Effectiveness of Negative Campaigning in U.S. Senate Elections Author(s): Richard R. Lau and Gerald M. Pomper Source: American Journal of Political Science, Vol. 46, No. 1, (Jan., 2002), pp. 47-66 Published by: Midwest Political Science Association Stable URL: http://www.jstor.org/stable/3088414 Accessed: 13/08/2008 09:16 Your use of the JSTOR archive indicates your acceptance of JSTOR's Terms and Conditions of Use, available at http://www.jstor.org/page/info/about/policies/terms.jsp. JSTOR's Terms and Conditions of Use provides, in part, that unless you have obtained prior permission, you may not download an entire issue of a journal or multiple copies of articles, and you may use content in the JSTOR archive only for your personal, non-commercial use. Please contact the publisher regarding any further use of this work. Publisher contact information may be obtained at http://www.jstor.org/action/showPublisher?publisherCode=mpsa. Each copy of any part of a JSTOR transmission must contain the same copyright notice that appears on the screen or printed page of such transmission. JSTOR is a not-for-profit organization founded in 1995 to build trusted digital archives for scholarship. We work with the scholarly community to preserve their work and the materials they rely upon, and to build a common research platform that promotes the discovery and use of these resources. For more information about JSTOR, please contact [email protected]. http://www.jstor.org Effectiveness of in U.S. Senate Negative Campaigning Elections RichardR. Lau RutgersUniversity GeraldM. Pomper RutgersUniversity The characterof elections critically affects the dialogue of democracy. Thisarticleexamines thatdialogue in 143 U.S. Senate elections, 1988-1998, in whichan incumbentsought reelection.We go beyond previousresearch on the impactof campaign spending to focus on the characterof the conthe impactof test itself,particularly negative campaigning.Campaign strategies are endogenous to the campaign itself,requiringplausible instrumentsand two-stage statistical techniques to produce reliableestimates. Ouranalyses combine informationon the relative"tone"of U.S. Senate campaigns withan original aggregate data set and ANESsurvey data. We ask a simple question:how effective is negative campaigningin helpingto get candidates elected? Ourresultsprovideno straightforward answer.Generallyspeaking, but dependent on the opponent'sstrategy, negative campaigningis relatively effectiveforchallengers, whilepositive campaigningis moreeffectivefor incumbents.Overall,our resultsdo provideclear evidence thatthe campaign "matters." emocracy is a dialogue between putative leaders and citizens. Campaigns provide the most obvious and the loudest forums for this dialogue. Candidates try to persuade voters to cast a ballot and to support their cause. Voters respond by coming to the polls and selecting their preferred candidates. The quality of the dialogue can wane, however, if candidates speak poorly or if voters close their ears. Concern for the democratic dialogue in the United States often turns to negative campaigning. American politics over the past two decades has experienced a dramatic rise in its use, particularly in political advertising (Ansolabehere and Iyengar 1995; Jamieson 1992; Johnson-Cartee and Copeland 1991;West 1993)-or at least a dramatic increase in the number of political observers decrying its use. Although empirical evidence about the type of political advertisements actually used during this period (much less earlier) is hard to come by, the limited available data do indicate a noticeable increase-at least at the presidential level (Geer 1998a; Kaid and Johnston 1991;West 1993). Negative campaigning may be on the rise because it is generally presumed that these methods, particularlyin the form of televised advertising, are an unusually effective means of campaigning, a real advantage to those candidates who have the backbone to employ it. Social psychological theory provides severalreasons why negative information ought to be more persuasive than comparable positive information (Kanouse and Hanson 1972). Lau (1982,1985) groups these reasons into two main categories. The first is perceptual: negative information may be more likely than comparable positive information to be noticed and processed, thereby having the opportunity to get its message across. The second reason is motivational, based on the greater survival benefits resulting from avoiding costs rather than approaching gains. Less formally, some negative campaigning may be RichardR. Lau is Professorof Political Science, RutgersUniversity,89 George Street, New Brunswick, New Jersey08901 ([email protected]).Gerald M. Pomper is Boardof GovernorsProfessorof PoliticalScience,RutgersUniversity,89 GeorgeStreet, New Brunswick,New Jersey08901 ([email protected]). An earlierversion of this articlewas presentedat the 1998 annualmeeting of the American Political Science Association in Boston. We thank Erlinda Mazeika and Grace Mumoli for coding most of the Senate campaign data;CharlesFranklin,Alan Gerber, and Jerry Hagstrum for sharing various other information with us; and Stanley Feldmanand MarkKamletfor statisticaladvice. This article was completed while the first authorwas a fellow at the Centerfor the Studyof DemocraticPoliticsat Princeton. AmericanJournalof PoliticalScience,Vol. 46, No. 1, January2002, Pp. 47-66 ?2002 by the MidwestPoliticalScienceAssociation 47 RICHARD R. LAU AND GERALD M. POMPER 48 advantageousto candidates (particularly"untested"challengers) if it helps convey the impression that they are "tough enough" to be a leader. Politicians use negative campaigning not because they are evil, or meanspirited then, but because they believe that it helps them to win elections. Prominent Republican and Democratic consultants agree: Voterswill tell you in focus groups that they don't like negativeads, but they retainthe informationso much better than the positive ones. The point is: People like dirty laundry. Why do tabloids sell? (Roger Stone, Republican consultant, quoted by Colford 1986, 104). Candidatesengagein negativecampaigningbecause it works.No matterhow much people say they dislike it, negativecampaignscontinue to move voters from one column to the other (Susan Estrich, Dukakis's1988 campaignmanager[1993, 11A]). And yet conventional wisdom is not always right. If we systematicallyexamine the evidence in the existing research literature,the inordinate power of negative political campaigning to persuade is-at best-unproven (see Lau et al. [1999] for a comprehensive review). There are but ten published papers on the subject, and none of these studies involve data with a representative population sample. Only three of these studies reported effects of any magnitude, and of these, two were counterto the intentions of the candidate who sponsored the negative advertisements. One would have to conclude from the availableevidence that the effectiveness of negative campaigning is at best a researchhypothesis, and quite possibly a myth. Part of the problem is the methodological difficulty of finding campaign effects of any type (Bartels 1993). Indeed, there is a considerable amount of researchin political science which argues that the context in which the election is held (e.g., the state of the economy, the popularity of the incumbent President), rather than the campaign itself, is what really matters (e.g., Lewis-Beck and Rice 1992; Rosenstone 1983). Of course these macrolevel explanations were put forth only after several major attempts to determine the influence of political campaigns had failed to detect any influence at all (see Holbrook [1996] for a recent review of this literature). More recently researcheshave been able to provide convincing evidence that political campaigns do have some detectable effects, although the typical study looks for fairly specific, and therefore fairly limited, effects. We would argue that the ability of negative cam- paigning to affect the vote decision has rarely been put to a convincing test. This article attempts a fuller analysis. We will address a very simple research question in the context of U.S. Senate elections: how effective is negative campaigning in winning elections? To answer this simple question, however, we must do some complex investigation. We attempt here to define negative campaigning, to develop an appropriate data set, to resolve problems of endogeneity in the crucial equations, and finally to provide the appropriate statistical tests to conduct the analyses. theAnalysis Framing Defining Negative Campaigning We must be careful to distinguish between negative campaigning and unfair campaigning, since "observersoften define negativity as anything they do not like about campaigns" (West 1993, 46). The two categories are often confused; in effect, the directional meaning of negativestatements in opposition to a person or program-is too often equated with the evaluative meaning-statements that are normatively disvalued. But the two are not necessarily linked. In this article we restrict our meaning to direction. Negative campaigning is talking about the opponent-his or her programs, accomplishments, qualifications, associates,and so on-with the focus, usually,on the defects of these attributes. Positive campaigning is just the opposite: talking about one's own accomplishments, qualifications,programs, and so forth. Candidates can lie (or more generously,stretch the truth) about their opponents in negative campaigning, but they can do the same about themselves in what we call positive campaigning. The motivation is the same either way, and it is unclear why distortion would be any more likely in one form than the other.' In fact, some prominent researchers recommend avoiding the term "negative"in describing political advertisingbecause is has become so affectivelyloaded. For example, Jamieson and others (e.g., Bartels et al. 1998; Jamieson, Waldman, and Sheer 1998), now prefer a three-fold categorization: advocacy ads, attack ads, and comparative ads (which contrast the sponsoring candidate to his or her opponent on one or more dimensions). 