Note: This is a copy of the online PDF version of the princeton printed copy of this article, which is not presented properly here. For reading original version of this interesting article, please refer to the following link:
https://scholar.princeton.edu/
Testing Theories of American Politics:
Elites, Interest Groups, and Average
Citizens
Martin Gilens and Benjamin I. Page Each of four theoretical traditions in the study of American politics—which can be characterized as theories of Majoritarian Electoral Democracy, Economic-Elite Domination, and two types of interest-group pluralism, Majoritarian Pluralism and Biased Pluralism—offers different predictions about which sets of actors have how much influence over public policy: average citizens;
economic elites; and organized interest groups, mass-based or business-oriented.
A great deal of empirical research speaks to the policy influence of one or another set of actors, but until recently it has not been possible to test these contrasting theoretical predictions against each other within a single statistical model. We report on an effort to do so, using a unique data set that includes measures of the key variables for 1,779 policy issues.
Multivariate analysis indicates that economic elites and organized groups representing business interests have substantial independent impacts on U.S. government policy, while average citizens and mass-based interest groups have little or no independent influence. The results provide substantial support for theories of Economic-Elite Domination and for theories of Biased Pluralism, but not for theories of Majoritarian Electoral Democracy or Majoritarian Pluralism.
Who governs? Who really rules? To what extent is the broad body of U.S. citizens sovereign, semisovereign,
or largely powerless? These questions have animated much important work in the study of
American politics.While this body of research is rich and variegated, it can loosely be divided into four families of theories: Majoritarian Electoral Democracy, Economic-Elite Domination, and two
types of interest-group pluralism—Majoritarian Pluralism, in which the interests of all citizens are more or less equally represented, and Biased Pluralism, in which corporations, business associations, and professional groups predominate.
Each of these perspectives makes different predictions about the independent influence upon U.S. policy making of four sets of actors: the Average Citizen or “median voter,” Economic Elites, and Mass-based or Business-oriented Interest Groups or industries.
Each of these theoretical traditions has given rise to
a large body of literature. Each is supported by a great
deal of empirical evidence—some of it quantitative,
some historical, some observational—concerning the
importance of various sets of actors (or, all too often,
a single set of actors) in U.S. policy making. This
literature has made important contributions to our
understanding of how American politics works and
has helped illuminate how democratic or undemocratic
(in various senses) our policy making process actually is.
Until very recently, however, it has been impossible to
test the differing predictions of these theories against
each other within a single statistical model that permits
one to analyze the independent effects of each set of
actors upon policy outcomes.
Here—in a tentative and preliminary way—we offer such
a test, bringing a unique data set to bear on the problem. Our
measures are far from perfect, but we hope that this first step
A permanent link to supplementary materials provided by
the authors precedes the References section.
Martin Gilens is Professor of Politics at Princeton University
(mgilens@princeton.edu). His research examines representation,
public opinion, and mass media, especially in relation
to inequality and public policy. Professor Gilens is the author
of Affluence & Influence: Economic Inequality and
Political Power in America (2012, Princeton University
Press). Benjamin I. Page is Gordon S. Fulcher Professor of
Decision Making at Northwestern University (b-page@-
northwestern.edu). His research interests include public
opinion, policy making, the mass media, and U.S. foreign
policy. He is currently engaged in a large collaborative project
to study Economically Successful Americans and the Common
Good. For helpful comments the authors are indebted to Larry
Bartels and Jeff Isaac, to the anonymous reviewers from
Perspectives on Politics, and to seminar participants at
Harvard University and the University of Rochester.
564 Perspectives on Politics
doi:10.1017/S1537592714001595
© American Political Science Association 2014 Articles
will help inspire further research into what we see as some of
the most fundamental questions about American politics.
The central point that emerges from our research is
that economic elites and organized groups representing
business interests have substantial independent impacts
on U.S. government policy, while mass-based interest
groups and average citizens have little or no independent
influence. Our results provide substantial support for
theories of Economic-Elite Domination and for theories
of Biased Pluralism, but not for theories of Majoritarian
Electoral Democracy or Majoritarian Pluralism.
In what follows, we briefly review the four theoretical
traditions that form the framework for our analyses and
highlight some of the most prominent empirical research
associated with each. We then describe our data and
measures and present our results. We conclude by
discussing the implications of our work for understanding
American democracy and by identifying some of the
directions for future research that our findings suggest.
Four Theoretical Traditions
Each of the four theoretical traditions we are addressing
has produced a body of literature much too vast to review
in detail here. We can only allude to a few central pieces
of work in each tradition. And we must acknowledge that
a particular scholar’s work does not always fall neatly into a
single category. Some scholars work across—or independently
of—our theoretical categories, embracing multiple
influences and complex processes of policy making. Here
we focus on ideal types of theory, for the purpose of
outlining certain distinctive predictions that those types of
theory tend tomake. Given the nature of our data, we focus
on the societal sources of influence that these theories posit,
rather than on the mechanisms of influence that they discuss.
Majoritarian Electoral Democracy
Theories of majoritarian electoral democracy, as positive or
empirical theories, attribute U.S. government policies
chiefly to the collective will of average citizens, who are
seen as empowered by democratic elections. Such thinking
goes back at least to Tocqueville, who (during the
Jacksonian era) saw American majorities as “omnipotent”—
particularly at the state level—and worried about
“tyranny of the majority.”1 It is encapsulated in Abraham
Lincoln’s reference to government “of the people, by the
people, for the people,” and was labeled by Robert Dahl
“populistic democracy.”2
An important modern incarnation of this tradition is
found in rational choice theories of electoral democracy, in
which vote-seeking parties or candidates in a two-party
system tend to converge at the mid-point of citizens’ policy
preferences. If preferences are jointly single-peaked so that
they can be arrayed along a single dimension, the “median
voter theorem”—posited verbally by Harold Hotelling,
proved by Duncan Black, and popularized by Anthony
Downs in his Economic Theory of Democracy—states that
two vote-seeking parties will both take the same position, at
the center of the distribution of voters’ most-preferred
positions. Under the relevant assumptions, public policy
that fits the preferences of the median voter is not only the
empirically-predicted equilibrium result of two-party electoral
competition; as the “Condorcet winner” it also has the
normative property of being the “most democratic” policy,
in the sense that it would be preferred to any alternative
policy in head-to-head majority-rule voting by all citizens.3
Subsequent “chaos” results by social choice theorists,
starting with Kenneth Arrow, have indicated that the
median voter prediction follows logically only for unidimensional
politics. If citizens’ preference orderings are
not unidimensional and are sufficiently diverse, majority
rule—hence also two-party electoral competition—might
not lead to any equilibrium outcome at all.4 It is important
to note, however, that what might theoretically happen will
not necessarily ever happen in practice. Real-world outcomes
depend upon how institutions are organized and
how preferences are actually configured.
Despite the “chaos” results, and despite many criticisms
of the median-voter theorem as simplistic and empirically
inapplicable or wrong,5 a good many scholars—probably
more economists than political scientists among them—
still cling to the idea that the policy preferences of the
median voter tend to drive policy outputs from the U.S.
political system. A fair amount of empirical evidence has
been adduced—by Alan Monroe; Benjamin Page and
Robert Shapiro; Robert Erikson, Michael MacKuen, and
James Stimson (authors of the very influential Macro
Polity); and others—that seems to support the notion that
the median voter determines the results of much or most
policy making. This evidence indicates that U.S. federal
government policy is consistent with majority preferences
roughly two-thirds of the time; that public policy changes
in the same direction as collective preferences a similar
two-thirds of the time; that the liberalism or conservatism
of citizens is closely associated with the liberalism or
conservatism of policy across states; and that fluctuations
in the liberal or conservative “mood” of the public are
strongly associated with changes in the liberalism or
conservatism of policy in all three branches of government.
6
The fly in the ointment is that none of this evidence
allows for, or explicitly assesses, the impact of such
variables as the preferences of wealthy individuals, or
the preferences and actions of organized interest groups,
which may independently influence public policy while
perhaps being positively associated with public opinion—
thereby producing a spurious statistical relationship
between opinion and policy.
Recent research by Larry Bartels and by one of the
present authors (Gilens), which explicitly brings the
preferences of “affluent” Americans into the analysis along
September 2014 | Vol. 12/No. 3 565
with the preferences of those lower in the income
distribution, indicates that the apparent connection between
public policy and the preferences of the average
citizen may indeed be largely or entirely spurious.7
The “electoral reward and punishment” version of
democratic control through elections—in which voters
retrospectively judge how well the results of government
policy have satisfied their basic interests and values, and
politicians enact policies in anticipation of judgments that
they expect will later be made by what V.O. Key, Jr., called
“latent” public opinion—might be thought to offer
a different prediction: that policy will tend to satisfy
citizens’ underlying needs and values, rather than corresponding
with their current policy preferences.8 We
cannot test this prediction because we do not have—and
cannot easily imagine how to obtain—good data on
individuals’ deep, underlying interests or values, as
opposed to their expressed policy preferences. But the
evidence that collective policy preferences are generally
rather stable over time suggests that expressed collective
policy preferences may not often diverge markedly from
subsequently manifested “latent” preferences. They may
do so only under special circumstances, such as economic
recessions or disastrous wars.9 If so, the electoral-rewardand-
punishment type of democratic theory, too, predicts
that most of the time public policy will respond to the
current policy preferences of the average citizen.
Economic-Elite Domination
A quite different theoretical tradition argues that U.S.
policy making is dominated by individuals who have
substantial economic resources, i.e., high levels of income
or wealth—including, but not limited to, ownership of
business firms.
Not all “elite theories” share this focus. Some emphasize
social status or institutional position—such as the occupancy
of key managerial roles in corporations, or top-level
positions in political parties, in the executive, legislative, or
judicial branches of government, or in the highest ranks of
the military. Some elite theories postulate an amalgam of
elites, defined by combinations of social status, economic
resources, and institutional positions, who achieve a degree
of unity through common backgrounds, coinciding interests,
and social interactions.
For example, C. Wright Mills’ important book,
The Power Elite, offers a rather nuanced account of how
U.S. social, economic, political, and military elites have
historically alternated in different configurations of dominance.
Mills noted that his elites derived in substantial
proportions from the upper classes, including the very rich
and corporate executives, but their elite status was not
defined by their wealth.10 Our focus here is on theories that
emphasize the policy-making importance of economic elites.
Analyses of U.S. politics centered on economic elites
go back at least to Charles Beard, who maintained that
a chief aim of the framers of the U.S. Constitution was to
protect private property, favoring the economic interests
of wealthy merchants and plantation owners rather than
the interests of the then-majority small farmers, laborers,
and craft workers. A landmark work in this tradition is
G. William Domhoff ’s detailed account of how elites
(working through foundations, think-tanks, and an “opinionshaping
apparatus,” as well as through the lobbyists and
politicians they finance) may dominate key issues in U.S.
policy making despite the existence of democratic elections.
Philip A. Burch has exhaustively chronicled the economic
backgrounds of federal government officials through
American history. Thomas Ferguson’s analysis of the
political importance of “major investors” might be seen as
a theory of economic elites. Most recently, Jeffrey
Winters has posited a comparative theory of “Oligarchy,”
in which the wealthiest citizens—even in a “civil oligarchy”
like the United States—dominate policy concerning crucial
issues of wealth and income protection.11
Our third and fourth theoretical traditions posit that
public policy generally reflects the outcome of struggle
among organized interest groups and business firms.12
Majoritarian Pluralism
The roots of what we can characterize as theories of
“majoritarian” interest-group pluralism go back to James
Madison’s Federalist Paper No. 10, which analyzed politics
in terms of “factions”—a somewhat fuzzy concept that
apparently encompassed political parties and even popular
majorities, as well as what we would today consider organized
interest groups, business firms, and industrial sectors. Madison
argued that struggles among the diverse factions that would be
found in an extensive republic would lead to policies more or
less representative of the needs and interests of the citizenry as
a whole—or at least would tend to defeat “tyrannical” policies,
including the much-feared issuance of inflationary paper
money that might cater to local majority factions of farmerdebtors
but would be costly to merchant creditors.13
In the twentieth century, Arthur Bentley’s The Process
of Government and then David Truman’s monumental
The Governmental Process put groups at the center of
political analysis, laying out a detailed picture of how
organized interest groups might get their way. Truman
offered a comprehensive and still-interesting catalogue of
lobbying techniques and other methods of group influence.
He also added an ingenious gloss to Madison
that tends to increase both the plausibility and the
normative appeal of majoritarian interest-group pluralism:
the assertion that all interests have at least a minimum of
influence in group-dominated policy making, because
policy makers must (in order to avoid subsequent punishment)
heed all “potential” groups that would form if their
interests were trampled upon.14
Robert Dahl’s analysis of New Haven city politics was
Madisonian or Truman-like in its insistence that many
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(all?) diverse interests were represented, though Dahl
focused as much on active members of the general public
as on organized groups. Dahl’s analyses of American
politics in terms of “polyarchy” or “pluralist democracy”
also come close to our ideal type of majoritarian pluralist
theory, since they imply that the wants or needs of the
average citizen tend to be reasonably well served by the
outcomes of interest-group struggle. Several contemporary
analysts of interest-group politics likewise appear to accept
(at least implicitly) a picture of group struggle that results
in more or less majoritarian results.15
A major challenge to majoritarian pluralist theories,
however, is posed by Mancur Olson’s argument that
collective action by large, dispersed sets of individuals with
individually small but collectively large interests tends to
be prevented by the “free rider” problem. Barring special
circumstances (selective incentives, byproducts, coercion),
individuals who would benefit from collective action may
have no incentive to personally form or join an organized
group. If everyone thinks this way and lets George do it,
the job is not likely to get done. This reasoning suggests
that Truman’s “potential groups” may in fact be unlikely
to form, even if millions of peoples’ interests are neglected
or harmed by government. Aware of the collective action
problem, officials may feel free to ignore much of the
population and act against the interests of the average
citizen.16
Biased Pluralism
Olson’s argument points toward an important variant line
of thinking within the pluralist tradition: theories of
“biased ” pluralism, which posit struggles among an unrepresentative
universe of interest groups—characterized
by E.E. Schattschneider as a heavenly chorus with an
“upper-class accent,” and more recently dubbed by Kay
Lehman Schlozman, Sidney Verba, and Henry Brady an
“unheavenly chorus.” Theories of biased pluralism generally
argue that both the thrust of interest-group conflict
and the public policies that result tend to tilt toward the
wishes of corporations and business and professional
associations.17
Schattschneider suggested that policy outcomes vary
with the “scope of conflict”: for example, that businessoriented
interest groups tend to prevail over ordinary
citizens when the scope is narrow and visibility is low.
Grant McConnell added the idea that the actual
“constituencies” of policy implementers can consist of
powerful groups. George Stigler (articulating what some
economists have scorned as “Chicago Marxism”) analyzed
the politics of regulation in terms of biased pluralism: the
capture of regulators by the regulated. Charles Lindblom
outlined a number of ways—including the “privileged
position” of business—in which business firms and their
associations influence public policy. Thomas Ferguson has
posited an “investment theory” of politics in which “major
investors”—especially representatives of particular industrial
sectors—fund political parties in order to get
policies that suit their economic interests. Fred Block’s
“neo-Polanyian” analysis emphasizes groups. Jacob Hacker
and Paul Pierson’s analysis of “winner-take-all-politics,”
which emphasizes the power of the finance industry, can
be seen as a recent contribution to the literature of biased
pluralism.18
Marxist and neo-Marxist theories of the capitalist state
hold that economic classes—and particularly the bourgeoisie,
the owners of the means of production—dominate
policy making and cause the state to serve their
material interests. As the Communist Manifesto put it,
“The bourgeoisie has . . . conquered for itself, in the
modern representative State, exclusive political sway. The
executive of the modern State is but a committee for
managing the common affairs of the whole bourgeoisie.”19
We cannot precisely test the predictions of such theories,
because we lack good measures of policy preferences by
economic class. (In Marxist theory, neither income nor
wealth accurately signals class position.) We can note,
however, that certain “instrumentalist” Marxist theories,
including the important version put forth by Ralph
Miliband, make predictions resembling those of theories
of Biased Pluralism: that interest groups and corporations
representing “large scale business” tend to prevail.20
As to empirical evidence concerning interest groups, it
is well established that organized groups regularly lobby
and fraternize with public officials, move through
revolving doors between public and private employment,
provide self-serving information to officials, draft legislation,
and spend a great deal of money on election
campaigns.21 Moreover, in harmony with theories of
biased pluralism, the evidence clearly indicates that most
interest groups and lobbyists represent business firms or
professionals. Relatively few represent the poor or even the
economic interests of ordinary workers, particularly now
that the U.S. labor movement has become so weak.22
But do interest groups actually influence policy?
