The personal vote and economic reform

Do electoral rules affect the progress of economic reforms? The students of economic reform have examined the effects of inter-party competition, partly shaped by electoral rules, on economic reform, but have neglected the more direct effects of electoral rules, namely the extent to which they encourage the personal vote. More broadly, studies of the effect of electoral rules on economic policy have relied on the simplistic SMD/PR distinction and have neglected features of electoral institutions that affect the level of intra-party competition. Building on the personal vote literature, we argue that electoral institutions that encourage the personal vote are not conducive to reform progress. We provide the first systematic multivariate cross-country test of the implications of the personal vote literature for economic reform in the context of the post-communist countries from 1990 to 2006. We find that, in line with our theory, countries where electoral rules encourage the personal vote are less likely to reform.     

The importance of personal vote intentions for the responsiveness of legislators: A field experiment

Individual legislators can be important agents of political representation. However, this is contingent upon their responsiveness to constituency requests. To study this topic, an increasing number of studies use field experiments in which the researcher sends a standardized email to legislators on behalf of a constituent. In this paper, we report the results of an original field experiment of this genre with the members of the German Bundestag. Supplementing previous research, we explore whether constituency requests in which voters mention a personal vote intention (rather than a partisan vote intention) increase legislators’ responsiveness, and how this treatment relates to electoral system's incentives. We find that legislators treated with a personal vote intention were more likely to respond (67 per cent) and respond faster than those treated with a partisan vote intention (59 per cent). However, we also show that the treatment effect is moderated by electoral system incentives: it is larger for nominally-elected legislators than for those elected via a party list. Our results suggest that electoral system's incentives matter for legislators’ responsiveness only when constituents explicitly signals an intention to cast a personal vote.     

Making rules credible: divided government and political budget cycles

Political budget cycles (PBCs) can result from the credibility problems office-motivated incumbents face under asymmetric information, due to the temptation to manipulate fiscal policy to increase their electoral chances. We analyze the role of rules that limit public debt, because borrowing is a necessary condition for aggregate PBCs. Since the legislature must typically authorize new debt, divided government can make these fiscal rules credible. Commitment is undermined by either unified government or imperfect compliance with the budget law, which can help explain why PBCs are stronger in developing countries and in new democracies. When divided government affects efficiency, voters must trade off electoral distortions and government competence.     

The personal vote and voter turnout

The level of electoral turnout is arguably the most widely monitored form of electoral participation. Consequently, electoral systems have often been cited as having a significant effect on turnout levels even though scholars do not agree on the effects of these complex institutions. Since most previous studies have relied on categorical or dichotomous electoral system indicators, this study utilizes Carey and Shugart’s personal vote index to gain theoretical leverage on other electoral system components. In short, I find that where electoral competition is predicated on party, rather than candidates’, reputations, turnout levels rise. The results of a time-series cross-sectional analysis reveal that the personal vote index significantly influences turnout levels even when controlling for a host of other factors.     

Two-round elections, one-round determinants? Evidence from the French municipal elections

Using a new database of French municipalities that covers 821 towns and two elections (2001 and 2008), we examine how the budget structure, degree of electoral competition and the economic context affect the share of votes for the incumbent. We take into account the institutional details of the two-round structure of the electoral process created by French electoral rules (dual ballot under plurality rules). We show that in the first round of the electoral process, spending on equipment (including infrastructures) can influence the voter, and that electoral competition has a strong impact on the incumbent’s score. In the second round, the incumbent’s vote is affected more by national considerations and local budget variables have no effect. We show that the dynamics between the first and the second rounds are intense. The results suggest that the determinants of each round’s outcome in a two-round electoral process are different.     

