The Law of Legislative Representation

Law has much to say about the practice of legislative representation. Legal rules from different substantive domains collectively determine the landscape in which legislators act. Most obviously, the law of democracy—the law regulating elections, redistricting, and money in politics—shapes the incentives that legislators face and the sorts of representation that they provide once in office. But so too does the law that governs legislative organization and procedure. Congress and other legislatures are governed by rich bodies of internal rules, many of which receive little attention from either the public or legal scholars. These internal rules can empower or constrain legislators. By the same token, they can empower or constrain those that seek to influence how legislators behave, such as party leaders and interest groups.

This Article examines how law shapes representation. It takes a legislator’s point of view of public law, looking to how law shapes legislators’ choices and incentives. In taking this approach, the Article makes three principal contributions. First, it shows how the law of legislative representation is pluralist. Rather than unequivocally pointing legislators toward one type of representation or another, the law enables and encourages legislative responsiveness to each of three groups: constituents, interest groups, and party leaders. The law gives each of these groups distinct tools for exerting influence over legislative behavior, but it does not institutionalize the primacy of any one of them. Second, fully understanding representation requires focusing on internal legislative organization and procedure. Those topics can be just as consequential for American democracy as more familiar constitutional law and law of democracy topics. Centering legislative organization and procedure reveals powerful possible levers of congressional reform. Such creative approaches are especially important given the constitutional and political hurdles that stand in the way of many reforms to the law of democracy. Third, a detailed descriptive account of political institutions and legal rules should be part of our normative theorizing about representation. Because representation is a construct of law, understanding how it operates—and how it should operate—requires close attention to legal rules.

Introduction

Legislators face many choices. Should they do what is best for their constituents or the nation as a whole? When should they be responsive to pressure from interest groups? When should they be loyal to their political parties? How should they mediate between the conflicting demands that they face?

It might seem that law has little to say about these dilemmas. Constitutional law focuses on the structure and power of Congress as a whole, but not on individual legislators.1.See U.S. Const. art. I; see also Daniel A. Farber, William N. Eskridge, Jr., Philip P. Frickey & Jane S. Schacter, Cases and Materials on Constitutional Law 865–1078 (6th ed. 2019).Show More The statutes and cameral rules that dictate how legislative chambers operate set out procedures for lawmaking, but they do not expressly instruct members how to act.2.See generally Barbara Sinclair, Unorthodox Lawmaking: New Legislative Processes in the U.S. Congress (5th ed. 2017); Walter J. Oleszek, Mark J. Oleszek, Elizabeth Rybicki & Bill Heniff, Jr., Congressional Procedures and the Policy Process (10th ed. 2016).Show More And political science research on legislative behavior typically focuses on the goals that legislators pursue—most notably reelection, but also other goals3.The canonical account “conjure[s] up a vision of United States congressmen as single-minded seekers of reelection” and argues that such a vision “fits political reality rather well.” David R. Mayhew, Congress: The Electoral Connection 5, 6 (1974). See also Richard F. Fenno, Jr., Congressmen in Committees 1 (1973) (describing House members’ goals as “re-election, influence within the House, and good public policy”).Show More—in a way that is not directly tied to law.

But legislators, like all of us, act in the shadow of the law.4.Cf. Robert H. Mnookin & Lewis Kornhauser, Bargaining in the Shadow of the Law: The Case of Divorce, 88 Yale L.J. 950 (1979).Show More Legal rules, doctrines, and institutional structures establish the landscape in which legislators act.5.This Article uses the term “rules” broadly to include legal rules from sources as diverse as constitutional provisions, statutes, cameral rules, judicial doctrines, and parliamentary precedents.Show More Law determines what courses of action are permitted and forbidden to legislators. It dictates which approaches to representation will be easier and which will be more difficult in practice. A focus on legislators’ goals alone therefore only tells part of the story of legislative behavior. A fuller understanding of legislative representation requires observing how law creates the environment in which legislators pursue their goals. To put the point simply, law shapes representation.

Scholars of the law of democracy know this well. Election law, redistricting law, and campaign finance law matter precisely because law shapes representation. Legislators need to be responsive to their primary constituencies, which can pull them away from advocating for the preferences or interests of their electorate’s median voter.6.See infra Subsection II.A.3.Show More Legal rules dictate the size, shape, and demographic composition of districts, which in turn affect the representation that legislators provide.7.See infra Subsection II.A.4.Show More Legislators receiving campaign contributions from outside their districts might at times be more responsive to non-constituent donors than to their constituents.8.See infra Section II.B.Show More And so forth.

