Understanding American Politics and Government, second edition Instructors Manual by Ace Test Banks

Understanding American Politics and Government, Second Edition

By John J. Coleman , Kenneth M. Goldstein, William G. Howell

Instructor’s Resource Manual to accompany

Coleman Goldstein Howell

Understanding American Politics and Government Second Edition

Prepared by Deron Schreck Moraine Valley Community College

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Table of Contents Chapter 1: Thinking About American Politics Chapter 2: Political Culture Chapter 3: The Constitution Chapter 4: Federalism Chapter 5: Civil Liberties Chapter 6: Civil Rights Chapter 7: Public Opinion Chapter 8: Political Participation Chapter 9: Voting, Elections, and Campaigns Chapter 10: Media and Politics Chapter 11: Political Parties Chapter 12: Interest Groups Chapter 13: Congress Chapter 14: The Presidency Chapter 15: The Federal Court System Chapter 16: The Bureaucracy Chapter 17: Economic and Social Policy Chapter 18: Foreign Policy Chapter 19: State and Local Governments

PREFACE New Format The Coleman Instructor’s Resource Manual is delivered in a format created with direct feedback from teachers. We spoke with a range of instructors—from those who have been teaching only a couple of semesters, to those who have been teaching for many years. Most of the feedback involved accessibility and ease of use. With these concerns in mind we asked a number of instructors what the ideal instructor’s manual would be like, and came up with the following: Access to the “best of” materials Pearson Education publishes a number of introductory American Government texts, and the instructors we spoke with recommended that we review all of our introductory American Government instructor’s manuals, pull the best lecture, classroom activities and assignments found in each and use these resources in all of our instructor’s manuals to ensure that each Pearson introductory text offers instructors the “best of” experience. Structure your course In addition to providing the best instructor resources we have to offer, this manual can also help you to structure your course. The IM is organized in the order that you should assign the content, and works in conjunction with the other supplemental resources for the text (available on the IRC): Chapter Overview This book-specific content lists the Learning Objectives that will guide your teaching, as well as a Chapter Summary that outlines the main points of each chapter. Student Assignments – Pre-Lecture This section lists the activities that a student should complete before you begin your lecture, such as the assigned reading and the Reading Comprehension quiz in the Test Bank (ISBN: 0205066755). Lecture Resources This section includes thumbnails of the PowerPoint slides developed for the book (ISBN: 0205060374) alongside notes for each slide. This overview can help you prepare what you want to use in lecture, or it can be lectured from alone if you don’t use PPTs. In addition to this Lecture Outline, this section also provides additional lecture suggestions that you can use to supplement your presentation, organized by Learning Objective.

Student Assignments Post-Lecture This section includes the bulk of material, used for both formative and summative assessment, including Class Discussion, Class Activities, and Research Assignments, also organized by Learning Objective. Quantitative Assessment Once you’ve finished your lesson, this section directs you to the Test Bank (ISBN: 0205066755) so you can test your students’ comprehension of the material. Resources for Further Study Still want more ideas? This section provides background materials in the form of Books, Articles, Media, and Websites for you to supplement your lesson. Easy Navigation We’ve provided a linked Table of Contents in each chapter so that you can easily jump to the section you’d like. We’ve also placed links at the end of each section to bring you back to the TOC for easy navigation. Acknowledgements We’d like to thank the following instructors for their hard work reviewing and editing the wealth of American Government instructor content to identify the “best of” resources: Maryann Zihala, Ozarks Technical Community College Brian Dille, Mesa Community College Reed Welch, West Texas A&M University We hope this resource makes teaching your course a lot easier and promotes greater success among your students. We welcome any and all feedback. Pearson.politicalscience@pearson.com

Integrated Guide to the Text’s Resources (Instructor’s Resource Manual)

Chapter 1 - Thinking About American Politics Table of Contents I. Chapter Overview A. Learning Objectives B. Chapter Summary II. Student Assignments – Pre-Lecture III. Lecture Resources A. Lecture Slides B. Additional Lecture Suggestions IV. Student Assignments – Post-Lecture A. Class Discussion Questions B. Class Activities C. Research Assignments V. Quantitative Assessment VI. Resources for Further Study A. Books B. Articles C. Media D. Web Resources

I. Chapter Overview: A.

Learning Objectives

¾1.1 Assess the challenges that researchers face when studying causal relationships within politics. ¾1.2 Analyze the purposes of government and explain why government is necessary. ¾1.3 Compare and contrast the U.S. government to other democratic systems and identify core values and beliefs within American political culture. × Return to Chapter 1: Table of Contents B.

Chapter Summary

Thinking About Politics Political science is a discipline within the social sciences that studies politics, political behavior, and political systems. Analytically driven, political scientists use the scientific method to determine what factor(s) produce particular political phenomena. Answering causal questions is at the root of what political scientists do. In order to answer these kinds of questions, one must be able to conceptualization and measure the various characteristics of American society and government. Researchers then seek to identify those factors that influence or cause change in the political phenomena they are studying. However, it is rarely the case that only one factor is involved in the causal relationship. It is much more likely that several factors influence any political outcome. Therefore, political science involves the analyses of complex relationships, hence creating several challenges for any researcher in the field. One of the most important challenges is for scholars to recognize that correlation and causation are different concepts. Correlation simply implies that two factors have a relationship with each other. Correlation does not mean that one factor is causing the other to occur. As the author states, just because ice cream sales and burglaries move together does not mean that ice cream sales are causing burglaries to occur. Contexts for Studying American Government and Politics The democratic form of governance in the United States is just one form of democracy. Historical and comparative contexts allow for a more complete analysis of government in the United States by allowing students to compare and contrast democratic development across democracies. For instance, one of the shared characteristics of democracy is majority rule through the use of elections. Differences between American democracy and other democratic forms can also be traced to the unique history of the United States. History has greatly influenced the dominant political culture of the United States, known as the American creed. The American Creed is characterized by respect for individualism, democracy, equality, liberty, private property, and freedom of religion. American political culture provides citizens with an understanding of what is politically possible in the United States. In other words, it informs citizens what they can demand and expect of their government.

Government and Why It Is Necessary Government refers to the network of institutions that create and enforce rules for a specific geographic area and people. Governments are necessary because they make people do what they otherwise might not do. In that way, stability and order can ensue. In exchange for granting government the monopoly on force, citizens will receive access to public goods in addition to guarantees of security. Therefore, the primary responsibilities of government include: keeping order, providing individual rights, and the provision of public goods. In a democracy, the government receives its power from the people through a social contract. The social contract outlines which rights will be afforded to the state and which rights the people will maintain. In the United States, the U.S. Constitution further delineates the responsibilities of the executive, legislative and judicial branches. The Bill of Rights further outlines what the government can and cannot do in terms of its relationship with individuals. Overall, engaging in politics means influencing who will govern, how the government will operate, what the substance of governmental decisions will be, and how government will enforce its decisions. × Return to Chapter 1: Table of Contents

II. Student Assignments – Pre-Lecture A. B.

Student Required Reading: Chapter 1 – Thinking About American Politics Administer Reading Comprehension Quiz (see Test Bank, Chapter 1)

× Return to Chapter 1: Table of Contents

III. Lecture Resources A.

Lecture Slides

Slide 1

Slide 2

Slide 3

The opening feature of this chapter is about Sarah Palin and the role she played in McCain’s defeat in 2008. This is a neat way to talk about the myriad factors that go into political phenomena and the fact that that no one person is responsible for it all—this course will teach students how to think about those factors.

Chapter 1: Thinking About American Politics Tools you need to see through simplistic answers that often get put forward in political debates, cable talk shows, and dinner-table conversations, and that will help you become a more informed and active citizen

To Learning Objectives

Slide 4 After Reading this Chapter, You Should Be Able To: 9 LO 1-1: Assess the challenges that researchers face when studying causal relationships within politics. 9 LO 1-2: Analyze the purposes of government and explain why government is necessary. 9 LO 1-3: Compare and contrast the U.S. government with other democratic systems and identify core values and beliefs within American political culture.

Slide 5

LO 1-1

Thinking about Politics

Causal questions are those that ask “What causes what?” We ask these questions in this course about American politics: Why do some people become Republicans while others become Democrats?

9Causal Questions 9Rarely Simple Solutions 9Correlation does not equal causation.

To Learning Objectives

Slide 6

LO 1-1

To Learning Objectives

Slide 7

LO 1-1

Thinking about Politics 9Causal Questions 9Rarely Simple Solutions 9Correlation does not equal causation.

Palin Faces Couric. Katie Couric’s interview of vice presidential candidate Sarah Palin aired on CBS Evening News over the course of a week in late September. Palin’s performance was not strong, and the nightly airing of different clips was a prolonged, painful experience for the McCain campaign.

There are many causal factors that result in a political phenomenon—for example, Sarah Palin did not cause Obama to win the presidency, as explained in the opening feature. Journalists and politicians tend to focus on one cause—often claiming that it is the sole cause. These singlecause explanations do not represent the whole story.

To Learning Objectives

Slide 8

LO 1-1

To Learning Objectives

Slide 9

LO 1-1

Thinking about Politics 9 Causal Questions 9 Rarely Simple Solutions 9Correlation does not equal causation.

Slide 11

One important thing to learn in understanding political phenomena is that correlation does not equal causation. Correlation is a relationship between factors such that change in one is accompanied by change in the other. Causation is a relationship between factors such that change in the value of one factor is responsible for the change in the value of the other. In politics, it is important to understand the causal relationships rather than focus on the correlations.

To Learning Objectives

Slide 10

LO 1-1

Figure 1-1. Correlation Does Not Equal Causation. When you hear people make causal arguments, make sure there is not some other factor at work. A small fire will probably cause less damage and injuries, but not just because there are fewer fighters.

Figure 1-2. Correlation Does Not Equal Causation. Playing Sports Does Not Lead to Criminal Behavior. Riots among the youth in France began in the suburbs of Paris in October 2005. Although many of the rioters played sports, their criminal behavior was not caused by playing sports. Other factors may have caused both of these behaviors, such as not having jobs and thus having more time for both sports and criminal activity.

To Learning Objectives

LO 1-1

When one factor’s change is accompanied by a change in another factor, this is called ___. A. Causation B. Correlation C. Both A and B D. None of the Above

To Learning Objectives

Slide 12

LO 1-1

When one factor’s change is accompanied by a change in another factor, this is called ___. A. Causation B. Correlation

C. Both A and B D. None of the Above

Slide 13

To Learning Objectives

LO 1-2

Why Is Government Necessary? 9Social Contract 9 Public Goods and Services 9 Politics is about influence.

Slide 14

To Learning Objectives

LO 1-2

Slide 15

Equal at the Starting Line, But a Winner Emerges. Most Americans hold that citizens should have equal opportunities, but – like runners in a race – they understand that our society, economy, and politics will generate both winners and losers. Are there any areas in which you think there should be an equal outcome?

To Learning Objectives

LO 1-2

Government refers to the institutions that have the authority and capacity to create and enforce public policies for a specific territory and people. Government can make citizens do things they may otherwise not do: Why do citizens agree? The alternative to a government monopoly is anarchy. We enter into a social contract whereby we all get social order rather than chaos. A social contract is an agreement among members of a society to form and recognize the authority of a centralized government that is empowered to make and enforce laws governing the members of that society. The opposite of social contracts are authoritarian systems where one person or group enjoys total power without popular input.

Whose Job Is It? One of the core definitions of government is that it has the sole authority to enforce laws. On the U.S.-Mexican border, some citizens and groups like the Minutemen are taking the law into their own hands to discourage illegal immigration. What should citizens do if they believe the government is not providing essential services?

To Learning Objectives

Slide 16

LO 1-2

Slide 17

A War of All Against All. Thomas Hobbes’s famous treatise, Leviathan, popularized the idea of a social contract that people enter into with one another to create and give authority to government.

To Learning Objectives

LO 1-2

Why Is Government Necessary? 9 Social Contract 9Public Goods and Services

Government also provides its citizens with public goods—goods that are enjoyed by all citizens and unlikely to be provided by any organization other than government. The U.S. government spends more than $400 billion a year on national defense; no private sector institution could do that.

9 Politics is about influence.

Slide 18

To Learning Objectives

LO 1-2

Slide 19

To Learning Objectives

LO 1-2

Who’s Going to Clear the Road? Although it is certainly in every motorist’s best interest to have the road cleared of snow, there is no incentive for any car owner to clear the road on his or her own. This is one public good that government can provide to all residents.

Billions of Dollars in Military Hardware. The funding of the military is a classic example of a public good. Everyone shares in the benefits of advanced national defense. No single citizen should fund it, and those who might choose to not contribute to it cannot be excluded from the benefits.

To Learning Objectives

Slide 20

LO 1-2

Why Is Government Necessary? 9 Social Contract 9 Public Goods and Services 9Politics is about influence.

Slide 21

Slide 22

To Learning Objectives

LO 1-2

Politics is the individual and collective efforts to influence the workings of government – who will lead, how government will operate and make decisions, what the nature and substance of government decisions will be, how government enforces its decisions. Without politics, differences would be settled much as they were in the Civil War, when disputes over slavery were decided at the costs of hundreds of thousands of lives.

Attending town hall meetings is one of the many ways you have of influencing policy and politics.

To Learning Objectives

LO 1-2

Which of the following is an example of a public good? A. Landscaping B. Internet C. National Defense D. All of the Above

Slide 23

To Learning Objectives

LO 1-2

Which of the following is an example of a public good?

Note that this is designed specifically to foster debate: Is landscaping a public good? Should cities pay to look desirable? How about the Internet? This question allows you to begin the conversation.

A. Landscaping B. Internet C. National Defense

D. All of the Above

To Learning Objectives

Slide 24

LO 1-3

Compare the United States to Other Nations 9American System 9political equality 9plurality rule and minority rights 9equality before the law

To Learning Objectives

Slide 25

LO 1-3

One Person, One Vote. Representative democracy is the fundamental element of the American political system. Although people may have more or less of a resource, all votes, cast in secret, are equal.

To Learning Objectives

Slide 26

LO 1-3

Compare the United States to Other Nations 9 American System 9political equality 9plurality rule and minority rights 9equality before the law

The United States is a representative democracy: a form of democracy in which the people, through free elections, select representatives to make laws on their behalf and set policies adopted by the government. American democracy is characterized by three core principles: Political equality: all adult Americans have the right to vote, and each vote counts equally. All adult Americans can participate in politics at every level. Plurality rule and minority rights: whoever gets the most votes wins, but minorities are protected under the law and in the constitution. Equality before the law: every American has the same legal rights and obligations as do all other Americans. America is a constitutional democracy, which means our Constitution is a foundational document that describes the structure, powers, and limits of government.

Many democracies exist around the world today, but the United States looks different. Not all democracies have a constitution: Britain, Israel. Not all democracies are federal in nature: Britain, state governments. Not all democracies have a presidential system; a presidential system is one in which the voters choose their executive separately from their legislature. In a parliamentary democracy, voters choose their legislators, who choose the executive.

To Learning Objectives

Slide 27

LO 1-3

Compare the United States to Other Nations 9 American System 9political equality 9plurality rule and minority rights 9equality before the law

To Learning Objectives

Slide 28

LO 1-3

Slide 29

Political culture is the values and beliefs of citizens toward the political system and toward themselves as actors in it. The United States has a dominant political culture which is referred to as the American creed. The main ideas and values are individualism, democracy, equality, and liberty, as well as a respect for private property and religion. The political culture provides the parameters for what is politically possible in the United States.

The Role of Government. Debates about the role of government in issues like health care continue to rage in American politics. Although many other industrialized democracies provide health care for their citizens, health care and health insurance are generally in private hands in America. How might this preference result from the political culture of the United States?

To Learning Objectives

LO 1-3

The American creed does not include ____. A. Liberty B. Equality C. Love of Community D. Respect for Private Property

To Learning Objectives

Slide 30

LO 1-3

The American creed does not include ____. A. Liberty B. Equality C. Love of Community

D. Respect for Private Property

To Learning Objectives

Slide 31

LO 1-3

The American creed does not include ____. A. Liberty B. Equality C. Love of Community

D. Respect for Private Property

Slide 32

To Learning Objectives

Photo Credits

To Learning Objectives

× Return to Chapter 1: Table of Contents

Additional Lecture Suggestions

¾1.1 Assess the challenges that researchers face when studying causal relationships within politics • •

Define the term political science. THE 2010 CENSUS The final results of the 2010 Census can form the basis of a lecture that draws on the social and economic statistics to show the changes in population characteristics from 2000. Themes that could be developed include: The aging of America: the increased median age; the large percentage of the population in the older age cohorts; The growth in minority population: This has several aspects, one of which is the increase in African Americans, rising to 13 percent of the total population; the black percentage of the young population (age cohorts of under 30 years) is even higher; The growth in Hispanic population, due both to immigration from Mexico and other parts of Latin America and natural population increase of the existing Hispanic population; The increase in immigration rates generally over the past decade and the patterns in countries of origin (now a much larger percentage from Latin America, and substantial increases in the percentages from Asia and Africa); Patterns in the geographic distribution of population: one aspect being the relative decline of central cities and the growth of suburbs and exurbs (on the fringe of metro areas), and the decline of rural areas not in commuting proximity to metro areas; The growth of the Sun Belt and the relative decline of the Frost Belt (but it should be noted that these patterns are generalizations and hide the facts that some northern areas, such as New Hampshire and Maine, are growing, and that growth in the Sun Belt is largely in Florida, Texas, and the metro areas of Georgia, North Carolina, and Virginia). The major purpose of covering some of the population changes is to show their impact on politics and government. For example, the aging of the population has major impact on social security and health care; the decline of the central cities and rural areas means the need for economic development efforts (as well as programs in crime control, antipoverty, health care, etc.); the growth of suburbs and the Sun Belt means major infrastructure needs (new public buildings, schools, roads, water and sewer systems, etc.); the increase in minority populations has major effects on educational systems; and so on. In the electoral arena, changing populations mean changes in voting power and representation. There is certainly no shortage of topics to cover. Give an example of an externality.

¾1.2 Analyze the purposes of government and explain why government is necessary

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Democracy requires the active participation of citizens in making public policy. Individuals in the United States have multiple pathways of action that they can use to try and influence policy. Pathways of action include: The election pathway: Individuals can vote, demonstrate and gather support for candidates, provide campaign funding and other campaign support, or run for office. The lobbying pathway: Individuals can present information or persuasive arguments to government officials. The court-centered pathway: Individuals can initiate litigation to pursue their goals. The cultural change pathway: This form of action involves large-scale changes in public opinion as a result of changes in contemporary values and visions. The grassroots mobilization pathway: Individuals can encourage and mobilize other citizens to support their goals, and can form groups to show widespread support for their cause. Two other themes to consider: First, the diversity of the American public has played an important role in defining issues and determining their outcomes. Second, the long-term stability of the American political system is due to several factors, including the existence of pathways to bring about peaceful change and a shared political culture. Lecture Notes for American Democracy: Government policy has direct influence on the daily lives of individuals. In the United States, individuals can attempt to influence government policy making via many avenues. Governments can be classified along a continuum of freedom, from fully free to not free, based on levels of citizen participation and individual freedom. Focus on ways that citizens can participate in government, the pathways individuals and groups can use to bring about change, and the impact of diversity on the American government system and policies. Unlike citizens in totalitarian regimes, people in the United States have both the right and the opportunity to attempt to influence government. However, many do not take advantage of that opportunity, even through such obvious means as voting in elections. Diversity in the United States has been the source of many issues, including guaranteeing civil rights and full political participation for all, affirmative action programs, and immigration-related issues. Individuals and groups involved in these issues use a variety of pathways to achieve their goals. The existence of pathways that allow people to pursue change through peaceful means is central to the stability of the American system. American political stability rests on widespread acceptance of a capitalist economic system, democratic political institutions, and shared political values.Compare the stability of the United States with the ever-simmering Quebec secessionist movement in Canada. Define government. Define politics. Give examples of the “who, what, when, and how” of politics. List the functions of national government. Compare the strengths and weaknesses of direct democracy and representative democracy. Define the term democracy. Copyright © 2011, 2009, 2007 Pearson Education, Inc. All rights reserved.

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Explain what we mean by majority rule and minority rights. Explain why the Founders rejected direct democracy when creating the American government. Give an example of a representative government in history. List and define the two types of democracy. List and define the three major principles that characterize American democracy. Create a timeline of quotes concerning democracy beginning with the establishment of the United States and ending in the present day. Show the development of democratic ideals as democracy evolved. Compare and contrast the ideas of direct democracy and republicanism.

¾1.3 Compare and contrast the U.S. government to other democratic systems and identify core values and beliefs within American political culture • •

COMPARATIVE POLITICS AND ETHNIC DIVERSITY The United States is certainly not the only country to have a population of great ethnic diversity. However, it is unusual in the fact that despite the existence of conflicts, so far the diversity in the United States has not been the source of deep cleavages that threaten to fracture society and polity. (That is, such a threat has not existed since the Civil War.) In fact, public officials of every stripe, at least publicly, glory in the diversity and both political parties make some effort to capture the major ethnic voting blocs, although with varying degrees of success. Most of the other democracies in the world have had much more homogeneous populations, and their governments have not had to deal with ethnic conflict. The examples of most of Western Europe and Japan are most notable. When diversity has grown in some of these countries, governments have had great difficulties in dealing with the social conflict between the dominant group and small, but growing minorities. Again, the examples of Western Europe—the presence of Asians and West Indians in Britain, North African Arabs in France, “guest workers” from southern Europe and Turkey in Germany—come to mind. Each of these countries has had official policies of tolerance but has had occasional outbreaks of violent group conflict. Nationalist parties dedicated to the cause of limiting immigration have attracted portions of the vote, especially in France and Germany. Other countries in Europe have not been as ethnically homogeneous and have had serious problems, at times threatening territorial unity. Belgium is split between French-speaking Walloons and the Dutch-speaking Flemish. Spain has an active, sometimes violent, separatist movement in the Basque-speaking areas of the North, and a more peaceful but still serious movement in Catalonia (the regional government of which placed advertisements in U.S. media during the 1992 Barcelona Olympics calling Catalonia “a separate country in Spain”). In Eastern Europe—which is only recently, and still not totally, democratic—a lid was placed on ethnic conflict by the old authoritarian communist governments. But with the collapse of the old order, the conflicts have surfaced and have become, in some areas, very hot. Czechoslovakia voted peacefully to split into two separate countries, one Czech, the other Slovak. Of course, the recent examples of the breakup of the old Soviet Union and Yugoslavia show the extreme cases of ethnic conflict, Copyright © 2011, 2009, 2007 Pearson Education, Inc. All rights reserved.

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resulting in violent confrontations and fragmentation. The tragedy, which befell Kosovo in 1999, speaks for itself. In fact, only a few other democratic countries can point to both ethnic diversity and reasonably well-functioning polities. Australia and Switzerland readily come to mind, and to lesser degrees Brazil (only recently democratic) and Canada (certainly democratic and with major success in handling its diversity in all cases except one— Quebec). The lecture can conclude with those qualities that seem to be common to the democratic countries that have handled racial and ethnic diversity well. A culture of tolerance and a system of government allowing substantial decentralization in policy making and administration are the two most obvious qualities. Other qualities are present in some, but not all, of the countries that have had some success. Discuss the impact of income disparity on democratic stability, then track median income over time to indicate recent decline. Compare this figure with GDP, which has grown over same period. Discuss what impact if any this has on American democracy. Differentiate between individualism and statism. Provide an example of a country that calls itself a “democracy” but does not value the democratic ideals.

× Return to Chapter 1: Table of Contents

IV. Student Assignments – Post-Lecture A.

Class Discussion Questions

¾1.1 Assess the challenges that researchers face when studying causal relationships within politics •

Harold Lasswell’s book, Politics: Who Gets What, When, and How, can be seen as associated with the often-made statement “It’s not what you know, but who you know.” How do the two different statements relate to each other, as well as to present-day political realities?

¾1.2 Analyze the purposes of government and explain why government is necessary • • • • • • • • • • • • • • •

What is a democracy? What is the purpose of government? What is a social contract? Why are public goods provided by the government instead of by non-governmental institutions? What requirements must be met for a government to be called a democracy? When one engages in politics, what four factors are they trying to influence? Discuss the theories of elitism and pluralism as explanations of how American government works. Define and discuss politics in the business setting, the health-care setting, and the educational institution setting. What are the similarities and differences between politics in government and in the identified settings? Discuss the argument that most of American life is organized in anti-democratic fashion. In the family, the school, the factory, the office, and the church, decisions are made by the powerful, without much concern for majority opinion. Americans often possess a healthy cynicism of government, whether large or small. Identify the reasons for such beliefs and how government should attempt to address these. Periodically, civil disobedience has been used to reform government processes, procedures, and even law. In light of often-identified needs of society, what subjects today appear to justify civil disobedience? In his 1651 Leviathan, Thomas Hobbes observed that without government, life would be “solitary, poor, nasty, brutish, and short.” Justify his argument. With this justification, justify the existence of government as it presently operates in the United States today. Identify the roles of government and the concept of “public goods.” Are there any other institutions, other than government, which might be charged with performing the roles of government? Is such a consideration realistic? Can a few elite decision makers control all important decisions made in the United States today? Some leaders are made by climbing the “ladder of success” rather than being born into power classes. How does this approach compare to “elitism” versus the approach defined as “pluralism”? Copyright © 2011, 2009, 2007 Pearson Education, Inc. All rights reserved.

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Today, large proportions of Americans believe that most or all politicians are corrupt, that government serves the interest of the few, and that government is dominated by the wealthy and powerful. Ask your students to evaluate these statements. Discuss ways whereby more Americans would be more likely to participate in U.S. political life. Debate over the role and size of government is central to contemporary American politics. Is the scope of government too broad, too narrow, or just about right? Ask students to discuss, using contemporary examples, what is meant by government being “too big.” Do students disagree as to what “too big” is? Why? Ask students to develop a set of criteria, or values, with which they could evaluate what is “too big” about government today. Use the beginning of the twenty-first century to stimulate a discussion on how we should be governed. What are the strengths of our democracy in the new millennium? Our weaknesses? Why? And what should we do about them? This topic could also be used for a reading and writing connection, asking students to keep a journal that focuses on these questions throughout the semester. What can individual American citizens do to influence the actions and policies of their government? What are the most important sources of stability in American government? What are the most important forces for change in American government? Ask students to think about the ways government policies influence their normal work/school day. What demographic and socioeconomic factors do you think are related to democracy? Wealth? Education? A homogeneous population? Can you find countries that don’t meet your expectations? Suppose the United States passed a constitutional amendment requiring all eligible citizens to vote. What would be the advantages and disadvantages of this measure? Today's Americans often question the "American Dream." What is the American Dream and how could you go about proving that the Dream is still alive or that the Dream is dying? What types of evidence would you need and where might you find it? Discuss the idea that if more citizens could attend college, then democracy would be strengthened in America. Is this assumption true or not and why? Should English be the official language of the United States, and should all governmental business be conducted in English? Why, or why not? Given the remarkable diversity in America, how is the country able to function as smoothly as it does? Does this diversity threaten to make the country less governable now than in the past? Do you agree with the statement, “Equality, individualism, and openness are the crucial values of American politics in the twenty-first century”? Does democracy require equality of income and wealth? Does majority rule undermine freedom and threaten individual rights? What was James Madison's view, and what is your reaction? Although there is widespread support for the concepts of freedom and liberty in America, there have been many intrusions on basic rights in American history. Can you explain why we find such discrepancies in an area where we also find almost complete public support for the general principle? Copyright © 2011, 2009, 2007 Pearson Education, Inc. All rights reserved.

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Discuss what could be done, either by the media or by politicians themselves, to refurbish the image of elected officials today vis-à-vis the public. How can the idea of politics as “an honorable profession” be inculcated, perhaps even to contemporary American youth? What are both the weaknesses and strengths of “direct democracy”? Assume that millions of American televisions could be hooked up to a centralized computer system that in turn could register instantaneously the public’s views on issues (“yes” or “no” responses). Would this be a plus or minus for American democracy? Indicate a time or a place when the majority did not recognize the equal rights under the law of a group of people. How do you think this hindered the development of democratic ideals? In the pluralist perspective, how can an individual influence government? How does the U.S. being a constitutional democracy protect Americans?

¾1.3 Compare and contrast the U.S. government to other democratic systems and Identify core values and beliefs within American political culture • • • •

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How does a democracy differ from other forms of government in both practical and theoretical terms? Can socialism coexist with democracy? Is extensive economic freedom essential to democracy? Can the unequal economic outcomes of capitalism be considered “undemocratic”? Which of the democratic ideals do you foresee as not being achieved in Iraq, and why? Will Iraq still be considered a democracy without this ideal? From the other forms of government mentioned in this chapter, argue for a better form of government for Iraq than a democracy. What are some of the goals of terrorist acts? How can terrorism affect the paradox of democracy? How can/should democracies respond? Must security come at the price of liberties? How can democracies, particularly the United States, deal with new restrictions imposed as a result of terrorist acts/threats? Discuss whether or not the tragic events of September 11, 2001 changed the increasingly detached behavior of Americans. How does democracy in America compare to democracy in other parts of the world? Ask students whether or not they feel the events of September 11, 2001 changed the way Americans view immigrants and/or foreign visitors/tourists. Why don’t Americans divide themselves into social classes? Why hasn’t the Communist Party caught on in America? Study the statements of President George Bush on the need to encourage the spread of democracy in the Middle East. Is this a good goal for the United States? Is it a practical goal? How does American democracy differ from most other democracies? What is the difference between a presidential system and a parliamentary system?

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Class Activities

¾1.2 Analyze the purposes of government and explain why government is necessary •

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• •

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Within the first days of regular classes, ask students to write a question they have about government. Collect all of the questions and “slot” each of them in the chapter concerning its answers. When one of the written questions falls into the normal sequence of classroom activities, read the question, with the name of the questioner. Address the answer, or even devote the entire lecture, to that individual personally. (Note: This will personalize lectures throughout the semester. It seems to be particularly effective with large introductory-format classes.) Divide the class into “elitists” and “pluralists.” Identify a headline topic, and have the two groups identify how their group would respond to the topic. Putting the two groups back together, compare and contrast differences and similarities between the two groups. (As instructor, you will serve as the moderator, putting differences and similarities on the board.) Discuss expectations or surprises found from this exercise. One of the responsibilities of government is to enforce laws. But the perceived failure of government in protecting the southern borders of the United States has led some groups and citizens to take the law into their own hands to prevent illegal immigrants from entering the country. Break students into small groups and have them discuss what they believe is appropriate action for citizens to take when they feel as though government is not providing essential services. Then bring the groups back into a class discussion and have them explore the various points of view expressed in the small groups. Stage a debate about human nature and the nature of government. Have one side research and argue the ideas of John Locke and his implications for government and the other side take Thomas Hobbes. Split the students into two sections. Assign one section the task of defending the importance of high citizen political participation. The other section will have the task of defending the argument that only politically knowledgeable citizens should participate in politics. Give each section time to discuss its positions and then have them select one or two students to present their arguments to the class. Suppose your class wanted to get the local government to build more bike paths near your college or university. Assign small groups to consider strategies based on using different pathways. Have students list community, city, state, or regional problems and discuss what government programs have been established to address them, if any, as well as their effectiveness. After a class discussion, have each student (or groups of students) choose a problem and write a brief paper on what roles government could and should play in the resolution of the problem. American corporations are becoming more closely aligned with corporations from other countries, either through outright purchase of stock or through joint ventures. Would you favor more protectionist policies to protect the interest of American businesses and consumers, or would you favor a more open-market economy? Write a brief essay that explains your thoughts on this issue.

¾1.3 Compare and contrast the U.S. government to other democratic systems and identify core values and beliefs within American political culture •

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American corporations are becoming more closely aligned with corporations from other countries, either through outright purchases of stock or through joint ventures. Ask your students whether they would favor more protectionist policies to protect the interests of purely American businesses and consumers, or whether they favor a more open, free-market economy. Similarly, one can use the example of the 1999 World Trade Organization (WTO) meeting and violent protests in Seattle to spark a related discussion about globalization and unilateral-versus-multilateral involvement in economic and trade issues. Ask students to consider to what extent the terrorist attacks of September 11, 2001 were related to globalization, especially the export of American culture (movies, music, lifestyle) to other nations of the world, along with the ability of terrorist groups to use the benefits of globalization (computers, air transportation, international investments, etc.) for their attacks. Separate the class into three (or six) groups representing three different regime types: authoritarianism, democracy, and monarchy. Have each group design a government simulating the basic principles of their regime. Each group should then present its findings to the class and explain why its principles and institutions fit that regime type. If you have the resources, create a simple web page for your classes. The page could contain links to other websites, course syllabi and assignments, suggestions on how to study, and assignments for electronic research. An Internet scavenger hunt is an interesting and educational way for students to learn about the power of using electronic searches for political research. A number of websites are listed in the textbook at the end of each chapter. Student-created journals can be effective teaching and learning tools. One method is for the instructor to ask students to maintain a journal of work accomplished during the semester. At the end of the semester, the journals should include both the results of assignments made in class and student-initiated research (such as newspaper clippings with key information highlighted and descriptions of Internet resources) and notes on attendance or participation in several political activities (such as attendance at political speeches and forums). Most Americans believe in democracy as a general principle, but there have been numerous violations of the substance of democracy. Divide your class into several groups and ask each group to compile information on a number of violations of basic rights in American history, such as the Japanese war-relocation centers during World War II and the era of McCarthyism during the Cold War. Suggest that your students try to evaluate these events both with the hindsight of history and within the context of the times within which the events occurred. You could also compare these examples with similar national and international security issues raised in the aftermath of the 9/11 terrorist attacks and the passage of the Patriot Act. In California, a significant percentage of the population is foreign-born. What relationship does this fact have to anti-immigrant legislation passed in California, such as Proposition 187 (1994), which attempted to bar welfare, health, and education benefits to undocumented immigrants and their children? Create a list of five major benefits of immigration and five consequences of immigration.

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Research Assignments

¾1.1 Assess the challenges that researchers face when studying causal relationships within politics • •

•

Have your students research the population and social changes of their own state or of particular groups (such as race, age, or regional distinctions). They will be able to use both 2000 and 2010 census data. One controversy over the past several years has been the attempt, at some campuses, to regulate expression that ridicules specific groups, and to change courses, curricula, and programs so as to remove negative group stereotypes and reduce the prominence traditionally given to Western, male, European-centered subjects. A challenging, but delicate assignment could be to have students research the presence of “political correctness” on their campus. (Of course, part of the assignment would be to have the students examine what the term itself means and to try to establish whether the use of the term is valid, or is simply an attempt to smear a well-intentioned effort to promote the awareness of cultural diversity.) Have the faculty and administration changed conduct codes so as to regulate expression that is negative to certain groups? Have there been changes in courses and curricula to introduce women’s studies, Hispanic studies, African American studies, etc.? What has prompted the changes? One way to get students thinking about the political impact of structural factors (such as raising new issues on the political agenda, altering political dynamics, and balances of power between groups and types of people, etc.), is to have them consider how simple social changes—irrespective of individual groups, parties, or people in power—force government to act. Gather some trends from actual data from the 2010 U.S. census (either via their web page at http://www.census.gov, or from reference sources in your library) such as change in median income or age of population, percentages of racial and ethnic groups, regional population shifts, etc. Break the students into groups, each focusing on a different trend, and ask them to think about what the possible implications of such trends might be for future political leaders (perhaps themselves). You can use this exercise as the basis for a stimulating discussion on potential future developments in American politics, along with illustrating the effect that simple population/demographic, economic, etc., changes have on politics. Send students to the U.S. Census Bureau Web site (http://www.census.gov). Have them explore the site and have each student in the class find out the demographic make-up of his/her hometown and home state. Then compare these to national demographics. Have them discuss what the implications of their findings might be for American democracy. Many people are talking about the impact of the Web/Internet on democracy. Have students get online and find examples of the ways in which political information is available on the Web. Find campaign sites, party sites, sites about political philosophy, and so on. Be prepared to discuss why each one is political and how it might affect our political system. Ask them to determine which sites are reliable and why. Be sure to consider how many people have access to the Web and their demographics in your conclusions. Are Americans truly frustrated with and cynical about their government and politicians? Have students go to the Web and find some reliable polling data (try Gallup and Roper polls to begin with) on this question. Also, do some empirical research. Read newspapers, listen to the radio, watch television, and talk to friends and family. Does their personal research Copyright © 2011, 2009, 2007 Pearson Education, Inc. All rights reserved.

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correspond with the polls and the conclusions in the book? Have a class discussion of why or why not. Have students explore the meaning of “conservative” and “liberal” by exploring the Web and identifying sites that are conservative and liberal in nature. Also have them look at extremely biased sites and discuss with them how many people subscribe to such views—is there a majority at either end of the ideological spectrum or are most of us in the middle? What do the results of this discussion mean particularly in regard to the media, elections, and other polarizing events? Ask the class to speculate on what criteria could be used to measure the level of freedom in a country. Go to http://www.freedomhouse.org to see how one organization measures political rights and civil liberties.

¾1.2 Analyze the purposes of government and explain why government is necessary •

• • •

•

Have students write a paper on the following: Hobbes and Locke are often considered extremely influential theorists who had a profound impact on the Framers of our government. How did their theories influence the Framers? How influential are they in American thought today? Are there any other philosophers who have been influential? Find out about two others and discuss how they influenced our system of government. Ask students to view Spike Lee’s film, Do the Right Thing, and write a paper discussing whether the conflict in the film was racial or economic. Find the email addresses of your national representative and senators. Send an email to one or more of your elected representatives to tell them about some policy you would like to see changed. Have students use the Internet to visit some Web sites of civic groups devoted to encouraging political participation or providing election information. Discuss in class what students learned from these sites. Ask students if they think that the Internet can improve the quality of democracy in the United States. Why? THE AMERICAN DREAM: Have students prepare an annotated bibliography of ten popular books published during the past decade that are concerned with the current American political, social, and economic scene. As a second step, have them write a short essay that summarizes the tone of their bibliographical list. Is it optimistic? Pessimistic? Contradictory? How does current writing about the American future compare with the long-standing hopes and aspirations that make up the American Dream?

¾1.3 Compare and contrast the U.S. government to other democratic systems and identify core values and beliefs within American political culture • •

Using the Internet, newspapers, or newsmagazines, find examples of authoritarian, totalitarian, and democratic governments. Identify any patterns that this research reveals. Examine the democratic socialism of Sweden as an alternative to American-style capitalism.

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V. Quantitative Assessment Administer Chapter Exam (see Test Bank, Chapter 1). × Return to Chapter 1: Table of Contents

VI. Resources for Further Study A.

Books

1. Bellah, R. N., Madsen, R., & Sullivan, W. M. (2007). Habits of the heart: Individualism and commitment in American life. Berkeley: University of California Press. 2. Bennett, R. (2002). Talking it through: Puzzles of American democracy. Ithaca: Cornell University Press. 3. Black, E., & Black, M. (2002). The rise of Southern Republicans. Cambridge: Harvard University Press. 4. Bok, D. (1996). The state of the nation: Government and the quest for a better society. Cambridge: Harvard University Press. 5. Carey, G. W., et al. (1998). Freedom and virtue: The conservative libertarian debate. Wilmington: Intercollegiate Studies Institute. 6. Church, F. F. (2002). The American creed: A spiritual and patriotic primer. New York: St. Martin's Press. 7. Crick, B. (1983). In defense of politics (Rev. ed.). Harmondsworth: Pelican Books. 8. Crotty, W. J. (Ed.). 2001. The state of democracy in America. Washington, DC: Georgetown University Press. 9. Dahl, R. (1982). Democracy and its critics. New Haven: Yale University Press. 10. De Tocqueville, A. (2003). Democracy in America: And Two Essays on America. (G. E. Bevan & I. Kramnick, Trans.). London: Penguin Classics. 11. Deweil, B. (2001). Democracy: A history of ideas. Seattle: University of Washington Press. 12. Dogan, M., & Pelassy, D. (1990). How to compare nations: Strategies in comparative politics. London: Chatham House Publishers. 13. Eliasoph, N. (1998). Avoiding politics: How Americans produce apathy in everyday life. Cambridge: Cambridge University Press. 14. Fein, B. (2008). Constitutional peril: The life and death struggle for our Constitution and democracy. New York: Palgrave Macmillan. 15. Freedman, S. G. (1998). The inheritance: How three families and the American political majority moved from left to right. Clearwater: Touchstone Books.

16. Gibson, A. R. (2006). Interpreting the founding: Guide to the enduring debates over the origins and foundations of the American Republic. Lawrence: University Press of Kansas. 17. Goddard, T. D. (1998). You won – Now what? How Americans can make democracy work from City Hall to the White House. New York: Scribner. 18. Hamilton, A., Jay, J., & Madison, J. (1990). The federalist: A collection of essays written in favor of the new Constitution. In G. W. Carey &J. McClellan (Eds.). Dubuque: Kendall/Hunt Publishing Co. 19. Hartz, L. (1955). The liberal tradition in America. New York: Harcourt Brace, and World. 20. Hibbing, J. R., & Theiss-Morse E. (2002). Stealth Democracy: Americans’ beliefs about how government should work. Cambridge: Cambridge University Press. 21. Hudson, W. (2000). American democracy in peril: Seven challenges to America’s future. London: Chatham House Publishers. 22. Huntington, S. P. (1981). American politics: The promise of disharmony. Cambridge: Harvard University Press. 23. Kramer, M. (2004). John Locke and the origins of private property: Philosophical explorations, and equality. Cambridge: Cambridge University Press. 24. Lien, P-T., Conway, M. M., & Wong, J. (2004). The politics of Asian Americans: Diversity and community. New York: Routledge. 25. Lipset, S. M. (1990). Continental divide: The values and institutions of the United States and Canada. New York: Routledge. 26. Loeb, P. R. (1999). Soul of a citizen: Living with conviction in a cynical time. New York: St. Martin's Press. 27. Mara, G. M. (2008). The civic conversations of Thucydides and Plato: Classical political philosophy and the limits of democracy. Albany: State University of New York Press. 28. Martin, J. (2003). Nader: Crusader, spoiler, icon. New York: Basic Books. 29. Matthews, C. (2002). American: Beyond our grandest notion. New York: Free Press. 30. Meese, E. (2005). The heritage guide to the Constitution. Washington, DC: Regnery Publishing, Inc. 31. Moyers, B. (2008). Moyers on democracy: Speeches 2004–2007. New York: Doubleday. 32. Plano, J., & Greenberg, M. (2002). The American political dictionary (11th ed.). Belmont: Wadsworth. Copyright © 2011, 2009, 2007 Pearson Education, Inc. All rights reserved.

33. Putnam, R. D. (2001). Bowling alone. New York: Simon & Schuster. 34. Putnam, R. D. (Ed.). (2004). Democracies in flux: The evolution of social capital in contemporary society. New York: Oxford University Press. 35. Ravitch, D. (2000). The American reader: Documents that moved a nation. New York: HarperCollins Publishers. 36. Schlesinger, A. M., Jr. (1993). The disuniting of America: Reflections on a multicultural society. New York: W. W. Norton & Company. 37. Schuck, P. H. (2003). Diversity in America: Keeping government at a safe distance. Cambridge: Belknap Press. 38. Schuck, P. H., & Wilson, J. Q. (Eds.). (2008). Understanding America: The anatomy of an exceptional nation. New York: Public Affairs. 39. Schudson, M. (1999). The good citizen: A history of American civic life. Cambridge: Harvard University Press. 40. Simon, J. (2002). What kind of nation: Thomas Jefferson, John Marshall, and the epic struggle to create a United States. New York: Simon & Schuster. 41. Stanley, H. W., & Niemi, R. G. (2008). Vital statistics on American politics, 2007–2008. Washington, DC: Congressional Quarterly Press. 42. Stone, D. (2008). The Samaritan’s dilemma: Should government help your neighbor? New York: Nation Books. 43. Tinder, G. (1995). Political thinking: The perennial questions (6th ed.). New York: HarperCollins Publishers. 44. Wilentz, S. (2009). The rise of American democracy, brief version. Boston: W. W. Norton & Company. 45. Wood, G. S. (2006). Revolutionary characters: What made the founders different. New York: Penguin Press. 46. Zinn, H. (2001). A people's history of the United States: 1492 to present. New York: HarperCollins Publishers. × Return to Chapter 1: Table of Contents B.

Articles

1. U.S. Department of Commerce, Bureau of the Census. (2008). Statistical Abstract of the United States, 2008. U.S. Government Printing Office. Copyright © 2011, 2009, 2007 Pearson Education, Inc. All rights reserved.

2. Cohen, J. L. (Ed.) (1985, Winter) Social movements. Social Research, 52(4). 3. Lapham, L. (1992, January). Who and what is American? Harper’s Magazine, 284 (1700), 43–49. 4. Macbeth, A. (1990, August). Education and society: Studies in the politics, sociology and geography of education. Urban Studies. 5. Martis, K. C. (1996, November). Politics, geography and political geography: A critical perspective. The Professional Geographer. 6. Wald, K. D. (1986, December). The geography of English politics: The 1983 general election. American Political Science Review, 72(2), 523–534. 7. Webster, G. R. (1992, January). Demise of the Solid South. The Geographical Review, 82(1), 43–55. × Return to Chapter 1: Table of Contents C.

Media

1. 1984. (1984). Dir. M. Anderson. United Kingdom: Holiday Film Productions Ltd., 1956 and Nineteen Eighty-four. Dir. M. Radford. United Kingdom: Umbrella-Rosenblum Films Production. A movie dramatization of George Orwell’s classic novel depicting a grim perspective on a society where individualism is suppressed and information is distorted by government to achieve ultimate control over its population. The 1956 version is less haunting and grim than the 1984 remake, but not nearly as good. (And the 1984 version has full frontal nudity.) 2. Crash. (2004). The random clash of ethnic prejudice and tensions in Los Angeles. 3. Tocqueville’s Europe: The Paradoxes of Tocqueville’s Democracy in America. (1995). Insight Media. An analysis of Tocqueville’s observations and criticisms of American democracy. × Return to Chapter 1: Table of Contents D.

Web Resources

1. Amnesty International. http://www.amnesty.org/ 2. The Australian National University offers a Virtual Library of Demographic Information that has a large number of links to huge amounts of data about most parts of the world. Includes population studies centers, data centers, and more. http://demography.anu.edu.au/VirtualLibrary/ Copyright © 2011, 2009, 2007 Pearson Education, Inc. All rights reserved.

3. The Avalon Project/Yale University is a collection of historical documents of importance to the study of American government, ranging from the Magna Carta and the colonial charters to state constitutions, historical variants of the plans put forward at the Constitutional Convention, and ratification debates. http://avalon.law.yale.edu/ 4. Capitalism. http://www.capitalism.org 5. Core Documents of American Democracy is the Government Printing Office page that lists a large number of documents considered integral to American democracy, ranging from the Articles of Confederation, Declaration of Independence, and Emancipation Proclamation to judicial decisions and congressional testimony. http://www.gpoaccess.gov/coredocs.html 6. deTocqueville.com offers lots of information and links to sites related to Alexis de Tocqueville, who visited America in 1831 and published two volumes on his observations of American culture and democracy. http://www.tocqueville.org/ 7. The Economist. The home page of the world’s leading publication on the U.S. and international economies. http://www.econamist.com/ 8. Fedstats—Statistical information on the U.S. economy and society from more than 100 government agencies. http://www.fedstats.gov/ 9. Freedom House. http://www.freedomhouse.org/ 10. Globalization and Democracy Homepage. Information on a National Science Foundationfunded graduate training and research program, directed by one of the authors of this textbook. http://www.colorado.edu/IBS/GAD/gad.html 11. Human Rights Watch. http://www.hrw.org 12. INS Self Test for Naturalization. Find out what aspiring citizens need to know to gain their citizenship. Click on “Education and Resources” for civics flash cards and more. http://www.uscis.gov/portal/site/uscis 13. International IDEA: Supporting Democracy Worldwide. http://www.idea.int/ 14. Keele University Political Science Resources offers a section on political thought that includes a large collection of documents on democracy, constitutions, limited government, ideology, and political theory. http://www.psr.keele.ac.uk 15. The Pew Research Center for the People and the Press. http://people-press.org/ 16. New York Times, Political Points. http://www.nytimes.com/library/politics/polpoints.html 17. PBS American Experience. A Shifting Political Landscape. 2008. http://www.pbs.org/wgbh/amex/lincolns/politics/es_shift.html Copyright © 2011, 2009, 2007 Pearson Education, Inc. All rights reserved.

18. Statistical Abstract of the United States. A vast compendium of statistical information on the government, the economy, and society. http://www.census.gov/compendia/statab/ 19. ThisNation.com has lots of information including an online textbook and current events. Some parts of the site are open to the public and others require purchasing the online text. http://www.thisnation.com 20. U.S. Census Bureau offers information on the demographic, geographic, and economic make-up of our country. Includes the ability to search for state-level data. http://www.census.gov 21. Weblinks: A Guide to Internet Resources in Political Science. http://www.abacon.com/internetguides/pol/weblinks.html 22. World Socialist Movement. http://www.worldsocialism.org × Return to Chapter 1: Table of Contents

Integrated Guide to the Text’s Resources (Instructor’s Resource Manual)

Chapter 2 - Political Culture Table of Contents I. Chapter Overview A. Learning Objectives B. Chapter Summary II. Student Assignments – Pre-Lecture III. Lecture Resources A. Lecture Slides B. Additional Lecture Suggestions IV. Student Assignments – Post-Lecture A. Class Discussion Questions B. Class Activities C. Research Assignments V. Quantitative Assessment VI. Resources for Further Study A. Books B. Articles C. Web Resources

I. Chapter Overview: A.

Learning Objectives

¾2.1 Define political culture and explain how certain values and beliefs achieve dominance within a society. ¾2.2 Illustrate how the key values and beliefs of the American creed shape politics and government today. ¾2.3 Evaluate the consequences of American political culture such as limited government and a weak sense of sovereign power. ¾2.4 Identify the major challenges and alternatives to the dominant political culture. × Return to Chapter 2: Table of Contents B.

Chapter Summary

Political Culture in America Political culture has notable consequences and implications for American politics. Political culture refers to the basic set of values, beliefs, expectations and attitudes that informs citizens and influences the way they think and behave politically. Political culture provides the framework through which citizens process and assess the political world around them. Political culture differs from public opinion. Public opinion focuses on day-to-day issues whereas political culture is a more permanent set of beliefs. The dominant political culture in the United States is referred to as the American creed. The American creed consists of the following beliefs: individualism, democracy, liberty, property rights, and religious freedom. These beliefs are tied together by the belief in equality. While Americans share these values and beliefs, they may not always agree on the specifics about politics. There is plenty of room for disagreement and debate within the general boundaries of the American creed. Given the diversity of the population, it would seem more feasible that there would be competing political cultures in the United States. And yet, that is not the case. The Beliefs of the American Creed The beliefs of the American creed have become dominant in the United States for several reasons. Political socialization has played a key role in reinforcing and instilling these beliefs in individuals. Citizens hear messages from politicians, economic leaders, and educators that reinforce these ideas. Furthermore, discussion of public policy often refers to or directly incorporates these values and beliefs. The American creed is also propped up through the media and popular music. Family, friends and society play an important role in teaching individuals about these beliefs and values as well. Individualism is the first important aspect of the American creed. Individualism is understood as the belief that all individuals should be able to succeed to the maximum extent possible based upon their individual capabilities. Another aspect of the American creed involves the idea that American government should be predicated upon democratic principles. This notion encompasses the following criteria: the will of the people; the consent of the governed; equal opportunity to influence government; and, equal treatment by the law. The third belief of the Copyright © 2011, 2009, 2007 Pearson Education, Inc. All rights reserved.

American creed is liberty. Natural rights and the government’s role in securing liberty for its citizens are associated with this principle. The next belief is that of property rights or the idea that people have the freedom to acquire property and use property so long as it does not interfere with the rights of others. Religious freedom is the idea that citizens should be free to choose and practice their religious faith without persecution from others. In other words, this belief promotes the idea of freedom of religious expression. Finally, the central belief of the American creed is equality. In this sense, equality refers to equality of opportunity rather than equality of outcome. For most Americans, the American creed provides a starting point from which they can evaluate politics. Even though not all citizens have been afforded the benefits of the American creed, most groups still believe in the promise of America and have demanded access to those benefits. American political culture though, does not always guarantee how people will respond to different political events and issues. The context in which the issue or event is being analyzed also plays an important role. Furthermore, politicians are aware of the role that political culture has on their constituents and often tailor their language to appeal to those particular values and beliefs. Consequences and Implications of the American Creed The American creed has far-reaching consequences and implications. One important consequence of the American creed is the preference for limited government or using government as the last resort to solve problems. Another consequence entails the construction of checks and balances to limit the sovereign power of any one institution. The third consequence involves the assumption that the American belief system is superior to that of other belief systems. As a result of this feeling of superiority, competing beliefs are often seen as “unAmerican.” Additionally, the strong emphasis on individualism creates a situation in which decision makers find it difficult to act in the public interest. The final consequence of the American creed is that it often brings about conflict as the beliefs themselves may dictate different policy prescriptions or people may interpret them differently. The different perspectives of American political parties are the result of the different emphasis each party places on the various components of the American creed. Challenges to the American Creed Despite the strength of the American creed, there have been challenges from alternative ways of thinking about politics and the role of government. Communitarianism, popular during the colonial and revolutionary periods in the United States, promotes the idea that the needs of the community are greater than those of the individual. Therefore, government should promote those policies that benefit the community first. Discrimination has proved to be another important challenge to the American creed. It was not until the civil rights movement in the 1960s that public policy in the United States moved toward inclusion of racial minorities in policy making and politics more generally. Multicultural ideology emerged in the 1980s and challenged the American creed from the perspective that the creed represents the dominant social structure of the United States and excludes multiple and diverse understandings of political culture. Therefore, no consensus can be reached about a unified political culture. Finally, libertarianism promotes individual choice, the private sector and the free market. Government’s responsibility should be limited to defending the country militarily and providing protection to its citizens against crime. Despite these challenges, the American creed has provided a guideline for the way the American public thinks about politics. Copyright © 2011, 2009, 2007 Pearson Education, Inc. All rights reserved.

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II. Student Assignments – Pre-Lecture A. B. C.

Student Required Reading: Chapter 2 – Political Culture Administer Reading Comprehension Quiz (see Test Bank, Chapter 2) Chapter Test – After your students have completed their reading assignment, go over these questions with your class to identify any areas you should focus on in your lecture.

Chapter Test 1. What is the difference between political culture and public opinion? 2. Why has the United States had a shared political culture despite the country’s extensive diversity? 3. How does the value of equality tie together the five beliefs of the American creed? 4. What expectations about politics and government are contained in the American creed belief in democracy? 5. How can the preference for limited government in the American creed coincide with the existence of an array of government programs? 6. In what ways is the sense of sovereign power in the United States weak? 7. How do tension among American creed beliefs and different interpretations of the meaning of the beliefs create conflict in the United States, despite a shared political culture? 8. How do the major communitarian beliefs compare to the American creed, and how prominent has this alternative outlook on politics been in the United States? 9. What are the chief conflicts between multiculturalism and the American creed? 10. In what ways might American political culture be thought of as a mosaic of beliefs? × Return to Chapter 2: Table of Contents

III. Lecture Resources A.

Lecture Slides

Slide 1

Slide 2

Slide 3

The basic question we ask in this chapter is “what does it mean to be an American?” The chapter begins with a feature titled Church and State on the Campaign Trail and details the story of the Reverend Jeremiah Wright and his sermons that broke during the 2008 presidential election. Candidate Barack Obama had a close relationship with Wright who had said “God damn America”. 1960 was an election charged with religion as Kennedy was a Roman Catholic and was criticized for it. This feature demonstrates how political culture can have significant effects in politics. Candidates need to demonstrate that they are in the mainstream of America. Given the intensity of religion in this nation, religious connections are particularly important to our political culture. Religion is an important part of our political culture, which is unique from other advanced nations.

Chapter 2: Political Culture The basic values, beliefs, attitudes, predispositions, and expectations of citizens toward the political system of their society and toward themselves as participants in it

Slide 4 After Reading This Chapter, You Should Be Able To: 9 LO 2-1: Define political culture and explain how certain values and beliefs achieve dominance within a society. 9 LO 2-2: Illustrate how the key values and beliefs of the American creed shape politics and government today. 9 LO 2-3: Evaluate the consequences of American political culture such as limited government and a weak sense of sovereign power. 9 LO 2-4: Identify the major challenges and alternatives to the dominant political culture.

Slide 5

LO 2-1

Define Political Culture 9Framework for Political Evaluation 9American Creed 9Why is the creed dominant?

To Learning Objectives

Slide 6

LO 2-1

Faith Becomes a Political Issue. Provocative statements by Reverend Jeremiah Wright created shockwaves in the 2008 presidential nomination contest. Wright was the pastor at the church long attended by Barack Obama, and the Democratic candidate considered him a spiritual mentor. In his response, Obama explained the historical context for his pastor’s remarks while at the same time rejecting them.

To Learning Objectives

Slide 7

LO 2-1

Define Political Culture cont’d 9Framework for Political Evaluation 9American Creed 9Why is the creed dominant?

Political culture refers to the basic values, beliefs, attitudes, predispositions, and expectations of citizens toward the political system. 90 percent of the public agree with free speech for everyone regardless of their views because Americans believe that free speech is important and should be encouraged. Political culture provides a framework for political evaluation. This does not explain every response, as Americans do believe in free speech but will back away from that for particular groups. While there are significant inconsistencies between the concepts and actions, the concepts still matter.

To Learning Objectives

The American creed is the dominant political culture in the United States. The set of beliefs that is dominant includes individualism, democracy, liberty, property rights, religion, and equality. Beliefs are ideal and general. Many nations have competing political cultures at the core of their politics, and the U.S. is more diverse than many of these countries; the 2000 Census collected over 100 countries and tribes listed as ancestry from citizens. But the agreement on the creed is high: widespread adherence to the spirit of the creed.

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Define Political Culture cont’d 9Framework for Political Evaluation 9American Creed 9Why is the creed dominant?

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Defining Visions. Great Britain has had a long history of highly-charged ideological conflict between its parties. Here, Liberal Democrats party head Nick Clegg (left), Conservative party leader David Cameron (center), and Labour party chief Gordon Brown (right) face off in the first-ever live televised debate between potential prime ministers, April 2010.

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The creed is dominant because Americans hear numerous messages from politicians, economic leaders, and educators that reinforce the creed. Or people had suffrage very early in this country— prosperity in the U.S. makes it hard for competing political cultures to take root—no history of class relations. Or government has used repressive tactics and judicial rulings to thwart opposition to these beliefs.

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Go over the groups that are more restricted than others. Evaluate the changes over time from 1977 to 2008 and the fact that some opinions have changed significantly while others have not. Talk about why it is that there is a twenty-point increase in support for a homosexual man to speak but that the number of people who believe that blacks are genetically inferior has not changed.

Does Immigration Threaten National Cohesion? While acknowledging the contributions of immigrants to society, and often being children or grandchildren of immigrants themselves, many Americans worry that immigration threatens the sense of national identity conveyed by shared values. Advocates for expanded immigration stress that the historical record shows that immigrants are united around core American creed beliefs.

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Political culture refers to: A. The division of values and beliefs B. Shared ideas about what is good C. The various subcultures in society D. Widely shared ideas as to who should govern for what ends, and by what means

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Beliefs of the Creed 9Equality 9Individualism 9Democracy

Equality is the value that all Americans should be treated the same under the law, be able to influence government, and have equal opportunity to succeed in life. This belief underlies the other beliefs: individualism, democracy, liberty, property, and religion.

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Personal Versus Public Responsibility. A wave of mortgage foreclosures across the country led President Obama and Congress to enact mortgage restructuring programs in 2009 and 2010. Critics of the programs argued that if homeowners had gotten in over their heads financially, that was a matter of personally irresponsibility. Supports said the mortgages were sometimes sold in misleading ways and that ultimately it was in a community’s interest to keep people in their homes.

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Beliefs of the Creed cont’d 9Equality 9Individualism 9Democracy

Individualism is the value that all individuals should be able to succeed to the maximum extent possible given their talents and abilities. choose their own path in life The example of the Army’s tag line—to be an “Army of One”—demonstrates the notion of individualism in American political culture.

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The Marketing Appeal of Individualism. The Army’s “Be All You Can Be” recruitment campaign effectively tapped into American political culture’s emphasis on individuals reaching their maximum potential and seeking to achieve their personal dreams.

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Definitions of freedom vary. Use this chart to demonstrate the different ways that Americans conceive of freedom.

Use this to show that Americans do not believe the government should be engaged in reducing income differences; other nations do believe government should be involved.

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Beliefs of the Creed cont’d 9Equality 9Individualism 9Democracy 9Liberty 9Property

Democracy is the value that government should adhere to democratic principles—or that the will of the people should be sovereign. Government should be guided by the will of the people as much as possible. Power is granted to the people by the consent of the governed. People should have an equal opportunity to influence government. The law should treat all people equally.

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How Close is Too Close? The linkage of business and government trouble many Americans. Here, Barack Obama shakes hands with Verizon CEO Ivan Seldenberg at a 2010 meeting of the Business Roundtable, a group of the country’s largest corporations. Is this unfair access, or is a president right to lend an ear and share his thoughts with the heads of companies employing thousands of Americans and generating billions of dollars in revenue?

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Beliefs of the Creed cont’d 9Equality 9Individualism

Liberty is the value that governmental restraint on individual behavior should be minimal. Americans consider rights to free speech, to associate in groups, and to freedom of religion to be natural rights: self-evident rights. Government’s only job is to secure liberty.

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Liberties in War and Peace. Americans generally tolerate greater inconveniences and limits to their liberties in times of war. Security checks at airports, railway stations, and subways became more extensive following the terrorist attacks on September 11, 2001. Is this flexible response of Americans desirable?

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Property is the value that people should be able to acquire, own, and use goods and assets free from government constraints. People should be free to acquire property based on the economic marketplace value. Individuals should be able to use their property with some reasonable restrictions. Democracy and property rights often are contradictory –it was feared that if you gave people without property the right to vote, they would take away other people’s property. Recent scholarship has argued that property can be seen in purchasing power: democratic in its message. Building In a Danger Zone. Property rights generally confer on individuals the right to use their property as they see fit. However, around the country, individuals build houses in zones where tornadoes, fires, landslides, floods, and hurricanes are common. How far should government go to restrict or regulate such building?

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Beliefs of the Creed cont’d 9Equality 9Individualism 9Democracy

Religion is the value that individuals should be free to practice their religious faith. Religious expression is the idea that your religion is as important as your right to free speech. While Americans are against a state church, they tend to religiosity: the tendency of people to have some religion.

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Faith as an American Touchstone. References to faith appear frequently in American political culture. Presidents routinely end their speeches by saying “Gob bless the United States of America,” and other references abound in places such as the Pledge of Allegiance, the Declaration of Independence, and U.S. currency.

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FIGURE 2-1. Relationship Between Religion’s Importance in People’s Lives and Economic Development. High percentages of Americans state that religion is a very important part of their daily lives. Countries with similar levels of belief tend to be much poorer than the United States.

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Key Creed Values Do Not Include: A. Individualism B. Democracy C. Communitarianism D. Property Rights

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Key Creed Values Do Not Include: A. Individualism B. Democracy C. Communitarianism D. Property Rights

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Consequences and Implications of the Creed 9Americans prefer limited government. 9Americans do not trust government. 9Weak Sense of Sovereign Power 9Competing Views Suspicious 9Weak Sense of Public Interest Copyright © 2011 Pearson Education, Inc. Publishing as Longman

Government is seen in America as a last resort to solve problems. People need to be convinced that it is appropriate for the government to take care of some issue. Americans tend to rely first on other arenas: family, church, marketplace, nonprofit institutions, or self-improvement. People were angry about TARP and the stimulus package. Our dedication to this principle is higher than that of other nations.

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FIGURE 2-3. Public Support for Cutting Federal Government Spending, 2009. Americans generally support the idea of a small, efficient government, but they find it difficult to identify areas they would like to see cut. Although 60 percent of Republicans, Democrats, and independents cited the federal budget deficit as a top national priority, there was no majority support for cutting any of the programs listed above.

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Consequences and Implications of the Creed cont’d 9Americans prefer limited government. 9Americans do not trust government. 9Weak Sense of Sovereign Power 9Competing Views Suspicious 9Weak Sense of Public Interest Copyright © 2011 Pearson Education, Inc. Publishing as Longman

FIGURE 2-2. Support for Women’s Equal Role, 1972–2008. In 1972, nearly half the U.S. population held neutral views or believed women’s place was in the home, but by 2008 less than one-sixth of the population held those views.

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Equal Rights. Marchers in New York supporting the addition of the Equal Rights Amendment to the U.S. Constitution. Although the attempt to ratify the amendment fell short by three states, the women’s rights movement had a profound effect on American laws, business practices, and society.

Americans are skeptical about the effectiveness of American government. Why has it decreased since the 1950s: Trust was artificially inflated after the Great Depression and WWII. News coverage has become more divisive. Economic life has become less secure; traditional moral values have been challenged. Declining respect for all institutions Decline in trust across advanced industrial democracies; it’s not just happening here.

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Consequences and Implications of the Creed cont’d 9Americans prefer limited government. 9Americans do not trust government.

FIGURE 2-4. Percentage of Americans Saying They Trust the Federal Government to Do the Right Thing Just About Always or Most of the Time. Americans’ trust that the federal government will do the right thing has dropped from the high levels recorded 50 years ago by the American National Election Studies. Despite fluctuations and differences between partisan groups— Democrats will be more trusting when Democrats control the presidency and Congress than when Republicans do, and vice versa—the general trend is a decline in trust since the mid-1960s.Percentage of Americans Saying They Trust the Federal Government to Do the Right Thing Just About Always or Most of the Time. The sovereign power of the people is limited and some parts of government are only indirectly controlled. Sovereign power suggests a final decision maker, but checks and balances of American government eliminate any ultimate seat of power in the system at the national level. American people claim to be sovereign, which is true is the abstract (e.g., policy is influenced by public opinion) In practice, on the day-to-day level, it is a limited sovereignty, which is what the Constitution intended. Competing views are viewed with suspicion. American people and leaders think the creed is the best. Un-American beliefs are attacked around the world and in our history. No appeals to social class are acceptable; people are accused of advocating class warfare.

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American Ideas. American national identity is closely linked to the widely shared beliefs of the American creed. Political activists use this linkage to suggest that some ideas are not simply wrong, but directly violate the country’s Founding principles and basic beliefs. Supporters of the Tea Party movement, as seen here in April 2010, argue that the actions and policies of the federal government have become inconsistent with the Constitution, the intentions of the Framers, and the American way of life.

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Consequences and Implications of the Creed cont’d 9Americans prefer limited government.

Appeals to public interest are difficult because individuals do not find them compelling. Alexis de Tocqueville noted in the 1830s that Americans have to see sacrifice for others as in their own self-interest.

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Political Conflict from Creed 9Tension among Creed’s Beliefs 9Cultural Differences across Regions

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Political Conflict from Creed cont’d 9Tension among Creed’s Beliefs 9Cultural Differences across Regions

The creed, while a unifying force in our nation, creates most of the political conflict in the United States. Many of the beliefs are in conflict with one another. Property rights and individual opportunity conflict when someone cannot afford to go to college even when he or she is hard-working and talented. When creed beliefs collide, Americans engage in a struggle to figure out which one matters more.

To Learning Objectives

The creed also means different things to different people. There is significant variation across the nation in what we understand individual opportunity to mean. A famous example is this is the categorization of states into moralistic, individualistic, and traditionalistic. Moralistic: government as a positive force; tends to place heavy emphasis on the needs of the community and government’s ability to satisfy those needs Traditionalistic: government is limited and it works to sustain the social hierarchy and values already dominant in society and the economy Individualistic: politics is a mechanism through which private interests are advanced and in which government is expected to encourage, enable, and support private initiative.

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FIGURE 2-5. Contested Congressional District 12 in Pennsylvania Partisan Redistricting Case, 2004. The boundaries of Pennsylvania’s 12th congressional district, located in the state’s southwest corner, were carefully crafted to advantage the candidates of one political party. In an effort to build a safe Democratic seat, the district’s boundary twists and turns, picking up disparate pockets of neighborhoods along the way and almost completely surrounding portions of the adjacent district 18. The Supreme Court concluded that it did not have any clear standard to determine whether partisan bias in drawing the boundary of this district, shaded here in purple, violated norms of democracy and equality.

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Creed Values Create Tension Because: A. They lead toward different policy solutions to problems. B. They may be defined differently over time. C. They may be defined differently across regions. D. All of the Above Copyright © 2011 Pearson Education, Inc. Publishing as Longman

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Challenges to the Creed 9Communitarianism 9Discrimination 9Multiculturalism 9Libertarianism

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Supply, Demand, and Questions. When gas prices escalated in recent years, many Americans were suspicious that big oil companies were “gouging” consumers with high prices. Despite the reassurances of most economists that the oil and gasoline markets were not being manipulated by large corporations, Americans remained skeptical as oil company profits hit all-time highs. Defenders of the industry noted that it still had a profit rate much lower than that of many other industries.

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Communitarianism focuses on the society and the community. Individuals are not self-made; they are made by society, and thus they owe something to society in return. Self-improvement should be focused on how we serve the community and society more broadly. Communitarians in history have been influential. During the American Revolution and colonial times, this was the dominant mode of thought: classical republicanism. Populists—1875 through 1900—expressed deep concern about the disruption of communities by industrial capitalism and proposed many reforms. Movements like progressivism and presidential programs such as the New Deal and the Great Society infused these beliefs into their policies. Public good should trump private interest when they are in conflict. Communitarianism refines the creed, but does not reject it. Individualism seems harsh; communitarian ideas remove the harsh edge by supporting those who fall behind. Public opinion indicates that 75 percent of Americans believe the strengths of this country are mostly based in business—but 60 percent charged that business fails to strike a fair balance between making profits and serving the public interest.

FIGURE 2-6. Public and Private Health Care Expenditures as Percentage of Gross Domestic Product, 2007. The United States devotes a much larger share of its economy to health care expenditures than other countries and has a much larger role for the private sector. American national and state governments also spend substantial sums on health care.

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Challenges to the Creed cont’d 9Communitarianism 9Discrimination 9Multiculturalism

Discrimination is the idea that society is a hierarchy wherein not all groups deserve all the rights and benefits the creed can offer. The most famous historical example of this is racism. It was not just the southerners or KKK members. The U.S. has also discriminated against women and American Indians.

9Libertarianism

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Big Interests, Big Challenges. In the late nineteenth century, the trusts—combinations of corporations that wielded significant market power—were seen by many Americans as being harmful to the interests of the community. President Theodore Roosevelt, when he took office in 1901, declared that one of his goals was to “bust” the trusts. The political movement known as Progressivism flourished at this time, emphasizing the need to regulate some trusts and remove others because of their perceived adverse impact on the public good.

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Challenges to the Creed cont’d 9Communitarianism 9Discrimination

Multiculturalism questions the desirability of a common American political culture. Group identity influences political beliefs, and because groups are naturally diverse, a common political culture reflects the imposition of a dominant culture on a group’s beliefs.

9Multiculturalism 9Libertarianism

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No Welcome Mat. Efforts to integrate the nation’s schools during the civil rights movement faced strong opposition in some areas of the country.

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Dominant Culture or Dominating Culture? Some proponents of multiculturalism argue that, given people’s diverse experiences and worldviews, there can be no true consensus around a single set of political beliefs and values. Instead, any claim that there is a unified political culture is better seen as an attempt by a majority group to impose its set of beliefs on minority groups. Does the presence of a widely shared political culture in fact mean that the majority is dominating minority groups?

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Challenges to the Creed cont’d

Cultural Defenses. In a society that wishes to embrace diverse groups and backgrounds, what happens when that diversity clashes with established legal standards? Khalid Adem, an Ethiopian immigrant to the United States, was convicted for cruelty to children for the circumcision of his two-year-old daughter, though he denied being responsible for the act. Defenders of Adem argued that his behavior needed to be understood within the context of his cultural heritage, which was more accepting of female circumcision than was the case in the United States. Libertarianism argues that individuals are responsible for their own lives. Governments’ responsibilities should be very limited.

9Communitarianism 9Discrimination 9Multiculturalism 9Libertarianism

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Which challenge to the dominant political culture emphasizes society?

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A. Communitarianism B. Libertarianism C. Multiculturalism D. None of the Above

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Which challenge to the dominant political culture emphasizes society?

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A. Communitarianism B. Libertarianism C. Multiculturalism D. None of the Above

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Text and Art Credits

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Photo Credits

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Additional Lecture Suggestions

¾2.1 Define political culture and explain how certain values and beliefs achieve dominance within a society • • • •

Introduce the concept of the political continuum to illustrate the left and right in American politics. Discuss with students some of their political socialization experiences. Do any of the students remember their parents or relatives discussing political matters when they were growing up? Define and differentiate political culture, beliefs, and values. Define political culture and explain why it is crucial to understanding American government.

¾2.2 Illustrate how the key values and beliefs of the American creed shape politics and government today •

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Given the age of most of today’s students, many of the transforming social movements of this century occurred before they were born. Thus, this subject is a good one for employing guest speakers with personal experience in a movement (anti-Vietnam, civil rights, or women’s rights), or historical documentaries. One of the best of the latter is the acclaimed PBS series Eyes on the Prize, a chronological and topical depiction of the struggles of the civil rights movement as told both by participants and with historical footage. While any of the installments of this series is appropriate for the material in this chapter, the fourth segment of Eyes on the Prize I, “No Easy Walk (1962-64),” is particularly relevant. This episode focuses on the development of the civil rights movement as a mass movement, mobilizing entire communities and eventually the country (via the March on Washington in 1963) in support of desegregation. Its story illustrates several of the more general themes about social movements—such as difficulties in organization, factional in fighting, political repression, social disruption, etc. —from the chapter. In addition, it also happens to show how other structural (Cold War and international system, federalism), political linkage (mass media, public opinion) and governmental (role of courts, president, etc.) factors were involved, allowing students to apply the book’s analytic framework. Before showing the video, ask students to watch for themes from the chapter and textbook, and use this as a basis for analysis and discussion after viewing. List and explain the key, formative influences that create the American political culture. Explain what is meant by a culture war. Explain the meaning of political culture and the presence of shared political ideals in a country of remarkable diversity. Describe the key values and beliefs of the American creed. List and define the five specific beliefs of the American creed. How is equality the basis for each of these beliefs? Evaluate the consequences of American political culture such as limited government and a weak sense of sovereign power. List those policy issues that create the most conflict between religious and secularists in American culture. Compare and contrast modern liberalism and modern conservatism. Distinguish areas where conservatives favor limited government from areas where they favor Copyright © 2011, 2009, 2007 Pearson Education, Inc. All rights reserved.

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government action. Compare and contrast Classical Liberalism with Modern Liberalism. Identify the form that dissent takes in the United States. Define and differentiate fascism, Marxism, communism, and socialism.

¾2.4 Identify the major challenges and alternatives to the dominant political culture • • • • • • • • • • •

Trace trends in income and wealth inequality in twentieth-century America. Show how the different meanings of equality involve dilemmas. Discuss how America has always been a nation of immigrants. Give a brief history of U.S. immigration policy. Discuss the changing nature of the African American and Hispanic population. Discuss the role that civil disobedience played in the civil rights movement. Discuss the challenges diversity presents to the maintenance of shared political ideals. Discuss the political consequences and implications of American political culture. Describe the major challenges and alternatives to the dominant political culture. List and define the four major challenges and alternatives to the American creed. Provide a current example of a group that supports each of these alternative beliefs.

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IV. Student Assignments – Post-Lecture A.

Class Discussion Questions

¾2.1 Define political culture and explain how certain values and beliefs achieve dominance within a society • • • •

How is it that, although many Americans sharply disagree on basic political matters, our nation has generally used the democratic process to resolve disputes? Americans believe in shared values. What additional values do you believe Americans share? Given the statement in the Declaration of Independence that “all men are created equal” and the acceptance of slavery in the Constitution of the United States, how can you justify the Founders’ apparent contradictory statements? Are Americans really divided over political culture? Ask students what the five elements of American political culture—liberty, egalitarianism, individualism, laissez-faire, and populism—suggest about current American politics. (How much liberty? How much equality? etc.) Ask them to listen carefully to each others’ descriptions and make an assessment whether there is consensus in the classroom about these fundamental values.

¾2.2 Illustrate how the key values and beliefs of the American creed shape politics and government today • • • • • • •

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Is there a consensus on the fundamental principles of governance and the values that undergird them? What are these principles? How does this account for the fact that we are divided on issues such as banning books from public libraries and warrantless drug searches? Do you agree with the claim that “Generation Next” is less patriotic than prior generations? Why or why not? How would you describe “the American Dream”? Are the majority of college-age Americans you know liberals or conservatives? Are the majority of the college professors you know liberals or conservatives? “Every person can become president of the United States” is a statement made to most young people in the United States today, and for generations past. How does this statement relate to the ideals and reality of social mobility? Invite students to consider the following question: Do social movements do more harm than good because of their disruptive tactics and the conflict they encourage? By contrast, evaluate this idea: Is American politics so dominated by interest groups that social movements are the only hope for preserving democracy? What conclusions have your students reached with regard to these questions? These topics can be the basis for a stimulating and thought-provoking class discussion. Ask your students whether they think the enactment of the Americans with Disabilities Act (ADA) is the result of a social movement, as the term is used in this chapter. What criteria are they using for the term social movement? Challenge your students to consider the implications—both positive and negative—of federally mandated requirements such as those in the ADA. In addition, students might want to research both the act and its performance, especially given the fanfare surrounding the tenth anniversary of the act on July 25, 2000. Copyright © 2011, 2009, 2007 Pearson Education, Inc. All rights reserved.

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Was it successful, or only partially? Another possible option for discussion could be the Mothers Against Drunk Driving (MADD) and the enactment of the National Minimum Drinking Age Act of 1985. Discuss whether support for democratic and constitutional values comes mainly from the elite in American society. Discuss national health care proposals as manifestations of modern liberalism. Policy decisions affect all Americans. The effect of policy makers’ religious backgrounds on policy decisions is a cause for concern for many in the American population. Have an inclass discussion about this issue. Have students explore their thoughts about the appropriate extent to which decision makers should allow their personal values and religious beliefs to affect the decisions that they make on behalf of the American people. Immigration has been a topic of debate for many countries across the globe. The United States has struggled with this issue since its inception in 1776. There is no doubt that immigrants have contributed much to the fabric of society, and yet Americans worry that their national identity will be compromised by growing numbers of both illegal and legal immigrants, despite evidence which suggests Americans have remained united around core beliefs across time. Have students discuss the core values of the American creed and how those values might be maintained in the face of growing diversity. Historically, Americans have generally tolerated greater limitations on their freedoms during periods of war. Since September 11, 2001, greater limitations have been invoked with the adoption of “The National Strategy for Information Sharing” and “The National Strategy for Homeland Security,” not to mention the “Patriot Act.” Have students discuss the idea of order versus freedom and how these acts have changed the balanced between these two ideas. How is American political culture a mosaic of beliefs?

¾2.3 Evaluate the consequences of American political culture such as limited government and a weak sense of sovereign power • • • • • • • • • •

How would you describe the major differences between contemporary liberals and contemporary conservatives? Can you think of any way that libertarians might expand their political attractiveness to Americans? Discuss the conservative assertion that individuals are the architects of their own misfortune. Discuss whether socialism and democracy are compatible. Ask students to discuss how an ideology simplifies the complexities of life. Vietnam and Watergate contributed to much antigovernment sentiment. What are some sources of current antigovernment sentiment? (Tea Party?) What effect has the recent financial crisis had on Americans’ view of the economy, financial institutions, and political institutions? Discuss how conservatives and liberals have responded to the issue of economic regulation. Argue immigration policies from the perspectives of a conservative and of a liberal. In your opinion, which view is correct? Thomas Jefferson was strongly influenced by liberals of the Enlightenment period. Jefferson is often credited as being the major influence on the development of liberalism in the United

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States. If Jefferson were to review liberalism today, how do you think it would appear to him? Explain differences among political equality, equality of opportunity, and equality of results using government policies as examples. To which political ideological perspective do you think your professor subscribes? Why do you think this? Dissent is an American historical fact. Why is dissent in this country less disruptive than it appears to be in other nations? Discuss how computer technology might be used to produce a “purer” democracy by allowing citizens to vote directly on matters of public policy. Given that dissent is an acceptable form of expression and disagreement in the political culture of the United States, what areas of disagreement exist in this classroom? How will the areas of disagreement be resolved? Is this a practical demonstration of conflict resolution? Why? Why not? An “open” setting should be established to develop lists of dissent. Open discussion among the students (for example, relating to their interviews, or questions about areas of disagreement) can be very stimulating. Resolution is found in the students’ interpretation of the relationship between their experiences and the political scenario, as visible in the daily news. Uneven participation and the role of money and activists impair political equality by giving some people more political influence than others. In what ways might social movements address this problem for less affluent Americans?

¾2.4 Identify the major challenges and alternatives to the dominant political culture • • • •

Does the presence of a dominant or widely shared political culture in fact mean that the majority is dominating minority groups? If all incomes were equalized tomorrow, what economic injustices would still exist? What type of equality could correct them? Argue this statement from the point of view of a legal immigrant: “What should be done about illegal immigration in the United States?” American national identity is based upon the values of the American political culture, which is characterized by respect for individualism, democracy, equality, liberty, private property, and freedom of religion. And yet, activists and protestors often use the American creed as the foundation for their criticisms of American government. Ask students what kinds of ideas they think are “un-American” and explain why they hold that belief.

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Class Activities

¾2.1 Define political culture and explain how certain values and beliefs achieve dominance within a society •

What is the “political culture” of this classroom? Students should create their own list(s) of the classroom culture, emphasizing values and beliefs of the setting. This can be used to demonstrate similarities and dissimilarities associated with any culturally associated group, but the question can be raised to question whether this experience is the same as can be observed about “political culture” as a whole. What are the similarities and differences?

¾2.2 Illustrate how the key values and beliefs of the American creed shape politics and government today •

• •

Why do social movements decline when they realize their goals and objectives? Identify a major social movement's decline and identify the law or legislative act that brought about its decline. In this sense, are social movements self-defeating? Write a brief essay explaining the evolution of social movements from their beginnings to their declines. Write a brief essay describing how one movement's successes provoked a countermovement. What was the political or social issue? What was the role of the federal government? What are the characteristics of social movements? Create a list that compares the characteristics of a nineteenth-century, twentieth-century, and twenty-first-century social movement. In what ways, if any, have social movements changed over time?

¾2.3 Evaluate the consequences of American political culture such as limited government and a weak sense of sovereign power • • • •

Ask each student to write an essay describing his or her ideological views. Arrange students so they are sitting back-to-back. Give each pair of students one issue to argue as you go down the line, one student from a liberal perspective and the other from a conservative point of view. Have students select a liberal and a conservative nationally syndicated newspaper columnist and write a short paper comparing their views on similar issues. Assign students to list the sections of the Declaration of Independence dealing with natural rights and limited government.

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Research Assignments

¾2.1 Define political culture and explain how certain values and beliefs achieve dominance within a society •

Using the U.S. Statistical Abstract (http://www.census.gov/compendia/statab/st_abstracts.html) and state resources, identify any significant immigration patterns that has occurred in your state. State some reasons for this.

¾2.2 Illustrate how the key values and beliefs of the American creed shape politics and government today • • •

•

Assign a short research paper on pragmatism or idealism in current American politics. Find articles in your local newspaper on illegal immigration. Make a list of key complaints in your newspaper regarding government policy and/or the actions of people who have circumvented the routine procedures for entry into the United States. Divide the students into small groups and assign each a social movement (peace, antiVietnam War, women’s, gay and lesbian, religious fundamentalist, anti-globalization, antiIraq War, or Tea Party). Have each group research the movement’s origins, leadership, tactics, accomplishments, and failures, including legislation and court battles. Each group should prepare a 15-20-minute class presentation on their research in which they identify the factors that encouraged the formation of the movement, the tactics used to build and advance the movement’s concerns, and the degree to which the movement brought about social change. As an outside project, have each student ask, without explanation, ten people (including at least three instructors), if they are liberal, middle-of-the-road, or conservative. How do the results in the class as a whole compare to the figures presented in this chapter?

¾2.3 Evaluate the consequences of American political culture such as limited government and a weak sense of sovereign power • • • • •

•

Have students do a book report on Senator Barry Goldwater’s The Conscience of a Conservative. Have students do a paper on John Stuart Mill’s On Liberty. Have students research the current political status and power of the “New Right.” Identify the major challenges and alternatives to the dominant political culture. Have students listen to a Bill O’Reilly or Glenn Beck broadcast on Fox and indicate three views as presented that are at odds with liberal beliefs. Then have them watch a Keith Olbermann or Chris Matthews broadcast on MSNBC and indicate three views at odds with conservative beliefs. To find out what political ideologies students might hold, see these websites and “take the test:” http://www.politicalcompass.org and http://www.ontheissues.org.

× Return to Chapter 2: Table of Contents

V. Quantitative Assessment Administer Chapter Exam (see Test Bank, Chapter 2) × Return to Chapter 2: Table of Contents

VI. Resources for Further Study A.

Books

1. Baradat, L. P. (1991). Political ideologies (4th ed.). Englewood Cliffs: Prentice Hall. 2. Barone, M. (1990). Our country: The shaping of America from Roosevelt to Reagan. New York: Free Press. 3. Boorstin, D. J. (1958, 1965, 1974). The Americans: The colonial experience (3 vols.). New York: Vintage. 4. Brands, H. W. (2001). The strange death of American liberalism. New Haven: Yale University Press. 5. Buckley, W. F., Jr. (2000). Let us talk of many things: The collected speeches. New York: Basic Books. 6. Chafe, W. H. (1999). The unfinished journey (4th ed.). New York: Oxford University Press. 7. Church, F. F. (2002). The American creed: A spiritual and patriotic primer. New York: St. Martin's Press. 8. Cullen, J. (2003). The American dream: A short history of an idea that shaped a nation. New York: Oxford University Press. 9. D’Souza, D. (1991). Liberal education: The politics of race and sex on campus. New York: Free Press. 10. Dolbeare, K., & Medcalf, L. J. (1988). American ideologies today: From neopolitics to new ideas. New York: Random House. 11. Ellis, R. J. (1993). American political cultures. New York: Oxford University Press. 12. Grudin, R. (2006). American vulgar: The politics of manipulation versus the culture of awareness. Emeryville: Shoemaker & Hoard. 13. Hartz, L. (1955). The liberal tradition in America. New York: Harcourt, Brace & Co. 14. Hero, R. E. (1992). Latinos and the U.S. political system. Philadelphia: Temple University Press. 15. Hoover, K. R. (1987). Ideology and political life. Monterey: Brooks/Cole. 16. Huntington, S. P. (1981). American politics: The promise of disharmony. Cambridge: Harvard University Press. Copyright © 2011, 2009, 2007 Pearson Education, Inc. All rights reserved.

17. Lipset, S. M. (1996). American exceptionalism: A double-edged sword. New York: W. W. Norton & Company. 18. Locher, D. A. (2002). Collective behavior. New York: Prentice Hall. 19. McCloskey, H., & Zaller, J. (1984). The American ethos: Public attitudes toward capitalism and democracy. Cambridge: Harvard University Press. 20. Morone, J. A. (1990). The democratic wish: Popular participation and the limits of American government. New York: Basic Books. 21. Phillips, K. (1993). Boiling point: Democrats, republicans, and the decline of middle class prosperity. New York: Random House. 22. Schudson, M. (1999). The good citizen: A history of American civic life. Cambridge: Harvard University Press. 23. Sigelman, L., & Welch, S. (1991). Black Americans’ views of racial inequality: The dream deferred. Cambridge: Cambridge University Press. × Return to Chapter 2: Table of Contents B.

Articles

1. Brooks, D. (1996, Fall). Class politics versus identity politics. The Public Interest . 2. Conover, P. J. (1981, November). The origins and meaning of liberal-conservative selfidentifications. American Journal of Political Science, 21, 617–645. 3. Davalos, A. (1990, January). The traditions behind a socialist world view: Ideology and culture in the history of the Cuban nation. World Marxist Review. 4. DiMaggio, P., Evans, J., & Bryson, B. (1996, November). Have Americans’ social attitudes become more polarized? American Journal of Sociology, 102(3), 690–755. 5. Eckstein, H. (1988, September). A culturalist theory of political change. The American Political Science Review, 82(3) 6. Erikson, R. S., McIver, J. P., & Wright, G. C., Jr. (1987, September). State political culture and public opinion. American Political Science Review, 81(3), 797–814. 7. Ferguson, T., & Rogers, J. (1986, May). The myth of America’s turn to the right. Atlantic Monthly, 257, 45–53.

8. Finbow, R. (1993, December). Ideology and institutions in North America. Canadian Journal of Political Science, 26(4), 671–697. 9. Jacoby, W. G. (1986, May). Levels of conceptualization and reliance in the liberalconservative continuum. Journal of Politics, 48, 423–432. 10. Kincaid, J. (Ed.). (1980, Spring). The study of American political culture and its subcultures. Publius . 11. Latzer, B. (1991, December–January). The hidden conservatism of the state court “revolution”. Judicature, 74(4), 190–197.. 12. Robinson, J. (1984, February–March). The ups and downs and ins and outs of ideology. Public Opinion. 13. Sanders, A. (1989, July). Ideological symbols.” American Politics Quarterly, 14(23), 227– 255. 14. Trees, A. S. (2007, February). The Jay Treaty debate, public opinion, and the evolution of early American political culture. American Historical Review. 15. For articles expressing some of the best current political opinions, consult editions of the following journals, which cover the ideological spectrum from right to left, respectively: National Review, The New Republic, Commentary, The Nation, The Weekly Standard, The American Prospect, The New Yorker. × Return to Chapter 2: Table of Contents C.

Web Resources

1. Afronet Wireless. A leading news, information, and entertainment source with emphasis on the African-American community. http://www.afronet.com/ 2. Christian Coalition of America. Information and links from the nation's most influential Christian conservative organization. http://www.cc.org/ 3. Politico.com. http://www.politico.com/ 4. Real Clear Politics. http://www.realclearpolitics.com/ 5. Salon.com. http://www.salon.com/ 6. Slate. http://www.slate.com/ × Return to Chapter 2: Table of Contents

Integrated Guide to the Text’s Resources (Instructor’s Resource Manual)

Chapter 3 - The Constitution Table of Contents I. Chapter Overview A. Learning Objectives B. Chapter Summary II. Student Assignments – Pre-Lecture III. Lecture Resources A. Lecture Slides B. Additional Lecture Suggestions IV. Student Assignments – Post-Lecture A. Class Discussion Questions B. Class Activities C. Research Assignments V. Quantitative Assessment VI. Resources for Further Study A. Books B. Articles C. Media D. Web Resources

I. Chapter Overview: A.

Learning Objectives

¾3.1 Trace developments from events leading to the American Revolution through problems with the country's first constitution. ¾3.2 Outline the problems the Framers of the Constitution attempted to resolve and the solutions they devised. ¾3.3 Compare and contrast the arguments of Anti-Federalists and Federalists. ¾3.4 Explain the processes of constitutional change. × Return to Chapter 3: Table of Contents B.

Chapter Summary

From Revolution to Constitution Not only was the American Revolution a revolution for independence from Great Britain, it was an ideological revolution regarding the appropriate role of government. Colonists wanted to ensure the survival of liberty through representation, constitutional rights, and sovereignty. When the British imposed a series of tax acts (i.e., Stamp Act (1765), Townshend Act (1767), and the Tea Act (1773)) on the colonists, support for independence from Great Britain grew. With the Declaration of Independence in 1776, Americans turned their attention to creating government institutions that could be put into place once independence was achieved. The Articles of Confederation was the nation’s first attempt at drafting a Constitution. The Articles were supposed to balance the distribution of power between the federal and state governments. However, the Articles proved to be insufficient. They did not provide federal government with enough power and authority over the states. Additionally, the Articles did not provide a framework through which the United States could negotiate or trade with other countries. Finally, if Congress were to declare war, there was no mechanism that would allow for state militias to be organized for such a purpose. Shay’s Rebellion (1786–1787) seemed to embody all that was wrong with the Articles of Confederation. Congress responded to this rebellion by asking states to send delegates to Philadelphia to revise the Articles and make them more effective in national and international affairs. The delegates concluded that instead of revising the Articles, a new set of ground rules needed to be established. The delegates identified four areas that needed to be addressed: 1) overcoming fundamental disputes involving representation; 2) encouraging public input while limiting excessive democracy and concentrated power through election procedures, checks and balances, and separation of powers; 3) protecting property and commerce; and, 4) legitimizing the new system by creating a flexible but stable government. Crafting the Constitution If the Constitutional Convention was to succeed, two issues had to be addressed. The first issue involved the question of how states with different sized populations would be represented Copyright © 2011, 2009, 2007 Pearson Education, Inc. All rights reserved.

in the government, also known as the large state—small state split. Two plans emerged to deal with this issue. The Virginia Plan proposed a two-house legislature with the lower house to be based on population figures and the upper house being selected by the lower house. Large states favored this plan. The New Jersey Plan called for the equal representation of states in a one-house legislature. This plan appealed to the smaller states. Eventually the Great Compromise was reached wherein there would be equal representation in the Senate or upper house, while representation in the lower house would be determined by population. The second issue involved a split between states where slavery was concerned. At the heart of this issue was the question of whether or not slaves counted as part of a state’s population. The Three-fifths Compromise was reached, and under this plan, slaves would count as 3/5 of a person in states where slavery was permitted. The Framers of the Constitution also had to address the issue of how much voice citizens would be allowed to have while trying to avoid excessive democracy. The Framers decided on a republican form of government where people selected representatives that are delegated to make law on their behalf. Citizens would directly elect members of the House of Representatives, whereas the House would elect the members of the Senate, and an Electoral College would elect the President. Finally, in order to address the possibility of concentrated power in one branch of government, the Framers adopted a system of separation of powers and checks and balances so that each branch of government had distinct but overlapping responsibilities. The Framers also had to address concerns involving the protection of commerce and property from governmental control. Several provisions were adopted in the Constitution to achieve these ends. They include: 1) the supremacy clause; 2) the full faith and credit clause; and, 3) the equal privileges and immunities clause. The Battle for Ratification When the Constitution was sent to the states for ratification, battle lines were drawn between those who supported the Constitution (the Federalists) and those who did not (AntiFederalists). The Anti-Federalists argued that the Constitution threatened personal liberty because it created a centralized government distant from the people. The Federalists argued that republican form of government was the best defense for individual liberty. The Bill of Rights was added to the Constitution as a way to address the concerns of the Anti-Federalists. The Bill Rights is the first ten amendments of the Constitution and its focus involves preserving and protecting individual freedoms. In the end, the Constitution was ratified. Amending the Constitution The underlying premise of the amendment process is that any change to the Constitution has to have broad consensus throughout the population. The amending process is a two-stage process. The first stage involves the introduction or proposal of an amendment. The proposal of an amendment occurs at the national level. The second stage is the ratification of the amendment. This occurs at the state level. No amendment will be added unless there is a supermajority at both levels. The Framers hoped that this would ensure that only those amendments with substantial support would be added to the Constitution. As of 2008, more than 10,000 amendments have been proposed but only 27 have been approved at both the Congressional and state levels. Another way in which the Constitution is changed is when judges interpret the text of the Constitution. When the interpretations of the Constitution change, so too does the Copyright © 2011, 2009, 2007 Pearson Education, Inc. All rights reserved.

meaning. × Return to Chapter 3: Table of Contents

II. Student Assignments -- Pre-Lecture A. B. C.

Student Required Reading: Chapter 3 – The Constitution Administer Reading Comprehension Quiz (see Test Bank, Chapter 3) Chapter Test – After your students have completed their reading assignment, go over these questions with your class to identify any areas you should focus on in your lecture.

Chapter Test 1. In what ways did the Articles of Confederation make it difficult for national government to act? 2. How did the Declaration of Independence, the Articles of Confederation, and the Constitution differ in purpose? 3. What were three key problems the Framers sought to address in the Constitution, and what were some of the ways they did so? 4. How would the Framers respond to someone who argued “American government is supposed to be about ‘the will of the people’”? 5. With what provisions does the Constitution attempt to improve relations among the states? 6. What were the major steps the Framers took to protect commerce and property? 7. Would Federalists or Anti-Federalists be more likely to support the idea of having all senators, representatives, and the president serve the same length term and be up for election at the same time, and why? 8. How, in the Federalists’ view, would the Constitution defend liberty? 9. How do the paths to amend the Constitution provide for a high degree of consensus before the document is changed? 10. What are the differences between formal and informal amendments? × Return to Chapter 3: Table of Contents

III. Lecture Resources A.

Lecture Slides

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The basic question we ask in this chapter is “What is the Constitution, and what does it do for citizens?” The chapter begins with a no-permission-required feature about searching without a warrant—delving into the post-9/11 intelligence gathering. The federal government has argued that it has the right to access email messages and records of the locations of cell phone calls. The Constitution constrains the federal government’s ability to do so. This chapter will ask students to explore what the responsibilities of the three branches of government are and how the Constitution informs those discussions.

Chapter 3: The Constitution People have natural, inherent rights that precede any governmental action and written constitutions protect these rights.

Slide 4 After Reading this Chapter, You Should Be Able To: 9 LO 3-1: Trace developments from events leading to the American Revolution through problems with the country’s first constitution. 9 LO 3-2: Outline the problems the framers of the Constitution attempted to resolve and the solutions they devised. 9 LO 3-3: Compare and contrast the arguments of Anti-Federalists and Federalists. 9 LO 3-4: Explain the processes of constitutional change.

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Trace Developments 9The American Revolution changed ideas about governance. 9Colonists rebelled against taxes. 9The Declaration of Independence aimed to build a nation. 9The Articles of Confederation aimed to build a government. 9Frustration with the Articles led to a new Constitution. Copyright © 2011 Pearson Education, Inc. Publishing as Longman

To Learning Objectives

The American Revolution is considered by most historians to be an ideological revolution because it was notably about ideas and philosophy of government. As John Adams said, the “radical change in the principles, opinions, sentiments, and affections of the people was the real American Revolution.” A revolution of ideas was particularly about governing. In the opinions of colonial leaders, those with power were too aggressive and tended to extend their reach beyond legitimate boundaries. The primary victim of this power was liberty, and thus ordinary people had to be vigilant to protect their freedoms. The social contract theories of Locke, discussed in Chapter 1, were very important in this regard; the governed were not bound indefinitely to corrupt political institutions. Parliament argued that colonists were represented even if they did not directly elect those representatives because they were part of the British Empire, and Parliament tended to the interests of the Empire in general. Colonists argued that the job of the representative was to reflect faithfully the opinions of the constituents: a more direct representation. Colonists argued that written constitutions were good because they would mark the boundaries of legitimate government power. Finally, colonists argued that sovereignty could be divided into different levels and into different branches of government.

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Trace Developments 9 The American Revolution changed ideas about governance. 9 Colonists rebelled against taxes. 9 The Declaration of Independence aimed to build a nation. 9 The Articles of Confederation aimed to build a government. 9 Frustration with the Articles led to a new Constitution. Copyright © 2011 Pearson Education, Inc. Publishing as Longman

Taxation Without Representation. Taxes are rarely popular. They are even more unpopular when people believe they have been imposed without fair representation of their point of view. One of the chief debates between the colonists and the British government was over the nature of representation. Actions like the Stamp Act convinced Americans that they had no genuine representation in the British political system.

To Learning Objectives

The immediate catalyst for the revolution was a series of economic and political events; the more prolonged lead up to the revolution was decades of home rule, under which colonists had been out of touch with British rule. When Britain clamped down on the colonies, colonists reacted by protecting their freedom. Two of the most influential groups were New England merchants and Southern planters, who were hurt most by the British tax policies. The British engaged in the French and Indian War, which depleted their treasury. They felt they had subsidized the colonists extensively, so they instituted new policies to extract some new revenue. Stamp Act (1765): required that all legal documents, licenses, commercial contracts, newspapers, and pamphlets obtain a tax stamp. Colonists rebelled and boycotted British goods. Parliament repealed the tax. Declaratory Act: passed to state the right of Parliament to pass laws that are binding on colonists. Townshend Act (1767): suspended the New York legislature because the colony had not complied with quartering soldiers. It also imposed taxes on imports of glass, lead, paint, paper, and tea. Massachusetts refused to implement the taxes and Britain disbanded its legislature in 1768. This led to eighteen months of tension resulting in the Boston Massacre in March 1770; British soldiers killed five colonists. Tea Act (1773): allowed British-controlled East India Company to export its tea to the colonies without paying the tax imposed by the Townshend Acts; thus British tea was less expensive than Dutch tea, which dominated the American market. Tea was like the automobile industry today. Colonists responded with the Boston Tea Party;

Britain demanded compensation for the tea, and Bostonians refused. Britain then imposed the Intolerable Act, which closed Boston’s port, restricted the Massachusetts legislature, quartered troops in private homes, and exempted British officials from trial in Massachusetts. This resulted in the First Continental Congress in 1774, in which twelve of the thirteen colonies wrote a Declaration of Rights and Grievances Slide 8

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Trace Developments 9 The American Revolution changed ideas about governance. 9 Colonists rebelled against taxes. 9 The Declaration of Independence aimed to build a nation. 9 The Articles of Confederation aimed to build a government. 9 Frustration with the Articles led to a new Constitution. Copyright © 2011 Pearson Education, Inc. Publishing as Longman

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Parliament rejected the Declaration of Rights and Grievances and skirmishes broke out in April 1775 in Lexington and Concord, Massachusetts. Thomas Paine wrote and distributed Common Sense and communications between colonies were frequent. The Second Continental Congress met from May 1775 through December 1776 and began by creating an army, issuing money, and establishing diplomatic and trade relations with other nations. They also began to build the justification for revolution and approved the Declaration of Independence on July 4, 1776. Declaration of Independence asserted the rights to life, liberty, and the pursuit of happiness were unalienable. They were also natural rights, and the government was designed to protect them; if government restricted them, then the government should be abolished and replaced. The Declaration also was the first time the colonists considered themselves a nation—Americans rather than colonists. Attention-Getting Violence. The environmental group Earth Liberation Front was believed responsible for this fire and two other house fires on a single night in Seattle in 2008. When groups use violent methods like this, referred to as ecoterrorism, they often gain attention for their cause but also invite a crackdown from government. This was the pattern seen with the Boston Tea Party. These methods are often controversial, even among those who agree with the cause.

To Learning Objectives

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Trace Developments 9 The American Revolution changed ideas about governance. 9 Colonists rebelled against taxes. 9 The Declaration of Independence aimed to build a nation. 9 The Articles of Confederation aimed to build a government. 9 Frustration with the Articles led to a new Constitution. Copyright © 2011 Pearson Education, Inc. Publishing as Longman

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As a government enhances a population’s sense of nationhood, which is essential, it builds a new set of government institutions. The Articles of Confederation were the first constitution of the United States, which based most power in the states, and were approved in November 1777 by the Third Continental Congress. Each former colony was now known as a state and had to ratify the document, which was completed in March 1781. The Articles remained in effect until 1789. The challenge for the Articles was to create a government of the new nation while also respecting the individual states and the fact that most Americans identified themselves as members of states. The new government reflected the colonists’ fear of centralized political power; the central government was based in a Congress with members selected by state legislatures, paid by the states, and able to be recalled and removed from office by state legislatures. Difficulties with this type of government were apparent almost immediately. Congress could not perform the basic necessary functions of government because it was so limited. There was no way to regulate trade with American Indians, no way to regulate trade between states, no way to deal coherently with other countries—states made their own arrangements with other nations. The economy of the new nation was in major trouble, as there was no national currency. All that was wrong culminated in Shays’s Rebellion in 1786–1787—people were thrown off their land for the inability to pay taxes. They seized courthouses and raided a federal arsenal. The national government had no way of intervening, and the state had no permanent militia. The Declaration of Independence. The Declaration was adopted by the Second Continental Congress on July 4, 1776. It was sought to build a sense of national unity. Creating a nation, and the shared goals and sacrifices that go with it, was one contributing factor in the success of the revolutionary effort.