Trust in elections,vote buying,and turnout in Latin America

Although national elections in Latin America are now described as reasonably free and fair by international observations teams, electoral processes are still affected by a series of malpractices (unequal access to the media and public resources, registration problems, vote buying). These irregularities negatively affect citizens' trust in elections. In this paper, we analyze the consequences of low trust in elections and exposure to vote buying practices on electoral participation in Latin America. Using data from the 2010 wave of LAPOP surveys, we find that perceiving that the election is unfair reduces the willingness to participate in national elections, but receiving material incentives during the campaign has the opposite effect of increasing electoral participation. We also show that the effect of trust in elections on turnout is larger in countries where voting is not mandatory.     

Multiparty electoral competition in the Netherlands and Germany: A model based on multinomial probit

A typical assumption of electoral models of party competition is that parties adopt policy positions so as to maximize expected vote share. Here we use Euro-barometer survey data and European elite-study data from 1979 for the Netherlands and Germany to construct a stochastic model of voter response, based on multinomial probit estimation. For each of these countries, we estimate a pure spatial electoral voting model and a joint spatial model. The latter model also includes individual voter and demographic characteristics. The pure spatial models for the two countries quite accurately described the electoral response as a stochastic function of party positions. We use these models to perform a thought experiment so as to estimate the expected vote maximizing party positions. We go on to propose a model of internal party decision-making based both on pre-election electoral estimation and post-election coalition bargaining. This model suggests why the various parties in the period in question did not adopt vote maximizing positions. We argue that maximizing expected vote will not, in general, be a rational party strategy in multiparty political systems which are based on proportional representation.     

Legislative budget cycles

Recent literature suggests that electoral budget cycles are a phenomenon of new rather than established democracies. What part of the democratization process explains the amelioration of the political budget cycle? We argue the answer lies (in part) in the development of a strong party system. We extend the classic Rogoff-Siebert model to show that political budget cycles are possible in a legislative context with rational voters. We then demonstrate that the development of a strong party system can restrain political budget cycles in a majoritarian electoral system. Finally, we follow prior work in using vote share volatility as a measure of the institutionalization of the party system. Using newly collected vote-share data for 433 elections for 90 democracies from 1980–2007, we calculate a measure of party institutionalization. We then use this data to demonstrate that institutionalized party systems are associated with mitigated political budget cycles, especially in majoritarian electoral systems.     

The Variable Incumbency Advantage: New Voters, Redistricting, and the Personal Vote

In this article we explore the personal vote costs of redistricting. After redistricting, incumbents often face significant numbers of new voters—voters that were previously in a different incumbent's district. Existing conceptualizations of the incumbency advantage suggest that the cost to incumbents of having new voters should be relatively small and predictable. We propose a different formulation: a variable incumbency advantage. We argue that any incumbency advantage among the electorate is a function of short-term effects, partisanship, and electoral saliency. We use a massive untapped dataset of neighborhood-level electoral data to test our model and to demonstrate how the intersection of the personal vote, redistricting, and short-term environmental variables can provide a healthy margin to incumbents—or end their careers.     

The Personal Vote and the Efficacy of Education Spending

In this article we explore the ways in which incentives to cultivate a personal vote affect the efficiency of education spending in developing democracies. We argue that where the electoral system provides incentives for political particularism, resources are allocated less efficiently and the effect of increased spending on literacy is diminished. We test our hypotheses using data on education spending and performance in over 40 developing democracies since 1980. We find that though personal vote systems spend just as much on education as party vote systems, particularism in personal vote systems dampens the marginal effect of increased education spending on illiteracy and at its highest levels, incentives to cultivate a personal vote completely undermine the positive effects of increased education spending on literacy.     