But another, much less examined body of law matters as well: the law governing how legislatures organize themselves, how the legislative process is structured, and how members may or may not behave while in office. The law of democracy literature has not traditionally encompassed these topics.9.The leading law of democracy casebook does not cover internal legislative dynamics. See Samuel Issacharoff, Pamela S. Karlan, Richard H. Pildes & Nathaniel Persily, The Law of Democracy: Legal Structure of the Political Process (5th ed. 2016).Show More To better understand legislative decision making, however, the law governing how legislatures operate is necessarily a part of the story. Consider the following examples:

  • A senator wishes to vote contrary to her party’s position on a high-profile issue because the party line runs counter to the preferences and interests of her constituents. The senator votes with her party, however, because party leaders threaten to strip her of a powerful committee chairmanship if she defects.10 10.See infra Section III.C.Show More
  • A House member committed to representing his constituency must vote on a foreign aid bill with no obvious effect on his constituents and about which his constituents do not have a clear preference. He attempts to introduce an amendment to give the bill local relevance, but the amendment is barred as not germane under House rules.11 11.See infra Subsection III.A.1.Show More
  • A senator wishes to achieve a policy outcome favored by her constituents or by a key interest group within her state, but which an overwhelming majority of the Senate opposes. Despite being outnumbered, the senator places a “hold” on legislation that is a priority for her party and refuses to drop the hold until her demands are met.12 12.See infra Subsection III.A.2.Show More
  • A state legislator is trying to decide how to vote on a highly technical bill, which requires economic and scientific expertise in order to be fully understood. The legislator serves in a chamber with little staffing capacity, however, and the only information that he can find about the bill’s likely impacts comes from an industry source with a strong financial interest in the bill.13 13.See infra Subsection III.B.3.Show More As a result, the legislator must cast his vote based on incomplete or biased information.

These examples show that whoever legislators are trying to represent, they do so within a rich institutional context. Some rules, like House germaneness requirements, constrain what rank-and-file legislators may do. Others, like Senate holds, empower legislators. Still others, like rules enabling party leaders to strip committee chairmanships, shape the various pressures legislators face. Even rules which expand or diminish legislative capacity shape responsiveness, though in more subtle ways. In each case, legislative organization helps determine how legislators behave.

This Article examines how law shapes representation. It takes a legislator’s point of view of public law, looking to how law shapes legislators’ choices and incentives. In so doing, it devotes equal time to familiar law of democracy topics and to less familiar issues of legislative organization. It considers a sampling of the many different sorts of legal rules that create the environment in which legislators act. Some of the rules that the Article discusses are formally part of constitutional law, grounded in constitutional text and precedent. Most are part of the small-“c” constitution: the “set of rules and norms and institutions that guide the process of government.”14 14.Richard Primus, Unbundling Constitutionality, 80 U. Chi. L. Rev. 1079, 1127 (2013); see also A.V. Dicey, The Law of the Constitution 20 (J.W.F. Allison ed., 2013) (“[Constitutional law] includes (among other things) all rules which define the members of the sovereign power, all rules which regulate the relation of such members to each other, or which determine the mode in which the sovereign power, or the members thereof, exercise their authority.”).Show More

In taking this approach, this Article makes three principal contributions. It shows how the law of legislative representation is pluralist, pulling legislators in competing directions. It centers the role of legislative organization, arguing that reforms to a legislature’s internal operations can at times serve as alternate means of achieving the same goals sought by proponents of electoral reforms. And it contends that theorists of representation cannot fully understand that concept without attending to the ways in which it is constructed by law.

First, this Article’s analysis shows that both the law of democracy and legislative organization are pluralist about representation. Elements of each area of law pull legislators in competing directions. Rather than pointing legislators toward one type of representation or another, the law enables and encourages legislative responsiveness to each of three groups: constituents, interest groups, and party leaders.15 15.The groups are conceptually distinct, so this Article largely considers them separately. But they can overlap in practice: many constituents are also loyal partisans, many constituents are also active members of interest groups (either centered within or outside of the constituency), and interest groups play a key role in constituting and supporting political parties.Show More These groups each have the ability to reward or punish legislators. Knowing this, legislators have incentives to attend to the preferences and interests of each. On any given issue, understanding why a legislator behaves as they do often requires looking to their constituents, to relevant interest groups, and to party leaders. Pluralist approaches to legislative representation have long existed in political theory; this Article argues that U.S. law likewise takes a pluralist approach to representation.16 16.See infra Section I.C.Show More

