the two parties seriously vying for control
in about two-thirds of the nation's senates and houses.
7. They are more responsive (and some would say they are too
responsive) to the desires and needs of the citizens of the
various constituencies of the state.
Ironically, the successes of legislatures may be related to
the way the public sees them; the better they are, the worse
they look. Even if legislatures are better than they used to
be, critics maintain that representative democracy doesn't work
well enough today. Another form of governance would be better.
What are the main alternatives?
Executive Dominance
One alternative is executive dominance. Let the president or
the governor and the departments and agencies of the executive
branch make, as well as administer, law. After all, presidents
and governors are democratically elected either by the entire
nation or by the state. They have a broader perspective, greater
visibility than legislators, and speak essentially with one
voice. They are easier to hold accountable than are legislatures.
According to executive dominance proponents, legislatures get
in the way of the good policy that comes out of the chief executive's
office.
No doubt, things would be simpler and more efficient if we left
everything to the executive. But debate, negotiation, and compromise
would be reduced. The minority, as in a parliamentary system,
would have little role, except to try to win the next election.
Everything would ride on a single roll of the dice. Legislators
might continue to serve their constituents as ombudsmen, but
representation for citizens would be sharply curtailed.
Direct Democracy
Another alternative is direct democracy, which would allow people
to vote directly on issues without the need for representatives
to decide for them. Several features of direct democracy already
are with us and others do not seem far off. The initiative
and referendum, reforms introduced in the Progressive Era,
currently permit citizens in half the states to vote on an
issue, bypassing the legislative process. Use of the initiative,
the more popular mechanism of the two, has increased markedly
in the past 20 years.
Those who favor the initiative argue that the people ought to
have the right to decide important issues, including those with
which the legislature refuses to deal and others where one side
sees a benefit in going right to the ballot. When polled, large
majorities of citizens-and especially those in states that make
frequent use of it-favor the initiative. When pressed in focus
groups, however, people have doubts about their own ability and
that of their fellow citizens to decide complex issues.
The initiative stands in sharp contrast to the legislative process
as a way to make policy. Little deliberation takes place, and
information mainly comes from 30-second spots on television.
Far more deliberation takes place in a legislative assembly and
considerable information finds its way into the process. The
initiative provides for a yes-or-no decision, whereas the legislative
process allows for bargaining and compromise. With the former
there are big winners and big losers; with the latter, although
victory is diminished, so is defeat, and consensus is more likely
to be built. When citizens are faced with ballot propositions,
they vote on an issue without regard to other issues. Legislators
make connections among issues-adopting one might preclude adopting
another; spending for one might require raising revenues or cutting
spending for others. Citizens cannot be held accountable for
their votes on an initiative; legislators are held accountable
for any votes they cast.
The Internet and other technological developments make direct
democracy, in one form or another, a distinct possibility. A
number of people advocate moving away from reliance on the collective
judgment of elected representatives to letting the voters decide
for themselves. The system may not reach that stage, but it is
likely that, by means of the Internet, people will be able to
express their views district by district on precisely the same
issues that their legislators face. And legislators will be-hard
pressed not to accept a majority view. As Dick Morris, in his
book Vote.com, threatens, "We are going to take to the Internet
and tell our representative what to do whenever we damn well
feel like it." With direct democracy, or some variant, the legislative
process for all intents and purposes will be superfluous. Deliberation,
negotiation, bargaining and compromise will not be necessary
when representatives simply mirror the majority views. Relieved
of the pressures of lawmaking, legislators could devote all their
energies to running errands for their constituents.
What system does the reader prefer-representative democracy,
executive dominance, or direct democracy? The authors believe
that the system we have now-and have had for more than 250 years-is
the preferred one. It is complex, messy, human and imperfect-but
better than the alternatives. Unfortunately, representative democracy
as practiced by legislators and legislatures is not comprehensible
to many people. Because people tend to distrust most that which
they understand least, we hope that we have shed some light on
and given readers a sense of a political system that we believe
works remarkably well.
Exercises
This guide to representative democracy offers two contrasting
views of our political system. The following exercises are
designed to help you make up your own mind between these differing
points of view.
Many of the following exercises ask you to talk to legislators
about what they do and how they do it. Conversations with legislators
should give you an idea of how the members fit or don't fit the
perception that the public has of legislators. Legislators are
highly accessible, especially at the state level and in their
own districts. They like to talk to students, community groups,
service clubs and other organized groups. If you invite them,
especially when they are out of session, they are likely to come.
Show them the questions in these exercises in advance and ask
them to speak to the issues that are raised here. Or just invite
them for an informal discussion and ask the questions yourselves.
The questions, along with a few other exercises that do not require
interviewing legislators, are keyed to each chapter.
1. What Makes Legislators Tick?
A. Following are some questions for you to discuss with one
or more legislators:
- Why did the legislators run for office (and for the legislature)
in the first place?
- What kinds of careers have the legislators had in the past
and what sorts of political careers do they have in mind
for the future?
- What keeps the legislators going? What do they like or
dislike about the job? (Does your state have term limits,
as shown in table 1; and, if so, what are the effects of
term limits on the legislators?)
- How much effort do the legislators expend on fund raising
for the next election, and how much on organizing support?
Does it interfere with their legislative duties? How much
did the last campaign cost?
- Do the legislators give campaign contributors, or supporters,
special access or treatment?
- What kinds of ethical issues have the legislators encountered
in the course of their service? How did they handle them?
B. On the basis of what you have learned, list both the positive
and the negative aspects associated with being a member of
the legislature in your state. Think about them; balance them.
Would you want to do the job?
