Read and answer the provided questions
Political Science 1
Behavioral Aspects of Legislatures
Lesson goals: To understand the informal “rules of the game” and behavioral roles which influence both individual legislators and the legislatures in which they serve.
1. Introduction
All legislative bodies operate under formal structures and rules. This includes our national legislature comprised of the U.S. Senate and House of Representatives, state legislatures (our own California State Senate and Assembly, for example), regional governments like the Los Angeles County Board of Supervisors, City Councils, and so on.
Formal rules include guidelines for parliamentary procedures, most often the widely utilized “Robert's Rules of Order”, a classic manual first published in 1876 as a guide to fairly conduct meetings, encourage participation, and aid decision making. These are supplemented with other procedures, bylaws, and rules customized for a specific legislative body by its own members. Your AMGOV text (page 310), for example, describes the discharge petition utilized by the House of Representatives to free legislation from a committee and the U.S. Senate’s filibuster rules which can prevent bills from being brought to a vote.
Legislatures have also organized themselves into formal governing structures. These are, in general, essentially similar with various legislative officials providing leadership, the organization of a committee system to consider proposed bills, and the establishment of the formal steps that bills must travel to become law. The leadership positions possessing power in Congress are described on pages 306-310 in our AMGOV textbook and the Committee system is depicted on pages 302-306. Although the titles and number of legislative officials and committees will vary, most legislatures are organized with similar governing structures.
Likewise, descriptions of how a bill becomes law in various legislatures are very much alike. This formal path for Congressional bills is diagramed on page 313 in the AMGOV text and the California procedure is illustrated on pages 68 and 69 in our California Government text. The pathway for bills to become law was even entertainingly addressed by the popular Schoolhouse Rocks television show decades ago via the now well-known “How a Bill Becomes Law” video. Aimed at educating elementary school children, this short film and accompanying song are very familiar to many people. If you have not viewed this fun video, you can click here to watch it via YouTube. The Schoolhouse Rocks description is, of course, oversimplified. To gain a more sophisticated, college-level knowledge about the formal path of legislation, please review the following three resources:
A series of nine short videos presented by the Library of Congress entitled “The Legislative Process”: click here
For a descriptive pathway illustration of “How Our Laws Are Made” use this link .
These legal, formal factors guiding legislative actions are important institutional aspects that create opportunities and define limits. However, they describe only part of the substance and process of policy decisions. Informal “rules of the game” are equally significant in influencing legislative outcomes. Informal “behavioral roles” are also critical.
2. Jesse “Big Daddy” Unruh attends the School of Hard Knocks
The Speaker of the Assembly is acknowledged as the second most powerful position in California, with first place being accorded to the governorship. Historically, Jesse Unruh is recognized as the most powerful Speaker, even though decades have passed since his heyday in the 1960s. His “Big Daddy” nickname was attributed in part to his appetite for power. Generally acknowledged as a smart, collaborative leader with a bipartisan bent, Unruh was well familiar with the formal rules guiding the California Assembly. In fact, by virtue of his position as Speaker, he was in charge of ensuring that the formal procedures were followed by the assembly members. In Lou Cannon’s Ronnie and Jesse: A Political Odyssey, Unruh’s downfall from power is described. His debacle (known as the Lockup) was not caused by utilizing the formal powers granted to him by the members of the Assembly, but by failing to abide by informal rules present in every legislature… rules not written down but equally as important to observe as the formal variety. These informal rules proved to be a turning point in Unruh’s political life.
3. Informal Rules
Informal rules are not standards officially adopted by a legislative body nor recorded as governing guidelines of procedure or behavior by a legislature. Nonetheless, every legislator becomes aware of these unofficial expectations and follows these dictums as though they are enacted rules. Political scientists have undertaken to identify these “rules of the game,” as well as the sanctions for enforcing them. Thousands of interviews with state legislators have been conducted to solicit their descriptions of the unwritten, informal rules which must be learned and observed to succeed in the legislative arena. The responses have been categorized into the following “rules of the game”:
A. Those which promote group cohesion and solidarity in the legislative body. Some commonly mentioned rules in this category: giving support to another’s bill and refraining from personal attack.