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Trace Developments 9 The American Revolution changed ideas about governance. 9 Colonists rebelled against taxes. 9 The Declaration of Independence aimed to build a nation. 9 The Articles of Confederation aimed to build a government. 9 Frustration with the Articles led to a new Constitution. Copyright © 2011 Pearson Education, Inc. Publishing as Longman

To Learning Objectives

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Shays’s Rebellion sent political shockwaves through the nation—many leaders believed the experiment of limited government was failing. While not everyone agreed as to the seriousness of the situation, they all agreed that change was necessary. First attempt at change happened in 1786, five states met in Maryland at the Annapolis Convention. The delegates approved a resolution to revise the Articles. This resolution, drafted by Alexander Hamilton, called for Congress to send delegates to Philadelphia to deal with the crisis. In May 1787, all states (excepting Rhode Island) sent delegates. They quickly decided to scrap the Articles and write a new Constitution. Courting Trouble. The ability of rebels in western Massachusetts to take control of courthouses, as shown here, was a wake-up call to political and business leaders around the country.

To Learning Objectives

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Britain instituted which of the following to raise revenues? A. Stamp Act B. Townshend Act C. Tea Act D. All of the Above

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Britain instituted which of the following to raise revenues? A. Stamp Act B. Townshend Act C. Tea Act D. All of the Above

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Crafting the Constitution 9Representing 9Encouraging Public Input 9Protecting Property 9Creating Legitimacy 9Providing a Coordinated Approach Copyright © 2011 Pearson Education, Inc. Publishing as Longman

To Learning Objectives

Given strong allegiance to states, the relative influence of the various states arose as an issue immediately. The first split was between the big states and little states, and the second split was between slave states and free states. The large states liked the Virginia Plan, which called for state representation in the national legislature to be based on population. This legislature would then choose an upper house based on lists sent from the state legislatures. The small states responded with the New Jersey Plan, which called for equal state representation in a single chamber legislature. Each side staked out strong stances—but they were open to compromise because the current situation was so tenuous. The Great Compromise was the result. One chamber would be based on population (called a House of Representatives); the other chamber would be based on equal representation of each state (called a Senate). Five states voted in favor, four opposed, two did not vote, and two were not present. While not perfect, it was enough to keep the conversation going. The second split was between states who had slaves and those that did not—once it was decided that population mattered for the House, the question was how slaves would be counted for purposes of representation and for taxation. As there were more free states than slave, the South was disadvantaged in the Senate; since the population of the North was bigger than that of the South, it was also disadvantaged in the House. Southern delegates made it clear this was a makeor-break issue, so the resolution was the ThreeFifths Compromise; each slave counted as 3/5 of a person. This number balanced representation between the North and South.

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One way to help students remember the parts of the Constitution is to give each article a category— then what follows in the article is more easily understood. Make sure to explain each part and why it matters, given the text.

Figure 3-1. Ration of Residents’ Voting Power in U.S. Senate. As a result of the Great Compromise, each state has equal voting power in the Senate. However, because populations differ among states, people who live in states with smaller populations, like Wyoming, effectively have greater voting power per person than people who live in states with large populations, like California. This chart shows the ratio of state residents’ voting power in the Senate, compared to California residents. Equal state representation in the Senate was seen by the Framers as a way to protect the interests of the various states. Students are often not aware of the effect of small states and their disproportionate voting power. Please note that the littlest states get a lot of say in the system we created. People as Property. Delegates from slaveholding states wanted to count slaves toward their state population, to boost their representation in the House of Representatives. Delegates from other states saw this as inconsistent with the usual treatment in slave states of slaves as property, not people. Why, they asked, should these states now benefit from treating slaves as people for the purpose of gaining more representation in the House? The dispute was resolved by the Threefifths Compromise.

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The framers believed that people should have a voice in government, but did not like the direct rule that was found in town meetings in many American towns and cities. They believed the people should influence policy, but that there must be a buffer between the people’s demands and the government’s actions. They created a republic rather than a democracy—a government in which people select representatives to make laws for them. Public officials were selected in staggered terms, which means Americans can never dismiss all government officials at once. And both the Senate and President were selected indirectly—the Senate by state legislatures and the president by an electoral college. Amending the Constitution was difficult so that it would be protected from democratic passions. Each branch of government was given separate yet overlapping functions in order to protect against the effects of excessive democracy: separation of powers. Then each branch had a set of mechanisms through which to monitor the others: checks and balances. The Framers intended the legislature to have the strongest position in American government—but they dispersed power and increased the independence of the other branches in order to diffuse pressure across the three branches. Federalism was designed to provide multiple levels of government with independent ruling authority over certain policy areas. Thus, states check the power of the central authority. Protecting Citizens From Each Other. In one highly publicized Supreme Court decision in the 1990s, the Court concluded that a Florida community’s law against animal sacrifice was explicitly targeted toward restricting the ceremonial religious practice of the Santeria religion. Other forms of animal slaughter for commercial use, private hunting, and other nonreligious uses were exempted in the law. Groups upset with this particular religion used the power of government to restrict the freedom of Santeria’s adherents to practice their religion. The Court struck down the law as oppressive to the rights of the followers of this religion.

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First Among Equals. General Washington’s reputation towered above all others of his generation. As commander in chief of the Revolutionary forces, his remarkable organizational, military, and political skills held the war effort together and led the American troops to victory. He came out of retirement to preside over the Constitutional Convention. There was no doubt among the delegates that he would be selected as the country’s first president.

To Learning Objectives

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Figure 3-2. “Separation of Powers” and “Checks and Balances.” With separation of powers and checks and balances, each branch of government has distinct but overlapping responsibilities. Checks and balances can be difficult to understand. Note the color scheme—you can track the branches through the colors—blue is the President, orange is Congress, and yellow is the Judiciary.

Confirming a Justice. Supreme Court justices are unelected and have lifetime terms, raising issues of democratic accountability. For this reason, both elected branches of government are involved in selecting Supreme Court Justices. President Obama’s nominee, Elena Kagan, appears here before the Senate Judiciary Committee for her confirmation hearing in 2010. What difference, if any, would it make if federal judges served fixed terms rather than lifetime tenure?

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Events like Shays’s Rebellion panicked business people; thus, one chief concern of the Framers was to protect commerce and property from governments. National government has primary regulatory control over commerce and finance. The supremacy clause declared that national laws and treaties would trump state laws and treaties. The full faith and credit clause requires each state to honor other states’ official acts and the equal privileges and immunities clause requires states to treat other states’ citizens like those of their own state. Article VI of the Constitution said that any contract entered into prior to ratification still held after ratification. Fast Forward. Toyota began a recall of nearly 4 million cars in late 2009 to address problems with stuck accelerator pedals. Although technically the recall was voluntary, federal officials at the National Highway Traffic Safety Administration (NHTSA) and legislators in Congress had begun pressuring Toyota to fix the problem. NHTSA had been investigating reports of accidents caused by the defect, and Congress was gearing up for hearings on Toyota’s safety procedures. The federal government’s constitutional power to regulate interstate commerce provided the legal authority for the agency and Congress to act. Framers were also concerned that people believed that the system was legitimate—fair and reasonable. Emphasized the representativeness of the new government: distinct parts of society were represented in each branch and the House was the people’s branch. Emphasized that the new government would not be dominating: it had more power, yes, but was still constrained. They emphasized that elected officials would serve the Constitution, not any single person or group. Emphasized an enduring but flexible framework for government—the document had roots but also could be changed if necessary. The only exception to the rule that Americans believe their differences can be resolved constitutionally is the Civil War—even the Constitution could not heal the division between the North and the South.

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Crafting the Constitution 9Representing 9Encouraging Public Input

Foreign threats to the new government were significant. Britain controlled the territories around the Great Lakes, the tension between Britain and France were escalating, Spain controlled Florida and areas further west, and skirmishes with American Indians were frequent.

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Which was not designed to protect property? A. Supremacy Clause B. Necessary and Proper C. Full Faith and Credit D. Equal Privileges and Immunities

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Which was not designed to protect property? A. Supremacy Clause B. Necessary and Proper C. Full Faith and Credit D. Equal Privileges and Immunities

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Battle for Ratification

9Anti-Federalists 9Federalists 9Change was necessary.

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Battle for Ratification

9Anti-Federalists 9Federalists 9Change was necessary.

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LO 3-3

Battle lines were drawn between those who supported the Constitution (Federalists) and those who opposed it (Anti-Federalists). The central debate was over liberty: What kind of governmental arrangement would best preserve liberty? There is a feature in this chapter that highlights much of this argument. Anti-Federalists like Patrick Henry saw the Constitution as a counterrevolution. Their ideal was the New Jersey Plan—pushing government back to the Articles. Their specific suggestions were to reduce cases Supreme Court could hear, create a council to review all presidential decisions, leave military to state militia, add more members to the House, and add a Bill of Rights. They only won on the Bill of Rights: the first ten amendments to the Constitution, which are focused on preserving individual freedoms. The argument between the two groups was fought in newspaper columns, the most famous of which were the Federalist Papers, written by Alexander Hamilton, James Madison and John Jay. These presented the theoretical underpinnings of the Constitution. Federalist 10 rejected the idea that only small, local governments could help freedom; Madison argued that it is in large republics that freedom is best protected, as that form of government dilutes the power of factions. The larger the nation—the more groups vie for power—the less likely it is that any single faction will dominate. The Reach of Media. National television figures like Glenn Beck express strong opinions and reach viewers coast to coast instantly. Does contemporary communication technology negate James Madison’s arguments about the advantage of a large republic?

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Battle for Ratification

9Anti-Federalists 9Federalists 9Change was necessary.

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Fortunately for the Federalists, public opinion held that change was necessary, Citizens in states voted for delegates to attend state ratifying conventions—nine states needed to approve it for it to be ratified. The first state to ratify was Delaware in 1787, and New Hampshire became the ninth state seven months later in 1788. In 8 states, the Constitution received at least 65 percent of delegates. In the remaining 5, support ran from 51–55 percent. North Carolina voted against but then ratified after the Constitution received the nine states necessary.

LO 3-3

Anti-Federalists successfully added what to the Constitution? A. Reduced Supreme Court Caseload B. More House Members C. Bill of Rights D. Presidential Council

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LO 3-3

Anti-Federalists successfully added what to the Constitution? A. Reduced Supreme Court Caseload B. More House Members C. Bill of Rights D. Presidential Council

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Amending the Constitution 9Broad Societal Acceptance 927 Amendments 9Judicial Interpretation

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Amending the Constitution 9Broad Societal Acceptance 927 Amendments 9Judicial Interpretation

Amending the Constitution was a mechanism added to provide legitimacy to the new government. The introduction of amendments is a national process, whereas ratifying is a state-level process. Supermajorities are necessary for all paths to amendment—supermajority means quite a bit more than half. Two-thirds of the House and two-thirds of the Senate need to approve a proposal to amend, or two-thirds of states have to ask Congress to call a national convention. Three-fourths of the states need to ratify in either state legislatures or state conventions. We have only used the proposal in Congress through ratification by state legislatures for twentysix amendments; the twenty-first amendment was added by approval of state conventions. These paths guarantee that a constitutional amendment have broad societal acceptance— today, thirty-eight states would have to ratify something proposed by two-thirds of both chambers of the Congress. Congress determines how paths will go. Figure 3-3. Paths to Amending the Constitution. The amending process is based on supermajorities at both the proposal and ratification stages. Note here that only the twenty-first amendment went through path C—we have never seen paths B or D, so we don’t know how they would work.

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The chapter has a case study of the twenty-sixth amendment, which is of interest to college students particularly. The fact that there have been only twenty-seven changes since 1789—considering that more than ten thousand proposals have been considered— demonstrates how difficult this process is. Generally, the amendments emphasize the framework of government, the powers of government, the size of the electorate, and the relationship between people and government. The only one that dealt with social policy— prohibition—was repealed.

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This is the full list; it is not in chronological order, but in order of category, which may help students remember the amendments. Go through each category and talk about the different changes that have been made.

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LO 3-4

Amending the Constitution 9Broad Societal Acceptance 927 Amendments 9Judicial Interpretation

Note how many of these failed—also note that many are social issues rather than governmental structure issues. You can draw the parallel that the only social issue ever constitutionalized was prohibition—and it was repealed. Also, note that 45 percent of the amendments to the Constitution happened while the framers were alive, which may suggest that they intended us to try to change it more.

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Although amending the Constitution is very difficult and is very frequently impossible, the nation can have change in other ways. The Supreme Court interprets the Constitution differently at different times, and thus changes the meaning of the Constitution. The difficulty of formally amending the document means we look to the Supreme Court for new interpretations. Plessy v Ferguson (1896) was overturned by Brown v Board of Education (1954). While the amending process changes the text of the document, constitutional interpretation by courts means the text is the same—but read differently.

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Which amendment traveled a unique path? A. 12th Amendment B. 15th Amendment C. 18th Amendment D. 21st Amendment

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Which amendment traveled a unique path? A. 12th Amendment B. 15th Amendment C. 18th Amendment D. 21st Amendment

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Photo Credits

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Additional Lecture Suggestions

¾3.1 Trace developments from events leading to the American Revolution through problems with the country's first constitution • • • • •

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Summarize the dilemma the Framers faced in balancing efficiency and decision making. Explain the trustee model of representation put forth by Edmund Burke. Explain the difference between parliamentary and presidential democracies as a way to further classify governments. Read Jefferson’s specific grievances against George III in the Declaration of Independence. Use the example of seditious libel to discuss the notion that under our constitutional separation of powers, if the legislative branch wanted to punish critics for remarks they made about our government, the legislative branch must enlist the cooperation of the other branches—the executive to prosecute and the judicial to try and convict. Explain how the old Congress under the Articles of Confederation was very different from the new Congress that emerged from the Constitutional Convention. While they remained under British rule, the colonists used colonial assemblies to represent the interest of the citizens before the royal governors. The colonists became increasingly dissatisfied as Parliament imposed new taxes (the “Great Squeeze”) and showed favoritism to royal supporters. The causes of the American Revolution were both financial and ideological. The Great Squeeze and other “taxation without representation” made it difficult for the colonists to prosper. The financial problems, combined with the growing idea of self-rule, resulted in greater animosity toward continued British rule. Violence broke out between the colonists and the British at Lexington and Concord, signaling the beginning of war. To unite opinion on behalf of the revolution, Thomas Jefferson wrote the inspired words of the Declaration of Independence, reflecting the ideas of natural rights and social contract theory set forth by John Locke. Momentum against the British also came from General Washington’s victories, the writings of Thomas Paine, and the French support for the revolution. The first “American” government was formed under the Articles of Confederation (1781). It had a weak central government, with most of the power retained by the states. This arrangement reflected the notion that small, local government is the best way to represent the interest of the citizens, and the reluctance of state governments to give up any power to a higher authority. The Articles of Confederation failed because the national government was too weak. It had no national president, and lacked sufficient power to tax, regulate commerce, or conduct foreign affairs. This weakness was best illustrated by the inability to respond to Shays’s Rebellion in Massachusetts. Did Shays’s Rebellion occur because there were no other pathways for change besides violence? The Massachusetts legislature did not respond to the needs of the poor farmers, while in other states, the interests of the wealthy were often endangered by government policies. Copyright © 2011, 2009, 2007 Pearson Education, Inc. All rights reserved.

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The convention to revise the Articles of Confederation became a movement to discard the old government and design a new constitution. The Virginia Plan and New Jersey Plan were offered as alternative designs for the new government. The Virginia Plan called for three branches of government, and a bicameral legislature with the number of representatives per state based on population. The Great Compromise resolved the debate between the Virginia and New Jersey Plans by creating a bicameral Congress, with representation in the lower house based on population, and equal representation of each state in the upper house. Southern states wanted to include slaves when counting population for representation and taxation, while northern delegates objected, as this would give the South more representation. The result was the Three-Fifths Compromise, in which three-fifths of all slaves would be included in the count. The Sectional Compromise refers to the trade-off that southern economic interests would be protected by guaranteeing that the Atlantic slave trade would be allowed to continue for at least twenty years, while northern commercial interests would be helped by agreeing that only a simple majority vote, not a supermajority, was needed to regulate commerce. Cover the major structural provisions of the Constitution. Separation of powers into three branches of government would prevent a concentration of power in one institution. A system of checks and balances allows each branch to limit the actions of other branches. Representative government protects against a “tyranny by the majority.” Federalism divides power between the state and national levels. Besides these measures to prevent abuse of power by one group or institution, the Constitution allowed for change via the amendment process. Ratification of the Constitution required approval by nine of thirteen states. The Federalists supported ratification, opposed by the anti-Federalists. Identify and explain the significance of the five major documents that laid the foundation for the U.S. Constitution. Explain why written constitutions were significant for the creation of the U.S. Constitution. Discuss how and why the transition was made from the Articles of Confederation to the Constitution of 1789.

¾3.2 Outline the problems the Framers of the Constitution attempted to resolve and the solutions they devised • •

Explain how the concept of judicial review gives the Supreme Court veto power over acts of Congress. What emerged from the Constitutional Convention was a national legislative body with its jurisdiction spelled out in a series of specified or “enumerated” powers, expressed in broad terms. This extended listing of national legislative powers takes on added significance when contrasted with the vastly different proposals advanced, but not adopted, at the Constitutional Convention. At one point the Convention tentatively approved a proposal that the national legislature should have the power “to legislate in all cases for the general interests of the Union, and also in those to which the States are separately incompetent.” Hamilton proposed that the national legislature should have “power to pass all laws which they shall judge Copyright © 2011, 2009, 2007 Pearson Education, Inc. All rights reserved.

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necessary to the common defense and general welfare of the Union.” Review with your class how the distribution of legislative powers in the federal system might have been much different under these proposals. Play devil’s advocate in class. Summarize for your class the Beard thesis on the economic motives of the Framers and present it as a fact. (Charles Beard argued in An Economic Interpretation of the Constitution of the United States that the Framers were motivated mainly by economic self-interest, creating a strong national government to preserve economic order, to force the payment of debts, and to enforce contracts.) Challenge your students to think about whether the motives of public figures are always based on selfinterest, and about whether it is possible for self-interest to be channeled into public good. Review with your class the central tenet of American constitutionalism: that all lawful power derives from the people and must be held in check to preserve their freedom. In the beginning, only a few explicit limitations on the exercise of governmental power were thought necessary. It was generally believed that personal freedom could be more readily secured throughout the decentralization of power rather than by express command. From thinkers such as France’s Baron de Montesquieu, the Framers had derived the notion that centralized power meant tyranny, and human rights could best be preserved by fragmenting power and distributing it to competing factions. In the constitutional model the Framers chose, the separation of powers exists both vertically (federal, state, and local authority) and horizontally (legislative, executive, and judicial branches). The Framers’ goal was that no department, branch, or level of government be allowed to dominate all others. Review The Federalist Nos. 10, 28, 41, 47, and 51. The Constitutional Convention chose not to include a Bill of Rights in the Constitution, generally because of the belief that Congress did not have the powers circumscribed in the Bill of Rights, such as the power to curtail the free exercise of religion. (See The Federalist No. 84.) Those who opposed the Constitution focused on the absence of a Bill of Rights, and many of the leading proponents, such as Jefferson, urged amendment of the Constitution to include a Bill of Rights. The principle of liberty that informed the Declaration of Independence ran contrary to the continued existence of slavery. The Constitutional Convention, however, required political compromise that allowed institutionalized slavery to continue. The compromise on slavery at the Constitutional Convention resulted in an uneasy balance of idealism and practical politics that is still reflected in the American search to reach “perfect” justice and freedom Distinguish government, seen as “the rules of the game,” from politics, the process by which decisions are made. Also explain other basic concepts such as power and authority. Define and distinguish various forms of government: democracy, dictatorship, oligarchy, and pluralism. Explain the difference between a direct democracy, where each citizen has an active part in all decision making, and a republic, where elected officials make decisions for the whole. Also distinguish between totalitarian, authoritarian, and constitutional governments. Discuss the role of compromise between large and small states that led to the Great Compromise. Explain what the small states lost when they accepted the Constitution. Identify the three provisions in the Constitution dealing with slavery. Explain how the structure of the Constitution reflected the Founders’ beliefs in national Copyright © 2011, 2009, 2007 Pearson Education, Inc. All rights reserved.

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supremacy, federalism, republicanism, and separation of powers, checks, and balances. Provide an example in which the federal government exercises supremacy.

¾3.3 Compare and contrast the arguments of Anti-Federalists and Federalists •

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The 1790s saw a debate over the role of average citizens in governance. The election of Jefferson and the Democratic-Republican Party reinforced the notion that the average citizen should have a role in government. This election also represented the first American peaceful change of parties in power. Explain the meaning of the American Revolution, the events leading up to it, and the country’s first constitution. Summarize the major events leading up to the American Revolution. Describe the government established by the Articles of Confederation. Describe the governing problems the Framers of the Constitution attempted to resolve. Explain the major weaknesses of the government established by the Articles of Confederation. Explain the differences between the Federalists and the Anti-federalists. Discuss reasons why the Anti-Federalists opposed the new Constitution.

¾3.4 Explain the processes of constitutional change • •

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James Madison, Alexander Hamilton, and John Jay wrote a series of essays, The Federalist Papers, arguing in favor of ratification. These essays are compelling explanations of how the proposed government would protect against abuse of power. The Anti-Federalists offered two main objections to the proposed Constitution: large governments could not properly represent local interests, and there was no Bill of Rights. The Federalists agreed that if the Constitution was ratified, the first task of the new government would be to adopt a Bill of Rights. This agreement convinced enough people to support the Constitution to bring about ratification. Events after the ratification of the Constitution continued to build the foundations of the American political system. Describe the elements of the Constitution that prevent the concentration of power in one group or institution. Differentiate between the opposing sides in the battle to ratify the Constitution. Explain the process by which the Constitution can be amended. Describe the ways in which amendments to the Constitution can be introduced and ratified.

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IV. Student Assignments – Post-Lecture A.

Class Discussion Questions

¾3.1 Trace developments from events leading to the American Revolution through problems with the country's first constitution • • • •

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What did Ben Franklin mean when he observed that the writing of the Constitution created “A republic, if you can keep it”? How does Locke’s identification of natural law fit with the law and government actions of today? For a discussion question, ask students to interpret the modern meaning of the phrase “life, liberty, and pursuit of happiness.” Using an overhead projector or the blackboard, list the various interpretations and note how many times there is agreement as well as disagreement. For an extended discussion, ask students to compare the goals of the Declaration of Independence, especially the phrases “all men are created equal” and “life, liberty, and the pursuit of happiness” to the goals of the failed Equal Rights Amendment. Ask students to debate whether the goals expressed in each are incompatible or similar. How did the history of American politics before 1787 shape the nature of the Constitution? What were the major areas of agreement and disagreement at the Constitutional Convention of 1787? Ask your students how the Declaration of Independence states that all men being created equal, endowed with inalienable rights, and the Constitution can talk about securing the blessings of liberty, at a time when America was a nation of slaveholders. What were the weaknesses of the Articles of Confederation that led to the need for a new government? What factors encouraged the colonists to support the revolution? What role did Shay’s Rebellion play in the Founding Fathers’ decision to revise the Articles of Confederation?

¾3.2 Outline the problems the Framers of the Constitution attempted to resolve and the solutions they devised •

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If you, as students, were delegates from [the state in which this class is conducted], and without the experience of the past 200 years with the Constitution, which constitutional proposal would you have supported? The Virginia Plan? The New Jersey Plan? The Connecticut Compromise? Why, in any instance? Upon reading Charles Beard’s “An Economic Interpretation of the Constitution,” how do you feel about his conclusions? In your understanding of today, are his conclusions justified? Why? Argue which branch of government should have actual war power. Why? Should this power remain separated? Does separating this power cause any ineffectiveness or danger? Copyright © 2011, 2009, 2007 Pearson Education, Inc. All rights reserved.

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Consider, for the moment, that the Constitution was not ratified and the Articles of Confederation were maintained, though some changes were made. What changes were essential? What kind of government system would we now have? Compare and contrast it to the current European Union. What is the most important item in the U.S. Constitution? Why? To those who argued that federal judges, appointed for life, would not be bound by the Constitution, Alexander Hamilton wrote in The Federalist No. 78 that the judiciary would “be bound down by strict rules and precedents.” Has this proven to be a valid observation? What are the defining characteristics of a constitutional government? What were the most important compromises achieved by the delegates to the Constitutional Convention of 1787? What are the basic principles of government established by the Constitution? What are the three main branches of American government? Why did the Framers believe it was so important to create a “separation of powers”? What is meant by the term “checks and balances”? What is the nature and importance of “judicial review”? What were the most important arguments for and against the ratification of the Constitution? As with the more general question of slavery, the Three-Fifths Compromise raises the dilemma of pragmatism vs. idealism. Slaves had no vote, of course, and were legally designated as property, but were to be counted as three-fifths of a person in determining population size. Cite a current example of checks and balances put to use. Did the system work as it was designed to in your example? If so, how? If not, why? Why didn’t the founders require unanimous agreement from the states for the Constitution to go into effect as the law of the land? How did the Great Compromise uphold the interests of both large and small states? What does each term mean: power, authority, and legitimacy? Explain these terms in the context of a specific government decision (real or hypothetical). What did John Adams mean when he wrote in 1818 that the “radical change in the principles, opinions, sentiments, and affections of the people was the real American Revolution”? How did the Second Continental Congress attempt to use the Declaration of Independence to build a nation? Why did the Founding Fathers decide to replace the Articles of Confederation with the Constitution? How did the Great Compromise and the Three-Fifths Compromise resolve divisions over representation in Congress? How did the composition of the membership of the delegates to the Constitutional Convention explain the provisions dealing with slavery in the constitution? Why did the delegates not use the term slavery in the Constitution? What defects in the Virginia Plan and New Jersey Plan did the Connecticut Compromise resolve?

¾3.3 Compare and contrast the arguments of Anti-Federalists and Federalists •

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For an alternative discussion, ask students why minority rights are important. What type of minorities was Madison concerned about? Are minority rights still important in U.S. politics? Ask students to provide specific historical and contemporary examples of “minorities” seeking to protect their rights. How is the political system structured to “balance” minority and majority rights? What values are served by this balance: efficiency, equality, representation? When are citizens justified in using violence against their government? Was Jefferson right that “The tree of liberty must be refreshed from time to time with the blood of patriots and tyrants”? How much of a role should the average citizen play? Is it enough to vote and then rely on your representative to use his or her own judgment? Is our democracy a democracy in the truest sense of the word? Support your answer. If the Framers wanted to protect the American people from too much government, how well did they do? Why is an active, committed citizenry necessary to make democracy work? What were the anti-Federalists’ main objections to ratifying the Constitution? How did the Federalists overcome these objections? How did the authors of the Federalist Papers address the concerns raised by the Antifederalists?

¾3.4 Explain the processes of constitutional change •

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Start class with the question: “If there were to be a constitutional convention today, what would it look like and how would it differ from the one in the 1780s?” Have students link the changes discussed to demography, ideology, political culture, and other topics discussed in this chapter. Discuss the idea that the Republicans disliked the decision in Marbury v. Madison, not because it sustained the power of the Court to determine the validity of Congressional legislation, but because Jefferson disliked the alleged invasion of his executive prerogative. Discuss judicial review in other nations, such as Great Britain, where the Magna Carta is roughly described as a constitution but where the acts of Parliament are not reviewable. In what areas, if any, might our Constitution be considered outdated today? Are there any of the Bill of Rights or Amendments that do not make sense or that need updating in the twentyfirst century? Why/Why not? Discuss the merits of the argument raised by noted constitutional scholar Erwin Chemerinsky: that for the Constitution to remain a vital and growing document, the Supreme Court must be able to identify and protect previously unrecognized constitutional rights, and that the procedural doctrines created by the current Supreme Court have limited its ability to recognize new constitutional rights. A further explanation of this argument can be found in Trial magazine (November 1990). If judicial review had not been adopted under Marshall, what other means would exist in the United States to determine questions concerning constitutional interpretation? What new amendments to the U. S. Constitution might be appropriate today? Copyright © 2011, 2009, 2007 Pearson Education, Inc. All rights reserved.

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The major thrust of Marshall’s rationale in Marbury Madison is that judicial review does not mean that there is any special judicial guardianship v. of constitutional norms, but rather that it is the courts’ duty to decide cases before them in accordance with the relevant law. Marshall’s justification for his assertion for federal judicial power to interpret and apply the Constitution, though generally accepted, is not conclusive. Critics suggest that the premise of a written Constitution would not be disserved, and the legislative power would be enhanced, if Congress itself were free to judge the constitutionality of its own enactments. Under such a system, the argument goes, courts would simply treat the legislative interpretation as definitive, and thus leave to Congress the task of resolving apparent conflicts between its own statutes and the Constitution. Would such a system be workable? Is such a system clearly prohibited by the Constitution? If the Supreme Court upholds the constitutionality of a federal statute, may the president refuse to enforce it because he believes it to be unconstitutional? May he still refuse to enforce it if the Supreme Court has upheld the constitutionality of the statute? If Congress forbids the president from taking certain action, may he do so on the ground that Congress’ restriction is unconstitutional? Can he still do so after the Supreme Court has upheld its constitutionality? In the opinion of the class, is the “original intent” or “contemporary ratification” philosophy toward the U.S. Constitution more valid? Which of these two theories is more likely to play itself out in today’s political culture? Which justices are most likely to favor original intent? Contemporary ratification? Do presidential Supreme Court nominations play a role in this? If so, which party is more likely to appoint a justice favoring original intent? Contemporary ratification? Is it likely this debate will continue on for the foreseeable future? If so, how will the debate itself change the way the Constitution is interpreted in the future? It often surprises students to learn that Great Britain has no written constitution. Call for class discussion of how democracy can exist in a nation with no written constitution. Broaden the question to include unwritten aspects of the U.S. Constitution. In the modern era of “government in the sunshine,” raise the possibility of a group of distinguished Americans secretly rewriting the Constitution today, especially given the intense scrutiny of the modern media. Thomas Jefferson once advocated that a new Constitution be adopted by every generation so that it belonged to the living rather than the dead. So would you approve of an automatic Constitutional Convention every thirty years? Why or why not? If thirty-year conventions did become the norm, how would the symbolic value of the Constitution be affected? Why does the meaning of the Constitution evolve over time? What is the process through which formal changes to the Constitution are made? How do the Sons of Liberty compare to groups that protest government policies today like the Tea Parties? Theoretically, what’s the best size for a district if the representative is to truly know and represent his or her constituents? Discuss if the students believe whether or not the people have the right to alter or abolish the U.S. government. How can the Constitution be changed? Why did the founders make the process so that it is very difficult to amend the Constitution? How have the constitutional “rules of the game” changed in the past 200 years? What Copyright © 2011, 2009, 2007 Pearson Education, Inc. All rights reserved.

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structural factors have been significant in leading to changes in constitutional rules? Have these changes contributed to a more democratic form of government, or have they increased the dangers of majority tyranny? What methods are in place to protect the transfer of power in the U.S. government? What steps help to prevent violent coups How can judicial interpretation be used to change the meaning of the Constitution?

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Class Activities

¾3.1 Trace developments from events leading to the American Revolution through problems with the country's first constitution •

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For an alternative essay assignment, have the students defend the importance of the Bill of Rights. In particular, they should explain why, if the Bill of Rights was so important, it was not contained in the original Constitution. Finally, ask them if the Bill of Rights would have been more or less powerful had it been included in the original document. Make a list of reasons why the Articles of Confederation failed.

¾3.2 Outline the problems the Framers of the Constitution attempted to resolve and the solutions they devised • • • •

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Ask students to identify which features of the Constitution reflect a distrust of democracy. Who didn’t the Framers trust? Do we have similar beliefs today? One of the central themes of American history is the gradual democratization of the Constitution. Ask your class to evaluate this statement and to either substantiate or refute it. Role-play a new constitutional convention. Assign groups of students to play the various parts. The Constitution establishes the rules of the political game. These rules decentralize power rather than consolidating power in the hands of the executive or the legislature. Ask your students to debate the following questions: Would American government be more efficient if power were concentrated within a single branch of government? Would it be more effective? Reach a consensus in class on which of the Founders contributed “the most” to the early government’s founding and stabilization. Have students debate whether democracy is possible without private ownership of property. Ask students to debate whether property ownership should be a prerequisite for voting. Ask your class to speculate on what might have happened to the American experience if southern delegates to the Constitutional Convention had walked out over the issues of slavery, representation, or commerce. Assign students to be representatives to the Constitutional Convention from different states. Debate the plans for determining representation in Congress, and for including slaves as part of the population. Delegates to the Philadelphia convention were instructed to propose revisions to the Articles of Confederation, but they wrote an entirely new constitution instead. Ask your students to consider what their reactions would be today if a commission or panel were to take similar action in exceeding their authority. You may want to assign a brief persuasive essay in which students take a position on this question. The goal of the student author is to persuade a mythical reader, John or Jane Q. Public, to accept his or her evaluation of the situation. The struggle to ratify the Constitution was intense. The eventual ratification of the Constitution may be partly attributed to the case made by the Federalists. You might divide

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the students in to groups and have them analyze the purpose and importance of the Federalist Papers located in the appendices of Greenberg and Page. DEBATING THE BILL OF RIGHTS Organize the students into two groups. Ask them to pretend they are Constitutional Convention delegates and have them debate the following issue: “Resolved: That the United States Constitution should contain a Bill of Rights.” Those opposing the inclusion of a Bill of Rights should read The Federalist No. 84; those favoring the inclusion of a Bill of Rights should read B. Schwartz, The Bill of Rights: A Documentary History, pp. 435-450. Provide examples of checks and balances in your college or work environments. Analyze whether or not this principle works to achieve its purpose. Although eighteenth-century republican doctrine allowed the common people a larger role in public life than existed in other political systems of the day, the role of the people was to be far more limited than we expect today. Write a brief essay in which you expand on this theme.

¾3.3 Compare and contrast the arguments of Anti-Federalists and Federalists • • •

Have the class read together Federalist No. 51. Discuss how Madison assumes that human nature is self-interested and uses that to determine the best structure for government: “Ambition must be made to counteract ambition.” Is Madison’s assumption correct? Assign students to be Federalists and anti-Federalists and debate the need for a Bill of Rights. Divide students into two groups. One group will provide a supporting argument and the other group will provide a dissenting argument to the following question: Does contemporary communication technology negate James Madison’s assumption that a majority faction would be difficult to organize? Have students debate this question in class.

¾3.4 Explain the processes of constitutional change • •

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Role-play the proposal and adoption of a constitutional amendment. Divide the class into a House of Representatives, Senate, interest groups, a president, and other actors as appropriate. The delegates to the Constitutional Convention constituted an educational and economic elite—they were not the “common man.” Ask your students to consider whether an elite can be representative of people from other strata in society. Expand the question to consider contemporary problems, such as racism and poverty. As a short essay assignment, have the students discuss how they might change the Constitution. What amendments would they change or take out? Are there any amendments they feel need to be added to the Constitution? Role-playing can greatly aid in developing students’ understanding of people and events. In this instance, seek volunteers (perhaps even with the offer of extra credit) to research the backgrounds and character of some of the Founders. Set up a panel of these individuals, and arrange a “press conference” with the rest of the students asking the “Founders” questions concerning past or present. Copyright © 2011, 2009, 2007 Pearson Education, Inc. All rights reserved.

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Compare your state’s constitution to the federal constitution, listing three key differences. Select an extremely controversial topic—national, state, or local—and outline options for the topic’s resolution. Have the students resolve, through discussion, the problem by compromise. This is a fine means of demonstrating the use of civil discourse to problem resolution. First have students make a list of pros and cons of fixed terms and lifetime terms for federal judges. Have students discuss their lists with the class. Then ask students what difference, if any, it would make if federal judges were to serve fixed terms rather than have lifetime tenure. Ask your class to list specific examples of the application of the concepts of separation of powers and checks and balances among the legislative, executive, and judicial branches. Using modern presidencies as a reference, students should evaluate whether the checks and balances designed by the Framers of the Constitution are adequate to prevent the abuse of executive power. Have the students critique both the original Constitution of 1789 and today (with amendments), utilizing the three principles - e.g., popular sovereignty (mechanisms for selection of officials, terms of office, etc.); political equality (voting rights, etc.); and political liberty (personal freedoms, especially in Bill of Rights). How well did/does the Constitution promote these values? Then, after demonstrating that even the revised document of today falls short of democratic ideals, hold a “Class Constitutional Convention” suggesting reforms that would make it more democratic - and have the student-delegates defend their proposed changes on the basis of these principles. Have students propose a constitutional amendment and a strategy for getting it adopted. Have students write a constitution for a democratic country. Have them explain their choices about organization and content.

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Research Assignments

¾3.1 Trace developments from events leading to the American Revolution through problems with the country's first constitution • • •

Have students write a paper about the Articles of Confederation. The classic assignment is to write about the deficiencies of the Articles, however, it could be more challenging to ask them to discuss its positive attributes! Assign students to write a brief summary of the Articles of Confederation. Assign students to read John Locke’s The Second Treatise on Government and to write a report on its influence on the Constitution.

¾3.2 Outline the problems the Framers of the Constitution attempted to resolve and the solutions they devised • •

• • •

Find the written constitution of your state and compare and contrast it to the American Constitution. Take note of the governmental institutions it creates, the functions they perform, and whether or not something comparable to the Bill of Rights is included. Have students write a paper explaining the organization of the Constitution. Among the topics they should cover are: What is the purpose of the Preamble? Why are the Articles in their specific order (i.e. Article I comes first...)? Why are the branches of government dealt with in separate articles? And so on.... Assign students to read and report on a biography of James Madison. Assign students to do a report on various Constitutional Convention proposals that did not make their way into the final Constitution, including why they were defeated. There are several philosophies around the world about the nature of a constitution. Some countries view constitutions as goals to which we should aspire, others consider them to be a “snapshot” of how a system looked at a given time, and others use a constitution primarily as a propaganda instrument. Where does the U.S. Constitution fit in, and what implications does that have for the nature of our political system?

¾3.3 Compare and contrast the arguments of Anti-Federalists and Federalists • • •

Have students compare the views of the Federalists and Anti-Federalists in some detail. Have them read several papers written by each (all are available for free on the Web). Have students summarize The Federalist No. 51. Have your students find copies of three Anti-Federalist Papers on the Web. Ask them to write a short paper or prepare oral presentations about what this country would have looked like had the Anti-Federalists “won” their points in the ratification debate and the writing of the Constitution.

¾3.4 Explain the processes of constitutional change • • • •

•

• •

•

Have students consider one proposed constitutional amendment and then have them write a position paper either for or against that proposed amendment. Research the new Iraqi constitution. What similarities and differences can you identify between it and the U.S. Constitution? Assign students the task of finding contemporary constitutional amendment proposals and ascertaining their political likelihood of being passed by Congress and ratified by the states. STUDYING THE CONSTITUTIONAL AMENDMENTS: Have the students, individually or in groups, prepare reports on some of the constitutional amendments which will not be discussed at length elsewhere in this course, such as the Nineteenth Amendment, the TwentySecond Amendment, the Twenty-Fourth Amendment, and the Twenty-Fifth Amendment. As a library research project, assign each student (or a group of students, if your classes are large) to review a specific provision of the Constitution. Students should be prepared to report in class on how the document has changed and evolved, through both formal and informal means. Give each group some hints or suggestions of ideas to examine; for example, you may want to ask one group to determine to what extent certain constitutional changes deviate from what the Framers intended as republicanism. Have your students use the Internet to find the Constitutions of at least two other democracies and one alternative form of government. Have them compare and contrast these documents and explain either orally or in writing why they are similar or different. Many states have already formally asked for a new Constitutional Convention for a variety of reasons, including issues such as a balanced budget, abortion, and declining morals. If only three or four more make the request, we could have a new convention. Have students research calls for a new convention. Why have certain states requested a convention? Why have others not? They should then discuss who would be chosen as delegates, how they would be chosen, and what the results would be. Remind them to consider the vastly different role of the media in today's society, as well as the size and demographic changes in the country. You can also use this opportunity to help them understand how to evaluate the biases of various Web sites—many of the sites surrounding the need for a new Constitutional Convention have quite obvious biases! Every year, a number of constitutional amendments are proposed by members of Congress. Have students use the Internet to research a number of proposed constitutional amendments and discuss why they have been proposed, what process they need to go through, and what their chances of passage are.

× Return to Chapter 3: Table of Contents

V. Quantitative Assessment Administer Chapter Exam (see Test Bank, Chapter 3) × Return to Chapter 3: Table of Contents

VI. Resources for Further Study A.

Books

1. Ackerman, B. A. (1991). We the People. Cambridge: Harvard University Press. 2. Alinsky, S. (1972). Rules for Radicals: A practical primer for realistic radicals. New York: Random House. 3. Amar, A. R. (2000). The bill of rights: Creation and reconstruction. New Haven: Yale University Press. 4. Amar, A. R. (2006). America's Constitution: A biography. New York: Random House Trade Paperbacks. 5. Bailyn, B. (Ed.). (1993). The debate on the constitution Pt. 1: September 1787–February 1788. New York: Library of America. 6. Barnett, R. E. (2004). Restoring the lost constitution: The presumption of liberty. Princeton: Princeton University Press. 7. Beard, C. A. (1913). An economic interpretation of the constitution of the United States. New York: Macmillan. 8. Becker, C. L. (1942). The declaration of independence: A study in the history of political ideas. New York: Vintage. 9. Bennis, W., & Biederman, P. W. (1997). Organizing genius: The secrets of creative collaboration. Reading: Addison Wesley. 10. Berkin, C. (2003). A brilliant solution: Inventing the American constitution. Orlando: Harcourt. 11. Bok, D. (2001). The trouble with government. Cambridge: Harvard University Press. 12. Bowler, S., & Donovan, T. (2001). Demanding choices: Opinion, voting, and direct democracy. Ann Arbor: University of Michigan Press. 13. Breyer, S. (2006). Active liberty: Interpreting our democratic constitution. New York: Knopf 14. Burns, J. M. (1982). The vineyard of liberty. New York: Knopf. 15. Burns, J. M., & Burns, S. (1991). A people’s charter: The pursuit of rights in America. New York: Knopf.

16. Caplan, R. L. (1988). Constitutional brinksmanship: Amending the constitution by national convention. New York: Oxford University Press. 17. Coles, R. (2000). Lives of moral leadership: Men and women who have made a difference. New York: Random House. 18. Dahl, R. A. (1989). Democracy and its critics. New Haven: Yale University Press. 19. Dahl, R. A. (2002). How democratic is the American constitution? New Haven: Yale University Press. 20. de Tocqueville, A., & Phillips B. (Eds.) (1951). Democracy in America. New York: Knopf. 21. Draper, T. (1996). A struggle for power: The American revolution. New York: Times Books. 22. Edling, M. M. (2008). A revolution in favor of government: Origins of the U.S. Constitution and the making of the American state. Oxford: Oxford University Press. 23. Ellis, J. J. (2000). Founding brothers: The revolutionary generation. New York: Knopf. 24. Epstein, D. F. (1984). The political theory of the federalist. Chicago: University of Chicago Press. 25. Farrand, M. (Ed.). (1966). The records of the federal convention of 1787, 4 vols (rev. ed.). New Haven: Yale University Press. 26. Guinier, L. (1994). The tyranny of the majority: Fundamental fairness in representative democracy. New York: Free Press. 27. Gutzman, K. (2007). The politically incorrect guide(tm) to the constitution. Washington, DC: Regnery Publishing, Inc. 28. Hamilton, A., Jay, J., & Madison, J. (1901). Federalist: A commentary on the constitution of the United States, being a collection of essays. New York: Global Affairs Publishing Company. 29. Hamilton, A., Madison, J., & Jay, J. (1961). The federalist papers. In R. Clinton (Ed.). New York: New American Library. 30. Holton, W. (2007). Unruly Americans and the origins of the constitution. New York: Hill and Wang. 31. Jillson, C. C. (1988). Constitution making: Conflict and consensus in the Federal Convention of 1787. New York: Agathon.

32. Kammen, M. (1987). The machine that would go by itself: The constitution in American culture. New York: Knopf. 33. Kernell, S. (2003). James Madison: The theory and practice of republican government. Stanford: Stanford University Press. 34. Ketcham, R. (Ed.). (1986). The anti-federalist papers and the constitutional convention debates. New York: New American Library. 35. Kyvig. D. E. (1998). Explicit and authentic acts: Amending the U.S. Constitution, 1776– 1995. Lawrence: University Press of Kansas. 36. Levin, D. L. (1999). Representing popular sovereignty: The constitution in American political culture. Albany: State University of New York Press. 37. Levinson, S. (2006). Our undemocratic constitution: Where the constitution goes wrong (and how we the people can correct it). Oxford: Oxford University Press. 38. Levy, L. W. (2001). Origins of the bill of rights. New Haven: Yale University Press. 39. Lipset, S. M. (1963). The first new nation. New York: Basic Books. 40. Maddex, R. L. (2002). The U.S. Constitution A to Z. Washington, DC: Congressional Quarterly Press. 41. Manley, J. F., & Dolbeare K. M. (Eds.). (1987). The case against the constitution. Armonk: M.E. Sharpe. 42. McCullough, D. (2002). John Adams. New York: Simon & Schuster. 43. McDonald, F. (1986). Novus ordo seclurum: The intellectual origins of the constitution. Lawrence: University Press of Kansas. 44. McGuire, R. A. (2003). To form a more perfect union: A new economic interpretation of the United States Constitution. Oxford: Oxford University Press. 45. McLaughlin, A. (2003). The foundations of American constitutionalism. Union: Lawbrook Exchange. 46. Meese, E. (2005). The heritage guide to the constitution. Washington, DC: Regnery Publishing, Inc. 47. Monk, L. (2003). The words we live by: Your annotated guide to the constitution. New York: Hyperion.

48. Morgan, E. S. (1992). The birth of the republic: 1763–89. Chicago: University of Chicago Press. 49. Morris, R. B. (1985). Witnesses at the creation: Hamilton, Madison, Jay and the constitution. New York: Holt, Rinehart, and Winston. 50. Paine, T. (1995). Paine, collected writings: Common sense; the crisis; rights of man; the age of reason; pamphlets, articles and letters. In E. Foner (Ed.). New York: Library of America. 51. Peltason, J. W., & Davis, S. (2000). Understanding the constitution (15th ed.). Belmont: Wadsworth. 52. Peters, W. (1987). A more perfect union: The making of the U.S. Constitution. New York: Crown. 53. Powell, J. (2002). A community built on words: The constitution in history and politics. Chicago: University of Chicago Press. 54. Rakove, J. N. (1997). Original meanings: Politics and ideas in the making of the constitution. New York: Vintage. 55. Riker, W. (1996). The strategy of rhetoric. New Haven: Yale University Press. 56. Rossiter, C. (1966). 1787: The grand convention. New York: Macmillan. 57. Simmons, A. J. (1994). The Lockean theory of rights. Princeton: Princeton University Press. 58. Simon, J. (2002). What kind of nation? Thomas Jefferson, John Marshall, and the epic struggle to create the United States. New York: Simon & Schuster. 59. Stewart, D. O. (2007). The summer of 1787: The men who invented the constitution. New York: Simon & Schuster. 60. Sundquist, J. L. (1986). Constitutional reform and effective government. Washington, DC: Brookings Institution Press. 61. Sunstein, C. R. (2001). Designing democracy: What constitutions do. New York: Oxford University Press. 62. Vile, J. R. (1991). Rewriting the United States Constitution: An examination of proposals from reconstruction to the present. New York: Praeger. 63. Whittington, K. (1981). Constitutional construction: Divided powers and constitutional meaning. Cambridge: Harvard University Press. 64. Wills, G. (1981). Explaining America: The fedralist. Garden City: Doubleday. Copyright © 2011, 2009, 2007 Pearson Education, Inc. All rights reserved.

65. Wood, G. (1969). The creation of the American republic, 1776–1787. Chapel Hill: University of North Carolina Press. 66. Wood, G. S. (2007). Revolutionary characters: What made the founders different. New York: Penguin. × Return to Chapter 3: Table of Contents B.

Articles

1. Appleby, J. (1987, December). The American heritage: The heirs and the disinherited. Journal of American History, 74(3), 798–813. 2. Burns, J. M. (1977, March). Wellsprings of political leadership. American Political Science Review, 71(1), 266–275.. 3. Butterfield, K. (2000, July 4). What you should know about the declaration of Independence. St. Louis Post Dispatch. 4. Chemerinsky, E. (1990, November). Stunting the constitution’s growth. Trial . 5. Corwin, E. S. (1936, December).The constitution as instrument and as symbol.” American Political Science Review,70(6), 1071–1085. 6. Cronin, T. E. (1984, Winter). Thinking and learning about leadership. Presidential Studies Quarterly, 14(1), 22–34. 7. Dahl, R. A. (1977, Spring). On removing certain impediments to democracy in the United States. Political Science Quarterly, 92(1), 1–20. 8. Diamond, A. S. (1981, Summer). A convention for proposing amendments: The constitution’s other method. Publius: The Journal of Federalism, 11(3–4), 113–146. 9. Diamond, M. (1975, Fall). The declaration and the constitution: Liberty, democracy, and the founders. The Public Interest. 10. Edel, W. (1982). Amending the constitution by convention: Myths and realities. State Government, 55. 11. Fisher, L. (2006). The “Unitary Executive”: Ideology Versus the constitution. Conference Paper presented at the Annual Meeting of the American Political Science Association. 1– 17 (AN 26944467). 12. Fishman, N. (1989, October–December). Extending the scope of representative democracy. Political Quarterly . Copyright © 2011, 2009, 2007 Pearson Education, Inc. All rights reserved.

13. Hirst, P. (1988, April–June). Representative democracy and its limits. Political Quarterly, 59(2), 190–205. 14. Jillson, C., & Eubanks, C. L. The political structure of constitution-making: The federal convention of 1789. American Journal of Political Science, 28(3). 15. Liapakis, P. (1995, November). Our oath: Defending the constitution. Trial. 16. Mansfield, H. (1987, Winter). Constitutional government: The soul of modern democracy. The Public Interest, 86, 53–64. 17. Manzer, R. (1996, September). Humes’s constitutionalism and the identity of constitutional democracy. American Political Science Review, 90(3). 18. Olson, K. (2007, April). Paradoxes of constitutional democracy. American Journal of Political Science, 51(2), 330–343. 19. Roche, J. P. (1961, December).The founding fathers: A reform caucus in action. American Political Science Review, 55(4), 799–816. 20. Rossum, R. A. (1999, Summer). The irony of constitutional democracy: Federalism, the Supreme Court, and the Seventeenth Amendment. Preview. San Diego Law Review, 36(3). 21. Sullivan, K. (1995, Fall). Constitutional amendmentitis. American Prospect. 22. Wilson, J. Q. (1979, February). American politics, then and now. Commentary, 66, 39–46. × Return to Chapter 3: Table of Contents C.

Media

1. 1776. (1972) 2. The Bill of Rights: A Living Document. (1997). Cambridge Educational Production. This film explores the complexity of individual rights versus the common good. It is available from Films Media Group. 3. The Constitution: That Delicate Balance. (1984). Columbia University Seminars on Media and Society. A thirteen-part series by Films Incorporated where panelists examine a variety of issues and constitutional interpretations. 4. The Constitution of the United States. (1982). Encyclopedia Britannica Educational Corporation. Film examining the various elements of the Constitution and the fight for ratification. Copyright © 2011, 2009, 2007 Pearson Education, Inc. All rights reserved.

5. Founding Fathers. The History Channel. Good segments on the Declaration of Independence and the Constitutional Convention. 6. John Adams. (2008). HBO Films. An award-nominated HBO miniseries on the life of John Adams and the first fifty years of the United States. 7. John Locke. (2004). Films for the Humanities and Sciences. This film provides a recreation of John Locke’s conversations for an in-depth view of his principles. 8. The Living Constitution. (2002). Insight Media. Examines how changes are made in the Constitution to adapt to changes in technology and the population. 9. The Magna Carta. Films for the Humanities and Sciences. This film examines the origins of the Magna Carta and its contributions to the development of American democracy. 10. Marbury v. Madison. (1977). National Audio Visual Center. Part of an Equal Justice Under Law Series presentation by National Audio Visual Center depicting a dramatic reenactment of this historic case. Available at http://www.archive.org/. 11. The Patriot. (2000) 12. School House Rock. (1973). No More Kings. http://www.youtube.com/watch?v=ofYmhlclqr4&feature=related 13. School House Rock. (1973). Shot heard around the world. http://www.youtube.com/watch?v=7VQA5NDNkUM&feature=related 14. School House Rock. (1973). The Preamble. http://www.youtube.com/watch?v=Q_TXJRZ4CFc&feature=related 15. Thomas Jefferson: The Pursuit of Liberty. Films for the Humanities and Sciences. An awardwinning examination of the philosophy and life of Thomas Jefferson. × Return to Chapter 3: Table of Contents D.

Web Resources

1. Annotated Constitution—An annotation of the Constitution in which each clause is tied to Supreme Court decisions concerning its meaning; done by the Library of Congress. http://www.gpoaccess.gov/constitution/index.html 2. Avalon Project: Notes on the Debates at the Federal Convention. Yale University. http://avalon.law.yale.edu/ 3. Constitution Finder. University of Richmond. http://confinder.richmond.edu/ Copyright © 2011, 2009, 2007 Pearson Education, Inc. All rights reserved.

4. Cornell University site offers the complete text of the Constitution. Must be downloaded. http://www.law.cornell.edu/constitution/constitution.overview.html 5. The text of the Federalist Papers. http://www.law.ou.edu/hist/federalist/ 6. Flag Burning Issue. Web site has information about the constitutional amendment to prohibit flag burning. It’s biased but informative about campaigns to amend the Constitution. http://www.usflag.org/amendment.html 7. The History Net offers a wide range of information about American history. http://www.historynet.com/ah/ 8. Library of Congress. Primary Documents in American History: United States Constitution. http://www.loc.gov/rr/program/bib/ourdocs/Constitution.html 9. Library of Congress. “Web Guides” http://www.loc.gov/rr/program/bib/bibguide.html 10. The Manuscript Division of the Library of Congress offers a wide variety of documents from the fifteenth to twentieth centuries on American history. http://lcweb2.loc.gov/ammem/mcchtml/corhome.html 11. National Archives and Records Administration. Constitution of the United States. http://www.archives.gov/exhibits/charters/constitution.html 12. National Museum of American History offers timelines, virtual exhibits, music, and other information from American history. http://www.americanhistory.si.edu/ 13. Official government site with full text of Constitution early Constitutional documents, the Federalist Papers, amendments proposed but not ratified and more. http://www.house.gov/house/Educate.shtml 14. PBS.org has lots of information about all of American history, including articles on the Founding Fathers, the early national period, the Constitution, etc. http://www.pbs.org/history/history_united.html 15. Thisnation.com. http://www.thisnation.com/ 16. Thomas Jefferson Digital Archive. University of Virginia. http://etext.virginia.edu/jefferson/ 17. University of Louisville site that offers many links on or about the U.S. Constitution, including amendments not ratified and links to constitutions more generally. http://library.louisville.edu/government/goodsources/history/constitution/usconstitution.html

18. The U.S. Constitution Online offers many documents including the Articles of Confederation, Declaration of Independence, and the Constitution and many other links. http://www.usconstitution.net × Return to Chapter 3: Table of Contents

Integrated Guide to the Text’s Resources (Instructor’s Resource Manual)

Chapter 4 - Federalism Table of Contents I. Chapter Overview A. Learning Objectives B. Chapter Summary II. Student Assignments – Pre-Lecture III. Lecture Resources A. Lecture Slides B. Additional Lecture Suggestions IV. Student Assignments – Post-Lecture A. Class Discussion Questions B. Class Activities C. Research Assignments V. Quantitative Assessment VI. Resources for Further Study A. Books B. Articles C. Media D. Web Resources

I. Chapter Overview: A.

Learning Objectives

¾4.1 Show how the Constitution serves as a framework for federalism and why debates remain. ¾4.2 Outline the principles of dual federalism and their basis in the Supreme Court’s traditional understanding of interstate commerce. ¾4.3 Trace the evolution from dual to cooperative federalism and identify methods of cooperative federalism. ¾4.4 Assess the extent and nature of changes in federalism over the past two decades. × Return to Chapter 4: Table of Contents B.

Chapter Summary

The Nature of the Union The debate between Federalists and Anti-Federalists focused on the relationship between the state governments and the national government. Anti-Federalists believed that powerful state governments were more likely to protect individual liberty, while Federalists believed that liberty would be best protected by a strong national government. Federalism ultimately became the choice for the structure of government with the Constitution defining the framework of how federalism works and identifying the areas in which the federal government has supremacy over state governments. Federalism is the middle path between confederation and unitary governmental types. It is a system of government that distributes power between a national government and subnational governments or states. Should the two governments come into conflict, the supremacy clause in the Constitution concludes that national laws overrule state laws. Furthermore, powers delegated to the national government are not available to state governments. The Tenth Amendment states that powers not delegated to the national government nor prohibited to states are reserved for the states. The Constitution also mandates that states must play fairly in the area of state and international relations with the inclusion of three provisions: full faith and credit clause, equal privileges and immunities clause, and the commerce clause. The distribution of power between the state governments and national government has been the source of debate throughout the history of the United States. Sovereignty has been the key point of disagreement. Sovereignty is understood as a government having the ultimate authority to make decisions free from arbitrary external interference. Proponents of limited government prefer the compact theory of federalism. The compact theory asserts that states are sovereign units that have joined together. The Constitution provides a way for these sovereign units to coordinate their joint interests. The compact theory is often referred to as the “states’ rights” position. The nationalist theory, on the other hand, promotes the notion that the Constitution joins the people of the nation together much more so than the bringing together of states. Dual Federalism Two forms of federal-state relations have existed in American history. The first form is dual federalism. The second is known as cooperative federalism. Dual federalism is a form of Copyright © 2011, 2009, 2007 Pearson Education, Inc. All rights reserved.

federalism in which national and state governments have separate and distinct spheres of responsibility and power. It embraces the concepts of dual sovereignty and dual citizenship. Dual sovereignty is the idea that national and state government have sovereignty or control over different policy areas. Dual citizenship implies that people are not only citizens of the United States they are also citizens of the individual states in which they reside. Dual federalism is often characterized as “layer-cake federalism” with one layer of the cake representing the national government and the other representing state governments. Each has its own distinct layer. The relationship between the federal and state governments under dual federalism has been reinforced by the Supreme Court’s interpretation of Congress’s power to regulate interstate commerce in Gibbons v. Ogden (1824), The Sherman Antitrust Act of 1890, and The KeatingOwen Child Labor Act. Cooperative Federalism Cooperative federalism blurs the sharp distinction between national and state governments found in dual federalism. This form of federalism came to prominence in the 1930s. It is often referred to as “marble cake federalism.” Rather than having distinct layers, the marble cake has swirls of vanilla and chocolate cake representing the overlapping responsibilities of state and national governments. The New Deal was one of the reasons behind the transition from dual federalism to cooperative federalism because many of its programs called for greater interference by the national government in private life. Constitutional interpretations by the Supreme Court in cases such as McCulloch v. Maryland (1819) and National Labor Relations Board v. John & Laughlin Steel Corporation (1937) helped redefine the nature federalism. The relationship between the national and state governments under cooperative federalism can take on different forms: collaboration, mandates, and persuasion in the form of fiscal federalism. In this scenario the federal government tends to take on the stronger role in the relationship. Federalism Today Recently, there has been a significant departure from the traditional ways in which federalism has been understood. Congress and the President, with the adoption of devolution or the transfer of authority to states, initiated this departure. Authority over program details and implementation shifted from the federal government to the states in the late 1990s and early 21st century. The Supreme Court also contributed to the changing nature of federalism by reigning in Congress’s use of the commerce clause and reaffirming sovereign immunity for states. Although there has been in shift in the roles and responsibilities under federalism, the federal government has not fully withdrawn. In fact, it has inserted itself into areas that have been historically the venue of states such as: welfare policy, the use of preemption legislation to prohibit state government from taking certain action, the conduct of elections, and education. As the author states, maybe the characterization of federalism needs to move away from the concept of cake to one of a pie. The crust would represent dual federalism and keep cooperative federalism from spilling to outside the Constitutional pan. × Return to Chapter 4: Table of Contents

II. Student Assignments -- Pre-Lecture A. B. C.

Student Required Reading: Chapter 4 – Federalism Administer Reading Comprehension Quiz (see Test Bank, Chapter 4) Chapter Test – After your students have completed their reading assignment, go over these questions with your class to identify any areas you should focus on in your lecture.

Chapter Test 1. What are the main differences between the confederal, unitary, and federal systems of organizing government? 2. How would advocates of the nationalist and compact theory views of American government evaluate the confederal, unitary, and federal systems? 3. What is the difference between dual sovereignty and dual citizenship? 4. What were the main areas of responsibility thought to be distinctively the authority of the federal government and distinctively the authority of the state governments under dual federalism? 5. How did the interpretation of interstate commerce change, and how did this matter for the evolution of federalism? 6. As a federal official, what would influence your decision whether to use a form of collaboration, mandate, or persuasion in dealing with the states? 7. As a governor of a state, how would you rank the forms of federal financial assistance from most to least attractive? 8. In what areas would you argue that states should and should not have a great degree of flexibility rather than following national standards in establishing public policy, and what are your criteria for making those distinctions? 9. What were the main themes of Supreme Court prostate federalism decisions over the past two decades? 10. What are the strongest arguments that there has not been a revolution in federalism? × Return to Chapter 4: Table of Contents

III. Lecture Resources A.

Lecture Slides

Slide 1

Slide 2

The basic question we ask in this chapter is “What is the relationship between the states and between the states and the national government?” The first feature box introduces the most recent exciting federalist issue: gay marriage, which came down to states’ rights. Students will be able to have an accessible conversation about federalism through the lens of this issue. Stress to students that most of the most exciting political issues are ones of federalism—immigration and health care among them. Another feature explores the idea of federalism and the regulation of Amerindian casinos, which is an interesting way to introduce the concepts and theories of federalism and other sovereign nations.

Slide 3

Chapter 4: Federalism A form of government that distributes power across a national government and subnational governments, and that ensures the existence of the subnational governments

Slide 4 After Reading This Chapter, You Should Be Able To: 9 LO 4-1: Show how the Constitution serves as a framework for federalism and why debates remain. 9 LO 4-2: Outline the principles of dual federalism and their basis in the Supreme Court’s traditional understanding of interstate commerce. 9 LO 4-3: Trace the evolution from dual to cooperative federalism and identify methods of cooperative federalism. 9 LO 4-4: Assess the extent and nature of changes in federalism over the last two decades.

Slide 5

LO 4-1

Nature of the Union 9Types of Government 9Intergovernmental Relations 9Balance of National and State Power

To Learning Objectives

The battle between the Anti-Federalists and Federalists was about politics as well as ideals— the type of government formed would be more likely to advance certain types of policies over others. In addition to federalism, there are two other types of ways to organize power between national and subnational governments: Confederal forms of government were preferred by the Anti-Federalists, as they believed state governments could be more easily monitored and controlled by the people. An example of this type of government was enshrined in the Articles of Confederation (discussed in the last chapter). A modern example is the United Nations, which demonstrates the problems with this type of government: UN decisions are often difficult to enforce. Subnational units are competitive with each other and have strong norms of independence. Unitary forms of government were an option rejected by both Anti-Federalists and Federalists. A unitary system entails the national government having all the power, with subnational units determined by the central authority. State governments are unitary systems of government in the United States. Around the world, unitary governments are the norm: France, Great Britain, etc. It would have been difficult to move to a unitary system in 1789, as the states already existed.

Slide 6

LO 4-1

To Learning Objectives

Slide 7

LO 4-1

Nature of the Union 9Types of Government 9Intergovernmental Relations 9Balance of National and State Power

Slide 8

To Learning Objectives

LO 4-1

President Obama addressing the National Governors Association, February 2009: The nation’s governors meet annually to share ideas on education, transportation, budgets, and other issues they share in common. They also discuss the appropriate relationship between national and state levels of government. Governors welcome federal assistance, but worry about too much federal control of their activities.

The framers created something entirely new when they created the Constitution, which chartered a course between confederal and unitary systems: federalism. Federalism distributes power across a national government and subnational governments and guarantees the latter’s existence. Examples of federal systems include Austria, Australia, Canada, Mexico, etc. When the two levels are in conflict, the Supremacy Clause declares that national law trumps state law. The tenth amendment protects states’ rights: reserved powers. The Constitution also requires that states treat each other well: full faith and credit clause, equal privileges and immunities clause, and commerce clause require states to recognize each other. In common parlance, federal government is used to refer to the national government—but it actually includes the entire system. Figure 4-1: This chart nicely sets out the three types of government: unitary, federal, and confederal. Using the examples provided for each, explain to students how each type results in different types of policies.

To Learning Objectives

Slide 9

LO 4-1

Nature of the Union 9Types of Government 9Intergovernmental Relations 9Balance of National and State Power

Slide 10

To Learning Objectives

LO 4-1

To Learning Objectives

Although the Constitution was ratified, disputes over the nature of the system continue to the present day. The first question was how much control the national government has over states. Advocates of a limited national role preferred compact theory, which argues that states did not give up their sovereignty when they ratified the Constitution. This theory was held by Thomas Jefferson and was dominant in the South, where it led to the doctrine of nullification—idea that states could nullify national government laws they disagreed with. This doctrine led to the Civil War. On the other hand was the nationalist theory, dominant in the Northern states, which held that the Constitution intended to be a departure from the limited government of the Articles; the people came together in the Constitution, not a group of states. Alexander Hamilton was a major early proponent of this view. In order to push the national government early, Hamilton proposed that the national government assume the debts of the states incurred in the Revolutionary War. The resolution of this argument resulted in the nation’s capitol being located in the South. A current debate is health care reform—invite students to the debate that is more than 200 years old by looking at this recent issue.

Police Officer checks driver’s license: Should states and cities be responsible for enforcing federal immigration laws? Some states and cities have bristled at the idea. It is illegal under federal law for states and cities to adopt formal sanctuary policies, but many nonetheless prohibit their employees from asking about immigration status or contacting federal officials if they discover someone is not in the United States legally. In 2010, however, Arizona passed a controversial law that supporters said enhanced the enforcement of existing federal immigration law, while opponents said the law made artrary harassment of Hispanics more likely.

Slide 11

LO 4-1

____ government exists today in Great Britain. A. Unitary B. Confederal C. Federal D. None of the Above

To Learning Objectives

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LO 4-1

____ government exists today in Great Britain. A. Unitary B. Confederal C. Federal D. None of the Above

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Dual Federalism 9Separate Sreas of Authority 9 Citizens of a Nation and a State 9 Interpretation of the Commerce Clause

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Dual Federalism 9 Separate Areas of Authority 9Citizens of a Nation and a State 9 Interpretation of the Commerce Clause

Dual federalism is the form of federalism in which the national and state governments have distinct areas of authority and power, and individuals have rights as both citizens of states and citizens of the United States. This type of federalism dominated the United States from the founding through the 1930s. This type of federalism is dependent on the idea of dual sovereignty—that states and the nation each have sovereignty, but over different areas of policy. An example of a state area is police power: protection of public safety, health, welfare, and morality. State constitutions on average are three times as large as the national constitution. Dual citizenship is the idea that an individual is a citizen of both his or her state and the United States—thus, rights and responsibilities vary from state to state. Barron v Baltimore (1833) ruled that the Bill of Rights only applied to citizens of the United States, not citizens of states—therefore states could need not respect these rights.

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Dual Federalism 9 Separate Areas of Authority 9 Citizens of a Nation and a State 9Interpretation of the Commerce Clause

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Mixing oil and water: Due to 2010 oil spill in the Gulf of Mexico, authorities in Escambia County, Florida, issued a health advisory for beach visitors, This action is an example of the “police power” reserved for states under the Constitution. Construction standards and zoning laws are other examples of areas left to the states under their police power.

Your house or our house?: A divided US Supreme Court in 2005 ruled that the city of New London, Connecticut, could constitutionally justify as a “public use” the taking and transfer of property from one private party to another for the purpose of economic development. Susette Kelo’s refusal to sell her house in the city’s Fort Trumbull area led to the lawsuit. In response to the decision, many states passed laws revising the eminent domain laws within their borders to prohibit such transfers of property. Should government be able to take property, with compensation, in order to make the land available to another private entity who promises substantial economic benefits for the community? Interstate commerce has been a central battleground in the federalism war – the Constitution marks out regulation of interstate commerce as coming under federal authority and Gibbons v Ogden (1824) confirmed the national government’s primacy in this area. In 1890, the Sherman Anti-Trust Act won a legislative victory for the national use of the commerce clause. In 1906, the Pure Food and Drug Act gave the federal government the authority to monitory food and drug safety and to ensure labeling was accurate— responsibilities now handled by the Food and Drug Administration. You are what you eat: As part of its authority to regulate commerce, the national government has the authority to require health and safety labeling on food and other products. The information on the label and its formatting are determined be the Food and Drug Administration.

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Which case confirmed the idea of dual citizenship? A. Marbury v Madison B. Gibbons v Ogden C. Barron v Baltimore D. Plessy v Ferguson

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Which case confirmed the idea of dual citizenship? A. Marbury v Madison B. Gibbons v Ogden C. Barron v Baltimore D. Plessy v Ferguson

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LO 4-3

Cooperative Federalism

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Cooperative federalism rose to prominence in the 1930s, blurring the lines between national and state responsibilities. New social welfare programs of the 1930s were jointly financed and administered by national and state governments. Joint administration was important, since local politicians wanted credit for the results. Minimum wage policy is a good case to explain cooperative federalism, as it has been consistently cooperative since the 1930s. States have to abide by minimum federal standards, but states are free to exceed those wages and may establish wages for workers not covered under federal law. Another example is welfare—the 1996 welfare reform act pushed administration down to the states with few guidelines and national limits. Figure 4-2: Note the cooperative federalism here: green states have exceeded the federal minimum wage, blue states are the same, orange states have lower wages for those not covered by federal law, and white states have no state minimum. This allows a federal policy to be administered in terms of what the local governments want.

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Cooperative Federalism

9 20th-Century Changes 9Implied Powers 9 Redefining Interstate Commerce 9 Fiscal Federalism

In order to facilitate the evolution from dual federalism to cooperative federalism, interpretations of the Constitution had to change. One major step was McCulloch v Maryland (1819), in which the Supreme Court ruled that Congress could charter a national bank given the necessary and proper clause—implied powers. The Court also ruled that states could not destroy an entity of the federal government.

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LO 4-3

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Hard times in Michigan: Hoping for better times, unemployed workers line up in the early morning cold. Financing and administering unemployment compensation has been a joint federal and state effort since 1935. States are allowed flexibility in eligibility requirements and benefits.

Workplace safety: The Supreme Court’s 1937 Jones & Laughlin decision opened the door to federal regulation of workplace safety. The Mine Safety Administration conducts inspections to make sure mines are in compliance with health and safety standards. Here, Massey Energy and MSHA officials confer in West Virginia following a mine explosion that killed over two dozen miners in 2010.

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Cooperative Federalism

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Indian Gaming and Federalism: Indian tribes, as a part of American federalism, often need to negotiate with the federal and state governments concerning the nature of the gaming and the share of the proceeds that will go to the state. This profit sharing encourages states to sign the agreements.

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LO 4-3

Cooperative Federalism

It took until 1937 for cooperative federalism to be fully realized in National Labor Relations Board v Jones & Laughlin Steel Corporation (1937), when the Supreme Court ruled that a company that uses any interstate products in its business or sells any product interstate is part of the stream of interstate commerce and is therefore subject to federal regulation. Thus the national government could enforce laws concerning worker safety, environmental controls, health codes, work hours and conditions, and overtime pay. This interpretation is central to the fight over health care—if insurers must provide coverage to individuals with a preexisting condition, then insurers want people to have coverage so people won’t buy coverage after they are diagnosed with cancer. States argue that to force individuals into an interstate commerce situation is unconstitutional.

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The national government implements policy through the states in two broad ways. Federal government can direct states to take action. Mandates – oftentimes with no federal assistance. The Unfunded Mandates Reform Act of 1995 requires congressional committees to get estimates of costs of mandates. A recent example of an unfunded mandate is No Child Left Behind Act. Preemption legislation – federal government declares certain actions off-limits for state governments. For example, the Family Smoking Prevention and Tobacco Control Act of 2009 preempts state laws in tobacco product and warning labels. Federal government can use fiscal persuasion to influence states. Categorical grants – funds appropriated for a specific purpose in the states. These grants can be formula based or competitive; the former is needs based and the latter are by application. Block grants – federal government gives money to states for broad categories of spending:

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Table 4-1: Go through the different tools of federal influence over state governments. using the examples provided to help students understand the relationship.

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transportation, welfare, etc. Make sure to discuss in this area that it is not always about party – Republican governors wanted the stimulus package that Republican Congress members opposed – it is more about what the institutions need. Whose water is it, anyway?: A collaborative program involving 25 agencies of the federal government and California state government, CalFed is an example of cooperative federalism. The effort manages water use and ecosystem protection in the San Francisco Bay/SacramentoSan Joaquin River Delta, the state’s most important source of water for homes, businesses, and farms. Farmers and environmentalists have battled for years over limits on the water that can be pumped from the delta for farm use.

Persuasion through fiscal federalism: In order to receive their full share of federal substance abuse prevention and treatment block grant funds, states have to prohibit tobacco sales to minors. States that do not, or that inadequately enforce the law, can lose up to 40 percent of their block grant funds. Should the federal government put conditions on the receipt of its funds?

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Cooperative Federalism 9 20th-Century Changes 9 Implied Powers 9 Redefining Interstate Commerce 9 Fiscal Federalism 9Problems and Solutions Created

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Figure 4-4: Note which areas of the nation get the most given how much goes in from each region. The south gets far more than it gives, while the northeast gives far more than it gets.

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Figure 4-2: Note that the most is spent on health care, and that health care is an increasing portion of the aid.

The big question is what type of relationship the national and state government should have—if you want more national standards, a high degree of independence in states is not desirable, as one state’s solutions may cause other states problems. Political power matters too, as national politics wax and wane between liberals and conservatives—forcing states that are generally of the other ideological persuasion to do what the national mood dictates can be problematic. One good thing about federalism is that it allows a factions within nation with deep divides to peacefully coexist. It also allows for laboratories for policy change which affect smaller populations; national government can get ideas from the states. States vary in graduation requirements: Setting graduation requirements is a state and local responsibility. In some states, students take highstakes exams that they must pass in order to graduate. States can look to other states to see which requirements produce the best educational graduation requirements at the national level as is common in other countries? Would national requirements be desirable?

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Which of the following is the best for states? A. Categorical Grants B. Partial Preemption C. Unfunded Mandates D. Block Grants

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Which of the following is the best for states? A. Categorical Grants B. Partial Preemption C. Unfunded Mandates D. Block Grants

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Federalism in Flux 9National Officials 9 Supreme Court 9 State Officials 9 Revolution?

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Federalism in Flux 9 National Elected Officials 9Supreme Court 9 State Officials 9 Revolution?

Over the last couple of decades, federalism has evolved. Presidents Bill Clinton and George W. Bush began a shift toward devolution and block grants— transferring authority over program details to the states. Congress has also begun a process of negotiated rulemaking in which federal agencies are required to negotiate with states over the content of federal regulations.

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The Supreme Court has been even more drastic in its change in federalism recently than elected officials. In 1995, the Supreme Court signaled its intent to reign in interstate commerce in United States v Lopez. Another new issue the Court raised was sovereign immunity, in which the Court ruled that the eleventh amendment said that states could not be sued in federal court unless they chose to allow themselves to be sued or Congress made a compelling case that it could override their immunity. This signals a shift back toward the compact theory discussed earlier in this chapter.

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Federalism in Flux 9 National Elected Officials 9 Supreme Court 9State Officials 9 Revolution?

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The real ID provokes real opposition: The requirement that states change their driver’s licenses to match a federal security standard was considered intrusive and expensive by many states. Although a number of states indicated their strong disapproval of the requirement, the state of New York issued its first enhanced driver’s license in 2008. The license can be used instead of a passport for non-air travel to Canada, Mexico, and some Caribbean countries.

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Federalism in Flux 9 National Elected Officials 9 Supreme Court 9 State Officials 9Revolution?

State governments have enacted very diverse legislation in the wake of the federal government easing the reins. States acted sometimes because of their dissatisfaction with national government policies and sometimes because the national government was not paying attention. A good example to explain this is the stem cell research debate of the early twenty-first century—the national government was at odds with state intentions and states did their own thing.

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Guns prohibited near school property: The Supreme Court went nearly 60 years after the Jones & Laughlin decision before objecting to Congress’s use of the commerce clause to justify a law. In 1995, the Court did so, striking down the Gun-Free School Zone Act of 1990. The following year, a new version of the law was passed that, in the view of Congress and the president, provided a stronger justification for the law’s connection to interstate commerce. The new law still stands and has not been challenged in court.

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The textbook says that the media description of the evolution as a revolution is not apt; when we look at the entire range of policies and not just those decisions that were controversial, we see that the federal government remains involved in those areas known for devolution—states can do what they want with welfare, for example, but they cannot eliminate it. Additionally, the Supreme Court has shown itself willing to trim state powers when they arein conflict with federal law. We have not returned to dual federalism, but the tweentieth-cntury cooperative federalism has changed.

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Would you like some highs with that?: In 2000, Colorado voters supported the use of marijuana for medicinal purposes. Medical marijuana shops soon emerged. The US Supreme Court decision in 2005, however, upheld Congress’s power to prohibit the growing and possession of medical marijuana, even for one’s personal use, superseding the Colorado law. The US Justice Department announced in 2009 that it would no longer prosecute the use of medical marijuana in states that allowed it. How aggressive should federal government enforcement be when state laws contradict federal laws?

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___ does not demonstrate states conflicting with national government. A. Embryonic stem cell research B. REAL ID C. Welfare reform D. No Child Left Behind

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___ does not demonstrate states conflicting with national government. A. Embryonic stem cell research B. REAL ID C. Welfare reform

D. No Child Left Behind

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Text and Art Credits

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Photo Credits

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× Return to Chapter 4: Table of Contents

Additional Lecture Suggestions

¾4.1 Show how the Constitution serves as a framework for federalism and why debates remain • •

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The word federalism does not appear in the Constitution. How then is it manifest in that document? It was this question that James Madison, writing as Publius, addressed in Federalist No. 39. THE LIMITS OF FEDERAL POWER The central theme of this lecture is the clashing views of federalism represented in the case of McCulloch v. Maryland. From the outset, the Constitution has been seen as creating a national government of vast, yet limited, legislative powers, powers that must find their support in the Constitution itself. This stems in part from the listing of the powers of Congress in 18 enumerated clauses in Article 1, and then providing in the Tenth Amendment that “powers not delegated to the United States by the Constitution” are “reserved to the States respectively, or to the People.” Article 1 also includes the so-called “necessary and proper clause,” which gave to Congress power “To make all Laws which shall be necessary and proper for carrying into Execution the foregoing Powers, and all other powers vested by this Constitution in the Government of the United States, or in any Department or Officer thereof.” After the Constitution was adopted, the necessary and proper clause and the issue of implied powers were the subject of much dispute between those who favored and those who opposed a strong national government. The contours of the debate were drawn by a 1790–1791 dispute between Thomas Jefferson, then Secretary of State, and Alexander Hamilton, then Secretary of the Treasury, over the constitutionality of the bill creating the First Bank of the United States. Jefferson took the narrow view, that the only powers Congress had were those powers without which the express powers would be nugatory. Hamilton took the broad view, that as long as a power was naturally related to an express power, Congress could use that power. McCulloch v. Maryland involved an 1816 attempt by the Maryland Legislature to impose a tax on the Second Bank of the United States, chartered by Congress. Chief Justice Marshall found the tax unconstitutional, and upheld the power of Congress to charter the bank, authoritatively construing the necessary and proper clause, and thus the basic limits of congressional power: “Let the end be legitimate, let it be within the scope of the Constitution, and all means which are appropriate, which are plainly adapted to that end, which are not prohibited, but consistent with the letter and the spirit of the Constitution are constitutional.” Whether needed or not, the necessary and proper clause has long been, and still is, a useful tool in sustaining congressional legislation. THE ALLOCATION OF POWER This lecture should discuss and compare the allocation of federal power in the Articles of Confederation and the Constitution. First, review that the American federal structure allocates powers between the nation and the states by enumerating powers delegated to the national government and Copyright © 2011, 2009, 2007 Pearson Education, Inc. All rights reserved.

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acknowledging the retention by the states of the remainder. That allocation did not originate at the Constitutional Convention. The Articles of Confederation followed a similar scheme. Second, review Article IX of the Articles of Confederation, and note the acknowledgment of powers retained by the states in Article II of the Articles, asserting that each state retained “every Power, Jurisdiction and Right, which is not by this confederation expressly delegated to the United States.” Note this language is similar to that of the Tenth Amendment. Third, note that the most important grants of power added in the Constitution are the power to levy taxes and the power to regulate interstate and foreign commerce. Fourth, point out that the move from the Articles to the Constitution was not, then, one from a central government of no powers to one with all powers; rather, it was a shift from one with less powers to one with more powers. FEDERALISM OVERVIEW In designing the new government, the founders struggled to create a system in which no one person or small group could exercise excessive power. As you saw in discussing the Constitution, one means to do this was the system of checks and balances that divided power among the three branches of the national government. As an additional safeguard, they designed a system of federalism, with power and responsibility divided between the national government and the states. This “double security” provided another measure to keep the government in check. This topic presents a variety of historical, theoretical, and practical explanations for the founders’ decision to adopt a federal system, and identifies the advantages and disadvantages of federalism. The courts have played an important role in shaping the way federalism works in the United States. The topic shows how the position of the national courts has shifted over time, from upholding a system of “dual” federalism in the early years, to promoting “cooperative” federalism after World War II, and swinging back toward more limited national power and an expansion of state authority in recent years. This topic also addresses the national government’s use of grants to encourage, and in many cases, pressure states to move in certain policy directions. Another financial source of tension is the unfunded mandate, where the national government imposes regulations that result in increased costs for the states. A federal system divides power and responsibility between two levels of government authority. Determining the precise distribution of power between the national and state governments can be difficult, as illustrated by a wide variety of issues. The founders’ decision to create a federal system rather than a unitary government stemmed from a variety of factors: Historical—the colonial roots led to diverse forms of state government Theoretical—the advantage of “double security” Practical—respect for diversity, the “laboratories of democracy,” garnering support for ratification The early years of the republic saw continued conflict over the proper role of each level of government. Chief Justice John Marshall led the Supreme Court to strengthen the power of the national government in McCulloch v. Maryland. The case established the principle of implied powers, Copyright © 2011, 2009, 2007 Pearson Education, Inc. All rights reserved.

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thus widely expanding the powers of Congress, and of national supremacy over the states. However, the reserved powers of the states as written in the Tenth Amendment reinforced the independent powers of the states. The result was the doctrine of dual federalism, with the national and state governments asserting their powers in separate spheres of activity. Dual federalism was called into question with the secession of the southern states and the outbreak of the Civil War. The war demonstrated the failure of the available pathways to reconcile conflict. The post-Civil War amendments (Thirteenth, Fourteenth, and Fifteenth) limited state power and enhanced the strength of the national government. In particular, the due process clause of the Fourteenth Amendment was used to incorporate much of the Bill of Rights so that state governments were bound to observe those protections. The growth of industrialization and urbanization in the following years resulted in problems of urban poverty, leading the national government to pass laws addressing the worst excesses of capitalism. However, the Supreme Court invalidated many of the new laws and other social welfare measures as being too restrictive of business interests. As with the earlier laws, the Supreme Court overturned many of the New Deal programs on the grounds that the government did not have the power to intervene in the economy and place restrictions on business interests. President Roosevelt proposed a court-packing plan to increase the size of the court. Possibly in response to Roosevelt’s plan, the Court shifted slightly and the pendulum began to swing toward greater national power, culminating in the civil rights legislation of the 1960s. The post-New Deal era was marked by cooperative (marble cake) federalism—national and state governments working together to solve problems. This ended the notion of separate spheres of interest for each level of authority, and Americans today are more likely to think of problems as national rather than local issues and look to the national government for action. Cooperative federalism can be messy, with overlapping power and difficulty in determining which level of government should be accountable for action. Describe the wide-ranging impact of the New Deal programs so students will understand the fundamental change in the role of the national government. With President Lyndon Johnson’s Great Society and War on Poverty programs in the 1960s, the national government began extensive use of federal grants to encourage states to carry out federal goals. This “creative federalism” led to an enormous increase in federal money going to state and local governments to combat poverty and racial discrimination. States that did not cooperate were punished by having federal funds withheld. Explain why the relation of cities and counties to a state is not analogous to that of a state to the national government. Try to dispel the common assumption among students that a centralized government means a dictatorial government; explain the connection between federalism and protection against tyranny. Explain why a unitary government was “out of the question” in 1787. Is one still out of the question today? Emphasize that there are limits to Congress’s powers, even if it sometimes seems otherwise. Define “devolution” for the students. Discuss alternatives to federalism. Would another type of system work in America in the twenty-first century? Why, or why not? Differentiate federal, confederal, and unitary systems of government. Differentiate between the enumerated powers of Congress and the implied powers of Congress. Explain the difference between enumerated powers and implied powers. Copyright © 2011, 2009, 2007 Pearson Education, Inc. All rights reserved.

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Give a brief description of the phases of American federalism. List ways that the Court has deferred to the states since 1995. Define and differentiate categorical grants and block grants. List some typical block grants and what they are used for. Explain the difference between grants and unfunded mandates. Describe the Constitution as a framework for federalism. Compare the arguments of decentralists and centralists, in particular in the context of the push of states’ rights in recent decisions by the U.S. Supreme Court, which have emphasized both decentralization for domestic policy and granting greater powers to the national government in areas of national security.

¾4.2 Outline the principles of dual federalism and their basis in the Supreme Court’s traditional understanding of interstate commerce • •

Define the principle of dual federalism, and explain the support for these principles in the Supreme Court’s traditional understanding of interstate commerce. Define the principle of dual federalism.

¾4.3 Trace the evolution from dual to cooperative federalism and identify methods of cooperative federalism • • • • •

Define and give an example of coercive federalism. Indicate one positive result and one negative result of coercive federalism. Explain the evolution from dual to cooperative federalism, the linkage of a new interpretation of the concept of interstate commerce to the rise of cooperative federalism, and the methods and techniques of cooperative federalism. Define cooperative federalism. List and describe the three primary methods and techniques of cooperative federalism.

¾4.4 Assess the extent and nature of changes in federalism over the past two decade •

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Several cases have shown a shift in the Supreme Court’s rulings on federalism cases since the 1990s (United States. v. Lopez; Printz v. United States). The Court has been more willing to limit national power and uphold state power, suggesting that a gradual shift in the balance toward greater state authority may be the trend. Review the Supreme Court’s decision in United States v. Morrison (2000) in which the Court struck down the Violence Against Women Act, holding that gender-motivated crimes did not have a substantial impact on interstate commerce and therefore Congress had exceeded its powers in enacting the law and intruded on the powers of the states. Review the Supreme Court’s decision in Lawrence v. Texas (2003). Discuss the nature of federalism today, after changes initiated by elected officials and the Supreme Court beginning in the 1990s. Define devolution.

IV. Class Discussion Questions A.

Class Discussion Questions

¾4.1 Show how the Constitution serves as a framework for federalism and why debates remain • • • • • • • • • • • • • • •

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The nature of federalism is dynamic. It undergoes changes as changes in the demands of society occur. Have students discuss how the structure and practice of American federalism has changed over the course American history. Have students discuss how the debate over states’ rights versus nationalism relates to current political actors, issues, and conflicts. For class discussion, ask students whether democracy in the U.S. would continue to exist without federalism. If it would, in what ways would it change? How would you define federalism? What are the advantages and disadvantages of a federal system of government? How has American federalism changed in the years since the ratification of the Constitution? What role do the federal courts play in defining the relationship between federal, state, and local governments? What tools does the federal government have for shaping government policies and practices at the state level? What is the relationship between contemporary politics and trends in the size and power of the federal government? What conditions would suggest a federal rather than unitary system is best for a country? (Hint: size, ethnic/racial/religious diversity, historical conditions, etc.) Discuss the meaning of the term “states’ rights” and its connotations. What does the Tenth Amendment mean: “The powers not delegated to the United States by the Constitution, nor prohibited by it to the States, are reserved to the States respectively, or to the people”? Discuss Justice Owen J. Roberts and the “switch in time that saved nine.” Was national action necessary after the Civil War to enforce equal rights in the former Confederate states? Think about the role of the Supreme Court in shaping federalism, beginning with McCulloch v. Maryland. Does the Supreme Court have too much power in determining the appropriate arenas for national and state government to legislate? Who else might make those determinations? Discuss the practice of tying federal highway funds to state adoption of highway speed limits, legal drinking age, and other traffic-related measures. What issues do you think of as local- or state-level problems? President Bush’s administration was heavily criticized for insufficient action in response to Hurricane Katrina, as was President Obama’s administration for the BP oil spill—should local and state governments rely so much on the national level for help? When natural disasters strike a locality, which level of government should respond? How can various levels cooperate to solve problems without a clear, coordinated plan? Copyright © 2011, 2009, 2007 Pearson Education, Inc. All rights reserved.

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Many state governments argue that making federal funds dependent on state cooperation with national goals is “federal blackmail.” Why must the federal government use these financial incentives (and disincentives) instead of simply legislating that states do what the federal government wants? Was devolution effective in returning power to the states? Discuss the problem that with power comes accountability and financial responsibility. States may want power to make policies, but do they want to pay for them? Can it still be said that federalism increases liberty, encourages diversity, and promotes creative experimentation and responsive government? What did Justice Holmes mean with his famous remark: “I do not think the United States would come to an end if we lost our power to declare an Act of Congress void. I do think the Union would be imperiled if we could not make that declaration as to the laws of the several States.” How useful is Marshall’s proclamation in McCulloch that “it is a constitution we are expounding”? Is that more than a truism? Why are states and local governments concerned about federal mandates? The federal government can exercise no powers except those specifically enumerated in the Constitution and such implied powers as are necessary and proper to carry into effect the enumerated powers. But would the courts have reached the same conclusion had the Constitution contained no necessary and proper clause? If so, what purpose, if any, does the necessary and proper clause serve? Between decentralists such as Thomas Jefferson and Ronald Reagan, and centralists such as Abraham Lincoln and Franklin Roosevelt, who has the better argument? Why? What types of decisions are best handled by the federal government? Which are best handled by the states? Which are best handled locally? What impact has each of the following historical developments had on the position of the national government in our federal system? Why? Population growth and the rise of large cities Our attainment of world power status The development of television and jet airplanes The creation of such companies as IBM and General Motors The development of the “electronic superhighway,” the Internet system The debate over same-sex marriage Why would a nation establish a unitary system of government, versus a federal or confederated system? What characteristics can you identify as common for those nations with unitary systems? Confederations? Federal? If it was determined that powers held by the Confederate states pre-Civil War would be returned, could a confederate form of government work successfully to govern the United States today? Nationalizing issues is, today, a commonplace tactic employed by leaders of a variety of interests, from civil rights to health concerns to education standards. What can be gained by such nationalization? Lost? Identify, discuss, and justify political party positions in relation to distribution of power to states or to the national government. Copyright © 2011, 2009, 2007 Pearson Education, Inc. All rights reserved.

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Discuss how the states, as “laboratories of democracy” can settle policy disputes such as the deterrent effect of capital punishment and the utility of mandatory seat belt laws. Discuss whether Congress should have the authority to pass laws simply because they will promote the general welfare, as stated in the Preamble and Article 1 Section 8 of the Constitution. Why should a political system be unitary, federal, or confederal? If the U.S. were to have another constitutional convention, would we keep a federal system or change it? Why or why not? Have students consider the following: "What do you think are the most important federal issues today and why?" Some possibilities include "full faith and credit"—particularly regarding same-sex marriages and tinted windows in cars—the use of the "Commerce Clause," reproductive rights, term limits, child support issues, and many others. Explain three reasons behind the founders’ decision to adopt a federal system. What is the elastic clause, and how does it enhance the power of Congress? In what ways does federalism decentralize politics and policies? How do the supremacy clause and the Tenth Amendment help to define federalism in the U.S.? How does the Constitution define the relationship between the states? What is the difference between the compact theory and the nationalist theory?

¾4.2 Outline the principles of dual federalism and their basis in the Supreme Court’s traditional understanding of interstate commerce • • •

Explain how the conflicting directions of the McCulloch decision and the Tenth Amendment resulted in dual federalism. Is the “No Child Left Behind,” legislation an example of coercive federalism? How have Supreme Court decisions regarding interstate commerce upheld the principle of dual federalism?

¾4.3 Trace the evolution from dual to cooperative federalism and identify methods of cooperative federalism. •

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Ronald Reagan labeled his proposals relative to state and local government as the New Federalism. He pictured millions of Americans as resentful of the idea that “a bureaucratic elite in Washington knows best what is best for people everywhere and that you cannot trust local governments. Local government is the government closest to the people; it is most responsive to the individual person; it is people’s government in a far more intimate way than the government in Washington can ever be.” In what sense can it be argued that government at the local level is closer to and more responsive to the people? Which people? Why don’t all local and state governments tax their people heavily enough to operate their own governments? The national government acquired major control over many social issues, particularly civil rights, in the 1960s. Why? What prompted the changes in that particular era? Copyright © 2011, 2009, 2007 Pearson Education, Inc. All rights reserved.

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Why did the Supreme Court overturn so much federal legislation in the late 1880s and early 1900s and the early 1930s? Was it attempting to protect states’ rights and local power? What arguments did Reagan and other conservatives offer for wanting to reduce the role of the national government? Do you find those arguments convincing? How is dual federalism analogous to a layer cake and cooperative federalism analogous to a marble cake? What are the differences between federal, confederate, and unitary systems of government? How does dual federalism differ from cooperative federalism? What role did interstate commerce play in the rise of cooperative federalism? What role did the Supreme Court’s decision in National Labor Relations Board v. Jones & Laughlin Steel Corporation (1937) play in the rise of cooperative federalism?

¾4.4 Assess the extent and nature of changes in federalism over the past two decades. • •

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Hold an in-class discussion on the following: How would politics and policies be different in America if there were a unitary system instead of a federal system? Or a confederation instead of a federal system? Discuss the role of the federal, state, and local governments in responding to the 9/11 attacks on the World Trade Center in New York City. Should the federal government have done more? Why or why not? Is the funding going where it should? What does this experience illustrate about federal aid? Does federalism retain substantial value in the modern era, or is it an obsolete obstruction which should be abandoned? What are the limits the courts can and should impose to guard against excessive intrusion of national authority into local affairs? Do you believe the transfer of airport security responsibilities to the federal Transportation Services Administration (TSA) from privately provided airport security was in the nation’s best interest in light of future terrorist attacks? Why or why not? Debate/discuss the quote: “All politics is local.” What recent Supreme Court decisions may “revive federalism”? What are some examples of powers and responsibilities that are unique to the states and to the national government? Have students discuss if it is better to leave issues like gun control and capital punishment to individual states. Then, raise the abortion issue and whether it is better left to the states. Discuss the role of the federal courts in regulating federalism. How do the courts function as an “umpire” between the states and the national government? Why do proponents of federalism usually believe in a strong centralized defense for the security of the American people (such as the Department of Homeland Security)? Why is a federal system considered to be a structural feature of American politics? What is the significance or importance of federalism within the framework of the U.S. Constitution, and how does this relate to the first part of this question? Discuss the “vigilante” border patrols along the Arizona, California and Texas borders with Mexico. Do their actions follow a legitimate pathway? Discuss how the South Dakota law banning all abortions except those to protect the life of the mother is likely to lead to the court-centered pathway. Copyright © 2011, 2009, 2007 Pearson Education, Inc. All rights reserved.

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How has American federalism changed in the years since the ratification of the Constitution? What role has the Supreme Court played in redefining federalism since the early 1990s? What role have the states played in redefining federalism since the early 1990s?

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Class Activities

¾4.1 Show how the Constitution serves as a framework for federalism and why debates remain • • • • •

• • •

• • • • •

Ask your students to describe the constitutional obligations that states have to each other and how this fits into the theme of federalism. It will be helpful if you encourage the class to review Article IV of the Constitution in preparation for this discussion. Ask your students to debate the question of which level of government—local or national—is closer to the people. Which is more accountable and responsible to the public? Students should be expected to cite concrete examples in defending their points of view. Examine the federally mandated drinking age of twenty-one as a case study in federalism. Discuss the methods the federal government used to obtain compliance with this law, and evaluate the implications of these methods for federalism. Have students debate the following question: Should states and cities be responsible for enforcing federal immigration laws? Have students evaluate and formulate an opinion about the following scenario: In order to receive their full share of federal substance abuse prevention and treatment block grant funds, states have to prohibit tobacco sales to minors. States that do not, or that inadequately enforce the law, can lose up to 40% of their block grant funds. Should the federal government put conditions on the receipt of its funds? Assign two groups of students to serve as panels to debate the following question: Does the American form of federalism increase democracy, or does it have a negative effect on democracy? Divide students into groups and have a debate on unitary versus federal government for the United States today. What might be different today if the founders had chosen to establish a unitary government? Try to identify all of the governments that have authority and policymaking responsibilities in your area, from the federal and state governments to the various types of local government. At the same time, identify the types of public policies for which they are responsible. Briefly discuss your impressions of the federal system from your own vantage point. Indicate whether or not you found what you expected, based on your understanding of the American federal system. Have the students make a list of the delegated powers of the national government. Have students compile a list of some of the specific powers the states exercise concurrently with the national government. Have students analyze the current split on the U.S. Supreme Court vis-à-vis federalism issues. These students could role-play the Court’s Justices regarding their individual views on federal-state relationships. Stage a meeting (or several meetings) of the Supreme Court for oral arguments on an issue of federalism currently in the news. Assign nine justices, a solicitor general, and an attorney for the plaintiff. Hold a meeting of the editorial board of Publius: The Journal of Federalism. Have the board discuss what the table of contents should look like for this year's "State of Federalism" issue. What issues should it address, what trends can one discern, etc.? Copyright © 2011, 2009, 2007 Pearson Education, Inc. All rights reserved.

•

• •

Hold a meeting of the National Governors’ Association. Assign each member of the class to a role as one of the governors (be sure to cover some large states, some small states, and all regions of the country). Have members of the class research the individual governors and stage a discussion about how the federal government has too much power in the current system and in what areas the states might want to reassert power. Dividing the class into three groups, assign each group responsibility for defending: (a) federal systems, (b) unitary systems, (c) confederate forms of government. There are always local quests for funding for some projects. In view of the current quest in your area, create a “brainstorming” session in which students will seek more appropriate funds for the current local need. Be sure to require students to not only to support their proposals, but to find cause(s) for rejecting others proposals. Establish a student debate concerning the topic, “Should states have ‘supreme authority of law’ during natural disasters and be able to command federal resources as they see fit, or should the federal government remain the supreme authority?” Identify the various types of federal grants. Which types do states prefer? Why?

¾4.2 Outline the principles of dual federalism and their basis in the Supreme Court’s traditional understanding of interstate commerce •

•

Ask students to brainstorm and develop a short list of the major domestic policy controversies or problems in American politics. Divide students into two groups: cooperative and dual federalists. Have each group describe how the problem might be addressed in its system of federalism and report back to the whole class on its solution(s). Encourage discussion, critique, and debate of each group’s ideas. Argue for removing federal government control in favor of states’ rights on a specific issue of importance.

¾4.3 Trace the evolution from dual to cooperative federalism and identify methods of cooperative federalism •

Have students compare enforcement of the major civil rights legislation of the 1960s and 1970s to the enforcement of the Thirteenth, Fourteenth, and Fifteenth Amendments during Reconstruction and later periods. What tools did the national government use to enforce those provisions in each era?

¾4.4 Assess the extent and nature of changes in federalism over the past two decades • •

•

Imagine that you are charged with responsibility for funding a new series of grants to local governments. What projects would you immediately implement? Where would the controls on the project originate? Why? Have students create lists, on the board, both in support for nationalization of issues and for reacquisition of states’ rights. Have the class reach a consensus on the value (e.g., 1–10 points) of each point on each list. Which issue(s) finally has consensus, in points, regarding support for power in the federal system? Ask students to brainstorm and develop a short list of the major domestic policy controversies or problems in American politics. Divide students into two groups: cooperative Copyright © 2011, 2009, 2007 Pearson Education, Inc. All rights reserved.

•

and dual federalists. Have each group describe how the problem might be addressed in its system of federalism and report back to the whole class on its solution(s). Encourage discussion, critique, and debate of each group’s ideas. Ask your students to evaluate the federal response to the BP oil spill. (You may wish to assign additional articles to supplement this chapter’s introductory comments.) The response was largely viewed as a massive failur. Is this a fair assessment? If so, who or what institutions are to blame? How much responsibility should the states and BP assume, and how much should the national government assume? What should be their respective roles? Should the different levels of government react differently than they would in response to the loss of homes or businesses during a national crisis? Conservatives generally support a return of power and responsibility to the states. Liberals wish to maintain the strong role of the national government. Have students write an essay in which they present and defend both the liberal and the conservative analyses of American federalism. Assign students to select some other federal system and describe its distribution of power.

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Research Assignments

¾4.1 Show how the Constitution serves as a framework for federalism and why debates remain • •

Ask students to study the budgets of the local school system, university, or city to determine the various proportions of revenue that the federal, state, and local governments contribute. Would the school district, university, or city benefit from a change in how it is funded? Assign students either individually or in groups to investigate the funding sources of a “local” project, encouraging them to use sources such as government documents, interviews with elected and appointed officials, and newspaper archives. Who was responsible for the project being funded? Were there any “strings” attached to federal or state monies?

¾4.4 Assess the extent and nature of changes in federalism over the past two decades •

•

States frequently argue that federal grant money is not distributed fairly. Assign students to gather data on the amount of grant money each state has received for the past five years, either in total or for specific programs. Have them compare data, looking for factors that would explain the differences: population size, poverty levels, business interest, leadership positions of congressional delegation, etc. Each year, Publius: The Journal of Federalism has a special issue on the state of federalism in the United States. Have students read the current year's issue and write papers on the issues discussed therein or check out special issues on federalism in other countries for comparative purposes. Use the example of the Office of Homeland Security to illustrate the issue of intergovernmental relations and coordination between different levels of government following the September 11, 2001 terrorist attacks. You could even have students research this office and its relations with federal, state, and local law enforcement agencies. Would a unitary system be more effective at combating terrorism? Alternatively, have them research the issue of airport security and come to class prepared to argue about which level of government would best provide it. Cutting back on unfunded mandates was one of the main promises in the Republicans’ 1994 Contract with America. Ask students to assess both the positive and negative effects of such mandates. Students should address factors such as expense, which citizens should legitimately bear the costs of government programs, and effects of local actions (such as sanitation) on neighboring areas. The Northern victory in the Civil War decisively established that the Union was indissoluble. Ask your students to contrast our views toward the nature of the United States as an “indissoluble union” with our views toward the right of new countries to secede from existing countries in the 1990s, as Croatia and Bosnia did from Yugoslavia. Ask for volunteers to look up articles in weekly news journals to see how these events were described at the time they were unfolding. Assign students to work in groups on different policy areas (e.g., transportation, agriculture, environment, welfare) by researching President Obama’s most recent budget proposals. What types of grant programs are proposed for distributing funds to states and localities? Are the nature and funding levels of these programs different from Bush’s budget in 2007? Copyright © 2011, 2009, 2007 Pearson Education, Inc. All rights reserved.