This pluralism is not only a theoretical way of understanding representation; it also provides insight on possible reforms. Consider the frequent criticism that Congress and state legislatures are overly responsive to corporate interests or the wealthy.17 17.See infra note 25 and accompanying text.Show More The most obvious way to reduce the power of these interests is to do so directly, hence well-known proposals for campaign finance reform.18 18.See, e.g., Richard L. Hasen, Plutocrats United: Campaign Money, the Supreme Court, and the Distortion of American Elections (2016); Lawrence Lessig, Republic, Lost: How Money Corrupts Congress—and a Plan to Stop It (2011).Show More This Article’s analysis suggests an additional possible approach: seeking to reduce corporate power indirectly, through better empowering constituents or party leaders. The theory behind this approach is that, because different groups compete for the limited attention of legislators, empowering some groups (such as constituents or party leaders) can reduce the influence of others (here, certain interest groups). The choice between direct and indirect approaches to reducing corporate power will turn on many factors—some legal, some political, some practical. But attending to law’s pluralism can reveal levers of reform that may not be evident at first glance.19 19.See infra Section IV.B.Show More

Second, the Article shows how fully understanding representation requires focusing on internal legislative organization and procedure. Those topics can be just as consequential for American democracy as more familiar constitutional law and law of democracy topics. Moreover, the same analytic tools that have long been applied in the law of democracy context can be applied to analyze how legislative organization and procedure matter for representation. Rules internal to how legislative bodies operate can either strengthen or attenuate legislators’ responsiveness to their constituents, to interest groups, and to party leaders. As such, legislative organization and procedure should be studied alongside the law of democracy.

A key implication of this insight is that changes to legislative organization and procedure can sometimes be a substitute for changes in traditional law of democracy areas. Reformers have long sought to change how representation operates through changes to voting, redistricting, or campaign finance rules. In some cases, similar shifts in responsiveness could be achieved by making changes to legislative organization and procedure instead. To be sure, changes in internal legislative operations are not a perfect substitute for reform to the law of democracy, which is often (and rightly) viewed as required by principles of political equality. But reform to legislative procedure holds significant promise as a vehicle for achieving some of the ends sought by law of democracy reformers.

Consider again the example of corporate power. The most widely known proposals to restrict corporate power involve changes to campaign finance laws. Even if reform to campaign finance law would reduce legislators’ responsiveness to corporate interests, changes in that area of law require the passage of new legislation and would have to withstand judicial review by a Supreme Court that has consistently struck down such regulation.20 20.See infra note 319 and accompanying text.Show More But, even absent campaign finance reform, each chamber of Congress has tools that it could deploy to seek to reduce corporate power. Even modest changes to lobbying regulations, transparency rules, revolving door rules, or congressional capacity could advance some of the goals sought by campaign finance reformers. Such internal changes might reasonably be viewed as second-best solutions, relative to directly reforming campaign finance law. But the difficulty of changing the law in that area warrants allocating more reformist attention to organizational and procedural reforms.21 21.See infra Section IV.B.Show More

Third, this Article argues that a detailed descriptive account of political institutions and legal rules should be part of our normative theorizing about representation. Political theorists have developed rich accounts of legislative representation and legislators’ duties.22 22.See, e.g., Hanna Fenichel Pitkin, The Concept of Representation (1967); Bernard Manin, The Principles of Representative Government (1997); Andrew Sabl, Ruling Passions: Political Offices and Democratic Ethics (2002); Nadia Urbinati, Representative Democracy: Principles and Genealogy (2006); Suzanne Dovi, The Good Representative (2007); Jane Mansbridge, Rethinking Representation, 97 Am. Pol. Sci. Rev. 515 (2003); Andrew Rehfeld, Representation Rethought: On Trustees, Delegates, and Gyroscopes in the Study of Political Representation and Democracy, 103 Am. Pol. Sci. Rev. 214 (2009); Jane Mansbridge, Clarifying the Concept of Representation, 105 Am. Pol. Sci. Rev. 621 (2011); Andrew Rehfeld, The Concepts of Representation, 105 Am. Pol. Sci. Rev. 631 (2011).Show More Legal scholars have likewise considered legislators’ duties, with recent work arguing that legislators have obligations to act in accordance with the Constitution, to promote good governance, to abide by principles of justice, and to advance the national interest.23 23.See, e.g., Paul Brest, The Conscientious Legislator’s Guide to Constitutional Interpretation, 27 Stan. L. Rev. 585 (1975); Vicki C. Jackson, Pro-Constitutional Representation: Comparing the Role Obligations of Judges and Elected Representatives in Constitutional Democracy, 57 Wm. & Mary L. Rev. 1717 (2016); Neil S. Siegel, After the Trump Era: A Constitutional Role Morality for Presidents and Members of Congress, 107 Geo. L.J. 109 (2018).Show More The arguments for the existence and importance of these duties are often persuasive. This Article seeks to supplement existing work by emphasizing the importance of rules in structuring how legislators behave, and thus whether and how they fulfill whatever duties they have. In particular, its focus on constituents, interest groups, and parties trains our attention on the actors who can plausibly induce legislators to fulfill—or violate—their duties. Most generally, this Article seeks to heed political theorists’ calls for greater sensitivity to institutional arrangements as a part of normative theorizing.24 24.See infra notes 321–22 and accompanying text.Show More

