Hostname: page-component-586b7cd67f-dlnhk Total loading time: 0 Render date: 2024-11-27T20:25:59.047Z Has data issue: false hasContentIssue false

Checks or Toothless Tigers? Powers and Incentives of External Officeholders to Constrain the Cabinet in 25 European Democracies

Published online by Cambridge University Press:  02 January 2013

Abstract

Under what conditions and to what extent do external officeholders in parliamentary democracies constrain the cabinet's freedom of action? The article argues that we must analyse both institutional powers and officeholders’ incentives to use them to obtain an unbiased estimate of the expected constraint. It measures the incentives dimension via the selection method of external officeholders and develops an index to capture the likelihood that such officeholders hold preferences deviant from those of the cabinet. Analysing original data on four external constraint institutions in 25 European democracies, the article shows major variation in the incentives to constrain the cabinet across both offices and countries. Furthermore, it demonstrates that institutional powers and incentives for their use are empirically largely independent dimensions.

Type
Articles
Copyright
Copyright © The Author(s) 2012.

Access options

Get access to the full version of this content by using one of the access options below. (Log in options will check for institutional or personal access. Content may require purchase if you do not have access.)

References

2 Stone, Alec, The Birth of Judicial Politics in France, Oxford, Oxford University Press, 1992.Google Scholar

3 Auditor General of Canada, Report of the Auditor General of Canada to the House of Commons, Ottawa, Office of the Auditor General of Canada, 2003, available at http://www.oag-bvg.gc.ca/internet/English/parl_oag_200311_e_1126.html (accessed 16 June 2012);Google Scholar Clarke, Harold D., Kornberg, Allan, Scotto, Thomas and Twyman, Joe, ‘Flawless Campaign, Fragile Victory: Voting in Canada's 2006 Federal Election’, PS: Political Science and Politics, 39: 4 (2006), pp. 815819.Google Scholar

4 Strøm, Kaare, ‘Parliamentary Democracy and Delegation’, in Strøm, Kaare, Müller, Wolfgang C. and Bergman, Torbjörn (eds), Delegation and Accountability in Parliamentary Democracies, Oxford, Oxford University Press, 2003, pp. 55106.CrossRefGoogle Scholar

5 Tsebelis, George, Veto Players, Princeton, Princeton University Press, 2002.CrossRefGoogle Scholar

7 Strøm, , ‘Parliamentary Democracy and Delegation’. I do not discuss Strøm's fourth type (‘decisive players’) because it is rarely found in parliamentary democracies.Google Scholar

8 E.g. Sweet, Alec Stone, Governing with Judges, Oxford, Oxford University Press, 2000;CrossRefGoogle Scholar Neal Tate, C. and Vallinder, Torbjörn (eds), The Global Expansion of Judicial Power, New York, New York University Press, 1995;Google Scholar on the limits of judicialization, see Hönnige, Christoph, ‘The Electoral Connection: How the Pivotal Judge Affects Oppositional Success at European Constitutional Courts’, West European Politics, 32: 5 (2009), pp. 963984;CrossRefGoogle Scholar Vanberg, Georg, ‘Legislative–Judicial Relations: A Game-theoretic Approach to Constitutional Review’, American Journal of Political Science, 45: 2 (2001), pp. 346361.CrossRefGoogle Scholar

9 For reviews, see Alt, James E., ‘Comparative Political Economy Credibility, Accountability, and Institutions’, in Katznelson, Ira and Milner, Helen V. (eds), Political Science, New York, W.W. Norton, 2002, pp. 147171;Google Scholar Cukierman, Alex, ‘Central Bank Independence and Monetary Policymaking Institution: Past, Present and Future’, European Journal of Political Economy, 24: 4 (2008), pp. 722736.CrossRefGoogle Scholar

10 Gilardi, Fabrizio, ‘Delegation to Independent Regulatory Agencies in Western Europe: Credibility, Political Uncertainty, and Diffusion’, in Braun, Dietmar and Gilardi, Fabrizio (eds), Delegation in Contemporary Democracies, London, Routledge, 2006, pp. 125145.Google Scholar

11 Lijphart, Arend, Patterns of Democracy, New Haven, CT, Yale University Press, 1999, ch. 1516.Google Scholar

12 Tsebelis, , Veto Players.CrossRefGoogle Scholar

13 Strøm, Kaare, Müller, Wolfgang C. and Bergman, Torbjörn (eds), Delegation and Accountability in Parliamentary Democracies, Oxford, Oxford University Press, 2003; for PA accounts of CIs,CrossRefGoogle Scholar see also West European Politics, special issue on ‘The Politics of Delegation: Non-majoritarian Institutions in Europe’, ed. Mark Thatcher and Alec Stone Sweet, 25: 1 (2002).Google Scholar