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•

Although there are no neat boundaries that separate federalism from other systems such as unitary systems and confederations, there are observable patterns in the types of countries that have had federal systems. As an exercise in critical thinking, write a concise essay that would help another student understand the patterns or differences that distinguish basically federal systems from those that are essentially unitary. Make a list of all state and local programs that you think include some involvement of federal money. Look through the front pages of your local newspaper for ideas on local programs, and review a major newspaper from a large city in your state to get ideas on state projects. Make your list as extensive as possible, then compare it to the lists compiled by two or three other students in your class. What similarities and differences do you find? Search online for other examples of environmental cleanups that involved multiple levels of government. In Google or another search engine, type in “ADA unfunded mandate” and gather information on the cost to states of implementing the Americans with Disabilities Act. Using Publius' special issues on the state of federalism, have students look at how the issues and problems of federalism remain the same or change under Republican and Democratic administrations. For example, assign one article from the Reagan administration and one from Bush (43) administration, along with one article each from the Clinton and Carter administrations. Assign each student a nation of the world, and have each deliver a presentation on his or her nation’s form of government to the class. (If there is time, this can be an individual oral project, but if not, it can be accomplished in a “round-table” setting during a single class period.) If your students have access to the Internet, send them to the home page of the state of their choice. Ask them to find a good example of how that particular state is working with the federal government to accomplish a policy goal. You may want them to share this information in small groups or as through oral presentations. Have students research something their state government does that surrounding states do not do and have them advocate that idea’s adoption at the federal level for all states. Contact your regional government (county level) and find out how much of the annual budget is targeted for “unfunded mandates” from the federal government. How much disposable tax revenue does this leave your regional government and what do they fund with this? Write up your findings. Have students conduct interviews of public administrators who are responsible for intergovernmental implementation of policy at the local level (e.g., school principals, teachers, Medicaid administrators, public assistance caseworkers, emergency first responders). Students should ask questions about the nature of the relationships among national, state, and local government agencies, paying special attention to how implementation at the local level is impacted by federal regulations, mandates, budgeting, etc. Ask students to prepare an organizational chart and/or policy process chart depicting intergovernmental implementation in their policy area. Additionally, you might have students present their interviewee(s) with a poster or pamphlet describing the process; local agencies can use these materials when training new workers or communicating with the press or public. Discuss the importance of one justice in setting a direction for the Court on a specific issue by examining Justice O’Connor’s record on federalism and states’ rights cases. Copyright © 2011, 2009, 2007 Pearson Education, Inc. All rights reserved.

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•

Devolution began with the Reagan Era and continued in 1995 with the new Republican majority in Congress. Assess the activities, and the successes and failures. Where should credit and/or blame be placed for the issues of your assessment(s)? Review the background of key Supreme Court decisions from 1999 to the present that relate to the federal-state relationship (see page 50 of the text for a few starting points). Have students read “It’s Not About Federalism #14: Gay Marriage” from the Brennan Center for Justice at NYC School of Law (http://www.brennancenter.org/page/-/d/inaf_14.pdf). Have students debate whether legal recognition of gay marriages should be determined by the states or by the national government. Search the Catalog of Federal Domestic Assistance (CFDA) for announcements about grants available to state and local governments (http://www.cfda.gov/). Choose an announcement that has clear application guidelines. Divide students into groups and ask them to take on the role of a state or local public administrator applying for the grant. Ask students to summarize the purpose of the grant, the application process, the nature of the grant funding (e.g., formula, matching, etc.), and the criteria for judging applications. Have students discuss the need for the program in question as well as the complexity of grant applications in a federal system.

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V. Quantitative Assessment Administer Chapter Exam (see Test Bank, Chapter 4) × Return to Chapter 4: Table of Contents

VI. Resources for Further Study A.

Books

1. Anton, T. (1989). American federalism and public policy. Philadelphia: Temple University Press. 2. Baier, G. (2007). Courts and federalism: Judicial doctrine in the United States, Australia, and Canada. Vancouver: University of British Columbia Press. 3. Beer, S. H. (1993). To make a nation: The rediscovery of American federalism. Cambridge: Belknap Press of Harvard University Press. 4. Berger, R. (1987). Federalism: The founders design. Norman: University of Oklahoma Press. 5. Berman, D. (2003). Local governments and the states: Autonomy, politics, and policy. Armonk: M.E. Sharpe. 6. Burgess, M. (2006). Comparative federalism: Theory and practice. London: Routledge. 7. Butler, H. N. (1996). Using federalism to improve environmental policy (AEI studies in regulation and federalism). Washington, DC: American Enterprise Institute Press. 8. Cornell, S. (1999). The other founders: Anti-federalism and the dissenting tradition in America, 1788–1828. Chapel Hill: University of North Carolina Press. 9. Council of State Governments. (1992). The Book of the States, 1992–1993. Lexington: Council of State Governments. 10. Council of State Governments (2004). The Book of the States. Lexington: Council of State Governments. 11. Derthick, M. N. (2001). Keeping the compound republic: Essays on American federalism. Washington, DC: Brookings Institution Press. 12. Doernberg, D. (2005). Sovereign immunity and/or the rule of law: The new federalism. Durham: Carolina Academic Press. 13. Donahue, J. (1997). Disunited states. New York: Basic Books. 14. Dye, T. R. (1990). American federalism: Competition among governments. Lexington: Lexington Books. 15. Elazar, D. J. (1984). American federalism: A view from the states. (3rd ed.). New York: Harper & Row. Copyright © 2011, 2009, 2007 Pearson Education, Inc. All rights reserved.

16. Elazar, D. J. (1987). Exploring federalism. Tuscaloosa: University of Alabama Press. 17. Elkins, S., & McKitrick, E. (1995). The age of federalism: The early American republic, 1788–1800. New York: Oxford University Press. 18. Epstein, L., &. Walker, T. G. (2004). Constitutional law for a changing America: Institutional powers and constraints (5th ed.). Washington, DC: Congressional Quarterly Press. 19. Ferejohn, J., & Weingast, B. (1998). The new federalism: Can the states be trusted? Stanford: Hoover Institute Press. 20. Gerston, L. N. (2007). American federalism: A concise introduction. Armonk: M.E. Sharpe. 21. Gore, A. (1993). From red tape to results—creating a government that works better and costs less. Washington, DC: U.S. Government Printing Office. 22. Grodzins, M. (1984). The American system: A new view of government in the United States. In D. J. Elazar (Ed.). New Brunswick: Transaction Books. 23. Hamilton, C., & Wells, D. T. (1990). Federalism, power, and political economy: A new theory of federalism's impact on American life. Englewood Cliffs: Prentice Hall. 24. Karmis, D. (2005). Theories of federalism: A reader. London: Palgrave Macmillan. 25. Kettl, D. H. (2004). System under stress: Homeland security and American politics. Washington, DC: Congressional Quarterly Press. 26. McDonald, F. (2001). States’ rights and the union. Lawrence: University Press of Kansas. 27. Miller, L. L. (2008). The perils of federalism: Race, poverty and the politics of crime control. Oxford: Oxford University Press. 28. Nagel, R. F. (2002). The implosion of American federalism. Oxford: Oxford University Press. 29. Noonan, J. T., Jr. (2002). Narrowing the nation’s power: The Supreme Court sides with the states. Berkeley: University of California Press. 30. O'Toole, L. J., Jr. (Ed.). (2000). American intergovernmental relations (3rd ed.). Washington, DC: Congressional Quarterly Press. 31. Peterson, P. E. (1995). The price of federalism. Washington, DC: Brookings Institution Press. 32. Posner, P. L., & Conlan, T. J. (2007). Intergovernmental management for the 21st century. Washington, DC: Brookings Institution Press. Copyright © 2011, 2009, 2007 Pearson Education, Inc. All rights reserved.

33. Posner, P. L. (1998). The politics of unfunded mandates: Whither federalism. Washington, DC: Georgetown University Press. . 34. Remington, M. C. (2002). Federalism and the Constitution: Limits on Congressional power and significant events, 1776–2000. Huntington: Novinka Books 35. Riker, W. H. (1964). Federalism: Origin, operation, significance. Boston: Little, Brown. 36. Skowronek, S. (1982). Building a new American state: The expansion of national administrative capacities, 1877–1920. Cambridge: Cambridge University Press. 37. Stanley, H. W., & Niemi, R. (1998). Vital statistics in American politics (6th ed.). Washington, DC: Congressional Quarterly Press. 38. Tarr, G. A., Williams, R. F., & Marko, J. (Eds.). (2004). Federalism, subnational Constitutions, and minority rights. Westport: Praeger. 39. Ter-Minassina, T. (1997). Fiscal federalism in theory and practice. Washington, DC: International Monetary Fund. 40. Twight, C. (2002). Dependent on D.C.: The rise of federal control over ordinary lives. New York: Palgrave. 41. Walker, D. B. (2000). The rebirth of federalism. New York: Chatham House Publishers. 42. Winston, P. (2002). Welfare policymaking in the States: The devil in devolution. Washington, DC: Georgetown University Press. 43. Wright, D. (1998). Understanding intergovernmental relations (3rd ed.). Pacific Grove: Brooks/Cole. 44. Zimmerman, J. F. (1992). Contemporary American federalism: The growth of national power. New York: Praeger. 45. Zimmerman, J. F. (2002). Interstate Cooperation: Compacts and Administrative Agreements. Westport: Praeger. × Return to Chapter 4: Table of Contents B.

Articles

1. Abrahamson, S. S., & Gutmann, D. S. (1987, August–September). The new federalism: State constitutions and state courts. Judicature, 71(2), 88–99. 2. Chubb, J. E. (1985, December). The political economy of federalism. American Political Science Review, 79(4), 994–1015. Copyright © 2011, 2009, 2007 Pearson Education, Inc. All rights reserved.

3. Conlan, T. J. (1991, Summer). And the beat goes on: Intergovernmental management and preemption in an era of deregulation. Publius . 4. Derthick, M. (2008, November 12) American federalism: Half-full or half-empty? Brookings Institute. Retrieved from http://www.brookings.edu/articles/2000/winter_governance_derthick.aspx. 5. Dinan, J. (2008, Summer). The state of American federalism 2007–2008: Resurgent state influence in the national policy process and continued state policy innovation. Publius, 38(3), 381–415. 6. Feldmeler, J. P. (1995, Fall). Federalism and full faith and credit: Must states recognize out of state same-sex marriages? Publius, 25(4), 107–126. 7. Galie, P. J. (1987, August–September). State supreme courts, judicial federalism and the other constitutions. Judicature, 71(100). 8. Krane, D. (1993, June). American federalism, state governments, and public policy: Weaving together loose theoretical threads. PS: Political Science & Politics, 26, 186–190. 9. MacManus, S. A. (1991, Summer). Mad about mandates: The issue of who should pay for what resurfaces in the 1990s. Publius, 21, 59–75. 10. O’Brien, D. (1989, September–October). Federalism as a metaphor in the constitutional politics of public administration. Public Administration Review, 49(5), 411–419. 11. Pagano, M. A., Bowman, A. O., & Kincaid, J. (1991, Summer). The state of American federalism-1990–91. Publius, 21, 1–26. 12. Peterson, P. E., & Mark Rom. (1989, September). American federalism, welfare policy, and residential choices. American Political Science Review. Publius: The Journal of Federalism. Oxford University Press. 13. Purcell, E. A. (2005–2006). Evolving understandings of American federalism: Some shifting parameters. New York Law School Law Review, 50(3). 14. Waisanen, B. (1996, Fall). Demographic federalism: Defining the new federal-state relationship. Spectrum, 69(4), 53–57. 15. Walker, D. B. (1996, May–June). The advent of an ambiguous federalism and the emergence of New Federalism III. Public Administration Review, 56(3), 271–280. 16. Zimmerman, J. F. (1991, Winter). Federal preemption under Reagan’s new federalism. Publius: The Journal of Federalism, 21, 7–28. Copyright © 2011, 2009, 2007 Pearson Education, Inc. All rights reserved.

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Media

1. Federalism. (1989). Insight Media. Part of Government by Consent: A National Perspective. This film examines the distribution of power between state and national governments. 2. Federalism: The National Government Versus the States. (1984). Columbia University Seminars on Media and Society. Number thirteen in the series “The Constitution: That Delicate Balance,” produced by the Corporation for Public Broadcasting. This program examines how much power the federal government can exert over state affairs. 3. Mississippi Burning. (film/fiction–1988). Conflict between federal and local authorities during investigation of murder of civil rights workers in 1964. 4. Murder in the First. (film/fiction–1995). Portrays the story of a petty criminal in 1930s Alcatraz prison, and depicts the beginning of the federalization of criminal law. × Return to Chapter 4: Table of Contents D.

Web Resources

1. The American Enterprise Institute’s Federalism Project offers conservative analysis on federal issues, publications, working papers, and links. http://www.federalismproject.org/ 2. The website of the Council of State Governments provides information and news about each of the states. http://www.csg.org 3. The Federalism Project. The American Enterprise Institute. http://www.federalismproject.org/ 4. The Federalist Society: For Law and Public Policy Studies offers many resources and publications on the current study of modern and past federalism on a great variety of issues in the U.S. http://www.fed-soc.org/ 5. The General Services Administration gives you the ability to search for information on hundreds of federal grants. http://www.gsa.gov/ 6. “History of U.S. Federalism.” http://www.cas.sc.edu/poli/courses/scgov/History_of_Federalism.htm 7. Legal Information Institute of Cornell University offers a list of important Supreme Court decisions about federalism with links to the official texts. http://www.law.cornell.edu/ 8. The Library of Congress offers an online version of The Federalist Papers. http://thomas.loc.gov/home/histdox/fedpapers.html Copyright © 2011, 2009, 2007 Pearson Education, Inc. All rights reserved.

9. National Center for State Courts. Links to the home pages of the court systems of each of the states. http://www.ncsconline.org/ 10. National Conference of State Legislature. Information about state governments and federal relations, including the distribution of federal revenues and expenditures in the states. http://www.ncsl.org/ 11. National Council of State Legislators site offers analyses and information on intergovernmental relations. http://geodatapolicy.wordpress.com/2010/01/05/is-a-nationalgis-on-the-map/ 12. NGA Online. The National Governors' Council is a nonpartisan organization that looks at solving state-focused problems and provides information on state innovations and practices. The Web site has stories and articles of interest to the states and provides links to similar issues and organizations. http://www.nga.org/ 13. Publius: The Journal of Federalism offers academic articles on federal issues in the U.S. and abroad. It publishes periodic special issues on the state of federalism in the U.S. http://publius.oxfordjournals.org/ 14. State Constitutions. A site where the constitutions of all the states may be found. http://www.findlaw.com/ 15. Stateline.org. http://www.stateline.org/ 16. The U.S. Supreme Court online. You can find information about current and past Supreme Court cases and biographical information about the justices on this site. http://www.oyez.org/oyez/frontpage 17. The Urban Institute has a publication called “Assessing the New Federalism,” as well as other information on related topics. http://www.urban.org/center/anf/index.cfm × Return to Chapter 4: Table of Contents

Integrated Guide to the Text’s Resources (Instructor’s Resource Manual)

Chapter 5 - Civil Liberties Table of Contents I. Chapter Overview A. Learning Objectives B. Chapter Summary II. Student Assignments – Pre-Lecture III. Lecture Resources A. Lecture Slides B. Additional Lecture Suggestions IV. Student Assignments – Post-Lecture A. Class Discussion Questions B. Class Activities C. Research Assignments V. Quantitative Assessment VI. Resources for Further Study A. Books B. Articles C. Media D. Web Resources

I. Chapter Overview: A.

Learning Objectives

¾5.1 Define the civil liberties guaranteed by the Constitution and trace the process by which they became binding on state governments. ¾5.2 Analyze the different standards by which the Supreme Court has determined whether restrictions on freedom of speech are acceptable. ¾5.3 Evaluate how the Supreme Court has interpreted cases regarding religion and how Congress has reacted to the Court’s actions. ¾5.4 Trace the expansion of the rights of the accused and their balance with the needs of police and prosecutors. ¾5.5 Explain how the Ninth and Fourteenth Amendments have helped to establish rights other than those specifically listed in the Constitution. × Return to Chapter 5: Table of Contents B.

Chapter Summary

Civil Liberties in American Politics and the Constitution Civil liberties are those individual rights that government is obligated to protect. These rights are considered inalienable rights. In other words, they are not granted or given to citizens by government and therefore, should not be interfered with by government. Civil rights are protected by the Constitution of the United States. But should the government have to restrict those rights, it does so with due process. The Constitution safeguards civil liberties in several ways. First, they are guaranteed in the first ten amendments or the Bill of Rights. The two main areas of civil rights protection in the Bill of Rights are freedom of expression and the rights of the accused. Protection is also achieved in the articles, for example through the separation of powers, the system of checks and balances, federalism and limited government. Originally the Bill of Rights was only applied to the national government. Eventually, the Supreme Court interpreted the Bill of Rights as limiting the actions of state governments. The Fourteenth Amendment served as the major impetus behind this change. The Bill of Rights was incorporated into the Fourteenth Amendment and thus became binding on states. This process began gradually with certain protections in the Bill of Rights being applied to states, for example, freedom of speech and compensation for property when it was taken for public use. While many of the protections are now applicable to states, there are several protections that have not been incorporated and therefore are not binding on states. The most notable is Second Amendment or the right to keep and bear arms. While nationalization has compelled states to accept certain guarantees in the Bill of Rights, denationalization has allowed some variation in the exercise of those rights from one state to the next. Fundamental rights are enforced similarly from state to state. Qualified rights are dealt with in a much more flexible manner.

Freedom of Speech Freedom of speech is the most prized of all civil liberties in the United States. It is the hallmark of American political culture. Over time, the Supreme Court has expanded free speech to cases where that speech might lead to illegal acts. However, there are two types of actions the government can use to limit speech. The first is referred to as prior restraint. Prior restraint prevents certain speech from being expressed by requiring some type of governmental clearance. Near v. Minnesota (1931) and the New York Times v. United States (1971) were pivotal cases related to prior restraint. The second way in which speech may be limited is through the standard of presumed reasonableness. This standard was adopted by the Supreme Court to deal with cases of criminal speech by shifting the burden of proof to those who objected to the standard. The standard, in essence, promoted the idea that government restrictions on speech were constitutional. The reasonableness standard was replaced by the clear and present danger standard in 1919. This standard asserted if speech brought about clear and present danger such that prohibited actions would occur, then that speech could be considered a criminal act. In the 1950s and 1960s, the Supreme Court turned to the gravity of the danger standard. This standard evaluated whether the outcome of speech was sufficiently evil to require restrictions. Over time, the protection of free speech has grown stronger with the abandonment of the gravity of danger standard. The Supreme Court has endorsed the idea that the First Amendment has a preferred position or predominates over the other amendments. As such, restrictions on free speech should be done narrowly and reluctantly. However, there are restrictions of speech that the Court upholds. These include: “fighting words,” defamation, commercial speech, student speech by minors, and obscenity. Freedom of Religion The First Amendment sets out the basic principles regarding freedom of religion. The Constitution’s religious freedom guarantee is twofold. The establishment clause prevents government from establishing an official religion, giving one religion preferential treatment over another, or promoting religion over non-religion. Cases involving the establishment clause are decided using the three-prong Lemon test. The second guarantee is encompassed in the free exercise clause that prohibits government from interfering with an individual’s practice of religion. The Supreme Court has employed the neutrality standard to decide cases involving the free exercise clause. Rights of the Accused The protections of the Bill of Rights were designed to minimize the threat of excessiveness in the areas of police behavior, prosecution and processes related to trials. However, the Supreme Court has established additional guidelines to safeguard the rights of the accused through their interpretation of the articles and amendments of the Constitution. Not only does the Constitution protect defendants during the investigative process, it provides protection during the trial phase. For instance, the Fourth Amendment protects individuals from unreasonable search and seizure. The exclusionary rule prohibits the introduction of evidence gathered during illegal searches into trial. The Miranda warning informs suspects of their rights. Government also has the obligation to provided counsel to suspects and defendants. However, over the past few decades, the Supreme Court has afforded police more leeway in their investigations. Copyright © 2011, 2009, 2007 Pearson Education, Inc. All rights reserved.

Discovering New Rights That Are Protected by the Constitution The scope of civil rights has been expanded through nationalization and denationalization. It has also been expanded through the interpretation of the Supreme Court, especially in terms of the Ninth and Fourteenth Amendments. The most far-reaching of these new-found rights, in terms of its social impact, is the right to privacy. Although not explicitly stated in the Constitution, the right to privacy has transformed the laws concerning birth control, abortion and same-sex relationships. Substantive due process is the other way in which new rights have been discovered. × Return to Chapter 5: Table of Contents

II. Student Assignments – Pre-Lecture A. B. C.

Student Required Reading: Chapter 5 – Civil Liberties Administer Reading Comprehension Quiz (see Test Bank, Chapter 5) Chapter Test – After your students have completed their reading assignment, go over these questions with your class to identify any areas you should focus on in your lecture.

Chapter Test 1. How did selective incorporation change the impact of the Bill of Rights on American government and society? 2. Why was the Fourteenth Amendment so significant? 3. How did the Supreme Court compare the significance and the likelihood of a particular danger when it applied the gravity of the danger standard? 4. What difference does it make for individuals challenging a government law or action that the Supreme Court now uses the preferred position standard rather than the bad tendency standard in free speech cases? 5. If you were on the Supreme Court, how would you apply the three prongs of the Lemon test to a challenge to the faith-based initiative begun by President Bush and continued by President Obama? 6. How do the balancing and neutrality standards in religious practice cases differ? 7. What were the responses in the legislative and judicial causal chain reaction that occurred after the Supreme Court adopted the neutrality standard? 8. With the exclusionary rule, how has the Supreme Court attempted to balance the individual rights of defendants with the community’s interest, through police and prosecutors, in combating crime? 9. How has the Supreme Court’s view changed on whether and when capital punishment is potentially cruel and unusual? 10. Why did the Supreme Court determine that Americans had a constitutional right to privacy despite that term not appearing explicitly in the Constitution, and what are some of the major issue areas affected by this right? × Return to Chapter 5: Table of Contents

III. Lecture Resources A.

Lecture Slides

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The Declaration of Independence makes eight references to “rights”—which is a word that occurs more frequently than any other word, including people and equality. Stress to students the importance of individual rights to the political psychology of America. The opening feature deals with the freedom of speech of corporations, based on President Barack Obama’s criticism of the Supreme Court’s decision to allow corporations to spend freely to support or endorse candidates. This is a good way to engage the students in a conversation about what freedom of speech is; it is controversial and recent.

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Chapter 5: Civil Liberties Individual rights and freedoms that government is obliged to protect, normally by not interfering in the exercise of these rights and freedoms

Slide 4 After Reading This Chapter, You Should Be Able To: 9 LO 5-1: Define the civil liberties guaranteed by the Constitution and trace the process by which they became binding on state governments. 9 LO 5-2: Analyze the different standards by which the Supreme Court has determined whether restrictions on freedom of speech are acceptable. 9 LO 5-3: Evaluate how the Supreme Court has interpreted cases regarding religion and how Congress has reacted to the Court’s decisions. 9 LO 5-4: Trace the expansion of the rights of the accused and their balance with the needs of police and prosecutors. 9 LO 5-5: Explain how the 9th and 14th amendments have helped to establish rights other than those specifically listed in the Constitution. Copyright © 2011 Pearson Education, Inc. Publishing as Longman

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Civil Liberties in America 9Government should not interfere. 9Constitution 9Bill of Rights 9Nationalization of the Bill of Rights

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Civil liberties are the name we give to individual rights; there are very few words more important to Americans’ understanding of their political system than “rights.” Civil liberties are those rights that the government protects by getting out of the way. Civil liberties are the places where government does not go: speech, worship, political action, press, etc. The judiciary is the branch which generally decides the extent to which civil liberties are protected—causal chain reactions happen. Sometimes Americans are okay with limits on civil liberties in the name of public safety, order, or some important societal goal. But government can only restrict civil liberties by using due process; procedural safeguards protect the individual. Table 5-1: Number of references to Rights in the Republican and Democratic Party Platforms, 2008.

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Civil Liberties in America 9 Government should not interfere. 9Constitution 9 Bill of Rights 9 Nationalization of the Bill of Rights

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While Americans usually think first of the Bill of Rights when thinking of civil liberties, there are actually protections in the original document. The framers considered separation of powers, checks and balances, federalism, and limited government to be protections of freedom. The framers also included specific freedoms. Habeus corpus: gives an accused individual the right to appear in court to hear the formal charges against him or her Ex post facto: individuals cannot be tried for an act that was not illegal at the time they committed it

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Figure 5-1: Freedom Around the Globe, 2010. The number of free or partly free countries has increased over the past decade, but there is still significant regional variation in the spread of political rights and civil liberties around the globe.

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A prayer in Congress for action on poverty: The House of Representatives starts each day with a prayer delivered by religious figures from various faiths. Is this an unconstitutional violation of the separation between church and state or an acknowledgement of the importance of freedom of religious practices in American civil liberties? Here, former House Speaker Nancy Pelosi (center) joins with church and faith-based organization members of the House of Representatives.

Detainee at US military base at Guantanamo Bay, Cuba: Terrorism suspects—”enemy combatants”— were held at this military base without the usual kinds of protections afforded to prisoners in civilian court system. In July 2008, the prisoners gained their habeas corpus rights, which allowed them direct access to federal courts, by a 5-4 Supreme Court decision in Boumediene et al v. Bush. Early in his term, President Obama pledged to close “Gitmo” in 2010 and relocate the detainees, but that deadline was not met.

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Civil Liberties in America 9 Government should not interfere. 9 Constitution 9Bill of Rights 9 Nationalization of the Bill of Rights

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Table 5-2: The easiest way for students to remember the Bill of Rights is to go over it while they are looking at the list. This list categorizes the first ten amendments, giving students a further reference point for memory—go over expression as a group, stressing that these are your rights as an individual to be yourself—go over defendants as a group, stressing that these are the rights you get when the government considers you guilty of a crime. Then go over the others, rights that do not necessarily fit into either category.

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Civil Liberties in America 9 Government should not interfere. 9 Constitution 9 Bill of Rights 9Nationalization of the Bill of Rights

The Bill of Rights is the heart of civil liberties protections. Provisions in the first eight amendments provide protection against the actions of the three branches of government— overwhelmingly for expression and rights for those accused of a crime. Stress to students that people engaged in the Revolutionary War had had their rights to expression greatly limited and that they were considered criminals—as such, they would have considered these freedoms most worth protecting. The ninth amendment says that just because a right is not specifically mentioned here does not mean that people do not have that right. The tenth amendment reserves power to the states: reference chapter 4 here.

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As discussed in federalism, at first the Supreme Court held that the Bill of Rights only applied to the federal government, which meant citizens of various states could not be free. Many states had their own bills of rights to protect citizens from state action. In 1897, the Supreme Court used the fourteenth amendment to incorporate the Bill of Rights—or to apply them to the states. The fourteenth amendment stated that people had “equal protection of the laws,” which the Court used to interpret the Constitution in a new way: as applying across state boundaries. Selective incorporation means that the Supreme Court has not said all the rights apply to the states; only the rights at issue in the cases before it apply. Thus the third amendment, concerning the quartering of soldiers, has not been incorporated because it has never been before the Court. It was only in 2010 that the second amendment (right to bear arms) was incorporated. This will begin a long chain of causal action—legislative response, court response, etc.—as we move into new case law on this issue. While the Bill of Rights has essentially been

incorporated, in other ways, the Court has allowed states some latitude. For example, the right to have an abortion is considered a freedom, but there are very different standards across states as to how this is applied. Slide 14

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Benjamin Gitlow, Workers Party 1928 Vice Presidential Candidate: The Supreme Court in 1925 upheld the conviction of Benjamin Gitlow (right) under a New York law for promoting overthrow of the government. However, the Court established in Gitlow v. New York that the Bill of Rights’ protection of freedom of speech also applied to states. Over the next four decades, the remaining provisions of the First Amendment would be determined to apply to the states.

Table 5-3: This chart shows how long it has taken to incorporate the rights enumerated in the first ten amendments, with the most recent, the second Amendment, in 2010. It was not until the 1960s that the Court even moved past the first amendment. You can compare those rights that have not been incorporated with those that have and consider reasons why some rights took longer to get into a conversation about the process.

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What prevents states from infringing on freedom? A. 14th Amendment B. Bill of Rights C. Selective Incorporation D. All of the Above

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What prevents states from infringing on freedom? A. 14th Amendment B. Bill of Rights C. Selective Incorporation D. All of the Above

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Freedom of Speech 9Limits on Speech Before and After 9 Bad Tendency 9 Clear and Present Danger 9 Gravity of Danger 9 Preferred Position 9 Categories of Speech Copyright © 2011 Pearson Education, Inc. Publishing as Longman

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For Americans, freedom of speech is the most prized of all the rights guaranteed and is the most American right; it is the bedrock of our political and popular culture. Government action limiting speech happens in two ways; first is prior restraint or censorship, which prevents speech from being uttered. The Court established its position in Near v Minnesota (1931), in which censorship was struck down. Also, in New York Times v United States (1971), the Court allowed the NYT to publish the Pentagon Papers. A second way is to punish individuals after they utter the speech as a crime—hate speech restrictions are a controversial current example of this type. Hate speech is a good example to use when discussing free speech for college students because it began as a major concern on campuses in the 1990s.

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Freedom of Speech 9 Limits on Speech Before and After 9Bad Tendency 9 Clear and Present Danger 9 Gravity of Danger

Over time, the Supreme Court has generally expanded the scope of free speech rights. Until 1919, the Court used the “bad tendency” standard, which presumed that government restrictions on speech were reasonable unless proven otherwise— thus, if acts were criminal, speech that supported these acts would also be criminal. Mostly, the burden was on the individual to prove that the restriction was unreasonable.

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Freedom of Speech 9 Limits on Speech Before and After 9 Bad Tendency 9Clear and Present Danger

In Schenck v United States (1919), the Supreme Court ruled that speech could be restricted if it brings about a “clear and present danger” that prohibited actions will take place. The famous note is the fire in a crowded theater. This standard was harder for the government: a higher threshold than bad tendency standard.

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Cross burning and free speech: In a 2002 decision, the Supreme Court declared that cross burning, even though fateful, was constitutionally protected free speech. If it was not designed to be intimidating and make particular targets fear for their safety. In those instances, it would be protected as symbolic speech representing a point of view. If intimidating and making people fear for their safety were the intent, the cross burning would not be constitutionally protected speech. Should the same symbol be treated two different ways legally?

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Freedom of Speech 9 Limits on Speech Before and After 9 Bad Tendency 9 Clear and Present Danger 9Gravity of the Danger

The clear and present danger was the standard until the 1960s, but the Court then turned to the “gravity of the danger” standard—the Court will consider the potential evil advocated by speech when deciding whether the Court could punish the speech. The Supreme Court is now looking to see how probable the action is, as well as the clear danger.

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Freedom of Speech 9 Limits on Speech Before and After 9 Bad Tendency 9 Clear and Present Danger 9 Gravity of the Danger 9Preferred Position

In the 1960s, the Court took the strongest support yet for the protection of free speech when they said that the first amendment held a preferred position in the Constitution—meaning that first amendment rights should be abridged only with great reluctance. In Brandenburg v Ohio (1969), the Court explicitly adopted its preferred position as the primary free speech standard. At this point, the Court completely shifted the burden of proof to the government.

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Freedom of Speech 9 Limits on Speech Before and After 9 Bad Tendency 9 Clear and Present Danger 9 Gravity of the Danger 9 Preferred Position 9Categories of Speech Copyright © 2011 Pearson Education, Inc. Publishing as Longman

Senator Joseph McCarthy testifies on Communist activity in the United States, 1950: Although his investigations raised cries of outraged opposition and complaints about their effects on individuals’ livelihoods, fear of communism led many Americans to support investigations, such as that by Senator McCarthy. A number of states passed restrictions on penalties on communist political activity. The federal courts frequently upheld these policies, concluding that the evil of communism was so great that it could be controlled even if its political success was highly unlikely.

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Some speech do not merit constitutional protection: fighting words, defamation, commercial speech, student speech by minors, and obscenity. Fighting words: create an immediate threat to public safety Defamation: speaking (slander) or writing (libel) a false statement that is heard or read and hurts the target’s reputation Commercial speech: transmits information about a product, cannot be misleading Minors: not as protected, but not completely without protection Obscenity: Justice Stewart said he could not easily define obscenity but that he knew it when he saw it—this may be the most interesting piece of restricted speech. Given the new implications with the Internet and child pornography, you can have an interesting conversation about what is restricted and how we know to restrict it.

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High school: In Morse v. Frederick (2007), the Supreme Court upheld a Seattle school principal’s right to suspend an 18-year-old student for holding up this banner during a school-sponsored event, because the message contradicted the school’s antidrug policy. The students were watching an Olympic torch relay parade. Should a school principal be able to discipline students for their speech?

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The strictest standard for free speech is ____. A. Bad Tendency B. Clear and Present Danger C. Gravity of the Danger D. Preferred Position

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The strictest standard for free speech is ____. A. Bad Tendency B. Clear and Present Danger C. Gravity of the Danger D. Preferred Position

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Freedom of Religion 9Establishment Clause 9 Free Exercise Clause

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Freedom of Religion

9 Establishment Clause 9Free Exercise Clause

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The establishment clause prevents the government from establishing an official religion, treating one religion preferably to another, proselytizing, or promoting religion over non-religion. Establishment clause cases have been decided using the Lemon test from Lemon v Kurtzman (1971), in which the Court applied a three-part test to determine whether government action was permissible. A law that violated any of the three parts would be considered unconstitutional. First, the law or action must have a plausible secular purpose. Second, the primary effect must not be to either advance or inhibit religion. Third, it must not foster excessive government entanglement with religion. Many issues that test the establishment clause allow us to have good discussion about this freedom. Three important ones are school prayer, public religious displays, and the faith-based initiative. A cross in the desert: This cross was placed in the Mojave National Preserve in California in 1934 as a memorial to fallen soldiers. A legal challenge to its placement on public land led Congress to arrange a land swap—placing the land around the cross in private ownership while receiving an offsetting amount of property to add to the preserve. In Salazar v. Buono (2010), the Supreme Court did not rule directly on the constitutionality of the placement of the cross, but said the lower courts had not conducted the appropriate legal analysis when they concluded that the land swap was improper. The case was sent back to federal district court. The free exercise clause declares that government should not interfere with the individual practice of religious beliefs. There is a zone of protection for religious expression. The Supreme Court has ruled that it is okay to restrict this free exercise based on the balancing test from Sherbert v Verner (1963), a two-part test. First, did the government law or policy impose a significant burden on religious exercise? Second, was a compelling government interest served by this law or policy? In 1990, in Employment Division v Smith, the Court moved away from the balancing test and instituted the neutrality test—a neutral law implemented in a neutral way can validly impose a burden on religious practice. This does not mean it cannot be challenged; if the law is not neutral, the balancing test should be applied.

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The ____ clause has to do with protecting religious practice.

The neutrality standard in practice: Is the requirement to remove a veil for a driver’s license photo an unconstitutional burden on religious freedom? A Florida appeals court used the neutrality standard to reject Sultana Freeman’s case in 2002, noting that the requirement was valid, because it was created and applied in a neutral fashion.

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A. Establishment B. Free Exercise C. Free Press D. Free Speech

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The ____ clause has to do with protecting religious practice.

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A. Establishment B. Free Exercise

C. Free Press D. Free Speech

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Rights of the Accused 9Gathering of Evidence 9 Protections during Investigations and

Trials 9 Protections after Conviction

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Table 5-4: The rights of the accused are arranged into three sections: investigation and arrest, trial, and sentencing. These categories help students remember the different rights—note that the arrangement is similar to learning the different rights in the entire bill.

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Remember, the framers were criminals in the eyes of British authorities, which is why there are enumerated rights for the accused in the Bill of Rights. Their scope has changed significantly over the past fifty years; much of what Americans take for granted was instituted by case law in the 1960s. In the United States, our legal system is adversarial rather than inquisitorial, so the competition between sides results in a just outcome—lawyers are the focus of the case. Rights of the accused are given less weight in our system. The job of the police and prosecutors depends on uncovering evidence: gathering of evidence is most important piece. To protect against overzealous prosecutors, the fourth amendment protects against unreasonable searches and seizures. Basically, this means that if prosecutors want to search, they need a reason: probable cause. If the search was not reasonable, then convictions cannot be sought, as the evidence found is inadmissable due to the exclusionary rule established in 1914. The feature in this section has to do with the Patriot Act; use it to draw students into this debate. How much freedom versus how much public order is desirable?

Seeking evidence: Before entering property to conduct a search, police officers need to obtain a warrant that specifies the location of the search and the items or information sought in the search. Evidence seized in the absence of a judge’s warrant may be deemed inadmissible in court.

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Rights of the Accused 9 Gathering of Evidence 9Protections during Investigations and Trials 9 Protections after Conviction

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Rights of the Accused 9 Gathering of Evidence 9 Protections during Investigations and Trials 9Protections after Conviction

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The technology of capital punishment: This chamber at San Quentin prison in California was used for execution by lethal injection through 2007, when it was replaced by a new facility. In 2008, the Supreme Court lifted the restriction executions. The Court determined that this method of execution did not constitute cruel and unusual punishment and was constitutional.

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The eighth amendment applies once a defendant is found guilty. The judge or jury must declare an appropriate sentence. The punishment that most often reaches the Court for review is the death penalty, under the prohibition against cruel and inhume treatment clause of the eighth amendment. The Court has only ruled that it is unconstitutional in cases of rape, in cases where the defendant is severely mentally handicapped, or when the defendant is a minor. The Court has also ruled that life without parole is unconstitutional for minors.

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During investigations and trials, defendants have a number of rights. In Miranda v Arizona (1966), the Supreme Court developed the Miranda warning, which (as every student who watches television knows) requires police to advise suspects of their rights: most importantly, the right not to incriminate oneself, protected by the fifth amendment. This right dates to the English courts of the seventeenth century. The sixth amendment guarantees a defendant the right to counsel and in Gideon v Wainwright (1963), the Court ruled that government has to supply counsel if the defendant cannot afford an attorney.

A library protests the Patriot Act: The American Library Association and many individual librarians were upset with a provision in the original Patriot Act that allowed FBI agents to investigate the borrowing record of individuals connected to investigations of spying or terrorism. The association argues that this practice violated the privacy assumed by patrons and that it might be abused. The FBI noted that some of the September 11 hijackers had used library computers and reading materials to hatch their plot.

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Which of the following is not unconstitutional? A. Death Penalty for Rape Cases B. Death Penalty for Minors C. Life without Parole for Developmentally Disabled People D. Life without Parole for Minors Copyright © 2011 Pearson Education, Inc. Publishing as Longman

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Which of the following is not unconstitutional? A. Death Penalty for Rape Cases B. Death Penalty for Minors C. Life without Parole for Developmentally Disabled People

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Discovering New Rights 9 Right to Privacy 9 Substantive Due Process

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The scope of civil liberties also changes when the Court finds new rights in the Constitution. There are two methods by which this occurs: the ninth amendment, which states that rights not specifically mentioned are reserved to the people, and the due process clause. The right to privacy was not explicitly found in the Constitution, but the Court decided that the ninth amendment applied. In 1965, the Court ruled in Griswold v Connecticut that there was a constitutional right to privacy for married couples to use birth control; this was later applied to unmarried heterosexual couples. The Supreme Court found the right to privacy based on the ninth amendment, combined with the first, third, fourth and fifth Amendments. Basically, you could not have free speech if you were not a private person— there is a zone of privacy. This discovered right was then used in Roe v Wade (1973) to guarantee a woman’s right to terminate a pregnancy. The next area of law was gay rights: Did the right to privacy extend to protect a homosexual couple’s rights? In 2004, the Court ruled in Lawrence v Texas that the right to privacy for homosexuals was tantamount to freedom—they did not lose their dignity as free persons when they entered their home.

Not only the court protects privacy—use the example of the Family Educational Rights and Privacy Act, which protects college students’ educational records, as a way to draw the students into the conversation. Slide 46

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Figure 5-2: The right to privacy does not protect abortions absolutely – this chart shows how different states have rules, which the Court allows so that states can protect the rights of the fetus if they choose.

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Telemedicine, a new abortion dispute: In a new telemedicine abortion procedure in Iowa, a remotecontrol pill-dispensing and videoconference system allows doctors to deliver abortion medications to patients in clinics across the state. The doctor remotely unlocks the drawer that contains the two medicines.

Charged after raid on polygamist ranch: Raymond Jessop was found guilty in 2009 of sexually assaulting a teen with whom he had a “spiritual marriage.” He was charged following the raid of a polygamist sect’s ranch the previous year. In the raid, 400 children were removed, but were soon placed back with the sect. Although not arguing for the validity of underage marriages, some polygamists have argued that the practice among adults should be protected by the constitutional right to privacy.

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Discovering New Rights 9 Right to Privacy 9 Substantive Due Process

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In addition to using the ninth amendment, the Court has used the fourteenth amendment’s general guarantee to life, liberty, and property to find new rights. These rights include the right to supervise the education of one’s children and the right to procreate. These rights come from due process—can the law just restrict some aspect of life, liberty, or property? The answer is no. Substantive due process says that the fourteenth amendment provides a means to discover new rights not mentioned elsewhere in the Constitution and that these rights exist at both the state and local levels. Parents’ rights in education: The Supreme Court used substantive due process to affirm key decisions in 1923 and 1925 that parents have a right to control their children’s education. Home schooling is an option for parents, such as those in this Muslim family in Phoenix in 2008, who believe public schools do not meet their children’s needs or that they clash with their religious or cultural values.

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Which case does not deal specifically with privacy? A. Griswold v Connecticut B. Roe v Wade C. Lawrence v Texas D. Gideon v Wainwright

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Text and Art Credits

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Photo Credits

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× Return to Chapter 5: Table of Contents

Additional Lecture Suggestions

¾5.1 Define the civil liberties guaranteed by the Constitution and trace the process by which they became binding on state governments • • •

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Civil liberties are not absolute, but reflect a balance between individual freedom and government/societal interests. The Founders created the Bill of Rights to protect individuals against potential abuses by government. We rely on the courts to interpret and apply these protections. In the early years of the country, the courts ruled that only the national government was required to uphold the protections of the Bill of Rights (Barron v. Baltimore). States were not bound by those protections, and the level of protection for individual rights varied greatly across states. Interpretations of the Second Amendment right to keep and bear arms are highly controversial. Does it guarantee the rights of all individuals to own guns, any guns? Interest groups on both sides of this question have used the courts to pursue their interpretations of the Amendment. Include a discussion of the recent Supreme Court decisions in DC v. Heller and Chicago v. McDonald. The Fourth Amendment protection against unreasonable search and seizure has led to limiting the powers of law enforcement officials in order to protect individual rights. Students need to understand the dangers of unchecked police power as the basis for this provision. The exclusionary rule prohibits the use of illegally obtained evidence in court, although the courts have established numerous exceptions to the rule. The courts have also established a list of conditions under which police may search property without first obtaining a warrant. The Fifth Amendment protects against double jeopardy and compelled self-incrimination. The Supreme Court ruled in Miranda v. Arizona (1966) that individuals under arrest must be informed of their right to remain silent during questioning. The Sixth Amendment provides several protections for individuals facing criminal prosecution. These include the right to confront witnesses, a speedy and public trial, and the right to have a lawyer. Only a small percentage of criminal cases are decided by jury trials; some involve bench trials but the vast majority of convictions are obtained through plea bargaining. The Eighth Amendment protection against cruel and unusual punishment has been debated most hotly in regard to capital punishment. Is capital punishment considered a cruel and unusual punishment for the most heinous crimes? Other issues related to capital punishment include whether states may execute minors or mentally retarded murderers, and whether application of the death penalty is racially biased. The Court’s interpretation and application of the Fourth Amendment’s search and seizure clause is very complex. One exception to the search warrant requirement was the automobile exception. Below are some others. Consent Search: If police ask a person for permission to search, say, an apartment, and if a person gives it, then the police do not need a warrant. Any incriminating evidence the search turns up could be used in court (not subject to the exclusionary rule). Copyright © 2011, 2009, 2007 Pearson Education, Inc. All rights reserved.

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Search Incidental to a Valid Arrest: Police may, when serving an arrest warrant, search the person being arrested. If they find incriminating evidence, they may seize it and use it in court (not subject to the exclusionary rule). Plain View Exception: Police may, when serving an arrest warrant, seize evidence in the immediate vicinity of the person being arrested and that is in plain view. They may do this without a warrant, and the evidence may be used in court (not subject to the exclusionary rule). They may not go ransacking through the house or apartment without a warrant. The rationale for this exception, in addition to preserving easily destroyed evidence, is the protection of police officers. Stop and Frisk: Police may, if they have a high suspicion that a crime has taken place or is about to take place, stop individuals and pat down their outer garments. If they clearly detect incriminating evidence, they may seize it without a warrant and this will not be subject to the exclusionary rule. This is the only exception that does not require “probable cause.” Police may not, however, as part of this search, reach inside pockets, etc. We know that people often support rights in theory, but their support may disappear when it comes time to put those rights into practice. Set aside part of one class period for students to list both supports and objections to extending rights to controversial and unpopular groups. You could “set the stage” by first introducing your class to one or two famous incidents, such as the demands of the American Nazi Party in 1977 to march through a Jewish neighborhood in Skokie, Illinois. ROOTS OF THE BILL OF RIGHTS The Bill of Rights is so much a part of American culture that restrictions on arbitrary government action are taken for granted. Most students have only a very superficial historical background and know next to nothing about conditions that first prompted their enactment. Hence they have little awareness about what they are being protected from. Without becoming overly sensational, the instructor can outline some of the skeletons in this historical closet, drawing from medieval and early modern British history. Eminent domain contrasted with the ruthless seizure of land and goods by English kings (e.g., Henry VIII and church lands); Right to remain silent versus the horrors of the rack and screw and other excruciating physical torments; Cruel and unusual punishment (e.g., drawing and quartering, hanging in chains, burning at the stake, cutting off arms and legs, branding); confronting adverse witnesses versus anonymous accusers (even in the American colonies). The instructor may want to round off the lecture by contrasting American restraints on government with the disregard for basic human rights displayed in the old Soviet Union (the Gulag), Nazi Germany, Idi Amin’s Uganda, the People’s Republic of China (not just under Mao—don’t forget the Spring 1989 student uprisings), the Sudan, and the former Yugoslavian states during their civil wars. The regular reports of Amnesty International are filled with violations of basic rights around the world. EXPANDING THE FIRST AMENDMENT In addition to the rights specified in the Constitution, the Supreme Court has announced that the protections of the Constitution extend to other fundamental rights, such as the right of association, the right to reproductive privacy, and the right to travel. Copyright © 2011, 2009, 2007 Pearson Education, Inc. All rights reserved.

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The Warren Court protected such rights as the right to travel and reproductive privacy, which are not mentioned in the Constitution. Even the more conservative Burger Court recognized new liberties such as the right to abortion and the right of families to remain together. New threats to liberties–as a result of new technologies or innovative government actions–necessitate the possibility of recognizing new rights. Also, society's changing concept of freedom requires that the Supreme Court be able to adopt constitutional protections. But not everyone agrees that these rights, left out by the framers of the Constitution, should have even been recognized. Review with the students the Court's words and analysis in these cases as it pertains to the creation of rights not otherwise found in the Constitution, and also share the words and analysis of the dissenting justices: i. Freedom of travel—Shapiro v. Thompson, 394 U.S. 618 (1969) ii. Reproductive privacy—Griswold v. Connecticut, 381 U.S. 479 (1965) iii. Right to abortion—Roe v. Wade, 410 U.S. 113 (1973) iv. Right of families to remain together—Moore v. City of East Cleveland, 431 U.S. 494 (1977) Who has the better argument? If you begin "finding" new rights in the Constitution, what are the limits? Explain the guarantees of civil liberties in the Constitution and the process by which these guarantees became binding on state governments. Summarize the protections guaranteed by the Bill of Rights. Explain the incorporation process. Define the classic dilemma of democracy. Describe the process of nationalization of the Bill of Rights. List the rights that have not been incorporated. Discuss how the Court has weakened the taking clause. Read the Second Amendment and explain how it could be aimed at state militias.

¾5.2 Analyze the different standards by which the Supreme Court has determined whether restrictions on freedom of speech are acceptable • •

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The essential First Amendment rights to freedom of speech, press, religion, and assembly hold a preferred position in the hierarchy of American legal protections. The essence of freedom of speech is the right to express political viewpoints, especially unpopular political views. Court decisions have determined that an individual’s freedom of speech is not absolute, but can be limited when it conflicts with the interests of the government in keeping order or advancing national security. Speech may also be constrained to protect the interest of other individuals (such as restrictions on hate speech or libel). Protections extend to symbolic speech, such as wearing armbands or burning the American flag. Issues that have challenged the freedom of the press include prior restraint of news reports and the right of news reporters to refuse to disclose their sources. The Supreme Court has ruled that obscenity is not protected by the First Amendment rights to free speech and press, but has found it difficult to determine what constitutes obscenity. Copyright © 2011, 2009, 2007 Pearson Education, Inc. All rights reserved.

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Several landmark cases (Roth v. United States; Miller v. California) have attempted to devise tests for determining whether material may be considered obscene. Relate the famous statement of Justice Potter Stewart in regard to obscenity in the Jacobellis v. Ohio case: “I shall not today attempt further to define the kinds of material I understand to be embraced within that shorthand description; and perhaps I could never succeed in intelligibly doing so. But I know it when I see it, and the motion picture involved in this case is not that.” Below is a more in-depth discussion of some establishment cases. Engel v. Vitale (1962): This case dealt with the neutral prayer mandated in public schools. New York authorities thought they had written a prayer that would offend no one and thus would not violate the establishment clause. The authorities had misjudged the meaning of the establishment clause which the Court had interpreted in an earlier case to prohibit not merely government favoritism towards a particular religion but favoritism towards religion over non-religion. Both violate the establishment clause. Abington School District v. Schempp (1963): After the Engle decision, the authorities in Pennsylvania thought the problem was that the government wrote the prayer. So they mandated a prayer (the Lord’s Prayer) and a Bible reading at the beginning of the school day. The Supreme Court, noting that this was favoring religion over nonreligion declared it unconstitutional. Epperson v. Arkansas (1968): The Court ruled that Arkansas could not prohibit the teaching of human biological evolution because it conflicted with the biblical account of creation. Lemon v. Kurtzman (1971): In this celebrated case, the Court articulated the test it used in establishment cases. It had been following most of this test prior to this case, but it had never articulated it as the test for such cases. Below are the components of the three-pronged test. A law must pass every component or it is unconstitutional. i. The law must have a secular purpose. ii. The law’s effect must be to neither advance nor inhibit religion. iii. The law must not create an excessive entanglement between church and state. Stone v. Graham (1980): The Court struck down, as violating of the establishment clause, the posting of the Ten Commandments in public school classrooms. The Court was not persuaded by the fact that the posters were not read to the students, were paid for by private donations and not taxpayer money, and had a disclaimer at the bottom noting that it was an historical rather than religious document. Wallace v. Jaffree (1985): The Court struck down Alabama’s moment of silence law, primarily due to the historical record that clearly demonstrated that the moment (which mentioned prayer) was a way of getting prayer back into the public schools. Edwards v. Aguillard (1987): The Court struck down a Louisiana law that mandated the teaching of creation science in public schools if human biological evolution was taught. Lee v. Weisman (1992): The Court struck down a public school’s wish to invite a Rabbi to lead a prayer at an eighth-grade graduation ceremony. WHY DO WE NEED FREE SPEECH? Discuss the two major theories as to why the First Amendment protects speech. There is the theory, expressed by Alexander Meiklejohn (1961 Supreme Court Review, 245) Copyright © 2011, 2009, 2007 Pearson Education, Inc. All rights reserved.

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and many others that freedom of expression serves essentially political ends. In this view, freedom of speech and the press is needed to maintain an effective democracy. This view finds support in the philosophy of John Locke, Edmund Burke, and the pragmatists. Others, such as Thomas Emerson (72, 1963, Yale Law Journal, 877), while agreeing that free expression is instrumental to a successful democracy, argue that freedom of expression is also essential to individual fulfillment. This view, that the inherent dignity of man is maintained in part through his ability to express himself, can be traced back to the writings of Jean-Jacques Rousseau and Thomas Jefferson. The view one holds of the purpose of the First Amendment affects that person's view of the scope of First Amendment protections. Those who see the First Amendment as crucial to democratic decision making limit the scope of First Amendment protections to political expression. Those who see a self-fulfillment aspect to the First Amendment assign First Amendment protections to a much wider scope of content. COMMERCIAL SPEECH Point out to your students that while banning speech to prevent the dissemination of a message is abhorred under the First Amendment, that is exactly what is allowed in the area of advertising, known in the First Amendment context as "commercial speech." The courts generally allow governments to regulate or even ban advertising, especially advertising for products such as tobacco and alcohol. The logic used in these cases has typically been that, using the Alexander Meiklejohn test, advertising bears no relation to public decision making. But is that true? You can make both sides of the argument to your students, and let them decide. The argument for regulating commercial speech is that proposals for commercial transactions ("We have soda pop on sale today for $3 a six-pack!") is so far removed from political speech that any public interest is totally irrelevant to First Amendment values. Advocates of this view say that speech that does no more than propose a commercial transaction does not involve any expression essential to self-government. Those on the other side deny this, and say that the free market economy and our democratic system are inseparable. In a democracy, they say, if people are to make their own personal, economic, and intellectual decisions, there must be a free exchange of commercial opinion and information. Pure commercial speech may not affect how people are governed as directly as political speech does, but it indirectly affects peoples' attitudes and values about how they should be governed. While politics can shape a man's business, business can just as easily shape a man's politics. Which side has the better argument? How did the Court rule on this argument? See 44 Liquormart, Inc. v. Rhode Island (1996). Describe the different standards by which the Supreme Court has determined whether restrictions on freedom of speech are acceptable. Explain the Supreme Court’s position on hate speech. Differentiate between the presumed reasonableness standard, the clear and present danger standard, the gravity of the danger standard, and the preferred position standard. Discuss Supreme Court rulings on free speech rights in the twentieth century. List and explain the key Supreme Court cases that provided free speech protections. Define and list examples of symbolic speech. Copyright © 2011, 2009, 2007 Pearson Education, Inc. All rights reserved.

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Define obscenity in terms of the Roth and the Miller decisions of the Supreme Court. Compare the differences in free speech rights in the print media, broadcast media, and on the Internet. Explain why there is greater government regulation of the broadcast media. Define and provide examples of government attempts to impose prior restraint. List and discuss the exceptions to the right of assembly.

¾5.3 Evaluate how the Supreme Court has interpreted cases regarding religion and how Congress has reacted to the Court’s actions • Explain how the Supreme Court has interpreted cases regarding government establishment of religion and cases concerning the right of individuals to practice their faith, and how Congress has reacted to the Court’s actions. • Explain the establishment clause and the free exercise clause found in the First Amendment. • Summarize the No Establishment Clause. • Using your knowledge of the Establishment Clause, present an argument for and an argument against the use of Christmas displays on town squares. • Explain the wall-of-separation doctrine in terms of major Supreme Court cases. ¾5.4 Trace the expansion of the rights of the accused and their balance with the needs of police and prosecutors •

THE EXCLUSIONARY RULE The point of this lecture is to try and drive home that some of the “red tape” that law enforcement officers have to deal with is actually put there to protect our constitutional rights, or at least enable the students to see that there are reasonable arguments in defense of upholding these procedural safeguards. As long ago as 1916, in Weeks v. United States, the Supreme Court barred the use in a federal prosecution of evidence seized illegally by federal prosecutors. The security of one’s privacy against arbitrary intrusion by the police, which is at the core of the Fourth Amendment, is basic to a free society. There is no question about it, if a government sanctions such an intrusion into individual privacy it runs afoul of the Fourth Amendment. But the question is, if an illegal search takes place, and the government knows it, how should it respond? The Fourth Amendment does not explicitly answer this question. One argument for the exclusionary rule is that it eliminates any incentive to conduct illegal searches, because the fruits of those searches will not be admissible in court. The problem is, there is no empirical evidence to support the claim that the rule actually deters illegal conduct by law enforcement officers. The other argument in favor of the exclusionary rule is that to allow the tainted evidence in court would compromise the integrity of the courts. “Nothing can destroy a government more quickly than its failure to observe its own laws,” said Justice Brandeis. Most of the English-speaking world does not have an exclusionary rule. Are there other ways to get at the problem? Two that are used are allowing the victim of the illegal search to sue the police officers for damages, and to leave the matter to the internal discipline of the police. Copyright © 2011, 2009, 2007 Pearson Education, Inc. All rights reserved.

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The problem with the exclusionary rule is that, by definition, the rule only protects those upon whose person or premises something incriminating has been found. One argument against the exclusionary rule is that while it may be an effective way of deterring unreasonable searches which are knowingly undertaken, it has no such effect when the police have acted in good faith, but simply made a mistake. THE RIGHTS OF THE ACCUSED AND THE RIGHTS OF SOCIETY • Some critics have argued that the Supreme Court has handcuffed the police and contributed to the rising incidence of crime. These charges can be elaborated. The instructor can, for example, make a case for the death penalty as a deterrent to crime, or that prisons are not agencies of rehabilitation, and that an unacceptably large number of people on parole commit major crimes. The lecturer can insist that prison should be for retribution and might carry the arguments for deterrence and unmodified incarceration to their logical conclusion: not just three strikes and you’re out (i.e., three felonies means a life term) but two or even one strike and you’re out, maybe even public executions and corporal punishment. As a way out of this dilemma, the instructor might attempt to put crime in a social context by discussing such factors as social change, social class, unemployment, age, and so on. • The lecturer can turn to the problem of what kind of law and order we seek to protect and preserve. Do law enforcement officers give the disadvantaged and those who are not white the same treatment they usually accord upper-middle-class Americans? • Finally, have the terrorist attacks of September 11 tipped the scales in the direction toward more rights to society and less to the accused or suspected? If so, is this a reasonable reaction to a national crisis of the magnitude of September 11? Explain how one problem with vague laws is that they can lead to selective prosecution by law enforcement agencies. Discuss the expansion since the 1960s in the rights accorded to those accused of crimes, and how the Supreme Court has attempted to balance the rights of defendants with the need for police and prosecutors to investigate potential criminal activity. Explain the Fourth Amendment’s protection from unreasonable search and seizure. Explain the exclusionary rule. Explain the Eighth Amendment’s protection from cruel and unusual punishment. Describe the methods by which participants in judicial proceedings have attempted to establish that Americans have rights other than those specifically listed in the Constitution. Explain how the exclusionary rule and the good faith exception balance out the rights of the individual and society. Explain the evolution of Supreme Court rulings on the death penalty.

¾5.5 Explain how the Ninth and Fourteenth Amendments have helped to establish rights other than those specifically listed in the Constitution •

Beginning in the post-Civil War period, the due process clause of the Fourteenth Amendment was used to apply many of the provisions in the Bill of Rights to states as well as the federal government (Gitlow v. New York; Near v. Minnesota). Though many civil liberties were gradually incorporated, not all protections against actions by the national government have been applied to the states. Copyright © 2011, 2009, 2007 Pearson Education, Inc. All rights reserved.

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Explain the role of the due process clause of the Fourteenth Amendment in the incorporation of civil liberties. The First Amendment includes the Establishment Clause, which provides for the separation of church and state. The courts have applied various standards, notably the Lemon Test (Lemon v. Kurtzman) to determine whether specific activities may violate the Establishment Clause. Many of the cases involving this issue are related to whether prayer or other religious activities are permissible within public schools or other public venues. The First Amendment also includes the Free Exercise Clause, which guarantees that individuals can freely practice their chosen religion. Cases related to the Free Exercise Clause address whether individuals can use religious rationales to engage in activities that would otherwise be considered illegal, such as polygamy or use of hallucinogenic drugs. Several amendments in the Bill of Rights guarantee the rights of those accused or convicted of criminal activity. While various provisions of the Constitution imply a right to privacy, nowhere is it explicitly stated. The 1973 landmark case of Roe v. Wade used the established right of privacy as a basis for a woman’s right to make choices about an abortion. Various state laws have attempted to limit this right in different ways, including imposing parental and spousal notification requirements, requiring a waiting period, and limiting public funding for abortions. The Supreme Court has upheld the right to choose, but has accepted the legitimacy of certain limitations. We should expect legal challenges to the right to abortion to continue. In 2006, South Dakota passed the country’s most restrictive abortion law, allowing doctors to perform abortions only in those cases where it is deemed necessary to save the life of a pregnant woman. The case is expected to lead to a court challenge as an attempt to overturn Roe v. Wade. Several court cases have addressed issues of private sexual conduct. Griswold v. Connecticut (1965) recognized the right of married couples to privacy in their sexual conduct. Bowers v. Hardwick (1986) upheld the right of states to prohibit homosexual activity between consenting adults, but was overturned when the court decided in Lawrence v. Texas (2003) that laws which restrict private, noncommercial sexual activity between consenting adults violate the right to privacy. In discussing the right to privacy, the text mentions the Ninth Amendment. This amendment has an interesting history that speaks to what the framers thought of individual rights. Here briefly are the facts surrounding the origin of the Ninth Amendment. The Federalist No. 84: In this essay, Hamilton explains why the framers did not include a Bill of Rights in the Constitution. Hamilton gives two broad reasons for why the framers did not include a Bill of Rights. First, Hamilton states that a Bill of Rights was unnecessary. This is true for two reasons: i. Rights are already included in the Constitution as written in 1787. • Art. I, Sec. 9, cl. 2 - privilege of habeas corpus • Art. I, Sec. 9, cl. 3 - no Bill of Attainder • Art. I, Sec. 9, cl. 3 - no ex post facto law • Art. I, Sec. 9, cl. 7 - no title of nobility • Art. III, Sec. 2, cl. 3 - trial by jury in all crimes • Art. III, Sec. 3, cl. 3 - definition, proof, and punishment for treason Copyright © 2011, 2009, 2007 Pearson Education, Inc. All rights reserved.

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Another reason a Bill of Rights is unnecessary is due to the democratic nature of the U.S. Constitution. Here is how Hamilton puts it: “It is evident, therefore, that, according to their [Bills of Rights] primitive signification, they have no application to constitutions, professedly founded upon the power of the people and executed by their immediate representatives and servants. Here, in strictness, the people surrender nothing; and as they retain everything they have no need of particular reservations.” iii. Surprisingly, Hamilton also argues that a Bill of Rights would be dangerous. Why? Hamilton knows that not all rights can be listed in the Constitution. Even if one were to try to list all rights, it is likely that some would inadvertently be omitted. This would be dangerous. The reason is because those in government could infringe on rights not listed in the Constitution, claiming that if the people wanted them protected they would have listed them. In other words, the government would use the absence of rights listed in the Constitution as a pretext for ignoring the protection of those rights. Madison, the father of the Bill of Rights, also believed that a Bill of Rights was unnecessary. He was, however, eventually persuaded by Jefferson that a Bill of Rights would not hurt. Except he also thought Hamilton’s argument about the danger of a Bill of Rights was a good one. Thus he proposed what became the Ninth Amendment, or what has been called the forgotten amendment. This is the only sentence in the Constitution that tells the reader how to interpret the Constitution. It basically states that the reader should not take the listing of rights in the first eight amendments to imply that these are the only rights that the government must respect. This is why some found it ironic that Robert Bork, an advocate of original intent told the Senate Judiciary Committee, during his confirmation hearings, that if confirmed as a Supreme Court justice, he would not respect the right to privacy. His reason was that the right was not explicitly mentioned in the Constitution. Yet it was to prevent this kind of reasoning that the father of the Constitution and father of the Bill of Rights wrote, and the Congress included, the Ninth Amendment in the Bill of Rights. The U.S. Patriot Act: The Department of Justice’s first priority is to prevent future terrorist attacks. Since its passage following the September 11, 2001 attacks, the Patriot Act has played a key part - and often the leading role - in a number of successful operations to protect innocent Americans from the deadly plans of terrorists dedicated to destroying America and our way of life. While the results have been important, in passing the Patriot Act, Congress provided for only modest, incremental changes in the law. Congress simply took existing legal principles and retrofitted them to preserve the lives and liberty of the American people from the challenges posed by a global terrorist network. What do the students think? Are they willing to sacrifice more freedom and liberty to maintain order? Summarize the rights of the accused and of criminals provided in the Fourth, Fifth, Sixth and Eighth Amendments.

× Return to Chapter 5: Table of Contents

IV. Student Assignments – Post-Lecture A.

Class Discussion Questions

¾5.1 Define the civil liberties guaranteed by the Constitution and trace the process by which they became binding on state governments • •

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Which civil liberty do you believe is the most important? Defend your position. Because the Founders did not directly require that guaranteed freedoms be included in state constitutions, did it mean that they believed states would develop guarantees much like those of the national government? That the national government would, in time, nationalize the Bill of Rights? Or can you think of other reasons that the Founders did not extend the Bill of Rights into all states? Or did they? Where? What is the most important case discussed on this topic? Why? How might personal freedoms have been managed if the Bill of Rights had not been added? On which side of the security versus liberty debate do you suppose Thomas Jefferson or James Madison would have been? Why? How about George Washington? Or Patrick Henry? Why did the Framers of the Constitution believe a Bill of Rights was unnecessary? Why did the Anti-Federalists argue that a Bill of Rights was necessary? What did the framers hope to achieve by spelling out the basic rights of American citizens? What are the most important interpretations of the Second Amendment guarantee of the right to bear arms? Is the Second Amendment right to keep and bear arms valid only in regard to the arming of a state militia (National Guard), or does it extend the right to own firearms to all individuals? If it goes beyond providing for the militia, can the national or state governments place any restrictions on individuals’ rights to own weapons? What Fourth Amendment issues are raised by the new communication technologies that are exploding onto the scene? For instance, is there no expectation of privacy for any cellular phone conversation? What about e-mail messages? Should the government be able to look at e-mail without your permission? Is it fair that Arab-Americans be questioned/detained for no other reason than their ties to the Arab world? In the wake of September 11, 2001, does national security take priority over individual rights and civil liberties? Discuss a state statute prohibiting any publication which "exposes any race or religion to contempt or derision." Would it have vagueness problems? The late Chief Justice William Rehnquist once remarked, "The First Amendment recognizes no such thing as a 'false' idea." What does this mean? Do you agree? How has the court dealt with the First Amendment protection for the Internet? Why did the Federalists believe that a Bill of Rights was unnecessary? What is meant by selective incorporation? What is meant by denationalization? What do you think is more important: liberty or security? Depending on your answer, list the tradeoffs you would be willing to surrender based on your choice. Do you think the Second Amendment allows people to have tanks, bazookas, or other military hardware in their homes? Why or why not? Copyright © 2011, 2009, 2007 Pearson Education, Inc. All rights reserved.

¾5.2 Analyze the different standards by which the Supreme Court has determined whether restrictions on freedom of speech are acceptable • • • • • • • • • • •

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What’s wrong with falsely shouting “Fire!” in a crowded theater? Were our freedoms (including Freedom of Speech and Expression) intended to protect controversial expressions such as flag burning? Why or why not? What kinds of speech are protected under the Constitution? How has the definition of protected speech changed over the course of American history? What kinds of speech are not protected under the Constitution? Why aren’t these forms of speech protected? Why is a free press so important to the maintenance of democracy? Are there limits on the freedom of the press? If so, what are they? What is the relationship between the freedom of assembly and petition and American forms of political organization and behavior? Should the United States pass an amendment to the Constitution to ban flag burning? Why or why not? What are the advantages of press shield laws that allow reporters to withhold information about their sources? What are the disadvantages? Do we need laws to limit access to obscenity and pornography on the Internet? Would such laws violate the right to freedom of expression? Could such laws be enforced? Given the difficulty of defining obscenity, have students discuss whether statutes making it illegal to sell “obscene” materials should be declared void for vagueness. The U.S. Supreme Court ruling in Reno, Attorney General of the United States v. American Civil Liberties Union (1997) makes it clear that government efforts to regulate the content of the Internet will be very limited. Ask your students to discuss whether Internet filtering software that allows parents to keep objectionable material from children will accomplish the same thing as government regulation without danger of violating the Constitution. At the same time, is such filtering software likely to restrict access to more legitimate educational forums? Ask the students to discuss whether the ability to read, write, and speak English should be a requirement for American citizenship. Should persons other than U.S. citizens have constitutionally guaranteed rights, such as the right to free speech, while in the U.S.? Why, or why not? Discuss whether "fighting words," obscenity, pornography, or libel contain any content which deserves constitutional protection. Discuss how fear of libel judgments can have a chilling effect and create a tendency to lean towards self-censorship. Discuss Justice Powell's claim that "The First Amendment requires that we protect some falsehood in order to protect speech that matters." Discuss different types of speech and whether or not each is protected. Ask students to cite examples of speech they feel should not be protected, then discuss whether or not that type of speech actually is protected. Discuss the idea that the freedom of expression that the First Amendment guarantees includes all modes of communication of ideas by conduct, not just speech.

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Discuss the notion that the press as an institution should have special First Amendment rights. Justice Stewart, among others, has argued that the press is a specially protected institution whose reporters have rights beyond those of the average citizen. Is it reasonable to ban misleading soap ads while permitting misleading campaign ads? Discuss. No nation could be considered free without freedom of speech. How free are Americans to say what they want about any topic? Of all the forms of governmental interference with expression, judges are most suspicious of those that impose prior restraints on speech. What are prior restraints and why are they so disfavored? What if a newspaper got a tip that in six hours American military planes were going to attack the secret headquarters of a hated foreign dictator. Under the Constitution, does the newspaper have the right to publish that information? If it has the right, should it publish it, if that might mean putting our military planes in jeopardy? The U.S. Supreme Court has concluded that the government cannot forbid the burning of the American flag as a form of political protest. Do you agree with this decision? Does America need a constitutional amendment prohibiting flag burning? The Constitution severely limits a court's power to award damages in a libel action brought by a public official over criticism of his official conduct. Is this good public policy? What has the news media done to deserve this extraordinary protection? How does Canadian law on hate speech differ from that of the United States? What is Canada's rationale for its departure from the American’s view on hate speech? Do you agree with the Canadian or U.S. view? Why? Should community groups be allowed to have books they deem objectionable on moral or sexual grounds banned from public libraries? In 1999, the Supreme Court ruled that freedom of speech does not protect lewd or obscene email material. Is this one step toward further censorship of the Internet—why, or why not? Which categories of speech are regularly protected by the Supreme Court, and which categories can generally be restricted? How does the Supreme Court use the Lemon test to decide cases regarding the establishment clause? Apply the rulings of Roth and Miller to the case of Nicole Ritchie, who used several fourletter words on an awards show. Is the use of vulgar expression protected under these rulings or can it be banned? Why would a spontaneous demonstration not be allowed under our right of assembly?

¾5.3 Evaluate how the Supreme Court has interpreted cases regarding religion and how Congress has reacted to the Court’s actions • •

What religion do you think this nation would follow today had the prohibition of religious establishment not been incorporated into the First Amendment? Why did you choose that one? If the Supreme Court reversed its current rulings and permitted moments of silence and prayers in schools, what would the potential negative consequences be on the exercise of civil liberties? Copyright © 2011, 2009, 2007 Pearson Education, Inc. All rights reserved.

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Which two clauses in the Constitution deal with freedom of religion? What does the Constitution prohibit in regard to religion? What does the Constitution guarantee in regard to religion? Should religious groups be exempt from laws that restrict activities they consider important aspects of their religion? For example, should Native Americans be allowed to use peyote as part of religious ceremonies, or practitioners of Santeria be allowed to engage in ritual animal sacrifice? When the House of Representatives is in session, it begins each session with a prayer delivered by religious figures of various faiths. Is this an unconstitutional violation of the separation between church and state, or an acknowledgement of the importance of freedom of religious practice in American civil liberties? Have students discuss their views on this question. Ask students if they feel vouchers and state aid for religious schools should be constitutional. Have them explain why such forms of payment are in keeping with separation of church and state or why they are not. Congress opens each day with a prayer, yet the Supreme Court refused to allow public school classes to open with a prayer or even to display the Ten Commandments. What is the difference? Also, should a school prayer constitutional amendment be passed—why, or why not? Which three major issues currently test the establishment clause? How has the Supreme Court ruled regarding these issues? How did Congress respond to protest over the Supreme Court’s neutrality standard in free exercise cases? What document did the Supreme Court use to establish the doctrine of the wall of separation?

¾5.4 Trace the expansion of the rights of the accused and their balance with the needs of police and prosecutors • • • • • • • • • •

Discuss some of the protections for the accused found in the Constitution and Bill of Rights. Do you believe these protections coddle the accused? Should there be protections for victims? Why or why not? What are some exceptions to the exclusionary rule? Is the death penalty “cruel and unusual” punishment? Why or why not? What rights do the accused have in an American court of law? What arguments have been made for and against a constitutional right to privacy? What kinds of behavior may be covered by a constitutional right to privacy? What arguments are made for why minors should not be subject to the death penalty? Identify and explain the constitutional rights of defendants facing trial. Why are these protections important? What are the arguments in favor of capital punishment? The arguments against it? Which arguments does the class find more convincing? Are there significant differences between the opinions of men and women on the issue? Why do we have the Miranda rights? Do they do the job they were created to do? Should police be given more freedom to deal with crime, even if that means further intrusions into personal liberties? Copyright © 2011, 2009, 2007 Pearson Education, Inc. All rights reserved.

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How do the Supreme Court’s decisions in Miranda v. Arizona and Gideon v. Wainwright provide protections for individuals accused of a crime? How does the Supreme Court regulate capital punishment? Do you agree or disagree with the Court’s determination that racial bias does not exist in application of the death penalty? Why or why not?

¾5.5 Explain how the Ninth and Fourteenth Amendments have helped to establish rights other than those specifically listed in the Constitution • • • • • •

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How did the addition of the Fourteenth Amendment to the Constitution expand all of the other amendments’ applicability? Discuss terrorism and debate the liberty versus security dilemma. Discuss the U.S.A. PATRIOT Act. Does this conflict with the American idea of freedom? Discuss the significance of the Roe v. Wade case at the time of its decision. Argue for a better present-day standard and defend your position. Using the concept of the rights of privacy and recent state court cases, what do you think will happen to bans on gay marriage in the future? Should events such as 9/11 and the subsequent war on terrorism lead to an expansion of government power to listen to private conversations and search personal documents? What legal/constitutional measures would be required to allow the national government to take such steps? Which provisions of the Bill of Rights have been used to argue that individuals have a constitutional right to privacy? Do you find these arguments convincing? Discuss the decision in Planned Parenthood v. Casey. Was the right to choose an abortion upheld or overturned? What arguments did the justices present to justify their decision? Why are presidential nominations to the Supreme Court considered so important to those who feel strongly about abortion? Do you believe that decisions regarding private sexual conduct are a matter for state governments to legislate? For the courts to decide? Ask students to differentiate privacy in a marital relationship and privacy in a homosexual relationship. Does it matter that it is the state that is preventing homosexuals from getting married? Ask students to discuss searches of dorm rooms. Under what circumstances would they support them? Does it matter who is conducting them? How about random searches? Ask students to discuss racial profiling. Are there times/circumstances when this practice is acceptable? Is the aftermath of September 11, 2001 an example of such a time? Why, or why not? Discuss President George W. Bush’s order that captured foreign terrorists be detained indefinitely and tried in military tribunals. How did the Court rule on this issue? Discuss the April, 2001 racial situation that erupted in the city of Cincinnati. The shooting of an unarmed African American, Timothy Thomas, was at that time the fifteenth shooting of black men in the city since 1995. Review the aftermath of that shooting, including the riots and attempts at reconciliation between the races. Also, debate the question as to what the requirements should be for police to use deadly force. Copyright © 2011, 2009, 2007 Pearson Education, Inc. All rights reserved.

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Should there be a right of privacy even though it was not directly mentioned in the Constitution? What are the limits on when the Supreme Court can create new constitutional protections? Do you believe that the government has no right to tell two consenting adults, even of the same sex, how they may behave in the privacy of their own homes? Review Bowers v. Hardwick (1986) and more recently Lawrence v. Texas (2003). Discuss the USA PATRIOT Act of 2001. Have there been constitutional challenges to this act? How did the Court rule on these challenges? In Munn v. Illinois, the Supreme Court ruled that a state may regulate private property that takes on a public character. Discuss whether this should apply to shopping malls. How has the Patriot Act affected the Bill of Rights? What other protections are guaranteed by the Constitution in addition to those found in the Bill of Rights? How has the Supreme Court interpreted the Fourth Amendment’s protection from unreasonable search and seizure? How do lawyers and the Supreme Court use the Ninth and Fourteenth Amendments to identify new rights that are not specifically listed in the Constitution? How has the Supreme Court used the Ninth Amendment to discover the right to privacy, specifically with regard to birth control, abortion, and sexual activity? How is substantive due process used to discover new rights?

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Class Activities

¾5.1 Define the civil liberties guaranteed by the Constitution and trace the process by which they became binding on state government •

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Supreme Court role play. Choose a Supreme Court case as the basis for an in-depth study of a civil liberties issue. Divide the class into groups representing the Supreme Court justices and the key stakeholders in the case outcome. Allow each group to confer about their position on the issue in question. Tell each group to refer to the textbook, class notes, or text of the case to prepare their best arguments and/or questions in support of their position. Conduct a moot court activity with each side presenting its case; allow justices to interrupt the oral arguments for questions. After both sides present their arguments, have the justices deliberate the case in front of the class and cast their votes. Debrief by having the class identify the most compelling arguments on both sides. Set up a public debate on one or more of the topics associated with this chapter. Invite other classes, or the school, to take part in the debate’s proceedings. Debate whether or not the “Full Faith and Credit Clause” requires states to recognize lawful gay marriages from other states. Have students work in groups to develop several hypothetical conflicts between individual rights and government interests. Explain that such government interests may involve issues of national security, economic interests, or social cohesion. How would they resolve these conflicts? Stage a debate about a civil liberties issue that is currently in front of the Court. Students should research the docket on the Web and be prepared to discuss the issue fully. Using groups of nine, stage a number of Supreme Court conference sessions. Have students do research on "their" assigned justice (one should be Roberts, another Kagan, and so on). They should also choose a case from the current docket and try to determine how the conference would go. What would the Court decide and why? What strategies could the justices use to marshal a majority, etc.? Some scholars have argued that Americans take their freedoms for granted and only consider them when they are threatened by government regulation. Prepare a script for a public service message, or shoot a video that strives to teach Americans about their basic freedoms. Prepare a newspaper editorial in which you either support or object to the Supreme Court decision in Kelo v. New London. Create an editorial cartoon that reflects your thinking about any of the amendments and rights addressed in this chapter. We define democracy in terms of the existence of political liberty and political equality, as well as of popular sovereignty. Based on your reading of this chapter, how has nationalizing the Bill of Rights (making rights obligatory at the state level) made America more democratic? Are there any ways in which nationalizing the Bill of Rights may have made the system less democratic? One task that government must perform is to resolve conflicts between rights. Class participation can be animated if you will encourage your students to think about potential conflicts within the Bill of Rights, such as possible conflicts between public order and free speech. Ask your class to consider the nature of individual rights from the perspective of a victim’s family and from the outlook of a defendant’s family. Copyright © 2011, 2009, 2007 Pearson Education, Inc. All rights reserved.

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There is a fine line between aid to parochial schools that is permissible and aid that is not. Divide the class into panels, and ask them to debate the merits and problems of government aid to church-related schools. Ask members of the panels to prepare for the debate by reading summaries of cases that are used in the textbook to illustrate the establishment clause of the Constitution. Also encourage panelists to research how recent decisions of the Supreme Court have modified these policies. Ask students to debate the validity of the Second Amendment in today’s society. What restrictions should the government be allowed to place on the ownership of firearms? The Internet has changed the way we communicate and the way we conduct business in American society. One recent example is the debate over sharing music and movies online. Engage the students in a discussion about future constitutional and legal challenges the Internet might create.

¾5.2 Analyze the different standards by which the Supreme Court has determined whether restrictions on freedom of speech are acceptable •

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Hold a debate on adopting a constitutional amendment to prohibit burning the American flag. One side should prepare arguments supporting the individual’s right to freedom of expression; the other should focus on potential negative consequences to the public interest of burning the flag. What limitations on freedom of speech have been ruled acceptable by the Supreme Court? Identify the relevant cases and present their outcomes. Although the Supreme Court has ruled that obscenity is not protected by the First Amendment, it has been difficult to determine precisely what is obscene. Ask your students to “try their hands” at writing a definition that could be used by a court or a censorship panel to distinguish obscenity from legally protected art. Concerning freedom of speech, ask your class to consider the way in which the courts distinguish between public persons and private persons, and ask them to evaluate whether it is fair (or appropriate) to use this distinction. How would they change the process to make it more equitable? Would the public lose its ability to evaluate candidates for public office if candidates could sue for libel or slander as readily as persons who are not in the public eye? What rights of privacy should public figures retain? Have students debate the following scenario. In a 2002 decision, the Supreme Court declared that cross burning, even though hateful, was constitutionally protected free speech if it was not designed to be intimidating and make particular targets fear for their safety. In those instances, it would be protected as symbolic speech representing a point of view. If intimidating and making people fear for their safety was the intent, the cross burning would not be constitutionally protected speech. Should the same symbol be treated two different ways legally? Have students select one of the Patriot Act provisions identified in the Chapter and make the strongest argument they can for it and against it. Have students devise and defend guidelines for the federal government’s surveillance of email and instant messages during wartime.

¾5.3 Evaluate how the Supreme Court has interpreted cases regarding religion and how Congress has reacted to the Court’s actions • •

Trace the major Supreme Court cases involving the question of prayer and other religious activity in public schools. A majority of the public has never favored the Court’s decisions on school prayer. Assign short essays, in which each student would take one of the following positions: (1) The school prayer decisions demonstrate the Court’s important role in protecting minority rights in the face of majority opinion; or (2) The school prayer decisions demonstrate how the Court has lost sight of the traditional values that were favored by the framers of the Constitution.

¾5.4 Trace the expansion of the rights of the accused and their balance with the needs of police and prosecutors •

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Dividing the class in half, assign one side to support an inmate’s execution by lethal injection and the other to reject the execution. Students should be given this assignment several class sessions prior to the discussion so they have time to research the positions available for either side. Do limitations on police powers result in a more professional police force? Do police believe measures like the exclusionary rule and Miranda rights make it more difficult to enforce the law? Invite local law enforcement officials to your class to discuss these issues. Have students work in groups to prepare questions on specific issues before the visit. Does capital punishment act as a deterrent to crime? Have students compare crime statistics on capital-level offenses from states that practice capital punishment with those that do not. What do you think about the limits on civil liberties since 9/11? Are these warranted by the threat posed by terrorism or not? Why do you think so? Examine your own beliefs and the values that underlie them. Ask your class to consider the problem of crime control, both from the position of protecting individual liberties for “unsavory” people in order to protect rights for everyone, and from the perspective of protecting the rights of “society” and of victims. Reporters argue that freedom of the press guarantees them certain rights that other potential witnesses cannot claim, such as the right to protect confidential sources, even in criminal trials. Divide the class into sections, with one section assigned the task of defending the right of journalists to shield confidential sources and the other section assigned the task of showing that reporters have no more rights than other citizens. Each section should select a spokesperson to present the group’s analysis.

¾5.5 Explain how the Ninth and Fourteenth Amendments have helped to establish rights other than those specifically listed in the Constitution • •

Read the Ninth Amendment and decide what you think it means. Are people entitled to some rights that are not mentioned in the Constitution? If so, what are they? How does Jefferson’s assertion of inalienable rights fit into this context? If your institution has a student speech code (as many do), bring in a copy of it, along with information regarding whatever penalties there may be for breaking it (a Student Judicial Copyright © 2011, 2009, 2007 Pearson Education, Inc. All rights reserved.

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Code, or the like). Discuss its contents with the class regarding the issues of free speech raised in the chapter-opening story. What do students think should be done, if anything, about “hate speech”? Also, see if the students think it would pass constitutional muster based on the Supreme Court’s definition of acceptable and non-acceptable speech. The trade-off between freedom and security is a long running dilemma in the United States, and has become more evident since September 11, 2001. Review the steps taken by the Bush administration, asking the students whether they agree with them and how much freedom they are willing to give up in exchange for security.

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Research Assignments

¾5.1 Define the civil liberties guaranteed by the Constitution and trace the process by which they became binding on state governments • •

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On the Internet, research the different restrictions on abortion rights across states and create a table classifying states according to the types of restrictions they have in place. Review recent newspapers and try to identify several local issues that involve civil liberties. Write a brief essay in which you identify the problems and offer a solution. Consider constitutional principles and probable reaction by the local community as priorities in establishing your solution. Ask students to find the facts of a current conflict over civil liberties, either using the Internet or the daily newspaper and to lead a class discussion over these facts. What rights or values are in conflict? Ask students to explain how, and why, they would decide the case. Also encourage the students to follow the case over the course of the semester or quarter, and to write a brief essay describing the issues involved and their final position in the conflict. Students could be divided into small focus groups to look at the types of information that can be found by using Internet sites. Give the group a specific assignment of links to follow, and have each group give a brief report to the class. If your classes are small, you may want to send individualized assignments via e-mail. Similarly, other Web Exploration exercises could be used. The debate over claims of a privacy-based “right to die” is a complex and emotional issue. Suggest that your students use the Internet to research this topic, then come to class prepared to discuss whether they think there is a constitutional basis for this debate. They may want to contrast the issues raised in the 1997 Vacco v. Quill case with the earlier Karen Ann Quinlan decision. Have students look up several of the cases cited in this chapter, or assign each student one of the cases for presentation in class or in a paper. Ask students to read the list of grievances of the colonists against the British government in the Declaration of Independence and note which grievances were addressed by various provisions of the Bill of Rights. Trace the development of incorporation of civil liberties through the Supreme Court cases of Barron v. Baltimore, Gitlow v. New York, Near v. Minnesota, and Duncan v. Louisiana. Have each student survey 10 people (not fellow classmates), asking them to list the protections found in the First Amendment. Collect and aggregate the data to see how familiar Americans are with their “preferred” freedoms. Go to http://www.firstamendmentcenter.org/faclibrary/index.aspx, the website for The First Amendment Library. Click the link to the most recent Supreme Court term, and then click on Freedom of Expression. Select a couple of cases and read about some First Amendment Supreme Court decisions. Have students visit or call up a local branch of the American Civil Liberties Union. They should collect written information about ACLU activities and issues. Find out what the ACLU does and why. They could also visit ACLU Web sites (http://www.aclu.org/freespeech/index.html) to find out what activities are currently on the ACLU agenda. Have students compare what they find with information from the Department of Justice. Do they expect to find differences? Are there differences? Discuss. Copyright © 2011, 2009, 2007 Pearson Education, Inc. All rights reserved.

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Have students explore the current docket of the Supreme Court (the easiest way is through Oyez, Oyez on the Internet). Which civil liberty issues are going to be heard this term? How do you think they will be decided, and why? Follow the process until the rulings are made and see if you are right. Have students explore the ACLU Web site (http://www.aclu.org/freespeech/index.html). What kinds of issues is the ACLU currently sponsoring and why? Are there any surprises here? Why or why not? Does the actual working of the ACLU differ from their expectations? Why or why not? Assign students to do a report on how tolerant Americans are of dissent today. State constitutions include bills of rights. In many states, the state constitution is becoming important in framing human rights that are beyond those incorporated in the U.S. Bill of Rights. Have students read the bill of rights in your state's constitution. Compare the wording with that in the U.S. Constitution. Is the state or national bill of rights more specific in wording? Are the rights listed in the state constitution more numerous? Are there any surprises (inclusions or omissions of rights that strike the student as unusual)? Have students write a report on John Stuart Mill's Essay on Liberty.

¾5.2 Analyze the different standards by which the Supreme Court has determined whether restrictions on freedom of speech are acceptable •

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Find out if your campus has a "speech code." (If it doesn't, find a nearby college or university with one.) Would this code stand up to a constitutional test? Why or why not? According to your understanding of the First Amendment, are speech codes constitutional? Do some research at the campus newspaper and see if there was any controversy surrounding the adoption of the speech code and discuss it in class. Flag desecration is a particularly emotional topic. Evaluate opposing viewpoints toward the question of whether flag burning should be considered as constitutionally protected symbolic expression and review the Supreme Court’s opinion in Texas v. Johnson (1989). What conclusion did you reach? How would you substantiate your opinion if your instructor were to include this as an essay question on an exam? Have students research the issue of hate speech on university and college campuses. Have students research the shooting death of Alexander Hamilton by Vice President Aaron Burr. Did Hamilton use fighting words that led to the duel? What are the limits of the fighting words defense? Have students watch and review two motion pictures applicable to this topic— Absence of Malice and the United States v. Larry Flynt. Should there be a national shield law protecting reporters from divulging confidential material in courtroom trials? Conversely, what of the individual citizen's right to confront those accusing him or her? Discuss this constitutional conflict in class. Ask a group of students to research the question further and report their findings to the class. Students can check a list of current issues related to freedom of speech at http://www.aclu.org/freespeech/index.html. Assign small groups to report to the class on the current controversies surrounding some of these issues. Have students learn about the 1971 case, New York Times v. United States (the Pentagon Papers case). They can hear the oral arguments and read the Court’s opinions at Copyright © 2011, 2009, 2007 Pearson Education, Inc. All rights reserved.

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http://www.oyez.org/oyez/resource/case/278/resources. Assign several students to play the roles of the attorneys and the justices, and present the case in class. Have students explore controversial Web sites and discuss the issue of Internet free speech. Should there be controls? What kind of controls might be constitutionally acceptable? Has the Supreme Court dealt with this issue yet? If so, what was their ruling, and how does it affect the sites you looked at? Have students review the 1997 Supreme Court decision in Reno v. American Civil Liberties Union (96–511). The decision involves two provisions of the Communications Decency Act of 1996 that seek to protect minors from harmful material on the Internet by criminalizing the knowing transmission of obscene or indecent messages to any recipient under the age of 18. The Court struck down the provisions as abridging the freedom of speech protected by the First Amendment. Is the decision correct? How can information on the Internet be regulated without violating the First Amendment? Should it be regulated? Have students read and report on New York Times Company v. United States or on United States v. Nixon. Assign Anthony Lewis's Make No Law: The Sullivan Case and the First Amendment as a book report. Contact your local librarian and ask about them about “banned books week” and what books in the past have been banned. Discuss your findings.

¾5.3 Evaluate how the Supreme Court has interpreted cases regarding religion and how Congress has reacted to the Court’s actions • •

Have students read the charters of the original colonies (http://avalon.law.yale.edu/subject_menus/statech.asp) and compare the protections of religious freedom with those found in the First Amendment. Have students review Agostini v. Felton, the 1997 Supreme Court case in which the Supreme Court upheld a federally funded program providing supplemental, remedial instruction to disadvantaged parochial school children. Such a program, said the Court, does not violate the Establishment Clause. Who has the better argument, the majority or the dissenters?

¾5.4 Trace the expansion of the rights of the accused and their balance with the needs of police and prosecutors • • •

Assign students to read Brown v. Mississippi, 297 U.S. 278 (1936), for a stark example of the evil of coerced confessions. Have students look up in their state’s bill of rights for provisions dealing with search and seizure, self-incrimination, and right to counsel. Find the history of your own state’s use of the death penalty and indicate how it met the conditions imposed on applying the death penalty after 1972.

¾5.5 Explain how the Ninth and Fourteenth Amendments have helped to establish rights other than those specifically listed in the Constitution • •

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Read the majority opinions in Bowers v. Hardwick (http://supreme.justia.com/us/478/186/) and Lawrence et al. v. Texas (http://supreme.justia.com/us/539/558/). How did the Court’s opinion on the issue change between these cases? Have students prepare a debate or write a paper on the following: Under former Chief Justice Rehnquist, the Court reduced many of the due process rights granted under the Warren and Burger Courts. Find out what the Roberts Court is doing on these issues. Find examples of how these rights have changed and why. What has the role of public and political opinion been in these changes? Assign the students two articles about the Patriot Act to read—one supportive and one opposing. Ask students how they would balance the two goals of safeguarding our security and protecting our civil liberties. Have students go to http://www.justice.gov/ and find out what the Attorney General has to say about civil liberties. Is the issue of the Patriot Act addressed? If so, in what ways? Are there other issues related to civil liberties under consideration at the Department of Justice? What are they? Assign students to summarize Munn v. Illinois, 94 U.S. 113 (1877), in which the Court upheld the use of the state’s police power to regulate private property. Ask students to read and summarize Justice Blackmun’s majority opinion in Roe v. Wade, 410 U.S. 113 (1973). Use the Internet or another electronic database to research restrictions placed on antiwar protesters during the administration of George W. Bush. Do you think that these restrictions were constitutional? Contact your local government and ask for information about how it has used its power of eminent domain.

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V. Quantitative Assessment Administer Chapter Exam (see Test Bank, Chapter 5) × Return to Chapter 5: Table of Contents

VI. Resources for Further Study A.

Books

[Insert Books] 1. Alderman, E., & Kennedy, C. (1991). In our defense: The Bill of Rights in action. New York: William Morrow & Co. 2. Amar, A. R. (1998). The bill of rights: Construction and reconstruction. New Haven: Yale University Press. 3. Amar, A. R., & Hirsch, A. (1998). For the people: What the constitution really says about your rights. New York: Free Press. 4. Bailey, D. (2004). The open society paradox: Why the twenty-first century calls for more openness—not less. Dulles: Brassey’s Inc. 5. Banaszak, R. (Ed.). (2001). Fair trial rights of the accused: A documentary history. Westport: Greenwood Publishing. 6. Bernstein, D. E. (2004). You can’t say that! The growing threat to civil liberties from antidiscrimination laws. Washington, DC: Cato Institute. 7. Bosworth, M, & Flavin, J. (Eds.). (2007). Race, gender, and punishment: From colonialism to the war on terror. New Brunswick: Rutgers. 8. Brant, I. (1965). The bill of rights: Its origin and meaning. Indianapolis: Bobbs-Merrill. 9. Bridegam, M. (2003). The right to privacy: Point counterpoint. Philadelphia: Chelsea House. 10. Brownstein, A. (Ed.). (2007). The establishment of religion clause: The First Amendment. Amherst: Prometheus Books. 11. Burns, J. M., & Burns, S. (1991). A people's charter: The pursuit of rights in America. New York: Knopf. 12. Carpenter, T. G. (1995). The captive press: Foreign policy crises and the First Amendment. Washington, DC: Cato Institute. 13. Carter, T. B., Franklin, M. A., & Wright, J. B. (1991). The First Amendment and the fourth estate (5th ed.). Mineola: Foundation Press. 14. Craig, B., & O’Brien, D. M. (1993). Abortion and American politics. London: Chatham House Publishers. 15. Delgado, R., & Stefancic, J. (1997). Must we defend Nazis? Hate speech, pornography, and the new First Amendment. New York: New York University Press. Copyright © 2011, 2009, 2007 Pearson Education, Inc. All rights reserved.

16. Devins, N. (1996). Shaping constitutional values: Elected government, the Supreme Court and the abortion debate. Baltimore: Johns Hopkins University Press. 17. Domino, J. C. (1994). Civil rights and liberties: Toward the twenty-first century. New York: Addison-Wesley. 18. Douglas, W. O. (1954). An almanac of liberty. New York: Doubleday. 19. Drakeman, D. L. (1991). Church-state constitutional issues: Making sense of the establishment clause. New York: Greenwood Press. 20. Dry, M. (2004). Civil peace and the quest for truth: The First Amendment freedoms in political philosophy and American constitutionalism (applications of political theory series). Lanham: Rowman & Littlefield Publishers, Inc. 21. Epstein, L., & Walker, T. G. (2004). Constitutional law for a changing America: Rights, liberties, and justice (5th ed.). Washington, DC: Congressional Quarterly Press. 22. Etzioni, A. The limits of privacy. (1999). New York: Basic Books. 23. Finan, C. (2007). From the palmer raids to the patriot act: A history of the fight for free speech in America. Boston: Beacon Press. 24. Fisher, L. (2002). Religious liberty in America: Political safeguards. Lawrence: University Press of Kansas. 25. Friedman, L. M. (2005). A history of American law. New York: Touchstone. 26. Gerstmann, E. (2008). Same-sex marriage and the constitution. New York: Cambridge University Press. 27. Godwin, M. (2003). Cyber rights: Defending free speech in the digital age. Cambridge: MIT Press. 28. Goldberg-Hiller, J. (2002). The limits to union: Same-sex marriage and the politics of civil rights. Ann Arbor: University of Michigan Press. 29. Gould, J. B. (2005). Speak no evil: The triumph of hate speech regulation. Chicago: University of Chicago Press. 30. Hall, K. L., (Ed.). (1992). The Oxford companion to the Supreme Court of the United States. New York: Oxford University Press. 31. Heins, M. (1993). Sex, sin, and blasphemy: A guide to America's censorship wars. New York: New Press. Copyright © 2011, 2009, 2007 Pearson Education, Inc. All rights reserved.

32. Hentoff, N. (1992). Free speech for me…but not for thee: How the American left and right relentlessly censor each other. New York: Harper Perennial. 33. Hentoff, N. (2004). The war on the bill of rights—and the gathering resistance. New York: Seven Stories Press. 34. Heyman, S. (2007). Free speech and human dignity: A rights based theory of the First Amendment. New Haven: Yale University Press. 35. Hickok, E. W., Jr., (Ed.). (1991). The Bill of Rights: Original meaning and current understanding. Charlottesville: University Press of Virginia. 36. Hitchcock, J. (2004). The Supreme Court and religion in American life (Vol. 1: The Odyssey of the Religion Clauses). Princeton: Princeton University Press. 37. Hubbart, P. A. (2005). Making sense of search and seizure law: A Fourth Amendment handbook. Durham: Carolina Academic Press. 38. Hyatt, M. (2001). Invasion of privacy. Washington, DC: Regnery Publishing. 39. Kolhatkar, S. (2007). The next twenty-five years: How the U.S. Supreme Court is going to make you forget the very meaning of the words freedom, privacy, and civil rights. New York: Seven Stories Press. 40. Labunski, R. (2006). James Madison and the struggle for the bill of rights. New York: Oxford University Press. 41. Leo, R. A., & Thomas, G. C., III. (Eds.). (1998). The Miranda debate: law, justice and policing. Boston: Northeastern University Press. 42. Leone, R. C., & Anrig, G. (2003). The war on our freedoms: Civil liberties in an age of terrorism. New York: Public Affairs. 43. Levy, L. W. (1986). The establishment clause: Religion and the First Amendment. New York: Macmillan. 44. Levy, L. W. (1999). Origins of the bill of rights. New Haven and London: Yale University Press. 45. Lewis, A. (1989). Gideon’s trumpet. New York: Random House. 46. Lewis, A. (1991). Make no law: The Sullivan case and the First Amendment. New York: Random House.

47. Lewis, A. (2007). Freedom for the thought that we hate: A biography of the First Amendment. New York: Basic Books. 48. McClosky, H., & Brill, A. (1983). Dimensions of political tolerance: What Americans believe about civil liberties. New York: Russell Sage. 49. Miller, W. L. (1986). The first liberty: Religion and the American republic. New York: Knopf. 50. O’Brien, D. M. (2005). Constitutional law and politics (Vol. 2, Civil Rights and Civil Liberties) (6th ed.). New York: W. W. Norton & Company. 51. Orth, J. V. (2003). Due process of law: A brief history. Lawrence: University Press of Kansas. 52. Passavant, P. (2002). No escape: Freedom of speech and the paradox of rights. New York: New York University Press. 53. Peltason, J. W., & Davis, S. (2004). Understanding the Constitution (16th ed.). Fort Worth: Harcourt Brace. 54. Peters, J. D. (2005). Courting the Abyss: Free speech and the liberal tradition. Chicago: University of Chicago Press. 55. Posner, R. A. (2006). Not a suicide pact: The Constitution in a time of national emergency. New York: Oxford University Press, Incorporated. 56. Rehnquist, W. H. (1998). All the laws but one: Civil liberties in wartime. New York: Knopf. 57. Rose, M. (2007). Safe, legal, and unavailable: Abortion politics in the United States. Washington, DC: Congressional Quarterly Press. 58. Sidel, M. (2004). More secure, less free?: Antiterrorism policy and civil liberties after September 11. Ann Arbor: University of Michigan Press. 59. Stone, G. R. (2005). Perilous times: Free speech in wartime from the Sedition Act of 1798 to the war on terrorism. New York: W. W. Norton & Company. 60. Stone, G. R., Epstein, R. A., & Sunstein, C. R. (Eds.). (1992). The bill of rights in the modern state. Chicago: University of Chicago Press. 61. Sullivan, H. J. (2001). Civil rights and liberties: Provocative questions and evolving answers. Upper Saddle River: Prentice Hall. 62. Taslitz, A. E., (2006). Reconstructing the Fourth Amendment: A history of search and seizure, 1789–1868: A history of search and seizure, 1789–1868. New York: NYU Press. Copyright © 2011, 2009, 2007 Pearson Education, Inc. All rights reserved.

63. Tushnet, M. V. (2007). Out of range: Why the Constitution can't end the battle over guns. Oxford: Oxford University Press. 64. Van Alstyne, W. W. (1984). Interpretations of the First Amendment. Durham: Duke University Press. 65. Waldman, S. (2008). Founding faith: Providence, politics, and the birth of religious freedom in America. New York: Random House. 66. White, D. H, C. (2002). Brother against brother: America’s new war over land rights. Bellevue: Merril Press. × Return to Chapter 5: Table of Contents B.

Articles

1. Beasley, D. (1989, June). State bills of rights: dead or alive? Intergovernmental Perspective . 2. Blum, J. (2004, June 11). D.C. School voucher applications fall short. The Washington Post, sec. A. 3. Brennan, J. W. J. (1977). State constitutions and the protection of individual rights. Harvard Law Review, 90(3), 489–503. 4. Cunningham-Parmeter, K. (2008). Fear of discovery: Immigrant workers and the Fifth Amendment. Cornell International Law Journal, 41(1). 5. Decew, J. W. (2004). Free speech and offensive expression. Social Philosophy and Policy, 21(2), 81–103. 6. Epp, C. (2006).Beyond the First Amendment: The politics of free speech and Pluralism. Perspectives on Politics, 4(4), 761–762. 7. Heck, E. V., & Ringelstein, A. C. (1987, September).The Burger Court and the primacy of political expression. Western Political Quarterly, 4(40), 413–425. 8. Kreimer, S. (2006). Censorship by proxy: The First Amendment, internet intermediaries, and the problem of the weakest link. University of Pennsylvania Law Review, 155(1), 11–101. 9. McConnell, M. W. (1990). The origins and historical understanding of free exercise of religion. Harvard Law Review, 103, 1409–1517. 10. McGuire, R. A. (1989, December). Liberty, property, and the foundations of the American Constitution. Journal of Economic History, 49, 1046–1048. Copyright © 2011, 2009, 2007 Pearson Education, Inc. All rights reserved.

