Political Science 680 Proseminar in Political Institutions and Processes Fall 1997

Transcription

1 Page 1 Political Science 680 Proseminar in Political Institutions and Processes Fall 1997 Professor Greg Hager 1629 Patterson Office Tower, , hagerg@pop.uky.edu Office Hours: Tues. 8:45-10:00, Wed. 1:30-3:00, and by appointment. Description: This course is designed as a broad overview of mainstream political science research on the three branches of the U.S. system of government: the legislative, the executive, and the judiciary. Since there could be and are -- courses on any one of these institutions, I have necessarily been quite selective in the topics and readings to be covered. For the most part, topics were selected that have generated the most research interest over time and/or currently. Each seminar session will focus on a critical discussion of the assigned readings, with the instructor as another discussant. The instructor will, as necessary, place the readings in the context of other research we did not read, provide background information, and answer any questions, but the primary value of this course comes from student participation. For each week's readings, be prepared to discuss -- at least-- the following questions: 1. What "big picture" research questions are these readings trying to answer? For example, such questions for the first week could be "Why are political institutions necessary? Do institutions matter? If so, how?" Etc. 2. More specifically, what is the author trying to explain? In other words, what are the dependent and independent variables? Given the research question, do these variables make sense? 3. What theoretical approaches do authors utilize? What theoretical assumptions are being made? Is the theory appropriate to the research question? What other theoretical perspectives would be appropriate? 4. Are the research methodologies appropriate? Why or why not? How could they be improved? 5. If an article makes use of data, is it appropriate? Why or why not? What would the ideal data for this research question be? Could the research be replicated using different data? 6. Most importantly, so what? Does this research have any implications for governing, democracy, representation, or anything that we should actually care about? 7. Finally, based on these readings, what suggestions can you make for future research? Specifically, what are the unresolved questions in this area of inquiry? Requirements: Grades will be based on three elements: class participation, three short papers, and a final exam. 1. Participation (20%): Besides the normal aspects of participation of regularly showing up and taking part in class discussion, you are also required to turn in questions for each week's readings. These can be questions about things you did not understand from the readings. They can be questions about the implications of the readings. They can be questions about how the readings do or do not fit together. They can be questions on the topic not even addressed by the readings. The most important thing is that your questions be thoughtful ones. You do not necessarily have to know the answer to questions you ask, but you should be able to discuss them at least.