1Whetherin practiceclaimsthat aremade about an opponent during a political campaign are generally less truthful than claims made about oneself, is unclear;but in principle,by definition, this cannot be assumed.In fact, Jamieson,Waldman,and Sherr(1998) reportthat at the presidentiallevel at least,attack(negative)advertisementsare moretruthfulthat advocacy(positive) ads. EFFECTIVENESS OF NEGATIVE CAMPAIGNING IN U.S. SENATE ELECTIONS We have not adopted this new terminology, however, because all campaigns, if not all advertisements, are comparativeto some degree. We are trying to measure the nature of the campaign as a whole, not just the political advertisements associated with it, and any di- or trichotomous classification is going to be misleading. As described below, we develop a continuous measure of a campaign's "tone" which describes the relative negativism of the campaign. Locating NegativeCampaigning inSenateRaces The existing literature on campaigning is limited by its typical focus on presidential elections. From a research perspective, presidential campaigns are poor venues for exploring campaign effects. Of all political figures, incumbent presidents and their high-profile challengers are the most well-known figures, and thus the least likely to be "redefined"by any obviously partisan attacks from an opponent. Moreover, the presidential campaign gets so much "free"coverage from the national media-coverage that candidates can only partially influence-that candidate-sponsored advertisements, speeches, and rallies comprise only a small proportion of the total information available about the competitors. As an alternative,we believe that statewide elections are a much more promising opportunity for exploring campaign effects (see Franklin [1991] for similar arguments). On the one hand, statewide races are prominent enough to attract, and thus require,substantial campaign funds. There are real campaigns to study. And on the other hand, statewide candidates tend to be less wellknown than presidential candidates, and these races get little coverage in the national media and substantiallyless coverage than the presidential campaign even in the local media. As a result, the respective campaigns can influence more of the readily available information about the candidates. And, for statistical utility, there are sixtyseven elections for Senator for every quadrennial presidential contest. We will examine the effects of negative campaigning in U.S. Senate elections. Of late there has been an upsurge of research on Senate elections (e.g., Abramowitz 1988; Campbell and Summers 1990; Carsey and Wright 1998; Franklin 1991; Gerber 1998; Kahn and Kenny 1999; Westyle 1991). Although incumbents typically win reelection, many face stiff electoral challenges. Indeed, when incumbent Senators sought reelection over the past three decades (i.e., from 1970 through 1998), they were 49 defeated about 19 percent of the time. Thus the outcome of many Senate campaigns is not a foregone conclusion Previous researchon Senate elections has considered various influences, both national and local. National factors include the popularity of the incumbent president and the state of the national economy. Among local factors, an acknowledgedinfluence is the "quality"of the candidate challenging an incumbent (Squire 1992). Money is certainly important, and campaign spending figures are readilyavailable.However,there is a debate about the relative importance of campaign spending for incumbents and challengers, with the conventional view that money matters much more to challengers (Abramowitz 1988; Jacobson 1978) currently under attack (Gerber 1998; Green and Krasno 1988). The analytic problem, as all participants in this debate recognize, is that campaign spending, the crucial independent variable,is essentially a function of the independent variable, the election outcome.2 In technical terms, this is known as endogeneity in the spending equations. We include the most important factors from this prior researchin our own analyses. We would argue that one important variable has been missing from these analyses. Any candidate, even one blessed with a large campaign war chest and other advantages, can campaign wisely or poorly. We do not pretend to measure all of the strategic decisions that any candidate must make during an election campaign. We can, however, measure one important strategic decision which surely shapes many particular campaign behaviors: Should I emphasize my own abilities, accomplishments, and policy stands; or should I concentrate on attacking my opponent on these grounds? Individual campaigns will include both approaches, but they will combine them in different proportions. Simply put, candidates will vary in their relative use of negative campaigning. We seek to examine the effect of that variation. DataandMethod A campaign goes beyond its televised political advertisements, the most common focus. Candidates engage in many activities-they give speeches, conduct rallies, 2Whenan incumbentseemsparticularlyvulnerable,it will be easierforchallengers to raisemoney,andincumbents willtypically face"highquality," well-financed successwill opponents.Electoral be positivelycorrelated withchallenger spending.Butthissimple equationworksjust the oppositefor incumbents.If the election looksclose,supporterswillbe particularly likelyto contributeto the incumbent;but if the electionlookslikea landslide,the incumbentwill cut backon fund-raisingactivities,generatinga negativecorrelationbetweenlikelyelectoralsuccessandincumbent spending. 50 distribute literature,and meet with local opinion leaders, editors and other elites to seek endorsements (Shaw 1999). There is reason to believe that candidates are consistent across these different venues in the themes they stress (certainly their campaign managers want them to be consistent), but there is no guarantee that they are. To examine the effects of the campaign more broadly, we need a more comprehensive view. We rely on estimates of the nature of the campaign gathered from newspaper accounts of the election campaigns. These accounts include descriptions of political advertisements broadcast by the different candidates, but they also include reports of a wide variety of other campaign activities. As such, our data are second-hand, relying on the judgments of a number of political experts (i.e., political reporters) in each state. These estimates come from two different sources. For the 1988 and 1990 elections, we employed data gathered by Franklin (1992).3 For the remaining years-1992 through 1998-we coded stories about the Senate elections that appeared in any newspaper covered by the Nexis database during the last eight weeks of the campaign. Following Franklin, each statement coming from either major party campaign was coded as positive or negative, and policy-based or person-based.4The percent negative statements coming from the two campaigns vary,on average,between a low of 29 percent in 1990 to a high of almost 43 percent in 1994. We refer to these data as measures of the campaign's"tone."5 3He coded every story about the Senate election appearingin the newspaperwith the largestcirculationin the state during the last four weeks of the campaign.Each statementby one of the major party candidates(or a spokespersonfor one of those candidates) was coded as to whetherit talkedabout the candidatesthemselves (and was therefore "positive,"by our definition), or was talking about the opponent (and was therefore"negative").These statements were further categorized as to whether they were policybased or person-based.See Lauand Pomper(2001a) for examples. 4In the data reportedbelow we rely on an overall measureof the percentnegativestatementscoming from each campaign,ignoring the policy-based or person-based distinction. We repeated all analyses with separate measures of these two types of negative campaigning,but no clear pattern of coefficients resulted across both aggregateand individual-levelanalyses,and for greaterparsimony we only present data from the overall measure. Our data were coded by severalresearchassistants.To check on coding reliability the authors independentlyexamined a random 10 percent sample of the total articlescoded and found a very respectable92 percentcoding agreement. 5Wewere able to generatemeasuresof the campaign'stone in 191 of the 206 Senateelections over this period.We found too few stories for some elections (particularlythose in Alaskaand Hawaii)to reliablyestimatethe campaign'stone, and these are droppedfrom the data set, as arethe six elections in which an incumbentwas not facing a majorparty opponent. We also drop forty-fouropen-seat contestsand focus on those electionswhereincumbentswereseeking reelection. RICHARD R. LAU AND GERALD M. POMPER TheCampaign Context: Problems ofCausation andEndogeneity We cannot evaluate the impact of negative campaigning in isolation, nor treat it simply as one of several predictor variables (along with party, incumbency, job performance evaluations, candidate spending, and so on) that independently help explain the outcome of Senate elections. Campaigns are dynamic processes, requiring attention to contextual variations. The problem with treating some critical variables-candidates' spending-as if they were exogenous (that is, not themselves influenced by the dependent variable) are well known in the literature (Abramowitz 1988; Gerber 1998; Green and Krasno 1988; Jacobson 1978). We treat spending as endogenous to the outcome of the election and devise two-stage estimation procedures to control for the statistical problems this endogeneity causes. We follow Gerber (1998) in developing the necessary instruments for spending.6 Campaign strategies are equally problematic. They are not chosen randomly, nor are they devised without any knowledge of the likely outcome of the election (Haynes and Rhine 1999; Lau and Pomper, 2001b). To begin with, we certainly assume that candidates generally choose the campaign strategy they believe will give them the best chance of winning the election, although there will inevitably be a great deal of uncertainty associated with this choice. At the outset of the campaign, candidates who expect to lose may attack their opponent out of desperation, or because they feel they have "nothing to lose."Candidateswith less money to spend than their opponents may "go negative"because they believe they get "more bang from the buck"with such a strategy.If we ignore the problem of endogeneity, we get strange results. Using our aggregate data we regressed the percentage of the two-party vote received by the Democratic candidate on a simple measure of the relativeuse of negative campaigning by the two candidates. If life were simple and "going negative"an effective campaign strategy,as