2. How Legislators Are Linked to Constituents
A. Following are more questions to ask one or more legislators:
- What are their districts like? What types of people live
there? What do they care about? How do the representatives
know?
- How much do constituents request service and casework?
What kinds of things do they ask for? How do the legislators
handle such requests? How important a part of the representatives'
job do they think service and casework are? How many constituents
contact the legislators in an average week?
- Take an issue or two that the legislature dealt with recently
and ask the legislators how their constituents felt, how
they communicated their feelings, whether there was disagreement
within the constituency and what factors weighed in the legislators'
decisions on the issues. Did the constituency care?
- What do they regard as a constituency "mandate"? Can the
legislators remember any instances when they voted against
such a constituency mandate? What were the issues and why
did the legislators act contrary to the wishes of most of
their constituents?
B. Do you think that the legislators care what constituents
think and weigh these views and interests heavily? Would you
say that legislators in your state try to represent their constituents?
Do they manage to do so? If not, how do they fall short?
3. Where People Stand
Public opinion surveys are useful for learning about the diversity
of views in both the country as a whole and in individual states.
One source of such information is public opinion surveys. Several
web sites maintain useful compilations of nationwide survey
results.
A. On one of these web pages, find a national or state poll,
preferably of fairly recent vintage, that posed policy questions
to the American public. Read several of the questions without
noting the response patterns. Then make predictions about the
public's attitudes, with particular attention to the extent
of agreement you expect to find. Now look at the responses
and compare them to your predictions. Answer the following
questions on the basis of your analysis, using actual numbers
from the survey.
- What is the extent of agreement on these policy issues?
- On what kinds of issues does there appear to be agreement
and on what kinds of issues does there appear to be disagreement?
B. Conduct your own informal survey of people you know, trying
to get people with different backgrounds and traits. Ask them
individually about a current controversial issue in your state
or about an issue that has been in the news recently. Make
them give a clear answer, though, one that indicates whether
they agree or disagree with a specific proposal. Take note
of their responses, perhaps jotting them down after your conversation
has ended.
- Is consensus greater in your personal poll than in national
and state polls? If so, why do you think this occurred?
4. How Special Are Interests?
A. Invite one or more lobbyists to speak to your class or
group and ask them some of the following questions:
- Whom does the lobbyist represent? What issues does the
lobbyist's membership or clients currently have before the
legislature? Choose one of the lobbyist's major interests
and ask what groups are in opposition to this interest.
- What techniques does the lobbyist use to influence legislators?
What kind of information does the lobbyist provide to legislators?
- What does the lobbyist have to say about the lobbying system?
What are its virtues? What are its defects?
B. After the interviews, consider the following questions:
- Think of your own views and positions. Are you a member
of any interest groups? Do any interest groups generally
represent your views, whether you are a member or not? What
about your friends and family and their representation by
groups?
- What groups do you think have the most influence in your
legislature? What accounts for their influence-the merits
of their case, size of their membership, economic position,
strength of members' beliefs, campaign contributions?
- Would the legislature work better without lobbyists? Why?
How?
- What interests in your state are not adequately represented
before the legislature? Why aren't they? How well does the
legislative system perform in allowing conflicting views
and interests to compete? Who are the big winners? Big losers?
5. Why the Process Is Contentious
A. Many imaginative computer simulations are available these
days. SimCity allows players to run a city and requires them
to make political decisions. The Center on Congress at Indiana
University has a simulation on "How a Member Decides to Vote" at http://congress.indiana.edu/.
These simulations teach you about the complexities of the policymaking
process, because you are constantly faced with differing points
of view, limited resources, competing goals and the necessity
of compromise.
6. What Makes the System Accountable?
A. Discuss the following with one or more legislators:
- What does accountability mean to them? Do they believe
they are accountable? To whom and how?
B. Based on your conversation, consider the following questions:
- Do you think that constituents can hold legislators accountable?
How is accountability enforced?
- Is it possible in your state for the minority to win control
of the senate or house? How does the electorate hold the
majority party of the senate or house accountable? In what
ways does the public hold the entire legislature accountable?
- Compare the accountability of legislators with that of
physicians, attorneys, college professors and public school
teachers. Which groups do you think are more or less accountable?
To whom?
What's being said about this book!
"I love this little book. What a breath of fresh air in the
current climate of cynicism and distrust about American democracy!"
Thomas E. Mann, W. Averell Harriman Senior Fellow, The Brookings
Institution
"This guide helps citizens understand how American legislatures
really work, puts the present cynicism toward our system in the
proper context and articulately explains the importance to our
freedom of our basic democratic institutions. All Americans who
are concerned about public affairs-which should be everyone-should
read this book."
Jeff Lane, Vice President, The Procter & Gamble Company
"I'm very impressed by this guide to representative democracy.
It is a concise, clear articulation of six fundamental principles
of representative democracy. It is a valuable tool for educating
citizens, young and old, about Congress and our state legislatures."
Frank H. Mackaman, Executive Director, The Dirksen Congressional
Center
"The authors of this book, alarmed by growing public cynicism
about representative democracy, are attempting to explain why
it is that legislators behave as they do.... The decline in understanding
of how representative government is supposed to work can lead
to what for me is the ultimate nightmare: direct electronic democracy.
That will create a mess that will make today's most raucous legislature
look wise and deliberate."
Peter Harkness, Editor and Publisher, Governing: The Magazine
of States and Localities
"Our form of government is a national treasure. To work properly,
government requires the trust and participation of ordinary citizens.
This book goes a long way toward promoting those values."
H.C. "Pete" Poynter, BellSouth Corporation, President,
State Government Affairs Council
|