14 Huber, Evelyne, Ragin, Charles and Stephens, John D., ‘Social Democracy, Christian Democracy, Constitutional Structure and the Welfare State’, American Journal of Sociology, 99: 3 (1993), pp. 711749;CrossRefGoogle Scholar Kaiser, André, ‘Types of Democracy: From Classical to New Institutionalism’, Journal of Theoretical Politics, 9: 4 (1997), pp. 419444;CrossRefGoogle Scholar Schmidt, Manfred G., Demokratietheorien, 4th edn, Wiesbaden, VS Verlag für Sozialwissenschaften, 2008.Google Scholar

15 Huber, et al., ‘Social Democracy, Christian Democracy, Constitutional Structure and the Welfare State’.Google Scholar

16 E.g. Lijphart, , Patterns of Democracy;Google Scholar Strøm, et al., Delegation and Accountability in Parliamentary Democracies;Google Scholar Smithey, Shannon Ishiyama and Ishiyama, John, ‘Judicious Choices: Designing Courts in Post-Communist Politics’, Communist and Post-Communist Studies, 33: 2 (2000), pp. 163182;CrossRefGoogle Scholar Cukierman, Alex, Webb, Steven B. and Neyapti, Bilin, ‘Measuring the Independence of Central Banks and its Effect on Policy Outcomes’, World Bank Economic Review, 6: 3 (1992), pp. 353398;CrossRefGoogle Scholar Grilli, Vittorio, Masciandaro, Donato and Tabellini, Guido, ‘Political and Monetary Institutions and Public Financial Policies in the Industrial Countries’, Economic Policy, 6: 2 (1991), pp. 342–92.CrossRefGoogle Scholar

17 Tsebelis, , Veto Players, p. 28.Google Scholar

18 Established measures of the power of central banks include independence from outside interference, which touches upon these incentives. However, elements of the incentives dimension are not treated as conceptually distinct and are simply combined with institutional powers in an additive index. Henisz's index includes the preferences of heads of state as one potential CI;Google Scholar Henisz, Witold Jerzy, ‘The Institutional Environment for Economic Growth’, Economics and Politics, 12: 1 (2000), pp. 131.CrossRefGoogle Scholar

19 For Supreme Court justices, see Segal, Jeffrey A. and Cover, Albert D., ‘Ideological Values and the Votes of U.S. Supreme Court Justices’, American Political Science Review, 83: 2 (1989), pp. 557565;CrossRefGoogle Scholar for members of the Federal Reserve, see Chang, Kelly H., ‘The President Versus the Senate: Appointments in the American System of Separated Powers and the Federal Reserve’, Journal of Law, Economics, and Organization, 17: 2 (2001), pp. 319355.CrossRefGoogle Scholar

20 Henisz, , ‘The Institutional Environment for Economic Growth’;Google Scholar Schleiter, Petra and Morgan-Jones, Edward, ‘Party Government in Europe? Parliamentary and Semi-Presidential Democracies Compared’, European Journal of Political Research, 48: 5 (2009), pp. 665693.CrossRefGoogle Scholar

21 Hönnige, , ‘The Electoral Connection’;Google Scholar Magalhães, Pedro C., ‘The Limits to Judicialization’, PhD disssertation, Ohio State University Department of Political Science, 2003.Google Scholar

22 Fearon, James D., ‘Electoral Accountability and the Control of Politicians: Selecting Good Types Versus Sanctioning Poor Performance’, in Przeworski, Adam, Stokes, Susan C. and Manin, Bernard (eds), Democracy, Accountability, and Representation, Cambridge, Cambridge University Press, 1999, pp. 5597.CrossRefGoogle Scholar A fuller development of my theoretical argument in the context of principal–agent theory is presented in Sieberer, Ulrich, Parlamente als Wahlorgane. Parlamentarische Wahlbefugnisse und ihre Nutzung in 25 europäischen Demokratien, Baden-Baden, Nomos, 2010;Google Scholar and in Sieberer, Ulrich, ‘The Institutional Power of Western European Parliaments: A Multidimensional Analysis’, West European Politics, 34: 4 (2011), pp. 731754.CrossRefGoogle Scholar

23 Bendor, Jonathan, Glazer, Amihai and Hammond, Thomas H., ‘Theories of Delegation’, Annual Review of Political Science, 4 (2001), pp. 235269.CrossRefGoogle Scholar

