Presidentialization is still a thing

With the second impeachment of Donald Trump, we can say that one piece of good news is that Samuels and Shugart (2010) are still right. In our book, Presidents, Parties, and Prime Ministers, one of our claims is that parties in presidential systems face a severe dilemma: On the one hand, they need leaders who can win a separate popular election. On the other hand, the leaders selected for that purpose may not always share the goals of the party, but the party is basically stuck with the president, given the fixed term. While impeachment and removal are usually available under constitutional provisions, it is almost an iron law that parties do not vote to impeach their own president.

On 13 January, and in the wake of the insurrection of 6 Jan., this theory was put to a severe stress test. In fact, the day before the impeachment vote, it looked like the dam had broken and there would be many defectors from the Republican Party, who would join with Democrats and vote to impeach. The biggest blow was Liz Cheney, with the no. 3 position in the GOP House leadership, announcing she would vote to impeach. That seemed like it could give cover to others who wanted to break with the president after his reprehensible actions the week before. The New York Times reported that Kevin McCarthy, the minority leader, “and other party leaders have decided not to formally lobby Republicans to vote “no”.” Moreover, according to the same report, the Republican Senate leader, Mitch McConnell believed Trump had committee impeachable offenses.

Yet, in the end, there were only ten defectors. While this is the highest number of Representatives from a president’s own party to have joined an impeachment vote in US history (all four such votes), it is only about 5% of the total number of party members in the House. Normally, we would think of 95% unity as pretty high, and thus the case of Trump’s impeachment conforms, so far, to the theory: the president’s party does not vote in favor of a process that could lead to removal of its own leader, the president.

By contrast, the book shows that for about a third of prime ministers in parliamentary systems the manner in which they leave office is due to their own party replacing them between elections. Fundamentally, prime ministers do not have fixed terms and are agents of their own parties. Presidents, on the other hand, typically cease to be agents of their parties upon being nominated and especially upon winning the presidential election. This is the key argument of the book: “Presidentialization” effectively reverses the principal–agent relationship, as party members have strong electoral and other incentives to follow the lead of the president whose term does not depend on their ongoing support.

Presidents’ parties may not always support the president’s legislative initiatives (although in most cases, they follow the big ones, even when such initiatives deviate from normal party priorities–see Chapter 8 of the book), but they do usually hold the ranks together when it comes to a co-partisan president’s continued tenure in office. Apparently, even after incitement to insurrection over refusal to accept a lost reelection bid, and even with only a week to go in the term.

In connection with the above argument, some have asked what about Richard Nixon? Had he not resigned, it would have been a bipartisan impeachment and removal. This is probably correct. We also have other cases in our dataset of presidents who resigned for one reason or another. Obviously, in these cases, we are unable to observe an impeachment vote, so they are outside our theory. We can thank Nixon and others for sparing their parties the need to violate an iron law!

More seriously, there is probably, theoretically, some floor of presidential approval below which the dynamic changes. I do not claim to know where that floor is, but Nixon probably breached it when his approval hovered near 20% at the end. Given the small N problem, this remains entirely speculative. The logic might be something about tipping points of support in the party member’s own constituencies, as opposed to a parliamentary party, which typically has a more collective leadership that looks out for swing voters who determine its ability to retain executive control in future elections. And in multiparty systems, this modelling would get even more complex. Lots of PMs lose office due to coalition collapse. Presidents rarely go out that way. There is the case of Dilma Rousseff in Brazil (2016), but it conforms to the theory: her party voted 0-10 in the Senate against conviction. Ultimately, her problem was that her party had only 10 of the 81 seats! (They had also voted 0-60 against impeachment in the Chamber of 513 total members.) There was also the case of Park Geun-hye in South Korea in 2016, where some unknown number of members of her party may have voted to impeach. The reason it is unknown is the vote is secret. If the logic of members not dumping a co-partisan president is tied to electoral incentives (fates of legislators tied to that of the president), then a secret vote would break that. In the book we also mention the case of Raúl Cubas Grau in Paraguay (1999), forced out during an impeachment vote by his own Colorado Party. In this case, the party held a super-majority, and could do it alone without fear of electoral blowback. We discuss some other cases with splits in a party. The bottom line is that there is nothing routine about impeachment, and the calculation of president’s co-partisans is usually that it is unwise to break with the leader who won your own voters’ support in the most recent election. Trump’s case would be the only one I am aware of in which the most recent presidential election was one he had lost, but we still saw a very high degree of overlap between vote for House GOP winners and votes for the president, meaning that a break is essentially saying to voters, sorry, you voted for a crook, so let us set things straight for you.

So 13 January may not have been a good day for American democracy, but it was a good day for comparative institutional political science.

Republic of Barbados?

