No CrossRef data available.
Published online by Cambridge University Press: 13 March 2017
Why do legislative parties emerge in democracies where elections are contested by individual candidates, rather than national party organizations? And can parties survive in the absence electoral pressure for their members to work on shared political goals? In this article, we examine the emergence and maintenance of party discipline in an atypical legislative context: California's 1878–79 constitutional convention. The unusual partisan alignments among the delegates at the California convention provide us with a unique empirical opportunity to test election- and policy-based explanations for legislative discipline. Our study combines a careful reading of the historical record with a statistical analysis of roll call votes cast at the convention to show how leaders of the “Nonpartisan” majority held together their disparate coalition of Democratic and Republican members in the face of conflicting preferences, ideological divisions, and well-organized political opponents. Our findings provide evidence that cohesive parties can exist even in the absence of broadly shared electoral pressures or policy goals.
We thank the Bill Lane Center for the American West at Stanford University and Thad Kousser for providing funding for this project. We are also grateful to Alana Camille and Kelsey Davidson for their indispensable research assistance and to Amy Bridges, John Clark, Mathew Glassman, Nolan McCarty, and Keith Krehbiel for helpful comments. We also appreciate the help of librarian David Lincove from The Ohio State University Library; the staff at the California State Archives, who helped us obtain rare manuscripts used in the analysis; and Seth Masket, who shared the roll call votes from the California General Assembly.
1. Schattschneider, Elmer Eric, American Government in Action, Party Government (New Jersey: Rinehart & Company, 1942), 1 Google Scholar.
2. Cox, Gary W., The Efficient Secret: The Cabinet and Development of Political Parties in Victorian England (New York: Cambridge University Press, 1987)CrossRefGoogle Scholar; Müller, Wolfgang, “Political Parties in Parliamentary Democracies: Making Delegation and Accountability Work,” European Journal of Political Research 37 (2000): 309–33Google Scholar.
3. Although not our primary focus here, parties also play an invaluable role as electoral organizations that help individual legislators achieve their personal career goals. See Schlesinger, James, “On the Theory of Party Organization,” Journal of Politics 46 (1984): 369–400 CrossRefGoogle Scholar. In addition, they provide information about candidates for uninformed and cognitively indolent voters, Downs, Anthony, An Economic Theory of Democracy (New York: Harper and Row, 1957)Google Scholar; Fiorina, Morris P., Retrospective Voting in American Elections (New Haven, CT: Yale University Press, 1981)Google Scholar; Jones, David R. and McDermott, Monika L., “The Responsible Party Government Model in House and Senate Elections,” American Journal of Political Science 48 (2004): 1–12 CrossRefGoogle Scholar; Jones, David R., “Partisan Polarization and Congressional Accountability in House Elections,” American Journal of Political Science 54 (2010): 323–337 Google Scholar.
4. Krehbiel, Keith, Pivotal Politics: A Theory of U.S. Lawmaking (Chicago: University of Chicago Press, 1998)Google Scholar.
5. Mayhew, David, Congress: The Electoral Connection (New Haven, CT: Yale University Press, 1974)Google Scholar.
6. Cox, Gary W. and McCubbins, Mathew D., Legislative Leviathan: Party Government in the House (Berkeley: University of California Press, 1993)Google Scholar. See also Jacobson, Gary C., The Politics of Congressional Elections, 7th ed. (New York: Pearson, 2009)Google Scholar.
7. Campbell, Angus, Converse, Phillip E., Miller, Warren E., and Stokes, Donald E., Elections and the Political Order (New Jersey: Wiley, 1966)Google Scholar; Downs, An Economic Theory of Democracy; Fiorina, Retrospective Voting; Snyder, James M. Jr. and Ting, Michael M., “An Informational Rationale for Political Parties,” American Journal of Political Science 46 (2002): 90–110 CrossRefGoogle Scholar.
8. Butler, Daniel M. and Powell, Eleanor Neff, “Understanding the Party Brand: Experimental Evidence on the Role of Valence,” Journal of Politics 76 (2014): 492–505 CrossRefGoogle Scholar.