24 On the USA, see Epstein, Lee and Segal, Jeffrey A., Advice and Consent, Oxford, Oxford University Press, 2005;Google Scholar on France and Germany, see Hönnige, , ‘The Electoral Connection’;Google Scholar on Portugal and Spain, see Magalhães, , ‘The Limits to Judicialization’.Google Scholar

25 I develop this argument more fully in a simple formal model in Sieberer, , Parlamente als Wahlorgane, appendix A.CrossRefGoogle Scholar

26 Lupia, Arthur and McCubbins, Mathew D., The Democratic Dilemma, Cambridge, Cambridge University Press, 1998.Google Scholar

27 A fourth method is popular election, used to elect heads of state in semi-presidential systems. However, this method is not relevant for the CIs analysed in this article.Google Scholar

28 I focus on the lower chamber to which the cabinet is responsible. To ensure comparability I only analyse the Chamber of Deputies in Italy, even though the cabinet is responsible to both the Chamber and the Senate.Google Scholar

29 Romer, Thomas and Rosenthal, Howard, ‘Political Resource-Allocation, Controlled Agendas, and the Status Quo’, Public Choice, 33: 4 (1978), pp. 2744. The status quo can be conceptualized as the position of the incumbent who often remains in office until a successor is selected, or, for collegial institutions, as the median of the remaining members.CrossRefGoogle Scholar

30 Downs, Anthony, An Economic Theory of Democracy, New York, Harper & Row, 1957.Google Scholar

31 Downs, , An Economic Theory of Democracy, p. 122;Google Scholar for details, see Sieberer, , Parlamente als Wahlorgane, ch. 3.CrossRefGoogle Scholar

32 Huber, John D., ‘The Vote of Confidence in Parliamentary Democracies’, American Political Science Review, 90: 2 (1996), pp. 269282.CrossRefGoogle Scholar

33 An index based on the alterative ordering of the two variables (AM3<AM2<AM1<CEM3<CEM2<CEM1) is highly correlated with the one I use (r = 0.93; p = 0.000; N = 78).Google Scholar

34 Minorities within cabinet parties can hold preferences diverging from those of ‘their’ cabinet members for two reasons. First, cabinet members develop office-related preferences and may be ‘captured’ by their respective departments; see Rudy B. Andeweg, ‘Ministers as Double Agents? The Delegation Process Between Cabinet and Ministers’, European Journal of Political Research, 37: 3 (2000), pp. 377395. Second, some factions within the parliamentary party group may not be represented in the cabinet, especially in small cabinet parties that hold few portfolios.CrossRefGoogle Scholar

35 Saalfeld, Thomas, ‘On Dogs and Whips: Recorded Votes’, in Döring, Herbert (ed.), Parliaments and Majority Rule in Western Europe, Frankfurt, Campus, 1995, pp. 528565.Google Scholar

36 Sieberer, Ulrich, ‘Party Unity in Parliamentary Democracies: A Comparative Analysis’, Journal of Legislative Studies, 12: 2 (2006), pp. 150178.CrossRefGoogle Scholar

37 These values give the three variables approximately equal impact on the rank ordering of the index scores. Among the four highest and lowest scores we find variation in all variables. Coding the majority requirement as 1; 2; 3 leads to very similar results (r = 0.96; p = 0.000; N = 78).Google Scholar

38 Using an additive link instead leads to very similar results (r = 0.92; p = 0.000; N = 78).Google Scholar

39 Using values of 0.25 or 0.50 instead leads to virtually identical results (r = 0.99; p = 0.000; N = 78).Google Scholar

40 The empirical analysis excludes heads of state, to whom I sometimes refer in the theoretical discussion, because the literature provides more nuanced measures of their incentives to constrain the cabinet based on the partisanship of the president compared to the cabinet;Google Scholar see Henisz, , ‘The Institutional Environment for Economic Growth’;Google Scholar Schleiter, and Morgan-Jones, , ‘Party Government in Europe?’.Google Scholar

41 Strøm, , ‘Parliamentary Democracy and Delegation’.Google Scholar

42 Under the EMU, national central banks must cooperate with each other in the Council of the European Central Bank (ECB). However, they can act without interference from other national actors. I focus on heads of central banks because of their exalted positions as members of the Council of the ECB and because the role of other decision-making bodies such as boards of central banks differ substantially between countries.Google Scholar

43 Bundesrechnungshof, Bemerkungen 2009 zur Haushalts- und Wirtschaftsführung des Bundes, Bonn, Bundesrechnungshof, 2009.Google Scholar

44 Miller, Bernhard, ‘Der Ombudsman. Ein Instrument der Verwaltungskontrolle im Vergleich von 36 Ländern’, MA dissertation, University of Mannheim Department of Political Science, 2004.Google Scholar