Barbados may begin a process of transition to a republic. The representative of Queen Elizabeth II, Governor General Sandra Mason, announced such a plan in her throne speech in September. Of course, that means it is the government’s program to abolish the monarchy.

An article about this in The Economist mentioned that such plans do not always go smoothly. It cites the case of Trinidad and Tobago, already a republic since 1976, where the head of state (a president selected by parliament) got to “pick the winner” in a situation (1997) that saw two parties tied for the plurality of seats. The author concludes that “fears of a similar confrontation [between president and sitting prime minister] may have led some Caribbean leaders to reconsider their support for republicanism.”

However, there is no necessary reason why the roles of head of state and head of government need to be separate. Nor must it be left to discretion by the head of state when there is an unclear result of the election. These states could adopt something like the Botswana and South Africa models: The parliamentary majority elects a single individual to serve in both roles. Call the person the “president” or the “prime minister” as you wish. But as long as he or she, and the cabinet collectively, depend on confidence of the majority, it is still a parliamentary democracy (albeit maybe not a Westminster system).

In the most recent election (2018) the Barbados Labour Party won all 30 seats. It was a huge win in votes, too, with 72.8%. (In only two of the single-seat districts did Labour win less than 60%.) Still, it would seem that perhaps a more pressing matter might be not the head of state but electoral reform to avoid total sweeps like this.

Attorneys General–institutions matter

Now that indictments have been announced against the (outgoing–dare I say?) Prime Minister of Israel, it is worth reviewing the institutional basis of the office of Attorney General in Israel.

I am seeing some casual takes on Twitter about why the US doesn’t have an Attorney General who takes a tougher line against law-breaking at the top of government. But the offices could hardly be more different. The US Attorney General is a cabinet appointee. The President picks who holds that position, subject only to Senate majority confirmation. Of course, Trump has had a highly compliant Senate majority throughout his presidency.

Trump could not have had occupants of the office that have been as awful for the rule of law as they have been, if the office were structured like Israel’s. So it is worth sketching how the process of appointing the Israeli Attorney General works. My source for this is Aviad Bakshi, Legal Advisers and the Government: Analysis and Recommendations, Kohelet Policy Forum, Policy Paper No. 10, February 2016.

a. There shall be formed a permanent selection committee that shall screen suitable candidates, one of which shall be appointed to the position by the government. The term of each committee shall be four years. 

b. The chairman shall be a retired justice of the Supreme Court who shall be appointed by the President (Chief Justice) of the Supreme Court upon the approval of the Minister of Justice, and the other members shall be: a retired Minister of Justice or retired Attorney General appointed by the government; a Knesset Member elected by the Constitution, Law and Justice Committee of the Knesset; a scholar elected by a forum comprising deans of law schools; an attorney elected by the Israel Bar Association. 

c. The AGI term duration shall be six years, with no extension, irrespective of the term of the government. 

d. The government may remove the AGI from his position due to specific reasons.… These reasons include, in addition to personal circumstances of the AGI, disagreements between the AGI and the government that prevent efficient cooperation. In such an event the selection committee shall convene to discuss the subject and shall submit its opinion to the government, in writing. However, the opinion of the committee is not binding, and the government may decide to remove the AGI contrary to the recommendation of the committee. The AGI shall have the right to a hearing before the government and before the committee. 

All of this makes for a reasonably independent office. Even if appointment and dismissal are still in the hands of the government, the screening and term provisions make it an arms-length relationship. The occupant of the post is obviously not a cabinet minister, as in the US, and is not a direct appointee of the head of government or the cabinet.

Worlds apart, institutionally.

And this is even before we get into the parliamentary vs. presidential distinction. A president is–for better or worse–meant to be hard to indict, let alone remove. That’s why the main tool against a potentially criminal executive in the US and many other presidential systems is lodged in the congress, through impeachment, and not in a state attorney. A prime minister in a parliamentary system, on the other hand, by definition has no presumption of a fixed term.

The normal way to get rid of a PM is, of course, a vote of no-confidence or the PM’s own party or coalition partners withdrawing support. But that’s the point–they are constitutionally not protected when the political winds, let alone the legals ones, turn against them.

In the broader institutional context of a parliamentary system, it is presumably much easier to take the step of also designing an independent Attorney General’s office that has the ability to indict a sitting head of government.

On the other hand, there is still no obvious way to remove Netanyahu from office any time soon, unless his own party rebels against him. Even though Trump’s own party will probably block the super-majority in the Senate needed to remove him from office*, the resolution of the case against Trump might happen considerably sooner than any resolution of Netanyahu’s case. Barring a rebellion by his current allies, Netanyahu may remain PM fore another 4-5 months, through a now-likely third election (since last April) and the post-election coalition bargaining process.

* Assuming the House majority impeaches him, which now looks all but inevitable.