2 Questions for the upcoming topic are due by Tuesday at 12:30, at the latest. You should turn in at least two questions for each weekly topic. 2. Three Short Papers (15% each): You are to turn in three short (4-7 pages) papers on questions about the readings. Due dates for the papers will be spaced throughout the semester. The purpose of the assignment is to encourage you to think about course material; no outside readings or research are required. I will provide the questions about a week before papers are due. 3. Final Exam (35%) Readings: The following books have been ordered and should be available in the bookstores. Page 2 John Aldrich, Why Parties? The Origin and Transformation of Party Politics in America, 1995, Univ. of Chicago Pr. Morris Fiorina, Divided Government, 2nd ed, 1996, Allyn and Bacon Jack Knott and Gary Miller, Reforming Bureaucracy: The Politics of Institutional Choice, 1987, Prentice-Hall. Jeffrey Segal and Harold Spaeth, The Supreme Court and the Attitudinal Model, 1993, Cambridge Univ. Pr. Kenneth Shepsle and Mark Bonchek, Analyzing Politics, 1997, Norton. There will also be various articles and book chapters to read. Photocopies of all the readings for the upcoming week will be available in a box in the graduate student mailbox area (Patterson 1643). Please be considerate and return readings to the box quickly. For each topic, I have also listed further readings. These are just suggestions should anyone have a particular interest in an area; you do not have to read them for the class. Abbreviations: APSR=American Political Science Review; AJPS=American Journal of Political Science; JOP=Journal of Politics; LSQ=Legislative Studies Quarterly; APQ=American Politics Quarterly; PRQ=Political Research Quarterly; PSQ=Political Science Quarterly. 1. Sept. 2 An Overview of Institutions Aldrich, Why Parties?: pp Shepsle and Bonchek: Analyzing Politics, ch Further Reading (most useful readings indicated by *): * Grafstein, Robert The Problem of Institutional Realism. JOP 50: * Moe, Terry The New Economics of Organization. AJPS 28: * William Riker, Liberalism Against Populism, 1982, Waveland Pr. * Lowi, Theodore The End of Liberalism. New York: Norton, Shepsle, Studying Institutions: Some Lessons from the Rational Choice Approach. Journal of Theoretical Politics 1: Grafstein, Robert Institutional Realism: Social and Political Constraints on Rational Actors. New Haven, CT:Yale U. Pr. - William H. Riker Implications from the Disequilibrium of Majority Rule for the Study of Institutions. APSR 74: March, James G. and Johan P. Olsen The New Institutionalism: Organizational Factors in Political Life. APSR 78: Weaver, R. Kent and Bert A. Rockman Assessing the Effects of Institutions. In Do Institutions Matter? (eds. Weaver and Rockman). Wash.: Brookings, pp Miller, Gary J Managerial Dilemmas. New York: Cambridge U. Pr.

3 Page 3 - Brace and Hall, Studying Courts Comparatively: The View from the American States. PRQ 48: Sept. 9 Representation I James Madison, Federalist Papers 10 and 51. Hanna Pitkin, The Concept of Representation: ch Overby and Cosgrove Unintended Consequences? Racial Redistricting and the Representation of Minority Interests. JOP 58: Weissberg, Robert Collective vs. Dyadic Representation in Congress. APSR 72: Sept. 16 Representation II Shepsle and Bonchek, Analyzing Politics: ch. 2-5, 7. Further reading: * Fiorina, Morris P Representatives, Roll Calls, and Constituencies. Lexington, MA: Lexington Books. - Achen, Christopher H Measuring Representation. AJPS 22: Miller, Warren E. and Donald E. Stokes Constituency Influence in Congress. APSR 57: Fenno, Richard Home Style: House Members in Their Districts. Boston: Little, Brown. - Guinier, Lani The Tyranny of the Majority. New York: Free Pr.. - Shepsle, Kenneth A Representation and Governance: The Great Legislative Trade-off. PSQ 103: Gerber, Elisabeth R Legislatures, Initiatives, and Representation: The Effects of State Legislative Institutions on Policy. PRQ 49: Loewenberg, Gerhard, Samuel C. Patterson, and Malcolm E. Jewell (editors) Handbook of Legislative Research. Cambridge, MA: Harvard U. Pr. This is a 700+ page compilation of review articles originally appearing in LSQ on most topics of legislative research. 