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About the Author
Richard E. Neustadt is Douglas Dillon Professor of Government Emeritus at the John F. Kennedy School of Government, Harvard University. For three decades an advisor to presidents, their aides, and to members of the cabinet, he is also the author with Ernest R. May of Thinking in Time: The Uses of History for Decision Makers (The Free Press, 1986).
Read an Excerpt
Leader or Clerk?
In the United States we like to "rate" a President. We measure him as "weak" or "strong" and call what we are measuring his "leadership." We do not wait until a man is dead; we rate him from the moment he takes office. We are quite right to do so. His office has become the focal point of politics and policy in our political system. Our commentators and our politicians make a specialty of taking the man's measurements. The rest of us join in when we feel "government" impinging on our private lives. In the third quarter of the twentieth century millions of us have that feeling often.
This book is an endeavor to illuminate what we are measuring. Although we all make judgments about presidential leadership, we often base our judgments upon images of office that are far removed from the reality. We also use those images when we tell one another whom to choose as President. But it is risky to appraise a man in office or to choose a man for office on false premises about the nature of his job. When the job is the Presidency of the United States the risk becomes excessive. I hope this book can help reduce the risk.
We deal here with the President himself and with his influence on governmental action. In institutional terms the Presidency now includes two thousand men and women. The President is only one of them. But his performance scarcely can be measured without focusing on him. In terms of party, or of country, or the West, so-called, his leadership involves far more than governmental action. But the sharpening of spirit and of values and of purposes is not done in a vacuum. Although governmental action may not be the whole of leadership, all else is nurtured by it and gains meaning from it. Yet if we treat the Presidency as the President, we cannot measure him as though he were the government. Not action as an outcome but his impact on the outcome is the measure of the man. His strength or weakness, then, turns on his personal capacity to influence the conduct of the men who make up government. His influence becomes the mark of leadership. To rate a President according to these rules, one looks into the man's own capabilities as seeker and as wielder of effective influence upon the other men involved in governing the country. That is what this book will do.
Presidential on the title page means nothing but the President. Power means his influence. It helps to have these meanings settled at the start.
There are two ways to study "presidential power." One way is to focus on the tactics, so to speak, of influencing certain men in given situations: how to get a bill through Congress, how to settle strikes, how to quiet cabinet feuds, or how to stop a Suez. The other way is to step back from tactics on those "givens" and to deal with influence in more strategic terms: what is its nature and what are its sources? What can this man accomplish to improve the prospect that he will have influence when he wants it? Strategically, the question is not how he masters Congress in a peculiar instance, but what he does to boost his chance for mastery in any instance, looking toward tomorrow from today. The second of these two ways has been chosen for this book.
To look into the strategy of presidential influence one must decide at whom to look. Power problems vary with scope and scale of government, the state of politics, the progress of technology, the pace of world relationships. Power in the 1960s cannot be acquired or employed on the same terms as those befitting Calvin Coolidge or Theodore Roosevelt or Grover Cleveland or James K. Polk. But there is a real likelihood that in the next decade a President will have to reach for influence and use it under much the same conditions we have known since the Second World War. If so, the men whose problems shed most light on the White House prospects are Dwight David Eisenhower and Harry S Truman. It is at them, primarily, that we shall look. To do so is to see the shadow of another, Franklin D. Roosevelt. They worked amidst the remnants of his voter coalition, and they filled an office that his practice had enlarged.
Our two most recent Presidents have had in common something that is likely to endure into our future: the setting for a great deal of their work. They worked in an environment of policy and politics marked by a high degree of continuity. To sense the continuity from Truman's time through Eisenhower's one need only place the newspapers of 1959 alongside those of 1949. Save for the issue of domestic communists, the subject matter of our policy and politics remains almost unchanged. We deal as we have clone in terms of cold war, of an arms race, of a competition overseas, of danger from inflation, and of damage from recession. We skirmish on the frontiers of the welfare state and in the borderlands of race relations. Aspects change, but labels stay the same. So do dilemmas. Everything remains unfinished business. Not in this century has there been comparable continuity from a decade's beginning to its end; count back from 1949 and this grows plain. There even has been continuity in the behavior of our national electorate; what Samuel Lubell nine years ago called "stalemate" in our partisan alignments has not broken yet.
The similarities in Truman's setting and in Eisenhower's give their years a unity distinct from the war years, or the depression era, or the twenties, or before. In governmental terms, at least, the fifteen years since V-J day deserve a designation all their own. "Midcentury" will serve for present purposes. And what distinguishes midcentury can be put very briefly: emergencies in policy with politics as usual.
