9/4 Elite Theory, Pluralism, Incentives, and Legislative Behavior

Elite Theory

• Definition: a theory that argues political power is concentrated in a relatively small, identifiable group of elites who hold the real influence over major policy decisions. The material frames elite theory as describing three categories of folks at the top and suggests power is concentrated there.
• Context from lecture: elite theory helps explain why some actors have outsized influence in policy debates and why policy outcomes may reflect elite preferences rather than the broad public.

Critiques of Elite Theory

• Readings from Tuesday push back on elite theory, arguing the theory is not a stable or complete description of power dynamics.
• Key criticisms:
  • Stability assumption: power structures are not fixed pyramids; they are more fluid and contingent.
  • Influence ≠ policy outcomes: having visibility or notoriety does not guarantee direct policy influence; influence may be diffuse or indirect.
• The discussion sets up a contrast with pluralism, which offers an alternative way to think about how power operates in politics.

Pluralism (Robert Dahl)

• Core idea: power is distributed across multiple groups rather than centralized in a single elite; policy outcomes emerge from bargaining among coalitions of diverse groups.
• Pluralism emphasizes the role of organized groups (unions, trade associations, civil rights groups, professional associations) and informal coalitions.
• Key tenets (five):
  1) Competition among groups
  2) Multiple centers of power
  3) Compromise
  4) Consensus on rules
  5) Diversity of interests represented in policy outputs
• Basic implication: no one group consistently dominates across all issues; policy results from bargaining among varied actors.

Critiques of Pluralism

• A major critique is that pluralism can overwhelm policymakers when there are too many groups with access points, making it hard to discern which interests actually drive policy.
• The town hall analogy: allowing everyone to speak for five minutes can produce a cacophony that obscures clear policy directions.
• Critics also argue that pluralism may not specify the mechanisms for agenda-setting, so it can overstate the ease with which diverse groups can influence which issues are considered.

Two Phases of Power (Direct vs. Indirect)

• Direct phase (influence decisions): the actors who actually decide policy outcomes when a problem is addressed.
• Indirect phase (influence agendas): the ability to shape whether an issue even appears on the agenda or is blocked from consideration; this is the more subtle, upstream form of power.
• Example discussed: a faculty meeting where a disruptive issue might be kept off the agenda by controlling talking points; this illustrates restrictive power in action.
• Connection to contemporary actors: interest groups can exercise the second form by shaping what policymakers consider, even if they don’t directly make policy.
• Critique: some modern readings emphasize the role of powerful actors (often corporate or party-linked groups) in steering agenda-setting and framing, which is not always captured by naive pluralist accounts.

Reading Connections and Context

• GIL-reading excerpt highlighted lines such as: "Whose voices get heard may be distorting our policies at the expense of all but the wealthiest individuals" (paraphrased here from the orange-highlighted section).
• These lines illustrate how agenda-setting and access to decision points can privilege wealthier or more organized groups, linking to the two phases of power.

Theory of Incentives

• Core idea: incentives are a form of power, used to shape behavior by offering rewards (carrots) or penalties (sticks).
• In policy making, incentives can be positive (tax breaks, favorable regulations) or negative (sanctions, penalties).
• The instrumental logic is that incentives change behavior by altering the relative costs and benefits, not by coercing directly.
• Three pillars of the theory of incentives:
  1) Rational actors seek goals: assumed to maximize utility given constraints; targets may be adaptable, but not all individuals will respond the same.
  2) Future orientation: actors care about future payoffs; incentives must be perceived as relevant to future benefits.
  3) Discovery time: effects of incentives are not always immediate; the delay between action and payoff matters for incentive effectiveness.
• A key formulation (illustrative): in a utilitarian framework, an actor chooses actions to maximize utility U = B - C where B are benefits and C are costs. The best action is the one that maximizes U given information and constraints.
• Bounded rationality (connected concept): real-world decision-makers face cognitive limits, time constraints, and emotional factors; they may satisfice (choose a good enough option) rather than optimize.
• Implication for policymakers: even with incentive structures, behavior is constrained by information, time, and competing goals; incentives interact with political context and institutional rules.