4. Sept. 23 The Electoral Connection Jacobson, Gary C The Politics of Congressional Elections, ch. 3. Fenno, Richard U.S. House Members in Their Constituencies. APSR 71: Aldrich, Why Parties?: ch. 8. Cox and Morgenstern, The Increasing Advantage of Incumbency in the U.S. States. LSQ 18: Francis and Kenny, Equilibrium Projections of the Consequences of Term Limits.... JOP 59: Rabinowitz and MacDonald, The Power of the States in U.S. Presidential Elections. APSR 80: * Brady, David W., A Reevaluation of Realignments in American Politics: Evidence from the House of Representatives. APSR 79: Mayhew, David R., Congressional Elections: The Case of the Vanishing Marginals. Polity 3: Jacobson, Gary C The Marginals Never Vanished: Incumbency and Competition in Elections to the U.S. House of Representatives, AJPS 31: Tufte, Edward R., The Relationship between Seats and Votes in Two-Party Systems. APSR 67: Erikson, Robert S. and Gerald C. Wright, Voters, Candidates, and Issues in Congressional Elections. In Congress Reconsidered, Fifth Edition (eds. Lawrence C. Dodd and Bruce I. Oppenheimer). Wash.: CQ Pr., pp Butler, David and Bruce Congressional Redistricting. New York: Macmillan. - Hill, Kevin A Does the Creation of Majority Black Districts Aid Republicans? An Analysis of the 1992 Congressional Elections in Eight Southern States. JOP 57: Sept. 30 Congress and the Bureaucracy Shepsle and Bonchek, ch. 13. McCubbins and Schwartz, Congressional Oversight Overlooked: Police Patrols versus Fire

4 Alarms. AJPS 28: Moe, An Assessment of the Positive Theory of 'Congressional Dominance.' LSQ 12: Aberbach, Keeping a Watchful Eye. Wash.: Brookings. Ch. 2, 3. *Fiorina, Congressional Control of the Bureaucracy: A Mismatch of Incentives and Capabilities. In Congress Reconsidered, 2nd Edition (eds. Lawrence C. Dodd and Bruce I. Oppenheimer). Wash.: Congressional Quarterly Pr., pp * Fiorina, Morris P Congress: Keystone of the Washington Establishment, Second Edition. New Haven, CT: Yale U. Pr.. - Arnold, R. Douglas Congress and the Bureaucracy. New Haven, CT: Yale U. Pr.. - Bendor, Jonathan and Terry M. Moe An Adaptive Model of Bureaucratic Politics. APSR 79: Oct. 7 Legislative Organization Aldrich, Why Parties?:ch. 7 Fenno, Congressmen in Committees: ch. 1. Cox and McCubbins, Legislative Leviathan: ch. 5 Knott and Miller, Reforming Bureaucracy: ch. 7 Hall and Wayman, Buying Time: Moneyed Interests and the Mobilization of Bias in Congressional Committees. APSR 84: Page 4 * Mayhew, David Congress: The Electoral Connection. New Haven, CT: Yale U. Pr. * Shepsle, Kenneth A The Changing Textbook Congress. In Can the Government Govern? (eds. John E. Chubb and Paul E. Peterson). Wash.: Brookings, pp Leroy N. Rieselbach, Congressional Reform. Wash.: CQ Pr.. - Polsby, Nelson W The Institutionalization of the U.S. House of Representatives. APSR 62: Krehbiel, Keith, Information and Legislative Organization. Ann Arbor: U. of Michigan Pr. - Shepsle, Kenneth A. and Barry R. Weingast, Positive Theories of Congressional Institutions. LSQ 19: Jones, Bryan D., Frank R. Baumgartner, and Jeffrey C. Talbert The Destruction of Issue Monopolies in Congress. APSR 87: Hall, Richard L Participation and Purpose in Committee Decision Making. APSR 81: Weingast, Barry R. and Wm Marshall The Industrial Organization of Congress. Journal of Political Economy 96: Oct. 14 Legislative Decision Making Shepsle and Bonchek: ch. 6, 11, 12. Cox and McCubbins, Legislative Leviathan: ch. 6. Kingdon, Congressmen's Voting Decisions (3rd edition): ch. 1, 9, 10 Hager and Talbert, Look for the Party Label (convention paper) * R. Douglas Arnold, The Logic of Congressional Action. New Haven, CT: Yale U. Pr.. * Kingdon, John