"Emergency" describes midcentury conditions only by the standards of the past. By present standards what would once have been emergency is commonplace. Policy dilemmas through the postwar period resemble past emergencies in one respect, their difficulty and complexity for government. Technological innovation, social and political change abroad, population growth at home impose enormous strains not only on the managerial equipment of our policymakers but also on their intellectual resources. The gropings of mature men at midcentury remind one of the intellectual confusions stemming from depression, thirty years ago, when men were also pushed past comprehension by the novelty of their condition. In our time innovation keeps us constantly confused; no sooner do we start to comprehend than something new is added and we grope again. But unlike the great difficulties of the past, our policy dilemmas rarely produce what the country feels as crisis. Not even the Korean War brought anything approaching sustained national consensus. Since 1945 innumerable situations have been felt as crises inside government; there rarely has been comparable feeling outside government. In the era of the Cold War we have practiced "peacetime" politics. What else could we have done? Cold War is not a crisis; it becomes a way of life.
Our politics has been as usual, but only by the standard of past crises. In comparison with what was once normality, our politics has been unusual. The weakening of party ties, the emphasis on personality, the close approach of world events, the changeability of public moods, and above all the ticket splitting, none of this was usual before the Second World War. The symbol of midcentury political conditions is the White House in one party's hands with Congress in the other's a symbol plainly visible in eight of the past fifteen years and all but visible in four of the remaining seven. Nothing really comparable has been seen in this country since the 1880s. And the eighties were not troubled by emergencies in policy.
As for politics and policy combined, we have seen some precursors of our setting at midcentury. Franklin Roosevelt had a reasonably comparable setting in his middle years as President, though not in his first years and not after Pearl Harbor. Indeed, if one excepts the war, midcentury could properly be said to start with Roosevelt's second term. Our recent situation is to be compared, as well, with aspects of the Civil War. Abraham Lincoln is much closer to us in condition than in time, the Lincoln plagued by Radicals and shunned by Democrats amid the managerial and intellectual confusions of twentieth-century warfare in the nineteenth century. And in 1919 Woodrow Wilson faced and was defeated by conditions something like our own. But save for these men one can say of Truman and of Eisenhower that they were the first who had to fashion presidential influence out of midcentury materials. Presumably they will not be the last.
We tend to measure Truman's predecessors as though "leadership" consisted of initiatives in economics, or diplomacy, or legislation, or in mass communication. If we measured him and his successors so, they would be leaders automatically. A striking feature of our recent past has been the transformation into routine practice of the actions we once treated as exceptional. A President may retain liberty, in Woodrow Wilson's phrase, "to be as big a man as he can." But nowadays he cannot be as small as he might like.
Our two most recent Presidents have gone through all the motions we traditionally associate with strength in office. So will the man who takes the oath on January 20, 1961. In instance after instance the exceptional behavior of our earlier "strong" Presidents has now been set by statute as a regular requirement. Theodore Roosevelt once assumed the steward's role in the emergency created by the great coal strike of 1902; the Railway Labor Act and the Taft-Hartley Act now make such interventions mandatory upon Presidents. The other Roosevelt once asserted personal responsibility for gauging and for guiding the American economy; the Employment Act binds his successors to that task. Wilson and FDR became chief spokesmen, leading actors, on a world stage at the height of war; now UN membership, far-flung alliances, prescribe that role continuously in times termed "peace." Through both world wars our Presidents grappled experimentally with an emergency-created need to integrate foreign and military policies; the National Security Act now takes that need for granted as a constant of our times. FDR and Truman made themselves responsible for the development and first use of atomic weapons; the Atomic Energy Act now puts a comparable burden on the back of every President. And what has escaped statutory recognition has mostly been accreted into presidential common law, confirmed by custom, no less binding: the fireside chat and the press conference, for example, or the personally presented legislative programs, or personal campaigning in congressional elections.
In form all Presidents are leaders nowadays. In fact this guarantees no more than that they will be clerks. Everybody now expects the man inside the White House to do something about everything. Laws and customs now reflect acceptance of him as the great initiator, an acceptance quite as widespread at the Capitol as at his end of Pennsylvania Avenue. But such acceptance does not signify that all the rest of government is at his feet. It merely signifies that other men have found it practically impossible to do their jobs without assurance of initiatives from him. Service for themselves, not power for the President, has brought them to accept his leadership in form. They find his actions useful in their business. The transformation of his routine obligations testifies to their dependence on an active White House. A President, these days, is an invaluable clerk. His services are in demand all over Washington. His influence, however, is a very different matter. Laws and customs tell us little about leadership in fact.