UK MPs “plot” to do their job

As the expected “meaningful vote” on the EU-UK withdrawal agreement looms, and the legally mandated Brexit day (29 March) draws closer, it is worth thinking clearly about what the relationship is between the House of Commons and the executive in the UK system. As it happens, this is the week in my Ph.D. seminar on party and legislative organization in which we read a couple of items specifically about this relationship. Understanding the relationship is important if for no other reason than to inoculate oneself against headlines like this one in the Sunday Times yesterday:

Revealed: Commons plot to seize control from Theresa May ahead of Brexit vote

The print version even had a headline about a “coup”. It is bad enough when the newspapers and talking heads refer to a vote within a party on the continuance (or not) of its leader as a “coup”. It is just that much worse when the possibility of elected representatives taking back power from the executive is so branded.

To be clear, when a collective body to whom a leader (or other collective body) is responsible seeks to replace or diminish the authority of the latter, it is not a coup.

The specific potential actions that got the Times and “one senior figure” quoted therein so worked up is summarized as:

At least two groups of rebel MPs are plotting to change Commons rules so motions proposed by backbenchers take precedence over government business, upending the centuries-old relationship between executive and legislature.

Let’s be clear about something, shall we? The executive in a parliamentary democracy is an agent of the assembly, not vice versa. Thus if a majority of the House of Commons seeks to clip the wings of its agent, this is a principal acting as it should.

It is a separate question as to whether existing statutory law permits a change in control over the order of business, or whether statute first would have to be changed. That is, parliament may already have delegated away some of its rights to make day-to-day changes in business. If that is the case, these “rebel MPs” may be out of luck in the short term, and given the press of time (the Brexit deadline), the short term is rather important. Yet clearly they would have the right, under the structure of the political system, to make an effort to take back powers currently given to the executive.

A second critical point here is that the claim of a “centuries-old relationship” is just plain wrong. On this point, it is indeed helpful that I have just re-read Gary W. Cox’s masterful The Efficient Secret (1987), wherein the author traces exactly the process by which backbenchers relinquished their capacity for legislative initiative (and the emergence of an electoral connection between voters and the executive). The timeline provided by Cox makes clear that there was no single watershed date on which parliamentary power of initiative was abolished. More to the point of the preceding quote from the Times, Cox shows that this process of delegation took place in the middle of the 19th century. Thus we have something less that a “centuries-old” precedent, even if it is undoubtedly true that the executive generally has dominated the agenda of the House for quite a long time.

Cox also makes clear that this relinquishing of initiative did not take place without a fight–MPs regularly resisted efforts to centralize agenda power, but ultimately gave in because it served their own collective interests.

Of course, if a delegation of authority ceases at some moment to serve the collective interests of parliament, what has been delegated can be taken back. At least in principle, as again, if it requires statutory change rather than a procedural motion, it is somewhat more difficult to pull off.

Nonetheless, the governing Conservative Party (which is in a minority in the House) is evidently worried. Today in the House proceedings, there was a series of Points of Order, including several raised by Conservative MPs about scenarios like those sketched by the Times. The exchange is worth watching, at least for those of us interested in parliamentary procedure and executive-legisaltive relations. The exchanges run just over 16 minutes, from around 18:11 (when Prime Minister May answers her last question about her earlier statement to the House) to 18:27 (the last response by the Speaker to the various Points or Order).

The Speaker indicates in one of his responses (to Charlie Elphicke) that it is indeed his understanding that a “statutory instrument” currently can be raised only by a Minister of the Crown. Nonetheless, the next MP to raise a Point of Order (Nigel Huddleston) asks the Speaker to clarify whether MPs are indeed equal, with full access to information about any changes of procedure. (This is a pretty remarkable question!) Then in response to the final Point of Order of the exchange (Matt Warman, who says his constituents have raised doubts about the role of the Speaker), the Speaker says he will defend the rights of the House against “agents of the executive branch”.

Today’s discussion comes against a backdrop of a claim by hardline Brexiteer Tories that the Speaker upended some precedent on procedures in December and again just last week. The issues in question concern what the House can do if, as widely expected, the meaningful vote results in parliamentary defeat of the withdrawal agreement.

The upshot of all this is that the House is not quite as weak as it is often portrayed, and it may be prepared to reassert itself. As Ed Miliband stated in an intervention in today’s debates, the executive works on behalf of the parliament. It may be something that gets forgotten at times, especially by journalists and taking heads. But it is a basic fact of parliamentary democracy.

It is not only journalists and talking heads who forget about the importance of parliament. It is also academics, as another book on my seminar reading list for this week notes. Meg Russel and Daniel Gover’s Legislation at Westminster (2017) offers a much welcome corrective to the mainstream understanding. They push against the “parliamentary decline thesis” and offer a rich analysis, both quantitative and qualitative, of how parliament (both chambers) actually has substantial influence on legislative output. Some of this influence is due to relatively recent changes in parliamentary organization (e.g., changes in the 1970s to institutionalize the select committee system). Again, this serves as a reminder that “precedent” that gives a dominant role to the executive comes with all sorts of caveats, and is subject to occasional rebalancing. In any case, it is not a “centuries-old” precedent, but rather more recent. And it could be that Brexit is showing that it is rather fragile, too.