many practitioners seem to believe, then the more negative candidate should get more votes, and our measure of the relativenegativism of the two campaigns should be posi6Gerberemployed three instrumentsfor challengerspending:the total amount spent by both candidatesin the previousSenateelection in the state (which is positively relatedto currentspending), the voting age population of the state (negativelyrelatedto spending), and a dummy variable indicating whether the challengeris wealthy (as coded from preelection coverageof the campaign in CongressionalQuarterly).We followed this procedure,which resulted in a first-stage regressionpredicting 19 percent of the explainablevariancein challengerspending. Gerberemployed only the first two variablesas instrumentsfor incumbent spending.We added one more:whetherthe incumbentwas a member of the Finance Committee (see Romer and Snyder 1994). The first stage equation for incumbent spendinghad an R2of almost .56. EFFECTIVENESS OF NEGATIVE CAMPAIGNING IN U.S. SENATE ELECTIONS tivelyassociatedwith electionoutcome.In fact,the coefficientis negative,a whopping-.30 (s.e. = .03; adjusted R2= .39). Either"goingnegative"is a horriblyineffective campaignstrategy,or somethingelse is goingon. That"somethingelse,"most obviously,is thatalmost all candidateshave a reasonablyaccuratesense of how likely they are to win well before the campaignbegins. Whatwe areseeingin the -.30 correlationis, to some degree,that candidateswho expectto lose, no matterhow chooseto attacktheir they campaign,disproportionately opponents.7By addinga measureof expectedoutcome to the basicregression,we may controlfor the effectsof expectedlosersgoing negative,and providea much less biasedestimateof the effectsof campaigntone on election outcome. When we do this, the effect of negative tone is reduced,yieldinga coefficientof-.11 (s.e. = .03, adjustedR2= .61). It still appearsthat attackingthe opponent is a bad campaignstrategy,but not nearlyas bad as in our initialestimate. We still havenot controlledfor all of the endogeneity. Candidatesdo not devisecampaignstrategiesat the beginning of campaignsand never revisit those decisions. Candidateswho find themselvesdoing less well than they had hoped at the outsetof the campaign(e.g., an incumbentwho findshimselfrunningbehind)might switchfrom an initiallypositivestrategyto one that involves more negativecampaigning.Justlike candidate spending,then, campaignstrategiesare to some degree endogenousto the campaignitself, and requirea more thoroughtwo-stageanalysis. We considered a number of variablesas possible first-stageinstrumentsfor campaigntone, includingthe projectedclosenessof the race,dummyvariablesfor region, party,candidategender,electionyear,and dummy variables for the polling firm and media consultant workingfor each candidate.8To avoid"overfitting,"we 7Indeed,we createda measureof the projectedoutcome of the race, and this measurecorrelates-.63 with our simple measureof relative campaign negativism. Clearly,candidateswho expect to lose disproportionately"go negative"(see Lau and Pomper,2001b, for more detail). 8The National Journalpublishes these data in the issue a week or two before each election-or did, until 1998. We are particularly indebted to JerryHagstrom,who gatheredthese data for the Journal over the past two decades, and shared his 1998 data with us, even though it ultimatelywas not published in the magazine.We createddummy variablesfor all polling firms and all media consultants who, during the 1988-1998 period, worked for at least three differentcandidatein at least threedifferentstates.Theselast dummy variablesare designed to capturethe differentialproclivities of the various campaign consultants to recommend "going negative"in seemingly similar situations across elections. These data, along with our measures of campaign tone and candidate quality, are available from our web site, Http://www.polisci. rutgers.edu/people/RickLau/. 51 retainedonly those possiblepredictorvariableswith coefficientsapproximatelyas large (or larger)than their standarderrors.The details of these first-stageregressions are presentedin the appendix.As with spending, we estimatedseparatefirst-stageregressionsfor incumbentsand challengers.The R2sof thesefirst-stageregressionswere.47 and .32,respectively. Variable Definition andData Webringtwo distinctsets of datato bearon the central question of the effectivenessof negativepolitical campaigningin Senateelections,one an originalaggregate, state-leveldata set createdfrom standardsources,the second individual-level survey data collected by the ANES.We gather data and develop unique variables whicharecombined specifyingcampaigncharacteristics with both the aggregateand individualleveldatasets. We want to examine the effectivenessof negative campaigningin achievingthe end its practitionersdesire-winning the election.Becausemost priorresearch on Senateelectionshas used aggregatedata to measure the electoralsuccessof incumbentsseekingreelection,we begin our analysisby regressingthe proportionof vote receivedby the incumbent(in our aggregate,state-level dataset) on a seriesof predictorswhichpastresearchhas foundto be important,includingseveralnationalfactors that could influenceall Senateelections occurringin a particularyear,and variouslocal factorsthat areunique to each state-including candidate"quality," spending, andour indicatorsof the natureof the campaign.In particular,the incumbentsupportequationincludesthese independentvariables: Presidential the averageapprovalratingof Popularity, the Presidentfrom all Gallup polls conducted duringJuly,August,and Septemberof the election year,minus 50. Thisvariableis multipliedby -1 if the incumbentsenatoris of a differentparty fromthat of the incumbentPresident.If popular Presidentshelp candidatesfrom their own party (that is, if Senateelections are in part referenda on the President'sjob performance),this variable will be positivelyrelatedto incumbentvote. MidtermElection,which equals+1 when an incumbent of the President'spartyis seeking reelection during an off-year,equals -1 if an incumbent fromthe oppositepartyof the President'sis seeking reelection, and is 0 otherwise. Becausethe President'spartyusuallyloses seats in Congress during off-year elections, this variable should be negatively related to incumbent vote. RICHARD R. LAU AND GERALD M. POMPER 52 State Partisanship, the percentage of people in the state who identify with the incumbent's party, minus the percent who identify with the challenger's party. This variable should be positively related to incumbent vote percent.9 Changein StatePer CapitaDisposableIncome(PCDI), as reported by the Bureau of Economic Activity. This objective indicator of the nature of the state's economy should have a positive coefficient, assuming citizens are more likely to support incumbents when economic times are good, but are more likely to prefer a change in their political leaders (irrespective of party) when economic times are bad. Incumbent Scandal, Incumbent Controversy, and Incumbent Health, dummy variables indicating whether the incumbent had been involved in a potentially illegal scandal, an equally damning (but not illegal) controversy,or if the incumbent's ability to perform the job had been questioned for health reasons. These data were coded by reading the pre-election issue of CongressionalQuarterly each year.'0Although these three distinct dummy variables have too little variance to have much power in any statistical analysis, we have retained them all to maintain some continuity with past research.Each of these variablesshould be negatively relatedto percent vote receivedby the incumbent. Challenger Governor, a dummy variable which equaled 1 if the challenger were the current or recently retired governor of the state, and equaled 0 otherwise. ChallengerMajor OfficeHolder equaled 1 if the challenger held some lesser statewide office (e.g., Lieutenant Governor) or was the mayor of a major city in the state, and was 0 otherwise. 9It is conventionalto rely on measuresdevelopedby Wright, Theirdata Erikson,andMcIver(1985)of state-levelpartisanship. comefromsurveysconductedbetween1974and1982-at bestsix yearsbeforeanyof the electionsconsideredhere.Weupdatedthe Wright,Erikson,andMcIverdataby creatingourowncumulative datasetfromallANESsurveysconductedbetween1988and 1996 (includingthe SenateElectionstudy).This cumulativedataset containedon averageover 500 casesper state,with the actual samplesvaryingbetweena lowof 153forHawaiito a highof 1847 Wethencreated"updated" forCalifornia. partisanship figuresfor eachstateby averagingtogetherour figuresfrom 1988to 1996 withWright,Erikson,andMclver'sfrom 1974to 1982.Ournew statepartisanshipdatacorrelate.92 with the originaldatapresentedbyWright,Erikson,andMcIver. 0lWeemploydataoriginallycodedby Gerber(1998),who was kindenoughto sharehis datafor the 1988,1990,and 1992elecelectionswithus.Theauthorscodedthedatafromtheremaining tion years.All of these data are availablefrom our web site. Challenger House, a dummy variable indicating whether the challenger was a member of the House of Representatives. ChallengerMinor OfficeHolderwas a dummy variable indicating whether the challenger was the mayor of a small town or city, a state legislator, or held some other elective office. Incumbentand ChallengerSpending,the natural logarithm of spending (in constant 1988 dollars) per capita (plus 1, so all logarithms will be positive and defined). We employ instruments for spending resulting from the first-stage analyses described above. Incumbent Spending should have a positive coefficient, Challenger Spending a negative coefficient. Incumbentand ChallengerNegativism,the percentage of all statements attributed to representatives of each campaign that attacked the opponent (rather than talking about their own candidate). Again, the actual variables used are first-stage estimates, resulting from the analyses reported in the appendix. If negative campaigning is effective, the Incumbent Negativism variable should predict positively, while the Challenger Negativism variable should have a negative sign. The range and mean of all variables are shown in Table 1. I VariableMeans and Ranges TABLE for Aggregate Level Data Low High Mean 42.4 VotePercent Incumbent -15 Presidential Popularity 0 Midterm Election -29.2 StatePartisanship -7.9 StateChangein PCDI Scandal 0 Incumbent 0 Incumbent Controversy 0 IncumbentHealthProblems 0 Challengera Governor 0 