Why have our Presidents been honored with this clerkship? The answer is that no one else's services suffice. Our Constitution, our traditions, and our politics provide no better source for the initiatives a President can take. Executive officials need decisions, and political protection, and a referee for fights. Where are these to come from but the White House? Congressmen need an agenda from outside, something with high status to respond to or react against. What provides it better than the program of the President? Party politicians need a record to defend in the next national campaign. How can it be made except by "their" administration? Private persons with a public ax to grind may need a helping hand or they may need a grinding stone. In either case, who gives more satisfaction than a President? And outside the United States, in every country where our policies and postures influence home politics, there will be people needing just the "right" thing said and done or just the "wrong" thing stopped in Washington. What symbolizes Washington more nearly than the White House?
A modern President is bound to face demands for aid and service from five more or less distinguishable sources: from executive officialdom, from Congress, from his partisans, from citizens at large, and from abroad. The Presidency's clerkship is expressive of these pressures. In effect they are constituency pressures, and each President has five sets of constituents. The five are not distinguished by their membership; membership is obviously an overlapping matter. And taken one by one they do not match the man's electorate; one of them, indeed, is outside his electorate. They are distinguished, rather, by their different claims upon him. Initiatives are what they want, for five distinctive reasons. Since government and politics have offered no alternative, our laws and customs turn those wants into his obligations.
Why, then, is the President not guaranteed an influence commensurate with services performed? Constituent relations are relations of dependence. Everyone with any share in governing this country will belong to one (or two, or three) of his constituencies. Since everyone depends on him, why is he not assured of everyone's support? The answer is that no one else sits where he sits or sees quite as he sees; no one else feels the full weight of his obligations. Those obligations are a tribute to his unique place in our political system. But just because it is unique they fall on him alone. The same conditions that promote his leadership in form preclude a guarantee of leadership in fact. No man or group at either end of Pennsylvania Avenue shares his peculiar status in our government and politics. That is why his services are in demand. By the same token, though, the obligations of all other men are different from his own. His cabinet officers have departmental duties and constituents. His legislative leaders head congressional parties, one in either house. His national party organization stands apart from his official family. His political allies in the states need not face Washington or one another. The private groups that seek him out are not compelled to govern. And friends abroad are not compelled to run in our elections. Lacking his position and prerogatives, these men cannot regard his obligations as their own. They have their jobs to do; none is the same as his. As they perceive their duty they may find it right to follow him, in fact, or they may not. Whether they will feel obliged on their responsibility to do what he wants done remains an open question. That question serves to introduce this book.
Copyright © 1990 by Richard E. Neustadt
Copyright © 1980 by Macmillan Publishing Company
Copyright © 1960 by John Wiley & Sons, Inc.
Table of Contents
Preface to the 1990 Edition
Preface to the First Edition
PART ONE: Presidential Power
1 Leader or Clerk?
2 Three Cases of Command
3 The Power to Persuade
4 Professional Reputation
5 Public Prestige
6 Two Matters of Choice
7 Men in Office
8 The Sixties Come Next
PART TWO: Later Reflections
9 Appraising a President
10 Reappraising Power
11 Hazards of Transition
12 A Matter of Detail
13 Two Cases of Self-Help
What People are Saying About This
Washington Post Remains brilliant, significantly strengthened and enlarged.
Arthur Schlesinger, Jr. Our most brilliant commentator on the Presidency brings his diagnosis up to date in this witty, inclusive and stylish book.
Aaron Wildavsky University of California, Berkeley Savvy, insightful political portraits of recent presidents, including Ronald Reagan, in relation to what is still the contemporary classic on the Presidency.
Representative Stephen J. Solarz New York An operational Bible for Presidents and their staffs, and an indispensable Baedeker for those who seek to understand both.
Fred I. Greenstein Princeton University Neustadt's book remains the classic account of presidential leadership, and the latest edition has a bonus two fascinating new chapters.
Paul E. Peterson Harvard University The discussion of Iran-Contra reveals how profound was Dick Neustadt's original intepretation of Presidential power.
Charles O. Jones University of Wisconsin He is so much in command that he doesn't have to tell all. A personal characteristic, a response, an insight and soon you see what he sees.
Clark M. Clifford For thirty years, Presidential Power has influenced students of the Presidency from the quiet comers of the White House to college and university compuses across the nation.