Electoral Institutions and Political Parties in American Government

Institutions of Elections and Administrative Framework

• Definition of Elections: In the context of American government, elections are defined as formal institutions for making collective decisions.

• Institutional Framework: Like Congress, the executive branch, and the courts, elections are governed by rules (institutions) that determine:

  • Who is permitted to vote.

  • How votes are cast and counted.

  • The methodology for determining who wins an office.

• Sources of Election Rules: Election rules are a hybrid of various legal and administrative layers:

  • Federal Laws: Regulate the timing of congressional and presidential elections, office qualifications, congressional seat allocation, the structure of electoral districts, and voter qualifications and rights.

  • State Laws: Govern a broader range of factors, including the specific conduct of state and local elections, procedures for registering voters, candidate qualifications for most offices, procedures for nominating candidates and ballot access, and the operations of political parties.

  • Local Administration: Responsibility for smooth execution falls upon approximately $5,000$ local election offices in counties and municipalities. These offices manage registration lists, prepare ballots and machinery, set up polling places, and recruit/train poll workers.

• Human Component: On Election Day, approximately $1,000,000$ volunteer poll workers administer the process nationwide.

• Policy and Rationality Principles: Election laws are not static; they manifest the institution principle (rules governing conduct) but also reflect the policy principle (the product of bargaining among officials) and the rationality principle (motivated by the interests and values of voters and officials).

• Stickiness: Election laws exhibit "stickiness," meaning they change slowly and continue to shape democracy for decades or even centuries after their passage.

Fundamental Features of U.S. Election Laws

• Who (Universal Adult Suffrage): The United States provides for universal adult suffrage, meaning all citizens over the age of $18$ have the right to vote.

• How (The Australian Ballot): Americans vote in secret and select candidates for specific offices using the "Australian ballot."

• Where (Single-Member Districts): Almost all elected offices are selected through single-member districts serving equal populations, adhering to the principle of "one person, one vote."

• What It Takes to Win (Plurality Rule): For most offices, the candidate who receives the most votes (a plurality) among all competitors wins the seat.

Voting Systems: Plurality vs. Proportional Representation

• Plurality Rule:

  • The candidate with the most votes wins, regardless of whether they achieve an absolute majority.

  • Criticisms: It can yield results that do not reflect public preference, as votes for losing candidates are often viewed as "wasted" because they do not translate into representation.

  • Effect: In the aggregate, plurality rule in single-member districts tends to inflate the seat share of the largest party while deflating others.

• Comparison: British General Election (2015):

  • Conservative Party: Won $37\%$ of the vote but secured $51\%$ of the seats.

  • Labour Party: Placed second with $30\%$ of the vote and $36\%$ of the seats.

  • UK Independence Party (UKIP): Came in third with $13\%$ of the vote but won only $1$ seat out of the $650$-seat House of Commons.

• Majority Rule: Some systems require a candidate to receive a majority (> 50\%) of the votes. If no candidate reaches this threshold, a runoff election is typically held about one month later between the top two vote-getters.

• Proportional Representation (PR):

  • Definition: Competing parties win legislative seats in direct proportion to their share of the popular vote (e.g., $34\%$ of the vote equals $34\%$ of the seats).

  • U.S. Usage: PR is rare in the U.S. but is notably used in Democratic presidential primary elections.

  • Historical Case (Jesse Jackson, 1988): Jackson won approximately $20\%$ of primary votes but received only $5\%$ of delegates. He negotiated a rule change so that delegates within congressional districts are assigned proportionally (typically requiring a threshold, such as $20\%$ of the vote to win one delegate in a five-delegate district).

Duverger’s Law and the Two-Party System

• The Law: Formalized by political scientist Maurice Duverger in his book Party Politics (1951) (also cited as Political Parties), Duverger's Law states that plurality rule creates two-party politics, whereas proportional representation encourages multi-party systems.

• Logic for Politicians (Strategic Behavior):

  • In a plurality system, forming a third party (e.g., a far-right party when a center-right party already exists) splits the vote of the ideologically similar group, effectively handing victory to the opposition (the center-left).

  • Politicians lack incentive to enter as a third party if the existing major parties are not too extreme.

• Logic for Voters (Sophisticated Voting):

  • Voters do not want to "waste" their votes on candidates who cannot win.

  • Extremist voters will often choose a more moderate alternative (their second-best choice) if that candidate has a better chance of winning than an extremist candidate.

• Example (Mitt Romney, 2012): Romney was more moderate than the typical Republican primary voter, but was supported because of electability.

Political Parties and Collective Action

• Problem Solving: Parties solve problems of collective action and rationality, providing a clear path to office for politicians and a way for activists and interest groups to influence policy.

• Party Organizations: While reforms like sunshine laws, civil service reforms, and regulations on government contracting were designed to weaken "party bosses," parties have historically found new resources to maintain influence.

• Modern State: Today, American politics is characterized by relatively strong party organizations and disciplined legislative parties that offer voters clear electoral choices.

Parties in Government: Congressional and Executive Influence

• The Parties and Congress:

  • Speaker of the House: Essentially a party officer; while the whole House votes, the choice is made by the majority-party caucus and ratified via party-line vote.

  • Committee Systems: Parties organize the committees. Each party is assigned a quota of members per committee based on their share of total seats in the chamber.

  • Committee Chairs: Always a member of the majority party.

  • Seniority System: The most senior majority-party member generally becomes chair. However, the House GOP currently limits committee chairs to three terms.

• The President and Party:

  • The president is the de facto party leader, and the party's fortunes are tied to the president's success.

  • Midterm Elections: Voters often hold the president's party accountable for national problems or economic downturns, regardless of which party controls Congress.

  • Executive Organization: Cabinet members and key appointments are typically party loyalists or close advisors from previous campaigns.

  • Legislative Success Rates:

    • President Obama: During his first two years with a Democratic-controlled Congress, he had a support rate of $96\%$.

    • President Trump: During his first two years with a Republican-controlled Congress, he achieved a record support rate of $98\%$.

    • President Biden: During his first two years with Democratic majorities, he had a $95\%$ success rate in the Senate and $93\%$ in the House.

    • Divided Government: When the GOP took the House in 2022, Biden's success rate in that chamber dropped to $19\%$, though it remained at $90\%$ in the Democrat-led Senate.

Parties and the Judiciary

• Federal Level: The judiciary is not formally organized by parties (no caucuses), but parties influence the bench through presidential nominations and Senate approval.

• State Level:

  • Election of Judges: $38$ states provide for the election of state judges.

  • Appointment of Judges: $12$ states use gubernatorial appointment with legislative consent.

  • Partisanship: Most state judicial elections are nonpartisan, but $8$ states conduct partisan elections for judges.

Key Glossaries and References

• Majority Party: The party that holds the majority of seats in a legislative chamber, such as the U.S. House or Senate.

• Nonpartisan Elections: Common in local contexts (school committees, city councils) where issues like zoning do not align with national party cleavages.

• Maurice Duverger: French political scientist; author of Political Parties: Their Organization and Activity in the Modern State (1951/1954).