Numerous case studies have detailed instances in which
all but the most dedicated skeptic is likely to perceive
interest-group influence at work. A leading classic
remains Schattschneider’s analysis of the 1928 enactment
of the Smoot-Hawley tariff, an astounding orgy of porkbarrel
politics.23 Still,many quantitatively-oriented political
scientists seem to ignore or dismiss such non-quantitative
evidence. There have also been some efforts (particularly
during the Cold War era, when unflattering depictions of
U.S. politics may have been thought unpatriotic) to
demonstrate that interest groups have no influence on
policy at all. Raymond Bauer, Ithiel Pool, and Lewis
Anthony Dexter argued that business had little or no effect
on the renewal of reciprocal trade authority. Lester
Milbrath, having conducted interviews with lobbyists and
members of Congress, rated lobbyists’ influence as very low.
September 2014 | Vol. 12/No. 3 567
More recently, Fred McChesney has made the ingenious
argument that campaign contributions from interest groups
may not represent quid pro quo bribery attempts by groups,
but instead result from extortion by politicians who threaten
to harm the groups’ interests.24
Very few studies have offered quantitative evidence
concerning the impact of interest groups based on
a number of different public policies. Important exceptions
include the work of Mark Smith and that of
Frank Baumgartner, Jeffrey Berry, Marie Hojnacki,
David Kimball, and Beth Leech.25
Mark Smith examined 2,364 “business unity” issues—
over a period of four decades—on which the U.S. Chamber
of Commerce (arguably a reasonable proxy for business
groups as a whole, on this particular set of issues where most
businesses agreed) took a public stand for or against.He then
calculated six measures of the Chamber’s annual rate of
“success” at getting the action or inaction it favored from
Congress.26 The Chamber’s average success rate in terms of
proportion of bills enacted or defeated appears to have been
fairly high,27 but Smith did not argue that such success
necessarily demonstrates influence. (A batting-average
approach to influence would have to assume that standtaking
is unrelated to expectations of success. Further, in
order to gauge business’s independent impact and avoid
spurious results, data on stands taken by other actors would
need to be included as well.) Instead, Smith devoted most of
his effort to analyzing the over-time correlates of high or low
success, such as variations in the public “mood” and in the
partisan composition of Congress.
Frank Baumgartner and his colleagues, in their meticulous
examination of 98 cases of congressional policy
making in which interest groups were active, investigated
whether the magnitude of group resources that were
deployed was related to outcomes across those cases. In
their multivariate analyses, Baumgartner et al. found
a modest tendency for policy outcomes to favor the side
that enjoyed greater resources (PAC contributions, lobbying
expenditures, membership size, etc.).28
Prior to the availability of the data set that we analyze
here, no one we are aware of has succeeded at assessing
interest-group influence over a comprehensive set of
issues, while taking into account the impact of either
the public at large or economic elites—let alone analyzing
all three types of potential influences simultaneously.
Testing Theoretical Predictions
What makes possible an empirical effort of this sort is the
existence of a unique data set, compiled over many years
by one of us (Gilens) for a different but related purpose:
for estimating the influence upon public policy of
“affluent” citizens, poor citizens, and those in the middle
of the income distribution.
Gilens and a small army of research assistants29
gathered data on a large, diverse set of policy cases:
1,779 instances between 1981 and 2002 in which
a national survey of the general public asked a favor/
oppose question about a proposed policy change. A total of
1,923 cases met four criteria: dichotomous pro/con
responses, specificity about policy, relevance to federal
government decisions, and categorical rather than conditional
phrasing. Of those 1,923 original cases, 1,779 cases
also met the criteria of providing income breakdowns for
respondents, not involving a Constitutional amendment
or a Supreme Court ruling (which might entail a quite
different policy-making process), and involving a clear, as
opposed to partial or ambiguous, actual presence or
absence of policy change. These 1,779 cases do not
constitute a sample from the universe of all possible policy
alternatives (this is hardly conceivable), but we see them as
particularly relevant to assessing the public’s influence on
policy.The included policies are not restricted to the narrow
Washington “policy agenda.” At the same time—since they
were seen as worth asking poll questions about—they tend
to concernmatters of relatively high salience, about which it
is plausible that average citizens may have real opinions and
may exert some political influence.30
For each case, Gilens used the original survey data to
assess responses by income level. In order to cope with
varying income categories across surveys, he employed
a quadratic logistic regression technique to estimate the
opinions of respondents at the tenth income percentile
(quite poor), the fiftieth percentile (median), and the
ninetieth percentile (fairly affluent).31
Here we use these policy preference data to measure—
imperfectly, but, we believe, satisfactorily—two independent
variables posited as major influences upon policy
making in the theoretical traditions discussed above.
Policy preferences at the fiftieth income percentile—
that is, the preferences of the median-income survey
respondent—work quite well as measures of the preferences
of the average citizen (or, more precisely, the median
non-institutionalized adult American), which are central
to theories of Majoritarian Electoral Democracy.32 In all
cases in which the relationship between income and
preferences is monotonic, and in all cases in which there
is no systematic relationship at all between the two, the
preferences of the median-income respondent are identical
to those of the median-preference respondent. In the
remaining cases the two are very close to each other.33
We believe that the preferences of “affluent” Americans
at the ninetieth income percentile can usefully be taken as
proxies for the opinions of wealthy or very-high-income
Americans, and can be used to test the central predictions
of Economic-Elite theories. To be sure, people at the
ninetieth income percentile are neither very rich nor very
elite; in 2012 dollars, Gilens’ “affluent” respondents
received only about $146,000 in annual household
income. To the extent that their policy preferences differ
from those of average-income citizens, however, we would
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Articles | Testing Theories of American Politics
argue that there are likely to be similar but bigger differences
between average-income citizens and the truly
wealthy.
Some evidence for this proposition comes from the
2011 Cooperative Congressional Election Study.34 Based
on 13 policy-preference questions asked on this survey, the
preferences of the top 2 percent of income earners (a group
that might be thought “truly wealthy”) are much more
highly correlated with the preferences of the top 10 percent
of earners than with the preferences of the average survey
respondent (r5.91 versus .69).35 Thus, the views of our
moderately high-income “affluent” respondents appear to
capture useful information about the views of the truly
wealthy.
In any case, the imprecision that results from use of
our “affluent” proxy is likely to produce underestimates of
the impact of economic elites on policy making. If we find
substantial effects upon policy even when using this
imperfect measure, therefore, it will be reasonable to infer
that the impact upon policy of truly wealthy citizens is still
greater.36
In order to measure interest-group preferences and
actions, we would ideally like to use an index of the sort
that Baumgartner and his colleagues developed for their
ninety-eight policy issues: an index assessing the total
resources brought to bear by all major interest groups that
took one side or the other on each of our 1,779 issues.
But it is not feasible to construct such an index for all our
cases; this would require roughly twenty times as much
work as did the major effort made by the Baumgartner
research team on their cases. Fortunately, however,
Baumgartner et al. found that a simple proxy for their
index—the number of reputedly “powerful” interest
groups (from among groups appearing over the years in
Fortune magazine’s “Power 25” lists) that favored a given
policy change, minus the number that opposed it—
correlated quite substantially in their cases with the full
interest-group index (r50.73).37
Gilens, using a modified version of this simple count
of the number of “powerful” interest groups favoring
(minus those opposing) each proposed policy change,
developed a measure of Net Interest Group Alignment.
To the set of groups on the “Power 25” lists (which
seemed to neglect certain major business interests) he
added ten key industries that had reported the highest
lobbying expenditures. (For the final list of included
industries and interest groups, refer to Appendix 1.) For
each of the 1,779 instances of proposed policy change,
Gilens and his assistants drew upon multiple sources to
code all engaged interest groups as “strongly favorable,”
“somewhat favorable,” “somewhat unfavorable,” or
“strongly unfavorable” to the change. He then combined
the numbers of groups on each side of a given
issue, weighting “somewhat” favorable or somewhat
unfavorable positions at half the magnitude of
“strongly” favorable or strongly unfavorable positions.
In order to allow for the likelihood of diminishing
returns as the net number of groups on a given side
increases (an increase from 10 to 11 groups likely
matters less than a jump from 1 to 2 does), he took
the logarithms of the number of pro groups and the
number of con groups before subtracting. Thus,
Net Interest-Group Alignment 5ln(# Strongly Favor1[0.5 * #
Somewhat Favor] 1 1) - ln(# Strongly Oppose 1 [0.5 * #
Somewhat Oppose] 1 1).38
We also report here results for comparable group
alignment indices that were computed separately for the
mass-based and for the business-oriented sets of groups
listed in Appendix 1.
Our dependent variable is a measure of whether or not
the policy change proposed in each survey question was
actually adopted within four years after the question was
asked. (It turns out that most of the action occurred
within two years). Of course there was nothing easy
about measuring the presence or absence of policy change
for each of 1,779 different cases; Gilens and his research
assistants spent many hours poring over news accounts,
government data, Congressional Quarterly publications,
academic papers and the like.39
In order to test among our theoretical traditions, we
begin by considering all organized interest groups
together, not distinguishing between mass-based and
business-oriented groups. Within a single statistical model,
we estimate the independent impact upon our dependent
variable (policy change) of each of three independent
variables: the average citizen’s policy preferences (preferences
at the fiftieth income percentile); the policy preferences of
economic elites (measured by policy preferences at the
ninetieth income percentile); and the stands of interest
groups (the Net Interest-Group Alignment Index).
Later, in order to distinguish clearly between Majoritarian
Pluralism and Biased Pluralism, we will use two
separate measures of net interest-group alignment, one
involving only mass-based interest groups and the other
limited to business and professional groups. The main
hypotheses of interest, summarized in table 1, follow fairly
straightforwardly from our discussion of our four ideal
types of theory.
In their pure form, theories of Majoritarian Electoral
Democracy (for example, rational models of electoral
competition that include no societal actors other than
average citizens), predict that the influence upon policy of
average citizens is positive, significant, and substantial,
while the influence of other actors is not.
Theories of Economic-Elite Domination predict positive,
significant, and substantial influence upon policy by
economic elites. Most such theories allow for some
(though not much) independent influence by average
citizens, e.g., on non-economic social issues. Many also
September 2014 | Vol. 12/No. 3 569
allow for some independent influence by business
interest groups—and therefore probably by interest groups
taken as a whole—though their emphasis is on wealthy
individuals.
In general, theories of interest-group pluralism predict
that only organized interest groups will have
positive, significant, and substantial effects upon public
policy. Influence proceeds from groups, not from
wealthy (or other) individuals. Depending upon the
type of pluralist theory, average citizens may or may not
be well represented through organized groups, but they
do not have a great deal of independent influence on
their own.
Theories of Majoritarian Pluralism predict that the
stands of organized interest groups, all taken together,
rather faithfully represent (that is, are positively and
substantially correlated with) the preferences of average
citizens. But since most political influence proceeds
through groups, a multivariate analysis that includes both
interest-group alignments and citizens’ preferences should
show far more independent influence by the groups than
the citizens. Truman’s idea of “potential groups” does,
however, leave room for some direct influence by average
citizens.
Theories of Biased Pluralism, too, see organized interest
groups as having much more influence than average citizens
or individual economic elites. But they predict that
business-oriented groups play the major role.
Recognizing the complexity of the political world, we
must also acknowledge the possibility that more than one
of these theoretical traditions has some truth to it: that
several—even all—of our sets of actors may have substantial,
positive, independent influence on public policy.
And we must consider the null hypothesis that none of
these theoretical traditions correctly describes even part of
what goes on in American politics.
Influence upon Policy of Average
Citizens, Economic Elites, and Interest
Groups
Before we proceed further, it is important to note that even
if one of our predictor variables is found (when controlling
for the others) to have no independent impact on policy at
all, it does not follow that the actors whose preferences are
reflected by that variable—average citizens, economic elites,
or organized interest groups of one sort or another—always
“lose” in policy decisions. Policy making is not necessarily
a zero-sum game among these actors. When one set of
actors wins, others may win as well, if their preferences are
positively correlated with each other.
It turns out, in fact, that the preferences of average
citizens are positively and fairly highly correlated, across
issues, with the preferences of economic elites (refer to
table 2). Rather often, average citizens and affluent citizens
(our proxy for economic elites) want the same things from
government. This bivariate correlation affects how we
should interpret our later multivariate findings in terms of
“winners” and “losers.” It also suggests a reason why
serious scholars might keep adhering to both the Majoritarian
Electoral Democracy and the Economic-Elite
Domination theoretical traditions, even if one of them
may be dead wrong in terms of causal impact. Ordinary
citizens, for example, might often be observed to “win”
(that is, to get their preferred policy outcomes) even if they
had no independent effect whatsoever on policy making, if
elites (with whom they often agree) actually prevail.
But net interest-group stands are not substantially
correlated with the preferences of average citizens. Taking
all interest groups together, the index of net interest-group
alignment correlates only a non-significant .04 with
average citizens’ preferences! (Refer to table 2.) This casts
grave doubt on David Truman’s and others’ argument that
Table 1
Theoretical predictions concerning the independent influence of sets of actors upon policy
outcomes
Sets of Actors
Theory (ideal type)
Average
Citizens
Economic
Elites
All Interest
Groups
Mass Interest
Groups
Business Interest
Groups
Majoritarian Electoral
Democracy
Y n n n n
Dominance by Economic
Elites
y Y y n y
Majoritarian Pluralism y n Y Y Y
Biased Pluralism n n y y Y
n 5 little or no independent influence
y 5 some independent influence
Y 5 substantial independent influence
570 Perspectives on Politics
Articles | Testing Theories of American Politics
organized interest groups tend to do a good job of
representing the population as a whole. Indeed, as table
2 indicates, even the net alignments of the groups we have
categorized as “mass-based” correlate with average citizens’
preferences only at the very modest (though statistically
significant) level of .12.
Some particular U.S. membership organizations—
especially the AARP and labor unions—do tend to favor
the same policies as average citizens. But other membership
groups take stands that are unrelated (pro-life and
pro-choice groups) or negatively related (gun owners) to
what the average American wants.40 Some membership
groups may reflect the views of corporate backers or their
most affluent constituents. Others focus on issues on
which the public is fairly evenly divided. Whatever the
reasons, all mass-based groups taken together simply do
not add up, in aggregate, to good representatives of the
citizenry as a whole. Business-oriented groups do even
worse, with a modest negative over-all correlation of -.10.
Nor do we find an association between the preferences
of economic elites and the alignments of either massbased
or business-oriented groups. The latter finding,
which surprised us, may reflect profit-making motives
among businesses as contrasted with broader ideological
views among elite individuals. For example, economic
elites tend to prefer lower levels of government spending
on practically everything, while business groups and
specific industries frequently lobby for spending in areas
from which they stand to gain. Thus pharmaceutical,
hospital, insurance, and medical organizations have
lobbied for more spending on health care; defense
contractors for weapons systems; the American Farm
Bureau for agricultural subsidies, and so on.
Initial Tests of Influences on Policy Making
The first three columns of table 3 report bivariate results,
in which each of three independent variables (taking all
interest groups together, for now) is modeled separately as
the sole predictor of policy change. Just as previous
literature suggests, each of three broad theoretical
traditions—Majoritarian Electoral Democracy, Economic-
Elite Domination, and interest-group pluralism—seems to
gain support. When taken separately, each independent
variable—the preferences of average citizens, the preferences
Table 2
Correlations among independent variables
Average citizens’
preferences
Economic elites’
preferences
All interest
groups
Mass public
interest groups
Business
interest groups
Average citizens’
preferences
—
Economic elites’
preferences
.78*** —
All interest groups .04 .05 —
Mass public
interest groups
.12*** .01 .47*** —
Business interest
groups
-.10*** -.02 .96*** -.05 —
***p,.001; n51779.
Note: Entries are correlation coefficients corrected for measurement error as explained in Appendix 2.
Table 3
Policy outcomes and the policy preferences
of average citizens, economic elites,
and interest groups
Model 1 Model 2 Model 3 Model 4
Preferences
of average
citizens
.64
(.08)***
— — .03
(.08)
Preferences
of
economic
elites
— .81
(.08)***
— .76
(.08)***
Alignment of
interest
groups
— — .59
(.09)***
.56
(.09)***
R-sq .031 .049 .028 .074
***p,.001
Note: All predictors are scaled to range from 0 to 1.
The dependent variable is the policy outcome, coded 1 if
the proposed policy change took place within four years of the
survey date and 0 if it did not. Predictors are the logits of
the imputed percent of respondents at the fiftieth (“average
citizens”) or ninetieth (“economic elites”) income percentile
that favor the proposed policy change, and the Net Interest-
Group Alignment Index described in the text. Standard errors
are asymptotically distribution-free, and all analyses reflect
estimated measurement error in the predictors, as described
in Appendix 2. The standardized coefficients for model 4 in
this table are .01, .21, and .16 for average citizens, economic
elites, and interest groups, respectively. N51,779.
September 2014 | Vol. 12/No. 3 571
of economic elites, and the net alignments of organized
interest groups—is strongly, positively, and quite significantly
related to policy change. Little wonder that each
theoretical tradition has its strong adherents.