W Agendas, Alternatives, and Public Policies, Second edition. New York: HarperCollins. * Poole, Keith and Howard Rosenthal, Congress: A Political Economic History of Roll Call Voting. Oxford Univ. Pr. - Quirk, Paul J., Deregulation and the Politics of Ideas in Congress. In Beyond Self-Interest (ed. Jane J. Mansbridge). U. of Chicago Pr., pp Weisberg, Herbert F Evaluating Theories of Congressional Roll-Call Voting. AJPS 22: Smith, Richard A Interest Group Influence in the U.S. Congress. LSQ 20: Krehbiel, Keith Spatial Models of Legislative Choice. LSQ 13: Collie, Melissa P The Legislature and Distributive Policy Making in Formal Perspective. LSQ 13: Matthews, Donald R The Folkways of the United States Senate: Conformity to Group Norms and Legislative Effectiveness. APSR 53:

5 Page 5 8. Oct. 21 Judicial Behavior: Factors that Influence Decisionmaking Shepsle and Bonchek: ch. 15. Segal and Spaeth, Supreme Court and the Attitudinal Model: ch. 2. Segal and Spaeth, The Influence of Stare Decisis on the Votes of U.S. Supreme Court Justices and all the follow-up articles. AJPS 40: Further Reading (on the courts role in the U.S. structure of government): * Dahl, Robert (1957). Decision-Making in a Democracy: The Supreme Court as a National Policy-Maker. Journal of Public Law 6: * Casper, Jonathan (1976). The Supreme Court and National Policy Making. APSR 70:50-63 * Funston, Richard (1975). The Supreme Court and Critical Elections. APSR 69: * Barnum, David G. (1985). The Supreme Court and Public Opinion: Judicial Decision Making in the Post-New Deal Period. JOP 47: Further Reading (on decision making): * George, Tracey E. and Lee Epstein (1992). On the Nature of Supreme Court Decision Making. APSR 86: Oct. 28 Judicial Behavior: Factors that Influence Decisionmaking Attributes and Attitudes Ulmer, S. Sidney (1973). Social Background as an Indicator to the Votes of Supreme Court Justices in Criminal Cases: Terms. AJPS 17: Walker, Thomas and Deborah Barrow (1985). The Diversification of the Federal Bench: Policy and Process Ramifications. JOP 47: Segal and Spaeth, Supreme Court and the Attitudinal Model: ch. 5, 6. Interest Groups Caldeira, Gregory A. and John R. Wright (1988). Organized Interests and Agenda Setting in the U.S. Supreme Court. APSR 82: Songer, Donald R. and Reginald S. Sheehan (1993). Interest Group Success in the Courts: Amicus Participation in the Supreme Court. PRQ 46:

6 Page 6 Further Reading (Attributes and Attitudes): - Spaeth, Harold J. (1961). An Approach to the Study of Attitudinal Differences as an Aspect of Judicial Behavior. Midwest Journal of Political Science 6: Schubert, Glendon (1962). The 1960 Term of the Supreme Court: A Psychological Analysis. APSR 56: Tate, C. Neal (1981). Personal Attribute Models of Voting Behavior of the U.S. Supreme Court Justices: Liberalism in Civil Liberties and Economic Decisions. APSR 75: Segal, Jeffrey A. and Albert Cover (1989). Ideological Values and the Votes of the U.S. Supreme Court Justices. APSR 83: Tate, C. Neal and Roger Handberg (1991). Time Binding and Theory Building in Personal Attribute Models of Supreme Court Voting Behavior, AJPS 35: Further Reading (Interest Groups): * Galanter, Marc (1974). Why the 'Haves' Come Out Ahead: Speculation on the Limits of Legal Change. Law and Society Review 9: * Kuklinski, James H. and John E. Stanga (1979). Political Participation and Government Responsiveness: The Behavior of California Superior Courts. APSR 73: Wheeler, Stanton et al. (1987). Do the Haves Come Out Ahead? Winning and Losing in State Supreme Courts, Law and Society Review 21: Stewart, Joseph Jr. and James Sheffield, Jr. (1987). Does Interest Group Litigation Matter? The Case of Black Political Mobilization in