ChallengerMajorOfficeHolder 0 Challengerin House 0 ChallengerMinorOfficeHolder 0.0 Incumbent Spending(2SLS) 0.0 ChallengerSpending(2SLS) 0.3 IncumbentNegativism(2SLS) .0 WeightedInc.Negativisma 22.5 ChallengerNegativism(2SIS) .2 WeightedChal.Negativisma 88.1 19 1 31.7 11.4 1 1 1 3 3 3 3 1.9 1.3 64.9 133.2 66.4 73.6 59.70 3.52 .49 2.61 4.91 .03 .10 .03 .03 .18 .15 .22 1.08 .75 31.28 33.81 44.52 34.21 Note: N = 143. a Negativism byspending. multiplied EFFECTIVENESS OF NEGATIVE CAMPAIGNING IN U.S. SENATE ELECTIONS Any aggregate-level analysis of an individual decision is arguably misspecified. A more definitive test of the effectiveness of negative campaigning should be provided by individual-level data, using the ANES's Senate Election Study data for respondents in states where an incumbent was facing a major party challenger in the 1988-1992 period. The aggregate-level data on the nature of the campaign were merged with this survey data, which contained individual-level measures of many of the conceptual variables used as predictors in the aggregate analysis. When data from two different levels of analysis are combined, the resulting analyses are usually referredto as "cross-level."Our data set includes seventyfour elections in which the incumbent was seeking reelection. The dependent variable is vote for the incumbent (coded 1) rather than the major party challenger (coded 0). The handful of respondents who voted for some other candidate are excluded from the analyses. Individual-level predictors include Approval of the President'sJob Performance,the standard item, with respondents who answer "Don't Know"placed at the middle of the scale. Approval is scored high when the incumbent President is a Republican, low when he is a Democrat. Because there were Republican presidents between 1988 and 1992, the variable should also have a positive coefficient in the analyses. National Economy Worse,the standard retrospective judgment, with respondents who say"Don't Know" placed at the middle ("Stayed about the same") of the scale. "Worse"is scored high when a Democrat is the incumbent senator, and scored low when a Republican is the incumbent; again, this variable should predict positively. Party Identification and IdeologicalIdentification,the two familiar seven-point scales, with respondents claiming no such identification placed at the midpoint of each scale. These variables were coded such that Republican and conservative identifiers are scored high when there was a Republican incumbent senator, while Democratic and liberal identification are scored high when the incumbent is a Democrat. Each variable should predict positively. PolicyPreferences,a count of the number of ten different government programs for which respondents wanted more spending, minus the number of programs for which respondents wanted less spending. This variablewas reversedwhenever there was a Republican incumbent, so that it should predict positively in all elections. 53 Campaign Exposure,included in several models, is a scale combining self-proclaimed interest in politics, and the frequencyof reading about (or watching) politics in the newspaper and on television. Variablesmeasured at the state level which were used in the analysis of the survey data included: Changein StatePer CapitaDisposableIncome(PCDI), the same variable used in the aggregateanalyses. Incumbent Scandal, Incumbent Controversy,and Incumbent Health, and four dummy variables measuring challenger quality, all defined as above. Incumbent and Challenger Spending, and Incumbent and Challenger Negativism, were defined in exactly the same manner as in the aggregate analyses, except that the two campaign tone variables were expressed as proportions rather than percentages. The analysis also included standard demographic controls for age, education, income, race, and gender, measured at the individual level; and a dummy variable for a midterm election. All variables except those involving spending and campaign tone were rescaledto have a onepoint range; all of these control variables (except the dichotomous dummy variables) were centered around 0. Results Aggregate Analysis We begin our exploration of the effectiveness of negative campaigning by considering our aggregate, state-level data set. Much of the previous research on Senate elections has employed such data. Table 2 reports four separate analyses, the first without any of our measures of campaign tone, the others with different indicators of incumbent and challenger negativism. Although we are primarily concerned with the effects of the campaign tone variables,we will briefly comment on our base model, which excludes them. To begin with the national factors, presidential popularity does not seem to be much of a factor when incumbent senators are seeking reelection, but being an incumbent of the president'sparty seeking reelection during a midterm election is a definite detriment, costing the incumbent two to three points. This effect is statistically significant, one-tailed. Among the local factors, statewide partisanship clearly affects the incumbent's reelection chances. For every point that the number of partisans of the RICHARD R. LAU AND GERALD M. POMPER 54 TABLE2 PercentVote for IncumbentSenator, State-Level,1988-1998 Base Model B S.E. Constant Presidential Popularity Election Midterm StatePartisanship StateChangein PCDI Scandal Incumbent Incumbent Controversy IncumbentHealthProblems Challengera Governor ChallengerMajorOffice Challengerin House ChallengerMinorOffice Incumbent Spending ChallengerSpending IncumbentNegativism ChallengerNegativism WeightedInc.Negativism WeightedChal.Negativism WeightedInc.NegativismX WeightedChal.Negativism AdjustedR2 StandardError *p < .05 **p< .01 61.80*** .10 -2.69 .11* -.12 - .60 -1.90 -5.97 -9.05* -.46 -4.43 .38 7.97* -10.75 2.80 .06 1.38 .05 .30 4.11 2.67 4.51 4.57 2.36 2.48 1.84 3.78 6.79 B Model1 S.E. 72.92*** .05 -1.67 .09* -.34 -.04 .02 -2.48 -6.67 .98 -2.12 1.18 6.75* -7.65 -.17** -.16* 3.99 .06 1.25 .05 .27 3.65 2.48 4.11 4.16 2.12 2.28 1.66 3.36 6.07 .06 .08 B Model2 S.E. 61.28*** .07 -2.07 .09* -.28 .74 .12 -1.61 -5.78 1.03 -2.18 1.16 11.85** -2.81 2.45 .05 1.21 .04 .27 3.59 2.42 4.13 4.16 2.09 2.26 1.62 3.68 7.27 -.13* -.17 .06 .09 B Model3 S.E. 64.13*** .05 -1.90 .09 -.34 .18 -.62 -3.42 -7.08 .73 -2.26 1.18 11.33** 1.22 -.25* -.31* .003 .24 6.92 .31 6.59 .30 6.66 3.45 .06 1.27 .05 .28 3.78 2.56 4.55 4.46 2.19 2.35 1.69 3.86 8.27 .11 .15 .002 .30 6.64 ***p< .001 Note:Tableentriesare2SLScoefficients. N= 143. incumbent's party exceeds that number of partisans of the challenger's party, the incumbent gets about a tenth of a point boost at the polls. On the other hand, state change in disposable per capita income did not even have its predicted sign. This variable was not statistically significant, however, and we have no good explanation for this finding. Controlling on other variables in the equation, only one of the candidate-specific factors has a significant direct influence on the outcome of the election, in part because their influence is partially indirect, acting through the candidates' ability to raise money (and in subsequent equations, on their influence over the type of campaign they choose to run). Money matters, of course, and by our estimates matters a bit more (about a third more) for challengers than for incumbents. But our figures are very much in line with those reported by Gerber (1998), and far less than the huge differences reported by investigators who may not have sufficiently controlled for the endogeneity of candidate spending. 1 For present purposes the more interesting findings are reported in Models 1-3, which include indicators of llThe OLS (rather than 2SLS) coefficients for incumbent and challengerspending are 5.54 and - 12.70, respectively,indicating (incorrectly,we would argue along with Gerber) that challenger spending is more than twice as importantas incumbent spending. the nature of the campaign'stone. If attacking the opponent is an effective campaign strategy,then the campaign tone variablesought to have a positive sign for the incumbent and a negative sign for the challenger.The results of Model 1 indicate that attacking the opponent could indeed be an effective strategy for challengers. The coefficient for overall challenger negativism is -.16, indicating that challengers can improve their performance at the polls by 1 percent by increasing their attackson their opponent during the campaign by about 6 percent. On the other hand, attackingthe opponent is a particularineffective strategyfor incumbents to follow. The -.17 coefficient is roughly the same magnitude as that for challengers,but opposite in effect: for every 6 percent of their campaign pronouncements incumbents used attacking their opponent, they did about 1 percent worseat the polls. To phrase these results positively, incumbents who campaigned on their own accomplishments, abilities, and issue stands did significantly better at the polls than incumbents who chose instead to attack their opponent.12 12Sinceevery statementis coded as either positive or negative,the percent negativism of a campaign equals 100 minus the percent positivism.Thus if we had createda measureof the relativepositivism of the two majorparty campaigns,the -.17 coefficientwould simply reverseto +.17. As one anonymous reviewerpoints out to EFFECTIVENESS OF NEGATIVE CAMPAIGNING IN U.S. SENATE ELECTIONS The campaign tone variables in Model 1 are simply the percentage of all statements coming from each candidate's campaign which attacked the opponent. Operationalizing the crucial independent variables in terms of raw percentages is straightforward and easy to understand, but makes the implicit assumption that all candidates were equally able to get their messages across to the voters, a dubious assumption at best. Model 2 employs weightedmeasures of campaign tone, the same raw percentages used in Model 1, multiplied by the campaign spending variable. This weighting should magnify the effects of the campaign for candidates with a lot of campaign resources to spend, while minimizing the effects of the campaign among those with relatively few resources to help them get their message across. Operationalizing the crucial independent variables in this manner makes greater intuitive sense. As it turns out, however, it makes little practical difference, as the two crucial campaign tone coefficients remain essentially unchanged. The previous two models treated the