But the picture changes markedly when all three
independent variables are included in the multivariate
Model 4 and are tested against each other. The estimated
impact of average citizens’ preferences drops precipitously,
to a non-significant, near-zero level. Clearly the median
citizen or “median voter” at the heart of theories of
Majoritarian Electoral Democracy does not do well when
put up against economic elites and organized interest
groups. The chief predictions of pure theories of
Majoritarian Electoral Democracy can be decisively
rejected. Not only do ordinary citizens not have uniquely
substantial power over policy decisions; they have little or
no independent influence on policy at all.
By contrast, economic elites are estimated to have
a quite substantial, highly significant, independent
impact on policy. This does not mean that theories of
Economic-Elite Domination are wholly upheld, since our
results indicate that individual elites must share their
policy influence with organized interest groups. Still,
economic elites stand out as quite influential—more so
than any other set of actors studied here—in the making of
U.S. public policy.
Similarly, organized interest groups (all taken together,
for now) are found to have substantial independent
influence on policy. Again, the predictions of pure theories
of interest-group pluralism are not wholly upheld, since
organized interest groups must share influence with
economically-elite individuals. But interest-group alignments
are estimated to have a large, positive, highly
significant impact upon public policy.
These results suggest that reality is best captured by
mixed theories in which both individual economic elites
and organized interest groups (including corporations,
largely owned and controlled by wealthy elites) play
a substantial part in affecting public policy, but the
general public has little or no independent influence.
The rather low explanatory power of all three independent
variables taken together (with an R-squared of
just .074 in Model 4) may partly result from the
limitations of our proxy measures, particularly with respect
to economic elites (since our “affluent” proxy is admittedly
imperfect) and perhaps with respect to interest groups
(since only a small fraction of politically-active groups are
included in our measure). Again, the implication of these
limitations in our data is that interest groups and
economic elites actually wield more policy influence than
our estimates indicate. But it is also possible that
there may exist important explanatory factors outside
the three theoretical traditions addressed in this analysis.
Or there may be a great deal of idiosyncrasy in policy
outputs, or variation across kinds of issues, that would be
difficult for any general model to capture. With our
present data we cannot tell.
The magnitudes of the coefficients reported in table 3
are difficult to interpret because of our transformations of
the independent variables. A helpful way to assess the
relative influence of each set of actors is to compare how
the predicted probability of policy change alters when
moving from one point to another on their distributions of
policy dispositions, while holding other actors’ preferences
constant at their neutral points (50 percent favorable for
average citizens and for economic elites, and a net interestgroup
alignment score of 0). These changing probabilities,
based on the coefficients in model 4 of table 3, are linegraphed
in figure 1 along with bar graphs of the underlying
preference distributions.
Clearly, when one holds constant net interest-group
alignments and the preferences of affluent Americans, it
makes very little difference what the general public
thinks. The probability of policy change is nearly the
same (around 0.3) whether a tiny minority or a large
majority of average citizens favor a proposed policy
change (refer to the top panel of figure 1).
By contrast—again with other actors held constant—
a proposed policy change with low support among
economically-elite Americans (one out of five in favor)
is adopted only about 18 percent of the time, while
a proposed change with high support (four out of five in
favor) is adopted about 45 percent of the time. Similarly,
when support for policy change is low among interest
groups (with five groups strongly opposed and none in
favor) the probability of that policy change occurring is
only .16, but the probability rises to .47 when interest
groups are strongly favorable (refer to the bottom two
panels of figure 1).41
When both interest groups and affluent Americans
oppose a policy it has an even lower likelihood of being
adopted (these proposed policies consist primarily of tax
increases). At the other extreme, high levels of support
among both interest groups and affluent Americans increases
the probability of adopting a policy change, but a strong
status quo bias remains evident. Policies with strong support
(as defined above) among both groups are only adopted
about 56 percent of the time (strongly favored policies in our
data set that failed include proposed cuts in taxes, increases
in tax exemptions, increased educational spending for K–12,
college support, and proposals during the Clinton administration
to add a prescription drug benefit to Medicare).
Majoritarian Electoral Democracy
What are we to make of findings that seem to go against
volumes of persuasive theorizing and much quantitative
research, by asserting that the average citizen or the “median
voter”has little or no independent influence on public policy?
As noted, our evidence does not indicate that in U.S.
policy making the average citizen always loses out. Since
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the preferences of ordinary citizens tend to be positively
correlated with the preferences of economic elites, ordinary
citizens often win the policies they want, even if they
are more or less coincidental beneficiaries rather than
causes of the victory. There is not necessarily any
contradiction at all between our findings and past bivariate
findings of a roughly two-thirds correspondence between
actual policy and the wishes of the general public, or of
a close correspondence between the liberal/conservative
“mood” of the public and changes in policy making.42 Our
main point concerns causal inference: if interpreted in
terms of actual causal impact, the prior findings appear to
be largely or wholly spurious.
Further, the issues about which economic elites and
ordinary citizens disagree reflect important matters,
including many aspects of trade restrictions, tax policy,
corporate regulation, abortion, and school prayer, so
that the resulting political losses by ordinary citizens
are not trivial. Moreover, we must remember that in
our analyses the preferences of the affluent are serving
as proxies for those of truly wealthy Americans, who
may well have more political clout than the affluent,
and who tend to have policy preferences that differ
more markedly from those of the average citizens. Thus
even rather slight measured differences between preferences
of the affluent and the median citizen may
signal situations in which economic-elites want something
quite different from most Americans and they
generally get their way.
A final point: Even in a bivariate, descriptive sense,
our evidence indicates that the responsiveness of the
U.S. political system when the general public wants
government action is severely limited. Because of the
impediments to majority rule that were deliberately built
into the U.S. political system—federalism, separation of
powers, bicameralism—together with further impediments
due to anti-majoritarian congressional rules and
procedures, the system has a substantial status quo bias.
Thus when popular majorities favor the status quo,
opposing a given policy change, they are likely to get their
way; but when a majority—even a very large majority—of
the public favors change, it is not likely to get what it
wants. In our 1,779 policy cases, narrow pro-change
majorities of the public got the policy changes they wanted
only about 30 percent of the time. More strikingly, even
overwhelmingly large pro-change majorities, with 80
percent of the public favoring a policy change, got that
change only about 43 percent of the time.
In any case, normative advocates of populistic
democracy may not be enthusiastic about democracy by
coincidence, in which ordinary citizens get what they
want from government only when they happen to agree
with elites or interest groups that are really calling the
shots. When push comes to shove, actual influence
matters.
Economic Elites
Economic-Elite Domination theories do rather well
in our analysis, even though our findings probably
understate the political influence of elites. Our measure
of the preferences of wealthy or elite Americans—though
Figure 1
Predicted probability of policy adoption (dark
lines, left axes) by policy disposition; the
distribution of preferences (gray columns,
right axes)
September 2014 | Vol. 12/No. 3 573
useful, and the best we could generate for a large set of
policy cases—is probably less consistent with the relevant
preferences than are our measures of the views of ordinary
citizens or the alignments of engaged interest groups. Yet
we found substantial estimated effects even when using
this imperfect measure. The real-world impact of elites
upon public policy may be still greater.
What we cannot do with these data is distinguish
definitively among different versions of elite theories.
We cannot be sure whether we are capturing the
political influence of the wealthiest Americans (the top
1 percent of wealth-holders? the top one-tenth of 1
percent?), or, conceivably, the less affluent but more
numerous citizens around the ninetieth income percentile
whose preferences are directly gauged by our
measure.
In any case, we need to reiterate that our data concern
economic elites. Income and wealth tend to be positively
correlated with other dimensions of elite status, such as
high social standing and the occupancy of high-level
institutional positions, but they are not the same thing.
We cannot say anything directly about the non-economic
aspects of certain elite theories, especially those that
emphasize actors who may not be highly paid, such as
public officials and political party activists.
Organized Interest Groups
Our findings of substantial influence by interest groups is
particularly striking because little or no previous research
has been able to estimate the extent of group influence
while controlling for the preferences of other key nongovernmental
actors. Our evidence clearly indicates
that—controlling for the influence of both the average
citizen and economic elites—organized interest groups
have a very substantial independent impact upon public
policy. Theories of interest-group pluralism gain a strong
measure of empirical support.
Here, too, the imperfections of our measure of
interest-group alignment (though probably less severe
than in the case of economically-elite individuals)
suggest, a fortiori, that the actual influence of organized
groups may be even greater than we have found. If we had
data on the activity of the thousands of groups not
included in our net interest-group alignment measure, we
might find many cases in which a group (perhaps
unopposed by any other groups) got its way. This might
be particularly true of narrow issues like special tax breaks
or subsidies aimed at just one or two business firms,
which are underrepresented in our set of relatively highsalience
policies. (Our data set includes only policies
thought to be important enough for a national opinion
survey to ask a question about it.)
An important feature of interest group influence is that
it is often deployed against proposed policy changes. On
the 1,357 proposed policy changes for which at least one
interest group was coded as favoring or opposing change,
in only 36 percent of the cases did most groups favor
change, while in 55 percent of the cases most groups
opposed change. (The remaining cases involved equal
numbers for and against.)43
Distinguishing between Majoritarian Pluralism
and Biased Pluralism
Can we say anything further about whether processes of
interest-group influence more closely resemble Trumanlike,
broadly representative Majoritarian Pluralism, or
Schattschneider-style “Biased” Pluralism, in which business
interests, professional associations, and corporations
play the dominant part?
We have already reported several findings that cast
serious doubt upon Majoritarian Pluralism. If the net
results of interest-group struggle were to help average
citizens get their way—with organized groups perhaps
representing citizens more effectively than politicallyinattentive
Americans could do for themselves—we would
expect that the net alignment of interest groups would be
positively and strongly correlated with the policy preferences
of the average citizen. But we know from table 2 that
they are not in fact significantly correlated at all. Interestgroup
alignments are almost totally unrelated to the
preferences of average citizens. Moreover, there is no
indication that officials’ anticipation of reactions from
“potential groups” brings policies in line with what citizens
want.44 Empirical support for Majoritarian Pluralism
looks very shaky, indeed. We also know that the composition
of the U.S. interest-group universe is heavily tilted
toward corporations and business and professional associations.
45 This fact certainly points toward Biased rather
than Majoritarian Pluralism.
To go a step further, theories of Majoritarian Pluralism
predict relatively more independent influence upon
policy by mass-based interest groups than do theories of
Biased Pluralism. It may be useful, therefore, to distinguish
between mass-based and business-oriented interest
groups and to investigate how much policy influence each
group actually has.
Accordingly, we computed separate net-interest-groupalignment
indices for business-oriented and for massbased
groups (refer to Appendix 1 for lists of each) and
included both of them in a new multivariate analysis,
along with the preferences of average citizens and
economic elites—dropping our previous measure of the
net alignment of all interest groups.
The results of this analysis are given in table 4. Clearly
the predictions of Biased Pluralism theories fare substantially
better than those of Majoritarian Pluralism theories.
The influence coefficients for both mass-based and
business-oriented interest groups are positive and highly
significant statistically, but the coefficient for business
groups is nearly twice as large as that for the mass groups.
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Moreover, when we restricted this same analysis to the
smaller set of issues upon which both types of groups
took positions—that is, when we considered only cases in
which business-based and mass-based interest groups
were directly engaged with each other—the contrast
between the estimated impact of the two types of groups
was even greater.46
The advantage of business-oriented groups in shaping
policy outcomes reflects their numerical advantage within
the interest-group universe in Washington, and also the
infrequency with which business groups are found
simultaneously on both sides of a proposed policy
change.47 Both these factors (numerical dominance and
relative cohesion) play a part in the much stronger
correlation of the overall interest-group alignment index
with business groups than with mass-oriented groups (.96
versus .47, table 2). The importance of business groups’
numerical advantage is also revealed when we rescale our
measures of business and mass-oriented interest-group
alignments to reflect the differing number of groups in
each of these categories. Using this rescaled measure,
a parallel analysis to that in table 4 shows that on
a group-for-group basis the average individual business
group and the average mass-oriented group appears to be
about equally influential. The greater total influence of
business groups in our analysis results chiefly from the fact
that more of them are generally engaged on each issue
(roughly twice as many, on average), not that a single
business-oriented group has more clout on average than
a single mass-based group.48
Taken as a whole, then, our evidence strongly indicates
that theories of Biased Pluralism are more descriptive of
political reality than are theories of Majoritarian Pluralism.
It is simply not the case that a host of diverse,
broadly-based interest groups take policy stands—and
bring about actual policies—that reflect what the general
public wants. Interest groups as a whole do not seek the
same policies as average citizens do. “Potential groups” do
not fill the gap. Relatively few mass-based interest groups
are active, they do not (in the aggregate) represent the
public very well, and they have less collective impact on
policy than do business-oriented groups—whose stands
tend to be negatively related to the preferences of average
citizens. These business groups are far more numerous and
active; they spend much more money; and they tend to get
their way.
Table 4 also confirms our earlier findings about
economic elites and median voters. When the alignments
of business-oriented and mass-based interest groups are
included separately in a multivariate model, average
citizens’ preferences continue to have essentially zero
estimated impact upon policy change, while economic
elites are still estimated to have a very large, positive,
independent impact.
American Democracy?
Each of our four theoretical traditions (Majoritarian
Electoral Democracy, Economic-Elite Domination,
Majoritarian Interest-Group Pluralism, and Biased
Pluralism) emphasizes different sets of actors as critical
in determining U.S. policy outcomes, and each tradition
has engendered a large empirical literature that seems to
show a particular set of actors to be highly influential. Yet
nearly all the empirical evidence has been essentially
bivariate. Until very recently it has not been possible to
test these theories against each other in a systematic,
quantitative fashion.
By directly pitting the predictions of ideal-type theories
against each other within a single statistical model (using
a unique data set that includes imperfect but useful
measures of the key independent variables for nearly two
thousand policy issues), we have been able to produce
some striking findings. One is the nearly total failure of
“median voter” and other Majoritarian Electoral Democracy
theories. When the preferences of economic elites and
the stands of organized interest groups are controlled for,
the preferences of the average American appear to have
only a minuscule, near-zero, statistically non-significant
impact upon public policy.
The failure of theories of Majoritarian Electoral
Democracy is all the more striking because it goes against
the likely effects of the limitations of our data. The
preferences of ordinary citizens were measured more
directly than our other independent variables, yet they
are estimated to have the least effect.
Table 4
The separate policy impact of businessoriented
and mass-based interest groups
Average citizens’ preferences .05
(.08)
Economic elites’ preferences .78
(.08)***
Mass-based interest groups .24
(.07)***
Business interest groups .43
(.08)***
R-sq .07
***p,.001
Note: All predictors are scaled to range from 0 to 1.
The dependent variable is the policy outcome, coded 1 if
the proposed policy change took place within four years of the
survey date and 0 if it did not. Predictors are the logits of
the imputed percent of respondents at the fiftieth (“average
citizens”) or ninetieth (“economic elites”) income percentile
that favor the proposed policy change, and the Net Interest-
Group Alignment Indices described in the text. Standard errors
are asymptotically distribution-free, and all analyses reflect
estimated measurement error in the predictors, as described in
Appendix 2. N51,779.
September 2014 | Vol. 12/No. 3 575
Nor do organized interest groups substitute for direct
citizen influence, by embodying citizens’ will and ensuring
that their wishes prevail in the fashion postulated by
theories of Majoritarian Pluralism. Interest groups do have
substantial independent impacts on policy, and a few
groups (particularly labor unions) represent average citizens’
views reasonably well. But the interest-group system
as a whole does not. Overall, net interest-group alignments
are not significantly related to the preferences of average
citizens. The net alignments of the most influential,
business-oriented groups are negatively related to the
average citizen’s wishes. So existing interest groups do
not serve effectively as transmission belts for the wishes of
the populace as a whole. “Potential groups” do not take up
the slack, either, since average citizens’ preferences have
little or no independent impact on policy after existing
groups’ stands are controlled for.
Furthermore, the preferences of economic elites (as
measured by our proxy, the preferences of “affluent”
citizens) have far more independent impact upon policy
change than the preferences of average citizens do. To be
sure, this does not mean that ordinary citizens always
lose out; they fairly often get the policies they favor, but
only because those policies happen also to be preferred
by the economically-elite citizens who wield the actual
influence.
Of course our findings speak most directly to the “first
face” of power: the ability of actors to shape policy
outcomes on contested issues. But they also reflect—to
some degree, at least—the “second face” of power: the
ability to shape the agenda of issues that policy makers
consider. The set of policy alternatives that we analyze is
considerably broader than the set discussed seriously by
policy makers or brought to a vote in Congress, and our
alternatives are (on average) more popular among the
general public than among interest groups. Thus the fate
of these policies can reflect policy makers’ refusing to
consider them rather than considering but rejecting them.
(From our data we cannot distinguish between the two.)
Our results speak less clearly to the “third face” of
power: the ability of elites to shape the public’s
preferences.49 We know that interest groups and policy
makers themselves often devote considerable effort to
shaping opinion. If they are successful, this might help
explain the high correlation we find between elite and
mass preferences. But it cannot have greatly inflated our
estimate of average citizens’ influence on policy making,
which is near zero.