9. Carroll, Royce and Kim, Henry A., “Party Government and the ‘Cohesive Power of Public Plunder,’” American Journal of Political Science 54 (2010): 34–44 Google Scholar; Jenkins, Jeffrey A. and Monroe, Nathan W., “Buying Negative Agenda Control in the US House,” American Journal of Political Science 56 (2012): 897–912 Google Scholar.
10. Krehbiel, Keith, “Party Discipline and Measures of Partisanship,” American Journal of Political Science 44 (2000): 212–27Google Scholar; Krehbiel, Keith, “Partisan Roll Rates in a Nonpartisan Legislature,” Journal of Law, Economics, and Organization 23 (2007): 1–23 Google Scholar.
11. Krehbiel, Pivotal Politics.
12. Mayhew, Congress.
13. Carey, John M., Niemi, Richard, and Powell, Lynda W., Term Limits in the State Legislatures (Ann Arbor: University of Michigan Press, 2000)Google Scholar; Powell, Richard, “The Unintended Effects of Term Limits on the Career Paths of State Legislators,” in The Test of Time: Coping with Legislative Term Limits, ed. Farmer, Rick, Rausch, John David Jr., Green, John C. (Lanham, MD: Lexington Books, 2003), 133–46Google Scholar.
14. Bridges, Amy, “Managing the Periphery in the Gilded Age: Writing Constitutions for the Western States,” Studies in American Political Development 22 (2008): 32–58 Google Scholar; Clark, Cal and Clark, Janet, “The Impact of Party and Electoral Systems on Political Conflict in State Constitutional Conventions,” Western Political Quarterly 28 (1975): 700–11Google Scholar; Cronwell, Elmer E. Jr., Goodman, Jay S., and Swanson, Wayne R., “State Constitutional Conventions: Delegates, Roll Calls, and Issues,” Midwest Journal of Political Science 14 (1970): 105–30Google Scholar; Dunn, Charles, “Comparative Partisan and Group Voting Behavior in Constitutional Conventions: A Research Note,” American Politics Research 14 (1976): 115–20Google Scholar; Friedman, Robert S. and Stokes, Sybil L., “The Role of Constitution-Maker as Representative,” Midwest Journal of Political Science 9 (1965): 148–66CrossRefGoogle Scholar; van der Slik, Jack R., Pernacciaro, Samuel J., and Kenney, David, “Patterns of Partisanship in a Nonpartisan Representational Setting: The Illinois Constitutional Convention,” American Journal of Political Science 18 (1974): 95–116 Google Scholar; Swanson, Wayne R., Kelleher, Sean A., and English, Arthur, “Socialization of Constitution-Makers: Political Experience, Role Conflict, and Attitude Change,” Journal of Politics 34 (1972): 183–98Google Scholar.
15. Cooper, Joseph and Brady, David W., “Institutional Context and Leadership Style: The House from Cannon to Rayburn,” American Political Science Review 75 (1981): 411–25Google Scholar; Rohde, David W., Parties and Leaders in the Postreform House (Chicago: University of Chicago Press, 1991)Google Scholar; Aldrich, John H., Why Parties? The Origin and Transformation of Political Parties in America (Chicago: University of Chicago Press, 1995)CrossRefGoogle Scholar.
16. Scheiber, Harry N.. Race, Radicalism and Reform: Historical Perspective on the 1879 California Constitution (Berkeley: University of California Press, 1989)Google Scholar; Swisher, Carl Brent, Motivation and Political Technique in the California Constitutional Convention, 1878–1879 (New York: Da Capo Press, 1930)Google Scholar.
17. Bancroft, Hubert Howe, The History of California (San Francisco, CA: The History Company, 1890), vol. 7Google Scholar.
18. Ooley, Pat, Inventory of the Working Papers of the 1878–1879 Constitutional Convention, (Sacramento, CA: California State Archives, Office of the Secretary of State, 1993)Google Scholar.
19. Swisher, Motivation and Political Technique.
20. Davis, Winfield J., History of Political Conventions in California, 1849–1892 (Sacramento, CA: California State Library, 1893), 366 Google Scholar.