B. Those which promote predictability of behavior within the system. For example, keeping one’s word to another legislator is viewed as a stringent rule. If support is promised on a proposal, such a pledge should be honored. If this proves impossible, then the reasons should be personally explained well ahead of any needed vote.
C. Those which channel and put limits on conflict. Many legislators mention the importance of being willing to compromise. In fact, a very common political maxim is that “Compromise is the art (or heart) of politics.” Another rule in this category is respect for the seniority system in committee assignments.
D. Those which expedite legislative business. Some examples: requiring punctuality and regular attendance. Also very commonly cited is the need to exercise restraint in debate as there is no need to testify on every bill or repeat what others have said.
E. Those serving to primarily give tactical advantage to the individual member. Courtesy and gracefulness in defeat are responses that fit into this category.
F. Those cited as desirable personal qualities. For example, intelligence and personal integrity are referenced by legislators.
Which of the above categories did former California Assembly Speaker Jesse Unruh fail to observe during the Lockup incident he created? His eventual fall from power was precipitated by his violations of these unwritten standards and the bad publicity which ensued… a very harsh repercussion. Wondering if there are less-dramatic consequences for not observing these unwritten, unofficial rules? Research has revealed that sanctions are imposed by legislators to enforce informal rules. See the link below to learn about the consequences faced by rule-breakers in four states. As you will read, the success of a bill could be uncertain if the sponsoring legislator is not observing informal rules.
Sanctions for enforcing “rules of the game”
4. Behavioral roles
Role-playing also influences legislative actions. The importance of formal leadership roles, as described in your textbooks, has already been cited. Likewise, informal roles are influential. Political research studies have revealed several different categories of informal roles which are consequential in legislatures:
A. Legislators’ expectations of what their roles should be as a decision maker:
1. Ritualist. The Ritualist tends to be preoccupied with parliamentary rules and procedures. They see the job through the mechanics of legislative operations and become expert in legislative maneuvering, the bureaucratic maze, and the mastery of the legislative work-flow chart. Every legislative body has some Ritualists and their role is essential to the functioning of the legislature, but their numbers are usually few.
2. Tribune. These legislators perceive their role as a discoverer and advocate of popular demands. They are principally concerned with knowing the needs, hopes, feelings and desires of the people and being their spokesperson.
3. Inventor. The Inventors perceive themselves as initiators and creators of public policy. They focus attention on the creative aspects of the job and possess a self-image of the farsighted legislator of vision and imagination. They believe legislators should be “in front of things”.
4. Broker. These legislators see themselves as referees in the struggle between interest groups, constituencies, and bureaucracies. The Broker’s job is to compromise and arbitrate the demands of conflicting interests.
B. Representational roles. Another way of characterizing roles is to discover a
legislator’s orientation toward his/her constituency. Three of the following four
roles listed below are also described in your AMGOV textbook on page 295.
1. Trustee. This is the representational role most often adopted by legislators. Trustees are guided in legislative affairs by personal judgment and conscience. Their orientation toward their constituents could be characterized as “the voters trust me to intelligently use my knowledge and experience to make the right decisions.” This model was first espoused by British political theorist Edmund Burke (1729-1797) who served in Parliament as a representative of Bristol, England. Explaining his conception of representation, Burke emphasized to his constituents that a Member of Parliament “is not a member of Bristol, he is a Member of Parliament.” He argued that a Member of Parliament should follow his conscience when making decisions in the legislature: “Your representative owes you, not his industry only, but his judgment; and he betrays, instead of serving you, if he sacrifices to your opinion.”
2. Delegate. Delegates are guided by the instructions and wishes of their constituents. This representational role holds that a legislator should vote in keeping with the constituents’ views, even if those opinions contradict the legislator’s personal values. This model conceives of legislators as the agents of their constituents. This can be problematic with a constituency divided on policy questions and when no clear consensus is certain. This role may require the legislator to place personal judgment aside when it conflicts with constituent opinion.
