INFORMATION TO USERS This manuscript has been reproduced from the microfilm master. UMI films the text directly from the original or copy submitted. Thus, some thesis and dissertation copies are in typewriter face, while others may be from any type o f computer printer. The quality of this reproduction is dependent upon the quality of the copy submitted. Broken or indistinct print, colored or poor quality illustrations and photographs, print bleedthrough, substandard margins, and improper alignment can adversely affect reproduction. In the unlikely event that the author did not send UMI a complete manuscript and there are missing pages, these will be noted. Also, if unauthorized copyright material had to be removed, a note will indicate the deletion. Oversize materials (e.g., maps, drawings, charts) are reproduced by sectioning the original, beginning at the upper left-hand comer and continuing from left to right in equal sections with small overlaps. Each original is also photographed in one exposure and is included in reduced form at the back of the book. Photographs included in the original manuscript have been reproduced xerographically in this copy. Higher quality 6” x 9” black and white photographic prints are available for any photographs or illustrations appearing in this copy for an additional charge. Contact UMI directly to order. UMI A Bell & Howell Infonnation Company 300 North Zeeb Road, Ann Aibor MI 48106-1346 USA 313^61-4700 800/521-0600 U.S. GOVERNMENT LITIGATION STRATEGIES IN THE FEDERAL APPELLATE COURTS DISSERTATION Presented in Partial Fulfillment of the Requirements for the Degree of Doctor of Philosophy in the Graduate School of the Ohio State University By Christopher J. W. Zorn, B.A. ***** The Ohio State University 1997 Dissertation Committee: A ^rovqa py Professor Gregory Caldeira, Adviser Professor Lawrence Baum ,/ Adviser Professor Janet Box-Stefiensmeier Politic^Science Graduate Program Professor Dean Lacy DMI Number: 9801833 Copyright 1997 by Zom, Christopher J. W, All rights reserved. tnvn Microform 9801833 Copyright 1997, by UMI Company. All rights reserved. This microform edition is protected against unauthorized copying under Title 17, United States Code. UMI 300 North Zeeh Road Ann Arbor, MI 48103 Copyright Christopher J. W. Zom 1997 ABSTRACT The United States federal government is the most frequent and important htigant in the federal judicial system. Critical to this influence are the decisions the government makes as to which of the hundreds of possible cases to request a rehearing en banc by a circuit court of appeals, or to appeal to the U.S. Supreme Court. I examine this government appeals process by analyzing data on federal government appeal decisions in U.S. court of appeals cases unfavorable to the government during 1993 and 1994. The recommendation of the Department of Justice and the decision of the Office of the SoHcitor General to appeal the case are substantially related to case-specific measures of the cost, salience, reviewabüity and prospects on the merits of each unfavorable lower court decision. Because of their different institutional positions, however, the impact of these factors veiries across actors in the appeals process. These factors are also shown to influence the type of appeal undertaken. The analysis suggests that the complex process by which appeal decisions are made has important imphcations for the government’s success in the courts, both at the agenda- setting stage and on the merits. Ü To my parents. m ACKNOWLEDGEMENTS Thanks first to my adviser, Greg Caldeira, for recognizing early on the potential of this project, and for later encouraging me to “get on with it”. Larry Baum taught me the importance of care in my work and made numerous helpful comments throughout, and Jan Box-Stefiensmeier provided invaluable methodological advise and moral support throughout the project. I also owe a debt of gratitude to Harriet Shapiro of the Office of the U.S. Solicitor General. Her generous provision of much of the data used here, and her willingness to discuss the intricacies of the SG’s office with me, have benefitted this thesis immeasurably. Joel Grossman, Kevin McGuire, Rebecca Salokar, Jeff Segal, and Stephen Wasby have provided helpful remarks at various points during my work. My graduate school colleagues have also been especially helpful: thanks to David Klein, Rorie Spill, and Steve Van Winkle for aU their help. The departments of political science at Ohio State University and Emory University provided indispensable support for the analyses presented here. Finally, I could never have completed this thesis without the constant love and support of my wife Karen, and my parents, Ron and Bonnie Zorn. iv VITA November 10, 1968 ...............................Born - Aurora, Nebraska. 1991......................................................... B.A. Political Science, Northeast Missouri State University 1991 - 1996 ............................................ Graduate Teaching and Research Associate, The Ohio State University 1996 - 1997............................................ Instructor, Department of Pohtical Science, Emory University PUBLICATIONS 1. Zorn, Christopher J. W. 1996. Review of Introduction to Econometrics by Christopher Dougherty. The Political Methodologist 7:23-4. 2. Box-Steflfensmeier, Janet M., Laura W. Arnold, and Christopher J. W. Zorn. 1997. “The Strategic Timing of Position-Taking on Congress: A Study of the North American Free Trade Agreement. American Political Science Review 91(2):324-38. FIELDS OF STUDY Major Field: Pohtical Science TABLE OF CONTENTS Page A bstract ......................................................................................................... ii Dedication ..................................................................................................... iii Acknowledgments ........................................................................................... iv V ita.................................................................................................................... V List of Tables ................................................................................................ viii List of Figures .................................................................................................. x Chapters: 1. Introduction ....................................................................................... 1 2. The Federal Government’s Appeals Process ................................. 9 2.1 Government Appeals and Federal Litigating Authority 11 2.2 An Overview of the Government Appeals Process ................ 16 2.3 Conclusion .................................................................................. 24 3. Government Appeals: A First Look ................................................ 27 3.1 Government Appeals to the Supreme Court, 1925-1983 ...... 29 3.2 U.S. Appeals 1993-94; A Detailed Analysis ............................ 38 3.2.1 Appeal Recommendations by the Originating Entity 42 3.2.2 Department of Justice Appeal Recommendations 49 3.2.3 Action by the Office of the SoHcitor G eneral .................... 53 3.3 Evaluation and Conclusion ....................................................... 61 VI 4. Factors in Government Appeal Decision M aking .......................... 72 4.1 Four Components of the Appeal Decision ............................... 74 4.1.1 Costs .................................................................................... 75 4.1.2 Salience ............................................................................... 79 4.1.3 Reviewability ..................................................................... 82 4.1.4 Prospects of Winning on Appeal ....................................... 85 4.2 Factors in Decision Making: Goals, Expectations and Im pact ................................................................................... 90 4.3 Conclusion ................................................................................. 100 5. A Model of the Decision to Appeal ................................................... 104 5.1 D a ta ............................................................................................. 105 5.2 Operationalization .................................................................... 107 5.3 Modeling the Appeal Decision: Results and Analysis 121 5.4 Conclusion .................................................................................. 145 6. Government Appeal Strategies: Three Views ................................ 149 6.1 Appeal Strategies: Conceptualization and Hypotheses 150 6.2 Data and Analysis: Evaluating the Three Approaches 159 6.2.1 The Sequential Approach ................................................... 163 6.2.2 The Ordinal Approach ........................................................ 168 6.2.3 The Discrete Approach ....................................................... 176 6.3 Conclusions ................................................................................ 187 7. Conclusion and Imphcations for Future Work ............................... 189 7.1 Overview of Findings ................................................................ 190 7.2 Imphcations for Supreme Court Agenda-Setting ................... 194 7.3 Imphcations for Government Success in Court ....................... 197 Appendix A: Data Sources and Description ............................................. 203 Appendix B: Variables and Their Codings ..............................................