Mississippi. JOP 49: Nov. 4 Judicial Behavior: Factors that Influence Decisionmaking Public Opinion Mishler, William and Reginald S. Sheehan (1993). The Supreme Court as a Countermajoritarian Institution? The Impact of Public Opinion on Supreme Court Decisions. APSR 87: Popular Influence on Supreme Court Decisions. (1994) (Debate: Norpoth and Segal vs. Mishler and Sheehan.) APSR 88: Hoekstra, Valerie J. (1995). The Supreme Court and Opinion Change: An Experimental Study of the Court's Ability to Change Opinion. APQ 23: Integrated Models Gibson, James L. (1978). Judges' Role Orientations, Attitudes, and Decisions: An Interactive Model. APSR 72: Songer, Donald R. and Susan Haire (1992). Integrating Alternative Approaches to the Study of Judicial Voting: Obscenity Cases in the U.S. Courts of Appeals. AJPS 36: Further Reading (Public Opinion): - Gates, John B. (1989). Supreme Court Voting and Realigning Issues: A Microlevel Analysis of Supreme Court Policy Making and Electoral Realignment. Social Science History 13: Marshall, Thomas R. (1989). Public Opinion and the Supreme Court. ***** Additional Topics and Readings on the Judiciary -- not ***** required for PS680 but may be useful for general exams. Role Orientations - Howard, J. Woodford, Jr. (1978). Role Perceptions and Behavior in Three U.S. Courts of Appeals. JOP 39: Scheb, John M., II, Thomas D. Ungs, and Allison L. Hayes (1989). Judicial Role Orientations, Attitudes and Decision Making: A Research Note. Western Political Quarterly 42: Flango, Victor E., Lettie Wenner, and Manfred W. Wenner (1975). The Concept of Judicial Role: A Methodological Note. AJPS 19: Canon, Bradley (1983). Defining the Dimensions of Judicial Activism. Judicature 66:

7 Page 7 Institutional Constraints - Slotnick, Elliot E. (1984). Judicial Selection Systems and Nomination Outcomes: Does the Process Make a Difference? APQ 12: Hall, Melinda Gann (1995). Justices as Representatives: Elections and Judicial Politics in the American States. APQ 23: Baum, Lawrence A. (1977). Policy Goals in Judicial Gatekeeping: A Proximity Model of Discretionary Jurisdiction. AJPS 21: Segal, Jeffrey A. (1984). Predicting Supreme Court Cases Probabilistically: The Search and Seizure Cases. APSR 86: Walker, Thomas G., Lee Epstein, and William Dixon (1988). On the Mysterious Demise of Consensual Norms in the U.S. Supreme Court. JOP 50: Epstein, Lee, Thomas G. Walker, and William J. Dixon (1989). The Supreme Court and Criminal Justice Disputes: A Neoinstitutional Perspective. AJPS 33: Hagle, Timothy M. (1993). 'Freshman Effects' for U.S. Supreme Court Justices. AJPS 37: Impact, Compliance, and Implementation - Baum, Lawrence A. (1976). Implementation of Judicial Decisions: An Organizational Analysis. APQ 4: Giles, Michael W. and Douglas Gatlin (1980). Mass-Level Compliance with Public Policy: The Case of School Desegregation. JOP 42: Canon, Bradley C. (1991). Courts and Policy: Compliance, Implementation and Impact in John Gates and Charles A. Johnson (eds.) The American Courts: A Critical Assessment. - Canon, Bradley C. and Dean Jaros (1979). The Impact of Change in Judicial Doctrine: The Abrogation of Charitable Immunity. Law and Society Review 13: Johnson, Charles A. (1987). Law, Politics, and Judicial Decision Making: Lower Federal Court Uses of Supreme Court Decisions. Law and Society Review 21: Rosenberg, Gerald (1991). The Hollow Hope: Can Courts Bring About Social Change. 