Budget Transparency, Fiscal Performance, and Political Turnout: An International Approach

This paper attempts, for the first time, to assess the relationships between budget transparency, fiscal situation, and political turnout using a comparative international approach. With this aim, the authors build a comprehensive index of budget transparency encompassing 40 budget features based on international standards for a sample of 41 countries. They find a positive relationship between national government fiscal balance and budget transparency: The more information the budget discloses, the less the politicians can use fiscal deficits to achieve opportunistic goals. The univariate analysis shows a positive relationship between political turnout and transparency. This result gives some evidence of a positive answer to the question raised by James Alt and David Dreyer Lassen: Does transparency affect political outcomes such as turnout? To some extent, that the more transparent the budget reports are, the more incentives people have to vote. With respect to three variables—transparency, government fiscal balance, and electoral turnout—three clusters of countries arise: low transparency–fiscal imbalance, low transparency–small fiscal imbalance and high transparency–fiscal surplus.     

Follow the Candidates,Not the Parties? Personal Vote in a Regional De-institutionalized Party System

This article analyses how personal vote shapes electoral competition and predicts electoral results in a regional de-institutionalized party system. After having analysed the connection between unpredictable political environment and personal vote, we build an original empirical model that explores preferential vote and patterns of re-candidacies and endorsements of the most voted candidates in the Calabrian regional elections. The analysis shows that leading candidates retain a more stable and predictable support over time with respect to parties and that candidates and their system of interactions are able to predict the electoral results better than parties and their alliances.     

Comparisons among electoral systems: Distinguishing between localism and candidate-centered politics

Carey and Shugart (1995) offer a four component composite index of “incentives to cultivate a personal vote.” We argue that this index, while tapping important aspects of electoral system choice, is best regarded as encompassing two distinct dimensions: degree of party-centeredness of the electoral system, on the one hand, and incentives for “parochial” behavior on the part of legislators, on the other. Also, while we have no problem with the three indicators used by Carey and Shugart to measure party-centeredness; to measure parochial incentives we prefer to use a new measure, E (Grofman, 1999a) of the size of a legislator's electoral constituency, rather than using district magnitude, m, as a proxy for a the size of a legislator's geographic constituency, as Carey and Shugart do. In the conclusion to the paper we argue that the degree of similarity between any two electoral systems will depend upon the research question at issue, and that the expected degree of proportionality of election results is only one of the many political consequences of electoral laws to which we ought to be paying attention.     

The price of personalizing politics: Political distrust and economic performance in Latin America, 1996–2006

While research has provided evidence that culture and institutional performance shape individual level trust in political institutions, scholars have neglected to adequately estimate the effect of political institutions and macroeconomic conditions on trust. Using data from the World Value Surveys for eleven Latin American cases, we test if countries with “partyizing” electoral systems - those with rules that encourage voters to hold the party, not individuals, accountable for government performance - experience lower levels of distrust in political parties and the legislature in times of poor economic conditions than those countries with “personalizing” electoral rules. Our analysis shows that the macro political and economic context largely conditions the impact of culture and institutional performance on political trust.     

Vote-seeking incentives and investment environments: The need for credit claiming and the provision of protectionism

Incentives to cultivate a personal reputation encourage legislators to generate policy outcomes for which they can claim credit. We show that these incentives make themselves felt in international agreements – a domain that might typically be considered within the purview of the executive branch. Through a cross-national analysis and brief case studies, we show that countries with electoral systems that encourage personal vote seeking are more likely to negotiate exceptions to treaties meant to liberalize their investment environments. Legislators benefit by being able to claim credit for having protected their constituents from the competition an unrestricted agreement would entail.     

Incentives to cultivate a personal vote: A rank ordering of electoral formulas

Seat allocation formulas affect candidates' incentives to campaign on a personal rather than party reputation. Variables that enhance personal vote-seeking include: (1) lack of party leadership control over access to and rank on ballots, (2) degree to which candidates are elected on individual votes independent of co-partisans, and (3) whether voters cast a single intra-party vote instead of multiple votes or a party-level vote. District magnitude has the unusual feature that, as it increases, the value of a personal reputation rises if the electoral formula itself fosters personal vote-seeking, but falls if the electoral formula fosters party reputation-seeking.     