Rational Choice Theory and Bounded Rationality

• Rational Choice Theory (often used in economics and political science) assumes:
  • People are rational and seek to maximize their utility by weighing costs and benefits.
  • Political behavior is purposive and instrumental; actors choose alternatives to achieve their goals.
• Bounded rationality (Herbert Simon inspired): decision-making is constrained by cognitive limits, time, and emotions; individuals may pursue a satisfactory rather than optimal outcome and may have multiple goals competing for attention.
• In politics, this means policymakers respond to incentives but do so within imperfect information and competing priorities.

Public Opinion and Lawmaking Behavior (Mayhew’s Framework)

• Public opinion data: general perception of Congress vs. individual representatives.
  • National approval of Congress around the mid-20s (e.g., ~24%)—low.
  • Individual representatives: higher approval ratings relative to Congress as a whole, but still not perfectly aligned with broader sentiment.
  • Reelection rates for members of Congress are typically very high (often in the mid-to-high 90s).
• David Mayhew’s thesis (reelection-focused): Congress as an assembly of professional politicians whose primary goal is reelection; actors engage in three reelection-seeking activities:
  1) Advertising: disseminating one's name and image with little issue context to build name recognition.
  2) Credit-claiming: generating the perception that the actor caused desirable government action.
  3) Position-taking: publicly signaling judgments on salient issues to present a clear stance.
• Important nuance: Mayhew identifies two electorates that members pursue: the general November electorate and the primary electorate; these can overlap but can also diverge, shaping strategy.
• The distinction between advertising, credit-claiming, and position-taking helps explain a lot of legislative signaling, including votes on high-profile issues that may not become policy (e.g., a large number of votes to repeal Obamacare provisions that never became law due to Senate/Veto dynamics).

Fenno’s Concentric Circles of Constituencies

• The central idea: legislators are embedded in multiple concentric circles of constituency that shape incentives and behavior.
  • Geographic constituency: the broad district or area represented; the voters who live there and can vote.
  • Reelection constituency: those essential for reelection; typically co-partisans and other key voters whose support is pivotal.
  • Primary constituency: the subset important for surviving a primary challenge; often party-identifiers and stronger core supporters.
  • Personal constituency: close advisers and confidants (e.g., spouse, close friends) who influence day-to-day decisions.
  • Additional (outside geographic) constituency: individuals or groups who feel represented or connected to the policymaker’s work even if they cannot vote for them (not central to reelection strategy but relevant to legitimacy and advocacy).
• Two phases in Fenno’s framework:
  • Expansion phase: the lawmaker seeks to expand support within districts, building trust without alienating the core base.
  • Protection phase: once reelection is secure, attention shifts to policy issues and keeping the base mobilized for future elections.
• Takeaway: policymakers are constantly balancing expansion and protection to maintain legitimacy and reelection prospects across multiple constituencies.