campaign tone variables as if they had simple linear effects. That is, these models assumed that the effect of negative campaigning by either candidate were independent of the level of negative campaigning by his or her opponent. This assumption seems overly restrictive, and again does not match our intuitions. Model 3 relaxesthis assumption by including an interaction term between Weighted Incumbent Negativism and Weighted Challenger Negativism. us, the interpretationof the marginaleffectiveness(or ineffectiveness) of negative campaigningpresentedhere in the text is based cruciallyon our model of candidatedecision making.If candidates know preciselyhow effectivedifferentcampaignstrategieswill be in their specific state, and choose accordingly,then our resultsreflect the relativelygreaternumber such races where "going negative"is the best strategyfor challengersto follow, whereasstaying positive is the better strategyfor the largemajorityof incumbents, and it would be wrong to present our results as if all challengers would do 1 percentbetter at the polls for 6 percentmore negative campaigning,and so on. In such a world of preciseknowledge (or anything approachingit), no candidatein their right mind would listen to what political scientistswould have to say about the relative effectivenessof differentcampaignstrategies.We suspecthowever,that ambiguity and uncertainty,ratherthan precision, characterizethe world of campaigndecision making.The question,we think, comes down to whetherthereis a singledistributionof campaign effectsthat all campaignsare a part of; or whetherthere are two (or more) distributionsof campaigneffects (one where negative campaigningis more effective,one where positive campaigning is more effective), and candidates know which distribution they arein. Our intuitionstell us that if there aremultipledistributions of campaigneffects,there is so much overlapbetween them that for all practicalpurposes,they might as well be modeled as a single distribution.The argumentfor uncertaintyand a single distribution of campaign effects is particularlystrong for Model 3, where all campaign effects are conditional on what the opponent does, and all campaign decisions must be made (at least in the short run) without preciseknowledgeof how the opponent is going to campaign. 55 As shown in the last columns of Table 2, this interaction term is positive and much greaterthan its standard error, although it does not achieve conventional levels of statistical significance (p < .20).13 The interaction suggests that negative campaigning by the incumbent becomes more effective (or less ineffective) at higher levels of negative campaigning by the challenger. Alternately, negative campaigning by the challengerbecomes less and less effective, the more the incumbent chooses to attack the challenger. Our initial findings, then, paint a very mixed picture of the usefulness of negative campaigning. It would appear that attackingthe opponent is a more effective strategy for challengers than for incumbents. We may be distorting the picture by including all available elections in which the incumbent was seeking reelection during the 1988-1998 period, however.Westyle (1991) in particular points to the competitiveness of the election (which he calls "intensity")as an important variable in determining what factors influence voter's decisions. Some incumbents are so popular, and some states are so dominated by one of the political parties, that the Senate election is never really competitive. In such cases the campaign, whatever its nature, probably has little effect on the outcome of the election. But if we limit our sample to competitive races, negative campaigning may prove to be a more effective strategy,particularlyfor incumbents. We divided our elections into two groups according to CongressionalQuarterly'sfall projections, those where each candidate was judged to have at least some chance of winning, and those that were largely noncompetitive (considered to be "Safe"for one of the parties), and repeated the analyses in these two groups. The results for the campaign tone variables are reported in Table 3, separately for competitive and noncompetitive races. They do not conform to our expectations; indeed, the case for the efficacy of negative campaigning becomes even weaker.In competitive races, negative campaigning by incumbents still hurts their reelection chances, while negative campaigning by challengershas almost no effect on their reelection chances. In noncompetitive races, on the other hand, negative campaigning helps incumbents a little (never significantly) and helps challengers a lot. Of course "help"must be interpreted generously in the latter case, because the incumbent won all but one of the sixty-two noncompetitive races by an average margin of almost 32 percent. Controlling on the competitiveness of the election thus makes negative campaigning appear to be an even 13This interaction was nearly identical in magnitude but highly significant in the OLS results (p < .001). This is the one place where the loss of efficiencydue to the two-stageestimationprocedure seemed to noticeablyaffectthe results. RICHARD R. LAU AND GERALD M. POMPER TABLE3 PercentVotefor IncumbentSenator,State-Level,1988-1998, Controllingon Competitivenessof Election Elections 81 Competitive IncumbentNegativism Challenger Negativism Weighted Inc. Negativism Weighted Challenger Negativism Weighted Inc. Negativism X Weighted Challenger Negativism S.E. -.14* -.02 .07 .08 Model3 B Model2 S.E. B S.E. -.09 -.02 .06 .09 -.14 -.07 .12 .15 Model 1 B .001 .002 Elections 62 Noncompetitive Model 1 B IncumbentNegativism Challenger Negativism Weighted Inc. Negativism Weighted Challenger Negativism Weighted Inc. Negativism X Weighted Challenger Negativism .08 -.35*** S.E. B Model2 S.E. Model3 B S.E. .06 .07 .09 -.45*** .07 .11 .02 -.52** .15 .20 .002 .004 *p < .05 **p< .01 ***p< .001 Note:Allequationsincludethe same variablesas those showninTable2. less effective strategy than in did initially, at least when the campaign has a chance to affect the outcome of the election. We do have real concerns that aggregation bias may be distorting these findings, however, and turn immediately to a cross-level analysis of survey data for a further test.14 We want to make one additional point before moving to the individual level data, however. Notice that the adjusted R2 reported in Table 2 increases appreciably between the base model and those models including measures of the campaign's tone, from .24 to about .30. This dramatic increase substantiates our claim that it is not just money, but how candidates choose to spend their campaign funds, that matters. '4Beforemoving on we should mention severaladditionalanalyses that were conduced but are not reportedin Table2. We followed the guidelines of Abramowitz(1988) and Gerber(1998) in creating a dummy variablefor a "celebrity"challenger,but this variable alwayshad the wrong sign and neverapproachedstatisticalsignificance.We also createda measureof the "issueproximity"of the incumbent to the mean ideology of that state'selectorate,but this measurehad no effect whatsoeverin any analysis.When we break the overall measuresof campaign negativism into separatemeasures of policy-based and person-based negativism, it is policybased attacksby the incumbent which stand out as the strongest (negative)effects.It would appearfrom these data that attackinga challenger'sissue stands,ratherthan running on one's own record, is a particularlyineffectivecampaignstrategyfor an incumbent. Cross-Level SurveyAnalyses Table4 presents the results of three increasingly complex models of vote for the incumbent senator, now based on individual-level survey data from seventy-four Senate elections between 1988 and 1992 for which we have campaign and survey data. These analyses conceptually replicate Models 1-3 from the aggregate analysis, with individual-level measures replacing their aggregate-level equivalent whenever possible.15The dependent variable is vote for the incumbent rather than the challenger.We continue to employ two-stage estimation procedures for candidate spending and campaign tone, using the same 15The one exception to this statement is an individuallevel measure of Approval of the Incumbent Senator'sJob Performance, which was considered in lieu of the three dummy variablesconcerning the incumbent that were employed in the aggregate-level analyses. A comparison of models employing these alternative measuresled us to stronglysuspect that this standardmeasure of incumbent job approval was also somewhat endogenous to the vote decision. Ratherthan trying to develop a set of instruments for this item and employing two-stageproceduresyet a fifth time, we simplyused the same dummyvariablesabout IncumbentScandal, Controversy,and Health Problemsemployed in the aggregate analyses.These three variablescertainlywould have been the primary instrumentsin a first-stageregressionpredictingIncumbent SenatorJobApproval. EFFECTIVENESS OF NEGATIVE CAMPAIGNING IN U.S. SENATE ELECTIONS TABLE4 57 Vote for IncumbentSenator,Individual-Level, 1988-1992 B Constant ApprovePresident'sJob Perf. Midterm Election NationalEconomyWorse Changein PCDI PartyIdentification IdeologicalIdentification PolicyPreferences IncumbentScandal IncumbentControversy IncumbentHealthProblem Challengera Governor ChallengerMajorOfficeHolder Challengerin House ChallengerMinorOfficeHolder IncumbentSpending ChallengerSpending IncumbentNegativism ChallengerNegativism WeightedIncumbentNegativism WeightedChallengerNegativism WeightedIncumbentNegativismX WeightedChallengerNegativism -2*LogLikelihood ModelChi-Square Cox&SnellPseudoR2 PercentCorrectlyClassified Model1 S.E. Exp(B) 3.12*** 1.07*** -.35 .35 -1.05** 2.59*** 1.69*** 1.85*** .37 .37 -1.31*** -1.22 .03 .29 .84*** -.01 .01 -2.50** -1.93*** .61 .18 .25 .23 .36 .19 .27 .33 .27 .27 .41 .70 .21 .23 .18 .37 .64 .63 .78 2.92 .71 1.42 .35 13.30 5.42 6.36 1.45 1.44 .27 .30 1.03 1.33 2.32 .99 1.01 .08 .14 B Model2 S.E. Exp(B) 1.76*** 1.07*** -.29 .36 -.96** 2.59*** .88* 1.32** .50 .17 -1.22*** -1.13 -.03 .25 .86*** .54 .75 .49 .18 .24 .23 .36 .18 .37 .44 .28 .34 .41 .70 .21 .23 .18 .41 .77 2.92 .75 1.43 .38 13.29 5.40 6.30 1.66 1.19 .30 .32 .97 1.28 2.37 1.71 2.14 -2.09*** .57 -1.77* .74 .12 .17 B 2.31*** 1.07*** -.26 .33 -.87* 2.59*** 1.69*** 1.85*** .23 .28 -1.56*** -1.38 -.07 .26 .85*** .46 1.01 .59 .18 .25 .23 .36 .19 .27 .33 .32 .34 .46 .72 .26 .23 .18 .41 .78 2.92 .77 1.39 .42 