My discussion of pluralism should not be taken as an endorsement of how Congress or any other legislature operates in practice. Even if a pluralist account of legislative representation is sound as a matter of theory, and even if the law instantiates that pluralist approach at a high level of generality, the devil is in the details. And there is significant evidence that the practice of representation today is vastly unequal. Political scientists have documented significant capture of the federal and state legislative processes by corporate interests and the wealthy.25 25.There is voluminous literature on the degree and mechanisms of these groups’ influence. See, e.g., Larry M. Bartels, Unequal Democracy: The Political Economy of the New Gilded Age (2016); Martin Gilens, Affluence and Influence: Economic Inequality and Political Power in America (2012); Jacob S. Hacker & Paul Pierson, Winner-Take-All Politics: How Washington Made the Rich Richer—and Turned Its Back on the Middle Class (2010); Alexander Hertel-Fernandez, State Capture: How Conservative Activists, Big Businesses, and Wealthy Donors Reshaped the American States—and the Nation (2019); Kay Lehman Schlozman, Sidney Verba & Henry E. Brady, The Unheavenly Chorus: Unequal Political Voice and the Broken Promise of American Democracy (2012); Benjamin I. Page, Jason Seawright & Matthew J. Lacombe, Billionaires and Stealth Politics (2018).For dissenting views of some of this literature, see. e.g., Peter K. Enns, Relative Policy Support and Coincidental Representation, 13 Persps. on Pol. 1053, 1054 (2015) (“I show theoretically and empirically that even on those issues where the preferences of the wealthy and the median diverge . . . policy can (and does) end up about where we would expect if policymakers followed the economic median and ignored the affluent.”); Jeffrey R. Lax, Justin H. Phillips & Adam Zelizer, The Party or the Purse? Unequal Representation in the U.S. Senate, 113 Am. Pol. Sci. Rev. 917, 917 (2019) (“We find that affluent influence is overstated and itself contingent on partisanship . . . . The poor get what they want more often from Democrats. The rich get what they want more often from Republicans, but only if Republican constituents side with the rich. Thus, partisanship induces, shapes, and constrains affluent influence.”).Show More Congress is beset with other challenges as well, including high levels of partisan polarization,26 26.See, e.g., Sarah Binder, The Dysfunctional Congress, 18 Ann. Rev. Pol. Sci. 85 (2015); Cynthia R. Farina, Congressional Polarization: Terminal Constitutional Dysfunction?, 115 Colum. L. Rev. 1689 (2015).Show More broad public disapproval,27 27.Congress and the Public, Gallup News, https://news.gallup.com/poll/1600/congress-public.aspx [https://perma.cc/C7KV-QRPB] (last visited Jan. 20, 2021) (showing congressional approval ratings not greater than 40%, and frequently less than 20%, over the past fifteen years).Show More and a significant democratic deficit, most notably on account of the apportionment of the Senate and the existence of the filibuster.28 28.See, e.g., Robert A. Dahl, How Democratic Is the American Constitution? 46–54 (2d ed. 2003) (criticizing unequal representation in the Senate); Sanford Levinson, Our Undemocratic Constitution: Where the Constitution Goes Wrong (and How We the People Can Correct It) 52 (2006) (noting that “the Senate can exercise a veto power on majoritarian legislation passed by the House that is deemed too costly to the interests of small states, which are overrepresented in the Senate” (emphasis omitted)); Adam Jentleson, Kill Switch: The Rise of the Modern Senate and the Crippling of American Democracy 5 (2021) (arguing that “from its inception to today, the filibuster has mainly served to empower a minority of predominately white conservatives to override our democratic system”); Frances E. Lee & Bruce I. Oppenheimer, Sizing Up the Senate: The Unequal Consequences of Equal Representation 158–222 (1999) (documenting the policy and financial advantages that accrue to small states on account of Senate representation).Show More For these and other reasons, leading observers have decried Congress as the U.S. government’s “broken branch.”29 29.See, e.g., Thomas E. Mann & Norman J. Ornstein, The Broken Branch: How Congress Is Failing America and How to Get It Back on Track (2006).Show More To characterize the law of legislative representation as pluralist is not to defend Congress. To the contrary, one of the virtues of a pluralist picture is that it points toward new avenues for reform.