11. Mialon, H. M. (2005). An economic theory of the Fifth Amendment. Rand Journal of Economics, 36(4), 833–848. 12. Miller, P. P. (1988, Winter). Status report on the freedom of information act. PS: Political Science and Politics, 21(1), 87–90. 13. Nuechterlein, J. (1997, Winter). The First Amendment and democracy. The Public Interest, 126, 119–123. 14. Skoll, G. R. (2008) Torture and the Fifth Amendment: Torture, the global war on terror, and constitutional values. Criminal Justice Review, 33(1), 29–47. 15. Trager, Robert. (1995, Winter)Entangled values: The First Amendment in the 1990s. Journal of Communication, 45(1), 163–170 × Return to Chapter 5: Table of Contents C.

Media

1. Bill of Rights: Bill of Responsibility. (1995). Films for the Humanities and Sciences. This program, hosted by Bill Maher of television’s “Politically Incorrect,” considers the meaning of the Constitution and the Bill of Rights in the context of current political issues and controversies. 2. Constitutional Law: First Amendment Jurisprudence and the Media. (2005). Insight Media. A panel of experts examines the impact s of the media on the justice system. 3. Constitutional Law: First Amendment Jurisprudence and Religion. (2005). Insight Media. A panel of experts examines issues regarding freedom of religion. 4. Dead Man Walking. (1996). 5. Free Speech for Sale: A Bill Moyers Special. (1999). Films for the Humanities and Science. Bill Moyers and others examine how big business uses the media to try to control public debate. 6. Gideon’s Trumpet. (1980). Dir. Robert Collins. Hallmark Hall of Fame Productions. A dramatic recreation of the events leading up to the case Gideon v. Wainwright (1963) starring Henry Fonda. 7. The Soul of the Nation: Keeping the Faith. (1996). Films for the Humanities and Sciences. This film examines the role of religion in the U.S. and examines the issue of separation between church and state.

8. You Can’t Say That! “Politically Correct” Free Speech. (2000). Films for the Humanities and Science. ABC reporter John Stossel examines constraints on free speech due to the politically correct movement. 9. Watch What You Say: Free Speech in Times of National Crisis. (2001). Films for the Humanities and Science. This film narrated by ABC’s Ted Koppel examines issues of free speech after 9/11. × Return to Chapter 5: Table of Contents D.

Web Resources

1. American Civil Liberties Union (ACLU) offers information on the entire Bill of Rights, including racial profiling, women's rights, privacy issues, prisons, drugs, etc. It includes links to other sites dealing with the same issues. http://www.aclu.org/ 2. American Conservative Union. http://www.conservative.org/index.html 3. Americans United for Separation of Church and State. http://www.au.org/site/PageServer 4. Cato Institute. http://www.cato.org/ 5. Cornell University Law School Offers the full text of the Bill of Rights and other constitutional documents. http://www.law.cornell.edu/constitution/constitution.billofrights.html 6. The Criminal Justice Legal Foundation works to advance the rights of crime victims through its interpretation of the criminal justice provisions of the Bill of Rights. http://www.cjlf.org/ 7. Findlaw is a searchable database of SC decisions plus legal subjects, state courts, law schools, bar associations, and international law. http://www.findlaw.com/ 8. First Amendment Center. Vanderbilt University. http://www.firstamendmentcenter.com/ 9. FLITE: Federal Legal Information Through Electronics Offers a searchable database of Supreme Court decisions from 1937–1975. http://www.fedworld.gov/supcourt/index.htm 10. The Gay and Lesbian Alliance against Defamation (GLAAD) Advocates fair, accurate, and inclusive representation in the media. Their Web site includes links to related issues as well as news and opinion. http://www.glaad.org/ 11. Human Rights Campaign. http://www.hrc.org/ 12. The Justice Project. http://www.thejusticeproject.org/ Copyright © 2011, 2009, 2007 Pearson Education, Inc. All rights reserved.

13. The Lambda Legal Defense Fund Offers extensive coverage of legal action related to gay, lesbian, bisexuals, the transgendered, and HIV-infected people’s rights. http://www.lambdalegal.org/cgi-bin/iowa/index.html 14. The Legal Information Institute of Cornell University has an excellent site that offers extensive information about civil liberties. There is a section focused on the First Amendment with definitions, historical background, Supreme Court decisions, and links to numerous First Amendment related sites. There are also sites at LII for prisoners’ rights, employment rights, and constitutional rights generally http://www.law.cornell.edu/topics/first_amendment.html LII also offers Supreme Court opinions under the auspices of Project Hermes, the court's electronic-dissemination project. This archive contains (or will soon contain) all opinions of the court issued since May of 1990. http://supct.law.cornell.edu/supct/ 15. NARAL Pro-Choice America. http://www.naral.org/ 16. National Right to Life Committee. http://www.nrlc.org/ 17. National Underground Railway Freedom Center. http://www.freedomcenter.org/ 18. Oyez-Oyez-Oyez is a comprehensive database of major constitutional cases, including multimedia aspects such as audio. http://www.oyez.com/oyez/frontpage 19. People for the American Way. http://site.pfaw.org/site/PageServer?pagename=homepagenew 20. Rominger Legal Services provides U.S. Supreme Court links including history, pending cases, rules, bios, etc. http://www.romingerlegal.com/supreme.htm 21. U.S. Department of Justice. http://www.usdoj.gov/ × Return to Chapter 5: Table of Contents

Integrated Guide to the Text’s Resources (Instructor’s Resource Manual)

Chapter 6 - Civil Rights Table of Contents I. Chapter Overview A. Learning Objectives B. Chapter Summary II. Student Assignments – Pre-Lecture III. Lecture Resources A. Lecture Slides B. Additional Lecture Suggestions IV. Student Assignments – Post-Lecture A. Class Discussion Questions B. Class Activities C. Research Assignments V. Quantitative Assessment VI. Resources for Further Study A. Books B. Articles C. Media D. Web Resources

I. Chapter Overview: A.

Learning Objectives

¾6.1 Trace the advances and setbacks in the quest for civil rights in the nineteenth century. ¾6.2 Explain the demise of the separate but equal doctrine and the creation of civil rights laws and regulations. ¾6.3 Analyze the changes that led to the success and splintering of the civil rights movement. ¾6.4 Describe legal and legislative actions to extend equal protection guarantees to other groups. × Return to Chapter 6: Table of Contents B.

Chapter Summary

Equality and Civil Rights Issues surrounding the status of slaves in the United States emerged as early as the Articles of Confederation. The Framers of the Constitution avoided including the word “slavery” in the text of the Constitution. Yet, there were references to it. The Three-Fifths Compromise, the cessation of importation of slaves in 1808, and laws to return fugitive slaves to their owners are the three provisions mentioned in the Constitution. The Dred Scott Decision (1857) further restricted the rights of blacks by denying slaves American citizenship. The Civil War Amendments (Thirteenth, Fourteenth, and Fifteenth Amendments) added to the Constitution after the Civil War opened the door to civil rights for blacks. The Thirteenth (1865) Amendment declared slavery unconstitutional. The Fourteenth Amendment (1865) limited government discrimination against blacks, but did not limit private discrimination. The Fifteenth Amendment (1870) made it unconstitutional for the national or state governments to deny blacks the right to vote. Legislation enacted during Reconstruction also assisted blacks in obtaining civil rights, most notably in the Civil Rights Act of 1866 and the Civil Rights Act of 1875. Despite these advances, civil rights were set back by the Supreme Court’s decision in Plessy v. Ferguson (1896) that separate facilities for blacks and whites did not violate equal protection so long as those facilities were largely equal. Equal Protection of the Laws Gains Meaning In the twentieth century, a variety of civil rights organizations formed to promote black political interests. The National Association for the Advancement of Colored People (NAACP) was the most important and influential of these organizations. Their lobbying efforts focused on the Executive and Judicial branches. Discriminatory laws were challenged in the courts while the executive branch invoked executive orders to promote civil rights. However, it was not until Brown v. Board of Education (1954) that the Supreme Court rejected the constitutionality of the separate-but-equal doctrine. The Politics of Civil Rights By the close of the 1960s, the United States had experienced a civil rights revolution. The equal protection clause of the Fourteenth Amendment had been used to challenge discriminatory laws. Congress had used its commerce-clause powers to advance civil rights in the private sector. Copyright © 2011, 2009, 2007 Pearson Education, Inc. All rights reserved.

Presidents had used executive orders to further civil rights in government. Finally, voting rights had been extended. Continued success in the area of civil rights also came about as a result of several factors. First, civil rights movements had emerged and provided a voice for disaffected citizens. Secondly, appeals for civil rights were grounded in the beliefs of the American creed. Finally, significant changes within the Democratic Party that moved its focus away from Southern whites to a growing minority constituency in the North brought about greater support for civil rights. However, obstacles emerged when factions emerged within the civil rights movement and white backlash challenged Democratic politicians in their race for the White House. Extension of Equal Protection to Other Groups Many of the benefits achieved by the civil rights movement translated into advancements for other groups, especially women. While the doctrine of equal protection has been extended to other groups, the Supreme Court does not treat every group in the same way. Classifications based on race and ethnicity are reviewed more strictly by the Supreme Court. Gender classifications follow. Groups based on ethnicity, religion, age, and sexual orientation have each faced distinctive issues in their fight for civil rights and have formed their own organizations to challenge discriminatory laws and practices. × Return to Chapter 6: Table of Contents

II. Student Assignments – Pre-Lecture A. B. C.

Student Required Reading: Chapter 6 – Civil Rights Administer Reading Comprehension Quiz (see Test Bank, Chapter 6) Chapter Test – After your students have completed their reading assignment, go over these questions with your class to identify any areas you should focus on in your lecture.

Chapter Test 1. How did the Fourteenth Amendment reverse the Dred Scott v. Sandford decision regarding citizenship? 2. What is the significance of the state action doctrine for civil rights? 3. What was the separate but equal doctrine, and how did the Supreme Court overturn it in Brown v. Board of Education? 4. What government actions were key in obtaining full voting rights for blacks in the 1960s? 5. What is the significance of the Civil Rights Act of 1964? 6. How did Congress apply civil rights statutes to the actions of private individuals and organizations rather than only to governments? 7. In what ways did presidents use their unilateral power to promote civil rights? 8. What were the strategic challenges faced by the civil rights movement and the women’s movement? 9. In what major ways have the strategic challenges and issues facing civil rights movements for other racial and ethnic groups differed from the movement for African Americans? 10. What categories has the Supreme Court constructed to guide its decisions about discrimination in cases based on race, sex, age, and other categories? × Return to Chapter 6: Table of Contents

III. Lecture Resources A.

Lecture Slides

Slide 1

Slide 2

The opening feature is about the internment of Japanese-Americans during WWII. This is an excellent way to introduce civil rights, as it is unique from what we usually talk about. The history on this is interesting and lays out a largely unknown group’s fight for civil rights.

Slide 3

Chapter 6: Civil Rights Guarantees of equal opportunities, privileges, and treatment under the law that allow individuals to participate fully and equally in American society

Slide 4 After Reading This Chapter, You Should Be Able To: 9 LO 6-1: Trace the advances and setbacks in the quest for civil rights in the nineteenth century. 9 LO 6-2: Explain the demise of the separate but equal doctrine and the creation of civil rights laws and regulations. 9 LO 6-3: Analyze the changes that led to the success and splintering of the civil rights movement. 9 LO 6-4: Describe legal and legislative actions to extend equal protection guarantees to other groups.

Slide 5

LO 6-1

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The fact that Barack Obama is president of the United States is a fantastic introduction to civil rights—especially when we return to the founding of the United States and the nineteenth century and realize how far African Americans have come in our history. In fact, the election of 2008 can be seen as a victory for civil rights when we consider the viable candidates and the traditionally disadvantaged groups they represented: Mormon, female, Hispanic, and African-American. Civil rights mostly began in the area of black-white relations, and as such set the framework for other groups’ protest. The Constitution did not prohibit slavery or expressly endorse it; any direct address of slavery in the Constitution would have been a deal breaker. So the framers brokered the three-fifths compromise without ever mentioning the word slavery. They also prohibited the import of slaves after 1808, and they required that fugitive slaves be returned to their owners. In 1857, the Supreme Court stepped into the compromise and brought the issue of slavery in the nation to a head. The Missouri Compromise of 1820 established free and slave territories to keep the balance of slave/free states even. Dred Scott was a slave whose owner had kept him in free territories. When the owner died, Scott sued for his freedom. The Court ruled that he could not sue for his freedom because blacks could not be citizens. If slaves were not free, then their descendents could never be citizens, whether free or not. This decision also declared the Missouri Compromise unconstitutional because it deprived slaveholders of their property without due process of law. Ultimately, the nation resolved the issue in the Civil War.

Slide 7

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Slide 9

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Slide 10

The nation fought a Civil War for nearly five years and had to be reassembled in 1865 with blacks as citizens. From 1865 through 1877, Reconstruction repeated the efforts of the founding and the revolution to lay a new foundation for the nation. The thirteenth (1865), fourteenth (1868), and fifteenth amendments (1870) were passed following the Civil War. The thirteenth ended slavery, the fourteenth guaranteed citizenship to anyone born or naturalized in the United States and ensured that no state could deny a person equal protection under the law, and the fifteenth made it unconstitutional to deny someone the right to vote based on race. In addition to passing the Civil War amendments, Congress gave itself the right to legislate to enforce them. Congress created the Freedmen’s Bureau to help blacks become citizens. The Civil Rights Act of 1866 guaranteed blacks the same property and legal rights as whites. The Civil Rights Act of 1875 promised blacks full and equal enjoyment of hotels, transportation, and places of entertainment. By 1877, federal troops had left the South, and Southern state governments came under the control of whites who began to drive back the civil rights gained.

To Learning Objectives

LO 6-1

Dred Scott, his wife, and their two daughters: The Court’s decision in Dred Scott has stood as one of the most consequential, and most criticized, in American history. Scott received support for his case in many northern newspapers similar to this one.

South Carolina Legislature, 1876: During Reconstruction, blacks advanced to new positions in southern society. In many states, blacks were elected to the legislature in significant numbers. The white blacklash against this success would take firm root after Reconstruction’s end in 1877. Blacks were routinely denied the right to vote and violently harassed when they sought to exercise this right, and black office-holding quickly disappeared.

To Learning Objectives

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LO 6-1

First, the Supreme Court ruled that the Civil War amendments did not apply to the private sector, but only to state actions. Then the Court ruled the 1875 Civil Rights Act unconstitutional because it concerned private action. Finally, in Plessy v Ferguson (1896), the Supreme Court ruled that separate accommodations were constitutional because they were not a badge of slavery; there was nothing inherently discriminatory in separating the races as long as they were equally accommodated. This created the separate but equal doctrine that would exist until the 1950s. It also severely limited national authority over race relations. Jim Crow in Durham, North Carolina, 1940: The separate but equal doctrine was the cornerstone of racial segregation. The Supreme Court validated the doctrine in 1896, but in Brown v. Board of Education in 1954, it declared that mandatory racial separation is inherently unequal and unconstitutional.

To Learning Objectives

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LO 6-1

How did the Constitution deal with slavery? A. It counted each slave as three-fifths of a person. B. It prohibited the import of slaves after 1808. C. It required that fugitive slaves be returned to their owners. D. All of the Above

To Learning Objectives

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LO 6-1

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LO 6-2

Equal Protection Gains Meaning 9Presidential Action 9 Supreme Court Action 9 Legislative Action 9 Comparative Civil Rights

Slide 16

To Learning Objectives

LO 6-2

Equal Protection Gains Meaning 9 Presidential Action 9Supreme Court Action 9 Legislative Action 9 Comparative Civil Rights

To Learning Objectives

Civil rights had no meaning after the Plessy decision—segregation was separate, but not equal. Black political activists spent the first half of the twentieth century creating organizations to represent their interests, the most important of which was the National Association for the Advancement of Colored People, formed in 1909. Because Congress was dominated by white southerners, the NAACP began its efforts in the executive branch. FDR appointed more blacks to his administration than had any previous president. He used an executive order to create the Fair Employment Practices Committee, which ended employment discrimination based on race. By executive order, Truman integrated the armed forces in 1948, created the Fair Employment Board, and forbade all racial discrimination in federal government hiring. The military was the first fully integrated institution in American history. Presidents Eisenhower and Kennedy used executive orders to activate National Guard units in Arkansas, Mississippi, and Alabama to enforce desegregation. Kennedy ordered the creation of compliance mechanisms for nondiscriminatory employment policies by federal contractors: Johnson added sex, Carter added disability and age, and Clinton added sexual orientation and status as a parent. Supreme Court decisions also began to challenge racial discrimination after 1937—mostly because FDR nominated eight new justices and Truman nominated three. The Court did not begin by challenging Plessy, but began to demand more equality in separate conditions. The NAACP decided to challenge in the area of education and was successful in state courts, which convinced the organization to challenge at the Supreme Court. In 1954, the Supreme Court considered four education cases at once called Broad v Board of Education of Topeka, Kansas. The Brown decision overturned Plessy and struck down the laws of twenty-one states at once—there was, however, no timetable set for ending segregation. By 1970, about 1/3 of Southern black children were in majority-white schools and 90 percent were in schools with at least some white students. Activists then turned to de facto segregation. (De jure was in law while de facto was in fact.) Early Court decisions used busing to integrate. But by 1974, the Supreme Court had ruled that equal protection did not extend to de facto.

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Slide 18

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Slide 19

Table 6-1: Note the evolution of the cases—you can talk about how changing contexts may have also helped the Court make decisions.

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Equal Protection Gains Meaning 9 Presidential Action 9 Supreme Court Action 9Legislative Action 9 Comparative Civil Rights

An integration pioneer in Little Rock, Arkansas, 1957: Elizabeth Eckford arrives for her first day of class at Little Rock Central High School. A federal court ordered the school to enroll her and eight other black students. The court’s order was prompted by a lawsuit filed by the NAACP.

To Learning Objectives

During the 1960s, civil rights were pushed other places as well. The Civil Rights Act of 1964 is the core of American antidiscrimination law—it prohibits discrimination on basis of race, color, religion, sex, or national origin. The Congress used the interstate commerce clause as its grounds for the right to challenge discrimination rather than equal protection. The Voting Rights Act of 1965 prohibited the use of discriminatory methods to weaken the voting power of blacks. The twentyfourth amendment (1964) abolished poll taxes in federal elections and the Supreme Court abolished them in 1966. As a result, the number of black voters increased substantially, and black candidates started winning elected office. The most controversial civil rights policy is affirmative action. The text has a feature about affirmative action which can give students parameters for discussing the issue. Since 1989, the Supreme Court has been reining in affirmative action policies.

Slide 20

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Slide 21

LO 6-2

Equal Protection Gains Meaning 9 Presidential Action 9 Supreme Court Action 9 Legislative Action 9Comparative Civil Rights

Slide 22

Note that by the time of the 2007 decision, de facto segregation still exists.

European nations have also faced tremendous tensions due to diversity of immigrant populations. The EU in 2000 instituted an anti-discriminatory policy similar to America’s Civil Rights Act. Depending on the political culture, each nation has used anti-discrimination laws and government programs. Compared to other nations, the United States is stronger in the former and weaker in the latter.

To Learning Objectives

LO 6-2

Which of the following was important to the Civil Rights movement? A. Brown v Board of Education of Topeka, Kansas

Slide 23

To Learning Objectives

Which of the following was important to the Civil Rights movement?

LO 6-2

A. Brown v Board of Education of Topeka, Kansas

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Slide 24

LO 6-3

Politics of Civil Rights

9Successes of the Movement 9 Changes in the Democratic Party 9 Obstacles in the Late 1960s 9 Minority Electoral Power

To Learning Objectives

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LO 6-3

This chart demonstrates that the more events, the more pressure on the situation.

To Learning Objectives

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LO 6-3

French students protest restrictions on wearing religious symbols: To defuse ethnic and religious hostilities, students in French schools are prohibited from wearing religious symbols or clothing. These demonstrators in Paris ask, “Where are liberty, equality, fraternity?”—referring to the motto of the French Republic. Would the French model of deemphasizing group difference work effectively in the United States?

To Learning Objectives

Slide 26

The United States essentially went through a civil rights revolution—the country had changed radically. First, organizations created in the early twentieth century created a lot of pressure which led to successes. Martin Luther King Jr. advocated a protest style known as civil disobedience, creating quite a bit of conflict because white southerners reacted violently to non-violent protestors.

A long journey’s success: Jesse Jackson, a civil rights activist since the 1960s, sheds tears of joy as president-elect Barack Obama delivers his victory speech in Grant Park, Chicago, on November 4, 2008. Jackson himself had run for the 1984 and 1988 Democratic Party nomination. He won 11 contests in 1988 and finished second to Michael Dukakis, the eventual nominee.

Å Back to Learning Objectives

Slide 28

LO 6-3

Politics of Civil Rights

9 Successes of the Movement 9Changes in the Democratic Party 9 Obstacles in the Late 1960s 9 Minority Electoral Power

To Learning Objectives

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LO 6-3

Politics of Civil Rights

9 Successes of the Movement 9 Changes in the Democratic Party 9Obstacles in the Late 1960s 9 Minority Electoral Power

Slide 30

To Learning Objectives

LO 6-3

The Democratic Party transformed itself nationally in the face of resistance in the South. Southerners had been Democratic since 1860 and thus the Democratic Party was very careful about its civil rights policies. In 1932, FDR won election, effectively removing the veto power of the South on presidential nominations. As the party realized its geographical center was moving northward, every presidential nominee after 1936 expressed support for civil rights and the party added it to its platform in 1948. The South realigned and now votes overwhelmingly for Republicans. In the late 1960s, the political landscape changed. First, faith in non-violent civil disobedience was shaken in the summer of 1964, when hundreds of people were killed, injured, or jailed for protesting. Some began to believe that violence should be met with violence. This led to the Black Power movement, which led to the splintering of the Civil Rights Movement. Secondly, many people were supportive of legal and political rights being advocated—but when the movement turned toward social and economic rights, people were turned off. White backlash began to set in by the late 1960s. Blacks began to vote overwhelmingly for Democrats: 90 percent or more in presidential elections. This means that the Democrats can take the black vote for granted and not necessarily respond to it, while Republican candidates ignore them entirely. Mexico City, 1968: Debate over how best to advance civil rights grew more fractious in the late 1960s. Leaders of some black organizations argued that the assassination of Martin Luther King Jr. earlier in 1968 was proof that civil disobedience was too passive an approach. Americans Tommie Smith and John Carlos shocked American television viewers of the 1968 Olympics by giving a black power salute while looking downward during the playing of the national anthem.

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Slide 31

LO 6-3

Politics of Civil Rights

9 Successes of the Movement

In the late 1980s, the Supreme Court ruled that gerrymandering for race (majority-minority districts) was unconstitutional—race could be taken into account, but could not be the predominant reason.

9 Changes in the Democratic Party 9 Obstacles in the Late 1960s 9Minority Electoral Power

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LO 6-3

The ____ argued that violence should be met with violence. A. NAACP B. Civil Rights Movement C. Black Power Movement D. Democratic Party

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LO 6-3

The ____ argued that violence should be met with violence. A. NAACP B. Civil Rights Movement C. Black Power Movement

D. Democratic Party

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LO 6-4

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LO 6-4

Students at a single-sex classroom in the Bronx: Classifying on the basis of gender is allowed by government policy in education. In 2002, only a dozen public schools offered single-sex classrooms within co-educational schools or were entirely single sex. By 2010, the number was over 540, with nearly 100 of those being entirely single-sex schools. Should public schools allow separate education by sex?

To Learning Objectives

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LO 6-4

Government creates classifications of individuals in groups to make decisions: for example, full-time students versus part-time students. Policies discriminate against groups, and people have no problem with that—but some discrimination is different. The first type of groups that it is not okay to discriminate against is suspect categories: race and ethnicity. The courts apply strict scrutiny to the laws that discriminate based on suspect categorization. The second type of group is quasi-suspect: sex. If government discriminates based on sex, then it needs to show that sex had a substantial relationship to an important government interest. The third type is rational: age, income, disability. If government discriminates against a group on this basis, then it has to be rational. For example, only people sixteen years and older can obtain driver’s licenses.

Other than blacks, many ethinic groups have faced severe discrimination. Again, laws that appear to discriminate will be given the strictest scrutiny. The biggest difference between these groups and African Americans is the history of slavery. Also, the classification does not have the same common identity that being black does—Asian does not mean the same to all Asian Americans. American Indians are also different from all other groups in that they are both U.S. citizens and citizens of sovereign nations.

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LO 6-4

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LO 6-4

Slide 39

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LO 6-4

Organizing for Hispanic civil rights: Like blacks, other groups have had advocacy organizations advancing their civil rights. Increasing Hispanic political participation has been a recent focus, as in this voter registration drive at an immigration reform rally in Florida in 2010.

The movement for women’s equality had two distinct stages. The first stage was the suffrage movement, culminating in the nineteenth amendment being passed in 1920. The second phase began in the 1960s, and sought to remove the array of legal restrictions on women. One of the key organizations involved in these efforts was the National Organization for Women (NOW), founded in 1966. Prior to the 1970s, many genderbased laws were left intact (shorter hours for women, etc), but the Court has since knocked most of them down—excepting those that further important government interests, like the draft. Full equality, it has been argued, sometimes needs to take account of differences—for example, women bear children, so there are special demands on them that men do not face and laws should take that into account. The women’s movement lost strength over time, and the best case to use in discussing this is that of the Equal Rights Amendment, proposed in 1972, but failing to get the thirty-eight states necessary to be ratified. Some argue the women’s movement splintered over the more controversial women’s rights, like abortion. Others argue that a legacy of prior success meant it was not necessary—what the amendment pushed for was achieved by law. Diversity in uniform: Women’s advancement in traditionally male fields has often required overcoming de facto discrimination. Although a job might not be explicitly limited to men, the requirements for being hired could, in practice, advantage men. In such cases, judges will consider whether the requirement is significantly related to performing the job or seems arbitrary and unconstitutionally discriminatory against women.

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LO 6-4

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LO 6-4

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Slide 43

Access for the disabled: The Americans with Disabilities Act led to improved accommodations for individuals with physical or mental disabilities. The nature of the required accommodation has been a matter of ongoing legal dispute, as has the cost. How much is too much? Should cost be irrelevant?

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LO 6-4

The lowest level of scrutiny is reserved for age and disability. These qualities are not considered suspect or quasi-suspect—all the government needs is some rational basis. For example, voting is reserved for adults, as is drinking. The Americans with Disabilities Act of 1990 prohibits discrimination in employment, all services of governments, and in public accommodations – but if accommodating the disabled would create an undue hardship, the private owner can be exempted.

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LO 6-4

Note that only thirty-five ratified the ERA, and then five sought to rescind their ratification. Talk about the splintering of the movement: What is it about these states that would make them different from the others?

To Learning Objectives

Regarding the gay and lesbian group, most states, many cities, and the federal government have antidiscrimination hiring policies that include sexual orientation. President Obama used an executive order to add sexual orientation to hate crimes legislation, to allow same-sex partners the right to hospital visits, to allow the Families and Medical Leave Act to apply to partners in same-sex relationships, etc. President Obama did not, however, support same sex marriage, and he defended the Defense of Marriage Act. The feature is on gays in the military; discuss with students the Don’t Ask Don’t Tell policy.

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LO 6-4

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Reaching new heights: Previously a test pilot for Raytheon, Amanda Simpson was named by President Obama as senior technical advisor in the Commerce Department’s Bureau of Industry and Security, monitoring US weapons technology exports. She is the first openly transgender presidential appointee.

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LO 6-4

Which of the following is a quasi-suspect category? A. Race B. Ethnicity C. Sex D. Gay and Lesbian

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LO 6-4

Which of the following is a quasi-suspect category? A. Race B. Ethnicity C. Sex

D. Gay and Lesbian

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Text and Art Credits

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Photo Credits

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Additional Lecture Suggestions

¾6.1 Trace the advances and setbacks in the quest for civil rights in the nineteenth century •

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The history of slavery in the United States left a continuing legacy in the way it produced and exacerbated inequality. The lack of a “level playing field” from the start has meant a systematic disadvantage for the descendants of slaves. The question today is how much should government do to ameliorate the continuing impact of slavery in producing inequality. The Thirteenth, Fourteenth, and Fifteenth Amendments were passed in the post-Civil War period to extend full citizenship rights to African Americans. The Equal Protection Clause of the Fourteenth Amendment has been the cornerstone of assuming the states must uphold (or “incorporate”) the rights of all citizens. When federal troops were removed from the South following the election of 1876, southern states imposed new restrictions on the political rights of African Americans, along with Jim Crow laws to mandate segregation. African Americans were virtually unprotected by the law, and were victims of physical violence from groups like the Ku Klux Klan. In 1896, the Supreme Court upheld the principle of “separate but equal” in Plessy v. Ferguson. Through the 1960s, African Americans continued to suffer racially motivated violence and discrimination that prevented them from full enjoyment of political rights, and undermined their physical and economic security. Bradwell v. Illinois (1893) established a precedent for upholding laws that discriminated against women based on the notion of women’s “natural role in the family.” Even after the Nineteenth Amendment (1920) granted suffrage to women, many laws continued to enforce discriminatory practices. Beginning in the 1970s, the Supreme Court applied the Equal Protection Clause to prohibit gender based-discrimination. The Court applied three tests to examine discrimination claims: the strict scrutiny test is used for cases alleging discrimination on the basis of racial or national origin; the intermediate scrutiny test for gender discrimination claims; and the rational basis test for other discrimination cases. Trace the history of African Americans and slavery throughout the nineteenth century. Read the Thirteenth, Fourteenth, and Fifteenth Amendments to the Constitution. List and describe the rights recognized in these amendments.

¾6.2 Explain the demise of the separate but equal doctrine and the creation of civil rights laws and regulations •

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Race riots and lynchings occurred in both the North and South in the early 1900s, along with continued systematic legal discrimination through Jim Crow laws and other measures. The National Association for the Advancement of Colored People (NAACP) formed in 1909 to fight segregation in the courts. The landmark Brown v. Board of Education case in 1954 finally overturned the separate but equal doctrine from Plessy v. Ferguson. Although the Brown decision outlawed segregation in public facilities, it took another two decades and many other lawsuits to break down the entrenched segregation policies. Today many cities have de facto school segregation due to housing patterns. Address the ongoing question of whether the United States has made sufficient efforts to provide equality of opportunity, or whether we still need active measures such as affirmative

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action programs or the creation of “majority-minority” districts to redress the historical impact of discrimination. The National Association for the Advancement of Colored People was founded in 1910. This association was formed to help African Americans gain equal rights. Many advancements were made through the courts, but large steps toward equality were not accomplished until the Civil Rights Movement of the 1960s. This movement focused on nonviolent tactics such as boycotts, sit-ins, and picketing. Following the Civil War, poll taxes and literacy tests prevented most former slaves from voting. Significant change did not arrive until the passage of the Voting Rights Act of 1965. Corruption at the polls prompted new laws concerning residency and registering to vote. Eyes on the Prize is an award-winning documentary series that examines the civil rights era of the 1950s-60s, interspersing dramatic newsreel footage with interviews and commentary. Any one of these episodes could be used as a basis for showing students the history of civil rights in the United States and provoking discussion about what has changed and what has not since then. Discuss the advances and setbacks in blacks’ quest for equality and civil rights in the nineteenth century, including the doctrine of separate but equal. Explain the increasing meaningfulness of equal protection of the laws through the demise of the separate-but-equal doctrine in the twentieth century, and the creation of new laws and regulations to address racial inequalities. Outline the advances in civil rights that led the NAACP to challenge the separate but equal doctrine in Brown v. Board of Education (1954). Discuss the complexities involved with affirmative action. Discuss the nature of the politics of civil rights and the political opportunities and challenges faced by the movement for black civil rights. Describe the strategies used by civil rights activists in the 1960s. List and describe the three major challenges that created problems for the civil rights movement beginning in the late 1960s. Prepare a brief history of the Brown v. Board decision, including the role of the NAACP and subsequent implementation of the decision. Compare and contrast the political philosophies of Booker T. Washington and W.E.B. DuBois. Discuss how the Equal Protection Clause of the Fourteenth Amendment has been used in affirmative action cases.

¾6.3 Analyze the changes that led to the success and splintering of the civil rights movement • •

Review the failed history of the Equal Rights Amendment and ask students to speculate on whether the Equal Rights Amendment might have passed if submitted to ratifying conventions instead of state legislatures. Judicial decisions on civil rights have only limited impact on ending discrimination. Grassroots movements for civil rights aim to change social values to reflect greater acceptance of equality for all.

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Beginning in the 1950s, the use of rallies, boycotts, and other grassroots activities became a powerful tool to protest discrimination. Protesters, especially in the South, often faced arrest and beating by white law enforcement officials. The 1955–56 Montgomery bus boycott led by Rev. Dr. Martin Luther King exemplified the power of grassroots mobilization. Other landmark civil rights events during this period include President Eisenhower’s use of federal troops to escort African-American students into Little Rock High School, the deaths of four young girls in the bombing of a Birmingham church, the murder of three civil rights workers in Mississippi, and the 1963 March on Washington. This section details the provisions of the Civil Rights Act of 1964 and the Voting Rights Act of 1965. These landmark pieces of civil rights legislation were more effective and enforceable than previous measures. One major element of the struggle to protect civil rights for women was the suffrage movement. The Nineteenth Amendment granting women the right to vote was ratified in 1920. However, discrimination against women in the workforce, education, and the legal system continued, and grassroots women’s movements emerged in the 1960s and ‘70s. Women could vote but had not obtained equality with men. Social and economic changes from World War II forced many to reconsider the role of women in society. The main focus of the new wave was to obtain equal economic opportunity for women. The feminist movement began in 1848 with the Seneca Falls Convention and the adoption of the Declaration of Sentiments. Women wanted the right to own property, vote, make money, and to be given the opportunity to gain an education. The right to vote was very controversial and was not granted until 1920, when the Nineteenth Amendment was ratified Discuss the advances and setbacks in women’s rights since the 1920s.

¾6.4 Describe legal and legislative actions to extend equal protection guarantees to other groups •

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What do we mean by equality, and how close does the United States come to realizing it? Examine the struggles of African Americans, women, Latinos, and other groups to achieve full political and legal equality. Examine the historical roots of discrimination and the lasting impact of racial oppression in the United States. Point to the importance of the Fourteenth Amendment’s Equal Protection Clause in opening the court-centered pathway to civil rights advocates, and traces the major court cases that led to the desegregation of schools and other public facilities. Look at the way different groups have mobilized grassroots movements to garner public support and pressure government to uphold and enforce civil rights for all. Finally, point out that discrimination is still active in the United States, and explore some of the current controversies involving civil rights, including rights for gays and lesbians, the disabled, and native Americans. The introduction identifies civil rights issues as having to do with equal status and treatment. Civil rights laws have been implemented in the United States to counter the results of discrimination based on race, gender, ethnic or national association, and other characteristics. The struggle to attain civil rights for all has used multiple pathways, notably the courts and grassroots mobilization. How do Americans understand equality? The founders thought of equality as equal enjoyment of political rights, but did not consider extending these rights to all. Women, African Americans, and in some states, white males who did not own property, were denied Copyright © 2011, 2009, 2007 Pearson Education, Inc. All rights reserved.

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political equality. Over time, political equality was extended to encompass these groups. While political rights have been expanded, American political culture has not made equality of condition a central value. Civil rights issues facing Latinos in the United States include low pay for physically demanding jobs, housing, employment, and education discrimination, and discrimination by law enforcement officials. Organizations devoted to fighting discrimination against Latinos include labor unions and legal defense groups. The United Farm Workers, led by Cesar Chavez, has garnered attention to the cause of migrant workers but has not always been effective in achieving its goals. Discrimination today may take more subtle forms than in the past and may be difficult to prove. Are differences in the opportunities and benefits enjoyed by some groups the result of discrimination, either past or present? The fight for rights for homosexuals has surged since the 1960s. Legal battles have resulted in many positive changes for the gay community. Many anti-discrimination laws have been passed. The fight for the legalization of gay marriage has been raging for many years. States such as Massachusetts have recently legalized gay marriages. Groups that have mobilized to fight discrimination more recently include the disabled, gays and lesbians, and Native Americans. Review state ballot initiatives related to rights of same-sex couples during the 2008 elections. Describe legal and legislative actions to extend equal protection guarantees to other groups. Describe the variety of subgroups that make up the Hispanic population. Compare and contrast the various subgroups in terms of countries of origin, geographic location in the United States, means of entry in the U.S., current economic and educational status, and political clout. Trace the history of Native Americans from colonial times to the present, citing relevant historical events and legislation. Discuss the Americans with Disabilities Act of 1990. Trace the history of the women’s right movement, citing relevant Supreme Court cases and legislation.

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IV. Student Assignments – Post-Lecture A.

Class Discussion Questions

¾6.1 Trace the advances and setbacks in the quest for civil rights in the nineteenth century • • • • • • • • •

Given acknowledgment by Thomas Jefferson and, apparently, other Founders that “all men are created equal,” why was slavery accepted in the new government? What was the status of slavery throughout the world when the Constitution was written? Lincoln is credited with preservation of the Union and, because of his Emancipation Proclamation, with the abolition of slavery. What was Lincoln’s position on slavery or blacks before he became president? What impact did Reconstruction have on southern states’ later actions toward their former slaves? What is meant by the phrase “equal protection of the law”? Why is the Fourteenth Amendment so important in protecting a wide variety of rights? Ask members of the class to differentiate between “equality of opportunity” and “equality of result.” What do you see as the major advance and the major setback of the civil rights movement in the nineteenth century? Why? What criteria did Justice Taney use in the Dred Scott case?

¾6.2 Explain the demise of the separate but equal doctrine and the creation of civil rights laws and regulations • • •

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Why did it take almost sixty years to overturn the Plessy decision with the 1954 Brown decision? How were states refusing to comply with the court’s Brown decision? Discuss the different positions taken by senators from northern and southern states in the attempts to pass the civil rights bills of the late 1950s and 1960s. Martin Luther King, Jr., is credited with developing nonviolent, direct action as a means of working toward integration of the races. What about contributions of others preceding King? Fredrick Douglass? W.E.B. DuBois? Booker T. Washington? Alain Leroy Locke? What were their contributions? Why are their contributions so often overlooked, or even unknown? If cases such as Brown and rulings creating affirmative action did not exist, how would the United States realistically have achieved “equality” for all people? What is meant by “affirmative action”? What are the most important arguments for and against affirmative action programs? What means did southern states use to prevent Black Americans from political and economic advancement after the Civil War? How did this compare with the North? Your answer should use the terms “de jure” and “de facto.” Do you see evidence of discrimination in your everyday life? How do you respond to it? Why did the NAACP rely heavily on the court and grassroots pathways as the best avenues to bring about change in the civil rights arena? Identify the three tests used by the courts in deciding discrimination cases and explain the kind of case for which each test is deemed relevant. Copyright © 2011, 2009, 2007 Pearson Education, Inc. All rights reserved.

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Engage the students in a discussion of the recent Michigan Supreme Court case on affirmative action. What will it mean, if anything, for minority attendance levels in undergraduate and professional schools? Affirmative action plans are intended to rectify past wrongs. Ask your class to consider how they would go about proving a past pattern of discrimination if they wanted to pursue a case about discrimination. What evidence or documentation would they need to develop? What role did the National Association for the Advancement of Colored People (NAACP) play in the civil rights movement during the first half of the twentieth century? What is the difference between de facto and de jure segregation? How did the Supreme Court address de facto segregation? How was legislation used to advance civil rights in the 1960s? How did the transformation of the Democratic Party in the early twentieth century help the civil rights movement?

¾6.3 Analyze the changes that led to the success and splintering of the civil rights movement • • • • • • • • •

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What are the pros and cons of equality of opportunity? Of equality of results? What direct impact does each offer? Who is the contemporary, living leader of African American interests since Martin Luther King, Jr.? Who appears to have captured some amount of widespread support of government? Support of whites? Blacks? Discuss possible explanations for Congress’s failure to incorporate needs and issues of disabled Americans in the 1964 Civil Rights Act. What groups and forces contributed to the expansion of civil rights in America? What are the most important civil rights issues facing America today? Discuss the historic symbolism of the noose. Compare the anti-apartheid movement in South Africa and the measures used to protest there with the American civil rights movement. Have students explore the following question through class discussion: Was the Civil Rights Movement a success or failure? Discuss the April 2001 racial situation that erupted in the city of Cincinnati. The shooting of an unarmed Black American, Timothy Thomas, was at that time the fifteenth shooting of black men in the city since 1995. Review the aftermath of that shooting, including the riots and attempts at reconciliation between the races. What was the Bakke case, and what was the result of this case on quotas? Explain why you think “diversity” in education is a compelling reason to create programs that are not “equal.” Debate the question as to what the requirements should be for police to use deadly force.

¾6.4 Describe legal and legislative actions to extend equal protection guarantees to other groups •

The use of amicus curaie briefs has increased dramatically in the last couple of decades and many people now argue that public opinion plays a role in Supreme Court decisions. Have Copyright © 2011, 2009, 2007 Pearson Education, Inc. All rights reserved.

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students discuss how one might study these two issues. How would one characterize the role of such lobbying in civil rights cases? Does public opinion affect SC opinions? How and why? The American population is about 13 percent Hispanic. Identify and discuss causes for increased activities and issue-attention on their behalf since 1990. What are some of the injustices that have been committed against Native Americans? What recourse do they have under our laws? Identify three key women’s rights leaders today. Why did you choose these women? Discuss the difficulties in agreeing on appropriate terminology for African Americans or Native Americans. Discuss why Asian Americans have done relatively well in the United States, their adopted country. Discuss the issue of English as the official language of the United States in view of the growing Hispanic population. What type of federal policies, if adopted, could increase the number of Hispanic and African American college graduates? What is the fastest growing racial or ethnic group in the United States? Name some reasons you feel this population surge is occurring. What is the likely outcome politically, economically, and socially? How have gender differences played a role in national politics? How would this country be different with a woman president? Why have so few women been elected to national political office? What does the candidacy of Senator Obama portend for the future of African Americans in political life? Will his candidacy change the discussion of race in the U.S., and if so, how? Some claim that the women’s movement has succeeded: Women comprise close to half of the workforce and are rapidly increasing their percentages as elected officials at all levels. Others claim that the women’s movement has failed, or is a long way from succeeding, since women are still predominantly stuck in low-paying jobs, and even among the same job categories, women earn less than men. Also, having a relatively small number of the seats in Congress cannot be called real success. Which view is correct? How has the U.S. political system responded to the charges of discrimination against gays and lesbians? How will the growth of the Hispanic population affect our political system? Why aren’t there more women legislators in Congress? Discuss the “under-representation” of Hispanics in America. Ask students to identify their own ethnic backgrounds and discuss how it affects their political, social, and economic perceptions. What do we mean by “equality” in the context of American society, law, and politics? What are the historical roots of contemporary notions of equality? Does racial, ethnic, and gender diversity enhance educational or workplace experience? As the multiracial population of the United States increases and ethnic minorities become a greater proportion of the population, do you think discriminatory attitudes will increase or diminish? How does equality of condition differ from equality of opportunity? How might these be related? Copyright © 2011, 2009, 2007 Pearson Education, Inc. All rights reserved.

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Discuss the glass ceiling and explanations for its continued existence after so many years of women participating in the workplace on a large scale. What factors do you think explain the continuing wage gap between the earnings of men and women? How are attitudes toward immigrants from Muslim countries today similar to or different from attitudes toward Latinos? How might groups advocating civil rights protections for gays and lesbians use the court pathway? The grassroots mobilization pathway? Have students discuss the following questions: 1) To what degree should legislators or judges consider public opinion when they are deciding what to do about same-sex marriage? 2) What factors should determine whether a member of Congress votes for or against a proposed constitutional amendment prohibiting same-sex marriage? To defuse ethnic and religious hostilities, students in French schools are prohibited from wearing religious symbols or clothing. Have students discuss whether the French model of deemphasizing group difference would work effectively in the United States. What two strategies have been proposed to enhance the political power of minority groups? Why has it been difficult for Latinos and Asians to organize politically in pursuit of equal rights? How does the experience of Native Americans differ from that of other minority groups? How is discrimination based on age and disability treated differently than discrimination based on race and sex? How is the movement for gay and lesbian equality both a civil rights and a civil liberties issue? What is an IEP and how does this provide equality of opportunity for individuals with disabilities?

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Class Activities

¾6.2 Explain the demise of the separate but equal doctrine and the creation of civil rights laws and regulations •

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Before class begins, change the position of several rows of chairs in the classroom. Do not allow the students to move them back to their normal positions. Teach the class with students in the newly positioned chairs, as well as those in their normal places. Shortly before class ends, or even in the next class, discuss “separate but equal” from the students’ experiences. (Be sure to emphasize that this “separate” was much more “equal” than most experiences under that doctrine.) Dividing the class in half, assign one group to prepare arguments in support of the statement that “African Americans are better off today than they were before the Civil Rights Act of 1964.” The other half of the class is to defend the opposite statement, that “African Americans were better off before the Civil Rights Act of 1964.” Have students debate a civil rights issue such as affirmative action, the ADA, funding of special education, etc. Do we still need affirmative action? Assign students to prepare arguments on each side of this issue, and divide the class into small groups to debate. You might ask students to argue on behalf of the side opposite their own views. Create a list that highlights the pros and cons of affirmative action. How does society benefit from remedial programs such as affirmative action? Does affirmative action serve its intended purpose, or is the divisiveness, which it often conjures, self-defeating? Outline all of the civil rights issues discussed in this chapter and list the relevant constitutional clauses or articles. Are people entitled to some rights that are not mentioned in the Constitution? If so, what are they? For a reading and writing connection, have students choose one of the key conflicts of the 1960s civil rights movements (e.g., Selma, Montgomery). Ask students to write a brief description of the events, explaining why Blacks and Whites engaged in the behaviors they did. Who won? Who lost? Why?

¾6.3 Analyze the changes that led to the success and splintering of the civil rights movement • •

Have students do a clipping file of current or recent events involving violations of civil rights and the expansion of government. Ask them to write an essay identifying the violations and to describe how government has expanded as a result of efforts to provide protections. Divide students into two opposing sides and have them debate the following question: Is white opposition to Affirmative Action racist?

¾6.4 Describe legal and legislative actions to extend equal protection guarantees to other groups •

How can technology today play a role in the strategies used by grassroots movements? Have students create a website and strategize over how to use the Internet to support a “movement” devoted to increasing government support for college education. Copyright © 2011, 2009, 2007 Pearson Education, Inc. All rights reserved.

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Write an essay describing the evolution of women’s rights. Be certain to list relevant issues such as voting rights, abortion rights, affirmative action, and sexual harassment. What are the relevant constitutional issues? Suggest that your students compare the Equal Rights Amendment with the Fourteenth Amendment. Did the ERA cover some of the same ground as the Fourteenth Amendment, or did they deal with completely separate concepts? Divide your class into panels to discuss the role that women and homosexuals should play in the military. One team should be assigned to examine the congressional hearings that were conducted after the Persian Gulf War which led to a congressional decision to permit women to serve as combat pilots; another team should be given an assignment to look at coverage in the media of public reaction to the 1993 compromise concerning gays in the military (“Don’t ask, don’t tell, don’t pursue”). Ask students to write brief essays assessing the formal role of women in combat and how the media covered the role of the women in the military during the Persian Gulf War of the early 1990s with that of the U.S.’s invasion of Iraq. How similar or different was the coverage? Why? Ask students to document historical and contemporary civil rights issues in South Africa to assess whether there is anything familiar about the problems of citizenship and discrimination. In general, the discussion should focus on disenfranchisement and dual citizenship problems, which Blacks and women have especially suffered both there and in the United States. One way to examine contemporary issues raised in this chapter is through guest speakers. To provoke discussion on the issue of affirmative action, you can ask your college or university’s Affirmative Action/Equal Opportunity Officer, and/or a representative from the Admissions Office, to visit your class and discuss how affirmative action or equal opportunity policies are applied at your institution. Alternatively, you could also ask (assuming your institution has one - most public ones do) your ADA (Americans with Disabilities Act) compliance officer or similar official to visit the class to discuss issues of campus accommodations for students with disabilities. Link all of these discussions to questions concerning equal access, treatment, and participation raised in the text.

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Research Assignments

¾6.2 Explain the demise of the separate but equal doctrine and the creation of civil rights laws and regulations • • • •

Have students address the following: Choose one civil rights issue and research it in depth. What constitutional issues are used, what arguments, etc.? How do you feel the current Court would rule on this issue and why? Have students use the Web to research civil rights strategies, for example, the NAACP chose to use a litigation strategy to achieve desegregation and equal rights. How did they implement this strategy and what were their other choices? Have students search the Web for examples of Supreme Court cases that explain the equal protection clause and constitutional standards of review. Have students document the events and effects of the civil rights movement on their college campus through archival research and interviews. With the information from their research supplemented by the text, students can then create a slideshow presentation or poster presentation that can be used by the public library or local schools as a display.

¾6.3 Analyze the changes that led to the success and splintering of the civil rights movement •

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Congress also plays a role in civil rights. Have your class do some research to determine what types of civil rights issues Congress has been dealing with in the last five to ten years. Why are these issues in Congress and not the Courts? Is this a symbol of progressive change or something else? Have your students research the executive branch's activities regarding civil rights. What is its role, and how does it exercise it? What issues does the executive branch currently consider to be important in civil rights? What is the administration's position on certain issues such as: affirmative action, equal pay, handicapped access, etc.? Surveys show that most Americans oppose affirmative action programs, even though Americans in general support nondiscrimination in employment and education. Ask students to research the legal rationale behind affirmative action policies, and how the courts have evaluated various affirmative action programs. Have several members of your class debate the concepts of affirmative action and reverse discrimination. Can one group be protected without discriminating against another? Where would your students place their priorities? Have students look on the Web for additional historical information on the struggle for civil rights, including the process the U.S. went through in civil rights from 1800-1890, 19001939 (impact of WWI, etc.), 1940-48 (the impact of WWII, GI Bill, etc.), 1948-1960, 19601965, 1966-1974 (impact of Vietnam and Watergate), and 1974 to present. Have students look at the current Supreme Court docket. What civil rights cases can they find? Have students respond to the following questions: What are the constitutional arguments? How do the arguments differ from the cases the book discusses in the 1950s and 1960s? What might account for these changes? What might account for the similarities? Have students find a case on the current Supreme Court docket about civil rights. Assign each of them to determine how a given justice might choose to vote by doing some research on that justice's opinion (make sure all of the justices are represented). Then have them roleCopyright © 2011, 2009, 2007 Pearson Education, Inc. All rights reserved.

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play a debate on the case they chose. Affirmative action for admission to college is before the Supreme Court. Have students look at “admissions packets” (ask the admissions office for some with names blacked out) and determine what criteria are, can, and ought to be used for college admissions through interviews with admissions officers (ideally at more than one campus) and then have the class role-play as an admissions committee. Search the official website of your state government to find agencies devoted to enforcing civil rights. Before beginning the chapter on civil rights, give students a pre-test to gauge their understanding of what “affirmative action” practices are constitutional and which practices are impermissible. After students complete the chapter, have them survey other students on campus using the same questions. Then, in a critical essay, they should analyze the results, note trends, comment on how their answers were similar to (or different from) other students, and reflect on the implications of public opinion and public knowledge on this topic for civil rights more generally. This essay will serve as a post-test to compare against their earlier responses. Have your students select a court case that is currently in the news or being discussed on the Internet that has implications for civil rights. The class should follow the case as it develops and try to evaluate how well it fits within the framework of what they have been reading in the textbook.

¾6.4 Describe legal and legislative actions to extend equal protection guarantees to other groups •

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Have the students examine the Defense of Marriage Act (DOMA). Then have the students research the laws related to gays and lesbians in their state and compare their states’ statutes to the laws of either a more conservative state such as Texas or a more progressive state such as Massachusetts. Have students look on the Web for additional information on the history of the women's suffrage and rights movement up to and including the ERA and its ratification drive as well as the current situation. Give them some hints on key words such as: glass ceiling, pink collar work, equal pay, NOW, Phyllis Schlafly, etc. Find a current news article relating to gay rights and bring it to class for discussion. Once African Americans and women had some success in the battle for equal rights, other groups mobilized to gain their rights. Have students do some Web research. What other civil rights groups formed after the two mentioned above? What tactics did they use? And how successful have they been? Trace the history of women’s suffrage in the United States. Search the Internet for estimates of the number of Latinos in the United States, and compare those with the official census numbers. What difficulties do census takers face in getting an accurate count? Search for “age discrimination” in your favorite search engine. Discuss the difficulties in proving age discrimination cases in the workplace. Do you think a movement to protest discrimination based on age is necessary? Have students interview seniors residingin an assisted living center or community center about their recollections of life before, during, and immediately after the civil rights era. Use Copyright © 2011, 2009, 2007 Pearson Education, Inc. All rights reserved.

•

• • • •

recordings of these interviews to create an oral history of the civil rights movement, and ask students to write a reflective essay tying together themes from the interviews with the information from the textbook. (Using these oral histories, students could partner with local high school drama classes in a playwriting competition based on the information in the oral histories. The winning script could then be turned into a production co-sponsored by the college and the high school.) Assign all students to read the case U.S. v. Virginia. Then ask the male students to prepare arguments for the position of the U.S. and other amici in support of the federal government’s position (e.g. Air Force and Naval Academies, National Organization for Women). The female students should prepare arguments for the position of Virginia and for supporting amici (e.g. the Citadel, VMI alumni association, alumni associations of the Naval and Air Force academies, an all-female college, and an all-male college). The simulation can also be run like a debate, with opportunities for rebuttal and response. [Note: the groups listed as amici in this exercise did not necessarily all file briefs, so instructors should be free to make any substitutions of groups that are appropriate or that would produce interesting arguments.] During World War II, Americans of Japanese descent were sent to “relocation centers.” Ask your students to discuss whether the alleged threat of espionage and a Japanese invasion of the Pacific Coast justified this action. Ask students to review the Court decision (and public reaction) in Korematsu v. United States, as well as the recent decision to pay families sent to relocation centers for damages incurred. Finally, are there any parallels regarding the detainment and questioning of large numbers of Arab Americans and U.S. residents of Muslim descent? Go to the U.S. Census homepage (http://www.census.gov). Look at the demographic breakdown from the 2010 Census and discuss the public policy ramifications of the new population numbers. Same sex marriage has been a hot topic of discussion. Attitudes seem to differ dramatically depending upon how the polling questions are framed. Have students delve into this to explain it by looking at polls such as Zogby, Roper, and Gallup. Ask students to interview a naturalized citizen to find out what American citizenship means to him or her. Using the Internet, find out more information of Kenneth Clark and his “Doll” experiment. What makes this evidence so compelling?

× Return to Chapter 6: Table of Contents

V. Quantitative Assessment Administer Chapter Exam (see Test Bank, Chapter 6) × Return to Chapter 6: Table of Contents

VI. Resources for Further Study A.

Books

1. Alex-Assensoh, Y. M., & Hanks, L. (Eds.). (2000). Black and multiracial politics in America. New York: New York University Press. 2. Amar, A. R. (2000). The bill of rights: creation and reconstruction. New Haven: Yale University Press. 3. Andersen, E. A. (2004). Out of the closets and into the courts: Legal opportunity structure and gay rights litigation. Ann Arbor: University of Michigan Press. 4. Anderson, T. H. (2004). The pursuit of fairness: A history of affirmative action. Oxford: Oxford University Press. 5. Andrews, P. (1995). Voices of diversity: Perspectives on American political ideals and institutions. Guilford: Dushkin. 6. Axelrod, A. (2003). Minority Rights in America. Washington, DC: Congressional Quarterly Books. 7. Baer, J. (2002). Women in American law. New York: Holmes & Meier. 8. Barnes, C. (2003). Native American power in the US. Teaneck: Fairleigh Dickinson University Press. 9. Bell, D. (2005). Silent covenants: Brown v. Board of Education and the unfulfilled hopes for racial reform. New York: Oxford University Press, Incorporated 10. Bell, J. (2004). Policing hatred: Law enforcement, civil rights, and hate crime. New York: New York University Press. 11. Black, E., & Black, M. (1987). Politics and society in the south. Cambridge: Harvard University Press. 12. Blasius, M. (Ed.).(2001). Sexual identities/queer politics. Princeton: Princeton University Press. 13. Branch, T. (1988). Parting of the waters: America in the king years, 1954–1963. New York: Simon & Schuster. 14. Branch, T. (1998). Pillar of fire: America in the king years, 1963–1965. New York: Simon & Schuster.

15. Branch, T. (2007). By the waters of canaan: America in the king years, 1966–1968. New York: Simon & Schuster. 16. Brandt, E. (1999). Dangerous Liaisons: Blacks, gays and the struggle for equality. New York: New Press. 17. Bruns, R. (2005). Jesse Jackson: A biography. Westport: Greenwood Press. 18. Carson, C., Garrow, D. J., & Gill, G. (Eds.). (1991). The eyes on the prize civil rights reader: Documents, speeches, and firsthand accounts from the black freedom movement, 1954– 1990. New York: Penguin. 19. Carter, S. (1991). Reflections of an affirmative action baby. New York: Basic Books. 20. Chang, I. (2003). The Chinese in America: A narrative history. New York: Viking. 21. Chong, D. (1991). Collective action and the civil rights movement. Chicago: University of Chicago Press. 22. Churchill, W. (2003). Perversions of justice: Indigenous peoples and Angloamerican law. San Francisco: City Lights Books. 23. Cohen, C. (2003). Affirmative action and racial preference: A debate. New York: Oxford University Press. 24. Cole, D. (1999). No equal justice: Race and class in the American criminal justice system. New York: New Press. 25. Crites, L. L., & Hepperle, W. L. (1987). Women, the courts, and equality. Newbury Park: Sage Publications. 26. Cushman, C., (Ed.). (2000). Supreme Court decisions and women’s rights. Washington, DC: Congressional Quarterly Press. 27. Davis, M., & de la Campa, R. (2000). Magical urbanism: Latinos reinvent the big city. New York: Verso Books. 28. Domino, J. C. (1994). Civil rights and liberties: Toward the 21st century. New York: HarperCollins Publishers. 29. Dudziak, M. L. (2002). Cold war civil rights: Race and the image of American Democracy. Princeton: Princeton University Press. 30. Eickhoff, D. (2006). Revolutionary heart: The life of Clarina Nichols and the pioneering crusade for women's rights. Kansas City: Quindaro Press.

31. Espino, R. (Ed.) (2008). Latino politics: Identity, mobilization, and representation. Charlottesville: University of Virginia Press. 32. Ezorsky, G. (1992). Racism and justice: The case for affirmative action. Ithaca: Cornell University Press. 33. Fiscus, R. J. (1992). The constitutional logic of affirmative action. Durham: Duke University Press. 34. Garrow, D. J. (1986). Bearing the cross: Martin Luther King Jr. and the Southern Christian leadership conference. New York: William Morrow. 35. Gerstmann, E. (2008). Same-sex marriage and the constitution. New York: Cambridge University Press. 36. Githens, M., Pippa, N., & Lovenduski, J. (Eds.). (1994). Different roles, different voices: Women and politics in the United States and Europe. New York: HarperCollins Publishers. 37. Goldberg-Hiller, J. (2002). The limits to union: Same-sex marriage and the politics of civil rights. Ann Arbor: University of Michigan Press. 38. Hacker, A. (1992). Two nations: Black, white, separate, hostile, unequal. New York: Charles Scribner’s Sons. 39. Hall, K. L. (Ed.). (1992). The Oxford companion to the supreme court of the United States. New York: Oxford 40. Hall, S. (2006). Peace and freedom: The civil rights and antiwar movements in the 1960s. Philadelphia: University of Pennsylvania Press. 41. Hampton, H., & Fayer, S. (1990). Voices of freedom. New York: Bantam. 42. Jackson, T. F. (2006). From civil rights to human rights: Martin Luther King, Jr., and the struggle for economic justice. Philadelphia: University of Pennsylvania Press. 43. Katznelson, I. (2005). When affirmative action was white: An untold history of racial inequality in twentieth century America. New York: W. W. Norton & Company. 44. Klein, E. (1974). Gender politics. Cambridge: Harvard University Press. 45. Kluger, R. (2004). Simple justice: The history of Brown v. Board of Education and Black America's struggle for equality. New York: Vintage. 46. Kunin, M. M. (2008). Pearls, politics, and power: How women can win and lead. New York: Chelsea Green. Copyright © 2011, 2009, 2007 Pearson Education, Inc. All rights reserved.

47. Loury, G. (2008). Race, incarceration, and American values. Cambridge: The MIT Press. 48. Mansbridge, J. J. (1986). Why we lost the ERA. Chicago: University of Chicago Press. 49. Marcus, E. (2002). Making gay history: The half century fight for lesbian and gay equal rights. New York: Harper Perennial. 50. May, S., Modood, T., & Squires, J. (Eds.). Ethnicity, nationalism and minority rights. New York: Cambridge University Press. 51. McAdam, D. (1988). Freedom summer. New York: Oxford University Press. 52. McBride Stetson, D. (1997). Women’s rights in the U.S.A.: Policy debates and gender roles (2nd ed.). New York: Garland. 53. McClain, P. D., & Stewart, J. (2009) Can’t we all get along? (5th ed.). Boulder: Westview Press. 54. McClosky, H., & Brill, A. (1983). Dimensions of tolerance: What Americans believe about civil liberties. New York: Russell Sage Foundation. 55. McGlen, N. E., & O’Conner, K. (1998). Women, politics, and American society (2nd ed.). Englewood Cliffs: Prentice Hall. 56. McMillen, S. G. (2008). Seneca falls and the origins of the women's rights movement. New York: Oxford University Press. 57. O’Brien, D. M. (1999). Constitutional law and politics (Vol. II: Civil rights and liberties) (4th ed.). New York: W. W. Norton & Company. 58. Ogletree, C. J. (2004). All deliberate speed: Reflections on the first half-century of Brown v. Board of Education. Boston: W. W. Norton & Company. 59. Patterson, J. T. (2002). Brown v. Board of Education: A civil rights milestone and its troubled legacy. Oxford: Oxford University Press. 60. Peltason, J. W., & Davis, S. (2001). Understanding the Constitution (15th ed.). Fort Worth: Harcourt Brace. 61. Perry, B. A. (2007). The Michigan affirmative action cases. Lawrence: University of Kansas Press. 62. Posner, R. A. (2006). Not a suicide pact: The constitution in a time of national emergency. New York: Oxford University Press, Incorporated.

63. Ries, P., & Stone, A. J. (1992). The American woman, 1992–93: A status report. New York: W. W. Norton & Company. 64. Rimmerman, C. A. (2008). The lesbian and gay movements: assimilation or liberation? Boulder: Westview Press. 65. Rowland, D. (2004). The boundaries of her body: A history of women's rights in America. Naperville: Sphinx. 66. Sanbonmatsu, K. (2004). Democrats, republicans, and the politics of women’s place. Ann Arbor: University of Michigan Press. 67. Shklar, J. N. (1991). American citizenship: The quest for inclusion. Cambridge: Harvard University Press. 68. Skerry, P. (1993). Mexican Americans: The ambivalent minority. New York: Free Press. 69. Steele, S. (1990). The content of our character: A new vision of race in America. New York: St. Martin’s Press. 70. Sullivan, H. J. (2001). Civil rights and liberties: Provocative questions and evolving answers. Upper Saddle River: Prentice Hall. 71. Van Burkleo, S. F. (2001). Belonging to the world: Women’s rights and constitutional culture. New York: Oxford University Press. 72. Verba, S., Shlozman, K., & Brady, H. (2006). Voice and equality. Boston: Harvard University Press. 73. Vigil, M. E. (1987). Hispanics in American politics: The search for political power. Lanham: University Press of America. 74. Yee, S., & Breslin, M. L. (Eds.). (2002). Disability rights law and policy. Ardsley: Transnational Publishers. 75. Zietlow, R. E. (2006). Enforcing equality: Congress, the constitution, and the protection of individual rights: Congress, the Constitution, and the protection of individual rights. New York: NYU Press. × Return to Chapter 6: Table of Contents B.

Articles

1. Bacon, D. (2008, March). Black and Brown together. American Prospect . 2. Basch, N. (1988). Equality of rights and feminist politics. Law & Society Review, 21(5), 783– Copyright © 2011, 2009, 2007 Pearson Education, Inc. All rights reserved.

787. 3. Darden, J. T., Duleep, H. O., & Galster, G. C. (1992). Civil rights in metropolitan America. Journal of Urban Affairs, 14, 469–496. 4. Glater, J. D. (2004, June 13). Diversity plan shaped in Texas is under attack. New York Time . 5. Hull, E. (1994, March). Even the children of strangers: Equality under the U.S. constitution. American Political Science Review . 6. King, D. S., & Rogers M. S. (2005, February). Racial orders in American political development. American Political Science Review, 99(1), 75–92. 7. Marshall, D. R. (1990, June). The continuing significance of race: the transformation of American politics. American Political Science Review. 8. Mueller, C. (1991, May). The gender gap and women’s political influence. The Annals of the American Academy of Political and Social Sciences, 515(1), 23–37 9. Tyson, L. D. (2003, July 7). Needed affirmative action for the poor. Businessweek × Return to Chapter 6: Table of Contents C.

Media

1. 4 Little Girls (1997). Spike Lee’s documentary on the bombing of the 16th Street Church in Birmingham, Alabama. 2. A Question of Fairness: The Affirmative Action Debate. (2006). Films for the Humanities and Sciences. This film explores the debate over affirmative action and examines the Supreme Court case of Grutter v. Bollinger (2003) and other cases. 3. Affirmative Action: The History of an Idea. (1996). Films for the Humanities and Sciences. This program considers the historical development of affirmative action policies and highlights current debates over its usefulness. 4. The American Civil Liberties Union: A History. (1997). Films for the Humanities and Sciences. Provides an overview of the development of the ACLU, highlighting the major civil rights and liberties cases and issues in which it has been involved since its inception. 5. Eyes on the Prize. (1987). Dir. Henry Hampton. Blackside Productions. This award-winning Public Broadcasting Service series chronicles the civil rights movement in America. Excerpts are especially useful for visual effect. 6. Gay Marriage and the Constitution. (2004). Films for the Humanities and Sciences. Ted Koppel of ABC News moderates a debate about gay marriage and its legal ramifications.

7. Religion and Race in America: Martin Luther King’s Lament. (1994). Films for the Humanities and Sciences. This film provides an analysis of the different roles churches play in shaping a nation’s political culture. 8. With All Deliberate Speed. (2004). Films for the Humanities and Sciences. This film examines the implementation of Brown v. Board of Education (1954) and includes both archival footage and contemporary interviews. × Return to Chapter 6: Table of Contents D.

Web Resources

1. America with Disabilities Act (ADA) offers information on this legislation and rights of the disabled. http://www.usdoj.gov/crt/ada/adahom1.htm 2. American Women's History Guide. http://frank.mtsu.edu/~kmiddlet/history/women.html 3. Civil Rights Division, U.S. Department of Justice Web site offers an overview of the activities and programs of the DOJ on civil rights as well as links to documents, legislation, cases, and the Civil Rights Forum Newsletter. http://www.usdoj.gov/crt/crt-home.html 4. Congressional Black Caucus offers information about its members in Congress. http://www.congressionalblackcaucus.net/ 5. Findlaw is a searchable database of SC decisions plus legal subjects, state courts, law schools, bar associations, and international law. http://www.findlaw.com/ 6. FLITE: Federal Legal Information through Electronics offers a searchable database of Supreme Court decisions from 1937–1975. http://www.fedworld.gov/supcourt/ 7. Human Rights Campaign. http://www.hrc.org/ 8. The Legal Information Institute of Cornell University has an excellent site that offers extensive information about the legalities and definitions of civil rights. It begins with a prose definition of a civil right and includes links to U.S. Government laws, state laws, Supreme Court rulings, international laws on civil rights, and more. http://www.law.cornell.edu/topics/civil_rights.html 9. Martin Luther King, Jr. Home Page. Created by the Seattle Times, the site includes study guides on King and the civil rights movement, interactive exercises, audios of King speeches, and links to other King and civil rights Web sites. http://seattletimes.nwsource.com/special/mlk/ 10. Mexican American Legal Defense and Education Fund (MALDEF) Web site offers information on census, scholarships, job opportunities, legal programs, regional offices information, and more. http://www.maldef.org/ Copyright © 2011, 2009, 2007 Pearson Education, Inc. All rights reserved.

11. The National Association for the Advancement of Colored People (NAACP) Web site offers information about the organization, membership, and issues of interest to proponents of civil rights. It has sections on the Supreme Court, Census, and the Education Summit and includes links to other Web sites. http://www.naacp.org/ 12. Native American Rights Fund (NARF) Web site offers profiles of issues, an archive, resources, a tribal directory, and treaty information as well as a lot of other information. http://www.narf.org/ 13. National Black Republican Association. http://www.nbra.info/ 14. National Committee on Pay Equity collects information on pay equity and lobbies for fairer wages. Its fact sheets provide lots of statistical information about race and gender equity. http://www.pay-equity.org/info.html 15. National Council of La Raza. http://www.nclr.org/ 16. National Gay and Lesbian Task Force. http://www.thetaskforce.org/ 17. National Organization of Women (NOW) Web site offers information on the organization and its issues/activities including women in the military, economic equity, reproductive rights, and so on. It offers an email action list and the ability to join NOW online. It also has links to related sites. http://www.now.org/ 18. National Underground Railway Freedom Center. http://www.freedomcenter.org/ 19. Oyez-Oyez-Oyez is a comprehensive database of major constitutional cases, including multimedia aspects such as audio. Oyez now has blogs too! http://www.oyez.com/oyez/frontpage 20. Rominger Legal Services provides U.S. Supreme Court links, including history, pending cases, rules, bios, etc. http://www.romingerlegal.com/supreme.htm 21. The Southern Poverty Law Center (SPLC) is a nonprofit group dedicated to fighting hate and intolerance? Its Web site includes information on the center and its activities, including a program titled “Teaching Tolerance,” the Klanwatch, and Militia Task Force. It also has a state-by-state listing of “hate incidents.” http://www.splcenter.org/ 22. United States Hispanic Leadership Institute. http://www.ushli.org/ 23. U.S. Commission on Civil Rights is a bipartisan, fact-finding agency established within the executive branch. The Web site offers news releases, publications, a calendar of events, and multimedia coverage of civil rights events. http://www.usccr.gov/ 24. U.S. Equal Employment Opportunity Commission. http://www.eeoc.gov/ Copyright © 2011, 2009, 2007 Pearson Education, Inc. All rights reserved.

25. U.S. Supreme Court Plus has decisions from the current term as well as legal research, bios, basic Supreme Court information, and more. It also offers a free e-mail notification service of Supreme Court rulings. Some information requires a fee. http://www.usscplus.co × Return to Chapter 6: Table of Contents

Integrated Guide to the Text’s Resources (Instructor’s Resource Manual)

Chapter 7 - Public Opinion Table of Contents I. Chapter Overview A. Learning Objectives B. Chapter Summary II. Student Assignments – Pre-Lecture III. Lecture Resources A. Lecture Slides B. Additional Lecture Suggestions IV. Student Assignments – Post-Lecture A. Class Discussion Questions B. Class Activities C. Research Assignments V. Quantitative Assessment VI. Resources for Further Study A. Books B. Articles C. Media D. Web Resources

I. Chapter Overview: A.

Learning Objectives

¾7.1 Define public opinion and identify its four basic traits. ¾7.2 Outline the process and agents of political socialization. ¾7.3 Assess the extent to which American public opinion is based on political knowledge. ¾7.4 Establish how American democracy functions despite the public’s low levels of political knowledge. × Return to Chapter 7: Table of Contents B.

Chapter Summary

The Nature of Public Opinion Public opinion is defined as the collective political beliefs and attitudes of the public and groups within the public. Public opinion can be measured to provide insight into what the electorate is thinking about politics. There are four major traits associated with public opinion. The first is salience. Salience refers to an issue’s importance to a person or the public. Stability is the second characteristic of public opinion. It is defined as the likelihood that public opinion will change over time. Direction is the third trait. Direction identifies those who support or oppose a particular political behavior or policy. Finally, there is intensity. Intensity refers to the strength of the direction of public opinion. It is important for political leaders to understand the nature of public opinion so that they can avoid political costs or face electoral danger. But, it is also important to remember that not all politicians make decisions based on public opinion. Political Socialization Political socialization is a learning process that teaches individuals about the political world around them. It is the process through which citizens acquire the values and attitudes that shape their thinking about politics. There are two important principles that guide political socialization. They are primacy and persistence. Primacy refers to the notion that what is learned first is learned best. Persistence means that political lessons that occur early in life tend to influence political learning in later life. Political socialization consists of several stages that span from early childhood to adulthood. Socialization occurs through agents of socialization and socializing events. Family is the single most important agent of socialization. Family traditions concerning religion also influence political learning. Additional agents of socialization include peer groups, the educational system, and the media. Certain events can also contribute to political socialization through generational effects, period effects, and life cycle effects. Generational effects are those in which youngsters are influenced by events so that their attitudes and beliefs are distinct from those of older generations. Period effects occur when an event exerts noticeable influence across political generations. Finally, life-cycle events refer to changes in attitudes as one ages.

Attitudes About the American Political System Trust in the American political system has been declining for quite some time. In 2004, fewer than 50% of the population believed they could trust the government. While declining trust in government does not necessarily translate into a threat to governmental stability, it can result in lower approval ratings for the president and Congress. It might also mean that people will be less likely to participate in government or become civically engaged. So long as citizens are committed to democratic values, especially those found in the American creed, the government of the United States should remain a functioning democracy for years to come. Political Knowledge and Ideology American adults suffer from low levels of knowledge regarding American politics. Furthermore, a large percentage of the population has no meaningful opinions to offer when surveyed about their political preferences and beliefs. However, it is important to note that a significant percentage of Americans are aware of key governmental institutions and civil liberties. Therefore, one might conclude that while Americans do not know as much as one would like, nor as much as they should to be effective democratic citizens, they do posses more political knowledge that is often thought. Collective public opinion amongst Americans is often rational and predictable despite the aforementioned shortcomings. Opinion leaders and partisanship are just two of the devices that the American public uses to communicate to policymakers. × Return to Chapter 7: Table of Contents

II. Student Assignments -- Pre-Lecture A. B. C.

Student Required Reading: Chapter 7 – Public Opinion Administer Reading Comprehension Quiz (see Test Bank, Chapter 7) Chapter Test – After your students have completed their reading assignment, go over these questions with your class to identify any areas you should focus on in your lecture.

Chapter Test 1. What is the role of public opinion in American Democracy? 2. What are the major influencers of public opinion formation among individuals and when in life are many core political attitudes formed? 3. How do political leaders assess public opinion? Do they just look at the top line result? 4. How might the socialization process differ for children in different communities and during different time periods? 5. Is it possible to talk about American public opinion or does it differ so much from group to group and issue to issue? 6. How do events and time periods interact in various ways to influence political attitudes? 7. How are period and generational effects different and alike? 8. Although most American may not have detailed information on policy issues and may give contradictory answers at different time periods, what are some ways that attitudes on policies in the aggregate have great stability and seem to move in logical ways? 9. How do opinion leaders shape public opinion? 10. When you see a survey reported that purports to say something about public opinion, what questions should you ask to evaluate the quality of the poll? × Return to Chapter 7: Table of Contents

III. Lecture Resources A.

Lecture Slides

Slide 1

Slide 2

The opening feature, guessing weights, introduces a very interesting question about public opinion. Can a group of people, many of whom have little expertise in a particular subject, collectively make appropriate judgments about the matter?

Slide 3

Chapter 7: Public Opinion Collective political beliefs and attitudes of the public, or groups within the public, on matters of relevance to government

Slide 4 After Reading This Chapter, You Should Be Able To: 9 LO 7-1: Define public opinion and identify its 4 basic traits. 9 LO 7-2: Outline the process and agents of political socialization. 9 LO 7-3: Assess the extent to which American public opinion is based on political knowledge. 9 LO 7-4: Establish how American democracy functions despite the public’s low levels of political knowledge.

Slide 5

LO 7-1

Nature of Public Opinion

Public opinion can be measured, obeyed, manipulated, ignored, and even misunderstood.

9Public Opinion 9Salience 9Stability 9Direction 9Intensity

To Learning Objectives

Slide 6

LO 7-1

To Learning Objectives

Slide 7

LO 7-1

Health Care policy showdown: President Obama and Democratic Congressional leaders meet with Congressional Republicans to discuss and debate health care reform legislation. When researchers conduct a survey, they must take care to obtain unbiased results. A survey question on health care reform will yield different responses if asked at a senior citizen center than it might if asked at a skate park.

Note that direction is listed here, but not necessarily salience, strength, or stability. But we are able to see here what that direction is, given demographics—which is a good segue into a conversation about socialization. Use the feature in the book that explains how these numbers are found scientifically. This will help students understand the process of public opinion.

Å Back to Learning Objectives

Slide 8

LO 7-1

Nature of Public Opinion

Salience indicates an issue’s importance to a person or to the public in general.

9Public Opinion 9Salience 9Stability 9Direction 9Intensity

Slide 9

To Learning Objectives

LO 7-1

Nature of Public Opinion 9 Public Opinion

When politicians decide to try to change public opinion, they consider stability. Stability refers to the likelihood that public opinion will change, the speed with which the change will occur, and the likelihood that the new opinion would endure.

9Salience 9Stability 9Direction 9Intensity

Slide 10

To Learning Objectives

LO 7-1

Nature of Public Opinion

Direction is the tendency for or against some phenomenon: any indication of agreement or disagreement, approval or disapproval, favor or opposition.

9 Public Opinion 9Salience 9Stability 9Direction 9Intensity

Slide 11

To Learning Objectives

LO 7-1

Nature of Public Opinion

Intensity is the measure of the strength of an opinion.

9 Public Opinion 9Salience 9Stability 9Direction 9Intensity

To Learning Objectives

Slide 12

LO 7-1

Slide 13

The pieces of public opinion: Hoping to influence election and legislative outcomes, politicians and political strategists—like former Democratic consultant, political strategist, and now White House staffer David Axelrod, pictured (on right) here talking with communication director Robert Gibbs (on left)—must consider the stability, direction, and interest of public opinion.

To Learning Objectives

____ indicates the tendency for or against some phenomenon.

LO 7-1

A. Salience B. Stability C. Direction D. Intensity

Slide 14

To Learning Objectives

____ indicates the tendency for or against some phenomenon.

LO 7-1

A. Salience B. Stability C. Direction D. Intensity

To Learning Objectives

Slide 15

LO 7-2

Political Socialization 9Learning Process 9 Agents of Socialization 9Family 9Religious Institutions 9Peer Groups 9Educational System 9Media

Slide 16

To Learning Objectives

LO 7-2

Slide 17

Early interactions with government: Police and firefighters are often young children’s first introduction to government. In later years, children learn about their president, mayor, and members of Congress.

To Learning Objectives

LO 7-2

Political Socialization 9 Learning Process 9Agents of Socialization 9Family 9Religious Institutions 9Peer Groups 9Educational System 9Media

Political socialization is the learning process by which individuals absorb information and selectively add it to their knowledge and understanding of politics and government. This process tends to be governed by two important principles: Primacy: what is learned first is learned best Persistence: political lessons, values, and attitudes learned early in life tend to structure political learning later on in life The most common expression of values, attitudes, and beliefs is the identification of an individual’s ideology—a consistent set of ideas about a given set of issues. Children begin to learn about politics very early— they usually like government officials they see. The older they get, the more sophisticated the children become.

To Learning Objectives

Children learn first from their families, particularly parents: their most important socializing agent. Parents are more likely to be open about their political beliefs in front of children than are other agents (teachers, friends, etc.). If parents spend little time talking about politics, the mechanisms of political socialization do not work as well. Sometimes generational events affect children more importantly than parents. The most reliable area of transmission is political party—partisanship is inherited because it is easy to understand, more so than an opinion on a particular issue.

Slide 18

LO 7-2

Slide 19

Family matters: Early time spent with family watching political programs or discussing political values helps children to develop their own politcal views and ideas.

To Learning Objectives

LO 7-2

Political Socialization 9 Learning Process 9Agents of Socialization 9Family 9Religious Institutions 9Peer Groups 9Educational System 9Media

While religions are dedicated to the spiritual realm rather than political, different religions teach different values with respect to punishment and mercy, social justice, etc. These values play an important role in thinking about politics; Jews tend to be Democrats, Evangelical Christians tend to be Republicans.

Slide 20

To Learning Objectives

LO 7-2

Slide 21

Values and traditions influence ideology: Though churches do not often endorse a particular candidate, the religious ideals they preach can inform the values of children in the congregation.

To Learning Objectives

LO 7-2

Political Socialization 9 Learning Process 9Agents of Socialization

The friends that children most closely associate with will also have a significant impact on their development of political views, especially during adolescence. However, the salience of politics is generally low to adolescents, so the transmission is relatively limited.

9Family 9Religious Institutions 9Peer Groups 9Educational System 9Media

To Learning Objectives

Slide 22

LO 7-2

Political Socialization 9 Learning Process 9Agents of Socialization 9Family 9Religious Institutions 9Peer Groups 9Educational System 9Media

Public schools actively seek to inculcate students with a respect for the law, authority, and democratic values. Children learn to appreciate the American political system and learn the rituals and symbolism. Because schools tend to be homogenous (similar kids going to school together), it is hard to parse out the educational system from the family. There is little evidence that school has a significant impact on partisan or issue attitudes.

Slide 23

To Learning Objectives

LO 7-2

Political Socialization 9 Learning Process 9Agents of Socialization

Socialization depends on relevant information, which is provided by the media. What the media choose to cover, how they choose to do so, and the accessibility of coverage all matter.

9Family 9Religious Institutions 9Peer Groups 9Educational System 9Media

Slide 24

To Learning Objectives

LO 7-2

Political Socialization 9Learning Process 9Agents of Socialization 9Family 9Religious Institutions 9Peer Groups 9Educational System 9Media

To Learning Objectives

In addition to the agents previously mentioned, events can socialize. One type of socializing event is a generational effect, when younger members of a body politic are influenced by events in a way that makes their attitudes and beliefs different from those of older generations. Many people coming of age in the 1960s and 1970s reacted to the Vietnam War—this affected their politics. Protestors tended to be Democrats, while non-protestors did not—the differences held. Secondly, there are period effects; sometimes events exert noticeable impact across political generations and affect everyone. Finally, the process of getting older can affect opinion as well—this is known as the life cycle effect.

Slide 25

LO 7-2

Slide 26

To Learning Objectives

LO 7-2

Slide 27

Political experience often shapes political beliefs: Those involved in the Vietnam War protest movement adopted a distinctive and more liberal set of politicial beliefs than others in their generation.

Declining trust: Vietnam, Watergate, the protracted period of stagnation in the 1970s, the Iran-Contra affair in the late 1980s, and the Iraq War in more recent times may all have led to declining trust in government.

To Learning Objectives

LO 7-2

Use this chart to explain period effects—look at the opinion and how it changes so drastically—people are affected by events all at once.

To Learning Objectives

Slide 28

LO 7-2

Event socialization can happen through ___. A. Generational Effect B. Period Effect C. Life Cycle Effect D. All of the Above

To Learning Objectives

Slide 29

LO 7-2

Event socialization can happen through ___. A. Generational Effect B. Period Effect C. Life Cycle Effect D. All of the Above

Slide 30

To Learning Objectives

LO 7-3

Political Knowledge

9American Political Knowledge 9 Ideological Innocence 9 American Ignorance

Slide 31

Developing informed opinions about matters of government requires some basic knowledge. American adults have generally low levels of knowledge. In 50 years of survey questions, only 13 percent of the more than 2000 questions were answered correctly by more than 75 percent of the population; only 41 percent were answered correctly by more than half. This is particularly interesting when you consider how much information is available to people.

To Learning Objectives

LO 7-3

Use this chart to demonstrate that Americans have low political knowledge; take students through to see which items are more known and why.

To Learning Objectives

Slide 32

LO 7-3

When we compare Americans to citizens in other countries, we finish ahead of only Mexico and Spain. Note, then, that it is something particular to the United States.

To Learning Objectives

Slide 33

LO 7-3

Political Knowledge

9 American Political Knowledge 9Ideological Innocence

How well are Americans able to use their knowledge to form political opinions? Not very well: Americans are ideologically innocent. Their beliefs do not have internal logic, and sometimes appeared to be founded on no forethought or reasoning. Americans have what are called nonattitudes.

9 American Ignorance

Slide 34

To Learning Objectives

LO 7-3

Slide 35

To Learning Objectives

LO 7-3

Political Knowledge

9 American Political Knowledge 9 Ideological Innocence 9American Ignorance

However, Americans do better at knowing their own politics; so Americans know who their own president at higher rates than Italians knowing their prime minister.

To Learning Objectives

Some argue that Americans may not be as ignorant as people think they are. First, the idea of nonattitudes was developed in a politically quiet time in American history. If we measured after Vietnam or 9/11, we would find more knowledge. Second, perhaps the problems we see are not with citizens but with the questions in the surveys. Third, perhaps Americans are not ideologically innocent—perhaps the liberal-conservative spectrum is too narrow. The way politicians speak to Americans is not necessarily the way Americans think. Fourth, perhaps Americans have ideas about policies bouncing around in their head—when the question is asked is affects how the person answers. This could be the result of priming; a recent event makes one ball pop. Use the feature in the book to go over nonattitudes and the problems with surveying.

Slide 36

LO 7-3

Slide 37

Slide 38

Recent events may drive survey response: Here students gather to mourn victims of the 2007 Virginia Tech shooting. Below, customers at a Starbucks demonstrate their right to bear arms in public. Out views in combination with the stories and ideas that we have heard most recently will influence our response to a survey question on gun control.

To Learning Objectives

LO 7-3

Slide 39

To Learning Objectives

LO 7-3

Major events may charge opinions: Major events like the Kennedy assassination have a tendency to engage people in politics more actively.

Back and forth: Polls may reflect fuzzy people, fuzzy questions, or a more complicated underlying process for forming and reporting opinions.

To Learning Objectives

LO 7-3

Which of the following did Americans know best? A. President B. Speaker of the House C. Senate Majority Leader D. Supreme Court Chief Justice

To Learning Objectives

Slide 40

LO 7-3

Which of the following did Americans know best? A. President

B. Speaker of the House C. Senate Majority Leader D. Supreme Court Chief Justice

To Learning Objectives

Slide 41

LO 7-3

To Learning Objectives

Slide 42

LO 7-3

Public Opinion in Democracy 9 Aggregation compensates for low

Political knowledge and sophistication may be lacking, but there are regularities in the ebb and flow of public opinion; public opinion can be predictable. Use the example from the beginning of the chapter here to explain this—the more people who guessed the weight of the oxen, the closer to the right answer we got. This is a paradox known as the miracle of aggregation. The sample will give a clear direction over time—even if 70 percent have no opinion.

To Learning Objectives

Studies of public opinion divide the American public into three segments: those who pay very close attention to politics, those who are generally indifferent but pay attention sporadically, and those who pay no attention to politics at all. The attentive group may be small, but it has significant influence, as many of its members are opinion leaders. Opinion leaders are people who can legitimately claim high levels of interest and expertise in politics and seek to communicate their political beliefs to others: bloggers, lobbyists, political scientists, etc. Opinion leaders send strong signals to the public regarding which political issues are important and what the public should think about them. We see this in surveys about the “most important problem”; when opinion leaders start talking about an issue, Americans respond. In April 2009, 9 percent said health care was the most important problem; by the midterm election that figure had risen to 18 percent.

Slide 43

LO 7-4

A member of Congress is shown here checking his e-mail or perhaps even trying his hand at Twittering.

To Learning Objectives

Slide 44

LO 7-4

Public Opinion in Democracy 9 Aggregation compensates for low

knowledge.

Most voters have a self-defined, stable affiliation with a political party; in making judgments about the political world, they use partisanship as a cue. A voter might say: I don’t know anything about this issue, but I am a Republican so I think what the party thinks. Approval and disapproval depends on party ID as well.

To Learning Objectives

Slide 45

LO 7-4

Public Opinion in Democracy 9 Aggregation compensates for low

knowledge. 9 Opinion Leaders 9 Partisanship

Perhaps the most interesting group are the moderately attentive, known as scorekeepers. This group has little passion for politics, but pays just enough attention to pick up on signals indicating big changes—they keep a running tally of how things are going and change their opinions accordingly. These people account for most of the movement in opinion and are connected to realworld events in a fairly logical, orderly fashion.

Slide 46

To Learning Objectives

The ____ in the public keep a running tally of how things are going.

LO 7-4

A. Opinion Leaders B. Partisans C. Scorekeepers D. None of the Above

To Learning Objectives

Slide 47

The ____ in the public keep a running tally of how things are going.

LO 7-4

A. Opinion Leaders B. Partisans C. Scorekeepers

D. None of the Above

Slide 48

Text and Art Credits

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To Learning Objectives

Photo Credits

To Learning Objectives

× Return to Chapter 7: Table of Contents

Additional Lecture Suggestions

¾7.1 Define public opinion and identify its four basic traits •

Polling and Margin of Error: Since students will constantly be exposed to polls, a good topic to flesh out in this chapter is margin of error. Margin of error is a statistical device that provides a numerical calculation for how close the results of a poll are to the truth. One hears a lot about scientific sampling. A margin of error should never be applied to any poll except a scientific one. i. Scientific Polling: What makes a poll scientific? Almost every aspect of taking a poll involves matters that can be done scientifically or not. For example, this chapter highlights the science (or, actually, the lack of) of writing good questions so that the truth is revealed. A more fundamental question about polling in terms of whether or not it is scientific is how a sample is selected. From this point of view, a poll is scientific if every person in the population is given an equal chance of being selected in the sample. By population, pollsters do not mean all people in a country, state, etc., but that group of people about whom the pollster is trying to get information. Thus, a population could be the student body at a university. ii. Sample Size and Margin of Error: Social scientists, relying on statistical models, have developed a model for determining when the result of a poll is believable, true. The model states that if the results from a poll would be the same in 95 cases out of 100 then the results should be considered “true.” Most pollsters, relying in this standard, use sample sizes of about 1,200 people. This means that their margin of error is about plus or minus three percentage points. So, when Gallop reports that 41% of Americans approve of how President Obama is handling his job as president, and the poll has a margin of error of plus or minus three, this means that almost half of Americans approve of the Obama presidency. One could be confident that Obama’s approval rating falls between a high of 44% and a low of 38%. Either way, however, most Americans do not approve of the president. iii. Non-scientific Polling and Bias: A classic case of a poll lacking a scientific sample was the Literary Digest poll conducted during the 1936 presidential election. The Digest was a magazine that polled over 2 million people (compared to Gallup’s typical 1,200) and proceeded to predict that Alf Landon, the Republican nominee for President, would defeat Franklin Roosevelt, the Democratic nominee. Roosevelt defeated Landon in a landslide. Although the Digest’s sample size was one of the largest ever, it had erred in the selection of the sample. Because it polled from lists of people who had automobiles and phones, it got a biased sample dominated by wellto-do Republicans. Several caveats need to be added. First, in five cases out of 100, the results could be incorrect. That is unlikely, but possible. Next, the results only apply to when the poll was taken. Public opinion is not always stable. On some issues such as presidential approval, it changes frequently and in a dramatic fashion. Polling has come a long way since the Literary Copyright © 2011, 2009, 2007 Pearson Education, Inc. All rights reserved.

iv.

Digest debacle. Not only have polling organizations fine-tuned the methods of polling, more information is given to voters about how polls were conducted. Twenty-five years ago if poll results were given on television or in a newspaper, there would have been no mention of the poll’s margin of error. Now, such reporting is routine. Still, there is one aspect of polling that gets ignored. Sub-groups and Polling: Often poll data includes not just the overall results of the poll (the number approving or disapproving of the president, for example) but will break the data into subgroups. For example, it is common since the Reagan presidency to report on the gender gap: how men and women differ in their presidential approval ratings. This is when interpreting a poll gets tricky. Suppose FOX reports the following poll results (of the typical sample size of 1,200 with a plus or minus three percent margin of error): RATING THE PRESIDENT Men Women

Favorable

•

Unfavorable 30 70 vi. Is it proper for FOX to report that there is a genuine gender gap? No. vii. At first glance, of course it looks like men and women do differ. But, one has to apply the margin of error to see if the findings are within the rage of being “probably” correct. The tendency is to assume since FOX reported that the margin of error for the poll was three percentage points, then the data reported here is within that. But, this is data about two sub-groups, hence the margin of error is different. viii. If we assume that there were approximately 600 men and 600 women, (caution: we don’t know for sure unless FOX tells us) in the sample, then the margin of error for a group of 600 is four percentage points. Applying that margin of error to the data reported on gender differences, it is too close to call to make any observations about gender differences and presidential approval ratings of the President! ix. Notice, the margin of error only increased one percent for the subgroup in this example. Had the example been differences reported by race, some of the racial groups would be so small, that the margin of error would be extremely high. Unfortunately, this problem is seldom highlighted when poll results are reported. The diversity of the American public and its opinions must be faithfully channeled through the political process in order for the American government to work efficiently and effectively. At the same time, the least informed among the public are also the least likely to participate in the political process. Ask your class to evaluate the effect that this inequality of participation has on the democratic process. More people today think the government is too big rather than too small, yet a plurality has consistently called for increased spending on domestic programs. Many political scientists have looked at these contradictory findings and concluded that Americans are ideological

• • •

conservatives but operational liberals. Ask your class to examine this theory with reference to public debate over the latest presidential budget proposals. Ask students to review how public opinion can influence public policy formulation. Describe the relationship between public opinion and policymaking. Describe the main sources of political attitudes and beliefs.

¾7.2 Outline the process and agents of political socialization • •

•

• • • •

•

Give examples of nonpolitical socialization to familiarize students with the general concept of socialization. Describe the landscape of American political ideology and explain how Americans come to hold the views they do. Political beliefs are relatively stable in the United States, although some generational change is evident. The chapter discusses the fundamental values shared by most Americans, and the more specific policy views held by liberals and conservatives. It also raises the question of the interplay between popular culture and political beliefs. Political socialization, the process of acquiring information and beliefs about politics, occurs through a variety of agents of socialization: the family, schools, peers and community, religious institutions, the media, and exposure to national and world events. Political opinion can be correlated with a number of demographic factors, including socioeconomic status, education, religion, race, and gender. Point out the fundamental questions about the role of public opinion in making public policy. How much attention should leaders pay to public opinion, given that it is often not informed opinion? Elitism argues that leaders should shape opinion, rather than being led by it, while pluralism argues that policy based on informed public opinion adds legitimacy to a democratic system. Most Americans share a set of fundamental values, which include freedom, individualism, majority rule, and equality. However, they often disagree on how these values should be put into practice through policy. Religion adds to political socialization by instruction in social values. Different religious traditions have more specific impact on political attitudes and levels of civic engagement. The media provide political information and may also affect political values by offering popular culture. Important national and international events can affect political socialization, changing political attitudes and focusing attention on political issues. The events of September 11, 2001 clearly had a short-term impact on political attitudes in the United States, and political scientists will continue to research the long-term impact of those events on American political beliefs and behavior. People with similar social backgrounds and demographic characteristics tend to hold similar political beliefs. It can be difficult to identify correlations between demographic factors and political beliefs because of crosscutting cleavages, in which two factors have different impacts on belief. Education tends to increase awareness and understanding of political issues, and has a liberalizing effect on beliefs about noneconomic issues. It is sometimes difficult to separate the impact of education on political attitudes from the impact of socioeconomic status, as higher education is correlated with higher income and status.

• •

Name the five major sources of political socialization, briefly summarizing what research suggests is the effect of each. Identify reasons why people do not vote.

¾7.3 Assess the extent to which American public opinion is based on political knowledge • • • •

• • • • •

Remind students of the trustee and delegate theories of representation, and relate that to the question of informed public opinion. Straw polls were used to gather opinions in the United States as far back as the early 1800s. The most famous (infamous) poll in American history was the Literary Digest poll of 1936 that predicted Alf Landon would beat Franklin Roosevelt. Modern polling techniques rely on the use of statistical sampling to get a reliable picture of opinion in the larger population. The sample must be representative of the larger group to produce statistically valid results. There are possible pitfalls in gathering opinion data. Researchers must develop valid and well-structured questions, and conduct research in a manner that assures reliable results. Point out specific types of questions and polling methods and examine the appropriate uses of each type. Certain types of polls, such as Internet surveys, push polls, and cell phone polls, are likely to produce unreliable results. Such polls may be conducted in order to produce data that intentionally distort opinion for political purposes. Explain how race, gender, and ethnicity influence public opinion. Give a brief history of suffrage in terms of six milestone developments discussed in the text. Evaluate the American public’s political knowledge and sophistication. Discuss American knowledge of politics and government.

¾7.4 Establish how American democracy functions despite the public’s low levels of political knowledge • • • • •

Explain how democracy functions despite low levels of political knowledge. Explain the miracle of aggregation. Discuss basic American political attitudes and values. Explain the decline in support for democratic values. Discuss the nature of public opinion.

× Return to Chapter 7: Table of Contents

IV. Student Assignments – Post-Lecture A.

Class Discussion Questions

¾7.1 Define public opinion and identify its four basic traits • • • • •

Discuss whether movies such as Dead Man Walking and The Green Mile have affected public opinion on the death penalty. What is public opinion? What role does public opinion play in American politics? What is the relationship between fundamental values and political values and beliefs? How is public opinion measured?

¾7.2 Outline the process and agents of political socialization • • • • • • • • • • • • • •

Tolerance and education are closely interrelated. Develop examples of groups known for their tolerance and intolerance. What relationships appear to exist in such groups that support, to the best of the discussants’ knowledge, such claims? What do you believe causes inconsistencies on specific issues for both liberals and conservatives? What means of increasing voting participation has not been adopted that might cause a substantial increase? What factors can be identified to explain higher voter participation in many Western democracies than in the United States? What political activity, other than voting, might influence the outcome of a local political issue? What is the difference between civil disobedience and civil discourse? How might the latter be used to influence political leaders? Have students define both public opinion and political socialization. Then ask them to discuss the following question: What are the factors that influence an individual's political socialization and help contribute to a person's political opinions? Have students discuss in detail two agents of socialization. Have them explain how these variables influence an individual's level of political knowledge, help form personal political opinions and determine what types of political issues they might be interested in. Discuss what effect opinion polls that predict the outcome of an election may have on voter turnout. Evaluate how new technologies and the uniqueness of then-Senator Obama as the first African-American candidate for president affected voter turnout. Is race still an issue in national politics now that Obama has been elected president? Ask the students how closely their political beliefs correspond with those of their parents. Do schools teach students to favor either the liberal or conservative viewpoint? If so, how and why? Why does it matter whether Americans understand important public policy issue? How did the Obama campaign’s involvement of youth and new mobilization efforts (electronic social networking, grassroots fundraising, rallies) affect youth interest in politics? Copyright © 2011, 2009, 2007 Pearson Education, Inc. All rights reserved.

• • • • • • •

• • •

What does the new administration need to do to continue to encourage youth participation in politics? What is the relationship between social and economic background and political values and beliefs? How do we acquire our political values and beliefs? Political and cultural values tend to change across generations. Can you identify issues where your values diverge from those of your parents that might signal different values across generations? What fundamental values do most Americans share? Use examples to explain how we can share values but support conflicting policy choices. What factors might lead to an increase in political distrust? Would you expect distrust to be higher or lower than usual during the George W. Bush administration, given American controversy over the war in Iraq? Does the presence of an African-American politician with widespread public appeal, such as Secretary of State Condalezza Rice or President Barack Obama, make the idea of an AfricanAmerican president more palatable to those who were previously opposed to the idea? Are people who attend college more liberal? Does their field of study make a difference? Soft science majors tend to be liberal while hard science majors tend to be conservative. Offer several possible explanations for this phenomenon and discuss which explanations provide the strongest arguments. Do you think your political beliefs are influenced primarily by news media, or media that is not specifically aimed at providing political information? Do music, drama, or other media affect your political attitudes and beliefs? How is socioeconomic status related to political ideology? How can we explain this relationship? How do you explain the correlation between religion and party affiliation in the United States?

¾7.3 Assess the extent to which American public opinion is based on political knowledge • • • • • • • • •

Argue for and against national uniform poll closing times as a means to increase voter turnout. Have students identify several reasons why they think American citizens are so poorly informed about politics. What are ways in which lack of information can be successfully dealt with? Should Americans be concerned with this situation? How do the attitude, salience, and situational hypotheses explain the gender gap? Which theory do you find most convincing? What are the advantages and disadvantages of providing polling data on public opinion? How would you gather a representative sample of your college or university? What groups would have to be represented, and in what proportions? What issues might cause the most difference between whites and African Americans? What Supreme Court cases were important for the expansion of voting rights? According to political scientists, why has political trust declined since the 1960s? What role do “scorekeepers” play in aggregate public opinion change?

•

What did Philip Converse conclude in his 1964 study of the ability of Americans to use their knowledge to form political opinions? Discuss the challenges to Converse’s argument.

¾7.4 Establish how American democracy functions despite the public’s low levels of political knowledge •

Generally, students in the class are younger than those identified as most active in voter participation. Selecting volunteers in the classroom who are older—there are usually several—discuss why younger voters fail to participate while older voters tend to regularly take part in political activities. • Argue whether or not individuals failing to participate in the political system harm a democratic form of government. • In consideration of Americans’ general lack of interest and knowledge of politics, what do you consider to be the primary cause for such lack of public knowledge? • Using the “halo effect” identification, what socially acceptable answers might explain failures in your classes? • What local and state issues can properly be defined as “salient”? • How do Americans compare to other nations on opinions about government issues? What, do you believe, causes such wide variations between the United States and other Western nations? • It has been suggested that young people are more idealistic than are older individuals. Yet most young people tend to choose the same party identifications as their parents. Why? • Discuss the paradox that local elections, where public officials are “closer to the people,” typically have the lowest voter turnout. • Discuss the irony that as voting has been made easier, overall participation in voting has declined. • In some states, voting lists are used for jury duty. Discuss this as a “cost” of voting. • Discuss whether all states should use touch-screen voting machines. What are some of the advantages to a touch-screen system? What are some of the disadvantages? • Discuss how “class bias” in voting can lead to a Congress composed of elected officials who are out of touch with the people. • Does military action affect voter turnout? What affect, if any, did the war in Iraq have on the 2004, 2006, and 2008 elections? • “A distinguishing characteristic of a democracy is that citizens can influence government decisions by participating in politics.” Do you agree? • What type of technology is used for voting in your county? Has your county changed its voting methods in recent years, and if so, why? • According to the authors, one reason given for the low voter turnout among low-income people is “their failure to be conscious of their real interests.” Do you accept this argument? • How persuasive is the argument that lower voter turnout means that people approve of the way things are? • How do political leaders and the public protect democracy? • Who are opinion leaders, and what role do they play in the political process? • How can voters use partisanship to help them make judgments about the political world? • What methods would be most effective to combat voter fraud? × Return to Chapter 7: Table of Contents Copyright © 2011, 2009, 2007 Pearson Education, Inc. All rights reserved.

Class Activities

¾7.1 Define public opinion and identify its four basic traits • • •

List and define the four basic traits of public opinion. Prepare a political cartoon as a symbolic form of participation about a political issue. Ask students to consider the problems that might be associated with a poll using random digit dialing.