13.33 5.42 6.36 1.26 1.33 .21 .25 .93 1.29 2.35 1.58 2.73 -3.97*** 1.22 -3.25** 1.12 .02 .04 2.42 68.85 4.23 2373.34 1037.77*** .32 78.2% 2375.30 1035.82*** .32 77.6% Model3 S.E. Exp(B) 2372.23 1038.89*** .32 78.0% < .001 *p< .05 **p< .01 ***p Note:Tableentriesaretwo-stage coefficients.The alsoincluded anda "Pseudo controls Mills Inverse Ratio" logisticregression equations demographic variable(see text). N = 2682. first-stage estimates employed in the aggregate-level analyses. We will focus on the campaign tone variables, but note in passing that the aggregate- and individuallevel analyses provide very similar results for the other variables in the equations, with the individual level results generally proving somewhat stronger.For example, presidential popularity, measured at the national level, was not significant in the aggregate analyses but was highly significant (measured at the individual level) in the survey analyses. State levels of partisanship was just significant in the aggregate level but party identification was highly significant (measured at the individual level) in the survey results. State-based Change in Per Capita Disposable Income (measured at the aggregatelevel in all analyses) was never significant in the aggregate analyses but always proved significant in the survey data. The most dramatic difference between the aggregate- and individual-level analyses is that, controlling for the other variables in the equations, neither Incumbent Spending nor Challenger Spending were ever significant in any model considered employing the survey data. Turning to the campaign tone variables, the results of the individual-level analyses are strikingly similar to those from the aggregate analysis. When all available incumbent reelection races are considered, negative campaigning hurts the incumbent but helps the challenger. This is true whether the campaign variables are entered in a simple additive fashion in Model 1, weighted by spending in Model 2, or include an interaction term between Incumbent Negativism and Challenger Negativism in Model 3. The most realistic model is certainly the last. At the individual level, the interaction term just misses conventional levels of significance (p < .08). It suggests that negative campaigning by the incumbent becomes more effective (or rather, is no longer ineffective) at higher levels of negative campaigning by the 58 challenger. Similarly, negative campaigning by the challenger becomes less and less effective, the more the incumbent chooses to attack the challenger. Models 2 and 3 weight the campaign tone measures by spending because it is reasonable to assume that a campaign strategy will have a larger effect when it is backed by more campaign resources. At the aggregate level, this is the only way we can try to control for the probability of exposure to the campaign. At the individual level there are more precise measures available.In particular, it is reasonable to expect that the campaign will have greater effects upon those who are most interested in and/or pay the most attention to the campaign, who are consequently most likely to be exposed to it. We therefore tested additional models that included a measure of campaign exposure, and the interaction between it and our various campaign tone variables.When all incumbent reelection races are considered, as in Table 4, these interaction terms never approached conventional levels of significance. Consequently we do not report these results (but again they are available from the authors upon request). Campaign exposure will prove to have a stronger effect in more restrictiveanalyses below. We also considered the effects of the competitiveness of the elections by controlling on Congressional Quarterly's fall projections, taking advantage of the greater sample size available from the survey data to distinguish between highly competitive races, those where one candidate (the incumbent) was the clear favorite but there was at least some chance for an upset (that is, breaking the "competitive"races from the aggregate analyses into two groups), and races which were largely noncompetitive and considered to be "safe"for one of the parties;and repeated the analyses in these three groups. The results for the crucial campaign tone variables are shown in Table 5. None of the campaign negativism variables proved statisticallysignificant in any of the models tested among the noncompetitive races. These results contrast with the aggregate results, where the only place that negative campaigning appeared to be efficacious was in these noncompetitive races. In more competitive races, the electoral prospects of challengers improved when they attacked their opponent, particularlyin moderately competitive elections. The electoral prospects of incumbents are not significantly influenced by the negativism of their campaigns in highly competitive races, but those prospects are significantly decreasedin moderately competitive races by increased negativism. This analysis better isolates those situations when incumbents should avoid going negative. We have now presented a large number of different models, in different subsets of the data, and the reader RICHARD R. LAU AND GERALD M. POMPER may be left wondering just what exactly is the effect of negative campaigning in Senate elections. There is no simple answer to this question, but Table 6 and Figure 1 present our best guess at the answer if we are willing to limit the question to highly competitive races, where the campaign has the best chance of making a real difference. We only present the results of the most realistic Model 3, which weighs the campaign tone variables by spending, and which includes an interaction term between the two weighted campaign tone variables.We also add Campaign Exposure and the interaction between it and campaign tone to the equation. If "going negative" is an effective campaign strategyin highly competitive Senate elections, the effect of Weighted Incumbent Negativism should be positive, particularly among those who are widely exposed to the campaign (i.e., the interactionbetween Campaign Exposure and Weighted Incumbent Negativism), while the effect of Weighted Challenger Negativism should be negative,particularlyamong those most highly exposed to the campaign-i.e., the interaction term. Even restricting our attention to highly competitive elections, the simple effects of weighted campaign negativism by the incumbent (now interpreted as the effect of campaign negativism among those paying very little attention to the campaign) are significantly negative, i.e., counter to the intentions of the incumbent. The effect of Weighted Incumbent Negativism is significantly better for the incumbent among those highly exposed to the campaign, but still the combined effect (-5.62 + 3.65 = -1.97) is negative. As we have seen all along, challengers are helped by going negative, and helped a little more (p < .08) when voters are highly exposed to the campaign (-6.89 - 2.82 = -9.71). These simple effects of campaign tone are qualified interaction between Weighted Incumbent Negathe by tivism and Weighted Challenger Negativism, however. This interaction term is crucial to understanding what the model is telling us, and we will spend some time sketching out its implications. The top portion of Figure 1 illustratesthe meaning of the interaction effect at varying levels of incumbent and challenger negativism for those low in campaign exposure, while the bottom half of the figure considers the same situations for those highly exposed to the campaign. The dependent variable in the figure is the predicted probability of voting for the incumbent, holding all control variables at their mean or mode. This undoubtedly maximizes the apparent impact of the campaign, for we are thus estimating its effects on independent moderates who might have no strong prior predisposition toward either party's candidate. The analysis assumes a challenger who held some major statewideoffice (but not governor),and an incumbent EFFECTIVENESS OF NEGATIVE CAMPAIGNING IN U.S. SENATE ELECTIONS 59 PercentVote for IncumbentSenator, IndividualLevel, Controllingon Competitiveness of Election VeryCompetitiveElections (N = 1000,27 elections) TABLE5 B IncumbentNegativism ChallengerNegativism WeightedInc.Negativism WeightedChallengerNegativism WeightedInc.NegativismX WeightedChallengerNegativism Model1 S.E. -.74 -2.49 B Model2 S.E. Model3 B S.E. -3.56 -5.63** 2.85 2.22 1.94 1.63 .13 -2.83* 1.65 1.36 7.27 4.56 ModeratelyCompetitiveElections (N = 576, 16 elections) Model1 IncumbentNegativism ChallengerNegativism WeightedInc.Negativism WeightedChallengerNegativism WeightedInc.NegativismX WeightedChallengerNegativism B S.E. -3.42* -5.04* 1.62 2.61 B Model2 S.E. -3.10* -4.40 1.47 2.36 Model3 B S.E. -13.19 -9.03 9.72 5.24 19.23 18.32 NoncompetitiveElections (N = 1106,31 elections) Model1 IncumbentNegativism ChallengerNegativism WeightedInc.Negativism WeightedChallengerNegativism WeightedInc.NegativismX WeightedChallengerNegativism B S.E. .40 -2.75 1.26 1.53 B .12 -2.01 Model2 S.E. 1.17 1.64 Model3 B S.E. 1.68 -.94 3.36 2.71 -4.20 8.44 *p< .05 **p< .01 ***p< .001 as thoseshowninTable2. Note:Allequations includethesamevariables facing no scandal, controversy,or major health problem. We assume that candidates have "typical"campaign resources, which in these competitive elections means roughly equal resources. Under these circumstances, the top half of Figure 1 illustrates the only story we could logically expect: no matter how negatively the candidates campaign, the campaign doesn't matter much to those who are barely exposed to it. There are some predicted differences resulting from the campaign, to be sure, but the incumbent is always predicted to have a fairly strong majority.16As illustrated in the bottom of Figure 1, however, 16If we play around with the presumed candidatespending levels in whichthe challengeris prewe cancreatea fewcircumstances votes-but only dictedto receivethemajorityof theuncommitted a few. this is not the case when people are paying attention to the campaign. Now there are many situations in which our model predicts that the challenger will receive the majority of the uncommitted votes-in fact, virtually all those where the challenger is more negative than the incumbent. These results, finally, provide some support for the conventional wisdom about the effectiveness of negative campaigning. Our model predicts that whichever candidate is more negative than his or her opponent will win a majority of the uncommitted voters, in highly competitive elections, when resources are roughly equal, and when voters pay a great deal of attention to the campaign. Rare circumstances indeed-but these are the only ones we have found where negative campaigning is as effective for both challenger and incumbent as most political observers seem to believe. 