We may be witnessing a reassertion by the House of its rightful role in determining what course of action its agent, the executive, shall follow.

Spill time?

So, who is the PM of Australia at the moment? It’s getting interesting. Again.

Second and third questions: What is the origin of the term, spill, to refer to an intra-party leadership challenge? Is Australia the only country where this term is used?

And for some comparative data context, see this planting from 2010.

There also has been an ongoing conversation about the current case at a planting from 2015. This topic of spills really overflows down under.

Turkey, 2018: Unusual alliance behavior

On 24 June, Turkey has concurrent presidential and assembly elections. These will usher in the new constitution, under which Turkey becomes a presidential system. (The current system is premier-presidential, having changed from parliamentary with the adoption of direct presidential elections.)

The election was called earlier than necessary in an attempt by the president, Recep Tayyip Erdogan, to catch the opposition unprepared. However, unexpectedly, several opposition parties have assembled joint lists an alliance (see clarification below) to contest the assembly elections. Polling suggests that they could win a majority.

The coalition behavior of the opposition is unusual in that it features parties running in a pre-election coalition for assembly elections while running separately for a concurrent presidential election. I know of few cases of major parties behaving this way. It makes sense, however, in that Turkey’s 10% nationwide threshold for assembly seats makes for potentially high disproportionality (so much so that I questioned whether it was “democratic” several years before the crackdown that followed the attempted coup). On the other hand, the presidency is elected by two-round majority, meaning first-round divisions do not necessarily prevent a group of parties eventually getting one of their own elected. (See Chile 2005 for another example of such unusual alliance behavior.; also Taiwan 2012.)

The Peoples Democratic Party (HDP), which counts on Kurdish support, is running separately. It cleared the threshold in both elections of 2015 (a, b), and may do so again.

______________

Zeynep Somer-Topcu clarifies, regarding the assembly alliances:

Ballot had each party and then a larger box for the alliance. You could just stamp anywhere within the box for alliance (if no party preference). Threshold applies to alliance but each party’s MPs enter based on their parties’ vote shares once alliance passes threshold.

(via Twitter, presented here with her OK)

I think it is quite unusual for alliances to work this way, allowing vote pooling across separate lists to help drag smaller parties over a threshold.

Italy “coalition of populists” back on

If Spain this week has shown parliamentary democracy working at its “constructive” best, what can we say about Italy? After it seemed earlier in the week as if an interim “non-political” government would be formed to lead the country until early elections, now the seemingly aborted coalition of “populist” parties is back on.

The president has approved Prime Minister Giuseppe Conte and a cabinet consisting of ministers selected by the Lega and M5s parties.

Aside from what a topsy-turvy week it was, and from the perils of this combination of parties governing, a notable feature of the government the Prime Minister is not actually the head of either party in the coalition. (Each party head will be a Deputy PM and hold other portfolios as well.) I will have to remember to insert the word “usually” into my lectures when I say that in a parliamentary democracy, the PM is the head of one of the parties in parliament. Of course, this is not totally unprecedented in parliamentary democracies, but it is indeed not usual.

I invite the creation of a list of PMs who are not a party head in parliamentary democracies, excluding cases of caretakers or “technical” governments appointed for an interim period (like the one Italy seemed earlier in the week to be getting). Manmohan Singh in a Congress-led government of India in the recent past comes immediately to mind.

Spain, constructively

Earlier today, the Spanish parliament (specifically, the first chamber, known as the Congress) voted to replace Mariano Rajoy (Popular Party) as prime minister with Pedro Sánchez (Socialist). This is the first case of a “constructive” vote of no confidence under Spain’s constitution.

The constructive vote requires an opposition motion proposing removal of the prime minister and cabinet to state who the new prime minister would be. If the motion receives a majority in favor, the proposed replacement takes office, without need of a further investiture vote. Germany and a few other countries have similar provisions.

The vote was 180-169 in the 350-seat chamber. The farther-left Podemos and several regional parties voted in favor, while the Ciudadanos voted with the Rajoy government.

It is remarkable in that the Socialists won just 24% of the seats in the most recent (2016) election. Thus the new government will be a rather extreme minority government. (I am assuming no coalition partners will be brought into the cabinet.)