What do our findings say about democracy in
America? They certainly constitute troubling news for
advocates of “populistic” democracy, who want governments
to respond primarily or exclusively to the policy
preferences of their citizens. In the United States, our
findings indicate, the majority does not rule—at least not
in the causal sense of actually determining policy outcomes.
When a majority of citizens disagrees with economic elites
or with organized interests, they generally lose. Moreover,
because of the strong status quo bias built into the
U.S. political system, even when fairly large majorities of
Americans favor policy change, they generally do not get it.
A possible objection to populistic democracy is that
average citizens are inattentive to politics and ignorant
about public policy; why should we worry if their poorlyinformed
preferences do not influence policy making?
Perhaps economic elites and interest-group leaders enjoy
greater policy expertise than the average citizen does.
Perhaps they know better which policies will benefit
everyone, and perhaps they seek the common good,
rather than selfish ends, when deciding which policies to
support.
But we tend to doubt it. We believe instead that—
collectively—ordinary citizens generally know their own
values and interests pretty well, and that their expressed
policy preferences are worthy of respect.50 Moreover, we
are not so sure about the informational advantages of elites.
Yes, detailed policy knowledge tends to rise with income
and status. Surely wealthy Americans and corporate
executives tend to know a lot about tax and regulatory
policies that directly affect them. But how much do they
know about the human impact of Social Security, Medicare,
food stamps, or unemployment insurance, none of
which is likely to be crucial to their own well-being? Most
important, we see no reason to think that informational
expertise is always accompanied by an inclination to
transcend one’s own interests or a determination to work
for the common good.
All in all, we believe that the public is likely to be
a more certain guardian of its own interests than any
feasible alternative.
Leaving aside the difficult issue of divergent interests
and motives, we would urge that the superior wisdom of
economic elites or organized interest groups should not
simply be assumed. It should be put to empirical test.
New empirical research will be needed to pin down
precisely who knows how much, and what, about which
public policies.
Our findings also point toward the need to learn more
about exactly which economic elites (the “merely affluent”?
the top 1 percent? the top one-tenth of 1 percent?)
have how much impact upon public policy, and to what
ends they wield their influence. Similar questions arise
about the precise extent of influence of particular sets of
organized interest groups. And we need to know more
about the policy preferences and the political influence of
various actors not considered here, including political
party activists, government officials, and other noneconomic
elites. We hope that our work will encourage
further exploration of these issues.
Despite the seemingly strong empirical support in
previous studies for theories of majoritarian democracy,
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our analyses suggest that majorities of the American
public actually have little influence over the policies our
government adopts. Americans do enjoy many features
central to democratic governance, such as regular elections,
freedom of speech and association, and a widespread
(if still contested) franchise. But we believe that if
policymaking is dominated by powerful business organizations
and a small number of affluent Americans, then
America’s claims to being a democratic society are seriously
threatened.
Notes
1 Tocqueville 2000, 235–49. Tocqueville focused on
state governments, which he said “really direct[ed]”
American society; he noted that the Founders had
imposed limits on direct democracy in the federal
government (235, n. 1.) Yet he asserted in general
terms that “[t]he laws of democracy . . . emanate from
the majority of all citizens”; 222.
2 Lincoln 1863. Dahl 1956, ch. 2, defined “populistic
democracy” in terms of pure majority rule and traced
its theoretical roots to Aristotle’s political equality,
Locke’s “majority power,” Rousseau’s “general will” of
the majority, and James Madison’s “republican principle,”
and critically analyzed its normative properties.
3 Hotelling 1929; Black 1948, 1958; Downs 1957. In
his full-information ch. 2, Downs offers a clever
though somewhat indeterminate non-dimensional
version of the theory; in ch. 8 he explicates a variant of
Hotelling’s single-dimensional version. For extensions
to multiple dimensions see Davis, Hinich, and
Ordeshook 1970. May’s Theorem establishes that
simple majority rule is the only collective decision rule
for choosing between two alternatives that satisfies the
Arrow-type democratic conditions of decisiveness,
anonymity, neutrality, and positive responsiveness to
individuals’ preferences; May 1952.
4 Arrow 1963, McKelvey 1976. See Sen 1970.
5 A particularly trenchant critique is given in Ferguson
1995 (Appendix: “Deduced and Abandoned”).
6 Monroe 1979, 1998; Page and Shapiro 1983; Erikson,
Wright, and McIver 1993; Stimson, MacKuen, and
Erikson 1995; Erikson, MacKuen, and Stimson 2002.
7 Bartels 2008, Gilens 2012. See also Jacobs and Page
2005, which indicates that the general public may have
little or no influence on U.S. foreign policy, when the
preferences of business leaders and other elites are
taken into account.
8 Key 1961, ch. 11 and 472–76; Fiorina 1981; Zaller
2003. A variant on this logic that focuses on the
possibility of politicians “pandering” to current
preferences under certain conditions is given in
Canes-Wrone, Herron, and Shotts 2001. “Latent”
preferences are the collective policy preferences that
citizens would derive from their basic needs and values
if they had accurate information about the future
unfolding of policy results. Such “latent” preferences
are related to the ideal, “authentic” preferences that
some political theorists see as superior to, and more
worthy of governmental responsiveness than, the
policy preferences that citizens actually express. This
can be seen as adding normative appeal to an electoralreward-
and-punishment system of democratic control.
See Mansbridge 2003.
9 See Page and Shapiro 1992.
10 Mills 1959, ch. 12, especially 279. Robert Michels
2001, a founder of modern elite theory, emphasized
positions of leadership in political parties.
Some of Theda Skocpol’s early work (e.g., Skocpol and
Finegold 1982) can be seen as based on a state-centric
elite theory that emphasizes public officials. Beginning
with Protecting Soldiers and Mothers (1992), however,
Skocpol’s analyses of American politics have paid more
attention to non-state elites, social movements, organized
interest groups, and the preferences of the
general public. Thus Skocpol’s work, like that of
a number of other important scholars of American
politics (e.g., Katznelson 2013), does not fit neatly
into our simple theoretical categories.
11 Beard 1913; Domhoff 2013; Burch 1980–1981;
Ferguson 1995;Winters 2011;Winters and Page 2009.
The boundary between elite theories that focus on
economically-elite individuals, and interest group theories
that focus on organized corporate interests (discussed
later), is not always a sharp one. Here we treat
most theories that emphasize corporate organizations or
industrial sectors (e.g., Block 2007, Ferguson 1995) as
primarily constituting “interest group” rather than elite
theories.We categorize self-identified elite theorists like
Domhoff as such even if they emphasize business elites
and treat corporate organizations as important mechanisms
of influence. Winters 2011 may come closest to
an exclusive focus on wealthy individuals rather than
organizations.
One might argue that the economic classes central to
classical Marxist theories amount to “economic elites.”
But Marxist theorists see class position as only imperfectly
related to wealth or income, and their focus on
ownership of the means of production suggests that
business firms and business associations may be the key
political actors. Hence we will discuss these theories in
connection with corporations and organized interest
groups, noting the kinship of “instrumentalist” Marxist
theories to theories of biased pluralism.
12 The term “interest group” tends to evoke images of
membership groups like the League of Women Voters
or the National Rifle Association, but many politically
important “groups” are in fact business corporations.
13 Hamilton, Madison, and Jay 1961, 77–84.
14 Bentley 1908; Truman 1971, especially 511.
September 2014 | Vol. 12/No. 3 577
15 Dahl 1956, 1989. Berry 1999 emphasizes the rising
power of “citizen groups.”
16 Olson 1965.
17 Schattschneider 1960, 35; Schlozman, Verba, and
Brady 2012, ch. 10–14.
18 Schattschneider 1960, ch. 1; McConnell 1966; Stigler
1971; Lindblom 1977, parts IV and V; Ferguson
1995; Block 2007; Hacker and Pierson 2010.
19 Marx and Engels 1972. This English-language text
comes from the 1888 publication edited by Engels.
20 Miliband 1969, ch. 6. Fred Block (1977) makes
a critical distinction between “instrumentalist” Marxist
theories like Miliband’s, in which politically
conscious members of ruling class use their economic
resources to shape state action in their own material
interests, and “structural” theories, in which the
capitalist economic system itself tends to shape state
policies and the preferences of its citizens—including
workers, who are compelled to accept low wages and
high capitalist profits for the sake of future investment
and growth. On alternative Marxist theories of power,
see also Isaac 1987b. For a formalized structural
Marxist theory, see Przeworski and Wallerstein 1982.
21 Again, our data can do little to distinguish among these
or other mechanisms of political influence. We focus on
possible sources of influence among individuals and
groups in society.
22 Schlozman, Verba, and Brady 2012, ch. 10–14,
especially 321, 329, 356.
23 Schattschneider 1935.
24 Bauer, Pool, and Dexter 1963; Milbrath 1963;
McChesney 1997.
25 Smith 2000; Baumgartner et al. 2009.
26 Smith 2000, ch. 3.
27 Numerical success rates are not reported in Smith
2000, but the “enactment scorecard” line in figure 4.1
(83) appears to show Chamber success on 60 percent
or more of the bills in most years, with very substantial
variation from year to year.
28 Baumgartner et al. 2009, 233, 235. These multivariate
results may be biased downwards because the regressions
include as independent variables congressional
and executive branch officials’ active support for (or
opposition to) policy changes. Since officials’ behavior
may well have been influenced by the interest groups
themselves, the inclusion of these predictors restricts
the estimates of group influence to direct effects,
excluding any indirect impact that was channeled
through interest groups’ influence over officials.
On the other hand, the omission of other influential
actors from the analysis could (if their preferences were
positively correlated with those of interest groups)
produce spuriously inflated estimates of interest-group
influence. A further complexity in assessing interestgroup
influence involves policy cases in which groups
take no stand at all, which are not included in the
analysis by either Smith or Baumgartner et al. Inclusion
of no-stand cases would be necessary if one
sought to assess the extent to which groups affect overall
policy results—though not for assessing the extent
of group influence in the cases where influence
attempts are actually made.
29 Appreciation for their fine work in assisting with the
colossal task of collecting and coding these data goes to
Marty Cohen, Jason Conwell, Andrea Vanacore, and
Mark West at UCLA, and Oleg Bespalov, Daniel
Cassino, Kevin Collins, Shana Gadarian, Raymond
Hicks, and Lee Shaker at Princeton.
30 Arguments for the normative and empirical relevance
of the “survey agenda” are discussed in Gilens 2012,
50–56. Note that if (as we find) the public has little or
no influence on our issues, which tilt toward high
salience, it is unlikely that the public has much
influence on more technical or obscure matters.
31 In 2012, the tenth percentile of household income was
about $12,200, the fiftieth percentile about $51,000,
and the ninetieth percentile about $146,000 (U.S.
Census Bureau, 2013). For further detail on these
data, see Gilens 2012, 57–66.
32 Of course the average (median) citizen is not identical to
the eligible or actual “median voter.” But the generally
small magnitude of differences between the policy
preferences of voters and those of all citizens (Wolfinger
and Rosenstone 1980, 109–114; Schlozman, Verba,
and Brady 2012, 120–21) suggests that our measure
captures the spirit of median voter theories. To the
extent that differences exist, we consider the average
citizen to be of greater normative—though less
empirical—importance.
33 To make an approximate assessment of the fit between
the preferences of the median-preference respondent
and those of the median-income respondent we
calculated the median preference within each of five
income groups (at the tenth, thirtieth, fiftieth, seventieth,
and ninetieth percentiles). For example, if, on
a particular non-monotonic item, the five income
groups had imputed median preferences of .50, .60,
.70 .65 and .55 (for the tenth to ninetieth income
percentiles, respectively), then the estimated over-all
median preference would be .60 (in this case equaling
the preference at the thirtieth income percentile). In
most cases the over-all median preference is the same as
the median income (fiftieth percentile) preference.
When it is not, the preference differences across income
levels tend to be small. Using this technique, the
median over-all preferences and the median-income
preferences track each other very closely: r5.997.
34 This study is one of the few surveys that meets the two
criteria of having a sufficiently large sample size
(n520,150) and a high enough top-coded income
578 Perspectives on Politics
Articles | Testing Theories of American Politics
category to provide information on the policy preferences
of very affluent Americans.
35 Correlations of the policy preferences of the top
2 percent with those of the top 10 percent are based on
the 76 CCES respondents who reported at least
$350,000 in family income. Using the 179 CCES
respondents who reported at least $250,000 (roughly
the top 4.5 percent of the income distribution), the
corresponding correlations are .97 and .76.
Some corroborating evidence comes from a comparison
of the Survey of Economically Successful Americans
(Page, Bartels, and Seawright 2013), based on a local
sample of the wealthiest 1 percent or 2 percent of
Americans, and the Inequality Survey (Page and Jacobs
2009), which was based on a representative sample of
the American public. Eight policy-preference questions
that were included on both surveys showed that the
preferences of the top 25 percent of income earners
generally fell about half way between those of the
average citizen and those of the wealthy. For similar
findings concerning the policy preferences of the top
4 percent or so of income earners, see Page and
Hennessy 2008.
36 We distinguish conceptually between two sorts of
deficiencies in our measures: flaws that affect the
relationship between our indictors and their underlying
concepts (such as the random and correlated
measurement errors we discuss in the appendix), and
flaws that arise from the imperfect fit between those
concepts and the characteristics we would prefer to
measure. For example, the adjustments described in
the appendix help us to improve our estimates of the
preferences of Americans at the ninetieth income
percentile, but they cannot help to make those
estimates any more accurate as indicators of the
preferences of the truly rich Americans whose views we
would prefer to include in our models.
37 Baumgartner et al. 2009, 225. We believe that our
measure of net interest group alignment (described
later) is actually superior to the Fortune 25 proxy
examined by Baumgartner et al. because it includes
industries that do not lobby through centralized trade
organizations, it is nonlinear in net number of groups,
and it reflects the extent to which a particular issue is
central to the concerns of an interest group or industry.
38 For more detail on the Index of Net Interest Group
Alignment, see Gilens 2012, 127–30.
39 On the measurement of policy change, see Gilens
2012 (60) and note 18 (284).
40 For correlations of individual groups’ positions with
average citizens’ preferences see Gilens 2012, 156–57.
41 These particular values for low and high levels of
support among affluent Americans and interest groups
were chosen because about 15 percent of all proposed
policy changes generated either less than 20 percent or
more than 80 percent support among the affluent, and
about fifteen percent of all proposed changes on which
interests groups took a position generated a raw net
interest group score of either more than five groups
strongly in favor or more than five groups strongly
opposed (counting “somewhat” favorable or opposed
as one-half of a group).
42 See Monroe 1979, 1998; Page and Shapiro 1983;
Stimson, MacKuen, and Erikson 1995.
43 Perhaps counterintuitively, it turns out that business
groups tilted somewhat less toward opposing proposed
changes (33 percent opposed, 26 percent in favor)
than mass-based groups did (38 percent opposed,
20 percent in favor.)
44 Even if existing organized groups did not reflect the
wishes of average citizens, officials’ anticipated reactions
to unformed “potential groups” might in theory
provide some representation for average citizens, as
David Truman argued they do. But our table 3 finding
of negligible independent influence by average citizens
when existing organized interest groups’ positions are
controlled for, leaves little room for potential groups
(and officials’ anticipation of them) to advance the
preferences of ordinary citizens.
45 Schlozman, Verba, and Brady 2012, ch. 10–14,
especially 321, 329, 356.
46 For the 369 out of 1,779 cases in which both businessbased
and mass-based interest groups took a stand, the
coefficients are just .09 (n.s.) for mass groups but .48**
(p,.001) for business groups.
47 For those proposed policy changes on which at least
one business-oriented group took a position, another
business-oriented group was found on the opposite
side less than 5 percent of the time. Interestingly,
mass-based groups were somewhat more likely to take
stands on both sides of an issue, for example pro-life
and pro-choice groups on abortion, or the AARP
which opposed the Clinton health reform plan and the
AFL-CIO that favored it.
48 For the analysis in table 4, both the business and
mass interest group indices were scaled to run from
0 to 1.When we rescaled these indices to reflect the
differing numbers of business and mass-based
groups engaged on each issue, the standard deviation
of the business alignment index was .158 and the
mass-oriented index .096; their associations with
policy outcomes (analogous to those shown in table
4) were almost identical, at .38 (p,.01) and .40
(p,.001), respectively.
49 Bachrach and Baratz 1962, Lukes 1974. See Isaac
1987a.
50 On the normative argument, see Dahl 1989,
especially ch. 7. For empirical evidence that its
conditions tend to be satisfied, see Page and Shapiro
1992 and Gilens 2011.
September 2014 | Vol. 12/No. 3 579
Supplementary Materials
• Business- and Mass-Based Interest-Groups Included
in Net Group Alignment Indices
• Correcting for Measurement Error
• Table A1. Ordinary least squares analysis parallel to
the structural equation model presented in table 3.