60 RICHARD R. LAU AND GERALD M. POMPER TABLE 6 Votefor IncumbentSenator,Individual- RacesOnly Level,HighlyCompetitive Model3 S.E. B 1.05 -.06 Constant PseudoIMR .94* Age -.74 Education .90* Income Family .05 White -.16 Male 1.28*** ApprovePresident'sJob Perf. -.05 Midterm Election .58 NationalEconomyWorse -1.33 Changein PCDI 2.93*** PartyIdentification 2.04*** IdeologicalIdentification 2.29*** PolicyPreferences .35 Incumbent Scandal .34 IncumbentControversy -1.74** IncumbentHealthProblem -2.24* Challengera Governor Holder -.46 Office ChallengerMajor .72 in House Challenger .93 ChallengerMinorOfficeHolder -.28 Incumbent Spending 4.10* ChallengerSpending -5.62* Incumbent Weighted Negativism WeightedChallengerNegativism -6.89** -1.08 CampaignExposure 3.65** WeightedInc.Neg. X Exposure X -2.82 Chal. Weighted Neg. Exposure WeightedIncumbentNegativismX WeightedChallengerNegativism 10.64 -2*LogLikelihood ModelChi-Square Cox&SnellPseudoR2 Classified PercentCorrectly *p< .05 **p< .01 1.79 .38 .46 .72 .47 .30 .17 .29 .63 .40 .93 .30 .45 .54 .38 .54 .66 .93 .46 .47 .51 1.08 1.81 2.90 2.83 1.12 1.31 1.62 5.55 41728.54 933.57 555.24*** .39 79.6% ***p< .001 coefficients. Note:Tableentriesaretwo-stage logisticregression N = 1000. Discussion We started this project with some skepticism that negative political campaigning really helped the candidates who utilize it. Moreover, knowing the methodological difficulties facing any researcher trying to detect campaign or media effects of any stripe, we feared that our data would not be powerful enough to detect significant effects. But our results surprised us: not only did they prove to be reasonably powerful, but we found at least some situations in which both an incumbent and a chal- lenger would be helped by attacking the opponent-at least in the context of U.S. Senate elections during the last decade of the twentieth century. Our basic findings were replicated across both aggregate and individuallevel data sets. We might add that our individual-level analyses are the only use of representative survey data (that we know of) to address the question of the relative effectiveness of negative campaigning. Still, our skepticism about the inordinate power of negative campaigning seems to have been justified, and our findings clearly should not be read as validating or encouraging negative campaigning, either normatively or empirically. A full accounting of the evidence suggests that, as often as not, attacking the opponent is a counterproductive campaign strategyto follow. All else equal, our results suggest that incumbents typically would have won more votes than they actuallydid had they run more positive campaigns. Challengers tend to benefit from these tactics, but victory is still unlikely unless challengersboth outspend and out-attack the incumbent-and few incumbents will give them this kind of free ride.17 More typically,the challenger'sgains from a negative campaign can be offset by an incumbent's response. When the total interactivecampaign efforts are considered,there is only a limited effect on the ultimate vote. There are several important methodological challenges that could be raised about some of our analyses, and we want to address them here. Any time individual level processes are studied with aggregate data, certain red flags must be raised. But the individual-level survey data, which provided comparable results, handle most of these issues. Survey data also have their limitations, of course, most notably in over-reporting turnout and, to a lesser extent, over-reporting support for the winning candidate. But the aggregate data provide more reliable readings on actual levels of candidate support, and again provide very comparable findings. There could be a more basic problem, however. It is possible that our measure of the campaign's tone, based on a coding of secondary reports from a variety of political experts in each state, is too gross or indirect or noisy to accurately reflect the true nature of each candidate's campaign. Communications researchersmight be more comfortable with the term "intermediated negative messages" (Haynes and Rhine 1999) rather than "campaign tone" to describe the nature of our data, although we stick with the latter because it has been used previously '7Moreover the aggregate data clearly suggest that negative campaigning by the challenger is only relatively effective in noncompetitive races. In other words, negative campaigning by the challenger is most effective in reducing a rout to only a landslide. EFFECTIVENESS OF NEGATIVE CAMPAIGNING IN U.S. SENATE ELECTIONS FIGURE1 Effectsof CampaignNegativism, MedianSpending by Both Candidates LowCampaign Exposure 1(: c) I 0.9E .. ?- - 0.8- --. -._ ' IncumbentNegativism `f--7?=---? .. .. 0 | `` `` 0.7- o0 ------- 0.5- EL 0.4 Low Mod. High .----------------Average ------ - Mod. Low ?: 0.6- ._ -1 High ---- -Low 1 High High Average ChallengerNegativism HighCampaign Exposur 10.9 - -_ 0.8E ( 0 a) 0 > 0.7- IncumbentNegativism 0.6- NN High 'N.N 0.5- ---- Mod. High ------------------Average ---------Mod. Low 0.40.2 -. 0.3._ ------- 0 -Low 0.20.1 0 Low Average ChallengerNegativism in political science (Ansolabehere et al. 1994; Finkel and Geer 1998). Whatever its label, because this measure is used in both the aggregate- and individual-level analyses, it could be distorting all of them. We do not believe such criticism is justified. In another article utilizing this same campaign tone data (Lau and Pomper, 2001b), we examine seven factors that theoretically should be associated with the use of negative campaigning by political candidates.Although the details High High are beyond the scope of the current article, we find empirical support for each of those seven hypothesized factors, at least at the level of zero-order associations. These results can be viewed as providing strong constructvalidity for our measure of campaign tone. Certainly there is evidence that the media exaggeratehow negative political campaigns actually are (Kaid, Tedesco, and McKinnon 1996), so we may want to discount some the level of negative campaigning revealed in our data. But unless 62 this bias works differently for coverage of the incumbent and the challenger, it should not affect our conclusions. Moreover, the campaign as reported by the media, while not identical to the campaign conducted by the candidates, is nevertheless in no small part the campaign that is experiencedby the public. We would agree that our measure of the nature of the campaign is not ideal; unfortunately, good evidence on the nature of political campaigns is simply very hard to come by, particularlywhen looking at multiple campaigns in multiple locations across different election years. Other researchers with similar research designs (e.g., Ansolabehere et al. 1994; Franklin 1991) rely on data much like ours. Would our results be the same if we had direct measures of campaign advertising,ratherthan the broaderbut more indirect measure utilized here? We cannot say for sure, but we suspect they would be, particularlyif that direct measure of campaign advertising included measures of how often each different ad were aired (Goldstein 1997). We believe that it is plausible to argue that data such as ours may in fact be a bettermeasure of the advertising campaign than a direct coding of the ads produced by the candidates, if there is no information about how often the advertisementswere aired during the campaign. Goldstein (1997, 7) reports at least one instance from the 1996 presidential campaign when a simple coding of the ads produced by one of the candidatesprovides a very distorted view of the actual nature of the advertising campaign seen by voters. So let us accept our results as provisionally valid. Do they provide, were political consultants to ask our advice, sufficient information to devise a successful Senate campaign?As noted above, we find little support for the conventional wisdom that negative campaigning is inordinately effective. Besides this, however, our methodology is too crude to provide anything like detailed advice. We only have broad summaries of the strategies that were employed by the different candidates during the last months of the campaigns. Tracking more subtle shifts and variations in what a candidate does over time-and we know such variation exists (e.g., Roberts and Alvarez 1996)--is beyond what our data can detect. Nonetheless, we may be able to suggest why negative campaigning would appear to be used much more often than its relative effectiveness would seem to justify. (See Lau et al. [1999] for a complete review of the existing evidence.) Any candidate must first secure and mobilize his or her base of supporters, but then try to win the majority of independent voters. Our results suggest that negative campaigning by challengers can be fairly effective with independents (at least in competitive races)-but it can be effectively countered among independents by a like response from the incumbent. Any campaign con- RICHARD R. LAU AND GERALD M. POMPER sultant with a sense of the relative effectiveness of negative campaigning similar to what our data suggest could rationally advise a challenger to attack the incumbent (and rationally advise an incumbent to respond, if attacked) with just those independent voters in mind. Even in this day of cable TV, segmented publics, and webbased communications, any campaign message is a relatively blunt instrument, reaching those likely to be swayed by it, and those likely to be turned off or to simply ignore it. Negative campaign appeals may be used as often as they are with this particular audience in mind. And since few consultants are scientists, with the inclination or incentives to conduct systematic research, there may be little attention to the overall effect of any campaign strategy on the electorate as a whole. Although the benefits of negative campaigning are relatively small, the costs could still be considerable, not simply in campaign dollars, but in the more important effects on the dialogue of democracy. Regardlessof