This is the system working exactly as intended. In fact, I would call this an example of parliamentary government at its best. The now-ousted government was itself a minority government, and it received only a plurality of members (170) voting in favor of its investiture when it was formed (thanks to 68 deputies abstaining). The replacement has now received, as required by the constitution, a majority. This combination of provisions makes it relatively easy* to form a minority government when the bargaining situation in parliament is difficult, as it was following the 2016 election. Yet such a government, once formed, will be quite stable because it is more difficult to vote it out than if no-confidence votes required only a negative vote against the incumbent (with its replacement to be subject to subsequent bargaining).

The new government surely will not have an easy time passing policy. It is not required to pass a new budget, nor does failure to pass a budget necessarily require a government to resign in Spain–another stability-enhancing mechanism. It seems likely that an election will come earlier than the end of a full term (2020), however. In the meantime, it is probably stable in the sense of not likely to be removed by parliament, given that such a vote would require a new majority to prefer someone else as leader.

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* “Easy” here does not mean it might not take quite some time, just that it is not required to get parties comprising a majority to give the government an affirmative mandate. In fact, Rajoy’s minority government was approved just over four months after the June, 2016, election.

President of South Korea announces constitutional reform proposal

South Korean President Moon Jae-in has announced his support for amending the South Korean Constitution to allow presidents to serve two four-year terms, instead of the current non-renewable five-year term. Moon, of course, came to office following the impeachment of Park Geun-hye, who became embroiled in a corruption scandal at the end of her non-renewable term: a similar fate befell her predecessor, Lee Myung-bak, who was recently arrested for a wide range of corruption charges.

Presumably, the idea behind this proposal is that it will encourage presidents to improve their behaviour at the end of their terms, given that they will be entitled to seek re-election. The proposal would also mean that members of the National Assembly would serve terms of the same lengths as the President, although elections to the two offices would not become concurrent–indeed, given that Moon’s term expires in 2022, and that the National Assembly’s term expires in 2020, it would shift South Korea to having legislative elections consistently in the middle of presidential terms.

The proposal has a number of other features. The Prime Minister will no longer be expected to act “under order of the President”, the voting age will be lowered from 19 to 18, and the President is no longer able to appoint the head of the Constitutional Court. However, there would appear to be no change in how the Prime Minister is appointed or removed: the Assembly can only pass a motion recommending that the PM or a minister may be removed, which both Samuels and Shugart (2010) and Robert Elgie have interpreted as not being sufficient for semi-presidentialism. The Prime Minister will also remain nominated only by the President (subject to Assembly confirmation).

Passage of the amendments requires approval of two-thirds of the National Assembly and majority support at a referendum with a majority turnout threshold. Moon’s Democratic Party only holds 121 seats in the 300-member assembly, and the opposition right-wing Liberty Korea Party holds 116, giving that party veto power over any potential amendment. That party appears to oppose the amendment proposal, instead apparently supporting a switch to semi-presidentialism, although the Democratic Party could block that. Moon’s proposal has greater public support, although the vast majority of the electorate support at least some change.

South Africa: No confidence vote looming?

The National Executive Committee (NEC) of the ruling African National Congress (ANC) in South Africa is attempting to get President Jacob Zuma to resign. Media coverage of this (such as a BBC story from 5 Feb.) too often implies that this is a “normal” presidency with a fixed term. However, despite the title, as far as executive survival in office is concerned, South Africa’s head of government is a prime minister. He can be removed by a vote of no confidence.

See the Constitution of South Africa, Article 102(2):

If the National Assembly, by a vote supported by a majority of its members, passes a motion of no confidence in the President, the President and the other members of the Cabinet and any Deputy Ministers must resign.

It could hardly be more clear than that. So if the ANC (which has far more than a majority of assembly seas) wants Zuma out, there’s no question how this will end. Zuma may have his own reasons to want to make the party go through the spectacle of a no-confidence vote, rather than step down “voluntarily”, but he does indeed serve at their pleasure.

It is also not as if is unusual in parliamentary systems for parties to replace their leader and the prime minister before an election. In Presidents, Parties, and Prime Ministers, David Samuels and I show that roughly a third of PMs in parliamentary democracies lose office by an intra-party procedure (rather than by losing a general election or leading a coalition that collapses). We did not note the timing of such removals relative to elections, but there is little doubt that many of the party-initiated removals take place closer to the next election than the preceding one. (In most such systems, the election can be called early on initiative of the new PM. The South African constitution also has a provision for early election, at the initiative of the assembly majority itself–Art. 50.)

Already this past December the ANC’s convention narrowly voted to elect Cyril Ramaphosa as head of the party (over Zuma’s ex-wife). He will lead the party in the campaign for the general election of 2019, whether or not Zuma is still president at the time.

A key difference in South Africa, compared to most other parliamentary systems, is that the prime minister is also the head of state–hence the title, President. In fact, other constitutional provisions in South Africa seem lifted from an actual presidential system (i.e., one in which the head of government is popularly elected for a fixed term). For instance, Article 89 has a provision for impeachment:

1. The National Assembly, by a resolution adopted with a supporting vote of at least two thirds of its members, may remove the President from office only on the grounds of ­

a. a serious violation of the Constitution or the law;

b. serious misconduct; or

c. inability to perform the functions of office.