11. Nov. 11 Divided Government Fiorina, Divided Government, 2nd edn: entire. Sundquist, Needed: A Political Theory for the New Era of Coalition Government in the United States. PSQ 103: Stonecash and Agathangelou, Trends in the Partisan Composition of State Legislatures. APSR 91: Fiorina, Professionalism, Realignment, and Representation. APSR 91: * Mayhew, David. R Divided We Govern. New Haven, CT: Yale U. Pr. * Cox, Gary W. and Samuel Kernell (eds.) The Politics of Divided Government. Boulder, CO: Westview Pr. (out of print) - McCubbins, Party Governance and U.S. Budget Deficits: Divided Government and Fiscal Stalemate. In Politics and Economics in the Eighties (eds. Alberto Alesina and Geoffrey Carliner), U. of Chicago Pr., pp Weatherford, M. Stephen Responsiveness and Deliberation in Divided Government: Presidential Leadership in Tax Policy Making. British Journal of Political Science 24: Nov. 18 Bureaucracy Knott and Miller, Reforming Bureaucracy: ch. 1-5, pp , ch. 8-10, ch. 13. Cook, The Representative Function of Bureaucracy. Administration and Society 23:

8 * Moe, Terry The Politics of Bureaucratic Structure. In Can the Government Govern? (eds. John E. Chubb and Paul E. Peterson). Wash.: Brookings, pp * Nelson, Michael A Short, Ironic History of American National Bureaucracy. JOP 44: Wilson, James Q Bureaucracy. New York: Basic Books. - Fritschler, A. Lee and James Hoefler Smoking and Politics, 5th ed. Upper Saddle River, NJ: Prentice Hall. - Wilson, James Q The Politics of Regulation. In Wilson (ed), The Politics of Regulation. NY: Basic Books, pp Blais, Andre and Stephane Dion Are Bureaucrats Budget Maximizers? Polity 22: Mashaw, Jerry L Explaining Administrative Process: Normative, Positive, and Critical Stories of Legal Development. Journal of Law, Economics, and Organization 6 (Special Issue): Nov. 25 Overviews of / Studying the Presidency Skowronek,1995. Presidential Leadership in Political Time. In The Presidency and the Political System, 4th ed (ed. Michael Nelson). Wash.: CQ Pr, pp Hargrove, Presidential Personality and Leadership Style. In Researching the Presidency (eds. George C. Edwards III, John H. Kessel, and Bert A. Rockman). U. of Pittsburgh Pr., pp Rose, The Post Modern President, 2nd edn.: ch. 1-3, 10. Light, The President's Agenda: ch. 9 * Quirk, Paul J What Do We Know and How Do We Know It? Research on the Presidency. In Political Science: Looking to the Future. Volume Four: American Institutions (ed. William Crotty). Evanston, IL: Northwestern U. Pr. - Neustadt, Richard E., Presidential Power and the Modern Presidents. New York: Free Pr Dec. 2 Presidential Influence and the Public Bond and Fleischer, The President in the Legislative Arena: ch. 2, 8. Wildavsky, The Two Presidencies. In The Two Presidencies (ed. Steven A. Shull). Chicago: Nelson-Hall, pp Originally appeared in 1966 in Trans-Action 4:7-14. Kernell, Going Public, 2nd edn.: ch. 1, 2. Hager and Sullivan, President-centered and Presidency-centered Explanations of Presidential Public Activity. AJPS 38: Page 8 * Edwards, George C., III, At the Margins: Presidential Leadership of Congress. New Haven, CT: Yale U. Pr. - Peterson, Mark A., Legislating Together: The White House and Capitol Hill from Eisenhower to Reagan. Cambridge, MA: Harvard U. Pr. - Sullivan, Terry, The Bank Account Presidency: A New Measure and Evidence on the Temporal Path of Presidential Influence. AJPS 35: (Followed by comments by Edwards and Sullivan.) - Milkis, Sidney The President and the Parties. New York: Oxford U. Pr.. - Nathan, Richard The Administrative Presidency. New York: Wiley. - Simon and Ostrom, The Impact of Televised Speeches and Foreign Travel on Presidential Approval. Public Opinion Quarterly 53: Brace, Paul and Barbara Hinckley, Presidential Activities from Truman through Reagan: Timing and Impact. JOP 55: Bodnick, Marc A 'Going Public' Reconsidered: Reagan's 1991 Tax and Budget Cuts, and Revisionist Theories of Presidential Power. Congress and the Presidency 17: Dec. 9 Review and Prospects