• Data/code for replicating results http://dx.doi.org/
10.1017/S1537592714001595
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https://scholar.princeton.edu/
Testing Theories of American Politics:
Elites, Interest Groups, and Average
Citizens
Martin Gilens and Benjamin I. Page Each of four theoretical traditions in the study of American politics—which can be characterized as theories of Majoritarian Electoral Democracy, Economic-Elite Domination, and two types of interest-group pluralism, Majoritarian Pluralism and Biased Pluralism—offers different predictions about which sets of actors have how much influence over public policy: average citizens;
economic elites; and organized interest groups, mass-based or business-oriented.
A great deal of empirical research speaks to the policy influence of one or another set of actors, but until recently it has not been possible to test these contrasting theoretical predictions against each other within a single statistical model. We report on an effort to do so, using a unique data set that includes measures of the key variables for 1,779 policy issues.
Multivariate analysis indicates that economic elites and organized groups representing business interests have substantial independent impacts on U.S. government policy, while average citizens and mass-based interest groups have little or no independent influence. The results provide substantial support for theories of Economic-Elite Domination and for theories of Biased Pluralism, but not for theories of Majoritarian Electoral Democracy or Majoritarian Pluralism.
Who governs? Who really rules? To what extent is the broad body of U.S. citizens sovereign, semisovereign,
or largely powerless? These questions have animated much important work in the study of
American politics.While this body of research is rich and variegated, it can loosely be divided into four families of theories: Majoritarian Electoral Democracy, Economic-Elite Domination, and two
types of interest-group pluralism—Majoritarian Pluralism, in which the interests of all citizens are more or less equally represented, and Biased Pluralism, in which corporations, business associations, and professional groups predominate.
Each of these perspectives makes different predictions about the independent influence upon U.S. policy making of four sets of actors: the Average Citizen or “median voter,” Economic Elites, and Mass-based or Business-oriented Interest Groups or industries.
Each of these theoretical traditions has given rise to
a large body of literature. Each is supported by a great
deal of empirical evidence—some of it quantitative,
some historical, some observational—concerning the
importance of various sets of actors (or, all too often,
a single set of actors) in U.S. policy making. This
literature has made important contributions to our
understanding of how American politics works and
has helped illuminate how democratic or undemocratic
(in various senses) our policy making process actually is.
Until very recently, however, it has been impossible to
test the differing predictions of these theories against
each other within a single statistical model that permits
one to analyze the independent effects of each set of
actors upon policy outcomes.
Here—in a tentative and preliminary way—we offer such
a test, bringing a unique data set to bear on the problem. Our
measures are far from perfect, but we hope that this first step
A permanent link to supplementary materials provided by
the authors precedes the References section.
Martin Gilens is Professor of Politics at Princeton University
(mgilens@princeton.edu). His research examines representation,
public opinion, and mass media, especially in relation
to inequality and public policy. Professor Gilens is the author
of Affluence & Influence: Economic Inequality and
Political Power in America (2012, Princeton University
Press). Benjamin I. Page is Gordon S. Fulcher Professor of
Decision Making at Northwestern University (b-page@-
northwestern.edu). His research interests include public
opinion, policy making, the mass media, and U.S. foreign
policy. He is currently engaged in a large collaborative project
to study Economically Successful Americans and the Common
Good. For helpful comments the authors are indebted to Larry
Bartels and Jeff Isaac, to the anonymous reviewers from
Perspectives on Politics, and to seminar participants at
Harvard University and the University of Rochester.
564 Perspectives on Politics
doi:10.1017/S1537592714001595
© American Political Science Association 2014 Articles
will help inspire further research into what we see as some of
the most fundamental questions about American politics.
The central point that emerges from our research is
that economic elites and organized groups representing
business interests have substantial independent impacts
on U.S. government policy, while mass-based interest
groups and average citizens have little or no independent
influence. Our results provide substantial support for
theories of Economic-Elite Domination and for theories
of Biased Pluralism, but not for theories of Majoritarian
Electoral Democracy or Majoritarian Pluralism.
In what follows, we briefly review the four theoretical
traditions that form the framework for our analyses and
highlight some of the most prominent empirical research
associated with each. We then describe our data and
measures and present our results. We conclude by
discussing the implications of our work for understanding
American democracy and by identifying some of the
directions for future research that our findings suggest.
Four Theoretical Traditions
Each of the four theoretical traditions we are addressing
has produced a body of literature much too vast to review
in detail here. We can only allude to a few central pieces
of work in each tradition. And we must acknowledge that
a particular scholar’s work does not always fall neatly into a
single category. Some scholars work across—or independently
of—our theoretical categories, embracing multiple
influences and complex processes of policy making. Here
we focus on ideal types of theory, for the purpose of
outlining certain distinctive predictions that those types of
theory tend tomake. Given the nature of our data, we focus
on the societal sources of influence that these theories posit,
rather than on the mechanisms of influence that they discuss.
Majoritarian Electoral Democracy
Theories of majoritarian electoral democracy, as positive or
empirical theories, attribute U.S. government policies
chiefly to the collective will of average citizens, who are
seen as empowered by democratic elections. Such thinking
goes back at least to Tocqueville, who (during the
Jacksonian era) saw American majorities as “omnipotent”—
particularly at the state level—and worried about
“tyranny of the majority.”1 It is encapsulated in Abraham
Lincoln’s reference to government “of the people, by the
people, for the people,” and was labeled by Robert Dahl
“populistic democracy.”2
An important modern incarnation of this tradition is
found in rational choice theories of electoral democracy, in
which vote-seeking parties or candidates in a two-party
system tend to converge at the mid-point of citizens’ policy
preferences. If preferences are jointly single-peaked so that
they can be arrayed along a single dimension, the “median
voter theorem”—posited verbally by Harold Hotelling,
proved by Duncan Black, and popularized by Anthony
Downs in his Economic Theory of Democracy—states that
two vote-seeking parties will both take the same position, at
the center of the distribution of voters’ most-preferred
positions. Under the relevant assumptions, public policy
that fits the preferences of the median voter is not only the
empirically-predicted equilibrium result of two-party electoral
competition; as the “Condorcet winner” it also has the
normative property of being the “most democratic” policy,
in the sense that it would be preferred to any alternative
policy in head-to-head majority-rule voting by all citizens.3
Subsequent “chaos” results by social choice theorists,
starting with Kenneth Arrow, have indicated that the
median voter prediction follows logically only for unidimensional
politics. If citizens’ preference orderings are
not unidimensional and are sufficiently diverse, majority
rule—hence also two-party electoral competition—might
not lead to any equilibrium outcome at all.4 It is important
to note, however, that what might theoretically happen will
not necessarily ever happen in practice. Real-world outcomes
depend upon how institutions are organized and
how preferences are actually configured.
Despite the “chaos” results, and despite many criticisms
of the median-voter theorem as simplistic and empirically
inapplicable or wrong,5 a good many scholars—probably
more economists than political scientists among them—
still cling to the idea that the policy preferences of the
median voter tend to drive policy outputs from the U.S.
political system. A fair amount of empirical evidence has
been adduced—by Alan Monroe; Benjamin Page and
Robert Shapiro; Robert Erikson, Michael MacKuen, and
James Stimson (authors of the very influential Macro
Polity); and others—that seems to support the notion that
the median voter determines the results of much or most
policy making. This evidence indicates that U.S. federal
government policy is consistent with majority preferences
roughly two-thirds of the time; that public policy changes
in the same direction as collective preferences a similar
two-thirds of the time; that the liberalism or conservatism
of citizens is closely associated with the liberalism or
conservatism of policy across states; and that fluctuations
in the liberal or conservative “mood” of the public are
strongly associated with changes in the liberalism or
conservatism of policy in all three branches of government.
6
The fly in the ointment is that none of this evidence
allows for, or explicitly assesses, the impact of such
variables as the preferences of wealthy individuals, or
the preferences and actions of organized interest groups,
which may independently influence public policy while
perhaps being positively associated with public opinion—
thereby producing a spurious statistical relationship
between opinion and policy.
Recent research by Larry Bartels and by one of the
present authors (Gilens), which explicitly brings the
preferences of “affluent” Americans into the analysis along
September 2014 | Vol. 12/No. 3 565
with the preferences of those lower in the income
distribution, indicates that the apparent connection between
public policy and the preferences of the average
citizen may indeed be largely or entirely spurious.7
The “electoral reward and punishment” version of
democratic control through elections—in which voters
retrospectively judge how well the results of government
policy have satisfied their basic interests and values, and
politicians enact policies in anticipation of judgments that
they expect will later be made by what V.O. Key, Jr., called
“latent” public opinion—might be thought to offer
a different prediction: that policy will tend to satisfy
citizens’ underlying needs and values, rather than corresponding
with their current policy preferences.8 We
cannot test this prediction because we do not have—and
cannot easily imagine how to obtain—good data on
individuals’ deep, underlying interests or values, as
opposed to their expressed policy preferences. But the
evidence that collective policy preferences are generally
rather stable over time suggests that expressed collective
policy preferences may not often diverge markedly from
subsequently manifested “latent” preferences. They may
do so only under special circumstances, such as economic
recessions or disastrous wars.9 If so, the electoral-rewardand-
punishment type of democratic theory, too, predicts
that most of the time public policy will respond to the
current policy preferences of the average citizen.
Economic-Elite Domination
A quite different theoretical tradition argues that U.S.
policy making is dominated by individuals who have
substantial economic resources, i.e., high levels of income
or wealth—including, but not limited to, ownership of
business firms.
Not all “elite theories” share this focus. Some emphasize
social status or institutional position—such as the occupancy
of key managerial roles in corporations, or top-level
positions in political parties, in the executive, legislative, or
judicial branches of government, or in the highest ranks of
the military. Some elite theories postulate an amalgam of
elites, defined by combinations of social status, economic
resources, and institutional positions, who achieve a degree
of unity through common backgrounds, coinciding interests,
and social interactions.
For example, C. Wright Mills’ important book,
The Power Elite, offers a rather nuanced account of how
U.S. social, economic, political, and military elites have
historically alternated in different configurations of dominance.
Mills noted that his elites derived in substantial
proportions from the upper classes, including the very rich
and corporate executives, but their elite status was not
defined by their wealth.10 Our focus here is on theories that
emphasize the policy-making importance of economic elites.
Analyses of U.S. politics centered on economic elites
go back at least to Charles Beard, who maintained that
a chief aim of the framers of the U.S. Constitution was to
protect private property, favoring the economic interests
of wealthy merchants and plantation owners rather than
the interests of the then-majority small farmers, laborers,
and craft workers. A landmark work in this tradition is
G. William Domhoff ’s detailed account of how elites
(working through foundations, think-tanks, and an “opinionshaping
apparatus,” as well as through the lobbyists and
politicians they finance) may dominate key issues in U.S.
policy making despite the existence of democratic elections.
Philip A. Burch has exhaustively chronicled the economic
backgrounds of federal government officials through
American history. Thomas Ferguson’s analysis of the
political importance of “major investors” might be seen as
a theory of economic elites. Most recently, Jeffrey
Winters has posited a comparative theory of “Oligarchy,”
in which the wealthiest citizens—even in a “civil oligarchy”
like the United States—dominate policy concerning crucial
issues of wealth and income protection.11
Our third and fourth theoretical traditions posit that
public policy generally reflects the outcome of struggle
among organized interest groups and business firms.12
Majoritarian Pluralism
The roots of what we can characterize as theories of
“majoritarian” interest-group pluralism go back to James
Madison’s Federalist Paper No. 10, which analyzed politics
in terms of “factions”—a somewhat fuzzy concept that
apparently encompassed political parties and even popular
majorities, as well as what we would today consider organized
interest groups, business firms, and industrial sectors. Madison
argued that struggles among the diverse factions that would be
found in an extensive republic would lead to policies more or
less representative of the needs and interests of the citizenry as
a whole—or at least would tend to defeat “tyrannical” policies,
including the much-feared issuance of inflationary paper
money that might cater to local majority factions of farmerdebtors
but would be costly to merchant creditors.13
In the twentieth century, Arthur Bentley’s The Process
of Government and then David Truman’s monumental
The Governmental Process put groups at the center of
political analysis, laying out a detailed picture of how
organized interest groups might get their way. Truman
offered a comprehensive and still-interesting catalogue of
lobbying techniques and other methods of group influence.
He also added an ingenious gloss to Madison
that tends to increase both the plausibility and the
normative appeal of majoritarian interest-group pluralism:
the assertion that all interests have at least a minimum of
influence in group-dominated policy making, because
policy makers must (in order to avoid subsequent punishment)
heed all “potential” groups that would form if their
interests were trampled upon.14
Robert Dahl’s analysis of New Haven city politics was
Madisonian or Truman-like in its insistence that many
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(all?) diverse interests were represented, though Dahl
focused as much on active members of the general public
as on organized groups. Dahl’s analyses of American
politics in terms of “polyarchy” or “pluralist democracy”
also come close to our ideal type of majoritarian pluralist
theory, since they imply that the wants or needs of the
average citizen tend to be reasonably well served by the
outcomes of interest-group struggle. Several contemporary
analysts of interest-group politics likewise appear to accept
(at least implicitly) a picture of group struggle that results
in more or less majoritarian results.15
A major challenge to majoritarian pluralist theories,
however, is posed by Mancur Olson’s argument that
collective action by large, dispersed sets of individuals with
individually small but collectively large interests tends to
be prevented by the “free rider” problem. Barring special
circumstances (selective incentives, byproducts, coercion),
individuals who would benefit from collective action may
have no incentive to personally form or join an organized
group. If everyone thinks this way and lets George do it,
the job is not likely to get done. This reasoning suggests
that Truman’s “potential groups” may in fact be unlikely
to form, even if millions of peoples’ interests are neglected
or harmed by government. Aware of the collective action
problem, officials may feel free to ignore much of the
population and act against the interests of the average
citizen.16
Biased Pluralism
Olson’s argument points toward an important variant line
of thinking within the pluralist tradition: theories of
“biased ” pluralism, which posit struggles among an unrepresentative
universe of interest groups—characterized
by E.E. Schattschneider as a heavenly chorus with an
“upper-class accent,” and more recently dubbed by Kay
Lehman Schlozman, Sidney Verba, and Henry Brady an
“unheavenly chorus.” Theories of biased pluralism generally
argue that both the thrust of interest-group conflict
and the public policies that result tend to tilt toward the
wishes of corporations and business and professional
associations.17
Schattschneider suggested that policy outcomes vary
with the “scope of conflict”: for example, that businessoriented
interest groups tend to prevail over ordinary
citizens when the scope is narrow and visibility is low.
Grant McConnell added the idea that the actual
“constituencies” of policy implementers can consist of
powerful groups. George Stigler (articulating what some
economists have scorned as “Chicago Marxism”) analyzed
the politics of regulation in terms of biased pluralism: the
capture of regulators by the regulated. Charles Lindblom
outlined a number of ways—including the “privileged
position” of business—in which business firms and their
associations influence public policy. Thomas Ferguson has
posited an “investment theory” of politics in which “major
investors”—especially representatives of particular industrial
sectors—fund political parties in order to get
policies that suit their economic interests. Fred Block’s
“neo-Polanyian” analysis emphasizes groups. Jacob Hacker
and Paul Pierson’s analysis of “winner-take-all-politics,”
which emphasizes the power of the finance industry, can
be seen as a recent contribution to the literature of biased
pluralism.18
Marxist and neo-Marxist theories of the capitalist state
hold that economic classes—and particularly the bourgeoisie,
the owners of the means of production—dominate
policy making and cause the state to serve their
material interests. As the Communist Manifesto put it,
“The bourgeoisie has . . . conquered for itself, in the
modern representative State, exclusive political sway. The
executive of the modern State is but a committee for
managing the common affairs of the whole bourgeoisie.”19
We cannot precisely test the predictions of such theories,
because we lack good measures of policy preferences by
economic class. (In Marxist theory, neither income nor
wealth accurately signals class position.) We can note,
however, that certain “instrumentalist” Marxist theories,
including the important version put forth by Ralph
Miliband, make predictions resembling those of theories
of Biased Pluralism: that interest groups and corporations
representing “large scale business” tend to prevail.20
As to empirical evidence concerning interest groups, it
is well established that organized groups regularly lobby
and fraternize with public officials, move through
revolving doors between public and private employment,
provide self-serving information to officials, draft legislation,
and spend a great deal of money on election
campaigns.21 Moreover, in harmony with theories of
biased pluralism, the evidence clearly indicates that most
interest groups and lobbyists represent business firms or
professionals. Relatively few represent the poor or even the
economic interests of ordinary workers, particularly now
that the U.S. labor movement has become so weak.22
But do interest groups actually influence policy?