how effective negative campaigning is, its use may serve to depress turnout (although the evidence here is mixed: see Lau et al. [1999] for a recent review; and Lau and Pomper [2001a] for the estimates calculated from these same data). Normatively,while we do not join all the criticisms made, we too would object to negative campaigning that involves personal attacks unrelated to the governing capabilities of candidates or distorts their records and issue positions. Nothing in our data suggests this sort of campaigning would be effective-or that it is very widespread. And despite the widespread disapproval of negative campaigning, there may be, ironically,positive featuresto it. West (1993, 51) found in his study of advertisements from 1952 to 1992 that "the most substantive appeals actually came in negative spots,"and "in recentyearsdomestic performance and specific policy statements more than personal qualities have been the object of the negative prominent ads."Likewise,Geer (1998b) shows that issues are more commonly stressedin negative ratherthan positive advertisements.Indeed, one could make the case that negative campaigning is good for democracy. Mayerpresents a trenchant position along these lines, arguing that "any serious, substantive discussion of what a candidate intends to do after the election can only be conducted by talking about the flaws and shortcomings of current policies."Furthermore,he points out that voters need to know not only about candidates'claimed merits but also about "the abilities and virtues they don't have; the mistakes they have made; the problems they haven'tdealt with; the issues they would prefer not to talk about; the bad or unrealisticpolicies they have proposed" (Mayer 1996, 441). The concerns about negative campaigning to some extent reflect a dim appraisal of the electorate. Voters EFFECTIVENESS OF NEGATIVE CAMPAIGNING IN U.S. SENATE ELECTIONS must be protected from candidates, this line of argument goes, because they know little about politics and seem to care even less, they are easily discouraged, unable to distinguish truth from lies, and likely to be fooled by misrepresentations of the past and exaggerations about future consequences. Our data provide absolutely no support for such a sweeping statement. The benefits and costs of negative campaigning are much more subtle, more nuanced, and the electorate seems reasonably able to detect and respond to at least some of those nuances. There are neither fixed rules for campaigners nor immutable preferences held by voters. It is one more reason to believe, with Key,that "the electorate behaves about as rationally and responsibly as we should expect, given the clarity of the alternativespresented to it and the character of the information availableto it" (1966, 7). Surely, campaigning can be improved. Scholars like us would probably express a preference for campaigns conducted by exemplarycandidatesthrough civil debates, in which statements were always disinterested, and truth was alwaysunvarnished.That is to say,we would probably express a preferencefor campaigns as the model academic seminar. Yet we know that even academia does not now, and probably never did, resemble Plato'ssymposia, and it is vain to think that the exuberant world of democratic TABLEA-1 63 politics will fit that model any better.Let us urge that campaigns be fair,that statements be accurate,that discourse be relevant,that politicians be respected, and that citizens be interested. And let us encourage researchers to continue studying campaigns, in a multitude of different settings and with a variety of different methods. But let us not discourage relevant criticism of an opponent because of any unwarranted fears that such attacks are inordinately persuasive, or that they inevitably discourage citizen engagement with the political system. The republic still stands. ManuscriptsubmittedFebruary18, 2000. Final manuscriptreceivedMay 12, 2001. Appendix Any 2SLSanalysiscan only be successfulif the first stageregressions prove relativelyrobust. Our analysisrequiredinstruments for four variables: incumbent and challenger spending, and incumbent and challenger campaign tone. The full first-stagepurgingregressionsfor per capitaspending are shown in TableA-1. We basicallyreplicatedGerber's FirstStage Regressionsfor CandidateSpending B LaggedSpending VotingAge Population Incumbenton FinanceComm. ChallengerRich Candidate'sParty(Republican) Presidential Popularity Midterm Election StatePartisanship StateChangein PCDI IncumbentScandal IncumbentControversy IncumbentHealthProblems Challengera Governor ChallengerMajorOffice Challengerin House ChallengerMinorOffice Constant R2 FullPurgingEquation R2 Just ExogenousVariables R2 Instrument Regressedon ExogenousVariables *p < .05 **p< .01 Note.N = 156. ***p< .001 Incumbent S.E. .30*** -.09*** .56** .17 .06 -.00 -.25 2.15*** -.05 - .68 .68* -.39 .61 .42 .21 .05 1.57*** .04 .02 .18 .21 .08 .01 .18 .64 .03 .48 .28 .50 .49 .23 .24 .20 .28 .54 .16 .27 B Challenger S.E. .10*** -.04* .19 .48** -.02 .00 .04 .91 .02 -.08 .72*** .50 1.60*** .52** .62** .02 .13 .03 .02 .14 .17 .06 .01 .14 .50 .03 .38 .22 .39 .38 .18 .19 .16 .22 .38 .24 .63 RICHARD R. LAU AND GERALD M. POMPER 64 TABLEA-2 First Stage Regressions for CampaignNegativism B ProjectedClosenessof Race FemaleCandidate Candidate'sParty(Republican) DemocraticMediaConsultant1 DemocraticMediaConsultant2 RepublicanMediaConsultant1 2 RepublicanMediaConsultant 3 RepublicanMediaConsultant 4 Media Consultant Republican 5 RepublicanMediaConsultant DemocraticPollster1 DemocraticPollster2 DemocraticPollster3 DemocraticPollster4 DemocraticPollster5 RepublicanPollster1 RepublicanPollster2 RepublicanPollster3 NortheastState Mid-Atlantic State Presidential Popularity Midterm Election StatePartisanship StateChangein PCDI IncumbentScandal IncumbentControversy IncumbentHealthProblems Challengera Governor ChallengerMajorOffice Challengerin House ChallengerMinorOffice Constant 1.77*** -.88 -.72 -8.30 **p< .01 .49 6.37 1.64 8.08 13.49* -9.02 6.97 -7.71 -9.16 6.99 6.73 7.06 3.67 7.64 8.13 4.27 17.86** 7.15 12.74** 15.50*** -.30* 3.25 13.39 -.72 19.27* 10.70* -2.93 6.53 6.39 6.40 -1.81 2.62 5.02 4.69 .14 4.05 12.18 .68 8.44 5.09 8.86 8.93 4.24 4.34 3.66 7.99 R2 FullPurgingEquation R2 Just ExogenousVariables R2 Instrument Regressedon ExogenousVariables *p< .05 Incumbent S.E. .47 .21 .45 B Challenger S.E. -.44 -3.19 3.49* .49 3.86 1.51 14.67* 14.54* -19.13 -23.07* 7.06 6.41 12.36 10.35 -12.83 3.22 6.66 3.28 9.36 8.88 32.39** 11.95 11.11** 4.92 6.64 11.27 6.52 4.22 .09 -2.97 22.68 .73 2.97 5.43 -4.92 8.37 13.43*** 6.08 1.26 36.91*** .20 5.50 11.84 .64 7.99 4.80 8.37 8.34 4.10 4.12 3.39 6.51 .32 .07 .22 ***p< .001 Note:N = 143. Equationsalso includeyeardummies. (1998) procedures,with the addition of one furtherinstrumental variable in the incumbent spending equation, a dummyvariableindicatingwhetherthe incumbentis on the FinanceCommittee.As shown in TableA-1, all instrumental variableshad their expected signs in the first stage regressions, and all but one werestatisticallysignificant. Following Bartels'(1991) recommendations, the table lists the explainedvariance (R2) from three separateequations, the first from the full purgingregressionpresentedin the table, the second when only the exogenous variables from the second-stage regressionare used as independent variables,and the lastwhen the instrumentitself (that is, the predictedscorefrom the first stageequation)is regressedon those same exogenousvariables.If the first R2(from the full purgingregression)is relativelylow, and/or most of the explained variance is due to the exogenous variables rather than the instrumentalvariables(i.e., the second R2is almost as large as the first,or the third R2is very close to 1.0), then the 2SLSprocedureis doing a poor job of adequatelyrepresenting the true model in a more efficient manner. There are no hard and fast rules for determining the success of a first-stageregression,but our intuitions suggestthat the in- EFFECTIVENESS OF NEGATIVE CAMPAIGNING IN U.S. SENATE ELECTIONS strumentfor IncumbentSpendingis excellent,while the instrument for ChallengerSpendingis adequate. A number of possible instrumentalvariableswere considered for the campaign tone equations based on prior theory about negativecampaigning,includingthe Projected Closenessof the Race (the closer the race is expected to be, the more negativewe expected the campaign'stone to be); Candidate'sGender(female candidateswere expected to be less negative, all else equal); and Candidate's Party (Republican'swere expected to be somewhat more negative). Of these variables,the one which seems least likely to be independent of the errorterm in the main regressionis the ProjectedCloseness of the Race.To amelioratethis potentialproblem,we createda measureof the ProjectedOutcome of the election by regressingthe actual outcome on threevariablesthat were all clearlyprior to the currentelection: the outcome of the past two electionsfor this same seat (or just the most recent outcome, for incumbents seeking their second term), the incumbent's party, and change in per capitadisposableincome in the statefrom the yearprior to the election. Projected Closeness of the Race was then operationalized as the absolute value of the differencebetween the predicted scores from the Projected Outcome equation (which in principle rangesfrom 0 to 100), minus 50. This variablewas then reversedsuch that elections expected to be "close"were scoredhigh. Almost all major party Senatecandidatesrun very professional campaigns, employing both a media consultant and a pollster.These consultantshave major input into the nature of the candidate'scampaign,and it is reasonableto expect their recommendations to differ (based on individual personalities,past experience,and so on) even when facing very similar campaign situations. Thus we also created dummy variables for each consultant (of consulting firm) that workedfor at least three differentcandidatesin at leastthree differentstates.Wewill not pretendthat theory is strong here, although some (but certainlynot all) of these consultants have reputations for running very negative campaigns. Preliminary analyses included all of these dummy variables,but because degreesof freedomwere not overly abundant, we eliminated all media consultant and pollster dummy variablesthat were not at least as large as their standard errors. 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