Campaign Ads: Illustrative Examples of Constituencies in Action

• Joni Ernst (2014, Iowa Senate):
  • Advertisement line: "I grew up castrating hogs on an Iowa farm. So when I get to Washington, I'll know how to cut pork."
  • Elements: connects to geographic constituency (rural Iowa, farming community); emphasizes values and identity rather than detailed policy record (early in career, limited credit-claiming).
  • Signaling: uses position-taking to project conservative identity and alignment with constituents’ values.
• Gerald Dougherty (2016, Travis County TX):
  • Ad features rambling discussion of local numbers (jail capacity, tax rate, light rail cars) and culminates with a plea to reelect.
  • Elements: strong emphasis on local issues and the personal appeal of the candidate; more credit-claiming and aspirational rhetoric; signals personal dedication to the community.
• Ayanna Pressley (2018, Seventh Congressional District, MA):
  • Campaign video emphasizes activist leadership, partnership with community, and a broad pledge to lift up the stories of the people represented.
  • Signals both geographic and personal constituencies: foregrounds proximity to the district’s people and a commitment to work with them, while also projecting a broader, activist stance.
  • Quote excerpt: "the people closest to the pay should be the closest to the power driving and informing policy making."
• Other anecdotes from the discussion (e.g., viral ad with David Gosar): illustrates how ads can be widely shared and shape public perception with a strong signaling or branding component.
• Key takeaway from ads: political communication uses advertising, credit-claiming, and position-taking to manage multiple constituencies and to signal alignment with district values, while sometimes shaping agenda and policy outcomes rather than delivering direct policy changes.

Real-World Observations and Recurrent Themes

• Disconnects between public opinion and policy outcomes:
  • Kansas abortion amendment example: voters rejected a restrictive measure, yet lawmakers introduced similar or stronger restrictions; demonstrates disconnect between popular will and legislative action.
  • Ukraine aid and military/economic support: broad public support doesn't automatically translate into proportionate policy or funding; underscores agenda-setting dynamics and the influence of organized groups.
  • Gun policy: high public support for background checks, but limited federal action; strong influence from gun-rights lobby groups shaping the policy agenda.
• These examples illustrate agenda-setting power and how certain actors can influence what gets discussed, even when there is broad public support for related issues.

Redistricting, Constituencies, and Policy Reach

• Redistricting (gerrymandering) can shift the geographic and political composition of constituencies, altering the balance between expansion and protection phases.
• Shifts in district boundaries can change which groups constitute the reelection and primary constituencies, influencing legislators’ signaling and policy emphasis.
• The Fenno framework helps analyze how redistricting might alter incentives for constituency service and policy responsiveness.

Current Events Assignment: Guidelines and Context

• Purpose:
  • Apply course concepts to contemporary policy issues.
  • Practice sourcing reputable information and connecting real-world events to theoretical frameworks.
• Readings categorization (classroom rationale):
  • Contextual pieces (e.g., New York Times, The New Yorker) introduce concepts with real-world illustrations.
  • Theoretical pieces (older academic articles) provide foundational theory to familiarize students with core concepts before they appear in class discussion.
  • Repeated exposure to theory via readings is designed to build a solid knowledge base.
• What to focus on for the exam:
  • Focus on key concepts and phrases introduced in lectures; aim to think critically about these ideas.
• Current events assignment details:
  • Source: use at least one reputable article linked on Canvas; an interactive tool is provided to assess biases and reliability.
  • Time window: article should be published within one month of the due date.
  • One article per submission; provide a link to the article (citation style not required).
  • Level of government: choose local, state, national, or international; ensure a different level for each submission.
  • Format: about two pages, double-spaced; follow the provided template in the assignment description; no strict citation style required.
  • Due date: submissions are due before the class on the due date (e.g., before the next class).
  • Template details: the assignment description includes a template with approximate section lengths (e.g., some sections ~5 sentences, others ~3–5 sentences).
  • Purpose: this is a low-stakes assignment (roughly 5% of the grade) designed to build skill for the policy brief later in the semester.
• Practical tips:
  • Use a single article, but ensure it clearly links to the policy issue and includes enough depth to connect to class concepts.
  • Integrate discussions of how the issue maps onto Mayhew’s reelection incentives, Fenno’s constituencies, and the two phases of power where relevant.

Quick Logistics and Closing Thoughts

• The instructor notes ongoing calendar and class-time discussion; adjust study expectations accordingly and use class time efficiently.
• The upcoming topics after today include continued exploration of incentives, election-seeking behaviors, and the concentric circles of constituencies, followed by policy readings and applications.
• Students are encouraged to engage with current events to practice applying theory to real-world policy debates and to prepare for the exam.