Numerous case studies have detailed instances in which
all but the most dedicated skeptic is likely to perceive
interest-group influence at work. A leading classic
remains Schattschneider’s analysis of the 1928 enactment
of the Smoot-Hawley tariff, an astounding orgy of porkbarrel
politics.23 Still,many quantitatively-oriented political
scientists seem to ignore or dismiss such non-quantitative
evidence. There have also been some efforts (particularly
during the Cold War era, when unflattering depictions of
U.S. politics may have been thought unpatriotic) to
demonstrate that interest groups have no influence on
policy at all. Raymond Bauer, Ithiel Pool, and Lewis
Anthony Dexter argued that business had little or no effect
on the renewal of reciprocal trade authority. Lester
Milbrath, having conducted interviews with lobbyists and
members of Congress, rated lobbyists’ influence as very low.
September 2014 | Vol. 12/No. 3 567
More recently, Fred McChesney has made the ingenious
argument that campaign contributions from interest groups
may not represent quid pro quo bribery attempts by groups,
but instead result from extortion by politicians who threaten
to harm the groups’ interests.24
Very few studies have offered quantitative evidence
concerning the impact of interest groups based on
a number of different public policies. Important exceptions
include the work of Mark Smith and that of
Frank Baumgartner, Jeffrey Berry, Marie Hojnacki,
David Kimball, and Beth Leech.25
Mark Smith examined 2,364 “business unity” issues—
over a period of four decades—on which the U.S. Chamber
of Commerce (arguably a reasonable proxy for business
groups as a whole, on this particular set of issues where most
businesses agreed) took a public stand for or against.He then
calculated six measures of the Chamber’s annual rate of
“success” at getting the action or inaction it favored from
Congress.26 The Chamber’s average success rate in terms of
proportion of bills enacted or defeated appears to have been
fairly high,27 but Smith did not argue that such success
necessarily demonstrates influence. (A batting-average
approach to influence would have to assume that standtaking
is unrelated to expectations of success. Further, in
order to gauge business’s independent impact and avoid
spurious results, data on stands taken by other actors would
need to be included as well.) Instead, Smith devoted most of
his effort to analyzing the over-time correlates of high or low
success, such as variations in the public “mood” and in the
partisan composition of Congress.
Frank Baumgartner and his colleagues, in their meticulous
examination of 98 cases of congressional policy
making in which interest groups were active, investigated
whether the magnitude of group resources that were
deployed was related to outcomes across those cases. In
their multivariate analyses, Baumgartner et al. found
a modest tendency for policy outcomes to favor the side
that enjoyed greater resources (PAC contributions, lobbying
expenditures, membership size, etc.).28
Prior to the availability of the data set that we analyze
here, no one we are aware of has succeeded at assessing
interest-group influence over a comprehensive set of
issues, while taking into account the impact of either
the public at large or economic elites—let alone analyzing
all three types of potential influences simultaneously.
Testing Theoretical Predictions
What makes possible an empirical effort of this sort is the
existence of a unique data set, compiled over many years
by one of us (Gilens) for a different but related purpose:
for estimating the influence upon public policy of
“affluent” citizens, poor citizens, and those in the middle
of the income distribution.
Gilens and a small army of research assistants29
gathered data on a large, diverse set of policy cases:
1,779 instances between 1981 and 2002 in which
a national survey of the general public asked a favor/
oppose question about a proposed policy change. A total of
1,923 cases met four criteria: dichotomous pro/con
responses, specificity about policy, relevance to federal
government decisions, and categorical rather than conditional
phrasing. Of those 1,923 original cases, 1,779 cases
also met the criteria of providing income breakdowns for
respondents, not involving a Constitutional amendment
or a Supreme Court ruling (which might entail a quite
different policy-making process), and involving a clear, as
opposed to partial or ambiguous, actual presence or
absence of policy change. These 1,779 cases do not
constitute a sample from the universe of all possible policy
alternatives (this is hardly conceivable), but we see them as
particularly relevant to assessing the public’s influence on
policy.The included policies are not restricted to the narrow
Washington “policy agenda.” At the same time—since they
were seen as worth asking poll questions about—they tend
to concernmatters of relatively high salience, about which it
is plausible that average citizens may have real opinions and
may exert some political influence.30
For each case, Gilens used the original survey data to
assess responses by income level. In order to cope with
varying income categories across surveys, he employed
a quadratic logistic regression technique to estimate the
opinions of respondents at the tenth income percentile
(quite poor), the fiftieth percentile (median), and the
ninetieth percentile (fairly affluent).31
Here we use these policy preference data to measure—
imperfectly, but, we believe, satisfactorily—two independent
variables posited as major influences upon policy
making in the theoretical traditions discussed above.
Policy preferences at the fiftieth income percentile—
that is, the preferences of the median-income survey
respondent—work quite well as measures of the preferences
of the average citizen (or, more precisely, the median
non-institutionalized adult American), which are central
to theories of Majoritarian Electoral Democracy.32 In all
cases in which the relationship between income and
preferences is monotonic, and in all cases in which there
is no systematic relationship at all between the two, the
preferences of the median-income respondent are identical
to those of the median-preference respondent. In the
remaining cases the two are very close to each other.33
We believe that the preferences of “affluent” Americans
at the ninetieth income percentile can usefully be taken as
proxies for the opinions of wealthy or very-high-income
Americans, and can be used to test the central predictions
of Economic-Elite theories. To be sure, people at the
ninetieth income percentile are neither very rich nor very
elite; in 2012 dollars, Gilens’ “affluent” respondents
received only about $146,000 in annual household
income. To the extent that their policy preferences differ
from those of average-income citizens, however, we would
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argue that there are likely to be similar but bigger differences
between average-income citizens and the truly
wealthy.
Some evidence for this proposition comes from the
2011 Cooperative Congressional Election Study.34 Based
on 13 policy-preference questions asked on this survey, the
preferences of the top 2 percent of income earners (a group
that might be thought “truly wealthy”) are much more
highly correlated with the preferences of the top 10 percent
of earners than with the preferences of the average survey
respondent (r5.91 versus .69).35 Thus, the views of our
moderately high-income “affluent” respondents appear to
capture useful information about the views of the truly
wealthy.
In any case, the imprecision that results from use of
our “affluent” proxy is likely to produce underestimates of
the impact of economic elites on policy making. If we find
substantial effects upon policy even when using this
imperfect measure, therefore, it will be reasonable to infer
that the impact upon policy of truly wealthy citizens is still
greater.36
In order to measure interest-group preferences and
actions, we would ideally like to use an index of the sort
that Baumgartner and his colleagues developed for their
ninety-eight policy issues: an index assessing the total
resources brought to bear by all major interest groups that
took one side or the other on each of our 1,779 issues.
But it is not feasible to construct such an index for all our
cases; this would require roughly twenty times as much
work as did the major effort made by the Baumgartner
research team on their cases. Fortunately, however,
Baumgartner et al. found that a simple proxy for their
index—the number of reputedly “powerful” interest
groups (from among groups appearing over the years in
Fortune magazine’s “Power 25” lists) that favored a given
policy change, minus the number that opposed it—
correlated quite substantially in their cases with the full
interest-group index (r50.73).37
Gilens, using a modified version of this simple count
of the number of “powerful” interest groups favoring
(minus those opposing) each proposed policy change,
developed a measure of Net Interest Group Alignment.
To the set of groups on the “Power 25” lists (which
seemed to neglect certain major business interests) he
added ten key industries that had reported the highest
lobbying expenditures. (For the final list of included
industries and interest groups, refer to Appendix 1.) For
each of the 1,779 instances of proposed policy change,
Gilens and his assistants drew upon multiple sources to
code all engaged interest groups as “strongly favorable,”
“somewhat favorable,” “somewhat unfavorable,” or
“strongly unfavorable” to the change. He then combined
the numbers of groups on each side of a given
issue, weighting “somewhat” favorable or somewhat
unfavorable positions at half the magnitude of
“strongly” favorable or strongly unfavorable positions.
In order to allow for the likelihood of diminishing
returns as the net number of groups on a given side
increases (an increase from 10 to 11 groups likely
matters less than a jump from 1 to 2 does), he took
the logarithms of the number of pro groups and the
number of con groups before subtracting. Thus,
Net Interest-Group Alignment 5ln(# Strongly Favor1[0.5 * #
Somewhat Favor] 1 1) - ln(# Strongly Oppose 1 [0.5 * #
Somewhat Oppose] 1 1).38
We also report here results for comparable group
alignment indices that were computed separately for the
mass-based and for the business-oriented sets of groups
listed in Appendix 1.
Our dependent variable is a measure of whether or not
the policy change proposed in each survey question was
actually adopted within four years after the question was
asked. (It turns out that most of the action occurred
within two years). Of course there was nothing easy
about measuring the presence or absence of policy change
for each of 1,779 different cases; Gilens and his research
assistants spent many hours poring over news accounts,
government data, Congressional Quarterly publications,
academic papers and the like.39
In order to test among our theoretical traditions, we
begin by considering all organized interest groups
together, not distinguishing between mass-based and
business-oriented groups. Within a single statistical model,
we estimate the independent impact upon our dependent
variable (policy change) of each of three independent
variables: the average citizen’s policy preferences (preferences
at the fiftieth income percentile); the policy preferences of
economic elites (measured by policy preferences at the
ninetieth income percentile); and the stands of interest
groups (the Net Interest-Group Alignment Index).
Later, in order to distinguish clearly between Majoritarian
Pluralism and Biased Pluralism, we will use two
separate measures of net interest-group alignment, one
involving only mass-based interest groups and the other
limited to business and professional groups. The main
hypotheses of interest, summarized in table 1, follow fairly
straightforwardly from our discussion of our four ideal
types of theory.
In their pure form, theories of Majoritarian Electoral
Democracy (for example, rational models of electoral
competition that include no societal actors other than
average citizens), predict that the influence upon policy of
average citizens is positive, significant, and substantial,
while the influence of other actors is not.
Theories of Economic-Elite Domination predict positive,
significant, and substantial influence upon policy by
economic elites. Most such theories allow for some
(though not much) independent influence by average
citizens, e.g., on non-economic social issues. Many also
September 2014 | Vol. 12/No. 3 569
allow for some independent influence by business
interest groups—and therefore probably by interest groups
taken as a whole—though their emphasis is on wealthy
individuals.
In general, theories of interest-group pluralism predict
that only organized interest groups will have
positive, significant, and substantial effects upon public
policy. Influence proceeds from groups, not from
wealthy (or other) individuals. Depending upon the
type of pluralist theory, average citizens may or may not
be well represented through organized groups, but they
do not have a great deal of independent influence on
their own.
Theories of Majoritarian Pluralism predict that the
stands of organized interest groups, all taken together,
rather faithfully represent (that is, are positively and
substantially correlated with) the preferences of average
citizens. But since most political influence proceeds
through groups, a multivariate analysis that includes both
interest-group alignments and citizens’ preferences should
show far more independent influence by the groups than
the citizens. Truman’s idea of “potential groups” does,
however, leave room for some direct influence by average
citizens.
Theories of Biased Pluralism, too, see organized interest
groups as having much more influence than average citizens
or individual economic elites. But they predict that
business-oriented groups play the major role.
Recognizing the complexity of the political world, we
must also acknowledge the possibility that more than one
of these theoretical traditions has some truth to it: that
several—even all—of our sets of actors may have substantial,
positive, independent influence on public policy.
And we must consider the null hypothesis that none of
these theoretical traditions correctly describes even part of
what goes on in American politics.
Influence upon Policy of Average
Citizens, Economic Elites, and Interest
Groups
Before we proceed further, it is important to note that even
if one of our predictor variables is found (when controlling
for the others) to have no independent impact on policy at
all, it does not follow that the actors whose preferences are
reflected by that variable—average citizens, economic elites,
or organized interest groups of one sort or another—always
“lose” in policy decisions. Policy making is not necessarily
a zero-sum game among these actors. When one set of
actors wins, others may win as well, if their preferences are
positively correlated with each other.
It turns out, in fact, that the preferences of average
citizens are positively and fairly highly correlated, across
issues, with the preferences of economic elites (refer to
table 2). Rather often, average citizens and affluent citizens
(our proxy for economic elites) want the same things from
government. This bivariate correlation affects how we
should interpret our later multivariate findings in terms of
“winners” and “losers.” It also suggests a reason why
serious scholars might keep adhering to both the Majoritarian
Electoral Democracy and the Economic-Elite
Domination theoretical traditions, even if one of them
may be dead wrong in terms of causal impact. Ordinary
citizens, for example, might often be observed to “win”
(that is, to get their preferred policy outcomes) even if they
had no independent effect whatsoever on policy making, if
elites (with whom they often agree) actually prevail.
But net interest-group stands are not substantially
correlated with the preferences of average citizens. Taking
all interest groups together, the index of net interest-group
alignment correlates only a non-significant .04 with
average citizens’ preferences! (Refer to table 2.) This casts
grave doubt on David Truman’s and others’ argument that
Table 1
Theoretical predictions concerning the independent influence of sets of actors upon policy
outcomes
Sets of Actors
Theory (ideal type)
Average
Citizens
Economic
Elites
All Interest
Groups
Mass Interest
Groups
Business Interest
Groups
Majoritarian Electoral
Democracy
Y n n n n
Dominance by Economic
Elites
y Y y n y
Majoritarian Pluralism y n Y Y Y
Biased Pluralism n n y y Y
n 5 little or no independent influence
y 5 some independent influence
Y 5 substantial independent influence
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organized interest groups tend to do a good job of
representing the population as a whole. Indeed, as table
2 indicates, even the net alignments of the groups we have
categorized as “mass-based” correlate with average citizens’
preferences only at the very modest (though statistically
significant) level of .12.
Some particular U.S. membership organizations—
especially the AARP and labor unions—do tend to favor
the same policies as average citizens. But other membership
groups take stands that are unrelated (pro-life and
pro-choice groups) or negatively related (gun owners) to
what the average American wants.40 Some membership
groups may reflect the views of corporate backers or their
most affluent constituents. Others focus on issues on
which the public is fairly evenly divided. Whatever the
reasons, all mass-based groups taken together simply do
not add up, in aggregate, to good representatives of the
citizenry as a whole. Business-oriented groups do even
worse, with a modest negative over-all correlation of -.10.
Nor do we find an association between the preferences
of economic elites and the alignments of either massbased
or business-oriented groups. The latter finding,
which surprised us, may reflect profit-making motives
among businesses as contrasted with broader ideological
views among elite individuals. For example, economic
elites tend to prefer lower levels of government spending
on practically everything, while business groups and
specific industries frequently lobby for spending in areas
from which they stand to gain. Thus pharmaceutical,
hospital, insurance, and medical organizations have
lobbied for more spending on health care; defense
contractors for weapons systems; the American Farm
Bureau for agricultural subsidies, and so on.
Initial Tests of Influences on Policy Making
The first three columns of table 3 report bivariate results,
in which each of three independent variables (taking all
interest groups together, for now) is modeled separately as
the sole predictor of policy change. Just as previous
literature suggests, each of three broad theoretical
traditions—Majoritarian Electoral Democracy, Economic-
Elite Domination, and interest-group pluralism—seems to
gain support. When taken separately, each independent
variable—the preferences of average citizens, the preferences
Table 2
Correlations among independent variables
Average citizens’
preferences
Economic elites’
preferences
All interest
groups
Mass public
interest groups
Business
interest groups
Average citizens’
preferences
—
Economic elites’
preferences
.78*** —
All interest groups .04 .05 —
Mass public
interest groups
.12*** .01 .47*** —
Business interest
groups
-.10*** -.02 .96*** -.05 —
***p,.001; n51779.
Note: Entries are correlation coefficients corrected for measurement error as explained in Appendix 2.
Table 3
Policy outcomes and the policy preferences
of average citizens, economic elites,
and interest groups
Model 1 Model 2 Model 3 Model 4
Preferences
of average
citizens
.64
(.08)***
— — .03
(.08)
Preferences
of
economic
elites
— .81
(.08)***
— .76
(.08)***
Alignment of
interest
groups
— — .59
(.09)***
.56
(.09)***
R-sq .031 .049 .028 .074
***p,.001
Note: All predictors are scaled to range from 0 to 1.
The dependent variable is the policy outcome, coded 1 if
the proposed policy change took place within four years of the
survey date and 0 if it did not. Predictors are the logits of
the imputed percent of respondents at the fiftieth (“average
citizens”) or ninetieth (“economic elites”) income percentile
that favor the proposed policy change, and the Net Interest-
Group Alignment Index described in the text. Standard errors
are asymptotically distribution-free, and all analyses reflect
estimated measurement error in the predictors, as described
in Appendix 2. The standardized coefficients for model 4 in
this table are .01, .21, and .16 for average citizens, economic
elites, and interest groups, respectively. N51,779.
September 2014 | Vol. 12/No. 3 571
of economic elites, and the net alignments of organized
interest groups—is strongly, positively, and quite significantly
related to policy change. Little wonder that each
theoretical tradition has its strong adherents.