¾7.2 Outline the process and agents of political socialization • • •

•

• •

Survey several classes and see if you discover a correlation between religious denomination and party identification. Does considering the degree of adherence (strict followers versus nonobservant) make the relationship stronger? Gather statistics from different regions of the country. Do you find that in each region, college education tends to be correlated with more liberal beliefs? Do you find regional differences? Take a poll of students: How many share their parents’ party identification? You may need to group students by those who have two parents that share the same ideology, those with two parents of differing party identifications, and those who have been influenced by only one parent. Most people’s opinions are affected by what can be called a “formative political event.” For some people, this event was the death of Princess Di. For others, it was the Persian Gulf War, and for still others it was the terrorist attacks of September 11th, 2001. Have students think about their “formative political event” or first political memory. Have them write a paper or discuss: How did that event shape your political ideas and world view? What about your parents and grandparents? Ask them what major events affected their political perceptions. Compare those events with your classmates. Have students address the following: Write a paper based on your own political ideology and opinions. How were they formed? Consider those who have influenced these opinions and political views. Is the text correct in asserting what the dominant factors of political socialization are? Have students compare their experiences with those of their classmates. Major events like the Kennedy assassination have a tendency to engage people in politics more actively. Have students list those events that have made them more politically active and why those events elicited that response. The concept of political socialization is difficult for students to grasp without examples and discussion. Ask students to think about the role of political symbols in society. In particular, ask students to list these symbols and where they are most often seen. For example, the flag, the constitution, Uncle Sam, etc. Discuss the Pledge of Allegiance as a socializing agent for young children as well as activities during Fourth of July celebrations, which are often used to reinforce public values of nationalism, patriotism, and reverence for the Constitution. Once they have listed a variety of these, then ask them to explain why the national anthem is sung at baseball games. Ask how many know all of the words, how many have stood but did not sing, and how many did not sing or stand while the national anthem was being sung at a baseball game. This exercise provides an unintimidating yet thoughtful way of emphasizing just how pervasive political socialization has been used to instill principles, values, and Copyright © 2011, 2009, 2007 Pearson Education, Inc. All rights reserved.

• • • • • •

beliefs in citizens. A follow-up exercise may include a short essay debating whether the reciting of the Pledge of Allegiance or the singing of the national anthem is more appropriate for baseball games, given that most people can say the pledge without hesitation, but have trouble singing the national anthem. List and define the five most important agents of political socialization. List and define the three most significant influences on the political socialization of adults. Define political socialization. List and define the two important principles governing political socialization. Organize a campaign to target a specific segment of nonvoters, explaining why this segment was targeted, the manner intended to target them to increase voting, and the chances of success. Using as many students as will volunteer, allow the balance of the students (and you, as instructor) to ask questions concerning their backgrounds. Given the facts studied in association with political socialization, can the questioners identify individuals’ political party affiliations? Their probable ideological association with dominant issues? The accuracy can be checked by having responses to some questions written by volunteers, before students ask questions.

¾7.3 Assess the extent to which American public opinion is based on political knowledge •

•

• •

•

Voting statistics show that Hispanics or Latinos are among the least politically active groups in the United States. Divide your class into groups, with each group given an assignment to collect data on questions related to why this has occurred. For example, one group could compare incomes and occupations with other minorities; another group could look at the impact of illegal immigration and language; and another could contrast the successes of African American interest groups with Hispanic groups. Each group should select one person to make a brief presentation to the entire class, summarizing the group’s findings. Public opinion surveys consistently reveal an astounding lack of public knowledge about politics. Give students a pop quiz on several major political issues and have them grade their own quiz. Alternatively, administer to them a subset of questions from the exam that the U.S. Citizenship and Immigration Services administers to immigrants applying for citizenship. Briefly discuss their performance, and possible reasons for it. Then ask your students to discuss whether the American political system is affected by such a low level of public information. Ask students if there are any current issues that are particularly salient to them. If there are, ask them if these issues make them more or less likely to vote in upcoming local or national elections. Stage a debate in class. One side should argue that public opinion polling is inherently problematic and should not be used by government or politicians. The other side should argue that polling is a valid way to determine the will of the people. Each side should do research to flesh out its arguments. Divide the class into “x” number of groups. Give the entire class a series of topics and have each group write two good survey questions and two bad ones for each topic. Have the class share the results and discuss why certain questions are good and others are bad.

• • •

•

Survey 100 students regarding their late-night television viewing habits, and administer a quiz on current event issues. Do you find any correlation between the viewing choices and performance levels on the quiz? Identify different types of survey questions: open-ended, closed-ended, and filter. What is the most appropriate use of each type? Give examples to illustrate. Have students think about a controversial, polarizing political issue. Ask them to devise two opinion poll questions about their issue. One question should be designed to elicit a positive response toward (or response in support of) the policy; the other should be designed to elicit a negative response. Have the students write both of their questions on an index card. Choose a few cards at random to construct a survey that will be administered during the next class period. Compile survey results and present them to the students, pointing out any inconsistencies or discrepancies in opinions on any given issue. Label three large pieces of poster board with the titles “Economic Values,” “Political Values,” and “Governmental Values.” Hang the posters at various locations around the classroom. Ask students to fill the posters with words, phrases, or images that represent American beliefs in each of these areas. Have students debate the resulting storyboard. Points for discussion might include whether the words, phrases, and pictures accurately represent the current state of American politics or a normative but unreachable ideal, and whether economic, political, and governmental values differ by the students’ demographic characteristics.

¾7.4 Establish how American democracy functions despite the public’s low levels of political knowledge •

• •

•

• •

“How democratic is the American political system?” This could be a good theme for an interesting class discussion. A class project could be conducted in which your students develop a brief questionnaire around this theme and administer it to their friends. The results could form the basis of a lively class discussion, as well as teach the students about polling and survey research, especially if you asked them to critique the validity of the survey. As a class project, identify a cause that is not presently being managed adequately by political leaders. Design a course of action that would create public awareness and response from political leaders. Write a short essay in which you respond to the following question: Do you think American policymakers should follow public opinion, or should they lead public opinion? Are there types of issues or events that would cause you to reach different conclusions on the same question? Write a brief summary explaining how public opinion serves as a source of influence on policymaking but is also shaped by structural factors. Write as clearly and concisely as possible, with the assumption that you are explaining the subject to another student who knows nothing about public opinion. Do you discern any policies in our modern government that would tend to substantiate the Framers’ fears of a tyranny of the majority? Are there also some illustrations that would tend to show that the fears were unjustified? Select a controversial topic (such as flag burning, partial birth abortion, or affirmative action). Call for each student to devise a survey to measure attitudes on this issue and administer it to a group of friends. Their surveys will not be representative, so they should Copyright © 2011, 2009, 2007 Pearson Education, Inc. All rights reserved.

• • • •

• •

obtain very different results. Use the results to discuss the problems that may arise with improperly administered surveys, particularly if the public relies on the results. Have the class come up with a list of ways schools instill “democratic values” in young people. Have students debate compulsory voting for the United States. Ask students to identify local and national figures they would classify as opinion leaders. Make a survey of the voting and political participation patterns on campus. How many students are registered? How many students voted in the last election? What is the political profile of the campus in terms of party identification? How does this pattern of party affiliation compare with the national patterns? Is the number of students who identify with the “independent” status greater than the number of students who identify with the Democratic or Republican parties? Examine statistics for voting by party for men and women from 1980 to the present. Do you see any trends? Does the picture remain relatively stable? Have the class act as a polling organization to develop a survey of your town for party identification and political beliefs. Include various issues as indicators of ideology, as well as questions asking specifically about party affiliation.

× Return to Chapter 7: Table of Contents

Research Assignments

¾7.1 Define public opinion and identify its four basic traits • •

•

• • • • •

•

• • • • • •

Ask students to consider the hazards of unscientific polls even if warnings of their flaws are stated in advance. Let a few research the problems that occurred in the Literary Digest poll of 1936 and the Gallup poll problem encountered in the 1948 Truman-Dewey race. Have students investigate the 2000 presidential election concerning the state of Florida and the behavior of the media on election night in “predicting” the winner of that state based on their exit polling data. Be sure to consider what caused the problems that made all of the media predictions so wrong. Then have them write a report on whether or not exit polling is a good idea. If your students have access to the Internet, ask them to write ten questions that will help predict someone’s political party affiliation. Then have them send this “poll” via e-mail to several acquaintances. Then discuss how successful they were and what questions were the most revealing. Have students compare and contrast the “Motor Voter” law with MTV’s “Rock the Vote” campaign. Which effort do they believe is more likely to result in an increase in voting among young voters? Have students identify an issue on the Gallup polling organization’s website over which they disagree with those polled. What is their objection? Contact your local Board of Elections and find out what criteria are set in your region for registration and voting. Do you think the rules present barriers to voting? Why or why not? Find information on the civil rights era; compare the results of the marches of Dr. King and the riots that broke out in cities across the United States. Based on your reading of the text, which should have been effective at creating change in public policy? Have students visit the Internet site operated by Gallup, the National Election Study, or the General Social Survey to find public opinion data on a question of interest. Have each student write up, or present orally in class, what the question wording was, the response distribution, and how to interpret the data. Have the students watch a couple of episodes of The Daily Show with Jon Stewart. Have each student write an essay debating the legitimacy of this show as a positive tool for shaping public opinion. Point out to them that recent polls suggest that many 18–30-year-olds claim that this is their only source of world events. Have students construct a simple research design in which polling would be utilized. Have students do a book report on The Selling of the President (1968) by Joe McGinniss. As a class project, choose an issue of interest and formulate a class poll. Then, have students administer it on campus. Discuss the process, results, and problems of your poll and extrapolate that to polling in general. Assign students to watch two weeks of TV news and pay attention to newspapers during the same time frame. Have them write a paper analyzing the ways in which the media use polls. What are the implications of their findings? Have students look at campaign and related Web sites to determine how politicians and the media use polls. Hold a class discussion on the implications of these uses. Have the students find good, reliable, scientific polls and poll results on the Web. Have them write a paper explaining why they classify these polls and results as reliable. Copyright © 2011, 2009, 2007 Pearson Education, Inc. All rights reserved.

• • • •

Have students find the biannual Pew Media Survey online. What can this survey tell us about American attitudes and the media? Enter the phrase “Gallup poll gay rights” in a search engine to look for results and see whether results in various polls on support for gay rights have remained stable over recent years. Find recent opinion polls taken in your state, and compare public opinion with votes by your U.S. senators and congresspersons. Take a look at the websites for three of the major independent polling sources: Gallup (http://www.gallup.com/) Roper (http://www.ropercenter.uconn.edu/) and Harris (http://www.harrisinteractive.com/). Do you see any differences in the missions of these organizations? In their survey techniques?

¾7.2 Outline the process and agents of political socialization •

•

Study the role of socialization on party identification. If possible, find out how your grandparents and parents self-identify; survey your fellow classmates or people in your residence hall; and if you attend church, survey a few members at random. Do you see any patterns emerging? Do your results confirm or deny the role of socialization as described in the text? Have students explore ideas about socialization found on the Web. They can focus on the concept itself or on the ways different disciplines study it. If you choose the latter, ask students to find examples of studies on socialization from fields like anthropology, sociology, education, and political science. Have them discuss the similarities and differences they find.

¾7.3 Assess the extent to which American public opinion is based on political knowledge •

•

Some countries forbid the use of polls in the last few weeks of an election campaign. In the United States, this is not the case. Divide students into different country groups and have them research rules about polling during elections. Have them debate the merits of different ways of regulating polling during elections. Assign students to surf the Web to find glaring examples of “bad polls.” The discussion that follows is often quite fun!

¾7.4 Establish how American democracy functions despite the public’s low levels of political knowledge • •

Search for socioeconomic statistics and party affiliation for other countries. Does the relationship between classes and ideology hold true in other countries? On the Gallup Poll site, check out the page that lists top trends (http://www.gallup.com/poll/trends.aspx).Do these trends match those of your class?

× Return to Chapter 7: Table of Contents

V. Quantitative Assessment Administer Chapter Exam (see Test Bank, Chapter 7) × Return to Chapter 7: Table of Contents

VI. Resources for Further Study A.

Books

Asher, H. (2011). Polling and the public: What every citizen should know (8th ed.). Washington, DC: Congressional Quarterly Press.

Althaus, S. L. (2003). Collective preferences in democratic politics. New York: Cambridge University Press.

Alvarez, R. M., & Brehm, J. (2002). Hard choices, easy answers. Princeton: Princeton University Press.

Brooks, C., & Manza, J. (2007). Why welfare states persist: The importance of public opinion in democracies. Chicago: University of Chicago Press.

Campbell, A., Converse, P., Miller, W. E., & Stokes, D. (1960). The American voter. New York: John Wiley.

Conway, M. M. (2004). Political participation in the United States (4th ed.). Washington, DC: Congressional Quarterly Press.

Corbett, M. (1991). American public opinion: Trends, processes, and patterns. New York: Pearson Longman.

Cramer Walsh, K. (2007). Talking about race: Community dialogues and the politics of difference. Chicago: University of Chicago Press.

Dahl, R. A. (1972). Polyarchy: Participation and opposition. New Haven: Yale University Press.

10.

Delli Carpini, M. X., & Keeter, S. (1996). What Americans know about politics and why it matters. New Haven: Yale University Press.

11.

Eisinger, R. (2003). The evolution of presidential polling. New York: Cambridge University Press.

12.

Erikson, R. S., & Tedin, K. L. (2011). American public opinion: Its origins, content, and impact (8th ed.). New York: Pearson Longman.

13.

Erikson, R. S., Mackuen, M., & Stimson, J. (2002). The macro polity. New York: Cambridge University Press.

14.

Erikson, R. S., McIver, J. P., & Wright, G. C., Jr. (1993). Statehouse democracy: Public opinion and policy in the American States. New York: Cambridge University Press.

15.

Fiorina, M. P., Abrams, S. J., & Pope, J. C. (2011). Culture war? The myth of a polarized America (3rd ed.). New York: Pearson Longman.

16.

Flanigan, W. H., & Zingale, N. H. (2009). Political behavior of the American electorate (12th ed.). Washington, DC: Congressional Quarterly Press.

17.

Gallup, G. The Gallup poll public opinion. Wilmington: Scholarly Resources, published annually.

18.

Geer, J. G. (2004). Public opinion and polling around the world. Santa Barbara: ABCCLO.

19.

Glynn, C. J., Herbst, S., O'Keefe, G. J., & Shapiro, R. Y. (1999). Public opinion: Politics, communication and social process. Boulder: Westview Press.

20.

Hibbing, J., & Theiss-Morse, E. (2002). Stealth democracy: Americans’ beliefs about how government should work. Cambridge: Cambridge University Press.

21.

Holsti, O. R. (2004). Public opinion and American foreign policy. Ann Arbor: University of Michigan Press.

22.

Huff, D. (1993). How to lie with statistics. New York: W. W. Norton & Company.

23.

Hutchings, V. (2003). Public opinion and democratic accountability: How citizens learn about politics. Princeton: Princeton University Press.

24.

Ingram, H., et al. (Eds.). (2004). Mediating effect of public opinion on public Policy: Exploring the realm of health care. Albany: State University of New York Press.

25.

Keith, B. E., Magelby, D. B., Nelson, C. J., Orr, E., Westlye, M.C., & Wolfinger, R. E. (1992). The myth of the independent voter. Berkeley: University of California Press.

26.

Kellstedt, P. M. (2003). The mass media and the dynamics of American racial attitudes. Cambridge: Cambridge University Press.

27.

Key, V. O. (1964). Public opinion and American democracy. New York: Knopf.

28.

Lavrakas, P., & Traugott, M. (Eds.). (2000). Election polls, the news media, and democracy. London: Chatham House Publishers.

29.

Lee, T. (2002). Mobilizing public opinion. Chicago: University of Chicago Press.

30.

Lewis-Beck, M. S., Norpoth, H., Jacoby, W. G., & Weisberg, H. F. (2008). The American voter revisited. Ann Arbor: University of Michigan Press.

31.

32.

Moore, D. W. (1992). The superpollsters: How they measure and manipulate public opinion in America. New York: Four Walls Eight Windows.

33.

Norrander, B., & Clyde, W. (2009). Understanding public opinion (3rd ed.). Washington, DC: Congressional Quarterly Press.

34.

Page, B. I., & Shapiro, R. Y. (1992). The rational public: Fifty years of trends in America’s policy preferences. Chicago: University of Chicago Press.

35.

Patterson, T. E. (2002). The vanishing voter: Public involvement in an age of uncertainty. New York: Knopf.

36.

Popkin, S. L. (1994). The reasoning voter: Communication and persuasion in presidential campaigns. Chicago: University of Chicago Press.

37.

Saris, W. E., & Sniderman, P. M. (Eds.). (2004). Studies in public opinion: Attitudes, nonattitudes, measurement error, and change. Princeton: Princeton University Press.

38.

Stimson, J. A. (2004). Tides of consent: How public opinion shapes American politics. Cambridge: Cambridge University Press.

39.

Stonecash, J. (2008). Political Polling (2nd ed.). New York: Rowman & Littlefield.

40.

Verba, S., Schlozman, K. L., & Brady, H. E. (1995). Voice and equality. Cambridge: Harvard University Press.

41.

Warren, K. (2001). In defense of public opinion polling. Boulder: Westview Press.

42.

Wattenberg, M. P. (2002). Where have all the voters gone? Cambridge: Harvard University Press.

43.

Weisberg, H. F., Krosnik, J. A., & Bowen, B. D. (1996). An introduction to survey research, polling, and data analysis. Thousand Oaks: Sage Publications.

44.

Weissberg, R. (2002). Polling, policy, and public opinion. New York: Palgrave Macmillan.

45.

Zaller, J. R., Chong, D., & Kuklinski, J. H. (1992). The nature and origins of mass opinion. Cambridge: Cambridge University Press.

× Return to Chapter 7: Table of Contents

Articles

Anderson, C. J. (1995, October). The dynamics of public support for coalition governments. Comparative Political Studies, 28(3), 350–383.

Ansolabehere, S., Behr, R. L., & Iyengar, S. (1991, January). Mass media and elections: An overview. American Politics Quarterly, 19(1), 109–139.

Bauer, J. R. (1990, December). Patterns of voter participation in the American states. Social Science Quarterly, 71, 824–834.

Bennett, S. E., & Resnick, D. (1990, August). The implications of nonvoting for democracy in the United States. American Journal of Political Science, 34(3), 771– 802.

Hamer, L. (2006). The illusion of public opinion: Fact and artifact in American public opinion polls. Journal of Political Marketing.

Page, B. I., Shapiro, R. Y., & Dempsey, G. R. (1987, March). What moves public opinion. American Political Science Review, 81(1), 23–43.

Smith, T. W. (1990, Spring). The first straw: A study of the origins of election polls. Public Opinion Quarterly, 54(1), 21–36.

Stokes, S. C. (1996, October). Introduction: Public opinion and market reforms: The limits of economic voting. Comparative Political Studies, 29(5), 499–519.

× Return to Chapter 7: Table of Contents C.

Media

1. Bob Roberts. (1992). Comedy about a Senate candidate who runs a campaign without issues, appealing only to peoples’ feelings. 2. Constructing Public Opinion: How Politicians and the Media Misrepresent the Public. (2001). Media Education Foundation. An examination of how polling data is used by the media to construct as well as report public opinion. 3. Leading Questions. (1989). Films for the Humanities and Sciences. Part of the Public Mind series distributed by Films for the Humanities and Sciences. This program examines public opinion polling and marketing techniques used in campaigns. 4. Magic Town. (1947). Dir. William Wellman. Robert Risken Productions. An amusing movie starring James Stewart about a pollster who finds a town which perfectly mirrors the entire nation. A good illustration of the Hawthorne Effect. Copyright © 2011, 2009, 2007 Pearson Education, Inc. All rights reserved.

5. The War Room. (1994). Documentary of the 1992 Clinton presidential campaign. × Return to Chapter 7: Table of Contents D.

Web Resources

1. The American Association for Public Opinion Research (AAPOR) is a professional association that publishes Public Opinion Quarterly whose tables of contents are available at this site: http://www.aapor.org/ 2. The American National Election Study offers regular polls on elections, voting behavior, and electoral issues. http://www.electionstudies.org/ 3. The Gallup Organization is one of the best-known and most well-respected polling agencies. Their Web site offers access to reports, polling data, and more about a variety of issues. http://www.gallup.com/ 4. The General Social Survey. Web site of the National Opinion Research Center (NORC) offers access to their annual surveys of American attitudes and opinions. http://www.norc.org/projects/General+Social+Survey.htm 5. Marist College Institute for Public Opinion. http://www.maristpoll.marist.edu/ 6. National Council on Public Polls (NCPP). http://www.ncpp.org/ 7. Pew Research Center. http://pewresearch.org/ 8. Polling Report. A compilation of surveys from a variety of sources on politics and public affairs. http://www.pollingreport.com/ 9. Public Agenda Online offers nonpartisan issue guides on a variety of topics, links to other sources of public opinion information, and their own research. http://www.publicagenda.org/ 10. Quinnipiac University Polling Institute. http://www.quinnipiac.edu/x271.xml 11. Rasmussen Reports. http://www.rasmussenreports.com/ 12. The Roper Center for Public Opinion Research is located at the University of Connecticut and is the largest library of public opinion data in the world. The Center’s mission focuses on data preservation and access, education and research. Includes the GSS—General Social Survey. http://www.ropercenter.uconn.edu/ 13. Social Science Data Collection. Lists of articles and books about polling, published public opinion polls, and raw polling data. http://libraries.ucsd.edu/ssds/

14. The Washington Post Data Directory is a guide to public opinion data published on the Internet by nonpartisan organizations. http://www.washingtonpost.com/wpsrv/politics/polls/datadir.htm 15. Zogby International has been polling for over 16 years. Among the interesting information on their Web site: an article by founder, John Zogby, about the nature of polling (that is very good) and explains why your students may not know a single person who has been asked his/her opinion about current issues; an archive of e-clippings from media stories using their data; and a search engine for polling data (a search on George Bush pulls up a huge list). Also offers a subscription to their monthly newsletter “Zogby’s Real America” and a “comprehensive resource for finding out where Americans stand on topics ranging from politics to social issues, with analysis from John Zogby in a new style.” http://www.zogby.com × Return to Chapter 7: Table of Contents

Integrated Guide to the Text’s Resources (Instructor’s Resource Manual)

Chapter 8 - Political Participation Table of Contents I. Chapter Overview A. Learning Objectives B. Chapter Summary II. Student Assignments – Pre-Lecture III. Lecture Resources A. Lecture Slides B. Additional Lecture Suggestions IV. Student Assignments – Post-Lecture A. Class Discussion Questions B. Class Activities C. Research Assignments V. Quantitative Assessment VI. Resources for Further Study A. Books B. Articles C. Media D. Web Resources

I. Chapter Overview: A.

Learning Objectives

¾8.1 Analyze the costs and benefits of political participation for individuals and groups. ¾8.2 Identify the different kinds of political activities in which Americans participate. ¾8.3 Outline the main factors that influence political participation. ¾8.4 Analyze voter turnout from comparative and historical perspectives and assess explanations. ¾8.5 Assess whether differences in groups’ political participation matters and whether participation itself matters. × Return to Chapter 8: Table of Contents B.

Chapter Summary

The Paradox of Political Participation An individual’s decision to participate in politics depends largely on the outcome of their cost and benefit analysis of the specific political activity. If the benefits outweigh the costs, the individual is likely to vote. If the costs outweigh the benefits of voting, the individual is less likely to vote. Even though a rational calculation will typically work against voting, many American vote anyway. This phenomenon is known as the paradox of participation. The satisfaction an individual receives from performing their civic duty seems to encourage people to vote despite the costs. The Nature and Extent of Political Participation in America The number of Americans who participate in politics depends on the type of participation available to them. Voting is the most common form of political activity and involves the direct choice of political leaders. However, there are many ways in which citizens can try to influence leaders already in office. Some of these activities include: signing petitions, participating in demonstrations, and volunteering for political campaigns. Factors that Influence Participation There are several factors that influence an individual’s decision to participate in the political system. One important personal factor that affects participation is socioeconomic status. The lower the socioeconomic status, the less likely one is to participate in the political system. Those of higher socioeconomic status are more likely to participate because the costs of participation are lower. Legal factors can also influence the likelihood of participation. Poll taxes and literacy tests are two examples of barriers used in the past to prevent certain segments of society from participating. The political environment will also affect participation. Competitiveness of a race in addition to the efficacy of mobilization will affect voter turnout. When a race is more competitive and there is more effective mobilization, political participation increases.

Comparative and Historical Puzzles of Voter Turnout One of the many puzzles concerning voter turnout is the fact that voter turnout rates in the United States fall behind most Western European countries, Canada, Japan, New Zealand and Iceland. Registration requirements have been identified as one reason for low voter turnout in the United States. Another factor influencing voter turnout is election scheduling. Unlike many European countries, elections in the United States are scheduled for a single day during which electors are asked to take time out of their busy schedules to head to the polls. The relative frequency of elections in the U.S. may also lead to voter fatigue and depress voter turnout. The way votes are counted and apportioned (a.k.a. plurality decisions) may also lead to decreased voter turnout. Since the United States is a two-party state and those parties are centrist in orientation, fewer voters may turnout to participate. However, when the U.S. is compared to other advanced democracies, it has a higher level of non-voting political participation than the others. Although the costs of voting have decreased, there has not been an increase in voting. In fact, levels of participation have decreased over time in the U.S. Several factors have been identified as contributing to a decrease in turnout. These include: younger eligible voters, decreases in political trust and efficacy, and ineffective mobilization. Who Gets Heard? Does it Matter? The question of whether political participation matters is important because political participation is different across different demographic groups. For instance, higher levels of political participation are found among whites, men and those in the upper class. Participation is also greater among senior citizens than it is for younger voters. However, despite the demographic differences, political scientists assert that if demographic groups participated in proportion to their percentage in the population, collective public opinion would change very little. Participation at the individual level does not have an overwhelming impact on the political system. However, when individuals act in concert, that impact can be significant, as seen in the election of Franklin Delano Roosevelt to the presidency in 1932. × Return to Chapter 8: Table of Contents

II. Student Assignments – Pre-Lecture A. B. C.

Student Required Reading: Chapter 8 – Political Participation Administer Reading Comprehension Quiz (see Test Bank, Chapter 8) Chapter Test – After your students have completed their reading assignment, go over these questions with your class to identify any areas you should focus on in your lecture.

Chapter Test 1. 2. 3. 4. 5. 6. 7. 8.

Why is it a challenge to explain why anybody at all participates in politics? How do the costs and benefits of different sorts of political participation differ? How do participation rates in America compare to other countries and our recent history? What are the major factors that influence voter turnout? Why is the decline in participation in the United States over the last 50 years a puzzle? What are some solutions to the puzzle of declining turnout in the United States? What are some ways that mobilization stimulates political turnout? Why is it difficult to study voter mobilization and how might its effects be overstated sometimes? 9. What are some new techniques that parties and campaigns are using to encourage their supporters to participate in politics? 10. How does the United States rank in terms of voter turnout compare to other countries and why is this rank surprising? × Return to Chapter 8: Table of Contents

III. Lecture Resources A.

Lecture Slides

Slide 1

Slide 2

The opening feature, guessing weights, introduces a relavent question about public opinion. Can a group of people, many of whom have little expertise in a particular subject matter, collectively make appropriate judgments about the matter?

Slide 3

Chapter 8: Political Participation Some people get involved in politics and others do not due to individual evaluations about the costs and benefits of political activity.

To Learning Objectives

Slide 4 After Reading This Chapter, You Should Be Able To: 9 LO 8-1: Analyze the costs and benefits of political participation for individuals and groups. 9 LO 8-2: Identify the different kinds of political activities in which Americans participate. 9 LO 8-3: Outline the main factors that influence political participation. 9 LO 8-4: Analyze voter turnout from comparative and historical perspectives and assess explanations. 9 LO 8-5: Assess whether differences in groups’ political participation matters and whether participation itself matters.

To Learning Objectives

Slide 5

LO 8-1

Costs and Benefits

9Paradox of Participation 9Single individuals do not influence election outcomes or political decisions. 9Solutions to the paradox

To Learning Objectives

Slide 6

LO 8-1

Costs and Benefits

9Paradox of Participation 9Single individuals do not influence election outcomes or political decisions.

About half of America’s citizens engage in some political participation while the other half do not. why do some people participate, and why do other people choose not to do so? A cost-benefit analysis allows us to see why people participate—individual decisions depend on an individual weighing of the costs and benefits of participating. First, the costs include the time and effort required to register, to vote, and to become informed. Second, the benefits include choosing a preferred candidate and his or her policies. An individual compares the costs and the benefits and if the benefits outweigh the costs, he or she participates. The costs become higher than the benefits when individuals consider that any single vote will probably not influence the election outcome and thus not effect policy decisions. The only case in which an individual vote matters is a tie. It is exceedingly rare for this to happen, so it makes sense to not participate. So then the interesting question is: Why does half the country participate at all?

9Solutions to the paradox

Å Back to LearningToObjectives Learning Objectives

Slide 7

LO 8-1

Vote here: Voters line up on Election Day for many different reasons. For most, the potential benefits of showing up to the polling place, such as influence public policy, outweight any costs incurred.

Å Back to Learning Objectives

Slide 8

LO 8-1

Costs and Benefits

9Paradox of Participation 9Single individuals do not influence election outcomes or political decisions. 9Solutions to the paradox

To Learning Objectives

Slide 9

LO 8-1

Costs and Benefits

9 Paradox of Participation

The paradox is that people continue to participate even if their individual participation seems too small to matter. First, people worry that other individuals will not participate and that therefore democracy may collapse. Given that, people decide to vote. Second, individuals may think about other benefits, such as a collective benefit, which everyone gets to enjoy even if each person did not individually cause it to happen. Third, individuals may consider selective benefits, such as satisfaction of having fulfilled one’s civic duty. People are more likely to participate if costs are low; easier registration leads to more voting. Easier voting, such as early voting, leads to more voting. Also, if the collective benefits seem to be greater, participation is higher.

9Single individuals do not influence election outcomes or political decisions. 9Solutions to the paradox

To Learning Objectives

Slide 10

LO 8-1

“I voted!”: For some, the sense of civic duty and the personal satisfaction gained from doing that duty motivate political participation.

Å Back to Learning Objectives

Slide 11

LO 8-1

What is a possible solution to the voting paradox? 1.Civic Duty 2.Collective Benefits 3.Commitment to Democracy 4.All of the Above

To Learning Objectives

Slide 12

LO 8-1

What is a possible solution to the voting paradox? 1.Civic Duty 2.Collective Benefits 3.Commitment to Democracy 4.All of the Above

To Learning Objectives

Slide 13

LO 8-2

Different Kinds of Participation

9Outside the Voting Booth 9 Voter Turnout

To Learning Objectives

Slide 14

LO 8-2

Note that many Americans are politically activity at least in the discussion of politics, and a full third volunteer or work to solve community problems. It is only when we look at the more politically motivated activities that the numbers drop off.

To Learning Objectives

Slide 15

LO 8-2

Different Kinds of Participation

9 Outside the Voting Booth 9Voter Turnout

When we talk about political participation, the first activity that comes to mind is voting—but there are many other types of political activity. Table 8-1 takes you through the types of participation that happen outside the voting booth. Additionally famous in America’s history is the social movement, made up of informal alliances of groups or individuals for the purpose of enacting or resisting social change. The Civil Rights Movement of the 1950s and 1960s and the anti-Vietnam War of the 1960s and 1970s are famous, influential examples.

While Americans have low voter turnout compared to other nations, we tend to participate more in the other types of political activities—the American reputation for being political inactive may be undeserved. The text feature goes over why it is so difficult to determine how many people vote on election day— given this information, take students through a conversation about voting.

To Learning Objectives

Slide 16

LO 8-2

To Learning Objectives

Slide 17

LO 8-2

Slide 18

Use this to engage in a discussion about voter turnout and political participation: What does it mean that Americans participate in the other political activities at higher rates? Does it change the assessment of Americans as being behind other groups?

Dueling immigration demonstrations: In 2010, the politics of immigration was in the news as Americans demanded more strict enforcement of immigration laws while others protested a new law passed in Arizona.

To Learning Objectives

Americans participate more than citizens of other nations in ____.

LO 8-2

A. Voting B. Community Work C. Attending Political Meetings D. None of the Above

Slide 19

To Learning Objectives

Americans participate more than citizens of other nations in ____.

LO 8-2

A. Voting B. Community Work

C. Attending Political Meetings D. None of the Above

To Learning Objectives

Slide 20

LO 8-2

Why Do People Participate?

9Personal Factors

There are a number of factors that affect individuals’ perceptions of the costs and benefits of participation—these include personal factors, legal factors, political/environmental factors, and mobilization efforts.

9socioeconomic status

Slide 21

To Learning Objectives

LO 8-3

Slide 22

To Learning Objectives

LO 8-3

Slide 23

Classroom connection: Even young children can learn and practice skills critical for taking part in political life. Here children take part in a classroom election with voting booths and secret ballots.

To Learning Objectives

LO 8-3

Family connection: The more families discuss politics, the more likely children are to be active politically.

Going through who votes based on personal factors is a good way to introduce the idea that voting matters. If we think about what issues are often pushed politically, we can almost always track those through who voted. This is a good way to connect elections to outcomes.

To Learning Objectives

Slide 24

LO 8-3

Why Do People Participate?

9Personal Factors 9socioeconomic status

To Learning Objectives

Slide 25

LO 8-3

Why Do People Participate?

9 Personal Factors 9socioeconomic status

9Legal Factors

A person’s socioeconomic status is a highly significant predictor of participation. SES is measured as a combination of an individual’s occupation, income, and education. The higher the SES, the more likely the person is to participate. People with higher SES have better civic skills, and thus the costs of participating are lower. The most important component of SES with regard to participation is education—it is one of the most important determinants of political participation generally. The more educated the person is, the more political efficacy he or she has. Efficacy is the belief that he or she can influence the world politically. In addition to SES, a person’s partisanship, age, and intensity of feelings on a particular issue can strengthen participation. Legal factors can make it more or less costly to participate in politics. Suffrage has been denied to certain groups in our history, but now pretty much everyone over the age of eighteen can vote; today, only convicted felons and noncitizens are denied suffrage. Interestingly, voting in the United States is a two-step process—you must register to vote before you can vote. America is unusual in this regard.

Slide 26

To Learning Objectives

LO 8-3

Suffragists make history: Here women campaign and remind others to vote for their suffrage. In 1920, the Nineteenth Amendment granted all American women the right to vote.

To Learning Objectives

Slide 27

LO 8-3

To Learning Objectives

Slide 28

LO 8-3

Why Do People Participate?

9 Personal Factors 9socioeconomic status

To Learning Objectives

Slide 29

LO 8-3

The nature of the candidates, campaigns, and issues in a given election cycle can influence who participates. Half the states have an initiative process—putting a policy directly on the ballot for approval by voters—and this also encourages people to vote. Presidential elections get the highest turnout. Races that are competitive get higher turnout than those that are not. There is a feature in the text about the Tea Party movement in the 2010 elections. Most students will have heard about this movement, and you can use this to explain political environment; longstanding incumbents got taken out. Tea Party protests: Tea party protestors in what could be described as festive dismay often dressed in colonial garb during their demonstrations.

To Learning Objectives

Slide 30

LO 8-3

Why Do People Participate?

9 Personal Factors 9socioeconomic status

The birth of Tea Party Politics: CNBC bond analyst Rick Santelli shown during his now famous tirade against the Obama administration’s economic and financial policies.

To Learning Objectives

In addition to all the factors previously discussed, there are get-out-the-vote efforts by candidates, political parties, and other groups to include others to participate in politics. These efforts include phone calls, personal visits, mailings, and transportation to the polls. Mobilization increases participation in three ways: First, the efforts tend to provide information about relevant candidates and issues, which makes it easier for voters to learn what they need to make a decision. Second, the efforts lower the costs of participating by telling people exactly how to participate. Third, mobilization tends to bring implicit social rewards for those who show up.

Slide 31

LO 8-3

Slide 32

Slide 33

Which factor is the most important predictor of participation?

Note that people are more likely to be asked in community activity settings. Note, too, that the Bush administration capitalized on this and that Democrats noted that the personal connection was more important and valuable; Senator Obama used this fact very effectively in 2008.

To Learning Objectives

LO 8-3

Slide 34

To Learning Objectives

LO 8-3

This table shows mobilization efforts—in a typical year, between 10 and 30 percent of Americans will be the target of mobilization for some activity. When asked, anywhere from a third to more than a half agree to participate.

Schlepping for votes: Comedian Sarah Silverman stars in an edgy video trying to convince college students to convince their grandparents to vote for Obama.

To Learning Objectives

LO 8-3

A. Wealth B. Education C. Registration D. None of the Above

To Learning Objectives

Slide 35

Which factor is the most important predictor of participation?

LO 8-3

A. Wealth B. Education C. Registration D. None of the Above

Slide 36

To Learning Objectives

LO 8-4

American Voting Patterns 9Obstacles to Voting

Americans do not vote the way citizens in other democracies do. We are at the bottom of a list of twenty nations; only the Swiss vote at lower levels. What is the issue with Americans? The answer lies mostly in the legal barriers to voting.

9registration regulations 9election scheduling 9plurality decisions 9two-party system

Slide 37

To Learning Objectives

LO 8-4

American Voting Patterns 9Obstacles to Voting 9registration regulations 9election scheduling 9plurality decisions 9two-party system

Slide 38

To Learning Objectives

LO 8-4

American Voting Patterns 9Obstacles to Voting 9registration regulations 9election scheduling 9plurality decisions 9two-party system

First, and perhaps most importantly, is the registration requirements. Americans have a twostep process for voting. First, they must register— depending on what state they are in, they might be required to do so up to sixty days before the election. Some states have reduced the requirements for registration and have seen turnout increase. Fully 30 percent of eligible voters have not registered. Among registered voters, our turnout is 85 percent, which is comparable to the turnout rates of other nations.

To Learning Objectives

Elections in America are held on a single day during which voters are expected to find the time to participate amid their other activities. Early and absentee balloting has become easier in recent years, but early voting tends to not change the turnout. In other democracies, election day is a holiday, or elections are held over the weekend so that people can vote. Second, elections in America are held more often than in any other nation, so citizens suffer from voter fatigue; if citizens are required to vote too often, they may feel less urgency about voting in any given election.

Slide 39

LO 8-4

American Voting Patterns 9Obstacles to Voting 9registration regulations 9election scheduling 9plurality decisions 9two-party system

American elections are designed to be a winnertake-all system—the candidates who receives the most votes get the seats. Thus, you could vote every year and your party’s candidate could always lose, leaving you feeling perpetually unrepresented. You may eventually say to yourself, Why bother?

Slide 40

To Learning Objectives

LO 8-4

American Voting Patterns 9Obstacles to Voting 9registration regulations 9election scheduling 9plurality decisions 9two-party system

The United States has a two-party system, which means that only two major parties are ever likely to win an election. The more narrowly focused a party, the more people can get behind it; the more the party has to build a coalition, the harder it is to agree with every item on the party’s agenda.

Slide 41

To Learning Objectives

LO 8-4

Slide 42

Multiparty systems allow voters more specific choices: When Islamic terrorists struck a central Madrid train station just days before the election, voter turnout surged. Spanish voters put the socialist party in office, and within a matter of weeks, all of Spain’s troops serving in Iraq were brought home.

To Learning Objectives

LO 8-4

American Voting Patterns

Even though the American public is more educated than ever and the legal barriers to voting have been eased, our turnout has been declining since 1960.

9 Obstacles to Voting 9registration regulations 9election scheduling 9plurality decisions 9two-party system

To Learning Objectives

Slide 43

LO 8-4

Slide 44

To Learning Objectives

LO 8-4

Slide 45

This chart shows turnout in midterm elections; we are losing voters in all elections.

To Learning Objectives

LO 8-4

American Voting Patterns 9 Obstacles to Voting 9registration regulations 9election scheduling 9plurality decisions 9two-party system

This chart demonstrates how turnout has dropped in the last half decade: note that in recent elections, it has gone back up. Use the recent political history to demonstrate why turnout goes up—hotly contested elections result in turnout.

To Learning Objectives

Given changes in education and legal barriers, we should have seen a five-point rise in turnout; instead, we have seen an eleven-point drop. Why? The twenty-sixth amendment enfranchised millions of eighteen- to twenty-year-olds, who are the least likely of all those eligible to vote. Americans have also demonstrated lower levels of political efficacy, show lower levels of trust in government, and tend to be less attached to parties—all of which factors result in lower turnout. Finally, some theories say that the more isolated Americans have become—the less they interact outside of work—the more there has been a steady decline in social connectedness. This results in lower voter turnout.

Slide 46

LO 8-4

Slide 47

There are many attitudinal reasons why voter turnout has declined—we can track the numbers that run in close parallel. Americans are not happy with the government, and have lost efficacy and political partisanship.

To Learning Objectives

LO 8-4

Turnout has declined because of ____.

A. Declining Trust in Government B. Declining Political Efficacy C. Declining Partisanship D. All of the Above

Slide 48

To Learning Objectives

LO 8-4

Turnout has declined because of ____.

A. Declining Trust in Government B. Declining Political Efficacy C. Declining Partisanship D. All of the Above

To Learning Objectives

Slide 49

LO 8-5

Who Participates? 9Participation differs considerably across demographic categories.

Participation in the political process is not equal among American citizens. Some groups participate quite a bit. People who participate tend to be whiter, older, wealthier, better educated, and are more likely to be male and more conservative than the populace at large.

9Does it matter?

To Learning Objectives

Slide 50

LO 8-5

Slide 51

To Learning Objectives

LO 8-5

Slide 52

When discussing whether it matters whether some groups do not participate, note that there are major differences between blacks and whites on a variety of issues.

To Learning Objectives

LO 8-5

Note that the green bar is always the highest, except in campaign work, participating in a protest, or community activity, where blacks beat out whites. Hispanics are never more involved in activities than the other two groups.

The differences here are not as large as those between blacks and whites, but there are significant differences between old and young.

To Learning Objectives

Slide 53

LO 8-5

Who Participates? 9Participation differs considerably across demographic categories. 9Does it matter?

To Learning Objectives

Slide 54

LO 8-5

Does participation matter?: Many active in the fight over universal health care in the early 1990s believe that grassroots lobbying was decisive in its defeat. How might individuals at the grassroots level make a difference in current debates?

To Learning Objectives

Slide 55

LO 8-5

Who Participates? 9 Participation differs considerably

across demographic categories. 9Does it matter?

Maybe it does matter that some groups do not participate; black and white Americans have significantly different opinions on issues. Also, young Americans look very different from older Americans. And maybe it matters because Americans need to participate so that this democracy is legitimate and healthy. Maybe it does not matter. Political scientists have attempted to run models where everyone votes to see if outcomes would look different—but they found that the result only looked a little more liberal than does the actual participating public. The reason for this is that the groups that are underrepresented also tend to be smaller segments of the population; even if they participated equivalent to their proportion in the population, they would not make a huge difference.

Even though it might be the case that participation does not ordinarily affect outcomes that much, there have been times in our history when it did make it important. First, women in the second half of the nineteenth century participated in most major movements: anti-slavery, temperance, and settlement house. They worked to promote the conditions of various groups, and in the course of this work, realized they needed to have political power. So they developed the women’s suffrage movement.

To Learning Objectives

Slide 56

LO 8-5

Who Participates? 9 Participation differs considerably

across demographic categories. 9Does it matter?

9Two Times Participation Mattered: 9women’s suffrage

Another important time when participation mattered quite a bit was the Civil Rights Movement in the 1950s and 1960s; activists achieved voting rights for blacks and in 2010, forty-one members of the House of Representatives were black—thousands of blacks serve in state and local government across the nation. In Birmingham, Alabama—the scene of some of the most horrific civil rights showdowns—the mayor and sheriff are both black.

To Learning Objectives

Slide 57

LO 8-5

The Congressional Black Caucus: The Congressional Black Caucus was established by African American members of Congress in 1971 to “positively influence the course of events pertinent to African Americans and others of similar experience and situation,” and “achieve greater equity for persons of African descent in the design and content of domestic and international programs and services.”

To Learning Objectives

Slide 58

LO 8-5

Which individual is most likely to vote? A. White 20-Year-Old Female B. White 65-Year-Old Male C. Black 20-Year-Old Male D. Black 65-Year-Old Female

To Learning Objectives

Slide 59

LO 8-5

Which individual is most likely to vote? A. White 20-Year-Old Female B. White 65-Year-Old Male

C. Black 20-Year-Old Male D. Black 65-Year-Old Female

To Learning Objectives

Slide 60

Text and Art Credits

Slide 61

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Photo Credits

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× Return to Chapter 8: Table of Contents

Additional Lecture Suggestions

¾8.1 Analyze the costs and benefits of political participation for individuals and groups • • • • •

•

• •

In some states, voting lists are used for jury duty. Discuss this as a “cost” of voting. Explain how the higher voter turnout among African-American voters affects local and national elections. How did African-American citizens vote in the 2008 election? Americans have long considered it a fundamental right to participate and be active in public affairs. It is the right of the people to petition and to protest to obtain rights from the government. Riots were a form of early American protest. Americans began to use more violence to express anger over British violations of their rights leading up to the Revolutionary War. John Locke stated that people have God-given rights and that governments are designed to protect these rights. If governments are not doing their job, the people have the right to protest. These ideas influenced the founding fathers of the United States, and collective action in defense of liberty became a legitimate form of protest. The American public expects to have their ideas heard and to be influential in the decisions made by their government. The Bill of Rights gives American citizens the right to petition government, freedom to express opinions, and the freedoms of speech, religion, assembly, and the press. When society changes, groups emerge to help create further important changes. Activists in one group often help give voice and ideas to other groups. Early social movements included the abolitionist, women’s rights, and the prohibition movements. The successes of these groups in helping to abolish slavery, give women the right to vote, and ban alcohol demonstrated that change is possible when like-minded people unite. The temperance movement began in the early nineteenth century at a time when excessive drinking was often blamed for social problems. The Eighteenth Amendment, which banned the sale of alcohol, was adopted in 1919. It was repealed by the Twenty-first Amendment in 1933. Problems in the United States between the 1890s and World War I produced many reform groups which formed in response to industrialization, urbanization, social change, poverty, crime, child labor, discrimination, unsafe working conditions, immigration, and political corruption. Many important reforms were brought about by the organization of these reform groups. Labor unions also emerged at this time in hopes of protecting workers and gaining higher wages. The 1960s and 1970s saw a resurgence of groups pushing for social and political change. Groups mobilized to gain rights for African Americans, women, the poor, and homosexuals. Christian groups also organized in reaction to what they considered to be moral decay and won an important place in the national political scene. Popular dissatisfaction with the course of the Vietnam War prompted the formation of the antiwar movement. Groups began to mobilize and move from “protest to resistance.” During this movement the United States was at its highest point of unrest since the Civil War. Political participation and activism are normally considered to be positive things. The question remains whether activism is good for all groups. Some will support only groups that they agree with and will oppose groups that they do not favor.

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The case of Terri Schiavo brought opposing groups face to face as they petitioned and rallied at courthouses concerning the right to remove her feeding tube. Public opinions were split and were voiced loudly from every direction. Many believe that Americans have become focused on the wants of the individual rather than the good of society. Some say that Americans have become politically disengaged while others state that the types of engagement have simply changed. Nevertheless, there has been a drop in how much people trust the government and their fellow citizens. Groups are a reflection of the idea that America is a “do something” society. Activism is a great freedom that we should not take for granted. The political process can be intimidating and confusing, but as Americans, it is important to participate in elections and take part in the political changes of our country. Americans should not restrict their role as change-makers to simply voting in elections. There is great opportunity for involvement in the political arena of America, but few people truly take advantage of the opportunities available. Trace the election process, considering legal issues such as the initiative and referendum process, the role of money in elections, and the level of political participation by the average American citizen. Government decisions are shaped by the people selected to be in charge. American citizens have the power to determine who will make these decisions for our country. Not only do elections determine our nation’s leaders, but they often directly shape important policies. Elections are considered by most Americans to be the most effective course of impacting government. The definition of democracy as “government for the people by the people” has long influenced the shape of American political life. Americans therefore put great importance on political elections. The United States is a representative democracy or a republican form of government. This means that U.S. citizens do not have a direct voice in every decision of the government, but that citizens elect officials to represent them. Some other ideas of how government leaders could be chosen include random selection, taking an examination and receiving the highest score, or being hand-picked by a predecessor. Elections also tell the government what is on the minds of the people. Landslide elections are one example of how the people can send a clear message that they support the beliefs and agenda of a specific candidate. Legitimacy demands that the selection of leaders be both legal and fair. The 2000 election raised questions of legitimacy as the outcome was virtually a tie. Political races with more than two candidates may also result in a situation where the winner is elected by a minority of the people. Americans tend to look past these problems and accept leaders as legitimate due to overall respect for the election system. Explain the paradox of voting. Evaluate the costs and benefits of political participation for individuals and groups.

¾8.2 Identify the different kinds of political activities in which Americans participate • •

American citizens are expected to participate in the affairs of their state. The basic participation level is voting. There is the hope that voting introduces individuals to further involvement in the political realm. Elections hold no promise of change in policy. The only given is that the person in charge of making decisions may change. There seems to be an increasing disconnect between elections Copyright © 2011, 2009, 2007 Pearson Education, Inc. All rights reserved.

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and policy. Many Americans view their power to vote as their only power concerning government decisions. Discuss the different kinds of political participation in America. List and describe the different ways that Americans participate in politics other than voting.

¾8.3 Outline the main factors that influence political participation • •

• •

Name several forms of political participation in the United States. Voters have different reasons for voting for a specific candidate. It is a mistake to assume that election results signify one specific thing. Many people vote for a candidate simply because they are dissatisfied with the status quo and are seeking change or because they simply do not like the alternative. Discussion and deliberation help to inform the public, but voting is a private act. Private interests often take precedence over public spirit as the voter enters the voting booth. List and explain the main factors that influence political participation decisions.

¾8.4 Analyze voter turnout from comparative and historical perspectives and assess explanations •

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Amendments following the Civil War granted the right to vote to former slaves and to poor white males. The Nineteenth Amendment granted women the right to vote in 1920. The Twenty-Fourth Amendment outlawed poll taxes, and the Twenty-Sixth Amendment lowered the voting age to eighteen. More than half of the states give voters a direct voice in policy decisions. An initiative can be put on the ballot, and if more than half of the voters approve, it will become a law. Referendums are used to reaffirm or reject existing laws. Recalls, though rare, are used to vote someone out of office before the next scheduled election. Initiatives increase voter turnout. The average citizen gets to have a direct voice in a government decision. This can be empowering and can energize people to get more involved. Many citizens are active but do not vote. Discussing upcoming elections is a form of participation. Citizens can participate at the individual level and at the collective level. Election turnout has increased and decreased throughout American history. The past decades have seen a general decrease in the number of people voting. The most recent American presidential election saw an increase in voters with just about sixty percent of American voters hitting the polls. The decline in voter turnout has occurred when most expected to see an increase. Most blame mistrust and cynicism for lack of voter turnout. Others point to a busier lifestyle that offers too many distractions to potential voters. Local party politics have also declined. Finally, voters are repelled by media and campaign images that overload the public. Many believe that if you are connected to your community you will vote. People who are mobile, such as young voters, often have no connection to community. The less educated are also less likely to vote. Young voters are voting in lower numbers than people in other age groups. Contributing factors could include less education, low mobility, and less money. Voting numbers for people ages 18–24 have declined over the past generation. Young voters are more likely to get involved in community action groups than to get involved in the election process. Copyright © 2011, 2009, 2007 Pearson Education, Inc. All rights reserved.

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Should we really care if voter turnout is low? One opinion is that levels of participation are unimportant as long as there are still people willing to be involved. Those who aren’t involved are generally the less informed and less educated. Also, it is our right not to vote. Another argument is that government is meant to reflect the will of the people. If the average person is not involved, the system is not working. Topics concerning the state of the electoral system are excellent ones for class debates or panel discussions. These could include issues such as mandatory voting laws, campaign finance (lifting the ban on soft money, public financing, etc.), reforming the nomination process, or the ever-debatable Electoral College. Issues could also be debated or discussed informally by the whole class, simply by physically dividing the class into “pro” and “con” sides (perhaps with “undecideds” sitting in the middle, who must defend their position), and allotting a certain amount of time or number of points/arguments to each side. An excellent reference for such an exercise, including possible debate topics and research resources, is Stephen Wayne’s Is This Any Way to Run a Democratic Election? 2nd ed. (New York: Houghton-Mifflin, 2002). A slightly older book, focusing on the presidential election process, is Gary Rose, ed., Controversial Issues in Presidential Selection 2nd ed. (Albany, NY: SUNY Press, 1994). Explain the comparative and historical puzzles of political participation. List and explain the four major factors that account for low voter turnout in the United States.

¾8.5 Assess whether differences in groups’ political participation matters and whether participation itself matters • •

Discuss whether political participation matters and how much it affects the decisions of government. Identify reasons why people do not vote.

× Return to Chapter 8: Table of Contents

IV. Student Assignments – Post-Lecture A.

Class Discussion Questions

¾8.1 Analyze the costs and benefits of political participation for individuals and groups • • • •

•

• • •

Why does it matter whether Americans understand important public policy issues? “A distinguishing characteristic of a democracy is that citizens can influence government decisions by participating in politics.” Do you agree? Discuss the following quote from Thomas Jefferson, “That government is the strongest of which every man feels himself a part.” Discuss George W. Bush’s statement that “We are bound by ideals that ... teach us what it means to be citizens. Every child must be taught these ideals. Every citizen must uphold them.... I ask you to be citizens: citizens, not spectators; citizens, not subjects; responsible citizens, building communities of service and a nation of character.” Consider the following text taken from the Declaration of Independence: “That to secure these rights, Governments are instituted among Men, deriving their just powers from the consent of the governed.” Do you feel that this ideal has been realized in modern America? Does government power come from consent of the people? Why does political participation matter? How would you respond to someone who said that their vote doesn’t matter? What methods would be most effective to combat voter fraud?

¾8.2 Identify the different kinds of political activities in which Americans participate •

How has the Obama campaign’s involvement of youth and new mobilization efforts (electronic social networking, grassroots fundraising, rallies) affected youth interest in politics? What does the new administration need to do to continue to encourage youth participation in politics?

¾8.3 Outline the main factors that influence political participation •

• • • • •

Using as many students as will volunteer, allow the balance of the students (and you, as instructor) to ask questions concerning their backgrounds. Given the facts studied in association with political socialization, can the questioners identify individuals’ political party affiliations? Can they ascertain their probable ideological association with dominant issues? The accuracy can be checked by having responses to some questions written by volunteers, before students ask questions. What role has direct citizen participation played in American politics and government? What are the most important pathways for political action? Have you ever tried to influence government? At what level: local, state, national? What actions did you take? Were you successful? How do you think you could motivate people to get out and vote? What tactics should politicians use that they are currently not using? What role do elections play in American democracy? Copyright © 2011, 2009, 2007 Pearson Education, Inc. All rights reserved.

• • • • • • • • • • • • • • • • • • • • • • • •

What trends in voter turnout and enthusiasm have been detected in recent years? What changes would you make in the election system if you had the opportunity? Why? Find ten people who voted for the same candidate in the 2008 elections. Why did they vote for that candidate? How many different reasons were cited? How would voting change if people were not permitted to vote in private? Do you think you would be influenced by the people around you? Why are there so few people interested in running for public office? What issues would you like to see on the ballot? Are there any laws you would like to see repealed? How many have voted in an election? How many discuss politics with friends or family? How many have attended any political event? Why did the number of voters increase for the 2008 election? What factors may have contributed to the increase in voters? Why are people so focused on how many people turn out to vote? After reading the demographics of voters, describe the typical person you might run into at the voting booth. What alienates youth from the political scene? On which issues should politicians focus more? Have students identify reforms that federal and local government could enact in order to increase political participation. Have students explain how their reforms will accomplish their goal. Argue whether or not individuals failing to participate in the political system harm a democratic form of government. In consideration of Americans’ general lack of interest and knowledge of politics, what do you consider to be the primary cause for such lack of public knowledge? Why are Americans so consistently weak in their political opinion stability given the more than 35 percent figure pollsters use to support such a statement? What can individuals gain in seeking support for their causes? By what means? What local and state issues can properly be defined as “salient”? How do Americans compare to other nations on opinions about government issues? What, do you believe, causes such wide variations between the United States and other Western nations? What do you believe causes inconsistencies on specific issues for both liberals and conservatives? What means of increasing voting participation has not been adopted that might cause a substantial increase? What factors can be identified to explain higher voter participation in many Western democracies than in the United States? What political activity, other than voting, might influence the outcome of a local political issue? What is the difference between civil disobedience and civil discourse? How might the latter be used to influence political leaders? Argue for and against national uniform poll closing times as a means to increase voter turnout.

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What do you see as the most important costs and most important benefits in your decision on whether or not to vote?

¾8.4 Analyze voter turnout from comparative and historical perspectives and assess explanations • • • •

•

• • • • • • • • • • • •

One reason given for the low voter turnout among low-income people is “their failure to be conscious of their real interests.” Do you accept this argument? How persuasive is the argument that lower voter turnout means that people approve of the way things are? How did the Iraq War affect voter turnout in the 2006 elections? Compare this with the effect of the economic crisis in 2008 on voter turnout. Uneven participation and the role of money and activists impair political equality by giving some people more political influence than others. In your opinion, can this problem be solved without also violating some liberties that are important to Americans? How would you balance the two? Generally, students in the class are younger than those identified as most active in voter participation. Selecting volunteers in the classroom who are older—there are usually several—discuss why younger voters fail to participate while older voters tend to regularly take part in political activities. Discuss the irony that as voting has been made easier, overall participation in voting has declined. Discuss what effect opinion polls that predict the outcome of an election may have on voter turnout. Ask students to explain the changes in civic attitudes and behavior between 2000 and 2001. Have those trends continued? Have students debate compulsory voting for the United States. Ask students if there are any current issues that are particularly salient to them. If there are, ask them if these issues make them more or less likely to vote in upcoming local or national elections. Discuss the September 11, 2001 terrorist attacks on America. Ask students to explain the renewed patriotism associated with the attacks. Discuss how “class bias” in voting can lead to a Congress composed of elected officials who are out of touch with the people. Does military action affect voter turnout? What effect, if any, did the war in Iraq have on the 2004, 2006, and 2008 elections? Evaluate how new technologies and the uniqueness of Senator Obama as the first African American candidate for president affected voter turnout. Is race still an issue in national politics? What role did a tradition of activism and protest play in the early history of the United States and the creation of the Constitution? Do younger voters have a distinct political agenda like older Americans seem to? Why, or why not? How did citizen participation shape the social and economic history of the United States between the 1830s and the 1920s? Copyright © 2011, 2009, 2007 Pearson Education, Inc. All rights reserved.

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What were the most important mass movements of the modern era? Is contemporary America living through an “Age of Apathy”? Do you consider riots to be a positive agent of change throughout American history? Do you think voting, attending rallies/demonstrations, or signing a petition has the most influence on government policy? Why? How did early social movements impact each other? Which movement was most influential in your opinion? Why? How were reforms of the Progressive Era different from reforms in earlier American history? How were they similar? Which movement of the 1960s/70s do you think had the most impact on American society? Why? Discuss the following quotation from Martin Luther King, Jr. on nonviolence: “Nonviolence is the answer to the crucial political and moral questions of our time: the need for man to overcome oppression and violence without resorting to oppression and violence.” Which amendment had the most significant impact on voters? How do the mobilization efforts of Democrats and Republicans differ? Why has voter turnout declined since the 1960s? How do demographics impact political participation?

¾8.5 Assess whether differences in groups’ political participation matters and whether participation itself matters •

Discuss the paradox that local elections, where public officials are “closer to the people,” typically have the lowest voter turnout.

× Return to Chapter 8: Table of Contents

Class Activities

¾8.2 Identify the different kinds of political activities in which Americans participate • • • •

Set a timer for fifteen minutes. In that amount of time, how many web pages dedicated to reform, petitions, and political activism can you find? List examples of opposing activist groups. Write a personal reflection essay on the freedoms that you enjoy as an American. What freedoms have you taken for granted? What challenge will you give yourself to get more involved in the political arena? Write a response to the question, “What comes to mind when you hear the phrase’civic duty‘? Why?”

¾8.4 Analyze voter turnout from comparative and historical perspectives and assess explanations • • • • • • • • •

Have the class come up with a list of ways schools instill “democratic values” in young people. Ask students to identify local and national figures they would classify as opinion leaders. Divide into two groups. Argue the pros and cons of prohibition in the modern era. Create a timeline of amendments and legislation that impacted the right to vote in the United States. Develop methods to increase voter turnout through the use of the Internet. There are many reasons why someone might choose to run for office and many reasons why someone might be reluctant to run. Where do you stand? Do the pros outweigh the cons, or vice versa? Explain your answer. Have students create a set of criteria to determine whether or not lowering the voting age to 16 is a good idea. Students can work alone or in groups, but once the lists have been made, students should discuss the pros and cons of their lists with the entire class. Have students write a think piece in class exploring the question of whether there is ever a valid reason to deny someone the ability to vote. Students should be prepared to share their opinions with other members of the class. Ask students to debate (or write an analytical essay) on the desirability of having a tax on non-voting. What would be the benefits? What would be the costs? Does the Constitution protect citizens’ right to abstain from voting?

¾8.5 Assess whether differences in groups’ political participation matters and whether participation itself matters •

Make a survey of the voting and political participation patterns on campus. How many students are registered? How many students voted in the last election? What is the political profile of the campus in terms of party identification? How does this pattern of party affiliation compare with the national patterns? Is the number of students who identify with the “independent” status greater than the number of students who identify with the Democratic or Republican parties?

Research Assignments

¾8.1 Analyze the costs and benefits of political participation for individuals and groups •

Research and compare and contrast the Popular Democratic Model and the Elite Democratic Model.

¾8.2 Identify the different kinds of political activities in which Americans participate •

•

• •

Visit the homepage of any activist group. What is the goal of the page? Did you feel an emotional response to the information contained on the page? Some examples of activist groups include Greenpeace, the National Rifle Association (NRA), the National Organization for Women (NOW), and United for Peace and Justice. Collected radio “essays” on what citizenship means. Following the model of “This I Believe” on National Public Radio, this project asks students to collect radio essays from regular people on the question of what citizenship in their community means to them. Solicit essays from school children, teachers, senior citizens, business leaders, religious leaders, Big Brothers/Big Sisters mentors, AmeriCorps volunteers, volunteer coaches, local artists, university staff, and university faculty. After the essays are compiled, the students should each submit a reflection piece that links concepts from the text with others’ experiences and definitions of citizenship. Contact your local Board of Elections and find out what criteria are set in your region for registration and voting. Do you think the rules present barriers to voting? Why or why not? Organize a civic reflection group. According to the Project on Civic Reflection, civic reflection means reading, thinking, and talking with others about our life in community and four fundamental activities that nourish life: giving, serving, associating, and leading. Go to http://www.civicreflection.org to learn how to set up a civic reflection group, using the electronic library as a source for discussion topics and the online templates to learn how to act as a facilitator. To get a sense of how civic reflections work in practice, read the comments in the discussion summary page.

¾8.3 Outline the main factors that influence political participation •

•

Have students explore the inequality of participation in the political process among American citizens by selecting three issues that they believe are important and have them research those issues to learn more about them. The following questions can be used to guide their research: 1) How would you define the issue? 2) What are the key arguments on each side of this issue? 3) What are some of the organizations that champion each side of the issue? 4) Where do liberals, conservatives and other political groups generally stand on the issue? 5) What is your opinion regarding this issue? Once students have completed their research have them share their findings with the class. Then ask them to discuss to the following questions: 1) Do the candidates' stances on the issues affect your choice for president? If so, why? If not, why not? Have students research the information available on the website: http://www.votesmart.org/. What information do they feel is most important on this site to get nonvoters more motivated to vote? Copyright © 2011, 2009, 2007 Pearson Education, Inc. All rights reserved.

• •

Use the following web site to begin an online petition: http://www.petitiononline.com/create_petition.html Use the Internet to find the process you would have to use to petition the government. Create a step-by-step procedure for petitioning the government.

¾8.4 Analyze voter turnout from comparative and historical perspectives and assess explanations • • • • • • • •

• • • •

Use the Internet to research protest leading up to and during the American Revolution. Create a timeline of at least seven protests of the American colonists. Explain the goal and impact of each protest. Research and find a modern example of the right to revolt. (Zimbabwe is a good place to begin.) Check out a site like United States Election Project (http://elections.gmu.edu/voter_turnout.htm) to see voter turnout rates in the United States. What trends do you see in this most basic form of political participation? Research and create a timeline of Progressive Era reforms. Research voter turnout in past presidential elections. What trends do you notice? Research and create a timeline of voting rights in the United States. Research voter turnout over the past century and create a graph summarizing the results. What trends do you notice? Conduct a public information campaign. Have students research pending legislative actions and/or proposals that directly impact their interests (e.g., rules on federal student loans). Ask them to create fliers and/or posters informing their fellow students about the issue. Alternatively, require students to draft letters to the editors of the campus and local newspapers. Be sure that the fliers, posters, or letters include information about how students can contact their congressmen to voice their opinion on the issue. Find three songs from the 1960s or 1970s that were written to protest a social injustice. Explain the lyrics. Search the Internet for photos related to the war in Vietnam. What power did photojournalism have on the American public during the Vietnam War? Interview someone who remembers the passage of the Voting Rights Act of 1965 and ask about the significance of the act to the person you are interviewing. Find information on the civil rights era; compare the results of the marches of Dr. King and the riots that broke out in cities across the United States. Based on your reading of the text, which should have been effective at creating change in public policy?

¾8.5 Assess whether differences in groups’ political participation matters and whether participation itself matters •

Civic engagement check-up on college campus. Have students identify measures of civic engagement, (e.g. Putnam and Skocpol). They may use sources, such as information from the University of Maryland’s Center for Information and Research on Civic Learning and Engagement (CIRCLE). CIRCLE promotes research on the civic and political engagement of Americans between the ages of 15 and 25 and has extensive resources on its website at http://www.civicyouth.org.The measures developed by the students should then be used in a Copyright © 2011, 2009, 2007 Pearson Education, Inc. All rights reserved.

campus survey of students. In addition, students should inventory the volunteer or servicelearning experiences that their peers have had in the past, and determine what skills they feel they could contribute now, and what skills they believe they will be able to contribute after they have graduated. What are the predominant norms of participation on campus, and what factors contribute to these norms? How could the culture of participation be changed on campus? This activity could also be replicated using community members outside of the college campus. × Return to Chapter 8: Table of Contents

V. Quantitative Assessment Administer Chapter Exam (see Test Bank, Chapter 8) × Return to Chapter 8: Table of Contents

VI. Resources for Further Study A.

Books

1. Berinsky, A. J. (2004). Silent voices: Public opinion and political participation in America. Princeton: Princeton University Press. 2. Bishop, B., & Cushing, R. G. (2008). The big sort: Why the clustering of like-minded America is tearing us apart. Boston: Houghton Mifflin. 3. Botwinick, A. (1990). Skepticism and political participation. Philadelphia: Temple University Press. 4. Buenker, J. D. (Ed.). (2002). The gilded age and progressive era 1877–1920. New York: Copley Group. 5. Campbell, A., Converse, P., Miller, W. E., & Stokes, D. (1960). The American voter. New York: Wiley. 6. Conway, M. M. (2004). Political participation in the United States (4th ed.). Washington, DC: Congressional Quarterly Press. 7. Eisner, J. (2004). Taking back the vote: Getting American youth involved in our democracy. Boston: Beacon Press. 8. Flanigan, W. H., & Zingale, N. H. (2002).Political behavior of the American electorate (10th ed.). Washington, DC: Congressional Quarterly Press. 9. Hart, G. (2002). Restoration of the republic: The Jeffersonian ideal in the 21st century. New York: Oxford University Press. 10. Hudson, D. L. (2005). Open government: An American tradition faces national security, privacy and other challenges. Philadelphia: Chelsea House. 11. Keith, B. E., Magleby, D. B., Nelson, C. J., Orr, E., Westlye, M. C., & Wolfinger, R. E. (1992). The myth of the independent voter. Berkeley: University of California Press. 12. Milbrath, L. W., & Goel, M. L. (1982). Political participation: How and why do people get involved in politics? Lanham: University Press of America. 13. Page, B. I., & Shapiro, R. Y. (1992). The rational public: Fifty years of trends in America’s policy preferences. Chicago: University of Chicago Press. 14. Pease, O. (1962). The progressive years: The spirit and achievement of American reform. New York: G Braziller.

15. Putnam, R. D. (2001). Bowling alone. New York: Simon & Schuster. 16. Rosenstone, S., & Hansen, M. (1993). Mobilization, participation, and democracy in America. New York: Pearson Longman. 17. Skocpol, T. (2004). Diminished democracy: From membership to management in American civic life. Norman: University of Oklahoma Press. 18. Verba, S., & Nie, N. H. (1987). Participation in America: Political democracy and social equality. Chicago: University of Chicago Press. 19. Wattenberg, M. P. (2002). Where have all the voters gone? Cambridge: Harvard University Press. 20. Wilcox, C., & Larson, C. (2006). Onward Christian soldiers: The religious right in American politics. Boulder: Westview Press. × Return to Chapter 8: Table of Contents B.

Articles

1. Bauer, J. R. (1990, December). Patterns of Voter participation in the American States. Social Science Quarterly, 71, 824–834. 2. Bennett, S. E., & Resnick, D. (1990, August). The implications of nonvoting for democracy in the United States. American Journal of Political Science, 34(3), 771–802. 3. Campbell, D. E. (2005). “Vote early, vote often: The role of schools in creating civic norms.” http://www.findarticles.com/p/articles/mi_m0MJG/is_3_5/ai_n15400105 4. Laitin, D. D. (1995, March). Citizens and community: Political support in a representative democracy. American Political Science Review. 5. Potapchuk, W. R. (1996, Fall). Building sustainable community politics: Synergizing participatory, institutional and representative democracy. National Civic Review, 85(3). × Return to Chapter 8: Table of Contents C.

Media

1. Voting: A Right and a Responsibility. (1996). Films for the Humanities and Sciences. This program addresses the importance of voting by looking at the history and issues of voting 2. The War Room. (1994). Documentary of the 1992 Clinton presidential campaign. × Return to Chapter 8: Table of Contents Copyright © 2011, 2009, 2007 Pearson Education, Inc. All rights reserved.

Web Resources

1. This is the homepage for the Center for Civic Education: http://www.civiced.org/internet.php 2. The Center for Responsive Politics is a nonpartisan organization that tracks the money that is given from PACs: http://www.opensecrets.org/ 3. Center for Voting and Democracy has links to articles related to elections and democracy including voter turnout, links to organizations and ideas related to reforming the electoral system, and analysis of electoral returns. http://www.fairvote.org/ 4. Homepage of the Youth Vote Coalition: http://www.youthvote.org/ × Return to Chapter 8: Table of Contents

Integrated Guide to the Text’s Resources (Instructor’s Resource Manual)

Chapter 9 - Voting, Elections, and Campaigns Table of Contents I. Chapter Overview A. Learning Objectives B. Chapter Summary II. Student Assignments – Pre-Lecture III. Lecture Resources A. Lecture Slides B. Additional Lecture Suggestions IV. Student Assignments – Post-Lecture A. Class Discussion Questions B. Class Activities C. Research Assignments V. Quantitative Assessment VI. Resources for Further Study A. Books B. Articles C. Media D. Web Resources

I. Chapter Overview: A.

Learning Objectives

¾9.1 Outline election procedures, such as how candidates are nominated and how winners are determined. ¾9.2 Identify the key factors that determine how voters make electoral choices. ¾9.3 Identify the key factors that determine the outcome of presidential and general elections. ¾9.4 Analyze the methods candidates use to conduct and pay for election campaigns. × Return to Chapter 9: Table of Contents B.

Chapter Summary

The Basic Rules Governing American Elections The rules governing elections influence not only the choices available to voters in America, they impact the decisions voters ultimately make about who they want their leaders to be. To understand vote choice and election outcomes, it is important to understand the rules of American elections. In order to run for office, a candidate must first receive his/her party’s nomination. A candidate who wins a majority of delegates to the party’s nominating convention during the state primary elections becomes the nominee. The Electoral College and the “winnertake- all” system define the American political landscape. Understanding Individual Vote Choice There are three main factors that determine how voters make electoral choices. They are: party identification, issue voting, and candidate evaluations. A voter’s party identification is the most important influence on a voter’s choice in the general election. However, party affiliation can change over time. Issue voting, which refers to voters’ opinions on specific issues and policies that can affect their vote for a candidate, is another factor that influences individual choice. Voters also engage in prospective voting where they try to predict how candidates will perform on important issues in the future. Voters might also assess the performance of the party through retrospective voting. Understanding Election Outcomes Three factors interact to create winners and losers in elections. These three factors are: 1) the laws governing how elections are conducted; 2) how candidates wage their campaigns; and,3) how voters decide whom to support. Candidates who want to succeed in presidential primaries must first gain the lead in the public opinion polls, fund-raising, or both by the end of the pre-primary period. Candidates who gain a lead in one of these areas often go on to win the election. Although voting behavior is idiosyncratic, forecasting models have been highly successful in predicting outcomes of elections. Several factors allow political scientists to accurately forecast the results. The two most important factors in predicting election outcomes are presidential approval ratings and economic performance. Other factors that are taken into account for these types of models are the partisan orientations of the electorate, the job approval rating of the incumbent party president, the performance of the economy during the first half of Copyright © 2011, 2009, 2007 Pearson Education, Inc. All rights reserved.

the election year, and incumbency. The Presidential Campaign Candidates know that to win a presidential election they must attain as many of the following objectives as possible: achieve high turnout among their own party’s identifiers, win a large share of the vote from their own party’s identifiers, encourage some of the other candidate’s partisans to “defect,” reduce turnout among the other candidate’s identifiers, and win independents. In other words, candidates must be familiar with the victory equation: Turnout + Loyalty + Defection + Persuasion = Victory One way in which candidates try to achieve the aforementioned objectives is by developing compelling campaign messages and themes while successfully managing their field operations. Campaign messages are tailored for specific sets of voters while trying to lure new voters into the fold. Field operations consist of tactics intended to produce high turnout among voters, especially in battleground states. Running a congressional or presidential campaign is very expensive. Campaign finance laws now determine how money can be raised and spent. The law further differentiates between hard money, soft money, and public money, while imposing further restrictions on their use. These types of restrictions are responsible for the increase in the 527 organizations, whose role is to circumvent the restrictions imposed on campaign finance. × Return to Chapter 9: Table of Contents

II. Student Assignments -- Pre-Lecture A. B. C.

Student Required Reading: Chapter 9 – Voting, Elections, and Campaigns Administer Reading Comprehension Quiz (see Test Bank, Chapter 9) Chapter Test – After your students have completed their reading assignment, go over these questions with your class to identify any areas you should focus on in your lecture.

Chapter Test 1. How do presidential primaries differ from other sorts of primaries in the United States? 2. How do presidential general elections differ from contests for other federal, state, and local offices? 3. How does our first-past-the-post, winner-take-all system fundamentally structure our election campaigns? 4. What are some major ways that that the presidential nominating process has changed over the last 40 years? 5. What are some differing views of party identification and how do they matter for our understanding of elections? 6. What have been some recent major trends in party identification and how have they influenced election outcomes? 7. What are the fundamental factors that influence turnout, loyalty, and the voting behavior of independents? 8. Given these fundamental factors, why was it such surprise to political scientists that Al Gore did not do better in the 2000 presidential election? 9. What can decisions about where to advertise tell us about the state of an election campaign? 10. In addition to candidates, who are the other major players in election campaigns and what tools are available for them to use? × Return to Chapter 9: Table of Contents

III. Lecture Resources A.

Lecture Slides

Slide 1

Slide 2

Slide 3

Chapter 9: Voting, Elections, and Campaigns The choices available to voters in America—and the decisions voters ultimately make about who they want their leaders to be—are strongly shaped by the rules governing elections.

The opening feature of this chapter introduces the 2000 election as a puzzle in American politics. Use this to introduce the importance of elections to students, as well as the importance of the process. While there was no winner the day after election day, the nation waited for the process to continue.

Slide 4

After Reading This Chapter, You Should Be Able To: 9 LO 9-1: Outline election procedures, such as how candidates are nominated and how winners are determined. 9 LO 9-2: Identify the key factors that determine how voters make electoral choices. 9 LO 9-3: Identify the key factors that determine the outcome of presidential and general elections. 9 LO 9-4: Analyze the methods candidates use to conduct and pay for election campaigns.

Slide 5

LO 9-1

Basic Rules

A candidate’s first objective is to receive the nomination; a party chooses a person to run on its label.

9Nomination 9Presidential Elections 9nominations 9general

9Congressional Elections

To Learning Objectives

Slide 6

LO 9-1

Iowa caucus: Registered Democrats gather in this school cafeteria to voice their support for Hilary Clinton.

To Learning Objectives

Slide 7

LO 9-1

Basic Rules 9Nomination 9Presidential Elections 9nominations 9general

9Congressional Elections

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Slide 8

LO 9-1

In presidential elections, nominees need to accumulate a majority of delegates— individuals who represent a state’s voters in the selection of a presidential candidate—at the nominating convention. This happens in two ways. Caucus: small meeting at which registered political party members select delegates to attend the national party convention Primary: election in which voters choose the candidate who will represent their political party in the general election Open primary: any voter can vote. Closed primary: only registered partisans may vote. Modified open primary: any registered voter who is not affiliated with the Democrats or Republican can vote, but Democrats cannot vote in Republican primaries. Nominations for the presidential candidates has changed significantly. Until 1972, state delegations to conventions were chosen by state party leaders; today, most delegates are selected by voters, either in caucus meetings or primaries. Since the 1980s, Democrats have used super-delegates: party leaders and congressional members who get to cast a vote at the convention. Chaos at the convention: Police and protestors collide in the streets of Chicago following the Democratic convention.

To Learning Objectives

Slide 9

LO 9-1

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Slide 10

LO 9-1

The superpowers of super-delegates: Superdelegates have the power to vote for whomever they choose at the Democratic convention. They often express their support for a particular candidate beforehand. Hilary Clinton and Barack Obama competed for the votes of these allpowerful few throughout the primary season.

To Learning Objectives

Slide 11

LO 9-1

Basic Rules 9Nomination 9Presidential Elections 9nominations 9general

9Congressional Elections

Whose votes count?: Harold Ickes, a strategist for Hilary Clinton, argues for the full reinstatement of the delegates for Michigan and Florida. Earlier in the year, the delegates from these states had been stripped of their voting rights at the Democratic party convention for failure to abide by party rules. In the primary elections held in both states, Clinton outperformed her main opponent, Barack Obama.

To Learning Objectives

Once a person is nominated at the convention, the general election season begins. The rules for presidential elections are difficult to understand—to win the presidency, the nominee must win a majority in the Electoral College, regardless of the popular vote. The Electoral College was put into place by the framers so that people wouldn’t directly choose the president, which would privilege the large states, and so that the House of Representatives would not choose, which would violate the principles of separation of powers. States (except for Maine and Nebraska) assign their electoral votes through a winner-take-all system; whoever wins a plurality in a state gets that state’s entire electoral vote.

Slide 12

LO 9-1

Basic Rules 9Nomination

Congressional elections are easier to understand. A person is nominated either through a caucus or primary system— whoever wins a plurality (getting the most votes, not necessarily a majority) gets the seat.

9Presidential Elections 9nominations 9general

9Congressional Elections

To Learning Objectives

Slide 13

LO 9-1

A(n) ___ is a small meeting of delegates to choose a nominee. A. Closed Primary B. Modified Open Primary C. Open Primary D. Caucus

Å Back to Learning Objectives

Slide 14

LO 9-1

A(n) ___ is a small meeting of delegates to choose a nominee. A. Closed Primary B. Modified Open Primary C. Open Primary D. Caucus

To Learning Objectives

Slide 15

LO 9-2

How Do Voters Choose? 9Primary Voting 9Partisanship

No aspect of American politics has been studied more than the individual vote for president: but not so much during the primaries. Most of what we know is about the general election. This is because the primaries are not as important, and because the party ID is taken out of the equation in the primary.

9Issue and Policy Preferences 9Candidate Appraisal

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Slide 16

LO 9-2

How Do Voters Choose? 9Primary Voting 9Partisanship 9Issue and Policy Preferences 9Candidate Appraisal

To Learning Objectives

Slide 17

LO 9-2

Partisanship both influences and is influenced by the general election vote. There are two components to an individual’s party ID: direction (whether a person identifies more as a Republican or Democrat) and strength (the intensity of that attachment). Some argue that party ID is a causal factor; party ID predicts how people will vote. Others argue that party ID can be an effect; it is reflective of how parties are doing, a running tally of performance. Party ID is not always permanent or stable. People’s partisan attachments change given new elections or events in politics. Researchers generally measure party ID on a seven-point scale that allows us to measure both strength and direction.

To Learning Objectives

Slide 18

LO 9-2

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Slide 19

LO 9-2

Reagan Democrats: Ronald Reagan shakes hands with white working-class voters. Some of these voters followed him as he moved from the Democratic to the Republican party.

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Slide 20

LO 9-2

Note that party ID is not stable; over the last four decades, the number of Republicans in the South has risen, while the number of Democrats has decreased.

Here we see party ID broken down by intensity as well—note that the apolitical numbers have dropped.

To Learning Objectives

Slide 21

LO 9-2

To Learning Objectives

Slide 22

LO 9-2

How Do Voters Choose? 9Primary Voting 9Partisanship 9Issue and Policy Preferences 9Candidate Appraisal

This is more recent data on party ID—note that the numbers of Democrats increased when Democrats won elections and then dropped when Republicans won in 2010— this reflects the cause-and-effect nature of party ID.

To Learning Objectives

There are preconditions that must exist for a voter to engage in issue voting, the style in which the voter judges candidates based on the voter’s and the candidates’ opinions on specific issues and preferences for certain policies. Voter must be aware of the issue and have an opinion. The issue must be important to the voter. The voter must be able to identify the candidates’ positions on the issue. The voter must believe that one party or candidate represents the voter’s own position better than the other. On highly salient issues, this can happen. Another insight on issue voting is the performance voting. Prospective voting: style in which voters judge a candidate based on their assessment of what the candidate will do in office if elected Retrospective voting: style in which voters judge candidates based on the performance of the candidates or their parties rather than issue stands and assessments of what each candidate would do if elected The easiest issues are the valence issues— those issues on which virtually everyone agrees.

Slide 23

LO 9-2

To Learning Objectives

Slide 24

LO 9-2

How Do Voters Choose? 9Primary Voting 9Partisanship 9Issue and Policy Preferences 9Candidate Appraisal

“Hooverville”: Shanty towns of the 1930s were called Hoovervilles by those frustrated and disappointed with President Hoover’s involvement with the relief effort for the Great Depression.

Voters appraise candidates in three major ways: open-ended voter comments about aspects they like and dislike about certain candidates voter assessments of whether candidates have the kind of personality the president should have A feeling thermometer rates presidential candidates from “very cold” or “unfavorable” up to “very warm” or “favorable.”

To Learning Objectives

Slide 25

LO 9-2

____ voting is a style in which voters judge what will happen. A. Prospective B. Retrospective C. Valence D. None of the Above

To Learning Objectives

Slide 26

LO 9-2

____ voting is a style in which voters judge what will happen. A. Prospective B. Retrospective C. Valence D. None of the Above

To Learning Objectives

Slide 27

LO 9-3

What Determines the Outcome? 9Frontrunners 9Key Factors 9partisan orientation of the electorate 9job approval rating of the president

People who are considered viable frontrunners have a great advantage in the nomination process. The invisible primary is the race to raise the most money and achieve frontrunner status before the primary season begins. The more money a person can make, the greater the lead that person has, which builds momentum—the boost in media coverage, name recognition, fundraising, and perceptions of electability. This helps during the primary season.

To Learning Objectives

Slide 28

LO 9-3

Note that money does not guarantee the outcome—in 2004, Governor Dean won the invisible primary but Senator Kerry won the nomination—but in many cases it does predict the outcome.

To Learning Objectives

Slide 29

LO 9-3

What Determines the Outcome? 9Frontrunners 9Key Factors 9partisan orientation of the electorate 9job approval rating of the president 9performance of the economy 9incumbency Copyright © 2011 Pearson Education, Inc. Publishing as Longman

To Learning Objectives

Slide 30

LO 9-3

When political scientists accurately forecast presidential election results, they are looking at these four factors. They predicted that Senator Obama would win 52 percent of the vote in the 2008 presidential election; now-President Obama won 52 percent of the vote. The electorate has to demonstrate a clear advantage to one party for that to be a predictor. The president’s job approval gives a rough sense of what retrospective judgments will be made by voters when they go to the polls. When the economy is performing well, the party in power tends to win. Use the case study on the 2000 election to talk about how forecasts can fail. Four more?: Clinton and Gore campaigned together rarely in 2000. In an attempt to step out of Clinton’s shadow and away from his scandals, Gore may also have distanced himself from people’s memories of “the good times.”

To Learning Objectives

Slide 31

LO 9-3

The ___ primary is the fundraising process. A. Open B. Closed C. Invisible D. None of the Above

To Learning Objectives

Slide 32

LO 9-3

The ___ primary is the fundraising process. A. Open B. Closed C. Invisible D. None of the Above

To Learning Objectives

Slide 33

LO 9-4

Election Campaigns

Campaigns do matter, even if we think we can predict election outcomes based on other factors. If one party advertised and the other did not, the outcome would change.

To Learning Objectives

Slide 34

LO 9-4

Election Campaigns 9Advertising 9Turnout + Loyalty + Defection + Persuasion = Victory

For a campaign to succeed, it must result in high turnout among its own party identifiers and have those identifiers vote for it. It must encourage members of the other party to defect and reduce turnout among those who would not defect. It must also persuade independents to vote for it. Every campaign engages in this activity.

To Learning Objectives

Slide 35

LO 9-4

To Learning Objectives

Slide 36

LO 9-4

Presidential campaigns only buy advertising in races that are competitive; note which states got campaign ads. Battleground states are those in which no candidate has an overwhelming advantage—Electoral College votes are in play. Red states are those that are totally Republican, while blue states are those that are totally Democrat; there is no advertising done in these states.

Campaigns matter at the margins: Though it is hard to measure the impact of GOTV efforts, political scientists believe that campaigns matter for electoral outcomes.

To Learning Objectives

Slide 37

LO 9-4

Election Campaigns 9Advertising 9Turnout + Loyalty + Defection + Persuasion = Victory

Campaign messages are researched and targeted; candidates know exactly what to say and to whom. They develop these messages through focus groups, in-depth interviews with small numbers of people representing important voter constituencies.

To Learning Objectives

Slide 38

LO 9-4

Election Campaigns

Field operations are the “ground war” intended to produce high turnout among party loyalists, particularly in battleground states.

To Learning Objectives

Slide 39

LO 9-4

To Learning Objectives

Slide 40

LO 9-4

Note that these states were ignored. Given this map, Obama had almost 200 Electoral College votes going in to the election and McCain had to win most of the battleground states.

These are the results; note that Obama took most of the battleground states, which is why he won.

Å Back to Learning Objectives

Slide 41

LO 9-4

To Learning Objectives

Slide 42

LO 9-4

Figure 9-8 - Sample “Issue Ad” Paid for by the Republican Party: As of 2002, parties are no longer allowed to use soft money. Before this, however, they were able to raise unlimited funds to pay for ads like this one that did not use “magic” words that explicitly advocated for a vote against a candidate.

LO 9-4

Current campaign finance laws look like this—note the levels of money and how much people can spend.

Å Back to Learning Objectives

Slide 43

Campaign finance laws govern the way money is spent in campaigns. Hard money refers to the funds used for the express purpose of running an election campaign, or advocating for or against the election of a specific candidate. Soft money refers to the funds used for political purposes other than running a campaign—for example, get-out-the-vote efforts. Public money refers to taxpayer funds used to help finance presidential campaigns. The feature in the text on congressional elections allows us to have a conversation about whether money buys victories: Can someone buy an election?

To Learning Objectives

Slide 44

LO 9-4

Slide 45

Show me the money: Incumbent Barbara Boxer and challenger Carly Fiorina spent over 41 million dollars in their 2010 California battle for the US Senate.

To Learning Objectives

LO 9-4

Which of the following states would have seen campaign ads in 2008? A. Utah B. New York C. Florida D. Alaska

Slide 46

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LO 9-4

Which of the following states would have seen campaign ads in 2008? A. Utah B. New York C. Florida D. Alaska

To Learning Objectives

Slide 47

Text and Art Credits

Slide 48

To Learning Objectives

Photo Credits

To Learning Objectives

× Return to Chapter 9: Table of Contents

Additional Lecture Suggestions

¾9.1 Outline election procedures, such as how candidates are nominated and how winners are determined • • • • • •

Point out that easy renomination is one of the reasons the parties have so little control over their members in Congress. Provide students with your local House member’s newsletter to illustrate self-promotion of incumbents. Explain the rules of the game in American elections:how candidates are nominated, and how winners are crowned. Differentiate between the primary system and the caucus system. List and define the three types of primaries. Explain how the Electoral College works.

¾9.2 Identify the key factors that determine how voters make electoral choices • • •

•

• •

Point out that what passes for a televised debate is really little more than a joint press conference. Many Americans now see divided government as a means of one party providing a check on the other. Many groups support incumbents because they have more experience and are more likely to succeed. Some critics would like to establish term limits for incumbents. Others claim that limits hurt the voting process by forcing voters to elect someone new and possibly unfamiliar with the position over a highly qualified incumbent. In 1990, the Supreme Court ruled that term limits could not be placed on members of Congress. Voters learn a great deal simply from campaigns. Most people do not have a long attention span where politics are concerned. Campaign ads are influential in educating the American public on issues and elections. The frequency of elections helps to keep the American public informed. Americans have the expectation that administrations will change peacefully with each election. Elections are the alternative to violent government overthrows. U.S. citizens simply hold out hope that their voices will be heard at the voting booth. Bring information to class on procedures for voter registration. Consider using your class as the basis for a voter registration drive on campus. Information, publicity, and transportation are often problems for students who would like to vote.

¾9.3 Identify the key factors that determine the outcome of presidential and general elections • • •

Point out that in some elections, especially southern primaries, winners in multi-candidate races do require a majority. Explain how the electoral college favors both the small and large states at the same time. The Framers of the Constitution established safeguards to ensure peaceful transitions of power and to avoid factionalism. Direct elections were used at the state level and for the House of Representatives, but the electoral college would select the president, state Copyright © 2011, 2009, 2007 Pearson Education, Inc. All rights reserved.

•

• •

• • •

legislatures would select the members of the Senate, and judicial appointments were made by the president and approved by the Senate. The Electoral College was designed when the Framers of the Constitution decided that the common man was not to be trusted to select their leader. Each state was therefore granted a number of electors based on its number of representatives in the House and the Senate. Fortyeight out of fifty states use the unit rule in which the winner of the popular vote receives all of the electoral votes. More than half of the states give voters a direct voice in policy decisions. An initiative can be put on the ballot, and if more than half of the voters approve, it will become a law. Referenda are used to reaffirm or reject existing laws. Recalls, though rare, are used to vote someone out of office before the next scheduled election. Initiatives increase voter turnout. The average citizen gets to have a direct voice in a government decision. This can be empowering and energize people to get more involved. Little money was needed to campaign in colonial times. Word of mouth and catering to voters personally were more important than money. Money has only become important since the decline in party organization, the number of voters has increased, television advertising emerged, and campaign consultants became a necessity. Describe the factors that determine outcomes in presidential primaries. Describe the factors that determine outcomes in presidential general elections. Explain how candidates and their allies go about waging and paying for election campaigns.

¾9.4 Analyze the methods candidates use to conduct and pay for election campaigns • • • • • •

•

Record some campaign ads (“political spots”) and show them in class for analysis. Explain the 2002 campaign finance reform legislation. Discuss whether real reform is likely or unlikely to follow as a result. Point out that most campaign debates turn out to be uneventful and even dull, with all the pundits looking for a repeat of President Ford’s famous blunder about Eastern Europe in the 1976 debates. How did the candidates in 2004 fare in the debate? Candidates for public office need to be wealthy, to have time on their hands, and to tirelessly pursue their goal. Campaigning is becoming increasingly difficult as reporters are revealing more about personal lives and mudslinging becomes more prevalent. The election process is supposed to be fair and unbiased, but disproportional wealth, media coverage, and lack of opposition to incumbents are all factors in an increasingly limited election process. Political scandal and corruption surrounding Watergate prompted measures for campaign reforms. Laws limited how much individuals and political parties could give to a candidate and how much a candidate could spend. Fundraising consultants began to emerge to find avenues for raising money. One such way is for an individual to donate to a candidate indirectly by donating to the candidate’s political party. Political Action Committees (PACs) give money to candidates so that the group that is backing them will have a say in policy. This is a very controversial topic, as it is unclear what these groups are really hoping to purchase. Public opinion polls reflect that average Americans find this exchange of money to be a threat to democracy. The Bipartisan Campaign Reform Act was signed into law by George W. Bush in 2002. The BCRA outlaws soft money contributions to national political organizations and bans groupCopyright © 2011, 2009, 2007 Pearson Education, Inc. All rights reserved.

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sponsored ads thirty days before a primary and sixty days before a general election. The act also raises the amount individuals can donate and allows donations of soft money to state and local party organizations. Discuss the ways in which voters evaluate candidates. Describe the factors that determine outcomes in presidential primaries and general elections. Discuss how individual voters make up their minds. Give several specific examples of the advantages of incumbency in electoral campaigns. Explain how campaign strategy differs between incumbents and challengers. List the important sources of campaign financing and explain how the FEC attempts to regulate the source of funding Outline the informal requirements for national political office. Discuss how retrospective voting shapes the outcome of elections. Explain why true electoral mandates are seldom seen in American politics.

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IV. Student Assignments – Post-Lecture A.

Class Discussion Questions

¾9.1 Outline election procedures, such as how candidates are nominated and how winners are determined • •

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Hold a class discussion on the following: What impact could regional primaries and frontloading have on the process of nominating the president? Some theorists argue that low voter turnout is due to electoral rules, frequency of elections, and other causes. Hold a class discussion of how you would change these impediments to voting and the impact of increased voter turnout on the electoral process. And is that a good thing. Hold a class discussion on the proposal to have five regional primaries with order determined by lottery. What are the costs and benefits of this method? What problems does the reform address, and what new ones might crop up if it is adopted? If time permits, discuss the following: How else might you change the primary system? Consider the issue of campaign finance (shorter primary seasons cost less), the ideal of democracy (competition is good and everyone should have a fair chance to win), the way the media tend to cover elections, and other issues. Discuss the arguments for and against a four-year term for House members. Similarly, what are the pros and cons attached to a single term presidency, perhaps of six years? Some argue that proportional representation would encourage third and splinter parties. Discuss whether this is desirable. Since electors usually do not exercise independent judgment, discuss whether the Electoral College should be abolished. Discuss “negative coattails” when a presidential candidate hurts his party members’ chances. Should America adopt a campaign system like Israel’s, which permits campaigning by candidates for only 30 days prior to an election? Why or why not? Primary races today are the means used to gather strength for the party’s nomination at the national convention. Do such primaries and later selection at the national party convention appear to result in nomination of the “best” candidates? Why or why not? What happened in Florida in the 2000 presidential election? Were the voices of the voters in Florida heard? What measures can be taken to ensure something like this does not reoccur? Discuss Bush v. Gore, 2000. What led to this historic case being brought to the U.S. Supreme Court? Did the Court, in fact, decide the presidency? What accounts for their 5-4 split in this very important decision? Is the court swayed by partisanship? Can an argument be made that we have “too much” democracy, that is, we have too many elected offices in this country? Should House members be elected every two years, or does another term of office make more sense? Did the fact that Bill Clinton received 43 percent of the vote in 1992 and 49.5 percent in 1996 affect his ability to effectively run the government? Similarly, has the fact that President George W. Bush won the most popular votes in 2004 enhanced his ability to govern? Copyright © 2011, 2009, 2007 Pearson Education, Inc. All rights reserved.

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What would be the ramifications if America had a direct election for president instead of the Electoral College? What does the Electoral College protect against? What are some advantages of proportional representation? Disadvantages? Does an incumbent member of Congress have an unfair campaign advantage due to the “perks” of holding office? What suggestions have been made to improve American elections? Are primary elections realistic reflections of public sentiment for, or against, either party’s candidates? Why? Why not? Should there be run-off elections? In reviewing differences between closed and open primaries, which appears to most benefit voters? Why? Which is most beneficial to candidates? Why? Have the fears of the Framers of the Constitution harmed or protected the election process over the course of the past years? Why? How does a candidate for president receive his or her party’ nomination? Pretend you are running for office. Put together a campaign strategy in which you take on the incumbent. What will you need to do to win?

¾9.2 Identify the key factors that determine how voters make electoral choices • • • • • • • • • • • •

Hold a discussion on candidate debates. How effective are they? Are they truly debates? How might they be changed to make them more effective and useful? Discuss the following: Can the press be “handled”? Does “spin” work? How do the media cover political campaigns? Discuss ways to equalize election opportunities between incumbents and challengers. Why do incumbent members of Congress generally not face primary challenges? What changes would you make in the election system if you had the opportunity? Why? Is there a growing disconnect between elections and policy issues? Why or why not? Should the electoral system be modified? What changes might you make? Should there be a restriction on the number of terms that one can serve in Congress? Why or why not? Have students discuss the following question: Do folks who exercise their right NOT to vote, have a right to complain? What type of technology is used for voting in your county? Has your county changed its voting methods in recent years, and if so, why? Discuss whether all states should use touch-screen voting machines. What are some of the advantages to a touch-screen system? What are some of the disadvantages? As a cynic might put it, “At least we know who is being bought and sold, and at what price.” Ask students whether or not they agree with the statement, and whether or not there is there still a lot of information that is kept from the American people as far as campaign financing is concerned.

¾9.3 Identify the key factors that determine the outcome of presidential and general elections • •

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What role do elections play in the direct policy-making process? Discuss why women do not vote as a bloc in the United States and the degree to which this may be changing. Discuss the impact of the Hispanic vote in California, Texas, Florida, and New York on the politics of the Electoral College. What is more important in shaping voter preferences, candidate image or their standing on the issues? What is the relationship between economic hardship and incumbent party re-election? What does this suggest about retrospective voting? What are the four conditions necessary for true policy voting to take place? Why is declaring the winner of a presidential race more complicated than declaring the winner of a congressional race?

¾9.4 Analyze the methods candidates use to conduct and pay for election campaigns •

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Hold a discussion on independent expenditures and 527 groups. What are the constitutional issues and concerns surrounding them? In particular, have students find information on Mitch McConnell’s challenge to the new campaign finance laws and the recent lawsuits about the 2004 ads run by 527s. What is the likelihood such challenges will prevail? Stage a debate on negative advertising and campaign ethics. Have the class discuss whether Americans have grown tired of negative campaigning. Discuss whether the average American views illegal campaign contributions as a serious crime. Discuss whether or not additional campaign finance reform will come easier now that the first real legislation of the issue has passed. Discuss the effects negative campaigning has on voters. Should there be free speech restrictions on this type of campaigning? Discuss present-day election tactics, and design a campaign policy that would reduce or eliminate the increasing costs of campaigning. Discuss the pros and cons of public financing. Discuss attempts to reform campaign finance. What loopholes persist? Is it realistic to believe that true campaign finance reform is possible? Compare and contrast the differences in strategy between running for president and running for Congress. What must a presidential candidate do and not do in order to win the election? Is there a role in politics for negative campaigning? If it should be regulated, how can that be done? Should federal and statewide campaigns be publicly financed just as the presidential campaigns are now? Should television stations be required to give free time to statewide candidates in order to reduce the costs of campaigning? Does the 2002 campaign finance reform legislation abolish all soft money? What is issue advocacy advertising? How was it important in the 2008 presidential election? Why is fund-raising such an important part of running for office in contemporary America? What are the most important consequences of the high cost of state and national political campaigns? Copyright © 2011, 2009, 2007 Pearson Education, Inc. All rights reserved.

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Money has become an essential requirement for campaigning. How has this hurt the United States? Has there ever been a president who was not wealthy? Compare and contrast the campaign tactics of a modern president with those of a past president. Do you agree that there should be limits on how much a candidate can raise? What are the goals of political action committees? Is the BCRA really reforming campaign contributions? Review and discuss debates regarding passage of the McCain–Feingold Campaign Finance Act of 2002. What did its sponsors initially include in the bill? How and why did the final version differ? Did it influence the 2004 elections? Was the passage of campaign finance reform delayed by politicians’ unwillingness to stray from party loyalties? If so, how did the 2002 BCRA legislation make it through when so many others in the past failed? What exactly did the 2002 BCRA accomplish? Is there now a major difference in what types of monies, for what purposes, and what amount can be raised? What are the “rules of the game” in American political races? Can you, for instance, tear down an opponent’s campaign posters? Can you misstate the truth about your opponent? What is and is not allowed? What major factors impact voter choice? What are the four major objectives campaign managers work to achieve? How do campaigns pursue the four major objectives? What role do field operations play in a campaign? What is the difference between hard money and soft money? What rules govern the use of public funding for campaigns? How does the franking privilege assist officeholders in winning elections? Why is good communication an important tool for politicians? How has new technology such as YouTube changed the electoral landscape for presidential candidates?

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Class Activities

¾9.1 Outline election procedures, such as how candidates are nominated and how winners are determined • • • •

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Develop a comparison of major political party platforms between 1960 and 1996. What social, economic, and political issues and resolutions are common across all platforms? What are the major areas of change? As the owner of a political relations firm, develop a candidate’s basic campaign for the House of Representatives in your local area. What will the individual need to be and do to win office? How would you alter this strategy if your candidate is not an incumbent? Run a party convention in class. Nominate candidates, write a platform, and deal with media coverage of the event. Compare various methods of running a party convention and discuss which ones work “best.” As a class project, run someone (or several people) for Congress. Call both local political parties and ask for copies of their grassroots electioneering materials or candidate training course materials. Using these materials, write up a campaign plan for a candidate for the House or Senate. Be sure you can explain why you chose your tactics and strategies. As a class project, run someone (or several people) for the presidency. Begin with the primary season to choose the parties’ nominees, then square off a Republican, a Democrat, and if you like, a third-party candidate. Have a plan for media, fund-raising, scheduling and travel, get out the vote, and other aspects of the campaign. Stage a candidate debate. Meet in groups to determine what the format of the debate should be, who should be allowed to participate, and where the debates will be held. Each group should prepare their candidate to “perform well” in the debate. Choose a strategy and a message for your campaign. What tactics, etc. will help you win the debate? If you have already done the Court and want to integrate two sections of the course: Assign Supreme Court roles and two teams of lawyers (pro and con). Stage an oral argument on the merits of the new campaign finance law. Have students study the delegate selection process in their state by contacting state party headquarters. Using your students as caucus participants, divide them into groups and illustrate how a precinct caucus operates. Prepare a fictional account of the path that a successful candidate for president should theoretically take to win office. Write a brief history of the Electoral College. Cite three Internet sources. Conduct mock closed and open primaries.

¾9.2 Identify the key factors that determine how voters make electoral choices • •

Write a short essay on the pros and cons of Internet voting. Divide your class into two sections and ask them to take opposing positions on the following question: Is it reasonable for a voter to look at personality and “character” traits as a basis for judging candidates for public office? Class discussion on this topic is often animated and responsive. Copyright © 2011, 2009, 2007 Pearson Education, Inc. All rights reserved.

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Write a brief essay on the following question: What basic problems do you see in the system that is now used? If you were able to formulate changes in the election laws, what changes would you make in order to create more democratic control over the election process? Create a timeline of amendments and legislation that impacted the right to vote in the United States.

¾9.3 Identify the key factors that determine the outcome of presidential and general elections •

Have students write a report on the changing landscape of campaigning for the presidency leading up to the next presidential election in 2012. Have them discuss significant events that have resulted in the change.