It is hard to imagine what this is doing in a parliamentary constitution! If, like most parliamentary republics, the head of state (“President”) and the head of government (“Prime Minister”) were separate persons, the presence of both provisions quoted here would make sense. But what purpose does an impeachment clause, requiring a super majority, have in a constitution that lets the assembly remove the combined president/PM by a much simpler procedure?

The pressure is ramping up, the State of the Nation speech has been postponed, and the rumors are running rampant ahead of a special meeting of the NEC. The party leadership body could “recall” him in a manner similar to how Thabo Mbeki’s term ended early in 2008. However, that is a party procedure with no legal standing and thus would not be binding on the President.

Will he resign, or will the ANC need to invoke Art. 102?

 

Bargaining failures in presidential and parliamentary systems

This is just a quick collection of thoughts, mainly due to my having seen on Twitter evidence of misconceptions about how these things work (shocking, I know).

With the US in what is technically a funding gap, colloquially known as a shutdown, some folks have pointed out that parliamentary systems have their own variant of this problem. The reference is, of course, to prolonged situations with “no government” after an election.

This is a false analogy.

Lack of a new government while negotiations are ongoing is nothing at all like a furlough of public employees or the closing of services. Nothing at all!

Failure to form a new government is not common in parliamentary systems. Usually after an election it takes anywhere from days to a couple months (shorter than US administration transitions). There are rare cases when it’s longer, such as Germany right now or the Netherlands for part of 2017.

In the interim, things keep going along as they did before the bargaining impasse (or before the election). Services are delivered, employees are paid, etc. If there is an analogy to situations in the US where bargaining over a new budget fails, it would be to a continuing resolution. The difference is that, whereas a continuing resolution requires the House, Senate, and President to agree to continue current levels of funding, the equivalent in a parliamentary context is automatic.

So does that mean that “unelected bureaucracies” get to “do as they please” while the politicians are trying to sort out their differences? (I saw someone claim that!) No, not at all. That’s the sense in which it is like a continuing resolution. The bureaucrats go on doing what they do, until such time as they have new instructions. The new instructions come in the form of a new government being agreed, which goes about implementing its program (which is generally laid out in a public “coalition agreement”).

(Related: It is also worth noting that parliamentary systems typically have nothing like “lame duck” administrations and legislative sessions. A caretaker during the transitional period, before a new government is agreed,  can’t take new initiatives.)

If the parties do not agree to form a new government, it means there is no majority in parliament that prefers some agreed new program over the status quo (the “continuing” part). If the process is protracted–or it becomes clear early that there is not such a majority–there usually can be recourse to an early election to let the voters resolve the deadlock. (If polls suggest the result would be the same, they’ll just keep on continuing till some combination of parties finds a new program it prefers, or the polling shifts enough to suggest the bargaining context would change after an election.)

Let’s go back to the point on bureaucratic agencies. Bureaucratic oversight is a different matter. US bureaucracy is indeed relatively more constrained than its counterparts in most parliamentary systems, but that does not mean that the parliamentary situation–with or without a bargaining impasse–is in any sense one of bureaucrats being powerful and unconstrained.

In many (not all!) parliamentary systems, civil servants within bureaucratic agencies can be given discretion to do their jobs precisely because it’s easier for politicians to rein them in, if necessary. There is only one political principal (again, not always), which we can think of as the parliamentary majority, although in a more immediate sense it is the cabinet. And that means either the caretaker cabinet that continues in the absence of a new government, or the electorally legitimated new government that is formed.

In the US each principal (executive, House, Senate) has to worry that the bureaucracy might follow the other. Plus it is generally harder to change law (three veto gates). So there are both incentive and capacity to bind the bureaucracy ex ante. Whether one form of bureaucratic oversight is “better” isn’t clear. It gets complicated. The main point is that the structure of agencies and the process of oversight and constraint “mirror” the wider institutional set-up and distribution of political power.

Does all this mean that parliamentary government is clearly superior because it is inherent to presidentialism that bargaining failures over spending and policy occur, with no way to resolve them? That is, because there’s no way to get a new government or go to elections? Well, that’s not so clear! A funding gap or shutdown is not actually inherent to presidentialism.

There aren’t any other presidential democracies that I know of where a funding gap could happen. Most such constitutions have either an automatic equivalent of a continuing resolution, or a reversionary point that favors the executive’s proposal.

I would tend to agree that there are lots of reasons to prefer multiparty parliamentary bargaining over the inter-branch kind the US has, or other (pure) presidential systems have. But there are lots of other models, and even the other presidential ones do not have this recurring problem, due to differences in institutional design and budgetary rules.