But the picture changes markedly when all three
independent variables are included in the multivariate
Model 4 and are tested against each other. The estimated
impact of average citizens’ preferences drops precipitously,
to a non-significant, near-zero level. Clearly the median
citizen or “median voter” at the heart of theories of
Majoritarian Electoral Democracy does not do well when
put up against economic elites and organized interest
groups. The chief predictions of pure theories of
Majoritarian Electoral Democracy can be decisively
rejected. Not only do ordinary citizens not have uniquely
substantial power over policy decisions; they have little or
no independent influence on policy at all.
By contrast, economic elites are estimated to have
a quite substantial, highly significant, independent
impact on policy. This does not mean that theories of
Economic-Elite Domination are wholly upheld, since our
results indicate that individual elites must share their
policy influence with organized interest groups. Still,
economic elites stand out as quite influential—more so
than any other set of actors studied here—in the making of
U.S. public policy.
Similarly, organized interest groups (all taken together,
for now) are found to have substantial independent
influence on policy. Again, the predictions of pure theories
of interest-group pluralism are not wholly upheld, since
organized interest groups must share influence with
economically-elite individuals. But interest-group alignments
are estimated to have a large, positive, highly
significant impact upon public policy.
These results suggest that reality is best captured by
mixed theories in which both individual economic elites
and organized interest groups (including corporations,
largely owned and controlled by wealthy elites) play
a substantial part in affecting public policy, but the
general public has little or no independent influence.
The rather low explanatory power of all three independent
variables taken together (with an R-squared of
just .074 in Model 4) may partly result from the
limitations of our proxy measures, particularly with respect
to economic elites (since our “affluent” proxy is admittedly
imperfect) and perhaps with respect to interest groups
(since only a small fraction of politically-active groups are
included in our measure). Again, the implication of these
limitations in our data is that interest groups and
economic elites actually wield more policy influence than
our estimates indicate. But it is also possible that
there may exist important explanatory factors outside
the three theoretical traditions addressed in this analysis.
Or there may be a great deal of idiosyncrasy in policy
outputs, or variation across kinds of issues, that would be
difficult for any general model to capture. With our
present data we cannot tell.
The magnitudes of the coefficients reported in table 3
are difficult to interpret because of our transformations of
the independent variables. A helpful way to assess the
relative influence of each set of actors is to compare how
the predicted probability of policy change alters when
moving from one point to another on their distributions of
policy dispositions, while holding other actors’ preferences
constant at their neutral points (50 percent favorable for
average citizens and for economic elites, and a net interestgroup
alignment score of 0). These changing probabilities,
based on the coefficients in model 4 of table 3, are linegraphed
in figure 1 along with bar graphs of the underlying
preference distributions.
Clearly, when one holds constant net interest-group
alignments and the preferences of affluent Americans, it
makes very little difference what the general public
thinks. The probability of policy change is nearly the
same (around 0.3) whether a tiny minority or a large
majority of average citizens favor a proposed policy
change (refer to the top panel of figure 1).
By contrast—again with other actors held constant—
a proposed policy change with low support among
economically-elite Americans (one out of five in favor)
is adopted only about 18 percent of the time, while
a proposed change with high support (four out of five in
favor) is adopted about 45 percent of the time. Similarly,
when support for policy change is low among interest
groups (with five groups strongly opposed and none in
favor) the probability of that policy change occurring is
only .16, but the probability rises to .47 when interest
groups are strongly favorable (refer to the bottom two
panels of figure 1).41
When both interest groups and affluent Americans
oppose a policy it has an even lower likelihood of being
adopted (these proposed policies consist primarily of tax
increases). At the other extreme, high levels of support
among both interest groups and affluent Americans increases
the probability of adopting a policy change, but a strong
status quo bias remains evident. Policies with strong support
(as defined above) among both groups are only adopted
about 56 percent of the time (strongly favored policies in our
data set that failed include proposed cuts in taxes, increases
in tax exemptions, increased educational spending for K–12,
college support, and proposals during the Clinton administration
to add a prescription drug benefit to Medicare).
Majoritarian Electoral Democracy
What are we to make of findings that seem to go against
volumes of persuasive theorizing and much quantitative
research, by asserting that the average citizen or the “median
voter”has little or no independent influence on public policy?
As noted, our evidence does not indicate that in U.S.
policy making the average citizen always loses out. Since
572 Perspectives on Politics
Articles | Testing Theories of American Politics
the preferences of ordinary citizens tend to be positively
correlated with the preferences of economic elites, ordinary
citizens often win the policies they want, even if they
are more or less coincidental beneficiaries rather than
causes of the victory. There is not necessarily any
contradiction at all between our findings and past bivariate
findings of a roughly two-thirds correspondence between
actual policy and the wishes of the general public, or of
a close correspondence between the liberal/conservative
“mood” of the public and changes in policy making.42 Our
main point concerns causal inference: if interpreted in
terms of actual causal impact, the prior findings appear to
be largely or wholly spurious.
Further, the issues about which economic elites and
ordinary citizens disagree reflect important matters,
including many aspects of trade restrictions, tax policy,
corporate regulation, abortion, and school prayer, so
that the resulting political losses by ordinary citizens
are not trivial. Moreover, we must remember that in
our analyses the preferences of the affluent are serving
as proxies for those of truly wealthy Americans, who
may well have more political clout than the affluent,
and who tend to have policy preferences that differ
more markedly from those of the average citizens. Thus
even rather slight measured differences between preferences
of the affluent and the median citizen may
signal situations in which economic-elites want something
quite different from most Americans and they
generally get their way.
A final point: Even in a bivariate, descriptive sense,
our evidence indicates that the responsiveness of the
U.S. political system when the general public wants
government action is severely limited. Because of the
impediments to majority rule that were deliberately built
into the U.S. political system—federalism, separation of
powers, bicameralism—together with further impediments
due to anti-majoritarian congressional rules and
procedures, the system has a substantial status quo bias.
Thus when popular majorities favor the status quo,
opposing a given policy change, they are likely to get their
way; but when a majority—even a very large majority—of
the public favors change, it is not likely to get what it
wants. In our 1,779 policy cases, narrow pro-change
majorities of the public got the policy changes they wanted
only about 30 percent of the time. More strikingly, even
overwhelmingly large pro-change majorities, with 80
percent of the public favoring a policy change, got that
change only about 43 percent of the time.
In any case, normative advocates of populistic
democracy may not be enthusiastic about democracy by
coincidence, in which ordinary citizens get what they
want from government only when they happen to agree
with elites or interest groups that are really calling the
shots. When push comes to shove, actual influence
matters.
Economic Elites
Economic-Elite Domination theories do rather well
in our analysis, even though our findings probably
understate the political influence of elites. Our measure
of the preferences of wealthy or elite Americans—though
Figure 1
Predicted probability of policy adoption (dark
lines, left axes) by policy disposition; the
distribution of preferences (gray columns,
right axes)
September 2014 | Vol. 12/No. 3 573
useful, and the best we could generate for a large set of
policy cases—is probably less consistent with the relevant
preferences than are our measures of the views of ordinary
citizens or the alignments of engaged interest groups. Yet
we found substantial estimated effects even when using
this imperfect measure. The real-world impact of elites
upon public policy may be still greater.
What we cannot do with these data is distinguish
definitively among different versions of elite theories.
We cannot be sure whether we are capturing the
political influence of the wealthiest Americans (the top
1 percent of wealth-holders? the top one-tenth of 1
percent?), or, conceivably, the less affluent but more
numerous citizens around the ninetieth income percentile
whose preferences are directly gauged by our
measure.
In any case, we need to reiterate that our data concern
economic elites. Income and wealth tend to be positively
correlated with other dimensions of elite status, such as
high social standing and the occupancy of high-level
institutional positions, but they are not the same thing.
We cannot say anything directly about the non-economic
aspects of certain elite theories, especially those that
emphasize actors who may not be highly paid, such as
public officials and political party activists.
Organized Interest Groups
Our findings of substantial influence by interest groups is
particularly striking because little or no previous research
has been able to estimate the extent of group influence
while controlling for the preferences of other key nongovernmental
actors. Our evidence clearly indicates
that—controlling for the influence of both the average
citizen and economic elites—organized interest groups
have a very substantial independent impact upon public
policy. Theories of interest-group pluralism gain a strong
measure of empirical support.
Here, too, the imperfections of our measure of
interest-group alignment (though probably less severe
than in the case of economically-elite individuals)
suggest, a fortiori, that the actual influence of organized
groups may be even greater than we have found. If we had
data on the activity of the thousands of groups not
included in our net interest-group alignment measure, we
might find many cases in which a group (perhaps
unopposed by any other groups) got its way. This might
be particularly true of narrow issues like special tax breaks
or subsidies aimed at just one or two business firms,
which are underrepresented in our set of relatively highsalience
policies. (Our data set includes only policies
thought to be important enough for a national opinion
survey to ask a question about it.)
An important feature of interest group influence is that
it is often deployed against proposed policy changes. On
the 1,357 proposed policy changes for which at least one
interest group was coded as favoring or opposing change,
in only 36 percent of the cases did most groups favor
change, while in 55 percent of the cases most groups
opposed change. (The remaining cases involved equal
numbers for and against.)43
Distinguishing between Majoritarian Pluralism
and Biased Pluralism
Can we say anything further about whether processes of
interest-group influence more closely resemble Trumanlike,
broadly representative Majoritarian Pluralism, or
Schattschneider-style “Biased” Pluralism, in which business
interests, professional associations, and corporations
play the dominant part?
We have already reported several findings that cast
serious doubt upon Majoritarian Pluralism. If the net
results of interest-group struggle were to help average
citizens get their way—with organized groups perhaps
representing citizens more effectively than politicallyinattentive
Americans could do for themselves—we would
expect that the net alignment of interest groups would be
positively and strongly correlated with the policy preferences
of the average citizen. But we know from table 2 that
they are not in fact significantly correlated at all. Interestgroup
alignments are almost totally unrelated to the
preferences of average citizens. Moreover, there is no
indication that officials’ anticipation of reactions from
“potential groups” brings policies in line with what citizens
want.44 Empirical support for Majoritarian Pluralism
looks very shaky, indeed. We also know that the composition
of the U.S. interest-group universe is heavily tilted
toward corporations and business and professional associations.
45 This fact certainly points toward Biased rather
than Majoritarian Pluralism.
To go a step further, theories of Majoritarian Pluralism
predict relatively more independent influence upon
policy by mass-based interest groups than do theories of
Biased Pluralism. It may be useful, therefore, to distinguish
between mass-based and business-oriented interest
groups and to investigate how much policy influence each
group actually has.
Accordingly, we computed separate net-interest-groupalignment
indices for business-oriented and for massbased
groups (refer to Appendix 1 for lists of each) and
included both of them in a new multivariate analysis,
along with the preferences of average citizens and
economic elites—dropping our previous measure of the
net alignment of all interest groups.
The results of this analysis are given in table 4. Clearly
the predictions of Biased Pluralism theories fare substantially
better than those of Majoritarian Pluralism theories.
The influence coefficients for both mass-based and
business-oriented interest groups are positive and highly
significant statistically, but the coefficient for business
groups is nearly twice as large as that for the mass groups.
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Moreover, when we restricted this same analysis to the
smaller set of issues upon which both types of groups
took positions—that is, when we considered only cases in
which business-based and mass-based interest groups
were directly engaged with each other—the contrast
between the estimated impact of the two types of groups
was even greater.46
The advantage of business-oriented groups in shaping
policy outcomes reflects their numerical advantage within
the interest-group universe in Washington, and also the
infrequency with which business groups are found
simultaneously on both sides of a proposed policy
change.47 Both these factors (numerical dominance and
relative cohesion) play a part in the much stronger
correlation of the overall interest-group alignment index
with business groups than with mass-oriented groups (.96
versus .47, table 2). The importance of business groups’
numerical advantage is also revealed when we rescale our
measures of business and mass-oriented interest-group
alignments to reflect the differing number of groups in
each of these categories. Using this rescaled measure,
a parallel analysis to that in table 4 shows that on
a group-for-group basis the average individual business
group and the average mass-oriented group appears to be
about equally influential. The greater total influence of
business groups in our analysis results chiefly from the fact
that more of them are generally engaged on each issue
(roughly twice as many, on average), not that a single
business-oriented group has more clout on average than
a single mass-based group.48
Taken as a whole, then, our evidence strongly indicates
that theories of Biased Pluralism are more descriptive of
political reality than are theories of Majoritarian Pluralism.
It is simply not the case that a host of diverse,
broadly-based interest groups take policy stands—and
bring about actual policies—that reflect what the general
public wants. Interest groups as a whole do not seek the
same policies as average citizens do. “Potential groups” do
not fill the gap. Relatively few mass-based interest groups
are active, they do not (in the aggregate) represent the
public very well, and they have less collective impact on
policy than do business-oriented groups—whose stands
tend to be negatively related to the preferences of average
citizens. These business groups are far more numerous and
active; they spend much more money; and they tend to get
their way.
Table 4 also confirms our earlier findings about
economic elites and median voters. When the alignments
of business-oriented and mass-based interest groups are
included separately in a multivariate model, average
citizens’ preferences continue to have essentially zero
estimated impact upon policy change, while economic
elites are still estimated to have a very large, positive,
independent impact.
American Democracy?
Each of our four theoretical traditions (Majoritarian
Electoral Democracy, Economic-Elite Domination,
Majoritarian Interest-Group Pluralism, and Biased
Pluralism) emphasizes different sets of actors as critical
in determining U.S. policy outcomes, and each tradition
has engendered a large empirical literature that seems to
show a particular set of actors to be highly influential. Yet
nearly all the empirical evidence has been essentially
bivariate. Until very recently it has not been possible to
test these theories against each other in a systematic,
quantitative fashion.
By directly pitting the predictions of ideal-type theories
against each other within a single statistical model (using
a unique data set that includes imperfect but useful
measures of the key independent variables for nearly two
thousand policy issues), we have been able to produce
some striking findings. One is the nearly total failure of
“median voter” and other Majoritarian Electoral Democracy
theories. When the preferences of economic elites and
the stands of organized interest groups are controlled for,
the preferences of the average American appear to have
only a minuscule, near-zero, statistically non-significant
impact upon public policy.
The failure of theories of Majoritarian Electoral
Democracy is all the more striking because it goes against
the likely effects of the limitations of our data. The
preferences of ordinary citizens were measured more
directly than our other independent variables, yet they
are estimated to have the least effect.
Table 4
The separate policy impact of businessoriented
and mass-based interest groups
Average citizens’ preferences .05
(.08)
Economic elites’ preferences .78
(.08)***
Mass-based interest groups .24
(.07)***
Business interest groups .43
(.08)***
R-sq .07
***p,.001
Note: All predictors are scaled to range from 0 to 1.
The dependent variable is the policy outcome, coded 1 if
the proposed policy change took place within four years of the
survey date and 0 if it did not. Predictors are the logits of
the imputed percent of respondents at the fiftieth (“average
citizens”) or ninetieth (“economic elites”) income percentile
that favor the proposed policy change, and the Net Interest-
Group Alignment Indices described in the text. Standard errors
are asymptotically distribution-free, and all analyses reflect
estimated measurement error in the predictors, as described in
Appendix 2. N51,779.
September 2014 | Vol. 12/No. 3 575
Nor do organized interest groups substitute for direct
citizen influence, by embodying citizens’ will and ensuring
that their wishes prevail in the fashion postulated by
theories of Majoritarian Pluralism. Interest groups do have
substantial independent impacts on policy, and a few
groups (particularly labor unions) represent average citizens’
views reasonably well. But the interest-group system
as a whole does not. Overall, net interest-group alignments
are not significantly related to the preferences of average
citizens. The net alignments of the most influential,
business-oriented groups are negatively related to the
average citizen’s wishes. So existing interest groups do
not serve effectively as transmission belts for the wishes of
the populace as a whole. “Potential groups” do not take up
the slack, either, since average citizens’ preferences have
little or no independent impact on policy after existing
groups’ stands are controlled for.
Furthermore, the preferences of economic elites (as
measured by our proxy, the preferences of “affluent”
citizens) have far more independent impact upon policy
change than the preferences of average citizens do. To be
sure, this does not mean that ordinary citizens always
lose out; they fairly often get the policies they favor, but
only because those policies happen also to be preferred
by the economically-elite citizens who wield the actual
influence.
Of course our findings speak most directly to the “first
face” of power: the ability of actors to shape policy
outcomes on contested issues. But they also reflect—to
some degree, at least—the “second face” of power: the
ability to shape the agenda of issues that policy makers
consider. The set of policy alternatives that we analyze is
considerably broader than the set discussed seriously by
policy makers or brought to a vote in Congress, and our
alternatives are (on average) more popular among the
general public than among interest groups. Thus the fate
of these policies can reflect policy makers’ refusing to
consider them rather than considering but rejecting them.
(From our data we cannot distinguish between the two.)
Our results speak less clearly to the “third face” of
power: the ability of elites to shape the public’s
preferences.49 We know that interest groups and policy
makers themselves often devote considerable effort to
shaping opinion. If they are successful, this might help
explain the high correlation we find between elite and
mass preferences. But it cannot have greatly inflated our
estimate of average citizens’ influence on policy making,
which is near zero.