21. Kanazawa, Mark, “Immigration Exclusion, and Taxation: Anti-Chinese Legislation in Gold Rush California,” Journal of Economic History 65 (2005): 779–805 Google Scholar.
22. Saxton, Alexander, The Indispensable Enemy: Labor and the Anti-Chinese Movement in California (Berkeley: University of California Press, 1971)Google Scholar; Batzell, Rudi, “Free Labour, Capitalism and the Anti-Slavery Origins of Chinese Exclusion in California in the 1870s,” Past & Present 225 (2014): 143–86Google Scholar.
23. Davis, History of Political Conventions in California, 369.
24. Ibid., 375.
25. Shumsky, Neil Larry, The Evolution of Political Protest and the Workingmen's Party of California (Columbus: Ohio State University Press, 1992)Google Scholar.
26. Davis, History of Political Conventions in California, 375–78.
27. Swisher, Motivation and Political Technique, 21.
28. “Constitutional Convention,” Daily Alta California 30, no. 10258, May 12, 1878 Google Scholar.
29. Ibid. For similar sentiment, see also: “Convention Politics,” Sacramento Daily Union 7, no. 73, May 14, 1878.
30. We will continue to use the term “Nonpartisan” as a proper noun to refer to this slate of Democratic and Republican delegates. This is, of course, not how this word is used in modern political discourse.
31. Swisher, Motivation and Political Technique.
32. Davis, History of Political Conventions in California, 383.
33. Cornford, David, “To Save the Republic: The California Workingmen's Party in Humboldt County,” California History 66 (1987): 130–42Google Scholar.
34. Vivian, T. J. and Waldron, D. G., Biographical Sketches of the Delegates to the Convention to Frame a New Constitution for the State of California (San Francisco, CA: Francis & Valentine, 1878), 50 Google Scholar.
35. Ibid., 68.
36. Ibid., 107.
37. Williams, R. Hall, The Democratic Party and California Politics, 1880–1886 (Stanford, CA: Stanford University Press, 1973)Google Scholar.
38. Vivian and Waldron, Biographical Sketches, 147.
39. Swisher, Motivation and Political Technique, 22.
40. Ibid., 32.
41. Ibid., 41.
42. These two were the least important—Miscellaneous Subjects and Schedule—committees. Vivian and Waldron, Biographical Sketches.
43. Beth, Loren P. and Harvard, William C., “Committee Stacking and Political Power in Florida,” Journal of Politics 23 (1961): 57–89 CrossRefGoogle Scholar; Cox and McCubbins, Legislative Leviathan; Hedlund, Ronald D., Coombs, Kevin, Martorano, Nancy, and Hamm, Keith E., “Partisan Stacking on Legislative Committees,” Legislative Studies Quarterly 34 (2009): 175–91Google Scholar.
44. See Cox and McCubbins, Legislative Leviathan on the importance of partisan agenda control.
45. Although a small number of delegates also served as legislators both before and after the convention, there was no session in which more than a small handful served together. In the absence of other “bridging” actors, such as interest groups, or highly restrictive assumptions about how individual behavior changes over time, it is thus not possible to jointly scale the votes taken in the legislature and the commission or compare delegate and legislative ideal points directly. See Kogan, Vladimir, “When Voters Pull the Trigger: Can Direct Democracy Restrain Legislative Excesses?” Legislative Studies Quarterly 41(2016): 297–325 Google Scholar.
46. Carroll, Royce and Cox, Gary W., “The Logic of Gamson's Law: Pre-Election Coalitions and Portfolio Allocations,” American Journal of Political Science 51 (2007): 300–13Google Scholar; Warwick, Paul, Government Survival in Parliamentary Democracies (Cambridge, UK: Cambridge University Press, 1994)Google Scholar; Laver, Michael and Schofield, Norman, Multiparty Government: The Politics of Coalition in Europe (Ann Arbor: University of Michigan Press, 1998)Google Scholar; Golder, Sona, “Pre-Electoral Coalition Formation in Parliamentary Democracies,” British Journal of Political Science 36 (2006): 193–212 Google Scholar.