A brief disclaimer is in order before proceeding. In taking a legislator’s point of view, this Article treats the identity of the legislator as fixed. Holding our hypothetical legislator’s identity constant allows us to better see how manipulating any given legal rule would change the environment in which they operate. This clarity comes at the cost of not engaging with important questions about the role of law in shaping who gets elected in the first instance.30 30.Thus, I do not discuss descriptive representation, the idea legislators should share demographic or other characteristics with their constituents. See, e.g., Pitkin, supra note 22, at 60–91 (situating descriptive representation within a broader taxonomy of representation); Jane Mansbridge, Should Blacks Represent Blacks and Women Represent Women? A Contingent “Yes,” 61 J. Pol. 628 (1999) (describing benefits of descriptive representation for disadvantaged groups). Nor do I engage in the debate among social scientists about the relationship between the number of minority representatives and the substantive representation of minority interests in legislative bodies. Compare, e.g., David Lublin, The Paradox of Representation: Racial Gerrymandering and Minority Interests in Congress (1997) (arguing that, under certain circumstances, creating majority-minority legislative districts makes the House less likely to adopt legislation favored by African Americans), with Ebonya Washington, Do Majority-Black Districts Limit Blacks’ Representation? The Case of the 1990 Redistricting, 55 J.L. & Econ. 251 (2012) (finding no evidence for the view that majority-minority districts decrease substantive minority representation in Congress).Show More Further, a focus on the choices and incentives facing individual legislators leads to relatively little engagement with some vital system-level design features, including the legislative process’s many veto points,31 31.See infra note 214 and accompanying text.Show More possible partisan biases in that process,32 32.See, e.g., Jonathan S. Gould & David E. Pozen, Structural Biases in Structural Constitutional Law, 97 N.Y.U. L. Rev. (forthcoming 2022) (manuscript at 24–29) (on file with author).Show More and unequal representation in the U.S. Senate.33 33.See sources cited supra note 28.Show More Critical as these features are to understanding and evaluating Congress, this Article’s focus is instead on how law constructs the day-to-day choices and incentives facing rank-and-file legislators. Even with these limitations, however, a close look at the legal mechanisms bearing on representation can illuminate why legislators act as they do and how they might be incentivized to act differently.34 34.In addition, space constraints preclude a full treatment of every type of law that shapes representation. The discussion that follows shows how different mechanisms—some from the law of democracy, some from legislative organization—can ratchet up or down different sorts of responsiveness. But this treatment is illustrative rather than exhaustive. Many other legal rules shape responsiveness, sometimes directly (such as rules concerning access to the franchise) and sometimes indirectly (such as rules regulating the media, which in turn shape the information ecosystem in which legislators operate). More fundamentally, representation is also constituted by foundational institutional design choices, such as the choice of a presidential rather than a parliamentary system, which are beyond my scope here.Show More

The remainder of the Article proceeds as follows. Part I makes the case for a pluralist approach to representation. It argues that legislators have normative reasons to be responsive to their constituents, interest groups, and party leaders, and further argues against categorically placing any one duty or group above all others. The next two Parts show how specific legal rules roughly instantiate a pluralist approach to representation by pulling legislators in competing directions. Part II examines the law of democracy. It notes that the reelection incentive encourages legislative responsiveness to constituents, but it also highlights how several areas of law weaken the links between legislators and their constituents and enable interest groups and party leaders to exercise considerable influence. Part III conducts a similar inquiry for internal legislative organization. It shows how legislative organization can either enhance or constrain the ability of legislators to represent their constituents, the degree of interest group power, and the amount of influence that party leaders have over their rank-and-file members. Part IV turns to implications, both for the scholarly literature and for those seeking to reform a contemporary Congress widely perceived to be broken.