What do our findings say about democracy in
America? They certainly constitute troubling news for
advocates of “populistic” democracy, who want governments
to respond primarily or exclusively to the policy
preferences of their citizens. In the United States, our
findings indicate, the majority does not rule—at least not
in the causal sense of actually determining policy outcomes.
When a majority of citizens disagrees with economic elites
or with organized interests, they generally lose. Moreover,
because of the strong status quo bias built into the
U.S. political system, even when fairly large majorities of
Americans favor policy change, they generally do not get it.
A possible objection to populistic democracy is that
average citizens are inattentive to politics and ignorant
about public policy; why should we worry if their poorlyinformed
preferences do not influence policy making?
Perhaps economic elites and interest-group leaders enjoy
greater policy expertise than the average citizen does.
Perhaps they know better which policies will benefit
everyone, and perhaps they seek the common good,
rather than selfish ends, when deciding which policies to
support.
But we tend to doubt it. We believe instead that—
collectively—ordinary citizens generally know their own
values and interests pretty well, and that their expressed
policy preferences are worthy of respect.50 Moreover, we
are not so sure about the informational advantages of elites.
Yes, detailed policy knowledge tends to rise with income
and status. Surely wealthy Americans and corporate
executives tend to know a lot about tax and regulatory
policies that directly affect them. But how much do they
know about the human impact of Social Security, Medicare,
food stamps, or unemployment insurance, none of
which is likely to be crucial to their own well-being? Most
important, we see no reason to think that informational
expertise is always accompanied by an inclination to
transcend one’s own interests or a determination to work
for the common good.
All in all, we believe that the public is likely to be
a more certain guardian of its own interests than any
feasible alternative.
Leaving aside the difficult issue of divergent interests
and motives, we would urge that the superior wisdom of
economic elites or organized interest groups should not
simply be assumed. It should be put to empirical test.
New empirical research will be needed to pin down
precisely who knows how much, and what, about which
public policies.
Our findings also point toward the need to learn more
about exactly which economic elites (the “merely affluent”?
the top 1 percent? the top one-tenth of 1 percent?)
have how much impact upon public policy, and to what
ends they wield their influence. Similar questions arise
about the precise extent of influence of particular sets of
organized interest groups. And we need to know more
about the policy preferences and the political influence of
various actors not considered here, including political
party activists, government officials, and other noneconomic
elites. We hope that our work will encourage
further exploration of these issues.
Despite the seemingly strong empirical support in
previous studies for theories of majoritarian democracy,
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our analyses suggest that majorities of the American
public actually have little influence over the policies our
government adopts. Americans do enjoy many features
central to democratic governance, such as regular elections,
freedom of speech and association, and a widespread
(if still contested) franchise. But we believe that if
policymaking is dominated by powerful business organizations
and a small number of affluent Americans, then
America’s claims to being a democratic society are seriously
threatened.
Notes
1 Tocqueville 2000, 235–49. Tocqueville focused on
state governments, which he said “really direct[ed]”
American society; he noted that the Founders had
imposed limits on direct democracy in the federal
government (235, n. 1.) Yet he asserted in general
terms that “[t]he laws of democracy . . . emanate from
the majority of all citizens”; 222.
2 Lincoln 1863. Dahl 1956, ch. 2, defined “populistic
democracy” in terms of pure majority rule and traced
its theoretical roots to Aristotle’s political equality,
Locke’s “majority power,” Rousseau’s “general will” of
the majority, and James Madison’s “republican principle,”
and critically analyzed its normative properties.
3 Hotelling 1929; Black 1948, 1958; Downs 1957. In
his full-information ch. 2, Downs offers a clever
though somewhat indeterminate non-dimensional
version of the theory; in ch. 8 he explicates a variant of
Hotelling’s single-dimensional version. For extensions
to multiple dimensions see Davis, Hinich, and
Ordeshook 1970. May’s Theorem establishes that
simple majority rule is the only collective decision rule
for choosing between two alternatives that satisfies the
Arrow-type democratic conditions of decisiveness,
anonymity, neutrality, and positive responsiveness to
individuals’ preferences; May 1952.
4 Arrow 1963, McKelvey 1976. See Sen 1970.
5 A particularly trenchant critique is given in Ferguson
1995 (Appendix: “Deduced and Abandoned”).
6 Monroe 1979, 1998; Page and Shapiro 1983; Erikson,
Wright, and McIver 1993; Stimson, MacKuen, and
Erikson 1995; Erikson, MacKuen, and Stimson 2002.
7 Bartels 2008, Gilens 2012. See also Jacobs and Page
2005, which indicates that the general public may have
little or no influence on U.S. foreign policy, when the
preferences of business leaders and other elites are
taken into account.
8 Key 1961, ch. 11 and 472–76; Fiorina 1981; Zaller
2003. A variant on this logic that focuses on the
possibility of politicians “pandering” to current
preferences under certain conditions is given in
Canes-Wrone, Herron, and Shotts 2001. “Latent”
preferences are the collective policy preferences that
citizens would derive from their basic needs and values
if they had accurate information about the future
unfolding of policy results. Such “latent” preferences
are related to the ideal, “authentic” preferences that
some political theorists see as superior to, and more
worthy of governmental responsiveness than, the
policy preferences that citizens actually express. This
can be seen as adding normative appeal to an electoralreward-
and-punishment system of democratic control.
See Mansbridge 2003.
9 See Page and Shapiro 1992.
10 Mills 1959, ch. 12, especially 279. Robert Michels
2001, a founder of modern elite theory, emphasized
positions of leadership in political parties.
Some of Theda Skocpol’s early work (e.g., Skocpol and
Finegold 1982) can be seen as based on a state-centric
elite theory that emphasizes public officials. Beginning
with Protecting Soldiers and Mothers (1992), however,
Skocpol’s analyses of American politics have paid more
attention to non-state elites, social movements, organized
interest groups, and the preferences of the
general public. Thus Skocpol’s work, like that of
a number of other important scholars of American
politics (e.g., Katznelson 2013), does not fit neatly
into our simple theoretical categories.
11 Beard 1913; Domhoff 2013; Burch 1980–1981;
Ferguson 1995;Winters 2011;Winters and Page 2009.
The boundary between elite theories that focus on
economically-elite individuals, and interest group theories
that focus on organized corporate interests (discussed
later), is not always a sharp one. Here we treat
most theories that emphasize corporate organizations or
industrial sectors (e.g., Block 2007, Ferguson 1995) as
primarily constituting “interest group” rather than elite
theories.We categorize self-identified elite theorists like
Domhoff as such even if they emphasize business elites
and treat corporate organizations as important mechanisms
of influence. Winters 2011 may come closest to
an exclusive focus on wealthy individuals rather than
organizations.
One might argue that the economic classes central to
classical Marxist theories amount to “economic elites.”
But Marxist theorists see class position as only imperfectly
related to wealth or income, and their focus on
ownership of the means of production suggests that
business firms and business associations may be the key
political actors. Hence we will discuss these theories in
connection with corporations and organized interest
groups, noting the kinship of “instrumentalist” Marxist
theories to theories of biased pluralism.
12 The term “interest group” tends to evoke images of
membership groups like the League of Women Voters
or the National Rifle Association, but many politically
important “groups” are in fact business corporations.
13 Hamilton, Madison, and Jay 1961, 77–84.
14 Bentley 1908; Truman 1971, especially 511.
September 2014 | Vol. 12/No. 3 577
15 Dahl 1956, 1989. Berry 1999 emphasizes the rising
power of “citizen groups.”
16 Olson 1965.
17 Schattschneider 1960, 35; Schlozman, Verba, and
Brady 2012, ch. 10–14.
18 Schattschneider 1960, ch. 1; McConnell 1966; Stigler
1971; Lindblom 1977, parts IV and V; Ferguson
1995; Block 2007; Hacker and Pierson 2010.
19 Marx and Engels 1972. This English-language text
comes from the 1888 publication edited by Engels.
20 Miliband 1969, ch. 6. Fred Block (1977) makes
a critical distinction between “instrumentalist” Marxist
theories like Miliband’s, in which politically
conscious members of ruling class use their economic
resources to shape state action in their own material
interests, and “structural” theories, in which the
capitalist economic system itself tends to shape state
policies and the preferences of its citizens—including
workers, who are compelled to accept low wages and
high capitalist profits for the sake of future investment
and growth. On alternative Marxist theories of power,
see also Isaac 1987b. For a formalized structural
Marxist theory, see Przeworski and Wallerstein 1982.
21 Again, our data can do little to distinguish among these
or other mechanisms of political influence. We focus on
possible sources of influence among individuals and
groups in society.
22 Schlozman, Verba, and Brady 2012, ch. 10–14,
especially 321, 329, 356.
23 Schattschneider 1935.
24 Bauer, Pool, and Dexter 1963; Milbrath 1963;
McChesney 1997.
25 Smith 2000; Baumgartner et al. 2009.
26 Smith 2000, ch. 3.
27 Numerical success rates are not reported in Smith
2000, but the “enactment scorecard” line in figure 4.1
(83) appears to show Chamber success on 60 percent
or more of the bills in most years, with very substantial
variation from year to year.
28 Baumgartner et al. 2009, 233, 235. These multivariate
results may be biased downwards because the regressions
include as independent variables congressional
and executive branch officials’ active support for (or
opposition to) policy changes. Since officials’ behavior
may well have been influenced by the interest groups
themselves, the inclusion of these predictors restricts
the estimates of group influence to direct effects,
excluding any indirect impact that was channeled
through interest groups’ influence over officials.
On the other hand, the omission of other influential
actors from the analysis could (if their preferences were
positively correlated with those of interest groups)
produce spuriously inflated estimates of interest-group
influence. A further complexity in assessing interestgroup
influence involves policy cases in which groups
take no stand at all, which are not included in the
analysis by either Smith or Baumgartner et al. Inclusion
of no-stand cases would be necessary if one
sought to assess the extent to which groups affect overall
policy results—though not for assessing the extent
of group influence in the cases where influence
attempts are actually made.
29 Appreciation for their fine work in assisting with the
colossal task of collecting and coding these data goes to
Marty Cohen, Jason Conwell, Andrea Vanacore, and
Mark West at UCLA, and Oleg Bespalov, Daniel
Cassino, Kevin Collins, Shana Gadarian, Raymond
Hicks, and Lee Shaker at Princeton.
30 Arguments for the normative and empirical relevance
of the “survey agenda” are discussed in Gilens 2012,
50–56. Note that if (as we find) the public has little or
no influence on our issues, which tilt toward high
salience, it is unlikely that the public has much
influence on more technical or obscure matters.
31 In 2012, the tenth percentile of household income was
about $12,200, the fiftieth percentile about $51,000,
and the ninetieth percentile about $146,000 (U.S.
Census Bureau, 2013). For further detail on these
data, see Gilens 2012, 57–66.
32 Of course the average (median) citizen is not identical to
the eligible or actual “median voter.” But the generally
small magnitude of differences between the policy
preferences of voters and those of all citizens (Wolfinger
and Rosenstone 1980, 109–114; Schlozman, Verba,
and Brady 2012, 120–21) suggests that our measure
captures the spirit of median voter theories. To the
extent that differences exist, we consider the average
citizen to be of greater normative—though less
empirical—importance.
33 To make an approximate assessment of the fit between
the preferences of the median-preference respondent
and those of the median-income respondent we
calculated the median preference within each of five
income groups (at the tenth, thirtieth, fiftieth, seventieth,
and ninetieth percentiles). For example, if, on
a particular non-monotonic item, the five income
groups had imputed median preferences of .50, .60,
.70 .65 and .55 (for the tenth to ninetieth income
percentiles, respectively), then the estimated over-all
median preference would be .60 (in this case equaling
the preference at the thirtieth income percentile). In
most cases the over-all median preference is the same as
the median income (fiftieth percentile) preference.
When it is not, the preference differences across income
levels tend to be small. Using this technique, the
median over-all preferences and the median-income
preferences track each other very closely: r5.997.
34 This study is one of the few surveys that meets the two
criteria of having a sufficiently large sample size
(n520,150) and a high enough top-coded income
578 Perspectives on Politics
Articles | Testing Theories of American Politics
category to provide information on the policy preferences
of very affluent Americans.
35 Correlations of the policy preferences of the top
2 percent with those of the top 10 percent are based on
the 76 CCES respondents who reported at least
$350,000 in family income. Using the 179 CCES
respondents who reported at least $250,000 (roughly
the top 4.5 percent of the income distribution), the
corresponding correlations are .97 and .76.
Some corroborating evidence comes from a comparison
of the Survey of Economically Successful Americans
(Page, Bartels, and Seawright 2013), based on a local
sample of the wealthiest 1 percent or 2 percent of
Americans, and the Inequality Survey (Page and Jacobs
2009), which was based on a representative sample of
the American public. Eight policy-preference questions
that were included on both surveys showed that the
preferences of the top 25 percent of income earners
generally fell about half way between those of the
average citizen and those of the wealthy. For similar
findings concerning the policy preferences of the top
4 percent or so of income earners, see Page and
Hennessy 2008.
36 We distinguish conceptually between two sorts of
deficiencies in our measures: flaws that affect the
relationship between our indictors and their underlying
concepts (such as the random and correlated
measurement errors we discuss in the appendix), and
flaws that arise from the imperfect fit between those
concepts and the characteristics we would prefer to
measure. For example, the adjustments described in
the appendix help us to improve our estimates of the
preferences of Americans at the ninetieth income
percentile, but they cannot help to make those
estimates any more accurate as indicators of the
preferences of the truly rich Americans whose views we
would prefer to include in our models.
37 Baumgartner et al. 2009, 225. We believe that our
measure of net interest group alignment (described
later) is actually superior to the Fortune 25 proxy
examined by Baumgartner et al. because it includes
industries that do not lobby through centralized trade
organizations, it is nonlinear in net number of groups,
and it reflects the extent to which a particular issue is
central to the concerns of an interest group or industry.
38 For more detail on the Index of Net Interest Group
Alignment, see Gilens 2012, 127–30.
39 On the measurement of policy change, see Gilens
2012 (60) and note 18 (284).
40 For correlations of individual groups’ positions with
average citizens’ preferences see Gilens 2012, 156–57.
41 These particular values for low and high levels of
support among affluent Americans and interest groups
were chosen because about 15 percent of all proposed
policy changes generated either less than 20 percent or
more than 80 percent support among the affluent, and
about fifteen percent of all proposed changes on which
interests groups took a position generated a raw net
interest group score of either more than five groups
strongly in favor or more than five groups strongly
opposed (counting “somewhat” favorable or opposed
as one-half of a group).
42 See Monroe 1979, 1998; Page and Shapiro 1983;
Stimson, MacKuen, and Erikson 1995.
43 Perhaps counterintuitively, it turns out that business
groups tilted somewhat less toward opposing proposed
changes (33 percent opposed, 26 percent in favor)
than mass-based groups did (38 percent opposed,
20 percent in favor.)
44 Even if existing organized groups did not reflect the
wishes of average citizens, officials’ anticipated reactions
to unformed “potential groups” might in theory
provide some representation for average citizens, as
David Truman argued they do. But our table 3 finding
of negligible independent influence by average citizens
when existing organized interest groups’ positions are
controlled for, leaves little room for potential groups
(and officials’ anticipation of them) to advance the
preferences of ordinary citizens.
45 Schlozman, Verba, and Brady 2012, ch. 10–14,
especially 321, 329, 356.
46 For the 369 out of 1,779 cases in which both businessbased
and mass-based interest groups took a stand, the
coefficients are just .09 (n.s.) for mass groups but .48**
(p,.001) for business groups.
47 For those proposed policy changes on which at least
one business-oriented group took a position, another
business-oriented group was found on the opposite
side less than 5 percent of the time. Interestingly,
mass-based groups were somewhat more likely to take
stands on both sides of an issue, for example pro-life
and pro-choice groups on abortion, or the AARP
which opposed the Clinton health reform plan and the
AFL-CIO that favored it.
48 For the analysis in table 4, both the business and
mass interest group indices were scaled to run from
0 to 1.When we rescaled these indices to reflect the
differing numbers of business and mass-based
groups engaged on each issue, the standard deviation
of the business alignment index was .158 and the
mass-oriented index .096; their associations with
policy outcomes (analogous to those shown in table
4) were almost identical, at .38 (p,.01) and .40
(p,.001), respectively.
49 Bachrach and Baratz 1962, Lukes 1974. See Isaac
1987a.
50 On the normative argument, see Dahl 1989,
especially ch. 7. For empirical evidence that its
conditions tend to be satisfied, see Page and Shapiro
1992 and Gilens 2011.
September 2014 | Vol. 12/No. 3 579
Supplementary Materials
• Business- and Mass-Based Interest-Groups Included
in Net Group Alignment Indices
• Correcting for Measurement Error
• Table A1. Ordinary least squares analysis parallel to
the structural equation model presented in table 3.
• Data/code for replicating results http://dx.doi.org/
10.1017/S1537592714001595
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