45 For details see Miller, , ‘Der Ombudsman’.Google Scholar

46 Hertogh, Marc, ‘Coercion, Cooperation, and Control: Understanding the Policy Impact of Administrative Courts and the Ombudsman in the Netherlands’, Law and Policy, 23: 1 (2001), pp. 4767.CrossRefGoogle Scholar

47 Widder, Helmut, ‘Rechnungshof und Volksanwaltschaft’, in Dachs, Herbert, Gerlich, Peter, Gottweis, Herbert, Kramer, Helmut, Lauber, Volkmar, Müller, Wolfgang C. and Tálos, Emmerich (eds), Politik in Österreich, Vienna, Manz, pp. 232246.Google Scholar

48 Magnette, Paul, ‘Between Parliamentary Control and the Rule of Law: The Political Role of the Ombudsman in the European Union’, Journal of European Public Policy, 10: 5 (2003), pp. 677694.CrossRefGoogle Scholar

49 See Sieberer, , Parlamente als Wahlorgane, appendix C for details.CrossRefGoogle Scholar

50 The mean cannot be calculated because some officeholders are not elected for a fixed term but for life or until a fixed retirement age.Google Scholar

51 Kaiser, André, ‘Alternanz und Inklusion. Zur Repräsentation politischer Präferenzen in den westeuropäischen Demokratien, 1950–2000’, in Kaiser, André and Zittel, Thomas (eds), Demokratietheorie und Demokratieentwicklung, Wiesbaden, VS Verlag für Sozialwissenschaften, 2004, pp. 173196.CrossRefGoogle Scholar

52 Ishiyama Smithey and Ishiyama, ‘Judicious Choices’. I coded the Western European countries based on information from the relevant legal norms and data in Christoph Hönnige, Verfassungsgericht, Regierung und Opposition, Wiesbaden, VS Verlag für Sozialwissenschaften, 2007. Luxemburg and Malta are excluded due to missing data.Google Scholar

53 Grilli, et al., ‘Political and Monetary Institutions and Public Financial Policies’.Google Scholar

54 Arnone, Marco, Laurens, Bernard J. and Segalotto, Jean-Francois, ‘Measures of Central Bank Autonomy: Empirical Evidence for OECD, Developing, and Emerging Market Economies’, IMF Working Papers, 06/2228 (2006);Google Scholar Maliszewski, Wojciech S., ‘Central Bank Independence in Transition Economies’, Economics of Transition, 8: 3 (2000), pp. 749789. The selection of the governor is removed from the index because conceptually it belongs to the incentives dimension. In addition, I delete the modifications suggested by Maliszewski to ensure comparability of the data.CrossRefGoogle Scholar

55 Miller, , ‘Der Ombudsman’;Google Scholar Lijphart, , Patterns of Democracy.Google Scholar

56 National Audit Office, State Audit in the European Union, London, National Audit Office, 2005, pp. 1014.Google ScholarPubMed

57 The institutional powers of the four CIs cannot be put on a common scale because we lack a comparative measure of their political relevance. The separate analysis for each CI produces samples between 12 and 24. These small samples lead to rather high statistical uncertainty of the conclusions and make customary levels of significance hard to reach.Google Scholar

58 The theoretical ranges of the scales are not fully covered empirically, especially for central banks where the measure was designed for global analysis. My focus on liberal democracies compresses the range of observed values considerably. Future research could try to develop new measures to capture finer differences in the powers dimension.Google Scholar

59 The correlation coefficients are r = 0.03 (constitutional judges), r = −0.53 (heads of central banks), r = −0.22 (heads of audit institutions) and r = 0.56 (ombudsmen).Google Scholar

60 For a review see Cukierman, , ‘Central Bank Independence and Monetary Policymaking Institution’.Google Scholar

61 Adolph, Christopher A., Bankers, Bureaucrats, and Central Bank Politics: The Myth of Neutrality, Cambridge, Cambridge University Press, 2012.Google Scholar

62 For example, compare Lijphart, Patterns of Democracy and Armingeon, Klaus, ‘The Effects of Negotiation Democracy: A Comparative Analysis’, European Journal of Political Research, 41: 1 (2002), pp. 81105.CrossRefGoogle Scholar

63 Sieberer, Ulrich, Müller, Wolfgang C. and Heller, Maiko I., ‘Reforming the Rules of the Parliamentary Game: Measuring and Explaining Changes in Parliamentary Rules in Austria, Germany, and Switzerland, 1945–2010’, West European Politics, 34: 5 (2011), pp. 948975.CrossRefGoogle Scholar