¾9.4 Analyze the methods candidates use to conduct and pay for election campaigns • • •

Considering the massive amount of money that must be spent on political campaigns, devise a fundraising strategy for a non-incumbent. Some people feel that the “527s” such as Moveon.org are circumventing the spirit of the federal election finance laws. Propose a law that would regulate these organizations. Design a successful political campaign strategy and defend it.

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Research Assignments

¾9.1 Outline election procedures, such as how candidates are nominated and how winners are determined • • • •

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Research and create a timeline of voting rights in the United States. Assign Robert Dahl’s book, How Democratic is the U.S. Constitution, and discuss the merits of majoritarian and proportional representation systems in comparative perspective. Have students report on Theodore White’s The Making of the President (1960). As a class project, have each student interview a recent candidate for a local office to get the candidate’s reaction to questions of ethics in campaigning. (If your class is large, consider dividing the class into teams to avoid overwhelming local candidates with requests for interviews!) What are the candidate’s views on the nature of the campaign process? Are there any concerns with possible invasion of privacy? Is “mud-slinging” becoming more of a problem? Is there a link between campaign expenditures and the number of votes received? For a reading and writing connection (and if the course is being taught in an election year), have students keep a clipping file on candidates for an office of their choice. Using broadcast and print media sources and descriptive journal entries for each item, have students identify the policy positions of the candidate from these sources. In a short analytical essay, have them compare the information they obtained through news coverage of their candidates with information they obtained in campaign advertisements about the candidates’ issue positions. Alternatively, students could compare media images between competing candidates using the same format. Have students do a book report on The Selling of the President (1968) by Joe McGinniss. Using the Internet, newspapers, magazines, or the encyclopedia, look up the political offices held by presidents since Abraham Lincoln. What prior political experience seems to be the most beneficial to successful election to the White House? To test the theory that name recognition is important, put together a list of incumbents and challengers for election (names can be found by contacting your local Board of Elections) and then ask friends and family to rate the individuals on your list on their favorable impressions. Discuss your findings.

¾9.2 Identify the key factors that determine how voters make electoral choices • • •

Ask students to research the legislative history of the Motor Voter Act. Who supported the act? Who opposed it? Why? Most political scholars have found that the Motor Voter Act has failed. Why? Interview someone who remembers the passage of the Voting Rights Act of 1965 and ask about the significance of the act to the person you are interviewing. Citizens ages 18 to 24 are the least likely to vote. Have students search the Web and locate sites that they find appealing and persuasive and other sites that “turn them off” to politics. Hold a class discussion of why certain sites engage them and others don’t and how politicians can hope to connect with their generation.

¾9.4 Analyze the methods candidates use to conduct and pay for election campaigns •

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Research campaign commercials available at: http://www.livingroomcandidate.org/ Compare Republican and Democratic campaign commercials that discusses a single issue. Which commercial is more effective in getting the issue and candidate’s position across? Why? Research and provide details on how government leaders are chosen in five different countries. Be sure to include different methods of selection. Research the most recent candidates for president. Consider their wealth, charisma, and media coverage. Research the BCRA and the controversy surrounding its passage. Have students do research on how campaigns are financed in the United States and abroad, as well as proposals to “fix” campaign financing. Have them discuss whether the passage of the McCain/Feingold reform has, or will, work to address the problems of financing campaigns. Hold a discussion on what they find. Have students use the Web to research the current campaign finance laws and the reform proposals that have been discussed. Have them devise a reform plan of their own and consider how they would sell it to the people, the incumbents in the House and Senate, the president, and other interested parties. Using the Internet and the website: http://www.opensecrets.org, identify one item of interest to you and explain its relevance to the campaign. Google “mudslinging in campaigns.” How many results are returned? What do you think this signifies? Visit the following webpage and record who is giving money to campaigns and who receives that money: http://www.opensecrets.org/ If this is an election year, have students gather campaign material from both the Democratic and Republican local headquarters. Compare both the style and content of the literature. Suggest that students volunteer to work for a few hours for one of the parties, then compare notes in class about their experiences. Have students search the Internet and find a cache of campaign commercials and free media coverage of one of the last few elections. They should compare tactics, strategies, and content of the ads. How would you classify them? How effective is each ad? To whom are they targeted? Discuss what these ads tell us about the political process and the candidates. Have students go to Campaigns and Elections magazine on the Web (http://www.campaignsandelections.com/). Each student should choose two issues on campaigning that have not been covered in class and write a short paper or do a short oral presentation. If student body officer elections attract a lot of attention on your campus (and are currently being held), have your students interview the various candidates regarding their campaign strategies. Have students write brief essays about how “their” candidate could improve his/her campaign.

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V. Quantitative Assessment Administer Chapter Exam (see Test Bank, Chapter 9) × Return to Chapter 9: Table of Contents

VI. Resources for Further Study A.

Books

1. Abramson, P. R., Aldrich, J. H., & Rohde, D. W. (1999). Change and continuity in the 1996 and 1998 Elections. Washington, DC: Congressional Quarterly Press. 2. Ackerman, B, (Ed.). (2002). Bush v. Gore: The question of legitimacy. New Haven: Yale University Press. 3. Aldrich, J. H., Rohde, D. W., & Abramson, P. R. (2006). Change and continuity in the 2004 elections. Washington, DC: Congressional Quarterly Press. 4. Alvarez, R. M. (1999). Information and elections. Ann Arbor: University of Michigan Press. 5. Ansolabehere, S., & Iyengar, S. (1996). Going negative: How attack ads shrink and polarize the electorate. New York: Free Press. 6. Asher, H. B. (1992). Presidential elections and American politics (5th ed.). Pacific Grove: Brooks/Cole. 7. Bartels, L. M. (1988). Presidential primaries and the dynamics of public Choice. Princeton: Princeton University Press. 8. Berelson, B. R., Lazarsfeld, P. F., & McPhee, W. N. (1986). Voting: A study of opinion formation in a presidential campaign. Chicago: University of Chicago Press. 9. Bibby, J. F., & Schaffner, B. F. (2007). Politics, parties, and elections in America. Boston: Wadsworth. 10. Bimber, B. A., & Davis, R. (2003). Campaigning online: The Internet in U.S. elections. Oxford: Oxford University Press. 11. Bowler, S., Donovan, T., Brockington, D., & Mello, S. (2003). Electoral reform and minority representation: Local experiments with alternative elections. Columbus: Ohio State University Press. 12. Cornfield, M. (2003). Politics moves online: Campaigning and the Internet. New York: The Century Foundation Press. 13. Corrado, A. (2000). Campaign finance reform: Beyond the basics. Washington, DC: Brookings Institution Press. 14. Corrado, A., Mann, T. E., Ortiz, D. R., & Potter, T. (2005). The new campaign finance sourcebook. Washington, DC: Brookings Institution Press.

15. Edwards, G. C. (2004). Why the electoral college is bad for America. New Haven: Yale University Press. 16. Fenno, R. F., Jr. (1998). Senators on the campaign trail: The politics of representation. Norman: University of Oklahoma Press. 17. Franz, M. M., Freedman, P. B., Goldstein, K. M., & Ridout, T.N. (2008). Campaign advertising and American democracy. Philadelphia: Temple University Press. 18. Grant, J. T., & Rudolph, T. J. (2004). Expression vs. equality: The politics of campaign finance reform. Columbus: Ohio State University Press. 19. Green, J. C. (2007). The faith factor: How religion influences American elections. Westport: Praeger. 20. Gronke, P. (2000). The electorate, the campaign, and the office: A unified approach to senate and house elections. Ann Arbor: University of Michigan Press. 21. Grumet, B. H. (2005). Reconstruction era primary sources. Detroit: UXL/Thomson Gale. 22. Guber, S. (1997). How to win your 1st election: The candidate’s handbook. Boca Raton: Saint Lucie Press. 23. Gumbel, A. (2005). Steal this vote: Dirty elections and the rotten history of democracy in America. New York: Nation Books. 24. Hart, R. P. (2000). Campaign talk: Why elections are good for us. Princeton: Princeton University Press. 25. Henderson, H. (2004). Campaign election reform. New York: Facts on File. 26. Herrnson, P. (2007). Congressional elections: Campaigning at home and in Washington. Washington, DC: Congressional Quarterly Press. 27. Institute of Politics (Ed.). (2006). Campaign for president: The managers look at 2004. Lanham: Rowman & Littlefield. 28. Jacobson, G. C., Brady, D. W., & Fiorina, M. P. (2008). The politics of congressional elections. New York: Pearson Longman. 29. Jamieson, K. H. (2000). Everything you think you know about politics…and why you’re wrong. New York: Basic Books. 30. Johnson, D. E., & Johnson, J. R. (2004). A funny thing happened on the way to the White House: Foolhardiness, folly, and fraud in the presidential elections, from Andrew Jackson to George W. Bush. Lanham: Taylor Publishing. Copyright © 2011, 2009, 2007 Pearson Education, Inc. All rights reserved.

31. Kallen, S. A. (2006). Are American elections fair? Farmington Hills: Greenhaven Press. 32. Kaufmann, K., Shaw, D., & Petrocik, J. (2008). Unconventional wisdom: Facts and myths about American voters. New York: Oxford University Press. 33. Keith, B. E., Magleby, D. B., Nelson, C. J., Orr, E., Westlye, M. C., & Wolfinger, R. E. (1992). The myth of the independent voter. Berkeley: University of California Press. 34. Kessel, J. (1992). Presidential campaign politics (4th ed.). Pacific Grove: Brooks/Cole. 35. Kurtz, H. (1998). Spin cycle: Inside the Clinton propaganda machine. New York: Free Press. 36. Lavrakas, P. J., & Traugott, M. W. (2000). Election polls, the News media and democracy. New York: Chatham House Publishers. 37. Leighley, J. E. (2001). Strength in numbers?: The political mobilization of racial and ethnic minorities. Princeton: Princeton University Press. 38. Lewis, M. (1997). Trail fever: Spin doctors, rented strangers, thumb wrestlers, toe suckers, grizzly bears, and other creatures on the road to the White House. New York: Knopf. 39. Lieberman, J., & Hadassah. (2003). An amazing adventure. New York: Simon & Schuster. 40. Longley, L. D., & Peirce, N. R. (1999). The electoral college primer 2000. New Haven: Yale University Press. 41. Magleby, D. B., & Monson, J. Q. (Eds.). (2004). Last Hurrah?: Soft money and issue advocacy in the 2002 congressional elections. Washington, DC: Brookings Institution Press. 42. Maisel, L. S., & Buckley, K. Z. (2004). Parties and elections in America: The electoral process. Lanham: Rowman & Littlefield. 43. Malbin, M. J. (Ed.). (2003). Life after reform: When the Bipartisan Campaign Reform Act…meets politics. Lanham: Rowman & Littlefield. 44. Malbin, M. J. (Ed.). (2006). The election after reform: Money, politics, and the Bipartisan Campaign Reform Act. Lanham: Rowman & Littlefield. 45. Mayer, W. G., & Busch, A. E. (2003). The front-loading problem in presidential nominations. Washington, DC: Brookings Institution Press. 46. Mayer, W. G. (Ed.). (2004). The making of the presidential candidates 2004. Lanham: Rowman & Littlefield.

47. Mayer, W. G. (2007). The making of the presidential candidates 2008. Lanham: Rowman & Littlefield. 48. Mayhew, D. R. (1986). Congress: The electoral connection. New Haven: Yale University Press. 49. Merriner, J. M., & Senter, T. P. (1999). Against long odds: Citizens who challenge congressional incumbents. Westport: Greenwood. 50. Miller, M. C. (2007). Fooled again: How the right stole the 2004 election & why they’ll steal the next one too (unless we stop them). New York: Basic Books. 51. Miller, W., & Shanks, J. M. (1996). The new American voter. Cambridge: Harvard University Press. 52. Murphy, P. J. (2006). Voting and elections. Mankato: Compass Point Books. 53. Nader, R. (2002). Crashing the party: How to tell the truth and still run for president. New York: St. Martin’s Press. 54. Nelson, M. (Ed.). (2001). The elections of 2000. Washington, DC: Congressional Quarterly Press. 55. Nelson, M. (Ed.). (2009). The elections of 2008. Washington, DC: Congressional Quarterly Press. 56. Orren, G. R., & Polsby, N. W. (1987). Media and momentum: The New Hampshire primary and nomination politics. London: Chatham House Publishers. 57. Paulson, A. (2001). Realignment and party revival: Understanding American electoral politics at the turn of the 21st Century. Westport: Praeger. 58. Plissner, M. (1999). The control room: How television calls the shots in presidential elections. New York: Free Press. 59. Polsby, R. G., & Wildavsky, A. (2004). Presidential elections (11th ed.). Lanham: Rowman & Littlefield. 60. Popkin, S. L. (1994). The reasoning voter: Communication and persuasion in presidential campaigns (2nd ed.). Chicago: University of Chicago Press. 61. Rosenof, T. (2003). Realignment: The theory that changed the way we think about American politics. Lanham: Altamira Press. 62. Samples, J. (2006). The fallacy of campaign finance reform. Chicago: University of Chicago Press. Copyright © 2011, 2009, 2007 Pearson Education, Inc. All rights reserved.

63. Schaffer, F. C. (2007). The hidden costs of clean election reform. Ithaca: Cornell University Press. 64. Schier, S. (2003). You call this an election? America’s peculiar democracy. Washington, DC: Georgetown University Press. 65. Schneider, G. (2002). Campaign finance reform and the future of the Democratic Party. New York: Routledge. 66. Shea, D. M., & Burton, M. J. (2001). Campaign craft: The strategies, tactics and art of campaign management. Westport: Greenwood International. 67. Simon, A. F. (2002). The winning message. New York: Cambridge University Press. 68. Simon, R. (1998). Show time: The American political circus and the race for the White House. New York: Times Books. 69. Simon, R. (2001). Divided we stand: How Al Gore beat George Bush and lost the presidency. New York: Crown. 70. Skinner, R. (2006). More than money: Interest group action in congressional elections (campaigning American style). Lanham: Rowman & Littlefield. 71. Smith, B. (2001). Unfree speech: The folly of campaign finance reform. Princeton: Princeton University Press. 72. Smith, R. A. (2006). Money, power, and elections: How campaign finance reform subverts American democracy. Baton Rouge: Louisiana State University Press. 73. Stanley, H. W., & Niemi, R. (2001). Vital statistics in American politics, 2001–2002. Washington, DC: Congressional Quarterly Press. 74. Thurber, J. A., & Nelson, C. J. (2004). Campaigns and elections American style. Boulder: Westview Press. 75. Wayne, S. J. (1997). The road to the White House 1996: The politics of Presidential elections. New York: St. Martin’s Press. 76. Wayne, S. J. (2000). The road to the White House 2000: The politics of presidential elections. New York: St. Martin’s Press. 77. Wayne, S. J. (2002). Is this any way to run a democratic election? (2nd ed.). New York: Houghton-Mifflin. 78. Wayne, S. J. (2008). The road to the White House 2008. Boston: Wadsworth. Copyright © 2011, 2009, 2007 Pearson Education, Inc. All rights reserved.

79. Weisberg, H. F., & Wilcox, C. (2000). Models of voting in presidential elections: The 2000 U.S. Election. Palo Alto: Stanford University Press. 80. West, D. M. (2005). Air wars: Television advertising in election campaigns, 1952–2004. Washington, DC: Congressional Quarterly Press. 81. Winograd, M., & Hais, M. D. (2008). Millennial makeover: MySpace, YouTube, and the future of American politics. Discataway: Rutgers University Press. 82. Witcove, J. (2001). No way to pick a president. New York: Routledge. × Return to Chapter 9: Table of Contents B.

Articles

1. Abramowitz, A. I. (1988, June). Explaining senate election outcomes. American Political Science Review, 82(2), 385–403. 2. Abramowitz, A. I. (1991, February). Incumbency campaign spending, and the decline of competition in U.S. house elections. Journal of Politics, 53(1), 34–56. 3. Ansolabehere, S., Behr, R. L., & Iyengar, S. (1991, January). Mass media and elections: An overview. American Politics Quarterly, 19(1), 109–139. 4. Babington, C. (2004, June 19). Staggering sum-raising. The Washington Post (sec. A). 5. Brunell, T. (2005). Expressive politics: Issue strategies of congressional challengers. Perspectives on Politics, 3(2), 365–366. 6. Cain, C. (2007). The electoral college: Diversification and the election Process. Constitutional Political Economy, 18(1), 21–34. 7. Campbell, D. E. (2005). Vote early, vote often: The role of schools in creating civic norms. http://www.findarticles.com/p/articles/mi_m0MJG/is_3_5/ai_n15400105 8. Campbell, J. E. (1991, May). The presidential surge and its midterm decline in congressional elections, 1868–1988. Journal of Politics, 53(2), 477–487. 9. Castle, D. S. (1991, January). Media coverage of presidential primaries. American Politics Quarterly, 19(1), 33–42. 10. Dalager, J. K. (1996, May). Voters, issues, and elections: Are the candidates’ messages getting through? Journal of Politics, 58(2), 486–515.

11. Eilperin, J. (2003, March 16). Federal aid helps states fund election reform. The Washington Post (sec. A). 12. Erikson, R. S., & Wlezien, C. (2008, October). Leading economic indicators, the polls, and the presidential vote. PS Online.doi: 10.1017/S1049096508081237 13. Erikson, R. S. (1989, June). Economic conditions and the presidential vote. American Political Science Review, 83(2), 567–573. 14. Holbrook, T. M. (1994, November). Campaigns, national conditions, and U.S. presidential elections. American Journal of Political Science, 38(4), 973–998. 15. King, G., & Gelman, A. (1991, February). Systemic consequences of incumbency advantage in U.S. house elections. American Journal of Political Science, 35(1), 110–138. 16. Lijphart, A. (1990, June). The political consequences of electoral laws, 1945–85. American Political Science Review, 84(2), 481–496. 17. Murauskas, G. T., Archer, J. C., & Shelley, F. M. (1988, March). Metropolitan, nonmetropolitian, and sectional variations in voting behavior in recent presidential elections. The Western Political Quarterly, 41(1), 63–84. 18. Panagopoulos, C. Election issues 2004 in depth. (2004, May). Campaigns & Elections. 19. Rabinowitz, G., & MacDonald, S. E. (1986, March). The power of the states in U.S. presidential elections. American Political Science Review, 80(1), 65–87. 20. Smith, T. W. (1990, Spring). The first straw: A study of the origins of election polls. Public Opinion Quarterly, 54(1), 21–36. 21. Vavreck, L., & Rivers, D. (2008, December). The 2006 cooperative congressional election study. Journal of Elections, Public Opinion & Parties, 18(4), 355–366. × Return to Chapter 9: Table of Contents C.

Media

1. American Presidents: The Most Powerful Man on Earth. (1998). Prod. Richard Smigielski. Mentorom Multimedia. In this film, host Walter Cronkite presents a history of the highest office in the nation. Illustrated with newsreel footage and historic material from the National Archives, Cronkite guides the viewer through a look at past presidents from the Depression years through the cold war. Several scholars, including Alan Brinkley, Martin Walker, Ben Wattenberg, and Kenneth C. Davis, lend their commentary to the program. The office of the presidency has changed dramatically since the days of George Washington, and those developments, influenced by factors both at home and abroad, are outlined here.

2. Campaign Finance: Abuses and Reforms. (1997). Films for the Humanities and Sciences. This show provides an overview of campaign finance reform, including interviews with Senator John McCain, Bill Bradley, and Jack Kemp. The broad political issues are discussed, as are several case studies of campaign finance in Florida and Maine. 3. The Contender. (2000). Drama about a senator chosen to fill the vice president position, and the efforts by the opposition to derail her nomination during Senate confirmation hearings. 4. Debating Our Destiny: 40 Years of Presidential Debates. (2000). MacNeil/Lehrer Productions. Clips of some of the most compelling debate exchanges over the past 10 years. 5. The Decline of Politics: The Superficial Democracy. (1992). Films for the Humanities and Sciences. This program analyzes the influence of modern campaigns, which are characterized by form over substance in American democracy. 6. Primaries: Defining the Battle in New Hampshire. (2004). Films for the Humanities and Sciences. This program explains the primary process and looks at the 2004 New Hampshire primary. 7. …So Goes the Nation. (2006). Dirs. Adam Del Deo and James Stern. Endgame Entertainment. This film examines the role of Ohio in the 2004 presidential election. 8. Unprecedented: The 2000 Presidential Election. (2002). Dirs. Richard Ray Pérez and Joan Sekler. Alternavision Films. Narrated by Peter Coyote, this 50-minute film examines the controversial occurrences in Florida during the 2000 presidential election, leading up to the eventual administration of George W. Bush. The filmmakers examine what went wrong before, during, and after the disputed election decision. It explores the topic of voter rolls, ballot design, vote recounting, and actions of the Supreme Court. 9. The War Room. (1993). Dir. D.A. Pennebaker and Chris Hedgus. Cyclone Films. A look inside the 1992 presidential race, The War Room, explores the backstage side of national politics by examining the day-to-day operations of Bill Clinton’s campaign staff. 10. You Are There: Jefferson Makes a Difference (Woodhaven Entertainment) discusses the role of the Electoral College in the election of Thomas Jefferson. × Return to Chapter 9: Table of Contents D.

Web Resources

1. American National Election Studies are a key source of data on voting behavior. http://www.electionstudies.org/ 2. The Brookings Institution’s Campaign Finance Web Page. http://www.brookings.org/GS/CF/CF_HP.HTM

3. C-Span shows up-to-date information about the workings of Congress and includes information on elections. http://www.c-span.org/ 4. Campaigns and Elections magazine’s Web site is oriented toward campaign professionals, but is also useful to teachers and students. It offers articles, their table of contents from the print version, job opportunities, and more. They also have a new blog. http://www.campaignline.com/ 5. Center for Civic Education: http://www.civiced.org/internet.php 6. The Center for Public Integrity. An especially good site for following the money trail, how campaign money is gathered and spent. http://www.publicintegrity.org/ 7. The Center for Responsive Politics is a nonpartisan organization that tracks the money that is given from PACs: http://www.opensecrets.org/ 8. The Century Foundation. http://www.reformelections.org/ 9. Choose or Lose. MTV. http://think.mtv.com/issues/politics/ 10. Common Cause offers information on soft money donations, PAC contributions, and voting records on campaign finance issues as well as other information. http://www.commoncause.org/ 11. Democracy in Action: P2008 is Eric Appleman’s take on the upcoming election. He has been running the Web site since the 2000 presidential election and has a reputation for fairness and balance. It looks at all the key players/actors in politics and has links to many other sources. http://www.gwu.edu/~action/P2008.html or http://www.p2008.org/ 12. The Democracy Project of PBS offers a Web site called “Dissect the Ad” that features a changing set of campaign ads that visitors are asked to criticize, dissect, and discuss. The point is to determine how the message is constructed—what images, tones, music, etc. and how it is designed to sway us. There are numerous current and past ads on which to practice, from all ends of the political spectrum. You can read the content of the ads or, by downloading a player, you can view them. Following each ad are commentaries on both sides discussing the ad. You’ll also get the chance to post your comments and read the comments of others. It’s fun! http://www.pbs.org/pov/pov1996/takingonthekennedys/dissect.html 13. Democratic Congressional Campaign Committee –DCCC. http://www.dccc.org/ 14. Democratic National Committee. Official site of the Democratic Party with information on party positions and candidates, how to work as a volunteer or contribute money, and more. http://www.democrats.org/ 15. Democratic Senatorial Campaign Committee – DSCC. http://www.dscc.org/

16. E-Vote. Up-to-the minute news and commentary on national campaigns. http://www.evote.com/ 17. Fairvote (advocacy organization for voting rights). http://www.fairvote.org/ 18. Federal Election Commission (FEC). Web site offers campaign finance information, a citizens’ guide to political contributions, news and information about elections and voting. Includes data about state regulations on voting (registration and residency rules etc.), as well as elections data from a variety of elections. http://www.fec.gov/ 19. The Hoover Institute on Campaign Financing: http://www.campaignfinancesite.org/ 20. National Archives: Electoral College. http://www.archives.gov/federal-register/electoralcollege/ 21. National Election Study. University of Michigan. http://www.electionstudies.org/ 22. National Republican Congressional Committee-NRCC. http://www.nrcc.org/ 23. National Republican Senatorial Committee-NRSC. http://www.nrsc.org/ 24. New Voters Project. PIRG. http://www.newvotersproject.org/ 25. OpenSecrets.org is the Web site of the Center for Responsive Politics and offers lots of information about campaign finance and other political issues. The site won a 2002 “Webby” award for best politics site on the Web. http://www.opensecrets.org/ 26. Oval Office 2008 is a UK based blog tracking the 2008 presidential election. http://www.ovaloffice2008.com/ 27. Polling Report.Com reports on the polls about candidates and potential candidates. http://www.pollingreport.com/2008.htm 28. Project Vote-Smart is a nonpartisan information service funded by members and nonpartisan foundations. It offers “a wealth of facts on your political leaders, including biographies and addresses, issue positions, voting records, campaign finances, evaluations by special interests.” It also offers “CongressTrack,” a way for citizens to track the status of legislation, members and committees, sponsors, voting records, clear descriptions, full text, and weekly floor schedules, as well as access to information on elections, federal and state governments, the issues, and politics. Includes thousands of links to the most important sites on the Internet. http://www.vote-smart.org/ 29. The Public Campaign offers articles on campaign finance reform at the state and national levels, as well as numerous links. http://www.publicampaign.org/

30. Republican National Committee. Official site of the Republican Party with information on party positions and candidates, how to work as a volunteer or contribute money, and more. http://www.rnc.org/ 31. The University of Michigan Library has a great set of political science resources including lots of elections links at: http://www.lib.umich.edu/govdocs/psusp.html 32. The U.S. Census Bureau has information on voter registration and turnout statistics. http://www.census.gov/population/www/socdemo/voting.html 33. US Department of State Foreign Press Center was designed to help foreign press and diplomats understand the American political system, but it can be extremely helpful to Americans who lack a basic understanding as well. It covers many issues, as well as elections. http://fpc.state.gov/ × Return to Chapter 9: Table of Contents

Integrated Guide to the Text’s Resources (Instructor’s Resource Manual)

Chapter 10 - Media and Politics Table of Contents I. Chapter Overview A. Learning Objectives B. Chapter Summary II. Student Assignments – Pre-Lecture III. Lecture Resources A. Lecture Slides B. Additional Lecture Suggestions IV. Student Assignments – Post-Lecture A. Class Discussion Questions B. Class Activities C. Research Assignments V. Quantitative Assessment VI. Resources for Further Study A. Books B. Articles C. Media D. Web Resources

I. Chapter Overview: A.

Learning Objectives

¾10.1 Evaluate the unique role that the media play in American politics and society. ¾10.2 Identify the legal constraints on American media. ¾10.3 Differentiate the types of media that exist today. ¾10.4 Analyze the nature of media coverage of politics and government. ¾10.5 Determine whether the media are biased. ¾10.6 Assess the effect of the media on political attitudes and behaviors. × Return to Chapter 10: Table of Contents B.

Chapter Summary

The Unique Role of the American Mass Media The mass media are the various modes of communication designed to reach a mass audience. These include television, radio, newspapers, newsmagazines and the Internet. The term “media” also refers to the people responsible for producing the content. American mass media are largely privately owned and operated in the private sector, rather than by the government. The American media make an effort to be objective and nonpartisan in covering the news. Media in other countries frequently assume an advocacy role. American mass media play a “watchdog” role by keeping a close eye on politicians and government. The American media are largely unrestrained by government interference or prior restraint, the government intervention to prevent the publication of material that it finds objectionable. The freedom from government restraint that characterizes U.S. media operations today was not established by the operation of the First Amendment in 1791. Expansions of freedom were won through ongoing battles between the press, the government, and public figures. The most famous early restriction on the press was the Sedition Act, a federal law passed in 1798, which criminalized criticism of Congress and the president. The Sedition Act was allowed to expire in 1801. The twentieth century saw passage of the Espionage Act and the Smith Act. The media can be both forbidden and compelled to provide certain information. The media is restricted from disseminating certain content such as defamatory information that falsely harms a person’s reputation. Print media cannot be compelled to publish certain information, but the broadcast media can. Reporters may be compelled by the government to reveal their sources provided the information is germane to a legal matter. Types of Media and Patterns of Media Use Mass-circulation newspapers first appeared in the United States in the 1830s with masscirculation magazines appearing 35 years later. Regularly scheduled, continuous commercial radio broadcasts began in the United States in 1920. Just after World War II, television and television programming began to proliferate. By the late 1970s, cable television began to appear in a large number of American homes. In the mid-1990s, the World Wide Web emerged as an everyday tool for the mass dissemination and consumption of media. By the 1950s, television replaced newspapers as Americans’ primary source of information about politics and

government. Americans are also moving away from broadcast television and national network news and towards cable news, radio talk shows and news on the Internet. The Nature of Media Coverage of Politics and Government What kind of information do Americans get from their news sources? When covering national politics the media focus primarily on the president, the White House staff, and the executive branch. Congress receives the next highest level of coverage. The judiciary receives very little coverage. Reporters tend to get substantially more air time than the actual candidates. Reporters analyze what candidates say. Media coverage of politics and government has assumed an increasingly skeptical tone since the late 1960s and 1970s, coincident with the Vietnam War and the Watergate scandal. Television coverage of elections tends to neglect substantive matters and instead focuses n the horse race, or who is up or down in the latest polls. Media Bias/Media Effects on Public Opinion Does media coverage exhibit favorable treatment to certain politicians, policy positions, groups, and political outcomes? What would media bias mean for American politics? Little conclusive evidence of media bias has been found in the examination of media content. To what extent does the content of mass media coverage effect public opinion? The media may exert influence through agenda setting and priming, the media role in determining which issues the public considers important, by covering some and ignoring others. The likelihood of exposure to and comprehension of media message depends on the political attentiveness of an individual. × Return to Chapter 10: Table of Contents

II. Student Assignments -- Pre-Lecture A. B. C.

Student Required Reading: Chapter 10 – Media and Politics Administer Reading Comprehension Quiz (see Test Bank, Chapter 10) Chapter Test – After your students have completed their reading assignment, go over these questions with your class to identify any areas you should focus on in your lecture.

Chapter Test 1. How does the structure of the media differ in the United States from other countries and how does this influence the nature of media coverage of politics? 2. The media used to be three national television networks and newspapers. What do we mean when we say, “the media?” 3. Can the media be thought of as a fourth branch of government in the United States? 4. How has the advent of new media and the proliferation of cable news outlets changed what is covered in American politics? 5. Even though everyone thinks the media matters, why is it so difficult to demonstrate media effects? 6. What are the conditions when we are most likely to see the media have an influence and what is the nature of that influence likely to be? 7. Does the increase in media outlets and the fragmentation of television viewing have implications for when media messages are likely to be effective? 8. Is the media biased in any sort of systematic way? 9. What sorts of people are most likely to be influenced by media coverage of events or political debates? 10. Are there differences in the likely impact that blogs, talk radio, and cable news might have as compared to more traditional media outlets? × Return to Chapter 10: Table of Contents

III. Lecture Resources A.

Lecture Slides

Slide 1

Slide 2

This chapter’s opening feature is a history of the battle between presidents and the media: specifically newspapers and, more recently, President Obama’s fight with Fox News. Use this to talk about the relationship between these two American institutions.

Slide 3

Chapter 10: Media and Politics Various modes of communication intended to reach a mass audience, including television, radio, newspapers, news magazines, and the Internet

Slide 4 After Reading This Chapter, You Should Be Able To: 9 LO 10-1: Evaluate the unique role that the media play in American politics and society. 9 LO 10-2: Identify the legal constraints on American media. 9 LO 10-3: Differentiate the types of media that exist today. 9 LO 10-4: Analyze the nature of media coverage of politics and government. 9 LO 10-5: Determine whether the media are biased. 9 LO 10-6: Assess the effect of the media on political attitudes and behaviors. Copyright © 2011 Pearson Education, Inc. Publishing as Longman

Slide 5

LO 10-1

Unique Role of Media 9Privately Owned 9Objective Political Coverage 9Watchdog 9Unfettered by Government Restriction

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Slide 6

LO 10-1

Unlike those in other industrialized democracies, the largest media outlets in America are operated in the private sector. Since 1980 when government rules about media ownership were lifted, many media sources merged and major conglomerates were created: Wall Street Journal and Fox News are owned by Rupert Murdoch, CNN and Time Warner merged, Disney bought ABC, etc. In the United States, public radio and television accounts for about 2 percent of the total television audience share. Newspapers look more like America elsewhere, excepting that we do not have a major national paper – most papers are tied to a major city. Obama versus Fox: Frustrated with the tone of the network’s coverage, the Obama administration picked a fight with Fox News.

To Learning Objectives

Slide 7

LO 10-1

Unique Role of Media 9 Privately Owned 9Objective Political Coverage 9 Watchdog

America’s media try to be objective and nonpartisan in covering the news—reporters and editors generally try to present all sides completely. In the 1990s, the rise of advocacy journalism led to CNN losing a major share as it continued to be objective while MSNBC moved left and Fox News moved right. Editorials, however, generally go one way or the other.

9 Unfettered by Government Restriction

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Slide 8

LO 10-1

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Slide 9

LO 10-1

Remember the Maine: In the heyday of Yellow Journalism, newspapers—especially those owned by Hearst—actively tried to gin up public opinion in favor of war against Spain.

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Slide 10

LO 10-1

National and regional newspapers: Although papers like the New York Times, Wall Street Journal, and USA Today have national readerships, virtually all American newspapers are based in particular cities or regions. Papers like France’s Le Monde have a more national scope.

American journalists look different—note that they are more likely to support expressing fairly the position of each side and to believe that one’s own political beliefs should not affect the presentation of the subject.

To Learning Objectives

Slide 11

LO 10-1

Unique Role of Media 9 Privately Owned 9 Objective Political Coverage

The media’s role in keeping a close eye on politicians and presenting stories and information that politicians might not willingly reveal to the media on their own. Journalists thus seek to uncover news; the most famous example in American history is Watergate.

9Watchdog 9 Unfettered by Government Restriction

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Slide 12

LO 10-1

Unique Role of Media 9 Privately Owned 9 Objective Political Coverage

American media are largely unrestricted by government interference—they are allowed to publish or broadcast free from prior restraint. As discussed in civil liberties, the Supreme Court has been clear about its support of the media’s right to publish. The burden of proof is on the government.

To Learning Objectives

Slide 13

LO 10-1

Showing the cost of war: The bodies of American soldiers killed in combat overseas arrive at Dover air force base in Delaware. The Obama administration overturned the Bush administration directive that forbid media coverage of these events.

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Slide 14

LO 10-1

The ___ role means that journalists seek to uncover news. A. Private B. Objective C. Watchdog D. Prior Restraint

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Slide 15

LO 10-1

The ___ role means that journalists seek to uncover news. A. Private B. Objective C. Watchdog

D. Prior Restraint

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Slide 16

LO 10-2

Legal Constraints 9Historical Perspective 9 Forbidden to Provide Information 9 Compelled to Provide Information

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Slide 17

LO 10-2

Legal Constraints 9 Historical Perspective 9Forbidden to Provide Information 9 Compelled to Provide Information

Slide 18

The media does not necessarily have free rein, however. First, they cannot defame someone—that is, they cannot make a false or unsubstantiated attack on someone’s good name or reputation. Second, they cannot be compelled to cover something. There are more restraints on the broadcast media, which are considered semi-monopolies. Print media have fewer restraints because there are so many outlets.

To Learning Objectives

LO 10-2

While the first amendment frees the press from Congressional influence, the media have had to work hard in the last 220 years to gain their full freedom. The most famous early restriction was the 1798 Sedition Act, which criminalized criticism of Congress and the president. During the Civil War, the government limited telegraph transmissions from Washington, DC. After the war, the federal government jailed reporters who criticized Reconstruction. In the early twentieth century, there were laws that prevented the press from invading privacy. During WWI, the Espionage Act made publications that would undermine recruiting efforts illegal. In the 1930s, the Supreme Court began to develop a more expansive understanding of the first amendment, and by the end of the 1970s, current press freedoms had been established in law.

Protecting confidential sources: New York Times reporter Judith Miller received information on the identity of CIA official Valerie Plame from a government source but refused to identify the source to a grand jury investigating who leaked the sensitive information. Why would the federal government be resistant to shield laws?

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Slide 19

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Legal Constraints 9 Historical Perspective 9 Forbidden to Provide Information 9Compelled to Provide Information

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Slide 20

Reporters can be compelled to reveal the names of confidential sources when the information is germane to a legal matter. A recent example is Time Magazine publishing the name of a CIA officer. The media was not at fault, but the person who leaked the information was in trouble. One reporter gave his source: Karl Rove. Another reporter, Judith Miller, went to jail for eighty-five days for failing to reveal that Dick Cheney’s chief of staff had given her the name. To avoid jail time, reporters have advocated shield laws granting them certain exemptions. While some states protect reporters, the federal government does not.

LO 10-2

Freedom of the press was secured in ___. A. The First Amendment. B. The Sedition Act of 1798 C. Case Law from 1930s–1970s D. None of the Above

To Learning Objectives

Slide 21

LO 10-2

Freedom of the press was secured in ___. A. The First Amendment. B. The Sedition Act of 1798 C. Case Law from 1930s–1970s

D. None of the Above

To Learning Objectives

Slide 22

LO 10-3

Different Types of Media

9Pre-Internet Technological Advances 9 Post-Internet Technologies

Technology has had a profound impact on how people interact with the world around them. First, in 1440, Gutenberg invented the printing press, which made it possible to distribute large quantities of printed material. In 1837, the telegraph was invented; in 1866, the transatlantic cable was laid, meaning that people could know what was happening in Europe withinin minutes. In the 1920s, radio offered instant and immediate news, and in the 1940s, television offered instant pictures. While newspapers lost readership to television, they still continued to flourish.

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Slide 23

LO 10-3

Different Types of Media

9 Pre-Internet Technological Advances 9Post-Internet Technologies

Slide 24

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Slide 25

Slide 26

Newspaper readership has declined. Why? First, watching television is easier and more exciting. Second, women are now in the workforce and do not have as much time to read the paper. Third, the growth of American suburbs increased commute times, which reduced the amount of leisure time available to read a newspaper.

To Learning Objectives

LO 10-3

Credibility up in smoke: In 2006, during the war in Lebanon, a Reuters photo editor altered an image—doubling an explosion—to show more damage from an Israeli airstrike.

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LO 10-3

At the dawn of the twenty-first century, a fourth wave of technology shook the foundations of media—Internet, cell phones, iPhones, blogs, Facebook, Twitter—newspapers and magazines are going bankrupt. Network news has lost millions of viewers to cable news and the Internet. People can now self-select what they hear and watch; conservatives can hear and watch only those items that already fit their world view. In September 2009, roughly 40 percent of Americans said they got their news from the Web on a daily basis.

Our coverage of international news has also decreased quite a bit as foreign bureaus closed to save money. Local news is still the most important source.

To Learning Objectives

Slide 27

LO 10-3

Slide 28

Slide 29

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It is not only newspapers that are dying; broadcast nightly news is also on the decline.

Where have the viewers gone?: More Americans are getting their news, especially their election news like the presidential debate shown here, from cable outlets like CNN, Fox News, and MSNBC. Millions of Americans also tune into talk radio for news and commentary about politics. Conservative broadcasters like Rush Limbaugh dominate the talk radio medium. What might draw viewers and listeners to these different media outlets?

To Learning Objectives

LO 10-3

What has been declining in recent decades? A. Newspaper Readership B. Network News Viewership C. Foreign News Coverage D. All of the Above

Slide 30

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LO 10-3

What has been declining in recent decades? A. Newspaper Readership B. Network News Viewership C. Foreign News Coverage D. All of the Above

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Slide 31

LO 10-4

Political Coverage 9Presidential Actions 9 Airtime 9 Cynical 9 Strategy over Substance

Slide 32

Media focus primarily on the president when covering national news. The president, his staff, and the executive branch make up 70 percent of government news coverage by national and local newspapers and about 80 percent in network news. Congress receives the next most coverage, with about 25 percent in the press and 17 percent in the television. The Supreme Court is so rarely mentioned that it is almost as if they aren’t covered at all.

To Learning Objectives

LO 10-4

Political Coverage 9 Presidential Actions 9Airtime

The second trend in media political coverage is that reporters get quite a bit more airtime than do candidates: 74 percent in 2000 went to reporters; Gore and Bush got 11 percent; other sources got 15 percent. So Americans hear less from the candidates and more from reporters.

9 Cynical 9 Strategy over Substance

Slide 33

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LO 10-4

Slide 34

Talking to themselves: Evidence shows that reporters tend to receive significantly more air time than the subject they are covering, and that news shows often interview media fligures and other talking heads.

To Learning Objectives

LO 10-4

Political Coverage 9 Presidential Actions 9 Airtime

Since Vietnam and Watergate, media tend to also be much more cynical when covering politics. Journalists frequently cast politicians in a negative light or quote sources who do. Journalists also are using Facebook and Twitter to comment negatively on politics now as well.

9Cynical 9 Strategy over Substance

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Slide 35

LO 10-4

Slide 36

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Political Coverage 9 Presidential Actions 9 Airtime 9 Cynical 9Strategy over Substance

Slide 37

Slide 38

Television coverage of elections tends to neglect substantive matters: content of policy proposals, candidates’ positions on issues, politicians’ voting records. Instead, journalists focus on the horse race—who is up or down in the latest polls, what is happening behind the scenes, who has committed the latest gaffe or landed a rhetorical blow, and which candidates are winning a competitive advantage.

To Learning Objectives

LO 10-4

Note that the negative and positive spin has decreased, and more news is being reported neutrally.

New ways to get the message out: Although campaigns continue to spend millions of dollars putting their ads on television, they can also easily post them on Internet sites like YouTube. Online video sharing sites have also become an easy way for campaigns and their supporters to post other sorts videos that support their candidate or embarrass an opponent.

To Learning Objectives

LO 10-4

___ tend to get more airtime than ____. A. Reporters; Candidates B. Candidates; Reporters C. Reporters; Entertainment Stories D. Entertainment Stories; Reporters

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Slide 39

LO 10-4

___ tend to get more airtime than ____. A. Reporters; Candidates

B. Candidates; Reporters C. Reporters; Entertainment Stories D. Entertainment Stories; Reporters

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Slide 40

LO 10-5

Are the Media Biased? 9 Anecdotal evidence is mixed. 9 There is little empirical evidence of

One controversial question in American politics is whether media coverage of politics exhibits bias— that is, favorable treatment of certain politicians, policy positions, groups, or political outcomes. Certain media—talk radio, for instance—are decidedly biased. But this is not where to look for bias, as objectivity standards only apply to hard news reporting. Much of the evidence is anecdotal, and the findings are inconclusive; they contradict each other.

To Learning Objectives

Slide 41

LO 10-5

Are the Media Biased? 9 Anecdotal evidence is mixed/ 9 There is little empirical evidence of

One way to see whether there is media bias is to ask journalists themselves what they think. Journalists also contradict themselves; they say that liberals get a better view in the press, but then they say that labor unions are not as positively covered as the wealthy.

Slide 42

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LO 10-5

Note here that journalists are more likely than the general public to call themselves liberal—even though still more say that they are moderate, the liberals outpace the conservatives by quite a bit.

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Slide 43

LO 10-5

Are the Media Biased? 9 Anecdotal evidence is mixed. 9 There is little empirical evidence of media bias. 9 self-assessment

Political scientists use content analysis, a technique for identifying themes, categories, and other logical groupings in written material or transcripts. Generally, the studies look at presidential election coverage. Studies looked at gatekeeping, coverage, statement bias—and found nothing in the aggregate. This does not mean that every channel was unbiased in every election, it just means the net result was zero bias.

Slide 44

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LO 10-5

Journalists are most likely to be _____. A. Liberal B. Conservative C. Moderate D. Apolitical

Slide 45

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LO 10-5

Journalists are most likely to be _____. A. Liberal B. Conservative C. Moderate

D. Apolitical

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Slide 46

LO 10-6

Media Effect on Public Opinion 9 Power of Mass Media 9 Phenomena that Limit Effect 9 Phenomena that Enhance Effect

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Slide 47

LO 10-6

The power of the media: When Orson Welles performed the radio play War of the Worlds, millions of Americans heard the broadcast and actually thought the United States was under alien invasion. This event and the massive newspaper coverage that it received suggested that people could be moved by the media to believe just about anything. How much do you think you are influenced by mass media?

To Learning Objectives

Slide 48

LO 10-6

Media Effect on Public Opinion 9 Power of Mass Media 9 Phenomena that Limit Effect 9 Phenomena that Enhance Effect

When we first started examining mass media effect on voting behavior, researchers found that the electorate was not swayed by media messages. Strong partisanship meant that people made their decisions before the media affected them; this was known as minimal effect. Later research found there was some effect. First, agenda setting has been highly influential in shaping public opinion—agenda setting is the process of determining which issues are considered important. Second priming has an influence—the public assesses the performance of politicians and candidates in terms of the issues that the media have emphasized. These effects are also evident in policy makers— elected officials have their agenda set and are primed by media coverage as well.

To Learning Objectives

Three primary phenomena limit the media’s influence on attitudes and behaviors. First, selective exposure: this is the tendency of people to expose themselves to information that is in accord with their beliefs. The feature in the book talks about this research in detail. Use it to draw students in. Second, selective perception: the tendency of individuals to interpret information in ways consistent with their beliefs Third, selective retention: the tendency of individuals to recall information that is consistent with existing beliefs and to discard information that runs counter to them

Slide 49

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To Learning Objectives

Slide 50

LO 10-6

Selective perception: As a result of selective perception, your previous attitudes toward President George W. Bush would likely influence what you think of this picture of the president inspecting Hurricane Katrina damage with two victims.

To Learning Objectives

Slide 51

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Media Effect on Public Opinion 9 Power of Mass Media 9 Phenomena that Limit Effect 9 Phenomena that Enhance Effect

Tuning in: Being exposed to messages from the media can affect how much importance people think an issue has. Fortunately, unlike this character in A Clockwork Orange, we are not all forced to be exposed to media messages.

To Learning Objectives

Given the phenomena that limit effect, researchers started looking at the preconditions necessary for effect. First is exposure: whether a person actually sees the media message. Second is comprehension: whether a person actually understands the message. Third is receptivity: whether a person is open to accepting a given message. The people most likely to feel effects of media are moderately attentive and predisposed. Political attentiveness is an individual’s general attention to and knowledge of politics. Highly politically attentive people are most likely to be exposed to and receive the messages. Receptivity depends on political predisposition: the interests, values, and experiences that help organize one’s political thinking. Someone who has strong predispositions is less likely to be receptive. So people who are most likely to receive and be exposed to messages are least likely to be changed by them. We find change in opinion when the message is loud—that is, covered thoroughly by a number of media outlets. Also, a largely one-sided point of view in the message leads to change. If media messages do not fit neatly with existing political predispositions, change can happen. Also, there could be major changes within subgroups that are not apparent if you only look at the whole public.

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Slide 53

This figure lays out the dilemma for media messages quite nicely; those most likely to be influenced are less likely to be exposed. What are the ramifications of this for politics? Does President Obama need to tweet or use Facebook?

To Learning Objectives

The tendency to limit oneself to information that accords with one’s beliefs is ___.

LO 10-6

A. Selective Exposure B. Selective Retention C. Selective Perception D. None of the Above

Slide 54

To Learning Objectives

The tendency to limit oneself to information that accords with one’s beliefs is ___.

LO 10-6

A. Selective Exposure B. Selective Retention C. Selective Perception D. None of the Above

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To Learning Objectives

Credits

To Learning Objectives

Slide 56

Photo Credits

To Learning Objectives

× Return to Chapter 10: Table of Contents

Additional Lecture Suggestions

¾10.1 Evaluate the unique role that the media play in American politics and society • • • •

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Find out how many and which newspapers your students read on a regular basis, and what parts of the newspaper they read. Suggest to your class that the immediacy of television reporting is the source of its credibility to many viewers. Explore with your students the importance of journalists having a background in political science so they can ask the right questions. Explain the impact of the Internet on recent elections such as the presidential race of 2008. Contemporary media stimulates and responds to changes in the world. Media impacts our everyday lives as well as our political system by influencing what people think and feel about certain issues and ideas. In a free democracy there is a balance between the right of the people to be informed and national security. Media are a window to help us view the world outside of our own daily lives. The media brought the events of September 11, 2001 into our homes through the newspapers, radio, television, and Internet and made an event that occurred far away seem tangible and personal. Media reflect and shape society. Media affect our political system in many ways. Media are used throughout the world to promote different thoughts and ideas. Newspapers are available in every store, there is online access to worldwide newspapers and news channels, and the television has twenty-four-hour news channels. Free media is an important factor in keeping the public informed on policy issues and the actions or inactions of our government leaders in response to these issues. A marketplace of ideas where different thoughts and beliefs are allowed to develop must be present in democratic nations. Contemporary media present the news to the public as it is unfolding. Television provides viewers with coverage of live events creating a sense of immediacy and increasing emotional connections. Television is a competitive market while ownership of newspapers and radio stations is becoming more centralized. The Internet has helped to globalize society with people relying less on local news programming and newspapers. If there is a local newspaper in your town, contact the editor and ask if one of the reporters would be willing to speak to your class. This is often seen as good public relations for the newspaper, and can enliven a class by bringing in the “real world” of reporting. Media’s power is derived from their ability to choose the information to be communicated, by whom, when, and how often. Today, political behavior of both candidates and voters is largely associated with media influences. Campaigns, candidates, and issues are all aspects of daily political arenas influenced by media’s presentations to the public. Media has some limits, though few. Today’s mass media has a responsibility to monitor itself in light of its extensive power, and this requires the media to practice fairness, though it is rarely a legal mandate. The Internet has affected political dynamics in the nation. Copyright © 2011, 2009, 2007 Pearson Education, Inc. All rights reserved.

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Mass media evolved into a major influence on Americans lives. Explain the unique role that the media play in American politics and society. List and describe the four major characteristics that make the American mass media unique.

¾10.2 Identify the legal constraints on American media •

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Laws to regulate the media are in place due to national security concerns. The government wants to ensure national security while the media want to maintain a free press. Regulation of the broadcast media falls to the Federal Communications Commission. The government has the power to censor news before it hits the airways, but the courts are reluctant to allow what is known as prior censorship. Our government relies mainly on the threat of punishment after the fact in order to keep the press in line. There are different standards of privacy for public and private individuals. People in the public eye are subject to more press coverage while private individuals are generally granted greater privacy. Privacy rights are often more strict when the right to a fair trial is involved. Libel laws prohibit the media from printing information that is known to be untrue. Free press is very important in a democracy, so prior censorship is rarely approved by the courts. Three rules also exist concerning television and politics. These rules are known as the equal time rule, fairness doctrine, and the right to rebuttal. Describe the legal constraints on American media. Trace the development of freedom of the press. List and describe the two major legal constraints on American media.

¾10.3 Differentiate the types of media that exist today •

• • •

Newspapers began to emerge around the time of the American Revolution as tools to gain public support for independence. The ‘penny press,’ papers costing only one cent compared to six, increased the popularity of newspapers in the 1830s. Yellow journalism focused on scandals and sensationalizing the news at the close of the nineteenth century. Ownership of contemporary newspapers has become more centralized with the Tribune company reaching eighty percent of households in the United States in the year 2000. The emergence of the radio, television, and Internet brought up-to-the-minute news into American households. News became more personalized and available to a wide range of viewers. The role of media has changed in hopes of appealing to a broader audience. Media is used to entertain, inform, and persuade the public. Discuss the types of media that exist today.

¾10.4 Analyze the nature of media coverage of politics and government • •

The line between news and entertainment has blurred. News has evolved to include more graphics, feature short stories, gossip, and human interest stories. Social effects of the media include surveillance, interpretation, and socialization. The media reports events from around the world to keep people informed on issues to which they have no personal connection. They then interpret this news to help people understand how it Copyright © 2011, 2009, 2007 Pearson Education, Inc. All rights reserved.

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affects them and what the news means in the large scheme of things. The media also mirrors and enforces values. Political parties, politicians, interest groups, and individuals use the media to manipulate public opinion. Politicians use press releases, news briefings, and news conferences to communicate with the public. Politicians want to control information that is released to the public while the media wants to retain their freedom to report what they deem newsworthy. Politicians need press coverage to bring their views and ideas to the American public. Media play a crucial role in developing the public image of politicians. Politicians stage events and public appearances to gain media attention. Politicians sometimes clash with the media as the media struggle to present ‘real news’ while covering staged political events. The media get to choose what to report and when to report it. This is called agenda setting. The media are the so-called “gatekeepers” as they allow certain topics to air while others are sidelined. The media must cover the president, Congress, and the courts, and then decide which topics should get the most coverage. Many groups stage events and rallies to gain press coverage. Interest groups are constantly trying to raise visibility, win support, and influence both officials and the public. Groups will often go to great lengths to gain visibility in the public sphere. Media play an important role in government elections. They can anoint the “front-runner” in a political race and give more news coverage to that candidate. Televised debates are also key factors in influencing public opinion. The amount of press coverage a political candidate receives during a campaign can be crucial in getting elected. Public opinion polls are used by the media to determine which candidates should receive the most press coverage. Candidates will also try to influence public opinion by running campaign ads and trying to appeal to Americans during televised debates. Many American channels are broadcast worldwide. Many people are concerned that American culture is becoming dominant over other cultures around the world. Many historians believe that the deterioration of communism in Eastern Europe was partly a reaction to Western thoughts and ideas presented by the media. Poll the class to determine which political candidates they would like to hear more about. Let them know that whoever gains the highest percentage of votes would be the one receiving the most coverage by the press. Media often target specific audiences. The media aren’t focusing on a broad audience and many fear this will fragment groups in our society. Competition is often considered to be healthy, but media ownership has become more centralized in the past years. Cross-media ownership is on the rise with print media and electronic media consolidating under single owners. Newspapers have become the least competitive market, with one owner often owning many papers across the country. Personal computers in many homes create new possibilities. It is likely that some of your students are already using the Internet or electronic bulletin boards to exchange information. Ask for volunteers to bring in a sample of political information that they have located from these sources. Students are often eager to share their computer knowledge with other students; many would probably find this to be an enjoyable project (not the chore that so many assignments become). Discuss the decline in popularity of nightly network news programming. Discuss the increasing importance of the World Wide Web as a source of information. Evaluate the nature of media coverage of politics and government. Copyright © 2011, 2009, 2007 Pearson Education, Inc. All rights reserved.

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Discuss the five major trends in media coverage of politics and government.

¾10.5 Determine whether the media are biased •

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Bias in the Media: Students often arrive in class thoroughly convinced that the media is biased. A good assignment that could last a week or two or could be continued throughout the term would be the following: Divide the class up into those who will look for bias on the evening news, a major newspaper, and local newspapers. You could, if you have enough students, add a cable news program and a news-weekly like Time or Newsweek. Students are to watch or read for bias and whenever they spot it, bring it to class. A period of class time, depending on how much time you want to devote to this could be set aside, say, during the last class period of each week to present these biases to the class. The first thing to establish is "Is it an example of bias?" Be careful that students bringing the material don't feel threatened by raising this question. This can be done by pointing out how difficult it is to establish bias. Of course, it would be an excellent opportunity to demonstrate the different types of bias. Your students will probably be surprised at the difficulty in establishing bias and the fact that ideological bias is not as prevalent as they thought. List and describe the two methods used to determine whether or not the content of media reporting is biased Discuss the question of whether the media are biased. Explain what is meant by media bias. Evaluate charges of liberal bias in the media.

¾10.6 Assess the effect of the media on political attitudes and behaviors • • • • • • • • • • •

The media has shifted to become more entertainment-oriented, but still attempts to cover political issues. Talk radio stations have greatly increased, and tabloid magazines continue to thrive. There is also an increased emphasis on celebrity news. Media have the power to impact the political agenda and election outcomes but it is unknown to what extent. Many studies have been conducted to measure the potential power of the media but the results of such studies are mixed. Explain the effect of the media on attitudes and behaviors. Explain the media’s agenda-setting role. List and describe the three primary phenomena that may limit the media’s influence on attitudes and behaviors. Describe the source of media power in the United States. Give examples of how the media have had an effect on how the public evaluates specific events. Look for examples of “agenda setting” by looking at the top stories on the nightly newscast for ABC, CBS, and NBC. Define and differentiate media sensationalism, negativism, and muckraking. Review the front pages of the local newspapers and look for examples of sensationalism, negativism, and muckraking. Discuss how early media coverage of a candidate can assist them by giving them name recognition. Copyright © 2011, 2009, 2007 Pearson Education, Inc. All rights reserved.

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Discuss the tension between broadcasting a public trust and as a means of making profit. List and define the three preconditions for media effects.

× Return to Chapter 10: Table of Contents

IV. Student Assignments – Post-Lecture A.

Class Discussion Questions

¾10.1 Evaluate the unique role that the media play in American politics and society •

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During the past decade, television news has changed dramatically. One aspect of that change is the recent acquisition of all major news organs by large corporations. ABC is now owned by Disney, others by GE, etc. Hold a discussion on the impact of these media mergers/buyouts on the amount and types of information available to American citizens, as well as on the “quality” of news we now receive. Ask students if they would trust a government-owned newspaper. Consider the First Amendment’s implications of that. If the role of the news media is bringing information to the citizens, how do you rate their performance? Do you believe that the role of the media as a force in American politics has been vastly overstated? Do you think it is the media or the candidates that have caused our presidential campaigns to become so intensely personal, so involved with the private lives and foibles of the contenders rather than issues? Use specific examples from the 2008 election. What is meant by “mediated politics”? Are politics in the United States mediated? What is the mass media? How has the media and its role in American society changed over the course of the last century? Do you think that news and entertainment should be combined? Do you think the shift in news coverage is a positive or negative thing? Do you think journalists are effectively reporting the important news that the public needs to hear? Who should determine what constitutes a good news story? How might the profit motive of the mass media influence democracy in America? Is democracy likely to be strengthened or hindered by the business aspect of media coverage? Are the media likely to cover issues or subjects that might negatively impact sales or their corporate advertisers? Provide short answers to these questions. Ask your students to discuss the role that the profit motive plays in how journalists report the news. What would be their reactions to proposals to have a publiclyfunded information service? For class discussion, ask students to evaluate whether American mass media has become too powerful. In particular, ask students to debate whether mass media’s impact on public opinion and political outcomes is consistent with the concepts of limited government and balanced power. Is there any democratic way to hold mass media organizations accountable for their behavior? For class discussion, ask students to discuss the ways in which mass media influences the political thought and behavior of citizens. In particular, have students evaluate the media’s role in creating an informed citizenry, which is vital to the successful functioning of democratic government.

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Ask students their opinions about the practice of actors and politicians becoming reporters and reporters, in turn, becoming actors. Does that trouble them at all? How does the American mass media compare to the media in other countries?

¾10.2 Identify the legal constraints on American media • • • • • • • • • •

Do independent fact-check Web sites help to prevent candidates from airing ads that are intentionally misleading? Is this a trend towards more democratic involvement at the grassroots level? Would you favor a process whereby political ads must be preapproved for accuracy by an impartial panel? How does the government regulate the media? What limits are there on freedom of the press? Should there be more regulations on what information can be found on the Internet? Be prepared to present and defend an opinion in class. What factors limit a person’s access to the news? At what times (if any) do you feel that censorship by the government should be tolerated? How important is the freedom of the press to a democracy? What examples of press restrictions/oppression can you think of throughout history? Are there additional ways in which Congress can regulate the content of news broadcasts without violating the First Amendment? In a post 9-11 world, should the U.S. government have more power to intervene to stop the publications of material it finds objectionable?

¾10.3 Differentiate the types of media that exist today • • • • • • • • • • • •

Hold a class discussion on the relative merits of network, cable, and Internet news sources. Discuss the proliferation of TV and radio talk shows and the effect they have on voters’ perceptions. Do most people read a newspaper daily? A weekly magazine? How do most people acquire the majority of their news information? Why are cable sources and weekly TV news magazines now the most watched source? Recently, the Internet has become an important source of news for many citizens. Is information on the Internet likely to be as reliable as that of print media? Why or why not? Does blogging force mainstream media to cover different stories than they would have previously? Is this a positive or negative trend for conveying hard news? Which format is a better means for voters to obtain political information, talk shows or regular news broadcasts? Will increasing availability of political discussion formats—e-mail, Internet, blogs, and chats—actually lead to an increasingly fragmented electorate, more apathy, and less overall political participation? Where do your peers get their news? Do they prefer soft news, such as the Daily Show? Blogs like the Daily Kos? If so, why? How often do you read tabloid news or view entertainment news on television? Why are people moving away from traditional media and towards alternative media sources? Copyright © 2011, 2009, 2007 Pearson Education, Inc. All rights reserved.

¾10.4 Analyze the nature of media coverage of politics and government •

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Hold a discussion on media coverage of a specific issue, event, or person. Choose a political event such as an election, a scandal, a Supreme Court ruling, or an issue. Discuss the nature of the coverage it receives from a variety of media sources and discuss why that coverage may differ or be similar. Ask students to consider what effects, if any, the drive for profits has on the news media. Discuss with your students whether or not the unprecedented media coverage of the war in Iraq altered the war and altered the political response to the war at home. If so, how? How has public opinion changed regarding whether the effort was worthwhile or not? What recent political activities or individuals have captured your attention? Why? Was the reporting of this information virtually the same in all media? Should the media have a role in keeping government and politics honest? If so, what should that role be? If not, who can better do the job? Discuss public reaction to the events of September 11, 2001. Was the media coverage too much? How did the extensive coverage by the media shape the response of the American public and the world? What role do you think the media played in the public and political responses to the events of September 11, 2001?

¾10.5 Determine whether the media are biased • • •

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Are the mass media biased in their presentations of the news? If so, do they tend to favor liberal, or conservative, viewpoints? Ask students to discuss whether it is necessary for journalists to be objective. If it is true that media do not generally change minds, but rather reinforce opinions, attitudes, or values about political concerns, why do media practice biased presentations? Is there any truth to assumption that reinforcement of liberal values is all that occurs with media influence? Should the news media strive to be objective and independent of partisan politics? Is this possible? Is the media objective in its coverage? Why would the media be biased? Is the media more liberal or conservative? What would a biased media mean for American politics? What categories of individuals are most likely to feel media influence? What six things should one look for in order to find media effects? Many people suggested that the media were too favorable in their coverage of Barack Obama. Do you agree or disagree? Explain why. Why do the media prefer to ignore policy and instead focus on elections as horse races?

¾10.6 Assess the effect of the media on political attitudes and behaviors •

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How many hours of TV does an average person watch each day? How much of the watching is in a news format? Is the assertion that there is a liberal bias in media reporting true? In which medium is this assertion most accurate? News anchors, editors, reporters, producers, and others involved in presentation of political information state that they are only “mirrors” of reality, that they are not presenting their biases in the productions. Do you believe this to be an accurate assessment? Why/why not? Selection of subjects deemed as “newsworthy” may certainly exclude a good deal of other, less worthy, news from presentation. If you [students] were to be assigned responsibility for selecting “newsworthy” presentations, what would your criteria be for such selections? Why are emotions in media coverage so important? How is television able to capture these emotions like no other form of media? Should emotions be an important part of the media’s political coverage, or are they used only to increase ratings and, thus, advertising dollars? If, tomorrow, mass media were unable to have the influence they do today in political campaigns, how would campaigns have to be conducted? What issues do you [students] believe have been developed by media, more than the public might otherwise have developed them? Is the development and expansion of these issues a subject that could or should be better understood, or overlooked entirely? How much power does the media have in contemporary American politics? What is the relationship between the media and public political debate? What is the relationship between the media and politicians? What role does the media play in shaping campaigns and elections? How extensive should media coverage of politicians be? Do you think that it is important for the public to know about the personal lives of politicians? Consider the media coverage of former president Bill Clinton. What recent events do you think may have been staged by politicians in the hopes of gaining media attention? Are people becoming more cynical towards politics? Why did television supplant newspapers as America’s primary information source? Does the existence of PBS demonstrate the need for government intervention in controlling the media? What role does the FCC play in regulating broadcast media? In your opinion, do they need to reinstate the fairness doctrine? Why?

× Return to Chapter 10: Table of Contents

Class Activities

¾10.1 Evaluate the unique role that the media play in American politics and society •

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Create a survey of students’ media habits. Include the numbers of hours spent reading, listening to, and watching media. What media are involved? Compare these figures to other students’ media time responses, as well as to other student-selected comparisons with the American public. Create the first page of a newspaper that reflects a time period from American history. Your newspaper page should reflect the way news was reported during that time and what issues were important to the American public. The roles of the media have changed since the eighteenth century. Have the media abandoned their role as a watchdog over the government? Create a list of the ways that the media have developed both adversarial and cozy relationships with governmental leaders.

¾10.2 Identify the legal constraints on American media • •

The airwaves are a public good. Hold a debate on whether and how the government should regulate the airwaves. Have students debate whether the government should ban foreign ownership of American news media.

¾10.4 Analyze the nature of media coverage of politics and government •

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Print off the AP wire stories for the day (or contact a local TV station and ask for its stories). Divide students into groups. Each group, using the same list, should operate as a news director/producer and determine which items will go—in what order, and at what length— into the 24 minutes of news that evening. They should be prepared to defend their choices. Write a five-paragraph persuasive essay on the power of the media in politics. How influential are media in the political arena?

¾10.5 Determine whether the media are biased • •

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Have students explain how two different news stations (such as Fox and CNN) can report the same story with such different political biases. We frequently complain about media bias in reporting the policies and activities of the president and Congress, but officeholders also manipulate the media. In fact, modern political success depends upon control of the mass media. Have your class try to determine how each manipulates the other. Assign students to debate the question as to whether—or in what ways—the mass media are biased. Require that they develop working definitions of bias and gather evidence regarding characteristics of reporters and editors, chain ownership and advertising, and actual media content. In recent years, the Fox News Network has become the most popular cable news network, almost doubling the audience of CNN and MSNBC. Have the students write an opinion essay as to why this is the case. Copyright © 2011, 2009, 2007 Pearson Education, Inc. All rights reserved.

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Using self-identification by students, break the class up into liberals, conservatives, and moderates/independents. Using each group—and depending on the school, some of the groups will be very small or large—identify which media they regularly watch, hear, or read. What impact does this have on your opinions, values, and attitudes? Dividing the class into two groups, identify one student, a volunteer, as Rush Limbaugh-like and another as Chris Matthews-like. Selecting a real news event, have one of the two groups aid in each of the selected students’ presentations of the subject. Discuss the different impacts of the different interpretations of the same subjects. Hold a debate on media bias. Have at least three sides: liberal, conservative, and profitoriented biases. Hold a class press conference on an issue or the week’s events. Assign some students to be reporters, others as government officials, and others as “spin doctors.” Discuss what happens afterward.

× Return to Chapter 10: Table of Contents

Research Assignments

¾10.1 Evaluate the unique role that the media play in American politics and society • •

Ask the students to watch their local news affiliate for “watchdog” segments. Ask your class to evaluate whether the informational and watchdog roles of the media complement, or conflict with, the entertainment and economic functions of media organizations.

¾10.2 Identify the legal constraints on American media •

Use the Internet to research the history of libel laws in the United States. Create a timeline explaining the development of these laws.

¾10.3 Differentiate the types of media that exist today • • •

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Visit five news websites. How often is the news updated on these websites? Some examples include: http://www.nytimes.com, http://www.latimes.com, http://www.cnn.com, http://www.realclearpolitics.com Use the Internet to research how the development of video footage and extended media coverage has changed American perception of war in the 20th century. Cable-Satellite Public Affairs Network (C-SPAN) offers an enormous resource for this and most other topics. Try this for starters: when a controversial bill is before the House floor, assign part of the class to observe the debates on C-SPAN, a second part to watch regular network coverage, a third the coverage on CNN, and a fourth to read the coverage in a major metropolitan newspaper. Have each group write its impressions of the coverage and of the primary points brought out in the debate. Then compare the four groups. Were the impressions of those who watched the actual debates on C-SPAN the same as those who read or saw media-processed versions of the debate? Choose one question from the list below and poll at least one hundred students. Create a graph to show your results. Which source do you use to obtain news? How often do you read/watch the news? Which news source do you think is most reliable? Ask students to investigate the Web pages of candidates running for national and state offices. What types of information are provided at these Web sites? Ask students to listen to at least three radio talk shows. How does political information disseminated on these shows compare to information provided by TV news programs? Divide your class into five groups: network television, daily local newspapers, daily national newspapers, cable news, and radio. Ask that they watch, read, or listen to the news only from their arranged source for one or two weeks, and then quiz them on their knowledge of current events. Do students relying on one source know more than those relying on other sources? Have students watch CNN and FOX news for several days (or read the online versions). Have the students compare and contrast each network’s coverage of the same or similar subjects. Is there a difference in the coverage? Does one network seem more conservative Copyright © 2011, 2009, 2007 Pearson Education, Inc. All rights reserved.

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than the other? Ask your class to review coverage by both the print media and electronic media of a recent election. Students should be encouraged to use the information they obtain for a discussion in class of how media stories affect the public’s perceptions and interpretations of events, political candidates, and policy preferences. Have students locate three or four credible news sites on the Internet. How do they determine reliability? What types of information is found there? Does it differ from more traditional types of media? How and why?

¾10.4 Analyze the nature of media coverage of politics and government • • • •

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Use the Internet to research the history of embedded journalism. Write a brief timeline explaining the evolution of embedded journalism. Using various Internet sites, ask your students to look at the lead story on ABC, CBS, NBC, and CNN and explain their findings. Then examine differences in coverage in one story that they all ran. Have students choose a current event and compare the coverage in local press, national press, network news, and cable news. How and why do the ways each of these types of media cover the issues differ? How are they similar? What media outlets do you find most useful? Have students do the following: Using a major national newspaper (The New York Times, The Washington Post, or the like), analyze the way in which the current president is treated. Is he treated well or poorly? Why? Is there an obvious bias? What is it? Is he treated similarly or differently than other major political figures? Why? Divide the class into groups, assigning each group to watch a different TV network evening news broadcast for two weeks. The News Hour with Jim Lehrer can become one viewing choice, CNN’s nightly news program (Lou Dobbs, Wolf Blitzer’s Situation Room) can be another, and Fox News yet another. On the basis of this observation, have each group list the top news stories reported by their network. After the reports are filed, these questions are pertinent for combined classroom discussion: Are the network news priorities different or similar? How did the networks differ in how they presented subjects other than the breaking news, things such as special in-depth reports, ongoing segments, etc.? Are there any differences in how the network news programs treat the same subject? Find an article that represents investigative reporting. What problem was being investigated through that article? What impact did the article have on public opinion? Be prepared to share with the class. Search the Internet to find examples of presidential use of the media for publicity. Find and describe five different photos that you think were used by politicians to raise their images. Find a news story covering a rally or protest held by a group trying to raise awareness on an issue. What group is the focus of your story? What was their goal in holding the rally? Watch a local news program from one of the major networks. What population do you think the news is hoping to target? Visit the website of a major news channel such as that of CNN (http://www.cnn.com). Select three different news stories and determine who the intended audience is for each story. Consider any possible trends in the targeted audience. Use the following website to see the different media owned by certain companies. Note the Copyright © 2011, 2009, 2007 Pearson Education, Inc. All rights reserved.

ownerships of the Disney Company and the Tribune Company (http://www.cjr.org/tools/) ¾10.5 Determine whether the media are biased • •

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Each of the TV news organizations also has a Web site. Have students check out CNN, ABC, FOX, etc. on the Web and compare the coverage to that of the TV version. Discuss why they differ and which offers “better” information. Ask the students in your class to watch the evening news on the same network every night for one week. Have them keep a tally to indicate each topic where they think they can detect some bias in the coverage. Students should mark each incident as conservative, moderate, or liberal. Reserve a few minutes of class time at the end of the week for a general discussion of the results. If possible, conduct the same experiment a week later, using one of the other networks as your model. Have students do the following: For several days, tape each of the major broadcast networks’ newscasts (ABC, CBS, NBC) and the two largest cable networks (FOX and CNN). View at least two days of each broadcast. Pay attention to the order and length of each story, the tone of the report, and the graphics/images used. How are these broadcasts similar or different? Which reports seem most objective and why? What kinds of information are they offering? Is it the type of information we need to make educated decisions about politics and world affairs? Why or why not? Watch the same political news story on three different media sources. Compare the accuracy of the different ways the story was reported. What does this suggest about political news coverage in general?

× Return to Chapter 10: Table of Contents

V. Quantitative Assessment Administer Chapter Exam (see Test Bank, Chapter 10) × Return to Chapter 10: Table of Contents

VI. Resources for Further Study A.

Books

1. Ansolabehere, S., & Iyengar, S. (1997). Going negative. New York: Simon & Schuster. 2. Ansolobehere, S., Behr, R. L., & Iyengar, S. (1993). The media game: American politics in the television age. New York: Macmillan. 3. Baker, C. E. (2006). Media concentration and democracy: Why ownership matters. Cambridge: Cambridge University Press. 4. Bennett, W. L., & Entman, R. M. (Eds.). (2001). Mediated politics: Communication in the future of democracy. New York: Cambridge University Press. 5. Bennett, W. L., & Graber, D. A. (2006). News: The politics of illusion (8th ed.). New York: Pearson Longman. 6. Bennett, W. L., Lawrence, R. G., & Livingston, S. (2007). When the press fails: Political power and the news media from Iraq to Katrina. Chicago: University of Chicago Press. 7. Bimber, B. (2003). Information and American democracy. New York: Cambridge University Press. 8. Browning, G., Weitzner. D. J. (1996). Electronic democracy: Using the Internet to influence American politics. Medford: Information Today Inc. 9. Cantril, A. H. (1991). The opinion connection: Polling, politics, and the press. Washington, DC: Congressional Quarterly Press. 10. Chomsky, N. (2003). Media control: The spectacular achievements of propaganda (2nd ed.). Minneapolis: Consortium Book Sales. 11. Christians, C. G., Ferre, J. P., & Fackler, M. (1993). Good news: Social ethics and the press. New York: Oxford University Press. 12. Cohen, E. D. (2005). News incorporated: Corporate media ownership and its threat to democracy. Amherst: Prometheus Books. 13. Cook, T. E. (1998). Governing with the news: The news media as a political institution. Chicago: University of Chicago Press. 14. Davis, R. (2001). The American press and American politics: The new mediator. Upper Saddle River: Prentice Hall.

15. deZengotita, T. (2006). How the media shapes your world and the way you live in it. New York: Bloombury USA. 16. Fritz, B., Keefer, B., & Nyhan, B. (2004). All the president’s spin: George W. Bush, the media, and the truth. New York: Simon & Schuster. 17. Goldberg, B. (2003). Bias: A CBS insider exposes how the media distorts the news. New York: HarperCollins Publishers. 18. Graber, D. (2006). Mass media and American politics (7th ed.). Washington, DC: Congressional Quarterly Press. 19. Graber, D. A., McQuail, D., & Norris, P. (Eds.). (1998). The politics of news, the news of politics. Washington, DC: Congressional Quarterly Press. 20. Hamilton, J. T. (2004). All the news that is fit to sell. Princeton: Princeton University Press. 21. Horn, G. M. (2004). Political parties, interest groups, and the media, Milwaukee: World Almanac Library. 22. Hudson, D. L., Jr. (2005). Open government: An American tradition faces national security, privacy, and other challenges. Philadelphia: Chelsea House. 23. Iyengar, S., & McGrady, J. (2006). Media and politics: A citizen’s guide. Boston: W. W. Norton & Company. 24. Iyengar, S., & Kinder, D. R. (1989). News that matters: Television and American opinion. Chicago: University of Chicago Press. 25. Jamieson, K. H., & Waldman, P. (2004). The press effect: Politicians, journalists, and the stories that shape the political world. New York: Oxford University Press. 26. Kovach, B., & Rosenstiel, T. (2007). Elements of journalism: What news people should know and the public should expect. New York: Crown. 27. Lapham, L. H. (2004). Gag rule: On the suppression of dissent and stifling of democracy. New York: Penguin Press. 28. Leighley, J. E. (2004). Mass media and politics: A social science perspective. Boston: Houghton Mifflin Company. 29. Lieberman, T. (2000). Slanting the story: The forces that shape the News. New York: New Press. 30. Maltese, J. A. (1992). Spin control: The White House office of communications and the management of presidential news. Chapel Hill: University of North Carolina Press. Copyright © 2011, 2009, 2007 Pearson Education, Inc. All rights reserved.

31. Mayer, J. D. (2007). American media politics in transition. New York: McGraw-Hill Humanities. 32. Neuman, W. R., Just, M. R., & Crigler, A. N. (1992). Common knowledge: News and the construction of political meaning. Chicago: University of Chicago Press. 33. Niven, D. (2002). Tilt?: The search for media bias. New York: Praeger. 34. Patterson, T. E. (1994). Out of order: An incisive and boldly original critique of the news media's domination of America's political process. New York: Vintage. 35. Petley, J. (2001). Media: The impact on our lives. Austin: Raintree Steck-Vaughn. 36. Prior, M. (2007). Post-broadcast democracy: How media choice increases inequality in political involvement and polarizes elections. New York: Cambridge University Press. 37. Sabato, L. J., Stencel, M., & Lichter, S. R. (2000). Peepshow: Media and politics in an age of scandal. Lanham: Rowman & Littlefield. 38. Schechter, D. (2003). Media wars: News at a time of terror. Lanham: Rowman & Littlefield. 39. Shogun, R. (2001). Bad news: Where the press goes wrong in the making of the president. Chicago: Ivan Dee Press. 40. Sommerville, J. (1999). How the news makes us dumb. Downers Grove: InterVarsity Press. 41. Starr, P., (2004). The creation of the Media: Political origins of modern communications. New York: Basic Books. 42. Weaver, D. H., Beam, R. A., Brownlee, B.J., Voakes, P. S., & Wilhoit, G. C. (2007). The American journalist in the 21st century. Mahwah: Lawrence Erlbaum. 43. Western, J. (2005). Selling intervention and war: The presidency, the media, and the American public. Baltimore and London: The Johns Hopkins University Press. 44. Yalof, D. A., & Dautrich, K. (2002). The First Amendment and the media in the court of public opinion. Cambridge and New York: Cambridge University Press. 45. Zaller, J. (1992). The nature and origins of mass opinion. Cambridge and New York: Cambridge University Press. × Return to Chapter 10: Table of Contents

Articles

1. Ahrens, F. (2004, February 11). Critics blame big media for sleaze factor. The Washington Post (sec. E). 2. Behr, R. L., & Iyengar, S. (1986, Spring). Television news, real-world cures, and changes in the public agenda. Public Opinion Quarterly, 49(1), 38–57. 3. Brians, C., & Wattenberg, M. (1996, February). Campaign issue knowledge and salience: Comparing reception from TV commercials, TV News, and newspapers. American Journal of Political Science, 40(1), 172–193. 4. Brownstein, R. (2004, January 5). Inside the 2004 campaign tool chest: Blogs and online voting. Los Angeles Times, sec. A. 5. Grose, C. R. (2006, October). Bridging the divide: Interethnic cooperation; minority media outlets; and the coverage of Latino, African-American, and Asian-American members of congress. The Harvard International Journal of Press/Politics, 11(4), 115–130. 6. Kalb, M. (2000, December 3). Financial pressure doomed networks on election night. Deseret News (sec. AA). 7. Keeter, S. (1987, Fall). The illusion of intimacy: Television and the role of candidate personal qualities in voter choice. Public Opinion Quarterly, 51(3), 344–358 . 8. Kellner, D. (2002, December). Presidential politics: The movie. American Behavioral Scientist, 46(4), 467–486. 9. McCarthy, J. D., McPhail, C., & Smith, J. (1996, June). Images of protest: dimensions of selection bias in media coverage of Washington demonstrations, 1982 and 1991. American Sociological Review, 61(3), 478–499. 10. Patterson, T. E. (1996, July). Bad News, Bad governance. Annals of the American Academy of Political and Social Science, 546(1), 97–108. 11. Pfau, M., Diedrich, T., Larson, K. M., & Van Winkle, K. M. (1995, Winter). Influence of communication modalities on voters’ perceptions of candidates during presidential primary campaigns. Journal of Communication, 45(1), 122–133. 12. Shea, D. M. (1999, March). All scandal politics is local: ethical lapses, the media, and congressional elections. The Harvard International Journal of Press/Politics, 4(2), 45– 62. 13. Slotnick, E. E. (1991, October/November). Media coverage of Supreme Court decision making: Problems and prospects. Judicature, 75(3), 128–142. Copyright © 2011, 2009, 2007 Pearson Education, Inc. All rights reserved.

14. Wildavsky, A. (1987, Summer). The media’s “American egalitarians”. Public Interest (88), 94–104. × Return to Chapter 10: Table of Contents C.

Media

1. All the President’s Men. (1976). Film based on the reporting and book by Bob Woodward and Carl Bernstein, young reporters at the Washington Post who uncovered evidence of the Watergate cover up. 2. Bill Moyers Journal: Buying the War. (2007). Films for the Humanities and Science. This program examines how the Bush administration marketed and sold the war in Iraq and the role of the media in the process. 3. Broadcast News. (1987). Comedy romance about reporters and anchors in a newsroom. 4. Citizen Kane. (1941). The classic movie depicting the life of newspaper magnate William Randolph Hearst. 5. Disconnected: Politics, the Press and the Public. (2000). Films for the Humanities and Sciences. This program focuses on the extent to which the media, with their emphasis on profit, deadlines, and entertainment, compromise media coverage of elections and disconnect the public from the political system. 6. Free Speech for Sale: A Bill Moyers Special. (1999). Films for the Humanities and Science. Moyers and various public advocates discuss the ability of well-funded interests to dominate public debate, largely due to their access to the mass media. 7. Network. (1976). Comic critique of the shallowness of news coverage, as a veteran reporter is fired for low ratings. 8. On Air: America’s Alternative Media. (2006). Films for the Humanities and Science. This program takes a look at alternative forms of media including Internet blogs, satellite broadcasts, and documentaries. 9. Outfoxed: Rupert Murdoch’s War on Journalism. (2004). Dir. Robert Greenwald. Carolina Productions. This film alleges that Fox News is little more than an unprofessional and propagandistic corporate mouthpiece for Murdoch and his right-wing political beliefs. Greenwald bases much of his evidence on interviews with Fox employees themselves. Distributed by Moveon.org. × Return to Chapter 10: Table of Contents

Web Resources

1. ABC News. http://www.abcnews.go.com/ 2. Accuracy in Media. (conservative media watchdog group). http://www.aim.org 3. The Annenberg Center for the Digital Future. http://www.digitalcenter.org/pages/current_report.asp?intGlobalId=19 4. The Annenberg Public Policy Center of the University of Pennsylvania conducts content analysis on TV coverage of politics. http://www.appcpenn.org/ 5. CBS News. http://www.cbsnews.com/ 6. The Center for Media and Public Affairs. Studies, commentaries and forums on media and public affairs. http://www.cmpa.com/ 7. The Century Foundation Media and Politics page. http://www.tcf.org/list.asp?type=TP&topic=7 8. Chicago Tribune. http://www.chicagotribune.com/ 9. CNN Interactive. http://www.cnn.com/ 10. Fairness and Accuracy in Reporting (FAIR) is a liberal watchdog group looking for media bias. In their own words: “FAIR believes that independent, aggressive, and critical media are essential to an informed democracy. But mainstream media are increasingly cozy with the economic and political powers they should be watch dogging. Mergers in the news industry have accelerated, further limiting the spectrum of viewpoints that have access to mass media.” The Web site offers examples of bias and more. http://www.fair.org/ 11. Federal Communications Commission. http://www.fcc.gov/ 12. Los Angeles Times. http://www.latimes.com/ 13. Media Matters. http://mediamatters.org/ 14. Media Research Center is a conservative group that claims the media have a liberal bias. Their Web site offers links to conservative media and political sites. http://www.mediaresearch.org/ 15. NBC News. http://www.msnbc.msn.com/ 16. Newseum is the museum dedicated to the history of news and media, scheduled to reopen near the National Mall in Washington, D.C. in 2006. Its Web site currently operates in lieu of Copyright © 2011, 2009, 2007 Pearson Education, Inc. All rights reserved.

the museum and has some interesting cyber exhibits, including coverage of the terrorist attacks of September 11, 2001, war correspondents, editorial cartoonists, women photographers, and front-page stories from around the country. http://www.newseum.org/ 17. The New York Times. http://www.nytimes.com/ 18. The Pew Center for Civic Journalism works to encourage “good journalism.” The institute is trying to battle cynicism and re-engage citizens in the political process. http://www.pewcenter.org/ 19. The Pew Research Center for People & the Press is an independent opinion research group that studies attitudes toward the press, politics, and public policy issues. Its Web site offers the results of numerous surveys including those of public attitudes toward the media’s coverage of politics and offers information trends in values and fundamental political and social attitudes. http://www.people-press.org/ 20. The Project for Excellence in Journalism is sponsored by Pew, the Columbia School of Journalism, and the Committee of Concerned Journalists. They are trying to raise the standards of journalism and are running several projects, including one on local TV news and the state of newspapers in America. This and more are available through their Web site: http://www.journalism.org/ 21. RealClearPolitics (Compendium of media coverage of American politics and government). http://www.realclearpolitics.com/ 22. Tribune Company. http://www.tribune.com/ 23. USA Today. http://www.usatoday.com/ 24. Washington Post. http://www.washingtonpost.com/ 25. The official website of the White House includes press releases and up-to-date news stories. http://www.whitehouse.gov/news/ × Return to Chapter 10: Table of Contents

Integrated Guide to the Text’s Resources (Instructor’s Resource Manual)

Chapter 11 - Political Parties Table of Contents I. Chapter Overview A. Learning Objectives B. Chapter Summary II. Student Assignments – Pre-Lecture III. Lecture Resources A. Lecture Slides B. Additional Lecture Suggestions IV. Student Assignments – Post-Lecture A. Class Discussion Questions B. Class Activities C. Research Assignments V. Quantitative Assessment VI. Resources for Further Study A. Books B. Articles C. Media D. Web Resources

I. Chapter Overview: A.

Learning Objectives

¾11.1 Analyze the functions of political parties in American politics. ¾11.2 Determine why American electoral competition is dominated by two political parties rather than multiple parties. ¾11.3 Trace the evolution of American party organizations and their expanding role in campaigns. ¾11.4 Explain how parties achieve electoral success by building and maintaining coalitions of supporters. × Return to Chapter 11: Table of Contents B.

Chapter Summary

The Function of Political Parties Political parties are organized groups that seek to gain office and exercise political power through legislation, executive action, and control of government agencies. They aim to elect officeholders who identify themselves by the group’s common label and who consider themselves to be associated with that group. “The party” usually refers to its elected officials and the individuals working for official party organizations. Nationally and in most states, political parties take an active role in identifying promising individuals and recruiting them to run for office. The party will assist the candidate with raising money, dealing with the media, identifying potential supporters, developing positions on issues, and putting together a campaign organization to contact citizens and research opponents. The Two-Party System American electoral competition is usually between two major political parties. A major party (such as the Democratic and Republican parties) has a large following, has endured over time, and is perceived to be electorally competitive by the public, potential candidates, and political observers. Electoral systems outside the United States differ. Third parties are rarely successful electorally, but may have influence in other ways, such as introducing ideas and issues into the campaign that the major-party candidates might be neglecting or avoiding. Singlemember voting districts with plurality elections favor two-party competition as does the winnertake-all system of the Electoral College. Also, legal and behavioral features of American elections reinforce two-party competition, such as anti-fusion laws, ballot access laws, and campaign finance laws. American political parties have evolved through six periods of party competition, beginning with the Federalists and the Anti-Federalists. Party Organization Political parties in the early nineteenth century did not have large, official organizations. Prominent elected officials like Governors or members of Congress usually held great sway over party activities, meeting informally in small caucuses to select party candidates. The term “party machine” describes the disciplined local party organizations that selected candidates, got out the vote, and provided benefits to supporters. The “party machine” came under attack in the Copyright © 2011, 2009, 2007 Pearson Education, Inc. All rights reserved.

twentieth century with the rise of business and the middle class. These progressive reformers introduced the primary election system, which took over control of the party’s candidate nominating process. Today, the national party organizations include the Democratic and Republican national committees and the campaign committees for each party in the House and Senate. For most Americans, the most visible activity of the national party organization is running the national party convention held every four years to select the party’s presidential nominees and to pass the party’s platform. × Return to Chapter 11: Table of Contents

II. Student Assignments – Pre-Lecture A. B. C.

Student Required Reading: Chapter 11 – Political Parties Administer Reading Comprehension Quiz (see Test Bank, Chapter 11) Chapter Test – After your students have completed their reading assignment, go over these questions with your class to identify any areas you should focus on in your lecture.

Chapter Test 1. 2. 3. 4.

How do political parties bridge the gaps between institutions in American government? In what ways do political parties bring citizens into the political process? How does use of the party label increase voter leverage over the political system? What is the general effect of single-member districts and plurality elections on the number of competitive parties? 5. How does the behavior of voters create challenges for third-party electoral success? 6. What innovations did Progressive reformers add to American politics and how did they affect political parties? 7. What are the major activities of party organizations today? 8. What are the major strategic dilemmas facing party leaders as they attempt to hold their coalition together? 9. In what ways do the policy orientations of Democrats and Republicans differ? 10. Why does the nature of coalition building sometimes frustrate those party supporters with strong ideological points of view? × Return to Chapter 11: Table of Contents

III. Lecture Resources A.

Lecture Slides

Slide 1

Slide 2

Slide 3

This chapter opens with the convention results for Bob Bennett in Utah, an incumbent Senator who lost his bid for reelection at the convention level. This is a good way to draw students in to the power of parties.

Chapter 11: Political Parties Organized groups with public followings that seek to elect office holders who identify themselves by the group’s common label, for the purpose of exercising political power

Slide 4 After Reading This Chapter, You Should Be Able To: 9 LO 11-1: Analyze the functions of political parties in American politics. 9 LO 11-2: Determine why American electoral competition is dominated by two political parties rather than multiple parties. 9 LO 11-3: Trace the evolution of American party organizations and their expanding role in campaigns. 9 LO 11-4: Explain how parties achieve electoral success by building and maintaining coalitions of supporters.

Slide 5

LO 11-1

What Do Political Parties Do? 9Fill gaps left by the Constitution. 9Recruit candidates. 9Bridge the institutions. 9Bring citizens into the process. 9The public uses parties to exert

The framers were generally fearful of political parties—Washington advised Americans to not join parties—but by the late nineteenth century, partisanship was a central aspect of Americans’ identity. The Constitution provided the basic structure for the selection of public officials, but some way had to be found to staff the offices of government and involve the public in politics. Parties filled this void.

To Learning Objectives

Slide 6

LO 11-1

What Do Political Parties Do? 9 Fill gaps left by the Constitution. 9Recruit candidates.

Political parties take a very active role in identifying promising individuals to run for office; they help people learn how to run successfully. Parties provide a ladder of opportunity up which candidates can climb. Then parties run nominees under their standard.

9 Bridge the institutions. 9 Bring citizens into the process. 9 The public uses parties to exert

To Learning Objectives

Slide 7

LO 11-1

What Do Political Parties Do? 9 Fill gaps left by the Constitution. 9 Recruit candidates. 9Bridge the institutions. 9 Bring citizens into the process. 9 The public uses parties to exert

To Learning Objectives

The Constitution divided power between institutions, making it very difficult for the members to govern efficiently. Parties bridge these gaps by providing incentives for officials to cooperate in policy-making. Unified government is a situation where the presidency and both houses of Congress are controlled by the same party. Divided government is a situation where the presidency and at least one house of Congress are controlled by different parties. Unified government does not guarantee good legislation; it increases the number of important laws enacted and reduces delay in various facets of legislative activity.

Slide 8

LO 11-1

To Learning Objectives

Slide 9

LO 11-1

A party school: Political party campaign schools teach candidates how to run for office and teach party workers and volunteers how to increase support for the party’s candidates. Jacmes Carville, one of the best-known Democratics political consultants, spoke to participants at the Georgia Democratic Party’s Grassroots Training Program.

Note that the parties provide connections that do not exist otherwise. The bond does not undermine separation of powers, but it does help governing happen.

To Learning Objectives

Slide 10

LO 11-1

What Do Political Parties Do? 9 Fill gaps left by the Constitution. 9 Recruit candidates. 9 Bridge the institutions. 9Bring citizens into the process.

Parties are self-interested bodies that need to get voters involved so they can win. Parties educate and inform voters about issues and candidates. Parties deliver people to the polls in get out the vote efforts. Parties bring new social groups into the political process, especially if they will vote for the party in question.

9 The public uses parties to exert

Slide 11

To Learning Objectives

LO 11-1

Sending out the message: Political parties use every communications technology at their disposal to get their message out to voters and create excitement about the party’s candidate and office holders. Here, the Republican National Committee promotes its party’s position, such as its opposition to the Democrats’ health care reform plan.

To Learning Objectives

Slide 12

LO 11-1

Join the party: Parties seek to enlarge their vote totals by adding new groups of supporters. Following a naturalization ceremony in Miami, representatives from both major political parties and several advocacy groups urged new citizens to register to vote.

To Learning Objectives

Slide 13

LO 11-1

What Do Political Parties Do? 9 Fill gaps left by the Constitution. 9 Recruit candidates. 9 Bridge the institutions.

Parties benefit from the attachments of the partisan identifiers—candidates know they can count on 80 to 90 percent of party loyalists’ votes. Voters can also use those party labels to signal a preference; use the case study from the beginning of the chapter to show how party loyalists held Senator Bennett accountable.

To Learning Objectives

Slide 14

LO 11-1

Political Parties do which of the following? A. Fill gaps left by the Constitution. B. Bridge the institutions. C. Bring citizens into the political process. D. All of the Above

To Learning Objectives

Slide 15

LO 11-1

Parties do which of the following? A. Fill gaps left by the Constitution. B. Bridge the institutions. C. Bring citizens into the political process. D. All of the Above

To Learning Objectives

Slide 16

LO 11-2

Why a Two-Party System? 9Third Parties Not Successful 9 Single-Member Plurality Elections 9 Winner-Take-All System 9 Features of American System 9 Alternative voting rules could help third parties. Copyright © 2011 Pearson Education, Inc. Publishing as Longman

Slide 17

To Learning Objectives

LO 11-2

Slide 18

Many Democrats accused Green Party candidate Ralph Nader of helping elect President George W. Bush by diverting votes away from Al Gore, the Democratic nominee, in 2000. Would you vote for a third-party candidate if you thought he or she had no chance to win?

To Learning Objectives

LO 11-2

A two-party system means there are two parties that are consistently the most likely to win office and gain power. Throughout history, there have always been two major parties competing—not always the same ones—the Federalists, Democratic-Republicans, and the Whigs died out. This means that third parties are generally not successful in winning—but they can be very influential in other ways. Third parties introduce ideas and issues into the campaign that the major-party candidates might neglect or avoid. Third parties may also alter the outcome when they take voters away from a major party.

Note that the percentage of independent candidates running has increased in recent years.

To Learning Objectives

Slide 19

LO 11-2

Why a Two-Party System? 9 Third Parties Not Successful 9Single-Member Plurality Elections 9 Winner-Take-All System 9 Features of American System 9 Alternative voting rules could help third parties. Copyright © 2011 Pearson Education, Inc. Publishing as Longman

To Learning Objectives

Slide 20

LO 11-2

Why a Two-Party System?

There is no constitutional requirement for two parties, but the system is designed to create them. Single-member districts are those in which only one person is elected to represent the district, and plurality elections mean that the candidate can win without a majority of the vote. Single-member, simple-plurality elections lead to two-party systems. Nations that have significant third parties generally have proportional representation – an election system in which candidates are elected from multimember districts, with the party’s share of seats from a district being roughly proportional to their share of the vote. Another possible reason for the two-party system is that debates from the beginning of the country tended to feature two competing views: those for bigger government and those for smaller government. The parties have aligned along that cleavage; there is not much room for other parties. Presidential elections pose a challenge to third parties because all states allocate their electoral votes on a winner-take-all system—whoever wins the plurality gets all the state’s electoral votes.

9 Third Parties Not Successful 9 Single-Member Plurality Elections 9Winner-Take-All System 9 Features of American System 9 Alternative voting rules could help third parties. Copyright © 2011 Pearson Education, Inc. Publishing as Longman

Slide 21

To Learning Objectives

LO 11-2

Looking for a legislative majority: German elections follow a two-part mixed proportional representation procedure, in which voters select a specific party candidate who will represent a district and separately vote for a party, which also results in seats being awarded to a party. The overall distribution of seats is proportional to the party vote results. Here, Chancellor Angela Merkel, head of the Christian Democratic Union, confers with Guido Westerwelle, leader of the Free Democratic Party, over the terms for their parties to create a ruling coalition after the 2009 election.

To Learning Objectives

Slide 22

LO 11-2

Why a Two-Party System? 9 Third Parties Not Successful 9 Single-Member Plurality Elections 9 Winner-Take-All System 9Features of American System 9 Alternative voting rules could help third parties. Copyright © 2011 Pearson Education, Inc. Publishing as Longman

To Learning Objectives

Slide 23

LO 11-2

This table shows the third-party candidates in the twentieth century who were at all successful. These are in order rather by the candidates’ levels of support rather than chronological order—explore the differences chronologically—it was easier to get electoral votes earlier in the century, before winner-take-all rules were enforced. Second, note how much of the popular vote a candidate could get and still receive no Electoral College votes.

To Learning Objectives

Slide 25

LO 11-2

Why a Two-Party System? 9 Third Parties Not Successful 9 Single-Member Plurality Elections 9 Winner-Take-All System 9 Features of American System 9Alternative voting rules could help third parties. Copyright © 2011 Pearson Education, Inc. Publishing as Longman

Fusion ballot: New York State allows fusion, also known as cross-filing, in which a candidate can appear on a ballot separately on more than one party’s nominee. Advocates of their parties hope fusion ballots will make voters comfortable with third-party candidates and that victorious candidates will realize they earned some of their votes as the nominee of a third party.

To Learning Objectives

Slide 24

The American system also has features that encourage a two-party system. First, states have anti-fusion laws, which means that candidates cannot run on two labels. Second, states make rules for ballot access. There are a number of hurdles a party must clear to be able to even be on the ballot. Third, third-party candidates do not generally get even close to the amount of money the major parties do. Finally, the rest of the system (voters, media, candidates) respond to the incentives created and tend toward two-party politics. People do not want to “waste” a vote, and thus will vote for a major party.

If the rules were different, third parties might be more successful. Some changes could be made without wholesale changes to the Constitution. Preference voting would involve voters ranking their candidate choices. They could support a thirdparty candidate without “wasting” the vote. Approval voting would involve voters to indicate all the candidates they approve—whoever receives the most votes would win. Again, people could approve without “wasting” votes.

To Learning Objectives

Slide 26

LO 11-2

Instant runoff voting ballot: Instant runoff voting has voters rank their preferences. If your topranked candidate finishes last in the first round of voting, your vote is reallocated to your second choice. This procedure continues until one candidate has received a majority of the votes. The city of Gary, North Carolina, used this sample ballot to help voters become acquainted with IRV. Should more cities and states be encouraged to adopt IRV?

To Learning Objectives

Slide 27

LO 11-2

Which third-party candidate won in the Electoral College? A. Teddy Roosevelt B. Ross Perot C. George Wallace D. None of the Above

To Learning Objectives

Slide 28

LO 11-2

Which third-party candidate won in the Electoral College? A. Teddy Roosevelt B. Ross Perot C. George Wallace D. None of the Above

Slide 29

To Learning Objectives

LO 11-3

Party Organization 9Early Parties 9 Progressive Reforms 9 Modern Party Organizations 9state 9national

Parties in the early nineteenth century were very informal; they did not have large official organizations. During the nineteenth century, parties transformed into party machines, disciplined local party organizations that selected candidates, got out the vote, provided benefits to supporters, and served as social service agencies. These party machines were headed by party bosses who used patronage to get people to vote for the party consistently.

To Learning Objectives

Slide 30

LO 11-3

Party Organization

Slide 31

At the turn of the twentieth century, the Progressive movement took on the party machines and worked to transform politics. Local reforms included nonpartisan elections, citywide elections to city councils, separate and appointed governing districts for services such as water, transportation, and schooling, and the hiring of city managers. Statewide reforms included personal registration requirements for voting, primary elections to choose nominees, increased use of nonelected boards, and commissions to make public policy.

To Learning Objectives

LO 11-3

Party Organization

9 Early Parties 9 Progressive Reforms

A new federalism of parties is now in place—the national party organizations differ in how they work with their state party organizations. Republicans tend to leave the states more alone, while the Democrats tend to have more directives to the states.

Slide 32

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LO 11-3

Party Organization

9 Early Parties 9 Progressive Reforms

State organizations began to challenge Progressive reforms by saying that they were private groups, and thus were entitled to their own rules—and since the 1980s, the Supreme Court has agreed. States thus began to become more competitive and energized.

Slide 33

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LO 11-3

Party Organization

National party organizations include the national committees and campaign committees for each party in the House and Senate. Both parties have modernized their structure and become more active in presidential elections. The national party convention is a meeting held over several days at which delegates select the party’s presidential nominee, approve the party platform (a document expressing the principles, beliefs and policy positions of the party), and consider changes in party rules and policies.

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Slide 34

LO 11-3

Which of the following was not a Progressive reform? A. Nonpartisan Elections B. City Managers C. Campaign Finance Reform D. Primary Elections

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LO 11-3

Which of the following was not a Progressive reform? A. Nonpartisan Elections B. City Managers C. Campaign Finance Reform

D. Primary Elections

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Slide 36

LO 11-4

Party Coalitions 9Dynamic, Not Static 9 6 Periods of Competition 9 New Deal Coalition 9 Reagan’s Coalition 9 Significant Differences between Policy Positions Copyright © 2011 Pearson Education, Inc. Publishing as Longman

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Winning an election typically means garnering more than 50 percent of the vote; parties build coalitions to get to that 50 percent. The larger the party, the more interests it is likely to cover—and the more likely that they cannot reside peacefully under one party umbrella. Coalitions tend to come together in a wave of optimism, but coalitions split very easily. There are several factors preventing a party from serving all parts of its coalition equally. First, a group might be so loyal that it finds itself ignored, as there is no possibility it will switch parties. Second, one group may clash with another group in the coalition—when this happens, someone is always disappointed. Third, the mix of voters will change over time, and thus the group may become a smaller share of the party’s coalition. Finally, if a party loses an election because of one group’s success in the coalition, the party will adjust.

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LO 11-4

Party Coalitions 9 Dynamic, Not Static 96 Periods of Competition 9 New Deal Coalition 9 Reagan’s Coalition 9 Significant Differences between Policy Positions Copyright © 2011 Pearson Education, Inc. Publishing as Longman

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LO 11-4

Party Coalitions 9 Dynamic, Not Static 9 6 Periods of Competition 9New Deal Coalition 9 Reagan’s Coalition 9 Significant Differences between Policy Positions Copyright © 2011 Pearson Education, Inc. Publishing as Longman

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Slide 39

LO 11-4

Party Coalitions 9 Dynamic, Not Static 9 6 Periods of Competition 9 New Deal Coalition 9Reagan’s Coalition 9 Significant Differences between Policy Positions Copyright © 2011 Pearson Education, Inc. Publishing as Longman

To Learning Objectives

Since 1789, political scientists have identified six periods of party competition (split by electoral realignments); a shift in the composition of the party coalitions that produces a new, relatively durable pattern of party competition. The first was from 1801–1828: Federalist v Democratic Republicans. Second was 1829–1860: Democrats v Whigs. Third was 1861–1896: Democrats v Republicans. Fourth was 1897–1932: Democrats v Republicans (Republicans look different). Fifth was 1932–1969: Democrats v Republicans (Democrats look different). Sixth was 1969–2010: Democrats v Republicans (divided government is the norm). The New Deal coalition organized under FDR dominated electoral politics for over forty years in the middle of the twentieth century—it was very resilient. The coalition included Southern whites, agricultural workers, unionized labor, lower- to lower-middle-income voters, big city public officials, ethnic group supporters, Catholics and Jews, and industries happy with free trade. The coalition shifted in the 1960s, when the Democrats championed civil rights—Southern whites left the party. After 1968, upper-middleclass professionals also became a larger share of the coalition. Reagan built a coalition in 1980 that brought the Republicans back to parity with Democrats. Reagan encouraged new identities for groups—so that Americans didn’t see government as doing so much for them, but instead saw themselves as shouldering the burden of government. Democrats left the party and became Reagan Democrats; white southerners, conservative Christians, and businesses frustrated by high taxes all moved. The sixty party system has been one of dealignment more than realignment—voters are splitting tickets and feeling less attachment to the parties. While many felt that Obama’s victory was the next realignment, the election of 2010 changed that assessment.