47. Note that, because Democrats and Republicans made up the majority of both slates, the Nonpartisan group was not simply a multiparty governing coalition similar to those found in many parliaments where members of parliament are elected using proportional representation.
48. Carey, John M. and Shugart, Matthew Soberg, “Incentives to Cultivate a Personal Vote: A Rank Ordering of Electoral Formulas,” Electoral Studies 14 (1995): 417–39Google Scholar; Mayhew, Congress; Carey, John M., “Competing Principals, Political Institutions, and Party Unity in Legislative Voting,” American Journal of Political Science 51 (2007): 92–107 CrossRefGoogle Scholar.
49. Party unity votes and scores for Congress were obtained from Keith Poole's website, voteview.com.
50. David Bateman and John Lapinski note that this approach has attracted a much smaller following among scholars of American Political Development but make a convincing case for why measures of legislator “ideal points” have a great deal to contribute to historical scholarship. Bateman, David A. and Lapinski, John, “Ideal Points and American Political Development: Beyond DW-Nominate,” Studies in American Political Development 30 (2016): 147–71CrossRefGoogle Scholar.
51. Poole, Keith T., “Non-Parametric Unfolding of Binary Choice Data,” Political Analysis 8 (2000): 211–37CrossRefGoogle Scholar. Because there is no way to “bridge” the disjoint sets of votes taken at the convention and the legislative sessions immediately before and after it, we cannot estimate ideal points that are comparable over time. For this reason, the analysis in this section focuses only on the ideal points of delegates at the convention.
52. Ideally, we would also examine the dynamics of committee deliberations, where most of the substantive provisions were drafted before being adopted on the convention floor. Unfortunately, we were unable to locate any surviving records from the committees, largely because the convention chose not to hire stenographers to document their meetings.
53. “Codification versus Constitution-Making,” Sacramento Daily Union 7, no. 216, November 1, 1878 Google Scholar.
54. Although somewhat lower than is the case in the modern Congress, where a similar model correctly classifies about 92 percent of the votes (see Poole, Keith, “Changing Minds? Not in Congress!” Public Choice 131 [2007]: 435–51Google Scholar), this performance is almost identical to a one-dimensional model fitted on the legislative votes from the 1877 and 1880 California Assembly (78.9 and 81.9 percent correctly classified, respectively).
55. We use scaled ideal points rather than raw agreement or party unity scores as dependent variables in our models because the latter are much more sensitive to cutpoint censoring (see Hirsch, Alexander, “Theory Driven Bias in Ideal Point Estimates—A Monte Carlo Study,” Political Analysis 19 [2011]: 87–102)Google Scholar, which gives rise to artificial extremism. See Snyder, James Jr., “Artificial Extremism in Interest Group Ratings,” Legislative Studies Quarterly 17(1992): 319–45Google Scholar.
56. Swisher, Motivation and Political Technique, provides a book-length discussion of the sharp policy conflicts within the Nonpartisan coalition.
57. Among the Republicans, the mean ideal point was 0.41, compared to the 0.27 for the Democrats. However, this difference was only borderline significant at conventional levels (p = 0.09, two-tailed test).
58. Swisher, Motivation and Political Technique.
59. Ibid., 20.
60. Bawn, Kathleen, Cohen, Martin, Karol, David, Masket, Seth, Noel, Hans, and Zaller, John, “A Theory of Political Parties: Groups, Policy Demands and Nomination in American Politics,” Perspectives on Politics 10 (2012): 571–97Google Scholar.
61. Ooley, Inventory.
62. For delegates elected at-large, we use the statewide averages of these measures.
63. Swisher, Motivation and Political Technique, 42.
64. This and subsequent models exclude Workingmen's Party delegates who were not previously members of the Democratic or Republican parties, resulting in seven fewer observations.
65. The results for the constituency-level variables do not change if we exclude the Nonpartisan delegates elected at-large.
66. Because no Nonpartisan delegates previously served in the state or federal Workingmen's Party, we omit this coefficient from Table 2. We also exclude the coefficient for running on the Workingmen's Party slate for the same reason.