The architecture of the Electoral College,the House size effect,and the referendum paradox

Using data from U.S. presidential elections, we show how seemingly insignificant changes to what we call the “architecture” of the Electoral College can cause different candidates to be elected President, even when no one changes how they vote. We consider varying the size of the House of Representatives, the method of apportionment, the number of “Senate” electoral votes cast by each state, and the lower bound on the number of “House” electoral votes cast by each state. We consider, in particular, elections with a “referendum paradox”. In these elections, the electoral vote winner is not the popular vote winner. Our work extends Neubauer and Zeitlin (2003) who analyzed the case of the 2000 election. We give an explanation for the effects that we observe in the data.     

Not always second order: Subnational elections,national-level vote intentions,and volatility spillovers in a multi-level electoral system

The widespread second-order view on subnational elections leaves little room for the idea that subnational election campaigns matter for national-level electoral preferences. I challenge this perspective and explore the context-conditional role of subnational election campaigns for national-level vote intentions in multi-level systems. Campaigns direct citizens’ attention to the political and economic “fundamentals” that determine their electoral preferences. Subnational election campaigns and the major campaign issues receive nation-wide media coverage. This induces all citizens in a country to evaluate parties at the national level even if they themselves are not eligible to vote in the upcoming subnational election. Thereby, subnational election campaigns may lead to a reduction in the uncertainty of voters’ national-level electoral preferences throughout the country, which is reflected by a decrease in the volatility of national-level vote intentions. I explore weekly vote intention data from Germany (1992–2007) within a conditional volatility model. Subnational elections reduce uncertainty in nation-wide federal-level vote intentions for major parties. However, patterns of incumbency and coalitional shifts moderate this volatility-reducing effect.     

Personal vote‐seeking in flexible list systems: How electoral incentives shape Belgian MPs' bill initiation behaviour

It is well known that different types of electoral systems create different incentives to cultivate a personal vote and that there may be variation in intra‐party competition within an electoral system. This article demonstrates that flexible list systems – where voters can choose to cast a vote for the list as ordered by the party or express preference votes for candidates – create another type of variation in personal vote‐seeking incentives within the system. This variation arises because the flexibility of party‐in‐a‐district lists results from voters' actual inclination to use preference votes and the formal weight of preference votes in changing the original list order. Hypotheses are tested which are linked to this logic for the case of Belgium, where party‐in‐a‐district constituencies vary in their use of preference votes and the electoral reform of 2001 adds interesting institutional variation in the formal impact of preference votes on intra‐party seat allocation. Since formal rules grant Belgian MPs considerable leeway in terms of bill initiation, personal vote‐seeking strategies are inferred by examining the use of legislative activity as signalling tool in the period between 1999 and 2007. The results establish that personal vote‐seeking incentives vary with the extent to which voters use preference votes and that this variable interacts with the weight of preference votes as defined by institutional rules. In addition, the article confirms the effect of intra‐party competition on personal vote‐seeking incentives and illustrates that such incentives can underlie the initiation of private members bills in a European parliamentary system.     

Do barriers to candidacy reduce political competition? Evidence from a bachelor’s degree requirement for legislators in Pakistan

In the 2002 election, candidates for Pakistan’s federal legislature had to possess at least a bachelor’s degree. This policy disqualified 60 out of the 207 incumbent legislators from running for election again. Using a difference-in-differences approach with panel data on all electoral constituencies in Pakistan, I find that this ballot access restriction does not affect political competition across all constituencies with disqualified incumbents equally. Stronger political competition is defined as a larger number of candidates contesting election, a smaller vote share and vote margin for the winning candidate, and a less concentrated candidate field, as measured by a Herfindahl–Hirschman index (HHI) of vote shares. Competition declined significantly in constituencies where the disqualified incumbent belonged to a small party and where literacy levels were lower (signifying a smaller pool of substitute candidates). However, political competition increased in areas where the disqualified incumbent was stronger in terms of his winning vote margin.