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LO 11-4

Party Coalitions 9 Dynamic, Not Static 9 6 Periods of Competition 9 New Deal Coalition 9 Reagan’s Coalition 9Significant Differences between Policy Positions Copyright © 2011 Pearson Education, Inc. Publishing as Longman

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Slide 41

LO 11-4

Slide 43

This is a good chart to use when talking about Reagan’s coalition. Look at who voted for Bush— the biggest gaps are the most partisan loyalists.

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Slide 42

LO 11-4

The two major parties have significant differences in their stands on public policy—different alliances of groups are in each coalition. They have an incentive to maintain the ideological distance between them. Also, within states, parties may shift their stances—for example, Republicans in the northeast may look more like Democrats in Texas. Also, each party “owns” issues that voters tend to think the party does better on—other issues bounce back and forth. Talk about the feature: Are we polarized? The “America the Purple” map is a great way of talking about how close election competitions can be at the county level—which belies the more traditional red/blue state map.

When you compare the previous chart with this one analyzing Obama’s victory, you see the differences between the Republicans and Democrats.

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LO 11-4

The sixth party system has been one dominated by ____. A. Republicans B. Democrats C. Third Parties D. Dealignment

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Slide 44

LO 11-4

The sixth party system has been one dominated by ____. A. Republicans B. Democrats C. Third Parties D. Dealignment

Slide 45

Text and Art Credits

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Photo Credits

Å Back to Learning Objectives

× Return to Chapter 11: Table of Contents

Additional Lecture Suggestions

¾11.1 Analyze the functions of political parties in American politics • •

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Explain how the party caucus works and how it is different from a primary. The election of Andrew Jackson in 1828 consolidated the movement toward increased participation of the average citizen and the birth of popular democracy. Voter turnout doubled from the previous election, pointing to the increased political participation of the average citizen. OLD-FASHIONED REVIVAL: Contact the political party leaders in your city. Arrange for one representative of each political party (possibly including third parties) to attend class and answer your questions regarding where the party stands on the issues of the day. At the start of class, have students rearrange themselves in the classroom based on their partisan political viewpoint (strong Democrats on one side, strong Republicans on the other, undecided in the middle). Encourage crowd participation during the session. Then at the end of the session, ask if anyone wants to move from their current position. Describe political party power as it exists today. Describe the factors necessary for a major party to be overtaken by a minor party. Describe the reasons the Founding Fathers considered political parties a threat to government. Political parties influence many areas of American life. In this chapter we explore the extent to which political parties create a more efficient election process and pathway for change. The development of political parties over the course of American history is also explored. We also consider the role of the American public in this two-party system and to what extent the public can influence political leaders. Political parties bring together people with similar goals and values in hopes of making elections a more effective way to bring about the changes that they desire. There are several ways to define what a political party is. The pragmatic party model states that parties form to support a candidate under that party’s name in hopes of gaining control of the government. The responsible party model runs candidates in hopes of influencing public policy during the election. Political parties differ from interest groups in that they run candidates under their own party name, they advocate a variety of positions known as a platform, and they are restricted by laws and regulations. Functions of political parties are split into two types: overt (visible and measurable) and latent (functions we hope that they will provide). Parties organize the election process by selecting nominees and helping the public to make informed decisions. Parties will also often recruit, screen, and help potential candidates. Political parties seek to raise public engagement and educate the public about their candidates. Finally, they help to bring organization to a complex government, ensure the accountability of its members, and hold social functions. Politicians elected under the same political banner fall under the group of party-ingovernment. Politicians are further divided by the branch of government in which they serve. Most elected officials will vote with their parties. This has created an increasingly polarized Congress, which some fear will make moderate policies harder to achieve, while others believe this simply gives voters an easier choice on Election Day.

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Average citizens become part of the party-in-the-electorate when they claim an affiliation with a political party. Straight ticket voters are those who always vote for the same party. Split ticket or swing voters change their allegiances from election to election. Still others claim no allegiance and are considered independents. Some people measure PIE by those who are officially registered in a specific party and take part in primaries or party activities. Explain why many political analysts are advocating the responsible party model. Name and describe the five basic functions performed by political parties Contrast the responsible party model with the realities of American political parties. List the four conditions that advocates of the responsible party model believe the parties should meet. Compare and contrast how parties actually operate. Discuss why political parties have played a central role in American politics.

¾11.2 Determine why American electoral competition is dominated by two political parties rather than multiple parties •

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Are the two major parties different? The answer is yes and no. Frank Sorauf , in Party Politics in America, divided the two major national parties into three groups: party in electorate, party in organization, and party in government. The party in electorate for the two major parties does not differ that much. The party in organization and party in government for each major party do differ. This can be clearly seen from studies of the views of delegates attending the national conventions (party in organization) and the views of those holding public office (party in government). Perhaps the most recognized document that distinguishes the parties from each other is the party platform, drafted every four years. Finally, for those who believe that party platforms were made to be broken, Gerald Pomper’s study of platforms showed that what a party says it believes in matters. He examined the major party platforms from 1944 to 1976 and concluded that about two-thirds of platform pledges are carried out. Third Parties: Though many political scientists claim they are needed to serve as a check and balance on the two-party system, there have been many reasons for their failure at the ballot box. Besides the historical dualism and political culture, which advances the two-party system, institutional barriers play a significant role in hindering the success of these political vehicles at the local, state, and federal levels. They are as follows: ballot access requirements federal financing of campaigns single-member, winner-take-all electoral districts biased media coverage issue co-opting the electoral college Here is a good opportunity to discuss Perot’s 1992 and 1996 campaigns, as well as Ralph Nader’s 2000/2004 Green Party/Independent presidential pursuits Maybe George Wallace was right when he called the Republican and Democratic parties “Tweedledee and Tweedledum.” Regardless, third parties raise issues and offer voters an additional selection at the ballot box - if they are fortunate enough to get on the ballot! Emphasize to students who complain about having “no choice” that too many choices can also be a problem. Copyright © 2011, 2009, 2007 Pearson Education, Inc. All rights reserved.

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Ask students if they would favor eliminating primaries and turning over complete control of nominations to the parties. Ask about other ways of nominating candidates. Ask whether the moderate nature of the two parties is a reflection of the political culture of the United States. Realignment occurs when a large number of voters do not return to their party in the next election. This theory is a tool that can help measure the importance of specific elections and help to define specific periods in U.S. history. There are some holes in the theory, as Republican presidents serve during Democrat periods and vice versa. In contrast, the theory of dealignment has been proposed, stating that we are moving away from political parties entirely. Institutional barriers are restrictions imposed by law. The Electoral College is another barrier to success. Candidates need to win the entire state; they receive nothing even if they gain forty-eight percent of the vote. People are also afraid to vote for a minor party candidate because they fear their vote will no longer count. Minor parties are not a waste of time. They help to shape policy and bring more people into the political arena. Support for these parties is on the rise. The two major parties generally adhere to policies in the center of the political spectrum and push for only minor change. Some view the two parties as virtually identical, but they differ greatly on opinions concerning policy issues. Approximately fifty percent of states hold closed primaries in which only people registered in the party are allowed to vote. The remaining states hold open primaries in which people without party membership are allowed to vote. Delegates are selected to represent political parties at a national nominating convention, where a party platform is established and the potential candidates are debated until the final candidate is selected. Political parties are an essential part of the American political system. Every democracy functions through the use of political parties. We must consider what role these parties will play in the future and how they will influence the American public and policy in the years to come. Differentiate between plurality elections and proportional representation. Cite two examples of “winner-take-all election” from recent history. List and describe three different sets of laws that affect third party candidates. Describe two different proposed voting changes that may help third party candidates. Explain the relative success of political parties over time. Explain the role of third parties in the United States and explain why they do not flourish in the United States. Describe how political parties have become more involved at the following levels: State level Federal level Together at both levels

¾11.3 Trace the evolution of American party organizations and their expanding role in campaigns • •

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Political parties have changed as time has passed, but they have been around and have been evolving since the beginning of American politics. Early leaders feared the emergence of political parties. Early parties included the Federalists, who wanted a strong national government, and the Jeffersonians (known as DemocraticRepublicans), who feared a strong national government. The War of 1812 temporarily ended party politics and brought about the Era of Good Feelings, which lasted from 1815–1824. The electoral deadlock of 1824, which many believed ended with a corrupt bargain, ended this era. The corrupt bargain sparked the emergence of a new political party known as the Whigs. The Democratic Party formed out of the former National Republican Party. These parties asked the average citizen to take an active role in political life. Political parties avoided the issue of slavery until the formation of the Republican Party in 1854. At the close of the Civil War, the Republican Party was identified with industrial interests in the Northeast, and the Democrats were aligned with white southerners. Many thought that political parties were fading, but they adapted and began to regain strength. Parties increased services to candidates, such as computerized direct-mail operations, in-house television and radio production studios, and polling operations. Increased services required corresponding growth in resources. The shift from political bosses to direct selection of candidates is a step in the right direction, but it still does not necessarily reflect the desires of the average citizen. Candidates spend a great amount of time attempting to engage and influence the public. Name the five major political parties that have evolved over time. Explain how third parties have influenced elections. Describe how political parties evolved over the following time periods: 1800–1828 1828–1860 1860–1896 1896–1932 Describe how the New Deal allowed the Democratic Party to dominate for forty years. Explain how “the party machine” operated. List the chief differences over public policy. Name and describe four reforms that occurred during the Progressive Era. List and describe the seven major epochs of the history of American political parties, noting party precedents set and the change in dominant political coalitions. Create a family tree of political parties, starting with the Federalists and Democratic Republicans up to the present. Account for the decline in party power in the twentieth century. Give a brief historical account of alternative methods of selecting party nominees (caucus, convention, primary). Explain why the Democrats altered their nomination system after 1968.

¾11.4 Explain how parties achieve electoral success by building and maintaining coalitions of supporters • • • • • •

How to select which candidate should run is a very controversial issue. Voter choices are limited by election day, and write-in candidates rarely win. Direct primary elections in which the average citizen votes are used nowadays to narrow the field of candidates. Describe how Republicans and Democrats differ over policy issues at the national level. Cite three examples of how political ideology when combined with region of the country affects public policy differences at the national party level. Explain why party coalitions are politically difficult to maintain and manage. Explain how successful party coalitions are broad and diverse as well as dynamic and not static. Cite an example to substantiate this statement. Prepare a Venn diagram showing where Democrats and Republicans differ and where they agree.

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IV. Student Assignments – Post-Lecture A.

Class Discussion Questions

¾11.1 Analyze the functions of political parties in American politics • • • •

What are the functions of a political party? How can voters use the party label to increase their leverage over public officials? What tasks should political parties perform if they are to serve as effective linkage institutions? How do political parties serve to organize differing interests and opinions?

¾11.2 Determine why American electoral competition is dominated by two political parties rather than multiple parties • • • • • • • • • • • • •

Have students debate the desirability of the two-party system. You can frame it in a variety of ways: as a proposal for proportional representation; as a statement about third parties and how they show the “bankruptcy” of the current American system; etc. Discuss why the idea of “loyal opposition” is vital to democratic theory. Describe the role of third parties today. What events would have to occur for a new third party to develop in the near future? How would you characterize the success of the Reform Party? Given the relatively clear alignments of interest groups with either of the two major political parties, what action in society could cause major dealignment? The Libertarian Party regularly gathers some national support. It wins many local and state level elections and is viewed as the fastest growing third party alternative today. What could it do to increase its possibilities for national election successes? Why do Americans favor a divided party government? What are the advantages to this type of government? What are the disadvantages? Is a divided party government more effective than a government with one party in charge of both the executive and legislative branches? Describe a typical member of the Democratic Party and of the Republican Party. Which of these members are more likely to vote for the other party and why? Should self-nominated candidates such as Ross Perot have to meet current third-party criteria to run, or should third-party candidates be automatically included elections? Why? With the party-in-government holding major influence over the lawmaking process, what is the role of the minority party? What should it be? What is the role of the “shadow cabinet” in parliamentary systems? Compare and contrast the activities of national and state political parties with those of presidential and congressional campaigns, particularly in light of the recent 2008 elections. Are the Iowa caucuses and the New Hampshire primary good early tests of potential presidential nominees? Where should the process start? Why have third parties generally not been successful in the United States? How have the nature and function of American political parties changed over the course of American history?

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Party machines are often viewed as having a negative impact on politics. Do you think the current models of these “machines” are negative or positive? Why? Should the political system create a pathway to help third parties gain momentum? Is the United States is a true democracy in light of having just two strong political parties? Discuss the following quote from Kurt Vonnegut, Jr.: “The two real political parties in America are the Winners and the Losers. The people don’t acknowledge this. They claim membership in two imaginary parties, the Republicans and the Democrats, instead.” What recent third parties have helped to bring about policy changes? What role does government distrust play in the rise and organization of third parties? Do the Republican and Democratic parties have vastly different ideologies? How would a candidate who is not even on the ballot gain support? Do write-in candidates have any chance at success? Is the two-party system still relevant? How is the responsible party model benefiting political parties? One proposal for reform of the party system has been to return to a ballot system by which voters could easily vote for a single party instead of voting for each office separately - by marking a party circle on the ballot or, in effect, pulling a single-party lever. Ask your students to consider the ramifications of this proposal. Would this move be likely to enhance or diminish democracy? The structural “rules of the game” in American politics include single, plurality, winner-takeall district elections, encourages a two-party system and makes it almost impossible for a minor or third party to win. Have the class discuss whether proportional representation electoral rules (at least in the House of Representatives and state legislatures), which would create a multiparty system, would improve politics and democracy in the United States. What are the three basic varieties of third parties?

¾11.3 Trace the evolution of American party organizations and their expanding role in campaigns • • • • • • • • • • •

Should political party affiliation matter when voters are electing a county treasurer? How about a county sheriff? How much difference do you think there is between Democrats and Republicans on the issues that matter to you? Do you feel that the major political parties are gaining or losing strength? Did partisan politics work better back in the days of the “smoke-filled rooms”? Has party reform come at too high a cost? How is the Reform Party different from other third parties of the past? How is it similar? How are the two largest American political parties organized? What role do the two major political parties play in American government and politics? Hold a discussion on the role of the national platform or, using discussion, compare and contrast the Republican and Democratic platforms. Why did Jackson begin the nomination convention? Was this an improvement over the former system? Explain your answer. What issues should define political parties for the twenty-first century? Which model of political parties is most accurate? Why? Copyright © 2011, 2009, 2007 Pearson Education, Inc. All rights reserved.

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Have you ever considered the complex nature of political parties? Why is it so hard to define political parties? Why do most political leaders vote with their party on every issue? Is this a positive or negative thing? How have party unity scores changed since the 1950s? Which group seems most likely to diverge from their party? Is there any apparent trend in unanimous voting by parties? What are the benefits of aligning with a political party? How influential are swing votes in the presidential election? Why was the organization of strong political parties feared by many of the Founding Fathers?

¾11.4 Explain how parties achieve electoral success by building and maintaining coalitions of supporters • • • • • • • • •

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Ask students to discuss the idea of a national primary on one day, or the idea of four regional primaries that would rotate in order every four years, as ways to cut back on the amount of time and money spent campaigning for presidential nominations. Discuss the proposition that, even today, the parties are little more than coalitions of special interest groups. Using the capital gains tax, discuss the differences between the Democratic and Republican parties over the role of government in the economy. Discuss whether candidates’ emphasis on “feel good” issues—leadership, competence, and values—detracts from substantive issues such as the deficit, crime, and poverty. Would you like to see the United States without political parties? Why or why not? To what extent is the party platform developed at the conventions? How would candidates be able to better address the issues of the average American citizen? What role should political parties have in the future of American politics? For an interesting class discussion, first ask students whether there is any difference between Republicans and Democrats. Then repeat the question, focusing on specific political issues (e.g., abortion, obscenity, environment, tax policy) and which social groups identify with each party. Do GOTV methods result in more votes? What groups show the strongest support for Democrats? Republicans? Many Americans today are skeptical about politicians and political parties, and remain uncertain about the relationship between parties and democracy. Divide the class into panels to debate the democratic and undemocratic aspects of political parties. Conclude the debate with a discussion of why Americans have become so skeptical of—and in some cases alienated from—political parties. The rise of independent voters has eroded to some extent the Democratic majority. How do you account for this trend? How do candidate-centered campaigns, the primary system, and the media work against the power of parties? How did Ronald Reagan help the Republican Party to acquire power in the 1980s?

× Return to Chapter 11: Table of Contents

Class Activities

¾11.1 Analyze the functions of political parties in American politics •

Create a list of at least five functions you think political parties should be carrying out.

¾11.2 Determine why American electoral competition is dominated by two political parties rather than multiple parties •

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Break the class into groups of three or four students and have them devise a new third party that they believe could have success, given current political attitudes. They should choose a name, choose candidates for some offices, and write up a platform of issues to present to the class. Do the groups come up with similar parties? Discuss widely. Create a strategy to win the “invisible primary.” Give students a timeline for the previous or upcoming presidential primary season. Include the dates for state caucuses and primaries, as well as scheduled debates or major campaign events at which all party candidates are likely to appear. Divide students into groups representing a single candidate. If there are competitive primaries in both parties, be sure to simulate the invisible primary for both Democratic and Republican candidates. Have each group craft a strategy to win the invisible primary. Remind students that their plans can or should include campaign finance/spending strategy, media strategy, skipping state primaries, announcing new policy proposals, etc. Play out the timeline in class by having each group explain what they would do and when they would do it. Be sure to point out any strategies that have been particularly successful during previous primary campaigns. Have students compare the two major parties’ stands on issues with those of the Green Party and/or the Libertarian party.

¾11.3 Trace the evolution of American party organizations and their expanding role in campaigns • • •

Stage a debate about the nature of the political machine in American party politics. One side will argue that machine politics were a positive force in party development; the other will argue the opposite. Create your own political party platform and have fellow classmates vote on acceptance of its provisions. Ask students to describe what they think each party stands for, and compile a list of party images.

¾11.4 Explain how parties achieve electoral success by building and maintaining coalitions of supporters •

As instructor, identify two questions that will, in all probability, allow for the identification each student’s likely political party affiliation. With the two questions—which may be developed by students through discussion—try to identify volunteers’ party affiliations, which they should write down before answering the questions. Possible questions: What level of education did your parents complete? Copyright © 2011, 2009, 2007 Pearson Education, Inc. All rights reserved.

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How many formal social, political, economic groups do your parents actively participate in? Collect two political cartoons that make fun of the Republican and Democratic parties. Explain the historical context of the cartoons and indicate whether or not the image in the cartoon is still accurate about the parties today. Have them craft the four commercials and explain why they further the interests of their party. Have members of your class develop a questionnaire to distribute to your class, and to other classes as well. This survey will ask the respondents to identify themselves as to partisanship (Strong Democrat, Weak Democrat, Independent-Leaning Democrat, Independent, Independent-Leaning Republican, Weak Republican, Strong Republican). The results can be compared with national and state figures. Other items can be added to the questionnaire, such as unidentified excerpts from the parties’ 2004 and 2008 platforms. It would be interesting to determine the extent to which programmatic preference corresponds to partisanship. To reinforce the lecture material, have students debate the reasons why parties have declined in popularity. In particular, have them draw comparisons between the benefits of membership in an interest group versus the benefits of membership in a political party. Have the students write an essay on the role of the increasing Latino population in America and the response by the political parties. In the 2004 election both parties targeted this large segment of the American population. Some argue that the Republicans are slowly winning the support of Latinos. Others argue Latinos will remain a strong voting block in the Democratic Party. Which is more likely to be the case in future elections, and why? Which issue positions is each party likely to promote in order to appeal to Latinos? Ironically, soft money contributions were meant to strengthen party activities at the grassroots – and yet in practice were a source of abuse and legal loopholes. Nevertheless, have your students assess whether the ban on soft money will in fact further weaken the political parties and strengthen interest groups, as some critics have suggested.

× Return to Chapter 11: Table of Contents

Research Assignments

¾11.2 Determine why American electoral competition is dominated by two political parties rather than multiple parties •

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Conduct research on the Web to find and summarize the party platform of a lesser known party: The Communist Party, the Constitutional Action Party, the Green Party USA, the Libertarian Party, or the Reform Party. Then share this information in class and make comparisons to the two dominant parties. Have students write a research paper on the Prohibition Party, as an example of an issue party. Use the Internet to locate political party platforms for the last three presidential elections. Compare the Democratic and Republican party platforms for that period, review the major issues for each campaign year (as reflected in the platforms), and analyze the differences and similarities between the two parties. Are there any topics that appeared on the platforms in all three years? If so, were the parties consistent or inconsistent in their approaches? Compare and contrast political party activity in the American presidential system with those in a parliamentary system such as Great Britain. Congress currently has a small number of independent members. Assign students to do some research to determine whether their independent status truly makes them different from the Democrats and Republicans. What kinds of compromises must an independent member of Congress make? How about independent governors? What can this tell us about the role of parties? Using the Internet, find the official home page for the following third parties: the Green Party, the Libertarian Party, and the Prohibition Party. Using the knowledge of third parties gained in this chapter, explain what purpose and function these parties serve. Contact your Board of Elections and find out the steps that a third party candidate must take to get on the ballot. Compare this with the requirements for established parties. What do your findings tell you about the barriers third parties face?

¾11.3 Trace the evolution of American party organizations and their expanding role in campaigns • •

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Have students write research papers on how primaries work in their own state. Have students use the Internet to look up state party organizations in three states that have the potential to be different from one another (for example a Southern state, a New England state, and a Western state). Have them compare the Democratic and Republican parties from these states on a variety of indicators including issue positions, platforms, and organization. Are they different? How and why? Have students use the Internet to research the Republican and Democratic stands on various issues or have them compare and contrast the platforms. Also, ask them to compare the major party stands with those of some of the larger minor parties. Another option would be to have students look beyond the hot button/wedge issues and compare the more mundane issues of governance. Are the party differences as pronounced? Visit the websites of the Democratic and Republican parties. http://www.democrats.org/ Copyright © 2011, 2009, 2007 Pearson Education, Inc. All rights reserved.

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http://www.gop.com/ Compare and contrast the setup of each website. What do you think the most important factors are on each website? Investigate the party system of Canada. Try to identify the major features of the political parties in the system in terms of the party-in-the-electorate, the party as organization, and the party-in-government. Briefly describe what you found in comparison to the two-party system in the United States. Find copies of the most recent national platforms for the two major parties. Compare them on a variety of issues. Next, look at public opinion polls to see how the party positions correspond to those of average Americans. What do you find? Why do you think that is the case? Use the Internet to research, compare, and contrast the views of neoconservatives and neoliberals.

¾11.4 Explain how parties achieve electoral success by building and maintaining coalitions of supporters •

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For a reading and writing connection, give students a research assignment where they compare and contrast the role of the parties and their platforms in the 2000 and 2004 elections and in the 1948 election of Harry S Truman. In particular, ask students to pay special attention to how media, especially television, were used to promote party goals. Because television was still very new in 1948 and was used strategically in 1996 and 1998, the comparisons should result in starkly different images of parties. In addition, students should see the difference between party-centered and candidate-centered campaigns. Have students look up the party unity scores of their representatives in Congress and compare them with the scores of other members in the same party. Visit your local political party office, whether it is Democrat or Republican. Investigate key issues or platforms that the party is advocating. Interview the county official for the party. Discuss such issues as history of the local party, major policy programs, elected officials, etc. Evaluate the strength of the party’s relationship to the overall demographics of the community/county. If possible contact the state political parties in your area. Determine how they differ from those that you visited with at the local level. Visit their Web sites. Identify the organizational structure of the party. Determine key public policy issues and the platform statements. Attend a meeting of the political party. Interview an official at the state level and discuss key issues. Generate a party platform for your generation. Have students conduct a series of focus groups across campus. The focus group discussions should be designed to discover what students think about the major political parties. Discussion may extend to satisfaction with each party’s current leadership, ideological platform, policy agenda, etc. Have students direct the focus group to a discussion of what the major parties could do to appeal to younger voters. Ask students to distill their findings into a memo that can be sent to state and local party organizations. If your classes are small, give students an assignment to contact a local party official (such as a party county chairman) from either the Democratic or Republican Party. Students could interview a party official on how to get involved in local campaigns and elections. If it is an election year, they could participate at least in a minimal way, such as distributing literature Copyright © 2011, 2009, 2007 Pearson Education, Inc. All rights reserved.

or working for a local candidate. Students should write a description of their experiences and include it in their journals. This would also be a good class discussion topic on a continuing basis. × Return to Chapter 11: Table of Contents

V. Quantitative Assessment Administer Chapter Exam (see Test Bank, Chapter 11) × Return to Chapter 11: Table of Contents

VI. Resources for Further Study A.

Books

1. Adkins, R. E., (Ed.) (2008). The evolution of political parties, campaigns, and elections: Landmark documents from 1787–2008. Washington, DC: Congressional Quarterly Press. 2. Aldrich, J. H. (1995). Why parties?: The origin and transformation of political parties in America. Chicago: University of Chicago Press. 3. Ali, O. H., & Foner, E. (2008). In the balance of power: Independent black politics and third-party movements in the United States. Athens: Ohio University Press. 4. Barr, K. (2000). Reinventing democrats. Lawrence: University Press of Kansas. 5. Beck, P. A., & Sorauf, F. (2002). Party politics in America (10th ed.). New York: Pearson Longman. 6. Benjamin, F. (2004). You know you’re a republican/democrat if…. Naperville: Sourcebooks, Inc. 7. Bibby, J. F. (2002). Politics, parties, and elections in America (5th ed.). Belmont: Wadsworth. 8. Bibby, J. F., & Maisel, L. S. (2002). Two parties—or more?: The American party system. Boulder: Westview Press. 9. Blevins, D. (2006). American political parties in the 21st century. Jefferson: McFarland & Company 10. Broder, D. (1972). The party’s over. New York: Harper & Row. 11. Cohen, J. E., Fleisher, R., & Kantor, P. (Eds.). (2001). American political parties: Decline or resurgence? Washington, DC: Congressional Quarterly Press. 12. Cox, G. W. (1997). Making votes count: Strategic coordination in the world’s electoral system. New York: Cambridge University Press. 13. Dangerfield, G. (1952). The era of good feelings. New York: Harcourt, Brace & Company, Inc 14. Dangerfield, G. (1965). The awakening of American nationalism, 1815–1828. New York: Harper & Row. 15. Diamond, L., & Gunther, R. (Eds.). (2001). Political parties and democracy. Baltimore: Johns Hopkins University Press. Copyright © 2011, 2009, 2007 Pearson Education, Inc. All rights reserved.

16. Edwards, M. (2008). Reclaiming conservativism: How a great American political movement got lost – and how it can find its way back. New York: Oxford University Press. 17. Epstein, L. D. (1986). Political parties in the American mold. Madison: University of Wisconsin Press. 18. Feinberg, B. S. (1995). Electing the president. New York: Twenty-First Century Books. 19. Fiorina, M. P., Abrams, S. J., & Pope, J. C. (2006). Culture war?: The myth of a polarized America. New York: Pearson Longman. 20. Fleischman, J. L. (1982). The future of American political parties. Englewood Cliffs: Prentice Hall. 21. Gillespie, J. D. (1993). Politics at the periphery: Third parties in two-party America. Columbia: University of South Carolina Press. 22. Goodman, S. (2008). See how they run: Campaigns, dreams, election schemes and the race to the white house. New York: Bloomsbury USA. 23. Green, D., Palmquist, B., & Schickler, E. (2004). Partisan hearts and minds: Political parties and the Social Identities of Voters. New Haven: Yale University Press. 24. Green, J. C., & Shea, D. M. (2007). The state of the parties (5th ed.). Lanham: Rowman & Littlefield. 25. Greenberg, S. B. (2004). The two Americas: Our current political deadlock and how to break it. New York: St. Martin’s Press. 26. Hershey, M. R. (2009). Party politics in America (13th ed.). New York: Pearson Longman. 27. Kamieniecki, S. (1985). Party identification, political behavior, and the American electorate. Westport: Greenwood Press. 28. Keefe, W. J. (2006). Parties, politics, and public policy in America (10th ed.). Washington, DC: Congressional Quarterly Press. 29. Killian, L. (1999). The freshman: What happened to the republican revolution? Boulder: Westview Press. 30. Kimberling, J. F. (2004). What this country needs: A new political party. Bloomington: Authorhouse. 31. Maisel, S. L. (Ed.). (1990). The parties respond. Boulder: Westview Press.

32. Maisel, L. S. (2002). Parties and elections in America: the electoral process. (3rd ed.). New York: Rowman & Littlefield. 33. Maisel, L. S. (2007). American political parties and elections: A very short introduction. New York: Oxford University Press, USA. 34. Manza, J., & Brooks, C. (1999). Social cleavages and political change: Voter alignments and U.S. party coalitions. Oxford: Oxford University Press. 35. Margolis, M., & Green, J. (1993). Machine politics, sound bites and nostalgia: On studying political parties. Lanham: University Press of America. 36. Milkis, S. M. (1993). The president and the parties: The transformation of the American party system since the new deal. New York: Oxford University Press. 37. Neal, H. E. (1962). Diary of democracy: The story of political parties in America. New York: J. Messner. 38. Nelson, M. (Ed.). (2001). The elections of 2000. Washington, DC: Congressional Quarterly Press. 39. Nelson, M. (2008). The elections of 2008. Washington, DC: Congressional Quarterly Press. 40. Phillips, K. (1990). The politics of the rich and poor: Wealth and the American electorate in the Reagan aftermath. New York: Random House. 41. Polsby, N. (1983). Consequences of party reform. New York: Oxford University Press. 42. Robinson, P. (2000). It’s my party: A republican’s messy love affair with the GOP. Boston: Warner Books. 43. Rosenstone, S. J., Behr, R. L., & Lazarus, E. H. (1996). Third parties in America (2nd ed.). Princeton: Princeton University Press. 44. Roth, R. (1998). The natural law party: A reason to vote: Breaking the two-party stranglehold and bringing effective new solutions to America’s problems. New York: St. Martin’s Press. 45. Sabato, L., & Larson, B. (2001). The party’s just begun (2nd ed.). New York: Pearson Longman. 46. Schaller, T. F. (2008). Whistling past Dixie: How democrats can win without the South. New York: Simon & Schuster. 47. Schattschneider, E. E. (1942, 1977). Party government. Westwood: Greenwood Press.

48. Shafer, B. (2003). The two majorities and the puzzle of modern American politics. Lawrence: University of Kansas Press. 49. Sifry, M. (2002). Spoiling for a fight: Third party politics in America. New York: Routledge. 50. Sinclair, B. (2006). Party wars: Polarization and the politics of national policy making. Norman: University of Oklahoma Press. 51. Sundquist, J. L. (1983). Dynamics of the party system (Rev. ed.). Washington, DC: Brookings Institution Press. 52. Ware, A. (2002). The American direct primary. Cambridge: Cambridge University Press. 53. Wattenberg, M. P. The decline of American political parties, 1952-1996. Cambridge: Harvard University Press. 54. White, J. K., & Shea, D. M. (2000). New party politics: From Jefferson and Hamilton to the information age. Boston: Bedford/St. Martin’s Press. × Return to Chapter 11: Table of Contents B.

Articles

1. Bowler, S., & Donovan, T. (2006, September). Direct democracy and political parties in America. Party Politics, 12(5), 649–669. 2. Hershey, M. R. (1993, July). Citizens’ groups and political parties in the United States. The Annals of the American Academy of Political and Social Science, 528, 142–156. 3. Keller, A. (2004, April 29). FEC offers post-BCRA legislative ideas. Roll Call. 4. Key, V. O., Jr. (1955, February). A theory of critical elections. Journal of Politics, 17(1), 3– 18. 5. Murphy, R. D. (1992, June). People and pedagogues: E. E. Schattschneider and the democratic creed. PS. 6. Petrocik, J. R. (1987, May). Realignment: New party coalitions and the nationalization of the South. Journal of Politics, 49(2), 347–375. 7. Riker, W. H. (1982, December). The two-party system and Duverger’s law: An essay on the history of political science. American Political Science Review, 76(4), 753–766. × Return to Chapter 11: Table of Contents

Media

1. The Candidate. (1972). Dir. Michael Ritchie. Warner Brothers Pictures. This film is about packaging a political candidate. In an expose style, this movie provides a dramatic portrayal of high-tech political campaigning and public manipulation. In particular, it shows how a party-centered campaign can easily turn into a candidate-centered campaign with the help of professional campaign consultants. 2. Election. (1999). Dir. Alexander Payne. Bonafide Productions and Paramount Pictures. An insidiously funny black comedy starring Matthew Broderick, far superior to the book from which it was adapted. The battle lines are thus drawn, teacher against student, and it’s anybody’s guess who will emerge victorious. Director Alexander Payne, who co-wrote the script based on Tom Perotta’s novel, recreates with amazing fidelity the countless little cruelties, minor disappointments, and petty grievances that often make high school such an interminable ordeal. 3. Nashville. (1976). Story of the hectic days leading up to a presidential primary in Tennessee. 4. Primary Colors. (1998). Comedy/drama loosely based on the political career of Bill Clinton, through the 1992 primaries. 5. Speechless. (1994). Romantic comedy about sparring speech writers and campaigns. 6. A Third Choice. (1996). Films for the Humanities and Sciences. This program examines third parties in the U.S., including interviews with academic experts, campaign memorabilia, and rare archival footage. 7. Third Parties in American Politics. (1996). Films for the Humanities and Sciences. This film examines the impact of third parties on presidential elections. × Return to Chapter 11: Table of Contents D.

Web Resources

1. The America First Party Web site: http://www.americafirstparty.org/ 2. The American Political Science Association explores the definitions of political parties: http://www.apsanet.org/content_5221.cfm 3. Constitution Party. http://www.constitutionparty.com/ 4. The Democratic National Committee Web site: http://www.democrats.org/ 5. Five-thirty-eight.com (Electoral College elections predictions). http://www.fivethirtyeight.com/ Copyright © 2011, 2009, 2007 Pearson Education, Inc. All rights reserved.

6. Gov-Spot offers a list of many political parties and platforms for review. http://www.govspot.com/categories/politicalparties.htm 7. The Green Party Web site: http://www.gp.org/ 8. The Libertarian Party Web site: http://www.lp.org/ 9. Politics 1 offers links to political parties, campaign information, candidate information, and more. They also offer a free e-mail newsletter. The party information provided is excellent, including descriptions of who belongs to which wing of the major parties, and all the minor parties in existence. The blogs are also of interest. http://www.politics1.com/ 10. Political Resources on the Net. Information about political parties in all democratic countries. http://www.politicalresources.net/ 11. Republican National Committee. Information about Republican party candidates, party history, convention and national committees, state parties, stands on the issues, affiliated groups, and upcoming events. http://www.rnc.org/ 12. Socialist Party. http://www.sp-usa.org/ × Return to Chapter 11: Table of Contents

Integrated Guide to the Text’s Resources (Instructor’s Resource Manual)

Chapter 12 - Interest Groups Table of Contents I. Chapter Overview A. Learning Objectives B. Chapter Summary II. Student Assignments – Pre-Lecture III. Lecture Resources A. Lecture Slides B. Additional Lecture Suggestions IV. Student Assignments – Post-Lecture A. Class Discussion Questions B. Class Activities C. Research Assignments V. Quantitative Assessment VI. Resources for Further Study A. Books B. Articles C. Media D. Web Resources

I. Chapter Overview: A.

Learning Objectives

¾12.1 Distinguish between pluralist theories and James Madison’s interpretation of the role of interest groups within American politics. ¾12.2 Describe how critics of pluralist theory view the role of interest groups today. ¾12.3 Explain how interest groups form and attract members. ¾12.4 Analyze the strategies and tactics interest groups use to impact elections and public policy. ¾12.5 Assess how much influence interest groups have over policy outcomes. × Return to Chapter 12: Table of Contents B.

Chapter Summary

The Problem of Factions and the Pluralist Answer In Federalist No. 10, Madison noted the capacity of the proposed federal republic “to break and control the violence of faction.” Madison was referring to a group of individuals who share a belief that, if acted upon, would jeopardize the rights of individuals outside of the group and/or the interests of the community as a whole. Political scientists in the 1950s began to reconsider the place of interest groups in politics. These theorists viewed the competition created by interest groups for the influence in American politics as generally healthy, and a legitimate aspect of democratic governance. This thinking on the place of interest groups in America became known as pluralism. Group Formation and Maintenance Interest groups often provide contributors with selective benefits—benefits not available to those who don’t contribute. The most obvious kind of benefit that groups may provide is a material benefit. Benefits of this type can include publications, goods and services, discounts on products, and professional advice. For example, individuals who join the American Association of Retired Persons (AARP), become eligible for scores of benefits. A group can also provide social benefits. Groups such as the Sierra Club create opportunities for members to socialize with people who have similar interests. Another benefit to group membership is a purposive benefit or a benefit that encourages group participation by connecting individuals to an organization’s political purpose. What Groups Do, and Why They Do It The ultimate goal of most politically oriented interest groups is to shape public policy in ways consistent with the group’s interests, values, and beliefs. Groups use two primary strategies to do this. They attempt to influence either the selection of public officials (an electoral strategy) or the decisions of elected officials, bureaucrats, or members of the judiciary who have already been elected or appointed (a decision strategy). In pursuing an electoral strategy, interest groups and their members may employ a number of tactics. The most familiar involve spending money in an effort to get certain candidates elected. Less controversial tactics include endorsements, voter mobilization efforts, voter education, and volunteering. Many groups interested in election Copyright © 2011, 2009, 2007 Pearson Education, Inc. All rights reserved.

outcomes form political action committees (PAC) or encourage members to donate to a PAC created by someone else. A PAC is a group that collects money from individuals and makes donations to political parties and candidates. Groups can circumvent the legal spending limits on PAC contributions by making independent expenditures which are funds donated to elect or defeat candidates but not coordinated with any political campaign. Groups also engage in inside lobbying which occurs when group representatives meet with public officials and/or their staff members. × Return to Chapter 12: Table of Contents

II. Student Assignments -- Pre-Lecture A. B. C.

Student Required Reading: Chapter 12 – Interest Groups Administer Reading Comprehension Quiz (see Test Bank, Chapter 12) Chapter Test – After your students have completed their reading assignment, go over these questions with your class to identify any areas you should focus on in your lecture.

Chapter Test 1. Why is it problematic to assume that factions will just form? 2. Many of the major critiques of pluralism were put forward over 40 years ago. Do they still hold today? 3. How might the strategies that interest groups choose to solve the collective action problem influence the sorts of tactics they are able to choose in trying to influence the shape of public policy? 4. Do new communication technologies and the Internet make it harder or easier for groups to solve the collective action problem? 5. Although there are many things that interest groups can do, what is the fundamental decision they must make in trying to influence the legislative process? 6. How does the way government is organized in the United States affect the behavior of interest groups? 7. Under what sorts of conditions is interest group activity likely to be the most effective? 8. How have changes in campaign finance laws influenced the sorts of tactics that interest groups are likely to pursue? 9. Although the word “lobbyist” often has a bad connotation, do lobbyists play any positive role in shaping public policy? 10. How might electoral concerns play into the sorts of information that interest groups are trying to convey to Congress during a legislative battle? × Return to Chapter 12: Table of Contents

III. Lecture Resources A.

Lecture Slides

Slide 1

Slide 2

Slide 3

This chapter opens with a conversation about the nature of politics. We will always disagree; thus we join groups that represent those differences.

Chapter 12: Interest Groups Organizations that seek to influence government decisions

Slide 4 After Reading This Chapter, You Should Be Able To: 9 LO 12-1: Distinguish between pluralist theory’s and James Madison’s interpretation of the role of interest groups within American politics. 9 LO 12-2: Describe how critics of pluralist theory view the role of interest groups today. 9 LO 12-3: Explain how interest groups form and attract members. 9 LO 12-4: Analyze the strategies and tactics interest groups use to impact elections and public policy. 9 LO 12-5: Assess how much influence interest groups have over policy outcomes.

Slide 5

LO 12-1

Pluralism and Factions Pluralist Theory 9 The tendency toward groups in political life was inevitable. 9 Competition for influence by these groups is healthy—a legitimate aspect of democratic governance.

Slide 6

Madison’s Interpretation 9 Madison valued the capacity of the federal republic to “break and control the violence of faction.” 9 The American system would mute interests.

To Learning Objectives

LO 12-1

Slide 7

United we stand: Many women’s groups came together to ensure passage of the Nineteenth Amednment to the US Constitution. Their collective action and success in the states culminated in 1920 when they were formally granted the right to vote.

To Learning Objectives

LO 12-1

A faction is a group of individuals who share a belief that could jeopardize the rights of individuals outside the group. Pluralism is the theory that all groups are well represented, and that no single interest controls government decisions. While Madison wished to mute the power of groups, pluralism states that said power is not a problem because the system provides multiple access points for influence.

Immigration standoff: Protestors in Arizona square off about the state’s controversial immigration law.

To Learning Objectives

Slide 8

LO 12-1

Madison believed ___ would mute factions. A. Freedom B. The Federal Republic C. Separation of Powers D. State Governments

To Learning Objectives

Slide 9

LO 12-1

Madison believed ___ would mute factions. A. Freedom B. The Federal Republic

C. Separation of Powers D. State Governments

To Learning Objectives

Slide 10

LO 12-2

Critics of Pluralism 9The American political system is resistant to change. 9Resources are distributed unequally.

One critique of the pluralist theory is that the system is resistant to change; it is much more difficult to change the status quo than it is to defend the status quo. Thus, there are many stopping points for policy—the apparent openness does not count for much, and multiple access points mean nothing if there are multiple stopping points as well.

To Learning Objectives

Slide 11

LO 12-2

Critics of Pluralism 9The American political system is resistant to change. 9Resources are distributed unequally. 9Issues are ignored.

Another critique of pluralism is that some people do not fail to participate because due to lack of interest but because there are insurmountable obstacles to participation; this is not contentment with the status quo but a result of exclusion. Poor people are not represented well; they have no powerful interest group representing them. The feature in the text, studying what doesn’t happen, fleshes out the idea of unequal power so that students can understand it.

To Learning Objectives

Slide 12

LO 12-2

Slide 13

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LO 12-2

Slide 14

Slide 15

Ignoring the poor: Though poverty received political attention during the Great Depression and again under Lyndon Johnson’s presidency, the poor and other marginalized groups are often left off the policy agenda.

To Learning Objectives

LO 12-2

This chart demonstrates that the profit sector is the best-represented group in DC.

To Learning Objectives

LO 12-2

Behind closed doors: Many complain that those rich in resources are better able to cope with the costs of lobbying and political participation than those without money and connection.

The causes of inaction: Why didn’t miners in Middlesboro, Kentucky, take action in the face of economic adversity? Answers to this question and others like it are often difficult to find, but creativity enables us to study political power, even when we don’t see it directly exercised.

To Learning Objectives

Slide 16

LO 12-2

Critics of Pluralism 9The American political system is resistant to change. 9Resources are distributed unequally. 9Issues are ignored.

Some issues are not actually considered issues by the political elite; when poverty disappeared as an issue in the 1940s and 1950s, elected officials stopped talking about it as though there were no more poor people. These nondecisions are ignored by pluralism—as Schattschneider said, some issues are organized out. If some issues are not heard, then the goodness of the pluralist model breaks down.

To Learning Objectives

Slide 17

LO 12-2

Critics of Pluralism 9The American political system is resistant to change. 9Resources are distributed unequally. 9Issues are ignored.

Disturbance theory states that when social, political, and economic relationships change, individuals form groups in response. But the problem is that groups do not always form when there is a disturbance—the formation of groups faces the collective action problem. The free rider problem is a barrier to collective action because people can reap the benefits of group efforts without participating.

To Learning Objectives

Slide 18

LO 12-2

Which criticism of pluralism has to do with free riders? A. The American system is resistant to change. B. Unequal Distribution of Resources C. Ignored Issues D. Group Formation Copyright © 2011 Pearson Education, Inc. Publishing as Longman

To Learning Objectives

Slide 19

LO 12-2

To Learning Objectives

Slide 20

LO 12-3

How do groups overcome the problem of free riders? 9Selective Benefits 9Individual Entrepreneurship 9Patronage

To Learning Objectives

Slide 21

LO 12-3

Groups can overcome the collective action problem in a number of ways. First is the provision of selective benefits: benefits that can be accessed only by those who participate in or contribute to the group. Material benefits are tangible goods or services. For example, members of the AARP get many material benefits: discounts, insurance plans. Only 17 percent said they had joined for the work done on behalf of the elderly. Social benefits are for people who want to enjoy the company of those who share like interests. For example, if you join the Sierra Club, you get to hang out with people who are as passionate about the environment as you are. Purposive benefits are those that connect individuals to a political purpose. For example, people who contribute to the Compassionate Action for Animals believe they are saving animals—they are making a difference. Staying active: And solving the collective action problem. These seniors practice fitness tips available to members of AARP. This benefit, among others, can help the group to combat problems often associated with group formation and maintenance.

To Learning Objectives

Slide 22

LO 12-3

How do groups overcome the problem of free riders? 9 Selective Benefits 9 Individual Entrepreneurship

While benefits can help to overcome the free rider problem, someone has to do the work to create the group first. If the free rider problem is serious, then how is it that any groups exist? The answer is that people who overcomes the costs—someone is passionate enough to get the group going.

9 Patronage

To Learning Objectives

Slide 23

LO 12-3

How do groups overcome the problem of free riders?

In addition to entrepreneurs, some interests have patrons who provide groups with the resources they need to get established. These could be individuals or groups or businesses.

9 Selective Benefits 9 Individual Entrepreneurship 9 Patronage

Slide 24

To Learning Objectives

LO 12-3

Slide 25

To Learning Objectives

LO 12-3

Slide 26

Whatever explains how groups form, it is clear from this chart that groups are forming; the number has nearly doubled in the last three decades.

To Learning Objectives

LO 12-3

Aim high: Interest group entrepreneurs like the late actor Charlton Heston, former president of the NRA, help to launch or manage interest groups.

Put your money where your mouth is: With funding from patron George Soros, ACT made over 12 million phone calls to targeted voters and delivered 11 million pieces of literature at targeted doorsteps. ACT also maintained 86 offices, a staff of 4,000, and a goal of reinforcing an army of 45,000 paid canvassers. One patron made a huge difference in outreach, regardless of outcome.

To Learning Objectives

Slide 27

LO 12-3

A movie discount would be an example of a _____. A. Material Benefit B. Social Benefit C. Purposive Benefit D. None of the Above

Slide 28

To Learning Objectives

LO 12-3

A movie discount would be an example of a _____. A. Material Benefit B. Social Benefit C. Purposive Benefit D. None of the Above

Slide 29

To Learning Objectives

LO 12-4

How do groups influence politics? 9 Electoral Strategy 9money 9other tactics

To Learning Objectives

Interest groups engage in electoral strategy to try to get people elected who will further their interests. They do this first with money. Political Action Committees (PACs) are groups that collect money from individuals and make donations to political parties and candidates on behalf of the shared interest. Groups can use independent expenditures: funds donated to elect or defeat candidates but not coordinated with any political campaign. Groups can also use a practice called bundling—collecting individual checks and presenting them to a candidate at one time Groups may also form 527 groups: independent, nonparty groups that raise and spend money on political activities. These are tax-exempt and have no limits in law.

Slide 30

LO 12-4

Slide 31

To Learning Objectives

LO 12-4

How do groups influence politics? 9 Electoral Strategy 9money 9other tactics

Slide 32

While independent expenditures are unlimited, PACs and individuals are limited by law. Thus, the bundling works only if a high number of individuals contribute.

In addition to money, groups use other tactics. Endorsements: groups publicize their support for a candidate. Voter mobilization: groups will dedicate themselves to increasing voter registration and turnout in competitive races. Voter education: groups will disseminate materials to prospective voters. Volunteer work: groups provide volunteers to do the work on the campaigns.

To Learning Objectives

LO 12-4

Slide 33

To Learning Objectives

LO 12-4

How do groups influence politics? 9 Electoral Strategy 9money 9other tactics

Once the election is over, interest groups go to work to influence governing. Lobbying is communicating with government officials to persuade them toward a particular policy decision. Inside lobbying is meeting directly with public officials to influence decisions—lobbyists figure out what members of Congress need and provide it in an effort to persuade government officials to vote on their behalf. Lobbyists give the strongest arguments on one side of n issue and give the Congressional member the tools necessary to make the decision and then defend it.

To Learning Objectives

Slide 34

LO 12-4

How do groups influence politics? 9 Electoral Strategy 9money 9other tactics

While inside lobbying is most often thought of in relation to Congress, interest groups do devote time to the presidency. Move often in this branch, lobbying focuses on agencies—lobbyists try to influence the rules that agencies issue.

Slide 35

To Learning Objectives

LO 12-4

How do groups influence politics? 9 Electoral Strategy 9money 9other tactics

9 Lobbying

Inside lobbying of the judiciary happens in two ways: Amicus curiae briefs: the lobbyist presents the opinion of the group to the court. Litigation: groups will watch for test cases and laws to push their interest. Groups will then sue in court.

Slide 36

To Learning Objectives

LO 12-4

How do groups influence politics? 9 Electoral Strategy 9money 9other tactics

Slide 37

To Learning Objectives

LO 12-4

The other major tactic is outside lobbying, also known as grassroots: efforts to influence political decisions through constituent contacts. Use the case study of health care provided in the book to flesh out the differences between these tactics. Both strategies—lobbying and electoral—are combined by interest groups—they are coordinated attacks on the American system, intended to best represent a group’s interest.

Building support: Liberal group MoveOn.org used grassroots tactics to keep the pressure on Democrats to pass health care reform legislation.

To Learning Objectives

Slide 38

LO 12-4

Harry and Louise return: The famous couple from the 1994 health care battle return—this time in a spot that encourages Congress to pass comprehensive health care reform.

To Learning Objectives

Slide 39

LO 12-4

Which is an example of insider lobbying? A. A March on Washington B. Members of a group send letters to a member of Congress. C. An interested party takes an agency head to lunch to discuss the implications of a rule. D. A Facebook campaign is used to raise interest in an issue. Copyright © 2011 Pearson Education, Inc. Publishing as Longman

To Learning Objectives

Slide 40

LO 12-4

Slide 41

To Learning Objectives

LO 12-5

Do groups matter? 9 Difficult to Prove Impact 9 Influence is strongest where it is

hardest to find.

To Learning Objectives

If groups disappeared, the system would continue. The challenge is figuring out direct causes—if a group engaged in lobbying and the interest received a vote, the connection is very hard to prove. For example, interest groups spend money on elections, but spending increases as the competition does—so there are many groups on both sides, making it hard to parse out whether one group caused the election of a particular member. Another problem is that groups know which members agree with them, so they give money to those members. Are those members bought, or just supported?

Slide 42

LO 12-5

To Learning Objectives

Slide 43

LO 12-5

Do groups matter? 9 Difficult to Prove Impact 9 Influence is strongest where it is hardest to find.

Slide 44

While people are very concerned about lobbying (given the scandals that make it into the news), this chart demonstrates what groups actually do. The problem is the dashes we can’t see: note those.

One study concluded that money buys time—that is, the member will spend time on the issue—but it does not necessarily buy the desired outcome. The problem is that groups probably have the most impact when the outcomes they seek are not contested, so we would not be able to measure the impact they have—we can’t see it.

To Learning Objectives

LO 12-5

Why are we not sure about group influence? A. Members may lose even if a group spends money. B. A bill may not pass even if a member spends time for a group. C. Most influence happens when there is no competition. D. All of the Above Copyright © 2011 Pearson Education, Inc. Publishing as Longman

Slide 45

To Learning Objectives

LO 12-5

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Slide 46

Text and Art Credits

Slide 47

To Learning Objectives

Photo Credits

To Learning Objectives

× Return to Chapter 12: Table of Contents

Additional Lecture Suggestions

¾12.1 Distinguish between pluralist theories and James Madison’s interpretation of the r role of interest groups within American politics •

•

In Federalist #10 James Madison addressed this topic of special interests in describing what he called factions. Madison argued that the design of our republic would not eliminate factions but would limit the influence they might have. Madison could not have foreseen what would happen with interest groups over time. First is the tremendous expansion of society that contributed to the explosion of groups. Second is the prevalence of logrolling. Logrolling among interests is facilitated by a third development, the rise of professional politicians who, in seeking reelection, broker the group deals in return for the electoral support that interest groups provide. To analyze this, we first must understand exactly what Madison was arguing in Federalist No. 10. Factions: Madison begins this essay stating, “Among the numerous advantages promised by a well-constructed Union, none deserves to be more accurately developed than its tendency to break and control the violence of faction.” In the first portion of the essay, Madison discusses the desirability and possibility of removing the causes of faction. He rejects that possibility, stating that factions are sown in the nature of man. Madison concludes, “The inference to which we are brought is that the causes of faction cannot be removed and that relief is only to be sought in the means of controlling its effects.” Controlling Factions: How, then, does a government control the effects of faction? If a faction is composed of a numerical minority, then in a democracy (Madison uses the word “republic”) it is controlled since it will be outvoted by the majority. The real problem is majority faction. Part of the cure comes in Madison’s second usage of the word “republic.” Earlier in the essay Madison used the word “republic” as synonymous with “majority rule.” Now, he defines it as a representative democracy. It helps cure the mischief of faction because it allows for a large republic. Advantages of a Republic: A republic provides two advantages over a pure (direct) democracy. First, the people themselves do not make decisions. Instead they decide who will make the decisions in elections. Second, a republic can cover a larger area. One effect of this difference is to “refine and enlarge” the public’s views by “passing them through a chosen body of citizens whose wisdom by best discern” the true interests of the citizens. Here Madison is first concerned with a problem experienced with pure democracies: folly. By folly he means that strict majority rule democracies often make bad decisions. As stated in another Federalist, citizens may intend good, but they don’t always make decisions in their best interests. A second major argument made in Federalist No. 10 is that a large republic is better than a small republic. Here is the argument from Publius’ perspective. It is probably the most important component of the Framer’s design behind the Constitution. Some would say it is Madison’s major contribution to American political thought, calling it pluralism. The Large Republic Argument: Having argued that a republic is better than a pure (direct) democracy, Madison now argues that a large republic is better than a small republic. It is at this point in his argument that Madison is credited with endorsing pluralism. Why is a large republic better than a small republic? Madison asserts that Copyright © 2011, 2009, 2007 Pearson Education, Inc. All rights reserved.

no matter how large or how many people there are in a country, the number in the legislature is not going to vary that much. This is important because it means that in a large republic you are not going to have that many more legislators than if you had a small republic. The importance of this point is that in a large republic there will be a much greater number of people (and, hence, a large geographical area, usually) represented by a legislator. This will result in a higher caliber of individual getting elected to the legislature. Remember, Madison had already argued that a republic is better than a pure democracy because in a republic the legislator will be wiser and thus can refine the public’s wishes. So, in a republic anything that is in agreement with the spirit of democracy that increases the chances of a wiser person being elected is a positive factor. The large republic will do this. How? In a large republic, the areas electing legislators will be more populous and probably geographically larger. Hence, to get elected, politicians will have to be familiar to the voters. This familiarity, in Madison’s time, would come from having achieved something. Madison asserts that politicians will not be able to get elected to the national legislature merely by knowing more people. There will be too many people to have to know. Instead, they will only be successful at being elected if they are known for their accomplishments. Prevalence of Logrolling: The authors, quoting the research of others, write, “Rather than check and balance each other, interest groups often cooperate . . .” The first thing to note about this quote is that it refers to checks and balances in a manner that is inaccurate. When the Framers discussed this concept they did so by referring to what would go on in the three branches of the national government. They did not see how that could keep interest groups - on the outside of government - from forming alliances. If, however, the point is that the deals made by interest groups are then carried out in the government, what would Madison say about that? Madison would say, “Well done!” Making deals is exactly what he had in mind in designing the large republic. If the voters don’t like the deals they can elect new officials. Of course, the voters can also hope the president will veto bad deals, or the Supreme Court may be able to find them unconstitutional. In the end, since it is a democracy albeit a representative democracy, the voters have the final say. Rise of Professional Politicians: This point ties in with the debate in recent years over term limits. The authors, in quoting the study, argue that politicians are controlled by interest groups, which then ensure that they will get elected. The problem with this argument is the one mentioned above. Voters can always refuse to reelect politicians that seem to be more concerned with brokering the interests of major groups instead of making decisions that are good for the most constituents. Of course, there is no proof that brokering interests is always bad. Again, that is what Madison wanted the Congress to do: broker the multiplicity of interests in the large republic. What Was Madison’s Failure?: Did Madison not foresee modern developments, or did he underestimate several modern developments? Madison did not foresee the technological advancements that would change entirely how campaigns for national office were conducted. How could he? He did not foresee that mass media particularly television - would reduce the large republic to a technologically small republic. Politicians, with the aid of television, could enter into the public’s living rooms. There the politician would introduce himself (with the assistance of Copyright © 2011, 2009, 2007 Pearson Education, Inc. All rights reserved.

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consultants, would tell him everything from what to say to how to dress and comb his/her hair), his family, and perhaps even his dog. Having overcome one of the large republic arguments, with the assistance of television, the burden became greater on the voter. This is because voters do not get to know the politician on a personal basis, but rather for something they had achieved. Voters, then, might start judging candidates for office by how they look or what their family looks like. Madison didn’t foresee this. Alexis de Tocqueville: And then there is Alexis de Tocqueville. The young French aristocrat, visited the United States in the 1830s to study its prison system. Upon returning to France, his book Democracy in America explained the workings of American democracy in detail to an inquisitive Europe. He discussed the workings of democracy in America and its potential in a world undergoing radical change. He, unlike Madison, praised democracy for raising the level of the average person but noted that emphasis on equality more than liberty presented a potential for danger. He marveled at the mere fact that people were coming together and associating, which reflected a strong democratic culture. Explain how the role of interest groups has been viewed by Madison and what the pluralist thinks of the twentieth century. Madison used the term “factions.” Name and define four new terms used today to describe groups that make up pluralism. Define the term “faction” as Madison would define it. Describe how critics of pluralism view interest groups in American politics. Explain why the development of special interests are more likely to fit an elitist model of power.

¾12.2 Describe how critics of pluralist theory view the role of interest groups today • • • • • •

List four criticisms of pluralism leveled by political scientists and scholars. Explain the power of economic interest groups in Washington in light of Madison’s theory on factions. Discuss the undemocratic nature of interest groups. Discuss the ways in which the leadership of an interest group is unresponsive to the rank and file members. Summarize the pluralist theory of interest groups and the major criticisms of pluralist theory. List the circumstances necessary for the pluralistic theory of special interests.

¾12.3 Explain how interest groups form and attract members •

Most legislators are willing to meet informally with groups of students. Contact the administrative assistant for your congressional representative and ask for an appointment for students to meet, as a group, with the legislator to discuss interest group regulation and campaign financing. This would make an enjoyable and informative field trip if the home office is close enough to campus for students to meet there. If students are unable to travel to the congressional office as a group, issue an invitation for the legislator to meet with students in your classroom or in a campus conference room. Students should be given individual

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assignments to prepare questions for the meeting. Emphasize the need to prepare questions that genuinely seek information and the need to avoid obstructionist questions. Given the right timing, right circumstances, and the right issue, one person can make a difference when it comes to legislation. Mothers Against Drunk Drivers (MADD) turned into a national movement when one mother with a story to tell stepped forward to say, “Enough is enough.” One person, or a few people, can make a difference. They make a difference by finding more people who are committed to the same concerns and by getting more people involved and capturing the attention of the media and the general public. As noted anthropologist Margaret Mead once said, “Never doubt for a moment that a small group of thoughtful citizens working together and committed to a common goal can change the world. It is the only thing that ever has.” Differentiate between an interest group and a PAC. Interest groups are voluntary groups of people who share a common goal or belief and hope to influence the government. Some groups focus on a single goal while others have a broad range of objectives. Interest groups have five main functions: 1. to give voice to the public; 2. to give members a sense of political power through participation; 3. to inform and educate the public concerning their issues; 4. to bring focus to issues that are often ignored; and 5. to assess the effectiveness of government programs. In 1960 there were fewer than 6,000 interest groups in the United States; today there are a little over 22,000 groups. Groups have formed to protect civil rights and liberties, and to gain protection for consumers and the environment. Interest groups have grown in correlation with divisions in American communities, the growth of government, and the increasingly wealthy and educated American public. There are many types of interest groups: economic, ideological, public interest, and labor unions. Economic groups and labor unions work for the benefit of their members. Public interest groups work for the interests of the public. Ideological groups tend to be single-issue groups trying to advance either liberal or conservative ideas. Activists are generally elite Americans. Caucasians with higher education and income are encouraged to participate in politics. People who do participate in these groups tend to become more confident and place more trust in the political realm. Economist Mancur Olson developed an explanation for three barriers to the mobilization of interest groups. People have a tendency to sit back and let others do the work for them. Interest groups also cost money, so people without wealth are often discouraged from forming or joining a group. Finally, people are often cynical and feel that their voice cannot possibly make a difference To attract members, interest groups must show that there are great benefits to getting involved and that the group is pursuing an attainable goal. Groups such as the NRA provide material, solidarity, and purposive benefits to members. Other groups can demand membership. Individuals or organizations known as patrons will often donate money to establish and sustain interest groups. Leaders are often charismatic and inspirational. These leaders attract new members and bring a feeling of authenticity to the group. People will believe in and support the cause of a strong, likeable leader. Groups will often form alliances with another group to have their voices heard. The government will take notice if a larger number of people are unified for a common cause. Copyright © 2011, 2009, 2007 Pearson Education, Inc. All rights reserved.

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These alliances are generally temporary, and often, tensions between the groups prevent large success. Grassroots mobilization has become increasingly common but the impact on policymaking is hard to measure. Personal contact is extremely important. Interest groups will have their supporters contact individuals to help raise support. Mailings are also an important tool to raise support. Potential supporters can view the information in the privacy of their own homes. Groups will also distribute pamphlets and stage boycotts, rallies, or protests. The Internet has increased potential contact with the public. Describe one example where political resources are distributed unequally. Explain how interest groups come into being and attract members. Describe the disturbance theory model and the free rider problem. List five different examples of selective benefits. Distinguish the difference between a social benefit and a purposive benefit. List and describe the various kinds of interest groups.

¾12.4 Analyze the strategies and tactics interest groups use to impact elections and public policy •

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Point out that Democrats are loath to restrict PACs, the one area of fundraising where they surpass Republicans. In addition, note that many Democrats were loath to ban soft money, given the fact that they had raised nearly as much as Republicans had in the 2000 elections, and have matched or exceeded Republicans in more recent elections. Organizations outside of the government that attempt to influence government behavior and decision making are known as interest groups. Explain how interest groups have become an important part of American society and have experienced an enormous increase in numbers over the past fifty years. In this chapter we explore the formation of interest groups and their tactics in mobilization. We also consider whether interest groups are a healthy part of society or if they are just contributing to the growing schism in American politics. Inside lobbying appeals directly to government officials. Lobbyists must gain access to lawmakers. They need to appear trustworthy and honest. Groups will also testify at congressional hearings. Inside lobbying also raises fears of corruption. The Lobbying Disclosure Act of 1995 attempts to prevent such occurrences. Outside lobbying is an attempt to change policy by influencing and rallying support from the public. The public has the power to define the political agenda by rallying around an issue on which they want to be heard. The power to vote has a direct influence on the government. Interest groups are active at all levels of government. They will endorse candidates and prompt members and the public to vote a specific way. It takes a large amount of money to organize an effective interest group. Money is needed to recruit members, hire staff, rent offices, pay overhead, and raise additional funds. Money is also the key element in hiring the best lobbyists, attorneys, and workers. The American Federation of Labor was created in 1886 in an attempt to gain economic advancement, better working conditions, and higher wages. These unions were only for skilled workers. They also sought to shorten the work day and create maximum hours of work for women and children. Copyright © 2011, 2009, 2007 Pearson Education, Inc. All rights reserved.

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Member donations are an important source of revenue. Selling goods and services are also avenues to raise money. Groups can sell books, bumper stickers, calendars, and t-shirts, for example. As labor unions gained power, opposing business groups began to emerge. Organizations began to compete to protect their interests. Groups give people the power to unite behind important causes. People who participate in interest groups are more likely to take part in other aspects of politics. There is some concern that interest groups may cut off the voices of average citizens and draw attention to items of special interest. Interest groups are growing in direct correlation with government mistrust. Interest groups can have a positive and a negative impact on American society. It is important to support organized action but also to understand that sometimes the desires of the interest group may not be in the best interest of the public. List what strategies and tactics groups use to influence elections and public policy. Identify factors that distinguish interest groups from political parties.

¾12.5 Assess how much influence interest groups have over policy outcomes • • • • • •

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Point out how, in promoting their own interests, interest groups also promote the public interest. Indicate how government regulation of the medical profession might be a result of doctors’ interest in politics. Explain why public school teachers and college professors in public institutions form lobbies. Explain why some interest groups are interested in foreign policy. Point out that lobbyists have great impact on the technical aspects of legislation because lobbyists know exactly what they want. What makes an interest group successful? There is no one thing that makes one political interest group more successful than another. It is possible to create a list of factors, each of which, all things being equal, makes a group more successful than others. If a group has several success traits, the probability that it will be more successful goes up (again, all other things being equal). Access - This means “who do you know?” If the goal of an interest group is to affect policymaking, then access to the policy-maker is critical. Hence, those groups with access tend to be more successful. Information - As stated in this chapter, the number one commodity for interest groups is reliable information. In fact, groups that have demonstrated they have such data can more easily gain access. Leadership Skills and Prestige - Some groups (the American Medical Association, for example) have greater prestige than others. Physicians are among the most respected professionals in America. Likewise, some groups have charismatic leaders (Martin Luther King, Jr., for example). These traits tend to make a group more successful. Numerical Strength - Generally, it is accurate to say there is power in numbers. Policymakers would be more inclined to listen to groups with large memberships. There is, however, a law of diminishing returns at work here. If a group is very large, it most likely will be sacrificing another important trait for success: unity.

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Group Unity - Without unity of purpose, interest groups expend a great deal of energy on internal disputes with little left over for external use. Groups with fewer people tend to have greater unity. Money - While money is important and those groups with it tend to be more successful, it is not as important as the media would lead people to believe. Narrow Goals - Groups that focus on narrow goals can focus their resources in a more efficient manner. The text calls them special interest groups. Groups like Common Cause that tackle numerous goals of a broad nature from campaign finance to reforming Congress often find they are not as efficient. Defensive - Groups that seek to sustain the status quo tend to be more successful than groups seeking change or reform. Part of the explanation is the bias built into American political institutions, such as Congress, that make it easier to block the passage of a law than to pass a law. Nature of the Issue - Groups are interested in different issues. Some issues are general, while others are technical in nature. When issues are technical, voters are less inclined to notice or care. Hence, groups dealing with highly technical issues tend to be more successful. Describe how groups may influence the policy process. Trace the history of a social interest group that worked to establish civil rights for its membership. List the four general strategies used by interest groups to shape public policy. Describe the importance of Political Action Committees in American politics. Discuss methods used by political action committees to develop grass-roots efforts to secure their policy issues. Identify and describe the “iron triangle” and the revolving door and how this shapes and reinforces the iron triangle. Draw a pictorial representation of an iron triangle. Describe the major strategies by which interest groups seek to influence the judicial branch. Find an example of a lawsuit initiated on behalf of a special interest.

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IV. Student Assignments – Post-Lecture A.

Class Discussion Questions

¾12.3 Explain how interest groups form and attract members • • • • • • • •

Assume you, as a class, decide to become a formal interest group on campus. How would you go about making this happen? What would you do with your organization once power was acquired? What is an interest group? How have interest groups changed over the course of American history? Which explanation for the explosion of interest groups in America has the most merit? Why? Why do interest groups form? Are interest groups necessary? Isn’t Congress supposed to represent the interests of Americans? What are the benefits to membership in an interest group? How is patronage related to interest group formation?

¾12.4 Analyze the strategies and tactics interest groups use to impact elections and public policy • • • • • • • • • • • • •

Ask students to speculate on why and how like-minded interest groups may differ on political strategies. Ask students to consider whether they would agree with the notion that, whether large contributors have too much influence or not, at least campaign financing is more open because changes in the federal election laws now require disclosure of large contributions. Compare the political parties’ impact on the government in general with that of interest groups. Which has a greater impact and why? What is a lobbyist? How do lobbyists shape the political decision-making process? What efforts have been made to limit the influence of interest groups on elections and political decision making? What role does money play in the relationship between interest groups and political decision makers? Why do you think early labor unions ignored the unskilled workers? What modern unions have power in the political arena? Which pathways do you see being used today to address immigration issues? Are actors on both sides—pro-immigration and anti-immigration—using the same pathways? How should government balance the interests of competing interest groups? How will these decisions affect the economy of the country? Given the large number of blue collar workers, why are labor unions relatively weak today in America? What are some groups that focus on one specific goal? What groups seem to have broader, more encompassing goals? To what extent does the American public rely on interest groups for information and education on important issues? Copyright © 2011, 2009, 2007 Pearson Education, Inc. All rights reserved.

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Which type of interest group holds the most power and influence over government decisions? Why? Would you join a group if you didn’t see any direct benefits to membership? Why or why not? How can lobbying become negative and lead to corruption? Do you think this happens often without public knowledge? How would you attempt to measure the impact of grassroots mobilization on policy and decision making? Have you ever received mailings, phone calls, or e-mails from any group trying to convince you to donate money or join? How did you respond? How much money do you think the average interest group spends each year? How much do you think they make from donations and proceeds? How prevalent are interest groups in your community? Is the community shaped by these groups or are these groups shaped by the community? What is your overall opinion of interest groups? Are they a positive force in American politics or a negative force? Why? What can be done to combat the “free-rider” problem? What is the ultimate goal of an interest group? What is the function of a PAC? Since 527 groups cannot recommend that an individual vote for one candidate over another, how do these groups convey their message? What is lobbying and describe some of the common lobbying techniques. Which is more effective: inside lobbying or grassroots lobbying? Are interest groups and PACs “buying” the votes of legislators? What are the major differences between political actions committees such as the United Auto Workers and a 527 committee such as MoveOn.org? What is so important about endorsements and voter mobilization in the election process? How did Progress for America work for the confirmation of Sam Alito to the Supreme Court? Why is it considered undemocratic when an economic interest group (for example, an oil company), gains special tax credits from Congress? Is it a cardinal rule among lobbyists to never lie to legislators or administrators? Why do you suppose that is? What are the advantages to special interest groups when they hire former legislators and administrators to act as lobbyists? What is an amicus curiae, and why would a special interest group prepare one? Why does PAC money go so overwhelmingly to incumbents?

¾12.5 Assess how much influence interest groups have over policy outcomes •

In all probability there is some issue at your school that is causing some dissension or disagreement among students and/or faculty. Clearly, the problem is associated with different interests of a variety of groups. Identify the different groups and their goals. What solutions can be identified to resolve the problem?

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Discuss the role that interest groups play in deciding which issues become major policies in American politics. Ask students to think of areas in which the interests of two or more interest groups or organizations might conflict. Identify and discuss the contributions interest groups make to campaigns other than financial donations. Considering all of the ideological interest groups that can be identified today, which do you believe have been most influential in making or delaying new energy policy? Environmental policy? Health care policy? Why? How? Discuss how the abortion issue has involved all the pathways for action. Discuss the importance of interest groups in politics today. Do students identify with any groups? Are they members of any groups? Are they represented by any groups, whether they are members or not? Ask the students if they think interest groups are good or bad for democracy. Why do we need so many pathways to influence government decision-making? How do differences in resources impact the choice of pathway an individual or group might make? How have opponents and defenders of abortion used pathways for action to advance their positions? How much influence do interest groups have? Discuss the differences between issue networks and iron triangles. Use a sample policy area such as military procurement or agriculture subsidies to illustrate how each model works, and have the class analyze which is a more useful model for analyzing policy. Compare Madison’s view of factions with the pluralist’s view on interest groups. Describe the electoral strategies of interest groups.

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Class Activities

¾12.1 Distinguish between pluralist theories and James Madison’s interpretation of the role of interest groups within American politics •

James Madison points to this dilemma: we are saddled with a politics of faction that significantly undermines political equality and the coherent national policy, yet the right of the people to form organizations is one of our most cherished and fundamental rights (political liberty). Divide the class into panels for the purpose of debating the following question: can we alleviate some of the most pressing “mischiefs of faction” without diminishing our freedom?

¾12.3 Explain how interest groups form and attract members • •

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Give the class an identity as a specific interest group. Have the class set up all aspects of operation, motivation, and the tactics it will employ to fulfill the goals associated with the assigned group. Divide the class into three to seven different “interest groups,” choosing an identity for each group that would, in all probability, be in opposition to each of the other groups. The goal is to form a coalition of the majority that will succeed in passing legislation acceptable to the majority. No further information or instruction should be given. What happens? Name three interest groups that are likely to support and be supported by the Republican Party and three interest groups that are likely to support and be supported by the Democratic Party. What are some of the key differences between these two sets of groups? Why do they so often tend to lean heavily toward one of the major political parties? Create a list of suggestions for how an interest group could target you. What types of activities would interest you and really push you to get involved? Design an item that you would sell for a specific interest group. Consider the message and goal of the group. How many do you think you could sell and for what cost? Ask students what groups they belong to. Are any of these interest groups? Have students who belong to an interest group describe what it is, why they joined, and what benefits they receive from group membership. Then assign students to identify what groups represent their interests as students. Does it matter whether they are members of those groups or not? (Alternatively, you might ask students to query their parents about their group memberships.)

¾12.4 Analyze the strategies and tactics interest groups use to impact elections and public policy •

Hold a panel discussion about the practice of lobbying government officials, after having students volunteer with organizations in the community that rely on interest group lobbying. Panelists should represent a wide variety of perspectives, and should be prepared to address the issues of lobbying reform in the post-Abramoff era, free speech and lobbying, and the implications of interest group pluralism for a democracy. Students should then write a summative paper that reflects upon their experiences working in the community and that addresses the concerns brought up in the forum.

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Have the class divide into several sections. Two-thirds of the groups should be lobbyists (pro and con of a given issue), and the one-third will be lobbied. This works best if you present them with issues first, for example, one set of groups would be assigned the issue of Social Security reform, another set of groups, gun control legislation, a third set of groups would get campaign finance. Each is then assigned a perspective. To take only the one example (gun control): group one would be a congressional committee taking up the issue, group two would be pro gun control, and group three is anti-gun control. It is most interesting if you give a scenario in which the answer is not cut and dried. For example: After the tragedy at Columbine High School, Congress is beginning to deliberate about measures to keep guns out of the hands of minors. The specific legislation that the group will address is asking all gun sellers to ensure that no minors have access to weapons of any kind. This will entail a law requiring gun sellers to ID all purchasers and double check dates of birth with a federal databank. The NRA and other groups are adamantly opposed. Gun control advocates are for the measure. Congress has a lot of undecided members. After the simulation, have students write a paper about the results. Have students form groups and each group should pick an interest group that they perceive to be unsuccessful. Have them discuss strategies to make the group more successful and then discuss why. Take a poll of twenty-five classmates. How many have participated in a rally or protest? How many felt that what they did helped create change? Create and circulate a petition for some type of change on your campus. Gather as many signatures as possible. Consider the possible outcome of such a petition if a large number of people sign. Find five examples of politicians who were endorsed by interest groups. Do you think they were helped or hurt by the endorsement? Why? (Often, interest groups will include on their websites the names and photos of politicians they’ve successfully lobbied.) Have students investigate a federal candidate of their choice by using Federal Employees’ Compensation Act (FECA) data on PAC contributions available on the Internet. Who contributed to “their” candidate? What is the typical size of contributions? Do these data provide any surprising findings? Students could also be asked to investigate the candidate’s challenger, and compare differences in the sources and levels of funding.

¾12.5 Assess how much influence interest groups have over policy outcomes • • •

Identify three interest groups you believe would most benefit you after college graduation and upon beginning your first occupational job. Why have you selected these groups? What are their positions on key issues? Name a few of Washington’s most powerful interest groups. What influence have they been able to exert on politics and decision making? What are some of the specific laws or regulations you might be able to tie to specific powerful lobbies in Washington? Imagine that you have been commissioned to start a new interest group. Determine what public policy issue you will advocate. Develop a mission statement and a plan of action. Identify key constituents that will assist you. Determine how you will collect funds. Identify what type of benefits members of the interest group may receive. Evaluate obstacles that your interest group will encounter and how you will strategically address them.

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Divide a sheet of paper in half vertically. Your assignment will be to draft a balanced debate on the advantages and disadvantages of interest groups for a democratic society. On one side, list the ways in which interest groups can be detrimental to democracy and the public interest. On the other side, respond to each charge by listing the ways in which the interest groups could actually enhance democracy and the public interest. What determines whether a group is an “insider” group or an “outsider” group? List the characteristics of both and then identify specific interest groups and their causes or issues, and place them in one of the two categories. Write a brief essay identifying the ways that interest groups may enhance democracy. Compare your answers with the arguments that pluralists raise in favor of pluralist democracy. Find two examples of each of the different types of interest group and write a brief summary of some of the issues featured on their websites. Does the tone of these websites reflect the type of interest group that created them? How? Interest Groups: Role play: Represent an interest group and try to get legislation passed.

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Research Assignments

¾12.1 Distinguish between pluralist theories and James Madison’s interpretation of the role of interest groups within American politics •

Assign students to prepare a report on Madison’s views of interest groups in The Federalist, No. 10

¾12.3 Explain how interest groups form and attract members • • • •

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Research an interest group that you want to know more about. What do they state as their function/goal? Use the Internet to research the formation of interest groups throughout history. Create a short timeline. What is the oldest interest group you can find? Have students select a political movement and write a paper on its major goals and tactics. The websites of both the pro-choice group, the National Abortion Rights Action League, and the pro-life National Right to Life Committee, offer links to election-related information. Compare the pages to see how each group uses the election-centered pathway. For the NARAL page, go to http://www.prochoiceamerica.org/elections/ For the NRLC page, go to http://www.nrlc.org/. Ask students to research campaign contributions to their U.S. House of Representative’s member through the websites: http://www.votesmart.org/, or through their individual state campaign finance websites. Have students identify the top three interest group contributors to their U.S. House of Representative member’s campaign and indicate whether or not this interest is a major one in the district. Students should choose an interest group that they would consider supporting. Using the Internet, students should access their selected group’s home page and answer the following questions: What are the top four ways your interest group would like to get involved? What type of involvement is likely to yield the best results? Go to the AARP Web site at http://www.aarp.org/about_aarp/ and make a list of all the issues they support. Summarize your findings. Ask students to prepare written reports on why the NRA is such a powerful interest group. Have the students choose one or two interest groups that have Web sites on the Internet. Over the course of the semester, have them track the messages posted and compare them to coverage of those subjects in the mainstream media. How do the two differ? Have students check out several interest groups’ websites (AARP, MADD, NRA). What are these groups’ legislative agendas? Assign students to do a report on MADD (or another group) as an example of a single-issue interest group. Have students visit their local Chamber of Commerce to ascertain the salient business and political issues of local concern. Have students interview a local leader of either the ACLU or the John Birch Society. Have students interview the leader of a prominent local interest group about its organizational politics.

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Ask students to investigate the kind of lobbying efforts used by tobacco companies to prevent the passage of anti-smoking legislation. Visit the homepage of an interest group. Are they targeting wealthy members? Are they catering to the less educated and the poor? Explain the member benefits and services of the NRA: http://www.nra.org/ Consider the leadership of three groups of your choice. How does their leadership affect the group positively and negatively? The largest and most powerful interest group in America today is the AARP. Have students visit the AARP Web site (http://www.aarp.org). Using what they learn from the Web site, the text, and class lectures/discussions, have them write a paper explaining why the AARP is successful in both membership and lobbying. Note AARP’s recent decline in membership because of its support of the healthcare reform bill – not supported by AARP’s members or target audience. Why would AARP support such an unpopular plan?

¾12.4 Analyze the strategies and tactics interest groups use to impact elections and public policy •

•

• •

•

There are literally thousands of interest groups advocating specific policies, candidates and issues. Go to the Internet and search for interest groups. Identify three that interest you. Visit the website for each of the three. Write down their mission and other key pieces of information. Compare all three sites. Determine if they are a PAC or a 527 committee. Determine how they receive their funding and what they do with their funds. Have class members interview several lobbyists (or invite several lobbyists to talk to your class). Discuss how they see their job and what tactics work and which ones don’t. What issues do they deal with, and what do they offer to politicians? How do they define a successful lobbyist? After talking with the professional lobbyists, what do you think about lobbying now? Does lobbying seem less “unsavory”? Do the media do lobbyists justice in their coverage? To provoke discussion on the influence of interest groups, bring in, or have students research before class—using http://www.opensecrets.org—the top contributing lobbying organizations in Washington, D.C. What types of groups appear in this list, and why? What does this list tell us about interest group politics and democracy? Alternatively, you could also have them do the web exploration on industry and compare its lists of top donors with top lobbying groups – is it merely money that buys a group power, or are other factors involved? Have students look up the ADA and ACA rating of their representatives and senators in Congressional Quarterly. PAC AND SOFT MONEY CONTRIBUTIONS: Investigate total expenditures reported to the Federal Election Commission by the two major candidates in the last U.S. Senate race in your state. How much did each candidate spend? What percentage of the total was PAC money? Who were the major PAC contributors? Were these PACs locally based or national in scope? Repeat this investigation for the last House race in your district. In addition, investigate the role soft money played in both the Senate and House races. Have students meet with community business leaders who represent the largest employers and/or industries in your area. In these meetings, they should ask which interest groups or professional associations work to further these groups’ interests. What are the interest Copyright © 2011, 2009, 2007 Pearson Education, Inc. All rights reserved.

•

• •

groups’ goals? What level of government is of primary focus? How does this information compare to the description from the chapter? Students should identify the categories from the book to which the interest groups belong. Advances in computer and communications technology have made it easy to identify target groups to receive information on particular issues. Ask your students to collect examples to bring to class on a specified date. Newsletters from members of Congress should also be included. Suggest that students involve relatives and friends in the search, whenever possible. Use the information that is collected to discuss the importance of direct marketing in shaping public opinion. This assignment should be made well in advance, to provide time for a meaningful search for information. Assign students to visit the Web sites of a number of interest groups. What are they doing? What are their key issues and tactics? Who are their members? How many members do they have? How does this information correlate with what we have learned in this chapter? Have students look for interest group polling data (this works best if you have already covered the chapter in the text on polling and political socialization). They should find examples of good and bad polling by interest groups and discuss why some groups use egregious and wrong polling methods and others do not. Ask them to speculate on how these tactics affect the interest groups relationships with Congress, the executive, the public, and the media.

¾12.5 Assess how much influence interest groups have over policy outcomes •

• • • •

Have students research Charitable Choice and government support for faith-based programs. What national and state policies benefit religious organizations? (See the New York Times series from October 2006 on this topic.) Students can volunteer with a faith-based charity and during their time there, discuss with employees the pros and cons of government support for their work. Identify interest groups that are affiliated with or related to the faith-based organization. What are the interest groups’ goals and what level of government are they targeting? In a critical essay, analyze the issue of government funding to religious interests and the perspective of your organization and related interest groups. A particularly strong essay might address the question of whether these are better classified as interest groups or part of a larger social movement. Locate five groups that have emerged as a result of mistrust of government. Find different examples of merchandise or fundraising events for different interest groups on the Internet. Find a news article concerning government reaction to an interest group. This article could concern a policy decision or simply the fact that the issue was addressed. Have members of the class interview your member of Congress or their staff members about their views of interest groups and lobbyists (or invite them to class to discuss the issue). Have students write a paper addressing the following questions: What do they say? How much access do lobbyists actually have? How much influence? What kinds of tactics work best with Congress? Has your attitude towards lobbyists changed now that you know more about the process? Why or why not?

× Return to Chapter 12: Table of Contents

V. Quantitative Assessment Administer Chapter Exam (see Test Bank, Chapter 12) × Return to Chapter 12: Table of Contents

VI. Resources for Further Study A.

Books

1. Ainsworth, S. (2002). Analyzing interest groups: Group influence on people and politics. Boston: W. W. Norton & Company. 2. Alexander, R. (2005). The classics of interest group behavior. Belmont: Wadsworth. 3. Armstrong, J. (2006). Crashing the gate: Netroots, grassroots, and the rise of peoplepowered politics. White River Junction: Chelsea Green Pub. Co. 4. Baumgartner, F. R., & Leech, B. L. (1998). Basic interests: The importance of groups in politics and in political science. Princeton: Princeton University Press. 5. Berry, J. M., & Wilcox, C. (2008).The interest group society. (5th ed.). New York: Pearson Longman. 6. Berry, J. M. (1999). The new liberalism: The rising power of citizen groups. Washington, DC: Brookings Institution Press. 7. Biersack, R, Herrnson, P., & Wilcox, C. (1999). After the revolution: PACs, lobbies, and the republican congress. Boston: Addison Wesley. 8. Birnbaum, J. H. (2000). The money men: The real story of fund-raising’s influence on political power in America. New York: Crown. 9. Broder, D. S. (2000). Democracy derailed: Initiative campaigns and the power of money. New York: Harcourt Brace. 10. Cigler, A. J., & Loomis, B. A. (Eds.). (2008). Interest group politics (7th ed.). Washington, DC: Congressional Quarterly Press. 11. Collins, P. (2008). Friends of the Supreme Court: Interest groups and judicial decision making. New York: Oxford University Press. 12. CQ Press Editors. (2007). Public interest group profile, 2006–7. Washington, DC: Congressional Quarterly Press. 13. Dekieffer, D. E. (2007). The citizen’s guide to lobbying congress. Chicago: Chicago Review Press. 14. Di Gioacchino, D. (2004). The role of organized interest groups in policy making. New York: Palgrave Macmillan. 15. Franz, M. (2008). Choice and changes. Philadelphia: Temple University Press. Copyright © 2011, 2009, 2007 Pearson Education, Inc. All rights reserved.

16. Gerber, E. R. (1999). The populist paradox: Interest group influence and the promise of direct legislation. Princeton: Princeton University Press. 17. Gray, V., & Lowery, D. (2001). The population ecology of interest representation: Lobbying communities in the American states. Ann Arbor: University of Michigan Press. 18. Graziano, L. (2001). Lobbying, pluralism and democracy. New York: Palgrave Macmillan. 19. Green, J. C. (2008). The faith factor: How religion influences American elections. Westport: Praeger Publishers. 20. Grossman, G. M. (2001). Special interest politics. Cambridge: MIT Press. 21. Herrnson, P. S., Shaiko, R. G., & Wilcox, C. (Eds.). (2004). The interest group connection: Electioneering, lobbying and policymaking in Washington. Washington, DC: Congressional Quarterly Press. 22. Keck, M., & Sikkink, K. (1998). Activists beyond borders: Advocacy networks in international politics. Ithaca: Cornell University Press. 23. King, D. C., & Walker, J. L., Jr. (1991). Mobilizing interest groups in America: The origins and maintenance of groups. Ann Arbor: University of Michigan Press. 24. Kollman, K. (1998). Outside lobbying: Public opinion and interest group strategies. Princeton: Princeton University Press. 25. Magleby, D. B., & Monson, J. Q. (2004). The last Hurrah?: Soft money and issue advocacy in the 2002 congressional elections. Washington, DC: Brookings Institution Press. 26. Mearsheimer, J., & Walt, S. (2008). The Israel lobby and U.S. foreign policy. New York: Farrar, Straus & Giroux. 27. Moe, T. (1988). The organization of interests: Incentives and the internal dynamics of interest groups. Chicago: University of Chicago Press. 28. Nownes, A. J. (2001). Pressure and power: Organized interests in American Politics. Boston: Houghton-Mifflin. 29. Nowes, A. J. (2006). Total lobbying: What lobbyists want (and how they try to get it). New York: Cambridge University Press. 30. Olson, M. (1965). The logic of collective action: Public goods and the theory of groups. Cambridge: Harvard University Press.

31. Petracca, M. P., (Ed.). (1992). The politics of interests: Interest groups transformed. Boulder: Westview Press. 32. Rosenthal, A. (2001). The third house: Lobbyists and lobbying in the States. Washington, DC: Congressional Quarterly Press. 33. Ross, W. G. (1993). A muted fury: Populists, progressives, and labor unions confront the courts, 1890–1937. Princeton: Princeton University Press. 34. Rothenberg, R. (1984). The neoliberals: Creating the new American politics. New York: Simon & Schuster. 35. Rozell, M. J., Wilcox, C., & Madland, D. (2005). Interest groups in American campaigns: The new face of electioneering. Washington, DC: Congressional Quarterly Press. 36. Salisbury, R. H. (1992). Interests and institutions. Pittsburgh: University of Pittsburgh Press. 37. Steinfels, P. (1979). The neoconservatives: The men who are changing America’s politics. New York: Simon & Schuster. 38. Strolovitch, D. Z. (2007). Affirmative advocacy: Race, class, and gender in interest group politics. Chicago: University of Chicago Press. 39. Walker, J. L., Jr. (1991). Mobilizing interest groups in America: Patrons, professions, and social movements. Ann Arbor: University of Michigan Press. 40. West, D. M. (2000). Checkbook democracy: How money corrupts political campaigns. Boston: Northeastern University Press. 41. West, D. M., & Loomis, B. A. (1998). The sound of money: How political interests get what they want. New York: W. W. Norton & Company. 42. Wright, J. R. (2002). Interest groups and congress: Lobbying, contributions and influence. New York: Pearson Longman. × Return to Chapter 12: Table of Contents B.

Articles

1. Andres, G. J. (1985, Spring). Business involvement in campaign finance: Factors influencing the decision to form a corporate PAC. PS, 18(2), 213–220. 2. Andrews, K. T. (2008, November). Affirmative advocacy: Race, class, and gender in interest group politics. Contemporary Sociology, 37(6), 593–594.

3. Browne, W. P. (1990, May). Organized interests and their issue niches: A search for pluralism in a policy domain. Journal of Politics, 52(2), 477–509. 4. Buell, E. H. (1993, May). Creative campaigning: PACs and the presidential selection process. Journal of Politics, 55(2), 515–517. 5. Calderia, G., & Wright, J. R. (1988, December). Organized interests and agenda setting in the U.S. Supreme Court. American Political Science Review, 82(4), 1109–1127. 6. Epstein, L., & Rowland, C. K. (1991, March) Debunking the myth of interest group invincibility in the courts. American Political Science Review, 85(1), 205–217. 7. Gottlieb, S. E. (1988). Why study PACs? Law & Society Review. 8. Grenzke, J. M. (1989, February). PACs and the congressional supermarket: The currency is complex. American Journal of Political Science, 33(1), 1–24. 9. Hall, R. I., & Wayman, F. W. (1990, September). Buying time: Managed interests and the mobilization of bias in congressional committees. American Political Science Review, 84(3), 797–820. 10. Humphries, C. (1991, June).Corporations, PACs and the strategic link between contributions and lobbying activities. Western Political Quarterly, 44(2), 353–372. 11. Maclean, L. (2008, July 7). The decline of America’s religious right. Savage. 12. Mahoney, C., & Baumgartner, F. (2008, November). Converging perspectives on interest group research in Europe and America. West European Politics, 31(6), 1253–1273. 13. Myers, R. J., (Ed.). (1986, January).Religion and the state: The struggle for legitimacy and power. The Annals of the American Academy of Political and Social Sciences, 483(1) 14. Opheim, C. (1991, June). Explaining the differences in state lobbying regulation. Western Political Quarterly, 44(2), 405–421. 15. Salisbury, R. (1984, March). Interest representation: The dominance of institutions. American Political Science Review, 78(1), 64–76. 16. Silverstein, K. (2007, July). Their men in Washington. Harper’s Magazine. × Return to Chapter 12: Table of Contents C.

Media

1. Friends of God: The Evangelical Movement in America. (2007). Films for the Humanities and Sciences. This film examines the evangelical movement and its influence on politics. Copyright © 2011, 2009, 2007 Pearson Education, Inc. All rights reserved.

2. Legally Blond 2: Red, White, and Blond. (2003). Comedy about recent Harvard Law graduate becoming involved in animal rights advocacy. 3. Organizing America: The History of Trade Unions. (1994). Insight Media. This film examines the formation of collective action among workers in America as a force of social change. 4. Religious Fundamentalism. (1996). Films for the Humanities and Sciences. This film examines the rise of religious fundamentalism as organized interests and analyzes its impact on American political life. 5. The Religious Right. (1992). Films for the Humanities and Sciences. This program analyzes the impact of the conservative religious right on contemporary Republican policies. 6. The Unelected: The Lobbies and the Media. (1996). Hedrick Smith Productions, PBS Video. Part of the “Power Game” series from PBS. This video examines the influence of power lobbies and the media on Capitol Hill politics. × Return to Chapter 12: Table of Contents D.

Web Resources

1. AFL-CIO is the largest trade union organization in America. Its Web site offers policy statements, news, workplace issues, and labor strategies. http://www.aflcio.org/ 2. American Association of Retired Persons (AARP) is an interest and advocacy group devoted to the interests of those over fifty. http://www.aarp.org/ 3. American Bar Association. http://www.abanet.org/ 4. American Civil Liberties Union (ACLU) offers information on the entire Bill of Rights including racial profiling, women’s rights, privacy issues, prisons, drugs, etc. Includes links to other sites dealing with the same issues. http://www.aclu.org/ 5. American Medical Association. http://www.ama-assn.org/ 6. Center for Responsive Politics (Lists campaign contributions by sector, individual, etc. to candidates for federal office.) “Open Secrets.” http://www.opensecrets.org/ 7. Common Cause, founded by Ralph Nader, was one of the first public interest groups. It promotes responsible government. http://www.commoncause.org/ 8. Homepage of Ethanol Across America: http://www.ethanolacrossamerica.net/

9. Federal Election Commission. (Responsible for regulation of campaign financing for federal office.) http://www.fec.gov/ 10. Labor Net. Access to labor unions and information on labor issues. http://www.labornet.org/ 11. Lobbyists Info. (Professional site for Washington, D.C. lobbyists.) http://www.lobbyists.info/ 12. Mexican American Legal Defense and Education Fund (MALDEF). Web site offers information on Census 2000, scholarships, job opportunities, legal programs, regional offices information, and more. http://www.maldef.org/ 13. Native American Rights Fund (NARF). Web site offers profiles of issues, an archive, resources, a tribal directory, and treaty information, as well as a lot of other information. http://www.narf.org/ 14. The National Association for the Advancement of Colored People (NAACP). Web site offers information about the organization, membership, and issues of interest to proponents of civil rights. It also has sections on the Supreme Court, Census 2000, and the Education Summit and includes links to other Web sites. http://www.naacp.org/ 15. National Association of Manufacturers. http://www.nam.org/ 16. National Organization for Women (NOW). Web site offers information on the organization and its issues/activities including women in the military, economic equity, and reproductive rights. It offers an e-mail action list and the ability to join NOW online. There is also a page with links to related sites. http://www.now.org/ 17. The National Rifle Association (NRA) offers information on gun ownership, gun laws, and coverage of legislation on associated issues. http://www.nra.org/ 18. People for the Ethical Treatment of Animals (PETA). http://www.peta.org/ 19. Public Interest Research Group (PIRG) is a public interest group that promotes issues such as the environment and anti-tobacco. http://www.pirg.org/ 20. Project Vote Smart. Information on interest group campaign contributions to and ratings for all members of Congress. http://www.votesmart.org/ 21. The Right Links. A portal to conservative groups and organizations. http://www.conservativeusa.org/ritelink.htm 22. Rightgirl. Conservative women’s issues and organizations. http://www.rightgirl.com/ 23. Sierra Club. http://www.sierraclub.org/

24. Student Environmental Action Coalition. A grassroots coalition of student environmental groups. http://www.seac.org/ 25. Susan G. Komen Breast Cancer Foundation. http://ww5.komen.org/ 26. The U.S. Chamber of Commerce is a business-oriented interest group whose Web site offers articles of interest, policy information, and membership info. http://www.uschamber.org/ 27. Richard Kimber’s Worldwide Index of Political Parties, Interest Groups, and Other Social Movements. http://www.psr.keele.ac.uk/parties.htm × Return to Chapter 12: Table of Contents

Integrated Guide to the Text’s Resources (Instructor’s Resource Manual)

Chapter 13 - Congress Table of Contents I. Chapter Overview A. Learning Objectives B. Chapter Summary II. Student Assignments – Pre-Lecture III. Lecture Resources A. Lecture Slides B. Additional Lecture Suggestions IV. Student Assignments – Post-Lecture A. Class Discussion Questions B. Class Activities C. Research Assignments V. Quantitative Assessment VI. Resources for Further Study A. Books B. Articles C. Media D. Web Resources

I. Chapter Overview: A.

Learning Objectives

¾13.1 Outline the basic structure of Congress. ¾13.2 Analyze the relationship of members of Congress to their constituencies, and distinguish between the trustee and delegate model of representation. ¾13.3 Assess the challenges that emerge when members of Congress set about working together. ¾13.4 Identify the resources and the committee and party structures that help Congress address its challenges. ¾13.5 Outline the lawmaking process in Congress. ¾13.6 Outline the appropriations process. × Return to Chapter 13: Table of Contents B.

Chapter Summary

An Institution with Two Chambers and Shared Power Congress is a bicameral institution, that is, it consists of two chambers: a House of Representatives and a Senate. In the House, the 435 voting members are elected every two years and represent state districts, which are remade every decade to reflect changes in the number of people living in different regions of the country. On average, each member represents roughly 600,000 people. In the Senate, the 100 members are elected every six years and represent entire states. Members serve their constituents, that is, the people who reside within their political jurisdiction. Beyond the positions they take on the issues of the day, members of Congress also serve their constituents through casework: they direct assistance to individuals and groups within a district or state. Structure of Congress In both the House and Senate, members are assigned to different committees that oversee distinct policy areas. These committees draft versions of bills, hold hearings about policy issues, and investigate activities in the executive branch. There are different types of committees: standing committees with well defined policy jurisdictions, and select committees that are temporary and are designed to serve a short term purpose. On average, senators serve on four committees and representatives serve on two. A chair, who is always from the party with a majority of seats in his or her chamber, oversees each committee and subcommittee. In the House, the party with the most seats selects the Speaker of the House. In the Senate, the majority party selects the majority leader. In both chambers, the party with fewer seats selects the minority leader. Lawmaking To become a law, a bill must travel a long road. To begin the process, a sponsor introduces a bill into either the House or Senate. A bill can originate in either chamber. The bill then must be referred to the appropriate committee for consideration, then to a subcommittee. The substance of the bill is considered at the subcommittee level. Members of the subcommittee Copyright © 2011, 2009, 2007 Pearson Education, Inc. All rights reserved.

review the bill, holding hearings and conducting research on how it will likely affect their constituents and the nation as a whole. In a process called markup, members rewrite portions of the bill, delete others, and add still more. To become a law, a bill must pass both chambers of Congress. Each year, Congress enacts roughly five “landmark” laws, six “major” laws, 36 ordinary” laws, and no less than 314 “minor” laws. The work of Congress is not complete after it enacts a law. Congress must commit funds so that the law can be set in motion. × Return to Chapter 13: Table of Contents

II. Student Assignments – Pre-Lecture A. B. C.

Student Required Reading: Chapter 13 – Congress Administer Reading Comprehension Quiz (see Test Bank, Chapter 13) Chapter Test – After your students have completed their reading assignment, go over these questions with your class to identify any areas you should focus on in your lecture.

Chapter Test 1. How do structural differences between the Senate and House explain differences in behavior of those people who work in the two chambers of Congress? 2. What kinds of things can members of Congress do to increase their chances of being reelected? 3. When members of Congress challenge the president over matters involving war, are they behaving more consistently with the delegate model of representation or the trustee model? Why? 4. How do congressional committees help address the challenges of collecting information? 5. How do parties reduce collective action problems in Congress? 6. As long as a bill retains the support of a majority of members of Congress, will it necessarily be enacted into law? 7. How can the president influence the content of legislation? 8. Why do members of the same party typically vote the same way on legislative initiatives? 9. Through what mechanism does Congress direct funds to relief efforts for unforeseen emergencies? 10. In what ways is the appropriations process easier to navigate than the legislative process? × Return to Chapter 13: Table of Contents

III. Lecture Resources A.

Lecture Slides

Slide 1

Slide 2

The opening feature of this has to do with distributing Homeland Security Funds – which brings home to students the bizarre nature of representation in Congress. There is no national agenda – only an aggregate of 435 district and 50 state agendas.

Slide 3

Chapter 13: Congress Congress is a bicameral institution that serves as the legislative or law-making branch of the U.S. government.

Slide 4 After Reading This Chapter, You Should Be Able To: 9 LO 13-1: Outline the basic structure of Congress. 9 LO 13-2: Analyze the relationship of members of Congress to their constituencies and distinguish between the trustee and delegate model of representation. 9 LO 13-3: Assess the challenges that emerge when members of Congress set about working together. 9 LO 13-4: Identify the resources and the committee and party structures that help Congress address its challenges. 9 LO 13-5: Outline the lawmaking process in Congress. 9 LO 13-6: Outline the appropriations process.

Slide 5

LO 13-1

Bicameralism House of Representatives A. B. C. D. E.

435 Voting Members 2-Year Election Cycle Districts Power to Write Taxes Impeachment Power

Senate A. B. C. D. E. F.

Slide 6

100 Voting Members 6-Year Election Cycle States Ratifies Treaties Approves Appointments Power to Convict Impeached Officials

To Learning Objectives

LO 13-1

Congress is an institution consisting of two chambers. Most powers of each chamber (the enumerated powers discussed in Chapter 3) are the same, but there are some key differences. The House is bigger, and represents districts within states that each have about 600,000 voters. This results in more close relationships with constituents. The Senate is smaller and represents states, which results in more freedom for members. The House is the people’s chamber, while the Senate was intended to be more elite. The Senate has the ability to ratify treaties and approve appointments, while the House originates revenue bills and has the right to impeach officials. Once an official has been impeached, the Senate tries the accused. Outfitting states to fight terrorism: In the aftermath of September 11, 2001, Congress distributed funds to every state in the country to combat terrorism. Nine years later, funds still are not allotted strictly according to assessed risk of a terrorist attack. Here, two New York City police officers stand watch in the aftermath of an attempted car bombing in Times Square. In your opinion, how should these funds be distributed around the nation?

To Learning Objectives

Slide 7

How many districts are there in the House of Representatives?

LO 13-1

A. 270 B. 435 C. 440 D. 535

Slide 8

To Learning Objectives

How many districts are there in the House of Representatives?