67. Carl C. Plehn, “The Taxation of Mortgages in California, 1849–1899,” Yale Review (1899): 31–67.
68. Swisher, Motivation and Political Technique, 85.
69. San Mateo County v. Southern Pacific Railroad, 13 Fed. 722 (1882). Another provision seen as a win for the Workingmen, denying many state rights and privileges to Chinese immigrants, was also struck down by a U.S. Circuit Court as a violation of the 14th Amendment shortly after the adoption of the new constitution. In re Tiburco Parrot, 1 F. 481, 500 C.C.D. Cal. (1880).
70. Willis, E. B. and Stockton, P. K., Debates and Proceedings of the Constitutional Convention of the State of California (Sacramento, CA: Superintendent of State Printing, 1880–1881), 1: 377Google Scholar.
71. S. E. Moffett, “The Railroad Commission of California: A Study of Irresponsible Government,” Annals of the American Academy of Political and Social Science (1895): 109–17.
72. Willis, E. B. and Stockton, P. K., Debates and Proceedings of the Constitutional Convention of the State of California (Sacramento, CA: Superintendent of State Printing, 1880–1881), 3: 1226Google Scholar.
73. People v. Hibernia Bank (51 Cal. 243). See also “The Mortgage Taxes in California,” Banker's Magazine and Statistical Register 30 (1876): 857–62Google Scholar.
74. Willis and Stockton, Debates and Proceedings, 3: 1295.
75. p = 0.34 for the Railroad Commission amendment and p = 0.14 for the property taxation measure.
76. Interestingly, both of the amendments were ultimately defeated with the help of delegates elected on the separate Democratic and Republican slates, who overwhelmingly opposed them.
77. Candidate vote shares are frequently used as measures of voter preferences in the literature on legislative politics. For an example, see McCarty, Nolan, Poole, Keith T., and Rosenthal, Howard, “Does Gerrymandering Cause Polarization?” American Journal of Political Science 53 (2009): 666–80Google Scholar.
78. Because multiple delegates were elected from most districts, the margin of victory is calculated as the number of votes cast for each winning delegate minus the votes won by the first runner-up, divided by the total number of votes cast in the district.
79. Several of these delegates were appointed after the election. However, the records provided to us by the state archives were missing the vote totals for all delegates elected from the second congressional district. In addition, the county-level vote totals located by the archive staff were missing a page that contained the results for about half a dozen senatorial districts.
80. Mathews, Joe and Paul, Mark, California Crackup: How Reform Broke the Golden State and How We Can Fix It (Berkeley: University of California Press, 2010), 18 Google Scholar.
81. Bridges, “Managing the Periphery in the Gilded Age.”
82. Scheiber. Race, Radicalism and Reform, 47–58.
83. Lustig, Jeffrey R., “Private Rights and Public Purposes: California's Second Constitution Reconsidered,” California History 87 (2010): 64 Google Scholar.
84. For a formal model of such “rational deference,” see Buchanan, James M. and Vanberg, Viktor, “A Theory of Leadership and Constitutional Construction,” Public Choice 61 (1989): 15–27 Google Scholar.
85. Cox and McCubbins, Legislative Leviathan.
86. “Codification versus Constitution-Making.”
87. Aldrich, Why Parties?
88. Kousser, Thad and Phillips, Justin, The Powers of American Governors: Winning on Budgets and Losing on Policy (New York: Cambridge University Press, 2012)Google Scholar.
89. Given the differences documented in the previous paragraphs, one might conclude that the California convention provides few lessons that can help scholars understand legislative parties more generally. We would strongly challenge with this contention: The usefulness of this case is that it provides evidence of legislative discipline in the absence of the necessary conditions identified in the literature. Thus, it provides important variation on independent variables—presence of party brand names, length of time horizons—that are often cited to explain discipline in Congress, an institution where these variables do not vary significantly, even over time. If discipline can be found despite internal heterogeneity in preferences and in the absence of these preconditions, one may question whether existing theories do indeed provide satisfying and coherent explanations for the partisanship observed in modern U.S. legislatures.