NZ government 2017: Labour-led

I am just digesting the news. This is quite remarkable. Jacinda Ardern has been leader of the Labour Party for not even three months, and now she is about to be PM.

Discuss…

(Some of you have already been doing so, at the election thread.)

The Polish president’s veto

Polish President Andrzej Duda has exercised his veto against two of the government’s bills to change the appointment of judges. Media accounts are treating this action as a “surprise”, but it really should not be seen as such. Both the government (premier and cabinet) and the president (directly elected) are of the same party, Law and Justice (PiS), yet the institutional dynamics make the action unsurprising.

First of all, such a possibility was signaled by the president on 18 July. Secondly, the theory of presidentialized parties (Samuels and Shugart, 2010) should make presidential action against their own governing party’s controversial decisions the default expectation. That is, the institutions “predict” such actions, and it is politics that sometimes intervenes and prevents the president from acting on his or her independent mandate. In this case, the institutions prevailed.

Duda is not the leader of the party in the sense of who holds the formal organizational title; that would be Jarosław Kaczyński, a former premier. But that fact only makes today’s veto by the Polish president an even better case for demonstrating the power of the argument. The fundamental point of my book with Samuels is that parties face a “moral hazard” problem under presidentailism, due to separate survival (fixed terms). Once a presidential candidate has won the election (separate origin), he is no longer an agent of the party. He now has (potential) incentive to respond to his wider constituency and head-of-state obligations, even when those might conflict with the party that nominated him. He is secure in his fixed term against efforts by the party to restrain him, unlike a prime minister (who, by definition, can be dismissed by the assembly majority or by the party).

One manifestation of presidentialization of parties can be the reversal of the principal-agent relationship, such that the president redirects his own party, making it his agent, rather than the other way around. But–we point out in the book–this is only one possibility. Another is that the president and the party face conflict–an intraparty separation of powers.

The latter seems to be the case here. I heard a BBC interview earlier this morning with an official of the PiS party. He slammed the president for going against the party’s manifesto, and said that the government (which is a single party, with a majority) should be allowed to implement its promises, including judicial reform. The statement overlooks a key institutional fact: Poland is not parliamentary, but semi-presidential. The president is freed from the manifesto by virtue of his separation of origin and survival–that is, his independent election and fixed term.

Duda received significantly more votes in winning the presidency (in a two-round election) than the PiS earned in winning its parliamentary majority. The governing party’s majority is manufactured by the electoral system (details in my earlier entry), whereas Duda’s was earned in the two-candidate runoff. In addition to the electoral system, the PiS surely owes its being in the position to gain that assembly majority from Duda–or, specifically to its own election in the “honeymoon” of Duda (again, see the earlier entry for details).

I do not know if the issue of judicial reform was raised in his own election campaign, but the wider point is that it hardly matters. He has the institutional capacity to act independently, and he did. He has the constitutional power of veto, and he exercised it.

For better or worse, this is how presidentialism (including semi-) is supposed to work. As a head of state (who must deal with other governments unhappy with Polish plans) and with a wider popular constituency (with many Poles in the streets over this issue), and protected by the fixed term, the president can act against the will of the government and its own parliamentary majority.

The veto takes a three-fifths vote of parliament to override, and the PiS is far short of this threshold. Unless it can bring other parties around to this bill, the president’s veto will stand. What this might mean for Duda and his relationship with his party is not for me to predict. But, based on the theory of presidentialized parties, what has happened today is far from surprising; it is predictable.

Poland’s protests–and institutions

Protests in Poland have been making international news. The object of the protests is the government’s plans to undermine the independence of the judiciary. The case illustrates several important points about how political institutions affect policy (and can have potential international repercussions). The escalation of the crisis over these plans in recent days makes the decision some months ago to lead with Poland’s 2015 elections and their aftermath in the forthcoming Votes from Seats look like a good one.

We (Rein Taagepera and I) use the case to demonstrate how seemingly small institutional details can tip outcomes in favor of a party with a strong agenda that might undermine democracy itself. (Yes, the very first example mentioned in the book is the US presidential election of 2016.)

The background is that the Polish ruling party, Law and Justice (PiS) has a majority of seats in the first chamber of the assembly (the Sejm). PiS also holds the presidency. It has a manufactured majority, despite the use of a proportional representation system. In fact, the party won only 37.6% of the votes. This would place the assembly majority on the short list of lowest vote percentages ever turned into a majority by a “proportional” electoral system. Moreover, it was a “honeymoon” election–the assembly was elected about six months after the president.