3. Partisan. Legislators in this category have a tenuous orientation toward their constituency, as Partisans look to political party leadership for guidance. Partisans use the policies of their political parties to guide their votes and are loyal to legislative leaders in their respective parties. This may present a dilemma when a Partisan is pressured by his/her political party leadership to vote for a policy that clashes with constituents’ interests or the legislator’s own conscience.
4. Politico. These legislators claim to follow first one, then another role, depending on the circumstances. Sometimes the trustee role dominates; other instances may find the delegate role prominent or, perhaps, the partisan approach.
Politicos often act as a delegate on issues that constituents care about (such as immigration reform) and as a trustee on more complex or less salient issues (some foreign policy or regulatory issues).
C. Adaption to legislative life. Dr. James Barber, famed for his personality approach to presidential character (discussed in a previous lesson), interviewed state legislators to discover their personal needs and political adaptations to political life. Barber categorized their adaptations into four roles:
1. Spectators. These legislators tend to be passive as lawmakers but enjoy the legislative show. They want to continue to serve because they have been attracted by the prestige of holding office, perhaps compensating for feelings of social inferiority. Spectators have adapted to the limelight of public life, but are not interested in policy matters.
2. Advertisers. They are active lawmakers, but are unwilling to return as they are out to become known, usually for business purposes. They exhibit occupational insecurity and marked inner conflicts. Advertisers will become engaged in policy matters because constructing a solid reputation is their goal, but are not interested in continued service.
3. Reluctants. Reluctants are legislators under protest, performing a civic duty for their small-town neighbors. They experience difficulty in adapting to the strange, fast-moving situation comprising political life.
4. Lawmakers. These legislators are active and committed to extended legislative service. Lawmakers concentrate on substantive matters, being freed for this by personal strength and powerful adjustive techniques.
5. Conclusion
No legislator can play solely one role all of the time, but each gravitates toward one or the other role in each of these categories. These roles and the informal rules explain much of what really happens at legislative sessions. Combining the formal rules/roles with the informal rules/roles goes a long way toward presenting a realistic picture of the members of legislatures. This combined approach also leads to a more practical understanding of the path of legislation.
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Sample exam questions
Note: Sample questions are provided at the end of each lesson to help you prepare for the midterm and final exams. They are for your use and do not have to be answered and submitted to Connor Dawson.
1. A Member of Congress with a substantial number of senior citizen constituents will not likely
vote for cuts in Social Security. This legislator’s representational role on this issue can be
characterized as a
a. trustee b. delegate c. partisan d. politico
2. A U.S. Senator who is privy to classified information may vote for increased security at
airport terminals despite the wishes of an impatient flying public back home. This Senator’s
representational role on this issue can be characterized as a
a. trustee b. delegate c. partisan d. politico
3. A filibuster is a
a. Senate practice of continuous debate often employed to stop pending legislative action
b. House of Representatives rule specifying that 60 votes are needed to end debate on an
issue
c. method of freeing legislation from a committee in the House requiring 218 signatures
d. rule allowing a Senator to place a hold on a bill, requiring personal consultation before
the matter can proceed
4. A legislator who perceives herself as a discoverer and advocate of popular demands is best
characterized as playing the role of
a. ritualist b. tribune c. inventor d. broker
5. A legislator who perceives himself as guided in legislative affairs by personal judgment and
conscience is a
a. trustee b. delegate c. partisan d. politico
6. The informal rules of a legislature can best be described as
a. Rules Committee sanctions
b. interest group influences
c. political party controls
d. volunteer behavior codes
7. Former California Assembly Speaker Jesse Unruh initiated the "Lock-Up" incident,
a. which further cemented his power due to his willingness to use his authority when
needed
b. illustrating the old political maxim of "use it or lose it" to gain power
c. utilizing his formal powers but violating informal rules
d. effectively expanding his informal powers into new leadership rulemaking
8. Refraining from personal attack and lending support to other legislators' bills are examples of
a. informal rules promoting group cohesion and solidarity
b. formal rules developed to help expedite legislative business
c. "Roberts Rules of Order" suggestions enforced by the chairperson of a legislative body