The manufactured majority was possible due to several factors. One is the use of D’Hondt divisors, which tend to boost the largest party’s overrepresentation, especially when it has a strong lead in votes over the runner up (in this case, Citizen’s Platform, with 24.1%). It is also due to the legal thresholds: 5% for a party and 8% for a pre-electoral alliance. This resulted in substantial wasted votes, particularly with the Democratic Left running as an alliance and getting 7.6% of the vote. Had it become a “party” it would have been represented, and the PiS surely would not have won a majority of seats. Or, obviously, had the alliance won just over 0.4% more votes, it would have won seats.

However, the 37.6% itself did not come in a vacuum. As noted, this was a honeymoon election: it was six months after the election of the president to a five year term. Based on a formula (purely empirical, but based on theory) in Votes from Seats, we expect an election with 10% of the presidential inter-electoral period elapsed to result in a modest boost for the newly elected president’s party. The formula (shown in an earlier post on the French 2017 elections) suggests what we can expect for the party’s assembly votes, expressed as a ratio to the president’s own votes (in the first round if a runoff system). We call that ratio the “presidential ratio” or R_P. For elapsed time of 10%, we expect R_P=1.13. Given that the president, Andrzej Duda, had earned 24.8% of the vote, we’d expect the party to get 39.3%. This is barely over what it actually got (37.6%). So, yes, honeymoon elections matter. (By comparison, PiS had 29.9% in the previous assembly election, in 2011.)

It was not even a sure thing that it would be the PiS that would benefit from the honeymoon boost. First it had to win the runoff, and it did so quite narrowly (51.8% to 48.4%).

So, the current crisis could have been averted, most likely, if any one of the following had been true, thereby preventing the PiS majority government:

(1) Duda had lost the runoff;

(2) The assembly election had not been scheduled so soon after the presidential;

(3) The electoral formula was some common proportional method other than D’Hondt;

(4) There was not a high threshold for alliances, or the Left had made itself into one party (or gotten just a small increase in its votes).

So, yes, institutions do matter!

And institutions may yet matter one other way to this story, and in a way relevant to a couple of my earlier co-authored books. The president has a veto that takes 3/5 to override, and Duda has indicated opposition to his own party’s proposals on the judiciary.  He may veto it. Presidents, after all, may help their parties gain power, but they are not beholden to them once in office. Under Poland’s semi-presidential system, the president and prime minister may disagree, even when from the same party. So the story may have at least one other act yet to come.

More parliamentarism in Central Asia

The Venice Commission has published an generally positive opinion on the Georgian government’s proposal for constitutional reforms. The reforms were proposed after the governing Georgian Dream party won 115 seats in the 150 member legislature in elections, slightly more than the three-quarters majority required to amend the document.

Specifically, the amendments propose repealing direct elections to the Presidency, replacing it with election by a 300-member electoral college composed of members of the national legislature and local councillors. In addition, most of the powers of the Presidency are stripped. This creates a parliamentary system, with a Prime Minister only removable through a constructive vote of no confidence.

The previously unicameral legislature will be replaced, nominally, with a bicameral legislature, comprised of a Senate and a Chamber of Deputies. However, the Senate specifically includes members elected from Abkhazia, currently under the control of a separatist government, and is only to be created after “appropriate conditions have been created throughout the territory of Georgia”. This would seem to imply that the chamber can only be created when Abkhazia returns to government control, and the Venice Commission’s report confirms that they understand its creation will be delayed.

In addition, there are changes to the electoral law. The existing mixed-member majoritarian system with a roughly even split between single-member constituencies elected using the two-round system and party-list PR with a 5% threshold will be replaced with a system of list PR only, still with a 5% threshold. While there is little elaboration, the document does specify that seats shall be allocated by the Hare quota, but instead of allocating seats by largest remainders, all remaining seats are allocated to the largest party (a method used in Greece in one of their endless electoral system changes).

The change bears some resemblance to the relatively recent amendments in Armenia. Like Georgia, a semi-presidential system with a legislature elected with a mixed-member system transitioned into a parliamentary one with a legislature elected under a list system with a bonus (though Armenia’s bonus is somewhat more elaborate, and guarantees a majority government in one form or another). While drawing broad conclusions off two examples is obviously bound to be, these two results may suggest that there is a shift away from politics centred around an all-powerful directly elected presidency, and towards more party-based politics.

A more tenuous argument along these lines could be made in relation to the electoral system. In both cases (along with Kyrgyzstan, which actually moved from single-member districts to MMM to party list), a system in which individual candidates were an important part of legislative elections (especially in the years shortly after independence) has been replaced by a system in which parties are the dominant actors. On the other hand, the pendulum has moved the other way elsewhere in the region, in Russia and the Ukraine.

The President, though endorsed by the Georgian Dream party at the 2013 election, does not appear to have been overly enthusiastic about the landslide victory. The Venice Commission did express some concerns about the power of a government with an overwhelming parliamentary majority, but that seems less likely in Georgia than in Armenia, owing to the more proportional system.