d. behaviors rarely witnessed in the rough and tumble of lawmaking
9. Which of the following is true about the California legislature?
a. Legislation cannot be held in committee forever because of the informal rules
prohibiting this practice
b. Violations of informal rules do not trigger sanctions because elected officials are only
responsible to their voters
c. Unwritten rules can carry serious consequences if not observed
d. All of the above are true
10. Legislators who gravitate toward the “spectator” behavioral role tend to be
a. legislatively passive but want to be reelected because they like the prestige of
incumbency
b. active lawmakers, but often unwilling to run again
c. those reluctant to serve because they are mainly performing a civic duty for their
supporters
d. active lawmakers who are committed to extended legislative service
11. “Compromise” is known as a. the “art of politics”. b. a method for blocking legislation. c. violating legislative informal rules. d. the refuge of political extremists.
12. A parliamentary procedure guide utilized by legislatures as well as many organized groups:
a. Robert’s Rules of Order b. U.S. Senate Rules of Procedure
c. Emily Post Etiquette d. U.S. Supreme Court Rules of Professional Conduct
13. The most powerful leader in the House of Representatives is known as the
a. Majority Leader b. Speaker of the House
c. Majority Whip d. President of the Senate
14. The real work of lawmaking in Congress occurs in the so-called “little legislatures,” more
commonly referred to as the
a. executive boards of political party organizations
b. committee system
c. Executive Branch
d. Iron Triangle
15. The U.S. Constitution grants all legislative power to
a. a unicameral Congress
b. a bicameral Congress
c. be shared equally among the three branches of government
d. the President, with Congress restricted to approval or disapproval of proposed laws
16. As detailed in the Library of Congress’ video, the most significant power of the president
regarding legislation is the
a. Constitutional prerogative given to the President to draft bills and present them to
Congress
b. possibility of presidential vetoes of Congressional bills
c. power to appoint Supreme Court justices who rule on the constitutionality of laws
d. leadership role the Vice-President assumes as President of the Senate
17. Legislators known as “advertisers” tend to be
a. committed to extended legislative service
b. interested in policy matters
c. passive and not able to adapt to the pace of political life
d. focused primarily on the prestige of holding public office
18. Elected representatives who concentrate on substantive matters and are committed to
extended legislative service are known as
a. “spectators” b. “advertisers” c. “reluctants” d. “lawmakers”
19. The most common sanction for enforcing the informal rules guiding legislative behavior is
a. impeachment
b. threat to call a special election to remove the misbehaving lawmaker
c. criminal or civil prosecution
d. obstruction of a legislator’s bills
20. Always adhering strictly to just one style of representational roles is
a. perhaps the most simple and easy-to-follow approach to legislating.
b. difficult because it is often hard to determine how constituents feel about an issue.
c. problematic as a legislator’s views may be influenced by knowledge unknown to
the public.
d. B and C but not A.
21. Second to the Governor, the most powerful position in California is the
a. Speaker of the Assembly. b. State Senate pro tem.
c. Lt. Governor. d. State Treasurer.
22. One example of a formal procedure in the House of Representatives is the discharge petition,
a. the power of the majority whip to kill a bill disliked by the leadership.
b. the practice of continuous debate employed to stop legislative action on a bill.
c. the method of freeing legislation from a committee via 218 member signatures.
d. a decision by the Committee on Rules to bring a bill to the floor.
23. Many legislative bodies use the following manual as a guide to conduct meetings:
a. the U.S. Constitution.
b. Roberts Rules of Order.
c. the U.S. Library of Congress’ Guidelines for Parliamentary Procedure.
d. the U.S. Supreme Court’s Procedural Guide for Constitutional Lawmaking.
24. The most powerful position in the U.S. Senate is known as the
a. President pro tempore. b. Speaker of the Senate.
c. Majority Whip. d. Chair of the Committee of the Whole.