LO 13-1

A. 270 B. 435 C. 440 D. 535

Slide 9

To Learning Objectives

LO 13-2

Representation A. Reelection – incumbency – casework

All members of Congress have one goal: to be reelected. Congress is the only branch of the federal government that is elected directly. The judiciary is not elected, and the president is chosen by the Electoral College. Also, members of Congress run for office over and over, while presidents only run for reelection once. They are “single-minded seekers of reelection.”

Slide 10

To Learning Objectives

LO 13-2

Term limits, bringing the elected closer to the public?: Often, members of Congress are criticized for being out of touch with the interests of everyday citizens. In this regard, members of Congress are not unique. Here, a protester calls for the imposition of term limits in order to “end gridlock” in Montgomery County, Marlyland.

To Learning Objectives

Slide 11

LO 13-2

Slide 12

Standing with your constituents: Members of Congress make a point of maintaining close relations, or at least the appearance thereof, with their constituents. Here, Florida Senator George LeMieux greets visitors while assessing the damage done to Pensacola Beach, Florida, by the British Petroleum Oil Spill in the summer of 2010.

To Learning Objectives

LO 13-2

Representation A. Reelection – incumbency – casework

B. Models of Representation

In order to be reelected, members must serve their constituents. Members generally support the legislation that is popular in their states or districts; they also make sure that their constituents get pieces of the pie that is distributed nationally (see the opening feature). Thus incumbents tend to do very well in elections—they have a reelection rate of over 90 percent, and are usually reelected by wide margins.

Slide 13

To Learning Objectives

LO 13-2

Representation A. Reelection – incumbency

Members of Congress serve their constituents best by doing casework—direct assistance to individuals and groups within a district or state. Staff for members do a lot of work helping individual constituencies. This casework leads to votes in the next election.

– casework

Slide 14

To Learning Objectives

LO 13-2

In politics, not everyone is represented well: Members of Congress tend not to represent the interests of people who do not, or cannot, vote. Caught in the juvenile justice system, these youths cannot vote, and therefore have significantly fewer opportunities to put political pressure on members of Congress. In your view, should individuals who are incarcerated have the right to vote?

To Learning Objectives

Slide 15

LO 13-2

Representation A. Reelection – incumbency – casework

B. Models of Representation – delegate

There are two different types of representation generally used in Congress. Roughly speaking, House members tend to act like delegates, while Senators act like trustees. The first is type is the delegate: the type of representation by which representatives are elected to do the bidding of the people who elected them. Representatives are delegates in that they share the same policy positions as the voters and promise to act upon them.

Slide 16

To Learning Objectives

LO 13-2

Representation A. Reelection

Trustee representation is the type of representation by which representatives are elected to do what they think is best for their constituents; they reflect deeply on the arguments for and against different policies before taking a position.

– incumbency – casework

Slide 17

To Learning Objectives

LO 13-2

Slide 18

To Learning Objectives

LO 13-2

While members have incentives to represent their constituents, some groups are left out of the equation almost entirely while others are represented very well. Interest groups are well funded to make sure that their stakeholders are protected in Congress.

One thought on representation is that people are best represented by members who have much in common with them; therefore, the fact that so few members are not white men means that other groups are underrepresented. Note, however, there are more of these groups than ever before—the face of American government is changing.

To Learning Objectives

Slide 19

LO 13-2

The Senate tends to have what kind of representation? A. Delegate B. Trustee C. Descriptive D. All of the Above

To Learning Objectives

Slide 20

LO 13-2

The Senate tends to have what kind of representation? A. Delegate B. Trustee

C. Descriptive D. All of the Above

To Learning Objectives

Slide 21

LO 13-3

How does Congress make decisions? A. Members disagree with each other.

B. Basic Challenges to Decision-Making

The Congress is designed to represent a very diverse nation—but members cannot work alone, so they have to rally support among people who disagree with them. Party affiliation isn’t everything; Republicans from Utah look very different from Republicans in California.

– collecting information – acting collectively – cycling

Slide 22

To Learning Objectives

LO 13-3

Gulf oil spill concerns: US Senator David Vitter (R-LA) surveys the oil damage to the coastline of Louisiana. In your view, what responsibilities do members of Congress have in disaster relief efforts?

To Learning Objectives

Slide 23

LO 13-3

How does Congress make decisions? A. Members disagree with each other. B. Basic Challenges to DecisionMaking – collecting information

The things that help one member get elected do not necessarily help another member get elected—even though they have that goal in common, they need to sort through their differences in order to satisfy their different constituents and retain seats. Members of Congress have to keep track of everything from the domestic economy to crime to international trade to transportation—they then have to figure out how to solve various problems. To do this, they need lots of information.

To Learning Objectives

Slide 24

LO 13-3

Setting a minimum wage: For many, minimum wage legislation strictly defines the hourly earnings they can expect to receive. The legislation itself, though, is extraordinarily complex, requiring members of Congress to develop and analyze lots of information about different industries.

To Learning Objectives

Slide 25

LO 13-3

How does Congress make decisions? A. Members disagree with each other. B. Basic Challenges to DecisionMaking

Once members have the information, they then need to work together to write laws. They have a short time to build a long list of accomplishments, so they must use their resources accordingly—it is easy to take credit for the work others have done. This is known as the collective action problem; individuals are better off if someone else does work that they can take credit for.

To Learning Objectives

Slide 26

LO 13-3

How does Congress make decisions? A. Members disagree with each other. B. Basic Challenges to Decision-

A majority of members prefer an alternate solution to the current law. Among that majority, there are groups that prefer different alternatives. As a result, members cannot settle on a single change to existing policy—this is known as cycling. They need to stop talking at some point and make the change.

To Learning Objectives

Slide 27

The ___ challenge means that members cannot settle on a solution.

LO 13-3

A. Collecting Information B. Collective Action C. Cycling D. Electoral

Slide 28

To Learning Objectives

The ___ challenge means that members cannot settle on a solution.

LO 13-3

A. Collecting Information B. Collective Action C. Cycling

D. Electoral

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Congressional Structure A. Committees

B. Parties C. Staff and Support Agencies

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To effectively face the challenges before it, Congress imposed structure on itself and its members. The first structural solution is committees, which allows smaller groups to oversee distinct policy areas. Committees do the work of Congress: drafting bills, holding hearings, and investigating the activities of the executive branch. Standing committees have well-defined policy jurisdictions that do not change from session to session—they are the real workhorse of Congress. Select committees are designed to address specific issues over shorter periods of time; they cease to exist when the work is done. Joint committees draw members from both chambers to focus on fairly narrow issue areas. Subcommittees are smaller, more specialized units that sit inside the standing committees; they provide information to the larger committee. On average, senators serve on five committees and House members serve on two. The membership on committees is also relatively permanent.

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Congressional Structure A. Committees B. Parties

C. Staff and Support Agencies

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Collecting information in hearings: In the summer of 2010, Joint Chiefs Chairman Admiral Mike Mullen, Defense Secretary Robert Gates, and Pentagon Comptroller Robert Hale testify before the Senate Appropriations Committee hearing on the Defense Department’s fiscal 2011 budget.

In addition to the committee system, Congress has imposed a party system on itself. These party coalitions formed first in Congress and now help to overcome the collective action and cycling problems. At the beginning of each session, congressional Democrats gather in a party caucus while congressional Republicans gather for a party conference. In these meetings they choose leadership, with the majority party choosing the leaders who will actually run the chamber while the minority party choose leaders to run the party. Parties keep their members in line using leadership—especially the party whip, whose job it is to deliver messages to members from leaders. The president and party leaders: President Barack Obama, flanked by House Speaker Nancy Pelosi (D-CA) and House Majority Leader Steny Hoyer (D-MD), arrive at Capitol Hill for a meeting with the Democratic caucus. Shortly after the Democrats lost control of House in the fall of 2010, Pelosi announced her decision to stand for minority leader in the next Congress, and Hoyer announced his decision to run for minority whip.

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Congressional Structure A. Committees B. Parties C. Staff and Support Agencies

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Members of Congress are assisted by roughly 11,000 staffers who perform all sorts of tasks. Each senator has about forty staffers, while House members have an average of seventeen. There are also administrative agencies that help members make decisions. The Congressional Research Service was established in 1914 and handles hundreds of thousands of queries each year from members seeking information. Government Accountability Office (created in 1921) studies policy issues and acts as an investigatory body for members who want to see what bureaucracies are spending money on. The Congressional Budget Office was created in 1974 and provides members with information about the costs of policies and the economic implications of different budget proposals. Go over the various types of committees, noting the overlap between chambers as well as the variety of policy areas covered.

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Since the 1970s, members vote with their parties more often. Note the decreasing defections.

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Party polarization is the increase of members’ voting with their party—this is a result of ideological cohesion. The increase in polarization has happened because conservative Southern Democrats switched parties and more moderate Republicans have left their party.

Even though polarization has happened here—the differences between the parties have become starker—we have not seen that in other parts of the world.

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____ committees have members from both chambers. A. Standing B. Select C. Sub D. Joint

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____ committees have members from both chambers. A. Standing B. Select C. Sub D. Joint

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Lawmaking 9 Introduction 9 Committee Markup 9 House Rules Committee 9 Senate Filibuster

The lawmaking process is very long. Use the chart provided in slides 37–38 to go through this whole process visually, if necessary. The first step is the introduction; a sponsor, any member of Congress, offers a bill into either the House or the Senate. The bill is then referred to the appropriate committee for consideration. In the House, the Speaker decides where the bill goes; in the Senate, the president pro temp or Vice President decides.

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Slide 43

The Rules Committee decides how a bill will be debated on the floor of the House: when the bill goes to the floor, how long members will debate on a bill, and what kind of amendments (if any) can be offered. There are two types of rules: open rule, which allows for a wide range of amendments, and a closed rule, in which the types and number of possible amendments are more restricted. Supporters typically prefer a closed rule on their bill. Then the Rules Committee submits the bill to the floor.

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Once a bill is assigned to a committee—typically the relevant policy domain—it is assigned by the committee chair to subcommittees. The substance of a bill is first considered by a subcommittee. In a process called markup, members rewrite portions of the bill, delete others, and add still more—the subcommittee then reports the bill back to the full committee when it is ready. The full committee then also does markup and offers revisions. In the House, the bill then is reported to the Rules Committee. In the Senate, the bill is reported to the floor.

Meeting the people: Though congressional committees often solicit testimony from experts, they also meet with average citizens. In 2010, in the aftermath of a spate of accidents caused by sudden unintended accelerations in Toyota vehicles, a number of victims testified before the House Committee on Energy and Commerce.

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Slide 46

In the Senate, the process for getting a bill passed can have a higher threshold. The convention in the Senate is that any member can speak for as long as he or she wants on any given issue, and the speaking does not have to be germane to the bill. If a senator speaks for an extended period on a topic, it is called a filibuster, which is used to delay a vote. To end filibuster, the Senate needs sixty votes to call for a cloture—if fifty-five Senators want a bill that two or three Senators do not, the bill can be killed.

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Lawmaking 9 Introduction 9 Committee Markup 9 House Rules Committee 9 Senate Filibuster

Stalemate: First in 2005 and again in 2007, Congress sent bills to President George W. Bush that would provide federal funding for medical research that uses human embryonic stem cells. Opposed to this research, Bush vetoed the Stem Cell Research Enhancenment Acts of 2005 and 2007. In both instances, members of Congress sought to compromise with the president but could not reach common ground. To date, neither law has been enacted. In March 2009, President Barack Obama signed an executive order overturning Bush’s ban on embryonic stem cell research. In August, 2010, however, a federal district judge issued an injunction blocking the use of federal funds for stem cell research. Once each chamber has passed a bill, each version has to be reconciled to the other—meaning that the president only gets one piece of legislation to sign or to veto. To get the bills reconciled, the chambers send members to a conference committee which only exists to iron out the differences between the bills. The more complex or significant the legislation, the more members are in the conference.

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Failing to act: To date, Congress has failed to pass comprehensive immigration reform of any kind. As a result, some states have taken it upon themselves to do so. Arizona’s action on the matter in 2010 evoked widespread protests from supporters of immigration. In your view, how should Congress address the issue of immigration? And should the states have any say in the matter?

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Slide 51

The lawmaking process is long, and most introduced bills fail to become laws.

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Given the length of this process, it is important to note that most bills fail. Committees have substantial gate-keeping authority, and keep many bills from ever getting a vote. In the Senate, the filibuster is a powerful tool that allows a single senator to slow legislation down.

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Once the identical bill passes both chambers, it heads down the road to the White House for presidential action. The president has a few choices. First, he can sign the bill and it becomes law. Second, he can ignore the bill, and it becomes law in ten days without his signature. Third, he can ignore the bill, the Congress goes into recess, and the bill is vetoed without his signature—this is known as a pocket veto. Finally, he can veto the bill. At which point the bill goes back to the originating chamber; if two-thirds of both chambers agree to override the veto, the veto is overridden and the bill becomes law.

Note the extremely low rates of passage even in years of unified government. Use the case study of immigration reform (provided in the textbook) to flesh out the difficulties Congress has passing legislation.

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Which House committee controls debate? A. Standing B. Joint C. Rules D. Conference

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Which House committee controls debate? A. Standing B. Joint C. Rules

D. Conference

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Appropriations 9 Two-Step Spending Process 9 authorization 9 appropriations

To spend money, Congress has to work to commit funds so that the law can be set in motion—Article I Section 9 of the Constitution states that no money can be drawn from the treasury except as a result of an appropriations bill. This process has two steps.

9 regular appropriations 9 continuing resolution 9 supplemental appropriations

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Appropriations 9 Two-Step Spending Process 9 authorization 9 appropriations 9 regular appropriations 9 continuing resolution 9 supplemental appropriations

First Congress must authorize programs and agencies to continue. This is separate from the program and agency budgets, which is intended to make sure that Congress does not use money to alter the operations of the agencies. Committees can add entitlements through the process of authorization. Authorization committees help determine the kinds of programs within their jurisdiction that will be funded.

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Appropriations 9 Two-Step Spending Process 9 authorization 9 appropriations 9 regular appropriations 9 continuing resolution 9 supplemental appropriations

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Appropriations 9 Two-Step Spending Process 9 authorization 9 appropriations 9 regular appropriations 9 continuing resolution 9 supplemental appropriations

Appropriation is the actual granting of funds to federal agencies and programs. Appropriations committees determine the exact amount of moneys to be disbursed. Regular appropriations have an enacting clause that designates the fiscal year for spending, a breakdown of budget authority by accounts, and general provisions that apply to all the accounts. Continuing resolutions disburses funding when regular appropriations have not been set by October 1—stop-gap measures put into place because between 1977 and 2006, the appropriations schedule was only completed on time four times. Supplemental appropriations used are when regular appropriations do not cover certain activities or are deemed insufficient. To avoid spending caps, Congress designates supplements as emergency funds. Perhaps the most controversial spending strategy is the earmark, which is used to bypass executive agencies altogether and send money directly to Congressional members’ constituencies. Congress disclosed over 11,000 earmarks worth $15 billion in the 2008 fiscal year. These have received quite a bit of criticism so in January 2007, the House passed a rule that required public lists of earmarks.

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Appropriations 9 Two-Step Spending Process

Appropriating funds is different from passing law in that appropriations are streamlined because failing to pass them closes government. Appropriations also follow a strict timetable.

9 authorization 9 appropriations 9 regular appropriations 9 continuing resolution 9 supplemental appropriations

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Money that bypasses agencies and goes directly to constituents is a/n ____. A. Regular Appropriation B. Continuing Resolution C. Supplemental Appropriation D. Earmark

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Money that bypasses agencies and goes directly to constituents is a/n ____. A. Regular Appropriation B. Continuing Resolution C. Supplemental Appropriation D. Earmark

Slide 61

Text and Art Credits

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Photo Credits

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× Return to Chapter 13: Table of Contents

Additional Lecture Suggestions

¾13.1 Outline the basic structure of Congress •

The notion of term limits, mentioned in this chapter, has been very popular in recent years. Although the Supreme Court ruled that states could not set term limits on their members of Congress (U.S. Term Limits, Inc. v. Thornton, 1995), the push for such limits continues at the national level. Below are five reasons Publius (Hamilton, in Federalist No. 72) gave for why the delegates to the Convention decided against term limits on the president. The TwentySecond Amendment (ratified in 1951) did put a limit on the number of times a person could be elected president. The arguments Publius gave would make for good class discussion. Does the argument Publius made concerning term limits on the presidency apply to Congress, too? “One ill effect of the exclusion would be a diminution of the inducements of good behavior.” – Publius argues that people take more interest in their work if they know that by doing a good job they will be rewarded. If they know that no matter how they perform, they must leave office at a designated point, they will not take their job as seriously. Publius concludes, “The most to be expected from the generality of men, in such a situation, is the negative merit of not doing harm, instead of the positive merit of doing good.” “A second ill effect of the exclusion would be the temptation to sordid views, to peculation, and in some instances, to usurpation.” –Publius argues that term limits tempt politicians to engage in corrupt practices. Realizing that they will soon be stripped of the position, they will be more inclined to, as one delegate at the Constitution Convention put it, “make hay while the sun shines.” If a man has a lust for power or money, he might hold these in check if by doing so he could get reelected. Take the temptation of reelection away,which is what term limits do, and the temptations of ambition and avarice can be overpowering. Describing how it would be with term limits Publius explains, “But with the prospect before him of approaching an inevitable annihilation, his avarice would be likely to get the victory over his caution, his vanity, or his ambition.” “A third ill effect of the exclusion would be depriving the community of the advantage of the experience gained by the Chief Magistrate in the exercise of his office.” –Publius continues, “Experience is the parent of wisdom. Can it be wise to put this desirable and essential quality under the ban of the Constitution, and to declare that the moment it is acquired, its possessor shall be compelled to abandon the station in which it was acquired, and to which it was adapted?” “A fourth ill effect of the exclusion would be the banishing of men from stations in which, in certain emergencies of the State, their presence might be of the greatest moment to the public interest or safety.” –A good example of what Publius is referring to is the election of Franklin Roosevelt in 1940. Just as the war in Europe was really heating up, would it have been wise to have a prohibition that made Roosevelt ineligible to continue as president? Clearly the public wanted him to remain president, since he was the only president elected more than twice to that office. In fact, one such emergency mentioned by Publius is war: “...it is evident that a change of the Chief Magistrate, at the breaking out of war, or any similar crisis, for Copyright © 2011, 2009, 2007 Pearson Education, Inc. All rights reserved.

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another, even of equal merit, would at times be detrimental to the community, inasmuch as it would substitute inexperience to experience, and would tend to unhinge and set afloat the already settled train of the administration.” “A fifth ill effect of the exclusion would be that it would operate as a constitutional interdiction of stability in the administration. By necessitating a change of men, in the first office of the nation, it would necessitate a mutability of measures.” –The reason why a change of men would cause a change of policy is because Publius is recognizing that when new people come into office they are going to think differently and even if they don’t they still want to leave their unique imprint behind. Publius concludes, “And we need not be apprehensive there will be too much stability, while there is even the option of changing; nor need we desire to prohibit it from continuing their confidence where they think it may be safely placed, and where, by constancy on their part, they may obviate the fatal inconveniences of fluctuating councils and a variable policy.” Discuss the qualifications of members of Congress. Constitutional Qualifications: The Constitution lists the qualifications of the members of the Congress: i. House - “No person shall be a Representative who shall not have attained to the age of twenty-five years, and been seven years a Citizen of the United States, and who shall not, when elected, be an inhabitant of that State in which he shall be chosen” (Article I, Section 2, clause 2). ii. Senate -“No person shall be a Senator who shall not have attained to the Age of thirty Years, and been nine years a Citizen of the United States, and who shall not, when elected, be an Inhabitant of that State for which he shall be chosen” (Article I, Section 3, clause 3). iii. Thus, there are three requirements for being a member of the House or Senate: age, citizenship, and residency. Judging Qualifications: Article I, Section 5 states, “Each House shall be the Judge of the Elections, Returns, and Qualifications of its own Members.” i. What does this phrase mean? Does it mean that each House of Congress can decide who is worthy of being a member of Congress? If this is so, then each House would be able to add to the qualifications listed above. ii. This was the interpretation given to this clause for a good number of years. In the early 1860s, Congress required duly-elected members to take an oath that they had not participated in rebellion against the United States. In 1900, the House refused to seat a polygamist from Utah. In 1919, the House refused to seat a duly-elected Socialist. iii. In 1920, there was a man elected to Congress who was raised believing he was Jesus Christ. His parents named him Immanuel. While still a teenager, he tried to rob a train, but was disarmed by the conductor. When he first arrived in Washington he described the women living there as “so ugly, it makes a fellow think he had died and woke up in Hades.” Although the House did not try to deny him his seat, the election of Immanuel Herrick makes one wonder if the House should not have done so, if they thought they had the power (This fascinating story is told in the book The Okie Jesus Congressman by Gene Aldrich.) Copyright © 2011, 2009, 2007 Pearson Education, Inc. All rights reserved.

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Did this clause confer on each house of Congress the power to judge dulyelected members on qualifications other than those explicitly listed in the Constitution? v. In 1967, when the House voted to exclude incumbent Adam Clayton Powell from taking a seat in the House, Powell sued. The House was upset, among other things, with what was viewed by many as Powell’s poor performance of his congressional duties. Ultimately, the case reached the U.S. Supreme Court which ruled in Powell’s favor. The Court ruled that Article I, Section 5’s grant to each house to judge election returns was limited solely to the three specified in the Constitution: age, citizenship, and residency. vi. It was this reasoning that was used to strike down states placing term limits on their members of Congress (U.S. Term Limits v. Thornton, 1995). Exclusion versus Expulsion: In Powell v. McCulloch (1969), the Court did note that while the House could not exclude a duly-elected member, it could expel any member. Article I, Section 5 states, “Each house may...punish its Members...and, with the Concurrence of two-thirds, expel a Member.” i. Due to the norms of Congress, expulsion is rare. Members are not inclined to expel a fellow member who has been duly elected. The feeling is that if the voters want to elect someone, they should not be denied their intent. Expulsion, to some extent, makes the Congress look bad, and there is always the possibility that if members are easily expelled, one might end up on the receiving end. Framer’s Intent and Length of Terms: House members have two-year terms and Senators six. Here are the reasons why: i. House: Some delegates desired a one-year term for members of the House. There was an adage well known to many at this time: where annual elections end, tyranny begins. Madison favored a three-year term. He thought this would give stability to the House. Fewer elections would mean fewer chances of new members elected. Also, members would need time to learn on the job about national issues, and three years would allow members to educate themselves in this regard. The delegates approved two-year terms as a simple compromise between these two proposals. ii. Senate: The same arguments used by Madison and others for a three-year term for members of the House were used for arguing for a longer term for members of the Senate. It was argued that what were needed were stability (fewer elections would mean fewer new members) and more time for acquiring knowledge. iii. The argument was more persuasive here than with the House for several reasons. First, the Senate was designed to provide for a check on the House. As such, it was to operate with more deliberation. On June 7, Madison stated, “The use of the Senate is to consist in its proceeding with more coolness, with more system, and with more wisdom, than the popular branch.” Second, to provide for stability and continuity in the Senate, it was decided that only onethird of the members would be up for election at a time. Thus, the length of term needed to be divisible by three. A three-year term was clearly too short, while a nine-year term was viewed as too long; hence, a six-year term. Note Copyright © 2011, 2009, 2007 Pearson Education, Inc. All rights reserved.

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that in the first Senate, lots were drawn to determine which Senators would have a two-, four-, or six-year term to provide for an initial staggering of elections. A good exercise at the beginning of the topic on Congress is to draw a vertical line on the board and ask the class to give differences between the House and Senate. Not only can this be used to branch off onto other topics in more depth, it can be a good gauge of how knowledgeable the students already are. Here is a list of differences between the House and Senate. Size: i. House – 435 (passed into federal law in 1929) ii. Senate – 100 Term: i. House – two years (all up for election every two years) ii. Senate – six years (one-third up for election every two years) Exclusive Powers: i. House – impeaches; originates tax bills ii. Senate – tries impeachments; provides advice and consent for some presidential appointments and forall treaties Leadership: i. House – elects Speaker ii. Senate – vice president Prestige: i. Senate is considered by most to have more prestige. It is not uncommon for a member of the House to resign and run for the Senate; presidential candidates often come from Senate. Flexibility of Rules: i. The House is less flexible than the Senate. ii. There is no filibuster in the House. iii. The size of the House makes adherence to rules a must. Constituency: i. Except for the few states with one representative, representatives’ constituencies are smaller than senators’, who are elected “at large”, and thus more homogeneous. Power: i. Less evenly-distributed in the House than in the Senate. ii. There being fewer members in the Senate, there is a greater possibility of getting a position of power on a committee, subcommittee, or as part of party leadership. Media: i. There is greater media coverage of the Senate than the House (C-SPAN I & C-SPAN II). Staff: i. Generally speaking, there is a greater reliance on staff in the Senate than the House (due to differences in specialization). Policy:

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House members tend to be policy specialists while senators tend to be policy generalists. Ideology: i. The Framers designed the Congress thinking the House would be more liberal and the Senate more conservative; most scholars today think that all things being equal, the Senate is more liberal than the House. Under the necessary and proper clause of Article I, Section 8, any constitutionally granted congressional power implies a power to delegate authority under it sufficient to effect its purposes. But the separation of powers principle underlying the Constitution limits congressional delegation powers. Congress may grant authority to an administrative agency to specify rules in an area where Congress itself has declared only general principles. In other words, Congress can speak in generalities and leave it to an administrative agency to fill in the details. But an agency can assert as its objectives only those objectives given to it by Congress. The power to determine objectives is a power that Congress cannot delegate. This notion goes back at least as far as John Locke, who, in his Second Treatise of Civil Government, published in 1690, wrote that “(t)he power of the legislative, being derived from the people by a positive voluntary grant and institution, can be no other than what that positive grant conveyed, which being only to make laws, and not to make legislators, the legislative can have no power to transfer their authority of making laws and place it in other hands.” Put another way, the delegation doctrine requires that the delegated power include at least roughly intelligible standards to guide the administrative agency. As Justice Brennan noted, “formation of policy is a legislature’s primary responsibility, entrusted to it by the electorate, and to the extent Congress delegates authority under indefinite standards, this policy-making function is passed on to other agencies, often not answerable or responsive in the same degree to the people.” Interestingly, this problem is created not when Congress is battling with the executive branch, but rather, when Congress attempts to give the executive branch too much power. Thus, in the past, the Supreme Court has rejected broad delegations of congressional power on separation-of-powers grounds. For an eloquent defense of the delegation doctrine, see former Chief Justice Rehnquist’s concurrence in Industrial Department v. American Petroleum Institute, 448 U.S. 607 (1980). To the Framers, one of the fundamental characteristics distinguishing democracy from the systems of tyranny that characterized the monarchies of Europe was that elected leaders only served for a term of years. The Framers were particularly concerned with the potential abuses of power that could occur when a single ruler serves for life. While term limits were not initially written into the Constitution, by gentlemen’s agreement Presidents Washington, Adams, and Jefferson established a tradition in which the chief executive did not run for president for more than two terms. This tradition continued until Franklin D. Roosevelt was elected for four terms. After President Roosevelt, our nation and states passed the TwentySecond Amendment, which limits all future presidents to two terms. Recently, several states have passed term limits for state officers as well. A chief argument for term limits is that instead of having a government of the people, by the people, and for the people, we end up with a government more loyal to serving and protecting the status quo. Other arguments for term limits include: 1) It will give more qualified people an opportunity to serve; 2) It will encourage elected officials to act on matters at hand and not put them off; 3) It will keep new blood in the office and keep people from becoming “career politicians”; and 4) It will allow elected officials to worry about the business of government, rather than worrying about their Copyright © 2011, 2009, 2007 Pearson Education, Inc. All rights reserved.

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next election. The arguments against term limits include: 1) We already have them, in the form of the general election; 2) It would make every elected official a lame duck; 3) It will cut down on congressional expertise, allowing administrative agencies to have even more power; and 4) It is impossible to sidestep, so even the most popular and effective elected official must give up his or her seat when his or her term is up. In addition, note the 1995 Supreme Court ruling (Term Limits v. Arkansas), which held that an Arkansas constitutional amendment limiting the terms of congressional representatives was unconstitutional. A state could not change the terms of office that are delineated in the U.S. Constitution. However, a constitutional amendment could be passed that would obviate the Court’s ruling. The chance of this occurring is remote. Members of Congress, almost without exception, are people of ability who could earn as much or more than their congressional salary in other occupations. Yet they face much higher expenses. Most legislators maintain two homes, one in the home district and one in Washington. Representatives must fund a reelection campaign every two years. Other than financial concerns, the lawmaker lives a stress-laden life with constant demands for attention and favors. A member’s decision may be worth millions of dollars to a constituent and that constituent will never let the member forget it. Under such circumstances the legislator’s life is strewn with temptations and potentially compromising situations, but voters expect a high level of integrity, and the media are ever on the alert for evidence of delinquency. Direct bribery exists, but much more common are the financial favors offered by Political Action Committees (PACs) seeking special legislation. These favors take many forms: direct campaign contributions; advice and personnel to run campaigns; sweetheart book royalty deals (as exhibited by former Speaker Jim Wright and also by his chief accuser, then Minority Whip Newt Gingrich); and insider knowledge on stock deals (the charge against former Majority Whip Tony Coelho). Members who resist such pressures do so at great personal risk, largely unappreciated by home-district voters. To ease such financial pressure, one obvious answer would be government-financed election campaigns. But that solution has little enthusiastic congressional support, given the fact that most PAC money goes to incumbents and that incumbents usually win. Another way of easing the pressures is to increase congressional perks (at the risk of creating more charges of being out of touch with the lives led by most of their constituents) and congressional pay (with the awesome amount of opposition that generates—witness the progress of the Twenty-Seventh Amendment). During the 1994 campaign, there was talk of limiting the number of days Congress can be in session. This would limit the ability of Congress to act, and, the assumption goes, thereby reduce the political pressures on Congress. In 2002, Congress passed the Bipartisan Campaign Reform Act. Many assert that it did not go far enough in controlling the influence of money in elections. The lecture can be rounded out by a discussion of time pressures on members of Congress, the disruption of family and personal life, and the “burnt out” feeling that can come as a result of day-after-day encounters with selfish special interests. Many Americans picture Congress as a grand debating society, with legislators eloquently holding forth on the issues of the day. In reality, the results that Congress achieves are due less to impassioned debate than to the interplay of personalities, rules and structures, legislative strategy, and political maneuvering.

¾13.2 Analyze the relationship of members of Congress to their constituencies, and distinguish between the trustee and delegate model of representation •

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The delegate model of representation assumes that a representative’s job is to convey the will of the majority of his or her constituents to the legislature. In contrast, the trustee model holds that the legislator should take the majority view into account, but use his or her best judgment when voting or acting on behalf of constituents. Other perspectives include the politico model and the conscience model. Another contrast is that some theorists believe a representative should be concerned primarily with the general good and major issues, while others argue the focus should be on more direct constituent services. Because the United States has single-member districts rather than at-large districts, we must redraw district boundaries following each census to provide equal representation. This redistricting is a highly politicized process, often involving gerrymandering to give one party an electoral advantage or to minimize minority representation. Also discusses malapportionment, where the number of constituents across districts is distinctly unequal. The Supreme Court ruled in Baker v. Carr that mal-apportionment resulted in a violation of the equal protection clause of the Fourteenth Amendment. Point out the contradiction between the disparaging view of the “typical American politician” and the fact that an overwhelming number of incumbents get reelected. Some people feel that the composition of a legislature must approximate the diversity of those they represent if they are to truly identify with the needs of their constituents. Lawyers make up approximately 40% of Congress. This concentration in one occupation does not necessarily mean that Congress cannot adequately represent the interests of the average citizen, but the legislators’ backgrounds may influence both their choice of agenda and their positions on the issues. Remind students that a seat can be “safe” either for the party or for the incumbent. Indicate how the factors that influence prospective congressional candidates result in the “upper-class bias” in Congress. Show the film Mr. Smith Goes to Washington. Advise and Consent would be another choice. Explain the ways in which Congress does and does not represent the nation’s citizens. Compare the two different types of representation: delegate model and trustee model. Older Americans and children have different needs. Indicate the challenges faced by members of Congress in meeting these needs. Describe and explain the power of incumbency in congressional elections. Discuss factors that are increasing representation of minorities and women in Congress. Explain how the perks of a member of Congress, such as staffing at the district level, franking privileges, legislative scheduling, and free travel home, all contribute to the popularity of House members in their home districts.

¾13.3 Assess the challenges that emerge when members of Congress set about working together • • • • • •

Most political scientists who study Congress say that behavior is less corrupt than ever before, and it is the media concentration on the scandals that makes Congress appear more shifty. The presumption that ethics is a subject limited to the study of philosophy is clearly in error. With an emphasis on ethics, identify other issues in the headlines and their association with ethics. Describe the challenges that emerge when members of Congress set about working together. Describe why it is so hard to gather information if you are in Congress. The collective action problem is a huge obstacle for members of Congress. When the obstacle of “cycling” comes into play, the problem becomes increasingly harder to address. Describe the complexities of the problem and offer a solution for this dilemma. Find the latest Gallup Poll ratings on Congress. Compare these with the last election results for your incumbent Congress member.

¾13.4 Identify the resources and the committee and party structures that help Congress address its challenges • • • • •

• • • • •

Understanding the organization of Congress—the committee system, leadership structure, and rules—is essential to understanding how policy is made. The standing committee system offers several advantages, including expertise, efficiency, and representation of constituent interest. Subcommittees allow both work and power to be spread still further. This section also describes select, conference, and joint committees. Parties serve several functions in organizing Congress. They set the issue agenda, provide voting cues for members, and organize committee appointments. Leadership positions are organized along party lines. Explain why party unity is stronger in parliamentary systems. Both chambers of Congress have a leadership structure tied to the party organizations. Party leaders gain support for their party’s agenda, encourage party unity on votes, and develop electoral and legislative strategy for their party. The leadership also manages the business of the chamber, such as scheduling votes and overseeing floor activity. Also discuss the details of the formal and informal powers that make the Speaker of the House so powerful, and compare this with the power of the Senate majority leader. Define party loyalty scores, and then have students look up the party loyalty scores of their members of Congress. Committee membership allows labor to be spread throughout the institution. Describe how members are selected and the different unique positions available to members of Congress. Outline the committee system of Congress and its importance to the political life of members. Describe the functions of the Standing Committee, Select Committee, and Conference Committee. Explain the seniority system.

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Discuss the role that political parties and party leaders play in organizing the House and Senate.

¾13.5 Outline the lawmaking process in Congress • • •

Describe and explain the lawmaking process. Although over 10,000 bills are introduced during each two-year session of Congress, only around 400 become law, and only a few of those are major initiatives. This outcome is consistent with the Framers’ idea that government must act cautiously in making laws. Bills are referred to committee via a complex and highly politicized process (many bills are referred to more than one committee). The committees hold hearings, mark up the bill with revisions, and report back to the full chamber. The majority of bills are killed in committee. The Rules Committee in the House is very powerful: it decides whether a bill can be amended from the floor after coming out of committee. Other functions of committees include bureaucratic oversight and holding investigations of critical issues.

¾13.6 Outline the appropriations process • • • •

Explain the resources and structures that define Congress as an institution. One of the unique things that Congress has the ability to do is address numerous issues simultaneously. This is allowed in part by their structures of Congress. Describe the committee structure in both the House and the Senate. Explain why Congress as an institution remains unpopular at the same time that individual congresspersons remain popular in their districts Explain how Congress’s power is rooted in appropriations, oversight, and hearings functions.

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IV. Student Assignments – Post-Lecture A.

Class Discussion Questions

¾13.1 Outline the basic structure of Congress • • • • • • • • • • • • • •

The Founding Fathers envisioned the House and Senate to have distinct and different roles. Is this the case today? How is the legislative branch of the federal government organized? What are the most important powers of Congress? Some people suggest that in recent years Congress’s power has slipped relative to the power of the presidency. Do you agree? What are the merits and drawbacks of having a bicameral legislature? Why do you suppose the Framers gave the longest list of enumerated powers to Congress? Why did they not give more explicit power to the president? What effect has this had over our nation’s history? What effects are felt today? Does the current system of checks and balances make Congress unacceptably cumbersome, or is this just a price we pay for our system of checks and balances? What do you believe to be the most important custom practiced by Congress? Why? Discuss how a shift in House seats due to reapportionment affects the politics of the Electoral College. Ask students to speculate on why the Senate is considered more prestigious than the House. Discuss whether the power to promote the general welfare gives Congress an unlimited mandate. Have students discuss whether the factors that influence the voting of members of Congress are different from those that influence the average voter. How do the customs and norms of Congress operate on both an institutional and personal level? Have students discuss the roots of the legislative branch prior to the adoption of the U.S. Constitution.

¾13.2 Analyze the relationship of members of Congress to their constituencies, and distinguish between the trustee and delegate model of representation • • • •

How do members of Congress serve their constituents? Discuss the pros and cons of the delegate model of representation vs. the trustee model of representation. How are people of different ethnicities and incomes represented by Congress? Members of Congress can obviously not claim descriptive representation since they come primarily from occupations with high status and usually have substantial incomes. Moreover, women and minorities are underrepresented. Ask your class to consider whether the personal characteristics of members of Congress are important. Can members of Congress effectively represent the concerns of their constituents when they do not share their constituents’ economic and social backgrounds?

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Surveys consistently show a high level of dissatisfaction with Congress, yet voters continue to reelect members by extraordinary percentages (especially for the House of Representatives). Ask your class to consider possible reasons for what seems to be a contradiction. Is it simply the advantage of incumbency? Is the American public more satisfied with its own representatives than with Congress as an institution? How are congressional districts drawn? Who controls the apportionment and redistricting process? Who gets elected to Congress and why? What are the jobs of the federal legislator? How are congressional ethics and norms defined? Who do legislators represent? Is “racial gerrymandering” to ensure some representation to racial or ethnic minorities ever fair? Do you agree that it is important for a legislature to mirror the demographics of the population? Why or why not? Under-representation of women and minorities has been attributed to several factors: the fact that fewer have sought office, the unwillingness of some citizens to vote for them, and the use of a single-member district system rather than an at-large election system. What factors do you think are most responsible for the underrepresentation of women and minorities in Congress? Originally the House of Representatives was expected to reflect the popular will of the average citizen, and the Senate was to provide for stability and in-depth deliberation. Has it turned out that way? Incumbent members of Congress win nine out of ten times when they run for reelection. Is this because the voting public doesn’t really know how the incumbents voted, or because the incumbents do a good job of voting as their constituents would want them to? Does the general public have either the information or the willingness to evaluate congressional effectiveness? How well are individual members of Congress evaluated? How does a member of Congress determine what constituents want? What are the methods of communication? How accurate are the perceptions of constituents’ views? Should a legislator be a “trustee” or a “delegate”? How often do these roles conflict? Ask students to suggest how Congress could be made more representative. Have students discuss the nature of apportionment and redistricting and their implications. If your state currently has a redistricting plan before the courts or legislature, try to invite someone in to discuss it. Have students discuss the incumbency advantage. Assign them to do research about its strength in the House, Senate, and presidency as well as in state contests. What are the limitations of incumbency advantage? Is the advantage waning? How would a member’s self image as either a trustee or delegate influence their voting behavior? How do you account for the fact that women and African Americans are so underrepresented in Congress?

¾13.3 Assess the challenges that emerge when members of Congress set about working together • •

What are the basic challenges that confront members of Congress? How does the lack of consensus affect congressional efficiency?

¾13.4 Identify the resources and the committee and party structures that help Congress address its challenges • • • • • • • • • • • • • • • • • •

What role do political parties play in Congress? How are members of Congress punished for not following party lines? Why are Republican members of Congress more conservative and Democratic members more liberal than they were a generation ago? What are the possible consequences of violating congressional rules? Explain three advantages of using standing committees in the legislative process. Does Congress need such a complex committee system to conduct the nation’s business? Why is it so important for parties to provide voting cues to their members? Why is the Speaker of the House considered the most powerful member of Congress? Does the seniority system for determining committee chairs still make sense, or should it be replaced? How do you feel about congressional ethics code, which generally bans gifts of more than $100 from registered lobbyists? Is it tough enough? Too tough? What changes might be instituted to increase minority party successes in seeking office? Are such changes necessary or even appropriate? Why? Why not? How would legislative outcomes be different if minorities were better represented? The lives of members of Congress are often seen, by the public, as a series of “party-going activities” and, even more negatively, as personal quests to “line their pockets.” How do you feel about such widely held perceptions of members of Congress? Party leadership in both the House of Representatives and the Senate is key to the passage of bills. How do you believe the Founders might have responded to today’s system? Congressional ethics is sometimes, sarcastically, defined as an oxymoron. In your opinion, what has prompted such public distrust of elected representatives? How might Congress seek to dissolve such public perceptions? Argue whether or not you believe an impeachment conviction of a president and forcible removal from office is ever likely to occur, given the few times impeachment has been attempted and the results. Discuss and differentiate between the various types of congressional committees. Imagine that you are a member of the House and you have been asked to vote on an issue touching on abortion (you may imagine it is either pro or con). Explain how this issue would lead to pressure from constituents, special interests, party leaders, and the even the president. How do political parties assist in overcoming the decentralization of the House and Senate?

¾13.5 Outline the lawmaking process in Congress • • • • • • • •

• • • • • • •

What role do staff and support agencies play? Has Congress abdicated its war-making authority? Why are most bills not enacted into law? What factors contribute to successful legislation? How do bills become laws? Should the threshold to override a veto be lowered from the current two-thirds requirement? Do you think that having such a concentration of lawyers in Congress has any specific consequences in terms of the way legislation is written? What are some of the activities or practices Congress can use to block presidential programs? Discuss specifically the filibuster, the seniority system, the committee system, the authority of committee chairpersons, the rider, the appropriation power (budget process), and overriding vetoes. Should all presidential nominees get a vote? Discuss the steps involved in a bill becoming a law. Is the path too arduous? Do such hurdles prevent too many good bills from becoming laws? Or, are the steps involved necessary in maintaining the highest standards? How do the constitutional provisions concerning lawmaking need to be revised from the original language? Why? Identify five strategies an interest group could use to get a bill passed if it appeared the bill was likely to be defeated. Discuss with students the many steps involved in a bill becoming a law. Have students discuss “pork barrel” politics. What is the value to local constituencies? Which business or interest group will likely be in favor of or against the pork barrel project? Should congresspersons be expected to deliver such projects to their districts? Why is bargaining both necessary and encouraged by the formal and informal rules of Congress? What is logrolling, and do you believe it is ethical?

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Class Activities

¾13.1 Outline the basic structure of Congress •

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The following quotation is from Alexander Hamilton in The Federalist No. 51: “In republican government, the legislative authority naturally predominates. The remedy for this inconvenience is to divide the legislature into different branches. . . .” Given the many structural and political changes that have occurred since the Constitution was written, how would you evaluate Hamilton’s statement from a current perspective? See how many similarities and differences between the House and the Senate your class can list. Consider the qualifications, organization, activities, and powers of each chamber. Have students debate the pros and cons of term limits. Have students rebuild the legislative branch of government. Many in our society today complain that Congress is unrepresentative, corrupt, doesn't care about the people, and so on. Have students list the most common complaints against Congress and then devise a new institution to solve those problems. Can they do it? Is a better legislature possible? What are the costs and benefits of the proposed changes? What are the drawbacks of any new system? If the class determines that what we have is actually better, discuss why that might be the case. Ask the class to act as a law-making body. Within the time of a regular class period, have the class make four to six laws. In the next period, have the class examine how the process worked for them, what they learned, and the variety of observations they may make associated with the time-constrained exercise.

¾13.2 Analyze the relationship of members of Congress to their constituencies, and distinguish between the trustee and delegate model of representation •

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Divide students into small discussion groups based on shared characteristics (e.g., gender, academic standing/year, region of the country). Ask them to discuss the policy issues that concern them the most. Have each group share their concerns. Point out differences and/or similarities across groups. Direct a debate centered on questions of symbolic representation: does the group feel that their interests would be better represented by a congressperson who shares the group’s basic characteristics? Why or why not? Most Americans claim to dislike and distrust Congress but like and trust their own member of Congress. What explains this paradox? Have students use the Web to do some research on public opinion and voting behavior, analyze the media coverage of Congress, think about what members of Congress do, and why this would be the case. Have them prepare a presentation explaining this phenomenon for class. Political science professors frequently ask their students to write letters to members of Congress, sometimes on an assigned topic. Legislators’ staff members can usually recognize the source of such letters. Ask your students to consider whether legislators should give the same weight to letters that are written as an assignment as to those that are independently written. Ask your students to examine the rate at which American voters reelect members of Congress. An obvious paradox concerning Congress is that the American public often shows a low level of respect for Congress as an institution, and yet we continue to reelect members Copyright © 2011, 2009, 2007 Pearson Education, Inc. All rights reserved.

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at very high rates. Can the incumbency advantage be enough to explain this discrepancy, or are there other forces at work? For example, it has often been suggested that legislators may serve their own districts well. Do voters make decisions based on the well-being of the nation, or on localized needs and priorities? Identify which members of your state’s delegation hold leadership positions in Congress. You should establish characteristics such as age, gender, religion, race, and previous occupation. How closely do these characteristics correspond with national averages? You may want to refer first to Politics in America (published by Congressional Quarterly Press) and The Almanac of American Politics (published by National Journal Press) as sources for leadership positions. The Internet is an excellent tool for this purpose as well. Prepare a brief evaluation of your own member of the U.S. House of Representatives. How often does he or she visit the home district? What committees does your legislator serve on? How accessible is your legislator? Are you aware of your representative’s policy positions? If not, is it because your congressperson has not taken clear stands, or is it due to your own lack of awareness? (You may want to review your legislator’s roll call votes in the Congressional Quarterly Weekly Report.) Go online and search for a map of your state with the congressional districts shown. Do you see any “gerrymanders” in your state? List and explain the advantages incumbents have over their opponents in congressional elections.

¾13.3 Assess the challenges that emerge when members of Congress set about working together •

List and describe the factors that influence the voting patterns of members of Congress.

¾13.4 Identify the resources and the committee and party structures that help Congress address its challenges • • • •

Find out on which committees and subcommittees your representative and senators serve. Do those committees reflect local constituent interests? Provide a list of House and Senate party and congressional leadership positions and have students identify the persons who hold them. Have students write a paper addressing the types, functions, and importance of committees in the House and Senate of the U.S. Be sure they compare and contrast the two. Have students write a paper or discuss the role of leadership and party in the House and Senate. Be sure they include the current occupants of each office and how their styles and personalities affect the exercise of the powers of office.

¾13.5 Outline the lawmaking process in Congress •

Select several bills from the last legislative session. Divide your class into several small groups, and have each group trace the path of one bill through the legislative process. The Congressional Quarterly Weekly Report would be a good source to begin the search, and excellent Internet sites can readily be found by using one of the search engines such as

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Yahoo, Google, or Bing. Each group should elect a spokesperson to report on the bill in class. Define three of the following and explain why they are considered rules or norms in Congress: Specialization Logrolling Reciprocity Filibuster Cloture Seniority

¾13.6 Outline the appropriations process • •

List four formal powers of the Speaker of the House. Prepare a short explanation of how Congress can control presidential foreign policy through the “power of the purse.”

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Research Assignments

¾13.1 Outline the basic structure of Congress • •

Have students visit five Senate Web sites and five House Web sites. Have them discuss or write a paper comparing the content and discussing why the content differs or why it is similar. To give students a view of the old-time Senate, assign Allen Drury’s Advise and Consent for a book report. The opening chapter on the Senate in Robert Caro’s Master of the Senate is also a good source.

¾13.2 Analyze the relationship of members of Congress to their constituencies, and distinguish between the trustee and delegate model of representation • • • • •

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Have students conduct online research and compare how different or similar the various Congresses have been in terms of leadership, representation, minorities, women, structure, incumbency advantage, and rules. What accounts for the similarities and differences? Have students select a congressperson. Research personal information and congressional information. Occupation, previous political experience, membership in clubs or associations, district makeup and demographics could all be included. Gather statistics on the demographics of your state and compare them with those of your U.S. congressional delegation. Search for an organizational chart of the current congressional leadership and committee chairpersons. How many are women? Are women even more under-represented in leadership positions than in Congress generally, despite Pelosi’s position as House minority leader? Provide students with a map of your state’s congressional districts. Divide students into groups and ask each group to research the demographic composition of one district. This information is readily available via the Census Bureau (http://www.census.gov), House of Representatives member websites (http://www.house.gov), and a myriad of other public interest group, media, or research foundation websites (e.g., http://www.cnn.com, http://www.fairdata2000.com). During the next class period, have groups share their findings. Using those findings, ask the students to point out districts that might raise questions about geographic compactness, communities of interest, packing, cracking, or other district irregularities. Have the students deduct the influence that your state’s redistricting plan might have on electoral outcomes. Note: If your state has clear, non-controversial congressional districts, you might choose to have your students analyze a state with a more complicated or irregular map. If you would like to make this an activity that takes place during one class period, be sure to provide students with demographic information when you hand out the congressional map. Assign each student the role of a member of the House of Representatives. Be sure to divide students in a way that approximates the current ratio of the majority and minority parties in the House. Have the students research their roles, paying special attention to the representative’s ideology and voting history, as well as the nature of the member’s constituency. Assign four students to the roles of majority leader, majority whip, minority leader, and minority whip. Direct those students to research the responsibilities of the leadership in the congressional voting process. Select an actual or fictitious House bill that is Copyright © 2011, 2009, 2007 Pearson Education, Inc. All rights reserved.

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scheduled for a vote. Ask students to decide for themselves how to vote on the bill; students may base their decision on personal conscience, constituent preferences, personal ideological preferences, or party preferences. Direct the House leadership to take a preliminary vote count. If the leaders are not pleased with the outcome, they may choose to caucus with the party members. After the party caucus, have the leadership take another count. If necessary, provide the leadership with time to negotiate or bargain with individual members who are holding up the party vote. Hold an official roll call vote. Discuss the results of the vote. Ask the leadership what it took to marshal a party line vote. Have individual members discuss what did or did not influence their vote decision. Investigate a member of Congress from your state or congressional district. Indicate their membership on congressional committees and their leadership positions. Do a search of local and state newspapers to see how many times they have been mentioned in a given month. Based on your research, do you think your representative tends to act as a trustee or a delegate? How would you rate them on their home style and casework? Refer students to John F. Kennedy’s Profiles in Courage to write about U.S. senators who adopted the trustee position in the face of considerable opposition. Using the Internet, students should locate the voting record of their representative and senators. Then have them select two key pieces of recent legislation for each. Have them write down the results of their search and turn this information in to you. Review your state’s congressional districts. Do you find any seats that represent highly concentrated populations of African Americans or other minorities? If so do you believe these are positive steps as in affirmative racial gerrymandering, or are they negative attempts as in packing to limit the power of minorities? Use the Internet to search for special interest groups dedicated to assisting female candidates for political office. Do you think these groups are responsible for the rising number of women in Congress, and if so, how do you account for this recent trend?

¾13.4 Identify the resources and the committee and party structures that help Congress address its challenges • • • •

Have students use the Web to locate their members of Congress and senators and their committee assignments. Assign a paper that analyzes each member's use of the Web and why that site contains the material and links it offers. Have students use the Web to determine what committee hearings are scheduled this week and when they are to be held. Assign a brief paper asking students to analyze the role of these committee hearings in the overall policy process. Have students use the Web to determine the committee assignments of ten different members of Congress and/or senators and write a brief paper explaining why each representative would choose or serve on those committees. As a library assignment or using the Internet, have students locate basic information about the responsibilities of their senator and representative—committee assignments, subcommittees, length of time in office, and major bills he or she has sponsored. In addition, ask them to evaluate their representative’s Web site and/or recent copies of constituency newsletters to assess the policy positions taken by their representative. To what extent is there representative/student agreement? Why or why not?

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Use the Internet to study the Watergate hearings and the way in which congressional hearings served not only to investigate, but also promoted the careers of legislators and legislative staff. Prepare a brief report on what became of legislators who served on the committee. The Cable-Satellite Public Affairs Network (C-SPAN), available on most community cable systems throughout the country, can be used in a variety of ways. It can be especially helpful in giving students a better picture of congressional procedures. Reading or being told in a lecture about those procedures is good, but seeing them as they occur is invaluable. Assign students to observe floor and or committee action and report on the procedures used, the style of leadership, the identity of those presiding and speaking, and the general demeanor of those taking part in the action.

¾13.5 Outline the lawmaking process in Congress •

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There have been a number of high-profile scandals in the Congress throughout history. Americans now seem quite concerned about the ethics of the legislature. Do some research on scandals in Congress. How many have there been? How severe have they been? How widespread have they been? Is it a few bad apples or the whole barrel? Be sure to look at how the media have covered these scandals and discuss the implications of media coverage of ethics issues. Have students research the use of “riders” in Congress. Have students research and review the Clinton impeachment. Was the reputation of Congress hurt or helped by the political ordeal? Have students read their local paper and look at The Washington Post online. Compare the coverage of the papers on the congressional branch of government. Discuss why they are similar or different. Have students go to the Web and determine one or two bills in which they are interested (or have the entire class pick one bill). During the course of the semester, follow that bill on the Web and discuss the route it travels and whether or not it becomes a law. Go to YouTube and watch the video “I’m Just a Bill” at http://www.youtube.com/watch?v=ouZTIqcvb30. After watching this video, prepare, either in the written form of “script” or an actual video, your own supplement that adds to the “I’m Just a Bill” simple version on youtube your more sophisticated understanding of committees, congressional decision making, interest groups, and constituencies that actually fashion how bills become laws. Secure three current evaluations of your U.S. representative and two senators. (Several major interest groups do evaluations annually.) Congressional Quarterly each year summarizes the voting ratings of the U.S. Chamber of Commerce, Consumer’s Federation of America, COPE AFL-CIO, Americans for Democratic Action, and Americans for Conservative Action.

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V. Quantitative Assessment Administer Chapter Exam (see Test Bank, Chapter 13) × Return to Chapter 13: Table of Contents

VI. Resources for Further Study A.

Books

1. Aberbach, J. D. (1990). Keeping a watchful eye: The politics of Congressional oversight. Washington, DC: Brookings Institution Press. 2. Adler, E. S. (2002). Why Congressional reforms fail: Reelection and the house committee system. Chicago: University of Chicago Press. 3. Arnold, R. D. (1992). The logic of Congressional action. New Haven: Yale University Press. 4. Arnold, R. D. (2006). Congress, the press, and public accountability. Princeton: Princeton University Press. 5. Bacon, D. C., Davidson, R. H., & Keller, M. (Eds.). (1995). The encyclopedia of the United States Congress. New York: Simon & Schuster. 6. Biggs, J., & Foley, T. S. (1999). Honor in the House: Speaker Tom Foley. Pullman: Washington State University Press. 7. Binder, S. (2002). The causes and consequences of legislative gridlock. Washington, DC: The Brookings Institution Press. 8. Bond, J. R., & Fleisher, R. (2000). Polarized politics: Congress and the president in a partisan era. Washington, DC: Congressional Quarterly Press. 9. Brown, S. (2004). Congress from the inside: Observations from the majority and the minority. Kent: Kent State University Press. 10. Bullitt, S. (1977). To be a politician (Rev. ed.). New Haven: Yale University Press. 11. Cain, B., Ferejohn, J., & Fiorina, M. (1987). The personal vote: constituency service and electoral independence. Cambridge: Harvard University Press. 12. Casey, C. (1996). The hill on the net: Congress enters the information age. Boston: AP Professional. 13. Comiskey, M. (2004). Seeking justice: The judging of supreme court nominees. Lawrence: University Press of Kansas. 14. Cox, G. W., & McCubbins, M. D. (1993). Legislative leviathan: part government in the house. Berkeley: University of California Press. 15. Currinder, M. (2008). Money in the house: Campaign funds and Congressional party politics (Transforming American Politics). Boulder: Westview Press. Copyright © 2011, 2009, 2007 Pearson Education, Inc. All rights reserved.

16. Davidson, R. H., & Oleszek, W. J. (2001). Congress and its members (8th ed.). Washington, DC: Congressional Quarterly Press. 17. Dodd, L. C., & Oppenheimer, B. I. (Eds.). (2005). Congress reconsidered. (8th ed.). Washington, DC: Congressional Quarterly Press. 18. Fenno, R. F. (2002). Home style: House members in their districts. New York: Pearson Longman. 19. Fenno, R. F. (2003). Going home. Chicago: University of Chicago Press. . 20. Fisher, L. (2007). Constitutional conflicts between Congress and the president. Lawrence: University Press of Kansas. 21. Hall, R. L. (1998). Participation in Congress. New Haven: Yale University Press. 22. Hamilton, L. (2004). How Congress works and why you should care. Bloomington: Indiana University Press 23. Harris, F. (1992). Deadlock or decision: The U.S. senate and the rise of national politics. New York: Oxford University Press. 24. Hibbing, J. (2001). Congressional careers: Contours of life in the U.S. House of Representatives. Chapel Hill: University of North Carolina Press. 25. Hodgson, G. (2000). The gentleman from New York: Daniel Patrick Moynihan. Boston: Houghton Mifflin. 26. House Greenberg, E., et al. (1996). The house and senate explained: The people's guide to Congress. New York: W. W. Norton & Company. 27. Jacobson, G. C. (2007). The politics of Congressional elections (7th ed.). New York: Addison-Wesley. 28. Johannes, J. R. (1984). To serve the people: Congress and constituency service. Lincoln: University of Nebraska Press. 29. Krehbiel, K. (1998). Pivotal politics: A theory of U.S. lawmaking. Chicago: University of Chicago Press. 30. Mann, T. E., & Ornstein, N. J. (2008). The broken branch: How Congress is failing America and how to get it back on track. New York: Oxford University Press. 31. Maxwell, B. (1996). Washington online: How to access the government’s electronic bulletin boards (2nd ed.). Washington, DC: Congressional Quarterly Press. Copyright © 2011, 2009, 2007 Pearson Education, Inc. All rights reserved.

32. Mayhew, D. (2000). America’s Congress. New Haven: Yale University Press. 33. Mayhew, D. (2004). Congress: The electoral connection. New Haven: Yale University Press. 34. O’Connor, K. (Ed.). (2002). Women and Congress: Running, winning, ruling. Binghamton: Haworth Press. 35. Oleszek, W. J., Davidson, R. H., & Lee, F. E. (2007). Congress and its members. Washington, DC: Congressional Quarterly Press. 36. Oleszek, W. J. (1996). Congressional procedures and the policy process (4th ed.). Washington, DC: Congressional Quarterly Press. 37. Parker, G. R. (1989). Characteristics of Congress: Patterns in Congressional behavior. Englewood Cliffs: Prentice Hall. 38. Penny, T. J., & Garrett, M. (1996). Common cents: A retiring six-term Congressman reveals how Congress really works and what we must do to fix it. New York: Avon Books. 39. Price, D. (2000). The Congressional experience. Boulder: Westview Press. 40. Richie, R., Hill, S., Cohen, J., & Rogers, J. (1999). Reflecting all of us: The case for proportional representation. Boston: Beacon Press. 41. Sachs, R. (2003). The president pro tempore of the senate. New York: Nova Science Publishers. 42. Sarbaugh-Thompson, M., Thompson, L., Elder, C. D., Strate, J., & Elling, R. C. (2004). Political and institutional effects of term limits. New York: Palgrave Macmillan. 43. Schick, A. (2007). The federal budget: Politics, policy, process (3rd ed.). Washington, DC: Brookings Institute Press. 44. Schickler, E. (2001). Disjointed pluralism. Princeton: Princeton University Press. 45. Sinclair, B. (2007). Unorthodox lawmaking: New legislative processes in the U.S. Congress. (3rd ed.). Washington, DC: Congressional Quarterly Press. 46. Smith, S. S., & Deering, C. J. (1997). Committees in Congress (3rd ed.). Washington, DC: Congressional Quarterly Press. 47. Smith, S. S. (1989). Call to order: Floor politics in the house and senate. Washington, DC: Brookings Institution Press. 48. Stewart, C. (2001). Analyzing Congress. New York: W. W. Norton & Company. Copyright © 2011, 2009, 2007 Pearson Education, Inc. All rights reserved.

49. Tate, K. (2003). Black faces in the mirror: African Americans and their representatives in the U.S. Congress. Princeton: Princeton University Press. 50. Uslaner, E. M. (1999). The movers and the shirkers: Representatives and ideologues in the senate. Ann Arbor: The University of Michigan Press. 51. Wellstone, P. D. (2002). The conscience of a liberal: Reclaiming the compassionate agenda. Minneapolis: University of Minnesota Press. 52. Zelizer, J. E. (Ed.). (2004). The American Congress: The building of democracy. Boston: Houghton Mifflin. × Return to Chapter 13: Table of Contents B.

Articles

1. Baumann, D. (2004, January 10). The heavy reliance on riders to the must-pass appropriations bills as a crutch to act on significant policy issues. National Journal . 2. Bishin, B. (2000, August).Constituency influence in Congress: does subconstituency Matter? Legislative Studies Quarterly, 25(3), 389–415. 3. Cameron, C. M., Cover, A. D., & Segal, J. A. (1990, June). Senate voting on Supreme Court nominees: A neoinstitutional model. American Political Science Review, 84(2), 525–534. 4. Collie, M. P., & Roberts, B. R. (1992, February). Trading places: choice and committee chairs in the U.S. senate, 1950–1986. Journal of Politics, 54(1), 231–245. 5. Congressional Quarterly, Congressional Quarterly Weekly Report (Washington, DC: Congressional Quarterly, Inc., published weekly). 6. DeGregorio, C. (1988, November). Professionals in the U.S. Congress: An analysis of working styles. Legislative Studies Quarterly, 13(4), 459–476. 7. Duncan, P. (1991, October 26). How to make Congress more representative. Congressional Quarterly Weekly Report. 8. Durr, R. H., Gilmour, J., & Wolbrecht, C. (1997, January). Explaining Congressional approval. American Journal of Political Science, 41(1), 175–207. 9. Fenno, R. F., Jr. (1986, March). Observation, context, and sequence in the study of politics. American Political Science Review, 80(1), 3–15. 10. Fiorina, M. P. (1992). An Era of Divided Government. Political Science Quarterly, 107(3), 387–410. Copyright © 2011, 2009, 2007 Pearson Education, Inc. All rights reserved.

11. Foerstel, K. (2000, March 24). Chairman’s term limits already shaking up house. Congressional quarterly Weekly. 12. Fowler, L. L. (1996, September). Who runs for Congress? PS. 13. Liapakis, P. A. (1996, May). Members of Congress should listen to the people. Trial. 14. Loomis, B. (1986, September). To serve the people: Congress and constituency service. American Political Science Review. 15. McAdams, J. C., & Johannes, J. R. (1988, May). Congressmen, perquisites, and elections. Journal of Politics, 50(2), 412–439. 16. Rockwell, L. H. (1995, October). Power without responsibility: How Congress abuses the people through delegation. Southern Economic Journal. 17. Sundquist, J. L. (1988–89, Winter). Needed: A political theory for the new era of coalition government in the United States. Political Science Quarterly, 103(4), 613–635. 18. Unekis, J. K. (1996, December). Researching Congress. PS. × Return to Chapter 13: Table of Contents C.

Media

1. A Day in the Life of a Representative. (1995). Films for the Humanities and Sciences. This show follows two members of Congress through a typical day, raising questions about how much and what we can expect members of Congress to do. 2. A Day in the Life of a Senator. (1999). Films for the Humanities and Sciences. This program focuses on three senators, examining what politicians really do. 3. Advice and Consent. (1962). Depicts the controversies over a nominee for secretary of state as found during Senate confirmation hearings. 4. And That’s How a Bill Becomes a Law. (2004). Films for the Humanities and Sciences. This ABC News program focuses on the case study of how legislation can get passed without general knowledge. 5. Bulworth. (1998). Critical comedy about a burned-out senator running for re-election. 6. The Distinguished Gentleman. (1992). Comedy about a Florida con man running for Congress.

7. The Elected: The Presidency and Congress. (1996). Hedrick Smith Productions, PBS Video. Part of the PBS video series, “The Power Game.” An interesting yet critical look at the distribution of power in Congress. 8. Evolution of the Congress. (1995). Films for the Humanities and Sciences. This film examines the evolutionary changes in Congress as responses to the challenges of democratic government. 9. How a Bill Becomes a Law. (1993). Films for the Humanities and Sciences. This program explains how legislation is moved through the House and Senate. 10. Ken Burns’ America: The Congress. (1989). Florentine Films. This film was first broadcast in 1989 on PBS. The program chronicles the careers of some of Congress’ most notable members. 11. Mr. Smith Goes to Washington. (1939). The classic story of an idealistic reformer running into the harsh realities of the Senate. This is an extremely rich site for information on Congress. Brings together official government data with news coverage, blog posts, comments, and more. 12. Political Partisanship vs. Serving the People. (1995). Films for the Humanities and Sciences. This film explores the problem of congressional gridlock and the role of partisanship in resolving or creating that problem. × Return to Chapter 13: Table of Contents D.

Web Resources

1. Black Elected Officials: A National Roster is a PDF publication available through the Joint Center for Political and Economic Studies. http://www.jointcenter.org/index.php/current_research_and_policy_activities/political_partic ipation/black_elected_officials_roster_introduction_and_overview 2. C-SPAN (Cable-Satellite Public Affairs Network). Gavel-to-gavel coverage of Congress carried by most TV cable networks. http://www.cspan.org/ 3. Campaigns and Elections magazine focuses on Congress and elections. Some portions of the site require a subscription. A new feature is its blog directory allowing you to find election and partisan based blogs easily. http://www.campaignline.com/ 4. Congressional Budget Office. http://www.cbo.gov/ 5. Congressional Quarterly is a nonpartisan publication whose mission is to inform the electorate. The site includes information on Congress, including bios, votes, election information, and so on. It also has a link to its state and local-level publication. Subscription is required for much of the information. http://www.cq.com/ Copyright © 2011, 2009, 2007 Pearson Education, Inc. All rights reserved.

6. Congressional Report Cards. http://www.vis.org/crc/default.aspx 7. Congressional Research Service (public domain reports available through University of North Texas). http://digital.library.unt.edu/govdocs/crs/ 8. Congress.org is a joint venture of two Washington, D.C. area firms with expertise in communicating with Congress. Capitol Advantage and Issue Dynamics (IDI) teamed up to produce Congress.org in 1996. Some search engines refer to it as a “one-stop shop” for legislative information including contact information on members, committee assignments, etc. It has added a new feature called “soap box,” which is basically a blog for the sites’ readers. http://www.congress.org/ 9. CQ Politics’ site is free and offers lots of good information, and you can get daily headlines by email for free. http://www.cqpolitics.com/ 10. Federal Election Commission. Information on campaign finance for presidential and congressional elections. http://www.fec.gov/ 11. The Hill: The Capital Newspaper. “The Hill reports and analyzes the actions of Congress as it struggles to reconcile the needs of those it represents with the legitimate needs of the administration, lobbyists and the news media. We explain the pressures confronting policymakers, and the many ways—often unpredictable—that decisions are made. But Capitol Hill is more than the focal point of the legislative branch of government. It is also a community not unlike a small city, and we report on its culture, social life, crime, employment, traffic, education, discrimination, shopping, dining, travel and recreation. Our editorial viewpoint is nonpartisan and nonideological.” Published on Wednesdays. The Hill now has a congressional blog as well. http://www.hillnews.com/ 12. Library of Congress. http://www.loc.gov/index.html 13. The Library of Congress (Thomas). Expansive repository of information on the House of Representatives, including the full text and progress of bills, the Congressional Record, legislative procedures and rules, committee actions, and more. http://thomas.loc.gov/ 14. National Journal. http://www.nationaljournal.com/njonline/ 15. OpenCongress. http://www.opencongress.org/ 16. Project Vote-Smart is a nonpartisan information service funded by members and nonpartisan foundations. It offers “a wealth of facts on your political leaders, including biographies and addresses, issue positions, voting records, campaign finances, evaluations by special interests.” It also offers “CongressTrack” a way for citizens to track the status of legislation, members and committees, sponsors, voting records, clear descriptions, full text, andeekly floor schedules, as well as access to information on elections, federal and state

governments, the issues, and politics. Includes thousands of links to the most important sites on the Internet. http://www.vote-smart.org/ 17. RollCall Online. “Roll Call is widely regarded as the leading source for Congressional news and information both inside the Beltway and beyond.” RollCall Online publishes many of the same stories, classifieds, etc., that the print edition publishes. It is published on Mondays and Thursdays. http://www.rollcall.com/ 18. The Washington Post. Check out the “Today in Congress” section including committee hearings and votes. http://washingtonpost.com/ 19. U.S. Government Accountability Office. http://www.gao.gov/ 20. U.S. House of Representatives Home Page. House schedule, House organization and procedures, links to House committees, information on contacting representatives, and historical documents on the House of Representatives. http://www.house.gov/ 21. U.S. Senate Home Page. Similar to the House of Representatives Home Page, but focused on the Senate. One exciting feature is a virtual tour of the Capitol. http://www.ga.wa.gov/visitor/virtualtour/tour.html# × Return to Chapter 13: Table of Contents

Integrated Guide to the Text’s Resources (Instructor’s Resource Manual)

Chapter 14 - The Presidency Table of Contents I. Chapter Overview A. Learning Objectives B. Chapter Summary II. Student Assignments – Pre-Lecture III. Lecture Resources A. Lecture Slides B. Additional Lecture Suggestions IV. Student Assignments – Post-Lecture A. Class Discussion Questions B. Class Activities C. Research Assignments V. Quantitative Assessment VI. Resources for Further Study A. Books B. Articles C. Media D. Web Resources

I. Chapter Overview: A.

Learning Objectives

¾14.1 Trace the Constitutional origins and historical expansion of presidential power. ¾14.2 Distinguish between the formal and informal powers of contemporary presidents. ¾14.3 Analyze how the presidents use public support, electoral victories, and congressional allies to push through their policies. ¾14.4 Assess the role of the Cabinet, the Executive Office of the President, and the White House staff in assisting the president. × Return to Chapter 14: Table of Contents B.

Chapter Summary

Presidential Authority and Leadership As head of state, the president is a unifying symbol for the nation. As head of government, the president is a politician who attempts to pass his legislative program, representing the views of those who elected him to office. As head of government, the president takes on several specific tasks, including acting as commander-in-chief of the armed forces, being the country’s primary diplomat who negotiates with other countries, encouraging Congress to pass particular legislation, and supervising the executive branch. The presidency is limited to individuals at least 35 years of age, born in the United States, and a resident of the U.S. for at least 14 years. Indirectly elected by the people via the Electoral College, the president serves a four year term with the possibility of re-election. Powers of the President The president’s formal powers are specific grants of authority defined in the Constitution or in laws. Some formal powers, such as making treaties and appointing ambassadors and judges are shared with the Senate. Independently of Congress, the president has the power to commission officers in the military, to grant pardons, to receive foreign ambassadors, and to convene sessions of Congress. One of the most important formal powers is the veto. The president can issue executive agreements, an agreement with a foreign country that does not require Congressional approval. The President can also issue executive orders, a directive to part of the executive branch. Presidents also have informal powers, meaning powers that are not the result of an established rule, policy mechanism, or constitutional assignment of authority, for example, the power to persuade. The president relies on the Cabinet, the Executive Office of the President, and the White House Staff for successful leadership. × Return to Chapter 14: Table of Contents

II. Student Assignments – Pre-Lecture A. B. C.

Student Required Reading: Chapter 14 – The Presidency Administer Reading Comprehension Quiz (see Test Bank, Chapter 14) Chapter Test – After your students have completed their reading assignment, go over these questions with your class to identify any areas you should focus on in your lecture.

Chapter Test 1. Among the Nation’s Founders, what were the major points of disagreement about the design of the presidency? 2. What, in your view, was the most significant constitutional power granted to the president? Why? 3. How have presidents exploited the ambiguities of Article II in order to expand the powers of their office? 4. In what ways does the president play a formal role in the legislative process? 5. Do the president’s formal and informal powers complement one another, or are they mutually exclusive? 6. Why would Congress delegate authority to the president? 7. Why do presidents tend to exert more influence over foreign policy than they do over domestic policy? 8. When is the American public most amenable to public appeals by the president? 9. Who provides presidents with the information they need in order to lead the country? 10. When formulating their policy agendas, why might presidents prefer to appoint policy “czars” rather than depend on Cabinet secretaries? × Return to Chapter 14: Table of Contents

III. Lecture Resources A.

Lecture Slides

Slide 1

Slide 2

The opening feature of this chapter shows the president dealing with the challenges facing his administration: a struggling economy, the BP oil spill.

Slide 3

Chapter 14: The Presidency The executive office provides the energy and dispatch that was lacking in the Articles of Confederation, while also guarding against the monarchical tendencies that led to the American revolution.

Slide 4 After Reading This Chapter, You Should Be Able To: 9 LO 14-1: Trace the Constitutional origins and historical expansion of presidential power. 9 LO 14-2: Distinguish between the formal and informal powers of contemporary presidents. 9 LO 14-3: Analyze how the presidents use public support, electoral victories, and Congressional allies to push through their policies. 9 LO 14-4: Understand the institutional resources that assist the president.

Slide 5

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Origins and History of Presidential Authority 9Office of the Presidency 9creating the presidency 9selecting the president 9reaching compromise

The president is the central political figure in American politics; he meets all challenges for Americans. When Americans think about what they need in a president, they begin with sound judgment and high ethical standards—experience comes last.

Slide 6

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A deluge of challenges: Presidents are expected to identify and then offer solutions to every conceivable social problem. Here in June 2010, President Barack Obama spoke with Governor Charlie Crist of Florida about the environmental damage wrought by the British Petroleum oil spill.

Note that leadership qualities are much more essential to Americans than political abilities.

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Origins and History of Presidential Authority 9Office of the Presidency 9creating the presidency 9selecting the president 9reaching compromise

Slide 9

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Slide 10

Origins and History of Presidential Authority 9Office of the Presidency 9creating the presidency 9selecting the president 9reaching compromise

9Expanding Influence 9early presidency 9modern presidency 9postwar presidency

Slide 11

In order to separate the president from Congress, the framers could not let the legislature choose the executive. The framers created the Electoral College, which is the meeting in each state and in the District of Columbia of electors who cast votes to elect the president. This is an indirect election that separates the president from the Congress as well as from the people. As it has evolved, however, the people are voting for electors and now have more say than the framers intended.

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Democrat Al Gore concedes defeat to George W. Bush, 2000: The Electoral College has often been criticized as undemocratic because it is possible for the person receiving the most popular votes nationally, like Gore, to fall short in electoral votes and lose the election.

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The framers had to create a strong executive to make up for what was lacking in the Articles, but at the same time, they were very wary of what had happened to the colonies under a strong King. They wrestled with what powers the president should have and how accountable he should be to the Congress. They decided to give the president veto power to check the Congress—his job was to check the democratic impulses that could harm liberty when found in the legislature.

These are the enumerated powers listed in the Constitution. Note that much of what the president can do is not listed here—the institution has evolved.

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Slide 12

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Origins and History of Presidential Authority 9Office of the Presidency

The American presidency was a compromise that no one was particularly happy about at the Constitutional Convention, but it contained elements that appealed to most delegates.

9creating the presidency 9selecting the president 9reaching compromise

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Slide 14

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Origins and History of Presidential Authority 9 Office of the Presidency 9creating the presidency 9selecting the president 9reaching compromise

Slide 15

The Constitution granted limited powers to the president, but included some open-ended clauses— the State of the Union, for example, today allows the president to set the legislative agenda. The “necessary and expedient” clause validates the president as a legislator. The “take care” clause allows strong independent action if the president believes laws are being ignored. Finally, all executive power is vested in the president— whatever the president can claim as executive power, he can do.

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Origins and History of Presidential Authority 9 Office of the Presidency 9creating the presidency 9selecting the president 9reaching compromise

Presidential Bush signs Congressional resolution regarding Iraq, 2002: The Constitution gives Congress the authority to declare war, but in practice Congress has not authorized war or military action without a prior request from the president. Here, Bush, surrounded by congressional leaders, including Senators John McCain and Joe Biden, signs a resolution that authorizes him to use force against Iraq if necessary.

George Washington would be amazed by Barack Obama’s powers; presidents have stretched clauses here and there to see what others would accept as legitimate exercises of presidential authority; early presidents left their stamp for later presidents to emulate. When Washington stepped down after two terms, everyone else—except FDR—did as well. When Jefferson made the Louisiana Purchase, he did so without consulting Congress— thus giving power to the presidency to negotiate these deals. Lincoln vastly increased the authority of the president while fighting the Civil War.

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Origins and History of Presidential Authority 9 Office of the Presidency 9creating the presidency 9selecting the president 9reaching compromise

Slide 17

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Origins and History of Presidential Authority 9 Office of the Presidency 9creating the presidency 9selecting the president 9reaching compromise

Slide 18

Slide 19

Supreme Court rules against Presiden Nixon, 1974: The Supreme Court ruled unanimously that Richard Nixon’s executive privilege did not allow him to withhold recordings of his conversations in the Oval Office. Two weeks later, Nixon became the only president to resign his position.

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The United States emerged from WWII as a superpower, and the president’s power grew as well; he became the single most important person in America and, increasingly, the world. One area in which all presidents expanded power is executive privilege—executive branch officials need to be able to advise the president in confidence. Congress has also delegated quite a bit of power to the president; they give him discretion to act in a particular area.

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Theodore Roosevelt was the first president to travel abroad, which cemented the role of president as chief diplomat. While presidents in the nineteenth century stayed away from controversial topics in speeches, Roosevelt began using speeches as a way to affect public opinion. The Great Depression of the 1930s and FDR’s response to it also drastically changed the presidency—the president was expected to solve the economic crisis.

President Bush addresses the country regarding September 11: George W. Bush’s speech on September 20, 2001, was widely considered a major triumph. His words expressed both the grim realization of what happened and his resolve to fight terrorism.

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Slide 20

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Slide 21

The feature in the book is about assessing Bush’s leadership—this is a good way to talk about presidential leadership with a president students are likely to remember. This can lead to a conversation about successful leadership. Leadership for the president depends on convincing other people to do what he wants them to; the partisan structure can help with this.

To Learning Objectives

Which clause has been used to increase the power of the presidency?

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A. Take Care B. Necessary and Expedient C. Executive Power D. All of the Above

Slide 22

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Which clause has been used to increase the power of the presidency?

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A. Take Care B. Necessary and Expedient C. Executive Power D. All of the Above

Slide 23

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Presidential Powers 9Formal Powers 9new legislation 9presidential veto 9commander-in-chief 9executive agreements and orders

9 Informal Powers

The president has quite a few powers to set policy—formal and expressed powers are designated by law or the Constitution. Others informal and inherent powers are the unique result of being the sole national leader. Formal powers include the ability to approve new legislation; he is the chief legislator and is thus engaged in every part of the process. He and his staff can draft bills, but must get a member of Congress to introduce it on his behalf.

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Slide 24

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Presidential Powers 9Formal Powers 9new legislation 9presidential veto 9commander-in-Chief 9executive agreements and orders

Slide 25

The Constitution also gives the president veto power, which allows him to reject bills enacted by Congress. When he vetoes legislation, Congress can override with a two-thirds majority vote in each chamber. If the president does not address a bill and Congress adjourns within ten days, it is a pocket veto—and Congress can do nothing but try to pass the legislation again. The most crucial part of this power is the threat of the veto: not so much the veto itself. Presidents veto on average nine times per year; President Obama has used a pocket veto.

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Presidential Powers 9Formal Powers

The third formal power is the president’s commander-in-chief status; he has the authority to move American troops into combat. While this power is not spelled out specifically in the Constitution, it has evolved over time.

9new legislation 9presidential veto 9commander-in-chief 9executive agreements and orders

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Slide 27

President Clinton visits troops, 1996: The president’s commander-in-chief role over the world’s largest military is a major part of his constitutional authority.

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Presidential Powers 9Formal Powers 9new legislation 9presidential veto

Finally, presidents have executive agreements and orders. An executive agreement is an agreement with a foreign country that does not require changes in U.S. law or congressional approval— treaties without the Senate’s consent. An executive order is a presidential directive that has the force of law—again without congressional approval.

9commander-in-chief 9executive agreements and orders

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Slide 29

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Slide 30

Note that the use of executive agreements has increased drastically, while the use of treaties has not.

Note the use of policy initiatives used by executive orders; they can be very important.

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Presidential Powers 9 Formal Powers 9new legislation 9presidential veto 9commander-in-chief 9executive agreements and orders

9Informal Powers

While American presidents fall in the middle range of formal powers compared to the rest of the world, each president has the ability to expand his rule through those informal powers connected to his personal experience, leadership style, reputation, or prestige—this is known as the power to persuade. Presidents need the cooperation of Congress to get things done. They also use signing statements; they let bureaucrats and judges know their intentions for the law.

Slide 31

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Presidential Powers 9 Formal Powers 9new legislation 9presidential veto 9commander-in-chief 9executive agreements and orders

To Learning Objectives

Congress and the courts can check the president’s power. The courts can rule anything the president does unconstitutional through the process of judicial review. Congress can choose not act on legislation the president asks for, refuse to approve his nominees, and design agencies with independence from the president. The most severe check is impeachment: a vote in the House of Representatives that initiates a trial against the president in the Senate, used for high crimes and misdemeanors. No president has ever been convicted and only two presidents, Bill Clinton and Andrew Johnson, have been impeached. John Tyler and Richard Nixon were nearly impeached; Tyler was censured and Nixon resigned.

Slide 32

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Slide 33

President Bill Clinton testifies before a federal grand jury, 1998: Minority Chief Investigative Counsel Abbe Lowell watches Bill Clinton’s testimony to the House Judiciary Committee during the president’ impeachment hearings.

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The power to persuade includes ____. A. Prestige B. Leadership Style C. Personal Experience D. All of the Above

Slide 34

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The power to persuade includes ____. A. Prestige B. Leadership Style C. Personal Experience D. All of the Above

Slide 35

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The President’s Resources

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One of the president’s most important resources is his relationship with the public, measured since the late 1930s as his approval rating. The more the public approves of a president, the more able he is to exert pressure on Congress. Approval ratings tend to start high and drift lower over time. The economy is the most important determinant of a president’s approval rating—if it is doing well, the people are inclined to rate the president highly. Another factor is rally events: short-term international events or military actions that boost approval ratings. Scandals hurt presidents; for example, the Watergate scandal led to Nixon’s resignation.

Slide 36

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Slide 37

Note here the rally event effect in George W. Bush’s presidency; note the honeymoon effect in President Obama’s approval rating.

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The President’s Resources

9High Levels of Public Approval 9Going Public 9Mandate 9Partisanship

Given how important approval ratings are to presidents and their ability to govern, presidents go public; they engage in highly visible campaigns of trips, press conferences, interviews, speeches, and appearances designed to galvanize support around his agenda. The rate of going public has increased; Dwight Eisenhower did these events about four times per month, while Bill Clinton did about thirty of them per month.

Slide 38

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The President’s Resources

9High Levels of Public Approval 9Going Public

Presidents who are elected with a sizeable margin on a clear platform can claim to have a mandate from the American people—the public spoke clearly in the election about the direction it wanted the nation to go. This helps presidents persuade Congress to follow their directives.

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Slide 39

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The President’s Resources

Slide 40

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Slide 41

Note that the partisanship is not a guarantee—the president’s party opposes him at least 20 percent of the time, and at least a small part of the opposition party supports the president a little bit—but note that over time it is getting worse. This is the polarization we see in Congress.

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Perhaps most important to the president’s ability to get things done is the partisan structure of the national government. Unified government is a situation wherein the presidency and both houses of Congress are controlled by the same party. Divided government is a situation wherein the presidency is held by one party and at least one house of Congress is controlled by a different party. Presidents do better when their own party dominates Congress. Here it is important to understand the differences between our system and parliamentary systems; a prime minister is part of the legislature, so if his party is in control, he is in charge directly. The president does not have such power. There are significantly tighter ties between legislators and the executive in parliamentary systems. Use the health care feature provided in the text to demonstrate the importance of this difference.

2010 protest against health care bill: Though he ultimately prevailed, the president evoked widespread opposition when he tried to enact health care reform during 2009 and 2010. Here, Tea Party protestors rallied outside of Congress to the chant of “Kill the Bill."

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Slide 42

LO 14-3

The President’s Resources

9 High Levels of Public Approval 9 Going Public

In foreign policy, the president is totally in charge. There are fewer interest groups, journalists, voters, and members of Congress who deeply care about foreign policy—this gives the president a great deal of latitude. A president is therefore likely to have much greater success in enacting his foreign policy decisions than his domestic policy agenda.

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Slide 43

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Slide 44

Hoping to steer toward economic recovery: Not all presidents enter office with the right circumstances for enacting bold changes in policy, but financial crisis and the public’s desire for a change in direction may have given Barack Obama more opportunity than most. The public, though, proved quick to turn on the president, who saw his approval ratings drop by more than 20 points during his first 18 months in office.

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An electoral mandate was most easily claimed by ___. A. Bill Clinton B. George W. Bush C. Barack Obama D. None of the Above

Slide 45

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An electoral mandate was most easily claimed by ___. A. Bill Clinton B. George W. Bush C. Barack Obama

D. None of the Above

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Slide 46

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Institutional Resources 9Cabinet 9 Executive Office of the Presidency 9 White House Staff

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Slide 47

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Note the use of concentric circles here to explain the various bureaucrats’ relationships to the president—the closer you are, the more influence you have. While the Cabinet is important, it is not as important as White House staff.

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Slide 48

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Institutional Resources 9 Cabinet 9Executive Office of the Presidency 9 White House Staff

The second concentric circle in is the Executive Office of the Presidency, which closer is to the president than are the Cabinet secretaries. The EOP consists of a number of policy-related groups that aid the president; they generate policy alternatives and suggestions that are faithful to the president’s political agenda. They do not administer programs like the Cabinet does, and do not have large staffs of career civil servants. Note that the most important EOP agency is the Office of Management and Budget, which enforces the president’s budgetary priorities.

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Slide 49

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Institutional Resources 9 Cabinet 9 Executive Office of the Presidency 9White House Staff

Formal institutions designed to help presidents can be understood as concentric circles with the president in the center. The outer ring is the Cabinet departments; the Cabinet is the group of the top-ranking officials of every major federal department, plus other officials included by the president, who meet periodically with the president to discuss major administration priorities and policies. There are fifteen Cabinet departments. Cabinet secretaries have a high turnover rate in the second term: evidence that the relationship can be rocky. In his second term, President George W. Bush replaced nine of fifteen Cabinet secretaries.

The closest group of people to the president is the White House staff; these people are the most trusted by the president. The White House staff is the group of offices in the executive branch that provides the president with political advice, promotes the president’s program with legislators and interest groups, and handles the president’s public relations. The White House staff was made up of 420 employees in the Bush presidency, while the EOP had about 1800 and the Cabinet had about 1.7 million employees.

Å Back to Learning Objectives

Slide 50

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Slide 51

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Slide 52

Joe Biden in Iraq: Vice President Biden has played a strong role advising President Obama on foreign policy. On July 4, 2010, he addressed troops in Baghdad, Iraq.

Note that the White House staff’s primary job is to provide the president with an analysis of the political environment; it is most loyal to the president.

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Which group is closest in influence to the president? A. Cabinet B. Executive Office of the Presidency C. White House Staff D. None of the Above

Slide 53

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Which group is closest in influence to the president? A. Cabinet B. Executive Office of the Presidency C. White House Staff

D. None of the Above

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Slide 54

Text and Art Credits

Slide 55

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Photo Credits

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× Return to Chapter 14: Table of Contents

Additional Lecture Suggestions

¾14.1 Trace the Constitutional origins and historical expansion of presidential power •

• • •

• • • • • • •

The Founders understood that the executive would need sufficient power to effectively carry out his responsibilities, but their experience with tyrannical monarchs made them wary of granting too much power to the presidency. The provisions of Article II of the Constitution, which spell out the role of the president, are thus intentionally vague. To a large extent, presidents have been able to define their own powers by broadly interpreting Article II. Chapter 8 discusses the changes in the presidency, with the institution gaining more power as it evolved. The president’s powers in both domestic and foreign policy have grown as assertive personalities in the office responded to crises with decisive action. The chapter also details the various roles that the president must play: chief of state, chief legislator, chief diplomat, commander in chief, and chief executive, and outlines the formal and informal powers that contribute to each of those roles. The Founders wanted to balance the need for a strong executive with a system that provided sufficient restraints to keep him from abusing that power. The Constitution resolved several key questions about the presidency, including how the executive would be chosen, the length of his term, his role in foreign policy and defense, and his relationship with the legislature. Concern over the potential power of a strong executive was a divisive point in the ratification process. In Federalist No. 69, Alexander Hamilton outlined the provisions that would prevent a President from becoming a tyrant like the abusive monarchs of Europe. Yet the strongest factor in gathering support for ratification was the understanding that the highly respected George Washington would be the first to hold the office. The institution of the presidency has become stronger over time. This evolution of power is due to presidents using the vagueness of Article II to continually expand the scope of presidential power. Explain Hamilton’s arguments in Federalist No. 69 as to why the powers of American presidents should not be compared to those of tyrannical kings. Explain the impact of Theodore Roosevelt and Franklin Roosevelt in expanding presidential power. Describe the offices that fall under the direct purview of the president and advise him on various policy areas. Explain the separation of the roles of chief of state and chief of government in parliamentary systems with both a president and prime minister. Name the document and the location that gives the president their power. List and define the five powers of the president as defined in the Constitution.

¾14.2 Distinguish between the formal and informal powers of contemporary presidents •

LEADERSHIP SKILLS AND STYLES A lecture dedicated to leadership styles and skills becomes much more realistic if it concentrates on two or three American leaders, illustrating strengths and weaknesses in their behavior patterns. The thumbnail sketches set forth below are a commentary on some characteristics of two American presidents during the twentieth century. Copyright © 2011, 2009, 2007 Pearson Education, Inc. All rights reserved.

Obviously, they are suggestive, rather than a complete analysis. Each instructor will want to expand the material in directions that enlarge on some points or reach out to other facets. Herbert Hoover: President Hoover (1929–1933) came to the office with an impressive backlog of successful experience in private and public life. He had risen to the top of his field as a mining engineer. He had organized a national effort to conserve and allocate American food supplies during World War I, and had gone on to feed the hungry of Europe after the war. He had been a vigorous Secretary of Commerce under Warren Harding. At the time of his election to the presidency, he was nationally acclaimed as a great humanitarian and won the electoral vote of forty states. But Hoover had defects of skill and style that political adversity heightened. Basically, he was the exemplary bureaucrat, relying heavily on organization, rules, and efficiency. Unfortunately, he was thin-skinned and as the Depression of the 1930s developed, he became more and more withdrawn. He disliked the give-and-take of politics. In direct contact with voters and other politicians, he did not feel comfortable. He lacked persuasive powers. His political-economic philosophy allowed little room for compromise. With such handicaps, it was easy for his critics to picture him as cold and unfeeling. In March 1933, he left the White House in disgrace, having fallen in four short years from dizzying heights to abysmal depths in public esteem. Much later, as an elder statesman, Hoover headed the highly successful Hoover Commission, whose recommendations for reorganization of the national government were largely adopted. Lyndon B. Johnson: Lyndon Johnson (1963–1969) was born, like Hoover, in humble circumstances, and rose to national prominence by way of political office. After a short spell as a teacher, Johnson went to Washington as a Texas congressman’s assistant. Soon he became a protégé of House Speaker Sam Rayburn, who got him an appointment as head of the National Youth Administration in Texas. From that base he was elected to a congressional seat; eleven years later he narrowly won a Senate seat. Within four years he was the Senate majority whip; in 1952 he became the Senate minority leader; Senate elections in 1954 made him majority leader. He was then forty-seven years old. In many ways his Senate career displayed Johnson’s political talents at their height. He constantly “pressed the flesh,” working out personal alliances with other senators and creating a unified Democratic party, with himself at the center. His vigor was phenomenal. One biographer writes: “He was smoking at least three packs of cigarettes a day, sometimes more. He never had lunch unless a legislative matter was being discussed, he missed dinner more often than not, and when he did make it home, usually as late as ten or eleven, he was almost never alone” (Merle Miller, Lyndon, 179). In 1960, John Kennedy chose Johnson as his running mate. Three years later Johnson succeeded to the presidency upon Kennedy’s assassination, and in 1964 he won the office in his own right. Many think Johnson was the epitome of the political broker. He was the ultimate persuader, using the carrot and the stick with equal skill. He was an eloquent stump orator (although on television he was stiff and preachy), with a flair for the down-home phrases. Beyond all question, he was consumed by ambition, using every friendship as a stepping stone to personal advancement. He had a magnetic quality that quickly drew people to him. Yet in the end, he lost his golden touch. His dogged determination to win the Vietnam Copyright © 2011, 2009, 2007 Pearson Education, Inc. All rights reserved.

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War eventually put him at odds with the voters. In 1968, his support fast eroding, he chose not to run for reelection. Leaving the White House an embittered man, he died in January 1972, his successes in domestic politics (the Great Society programs and Civil Rights legislation) forgotten in the political passions of the time. POWER AND AUTHORITY: FORCE, TRADITION, LEGALITY, LEGITIMACY The source of political power is a critical component of the leadership role, although it may be difficult to understand in the abstract. The simplest, most direct form is power based on raw force. The leader (ruler) is placed in power and kept there because he has the guns, the tanks, the planes, the secret police. Latin American nations over most of the past two centuries provide examples of such leaders, installed and discarded by the military. Most of the Latin American countries seem to have shifted now toward other types of leadership, but the tradition of raw force is an enduring one. Contemporary Chile is an example. President Augusto Pinochet was installed and kept in power by the army for more than a decade, although he might have had the support of no more than 15 percent of the people. In Europe, the pattern extends to the former Soviet bloc countries whose old rulers held power only because of Soviet military backing and whose new rulers are scrambling to hold on to power in the midst of economic turmoil and intense ethnic conflict. Another form of leadership is based on tradition and recognized legitimacy. For centuries countries such as France, Prussia, Russia, Spain, and Austria were headed by royal families, with eldest sons succeeding fathers to the throne. This tradition was deeply entrenched and not easily displaced. In Great Britain the pattern was temporarily disrupted by Oliver Cromwell’s seizure of power (1649–1660). In the half-century that followed, the British Isles were embroiled in political turmoil over rival claims to the throne between the royal branch installed by Parliament and the traditional “legitimate” Stuart family supported by Scots and Irish. In the contemporary world, several royal families remain as heads of state. Although few have fundamental political power, they serve as symbols and generate loyalty in such diverse nations as Sweden, Norway, the Netherlands, Spain, Great Britain, Thailand, and Japan. Incomprehensible as it may seem to American students, these royal leaders are a significant factor in modern governments. A third type of leadership is that most familiar to Americans. It involves elections, fixed terms of office, and majority rule. Such a leadership system depends on neither tradition nor force. Instead, it is dependent on written constitutional arrangements and legality. If the rules are followed, leaders are accepted as legitimate, even by those who bitterly oppose them. In terms of world history this is the most fragile of the systems, requiring a degree of political sophistication that many nations seem to lack. Robert Kennedy’s Thirteen Days, a study of the Cuban missile crisis, is an excellent account of President Kennedy’s reliance on small group decision making. Compare the treatment of the “character issue” in light of the 2004 race between President Bush and John Kerry, and the 2008 race between John McCain and Barack Obama. Presidential ability to influence legislation combines his formal powers (veto, recommending legislation, delivering the State of the Union address) with the informal powers of persuasion and knowledge of the legislative process. Presidents have extensive powers in conducting foreign affairs. These include appointing and receiving ambassadors, making treaties, and executive agreements. More recently, presidents Copyright © 2011, 2009, 2007 Pearson Education, Inc. All rights reserved.

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have been granted fast-track trade authority to streamline the passage of foreign trade legislation through Congress. The president is the commander in chief of the military, yet Congress has the power to declare war. The congressional attempt to rein in presidential power to commit troops by the 1973 War Powers Act has not lived up to its intent, and presidents continue to maintain that they can send troops as they see fit. Congress’s power to refuse to allocate funds for such commitments remains a counter to the president’s power. The president’s role as chief executive means that he is the top of the bureaucracy, heading departments totaling over 2.5 million employees. In this role, he is charged with executing the laws passed by Congress. While the legislation itself instructs much bureaucratic action, the president can use tools such as executive orders and signing statements to shape public policy through the bureaucracy. Citizens’ perceptions of presidential power generally don’t take into account the limitations on the office, so the people are often disappointed in the inability of the president to carry out his promises and meet their expectations. This section examines the factors that lead both citizens, and political scientists and historians to classify some presidents as “great.” Such factors include leadership during a time of war or other crisis, along with the personal qualities of vision, pragmatism, consensus building, charisma, and trustworthiness. As early as 1967, Congress was searching for ways to curtail presidential authority to commit armed forces to hostilities. The steps moved from a “sense of the Senate” resolution to funds cut-offs to, ultimately, the War Powers Act. The Act links congressional power under the necessary and proper clause with the commander in chief clause so as to restrain executive deployment of U.S. Armed Forces. It did so by enumerating the circumstances in which deployment abroad was permitted and by limiting any such deployment to 60 days. The Act’s purpose, said the drafters, was to “fulfill the intent of the Framers and ensure that the collective judgment of both Congress and the President will apply to the introduction of U.S. Armed Forces into hostilities.” Some have argued that the War Powers Act is an unconstitutional delegation of congressional power, in that it permits 60 or 90 days of unilateral presidential war making before any specific congressional consent is required. Another question is the constitutionality of §5(b), which essentially allows Congress to terminate the use of any American Armed Forces. Does this conflict with the constitutional language making the President commander in chief of the armed forces? In response to §5(b), President Nixon said that this section was “without force,” and amounted to an attempt to amend the Constitution through legislation. The Act took effect in November of 1973, several months after hostilities had subsided and President Nixon had agreed to use any appropriations for financing U.S. combat activities in Southeast Asia. So there was no direct showdown as a result of the enactment of this law. The legislative veto provisions in the War Powers Resolution were indirectly challenged in INS v. Chadha, 462 U.S. 919 (1983). The case was the Supreme Court’s first full encounter with the constitutionality of legislative vetoes, and the Court, in sweeping language, questioned their validity. Nonetheless, Congress has continued to enact legislative veto provisions in a number of statutes. And in 1983, the House Judiciary Committee held hearings on legislative vetoes and issued a formal report concluding that Chadha had not overruled the War Powers Resolution. The controversial war in Iraq has led to calls for new restrictions on the war-making powers of a president. Expanded versions of the War Powers Act have been suggested, including provisions that all fiscal support for the military be reapproved on a monthly basis after a certain expiration date Copyright © 2011, 2009, 2007 Pearson Education, Inc. All rights reserved.

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set in initial war authorization legislation. No changes have passed, but the mood is to restrict the latitude of presidents to use the military to pursue objectives without the ongoing approval of Congress. The special responsibility of the president in the area of foreign affairs was demonstrated in the early case of United States v. Curtiss-Wright Export Corp., 299 U.S. 304 (1936). A joint resolution of Congress in 1934 authorized the president to prohibit the sale of arms and munitions to countries engaged in armed conflict in South America. President Roosevelt immediately proclaimed such an embargo. Curtiss-Wright challenged the embargo as an unconstitutional delegation of legislative power to the president. In upholding the president’s authority, Justice Sutherland wrote, “In this vast external realm, with its important, complicated, delicate, and manifold problems, the president alone has the power to speak or listen as a representative of the nation. He makes treaties with the advice and consent of the Senate but he alone negotiates. Into the field of negotiation the Senate cannot intrude; and Congress itself is powerless to invade it.” According to Sutherland, federal power in the international area is not dependent upon the powers specified in the Constitution. The case stands for the proposition that limits on the delegation of powers are less restrictive in the foreign affairs field than in the domestic area. One problem with this case is that while it is clear that the national government’s power in foreign affairs is broad, it is less clear how these powers are to be divided between Congress and the president. Nonetheless, the broad powers given to the executive branch in the area of foreign affairs remain largely unchallenged today. For more on the Curtiss-Wright case, see Berger, “The Presidential Monopoly of Foreign Affairs,” 71 Michigan Law Review, 1 (1972). Compare and contrast how other countries handle the “head of state, head of government” conflict. List the sources and meaning of presidential authority and leadership. List three and describe examples of when the president is a statesman. List three examples when the President serves as the chief executive. List the formal and informal powers available to presidents. Describe the difference between the line-item veto and the pocket veto. Describe the many roles expected of the president as head of the government. Identify public, political and policy resources that contribute to successful presidential leadership. Explain how the popular expectations of presidential leadership exceed the formal constitutional powers of the office. Describe the veto process and explain why the veto is the president’s most powerful weapon in dealing with Congress. Discuss how post-Cold War presidents exercise global leadership. Describe the development and restrictions on the president as commander-in-chief.

¾14.3 Analyze how the presidents use public support, electoral victories, and congressional allies to push through their policies • •

Compare the Founding Father’s vision of the Electoral College’s purpose with its use today. The President has congress, which can hinder him or help him become successful. Name one example of each situation and give an example of where divided government hurt the president and one example where unified government helped the president. Copyright © 2011, 2009, 2007 Pearson Education, Inc. All rights reserved.

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Discuss why presidential support tends to decline after the first year in office.

¾14.4.Assess the role of the Cabinet, the Executive Office of the President, and the White House staff in assisting the president •

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Although there are specific responsibilities assigned to the vice president in the Constitution (acting as president of the Senate and breaking tie votes), the main role of the vice president is to stand as backup in case the president dies or becomes disabled. Since the 1950s, vice presidents have become more a part of the president’s inner circle of advisors to make sure they will not have to assume office without full knowledge of ongoing events. The informal powers of the president, principally the power to persuade, are as important as the more formal constitutional powers. Presidents use their power of persuasion both on other policymakers and in appealing to the public to support their initiatives. The role of the first lady has evolved from that of a behind-the-scenes advisor to her husband to that of a more public activist, promoting certain policy initiatives. The president’s role as chief of state consists of performing ceremonial tasks unrelated to the running of the government. These actions influence public perceptions of presidential leadership. Explain how the president manages the federal bureaucracy. List the 15 departments in the Cabinet and explain the function of the cabinet. Describe the historical and traditional role of the vice presidency and how this fits into the “vice presidential waiting game.”

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IV. Student Assignments – Post-Lecture A.

Class Discussion Questions

¾14.1 Trace the Constitutional origins and historical expansion of presidential power • • • • •

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Ask students to how George Washington shaped the presidency simply by being the first to hold the office. Discuss the line of succession for the office of the presidency. Ask students how they would feel about some of the secretaries down the list becoming their president. If you were going to improve the office of the vice president of the United States, what changes would you make and why? Woodrow Wilson is associated with the quotation, “The president is at liberty, both in law and conscience, to be as big a man as he can be.” Do you think that this is a good guideline for the modern presidency? Why have presidents pretty much ignored the War Powers Resolution? Was it ignored by George W. Bush during Operation Iraqi Freedom? Is this legislation constitutional considering it restricts the president’s power as commander in chief, at least in theory, if not in practice? How has the office of the president changed over the course of American history? What are the most important recent trends affecting the power and role of the executive branch in American government? How is the executive branch organized? Have the students discuss the importance of presidential candidates being born in the United States. Is such a rule needed in modern society? Why did the Founders include such a rule in Article II? How did early Presidents expand the role of the President?

¾14.2 Distinguish between the formal and informal powers of contemporary presidents •

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Discuss distinctions between head of government and head of state in class. Now, considering the two different functions, discuss why the vice president could not serve as head of state, thus taking much of the work load off the president. How does the class assess the public’s acceptance of such a major change of vice presidential responsibilities? Discuss the paradox of the desire for a strong leader with the antigovernment sentiment of Americans. Discuss how presidential power has increased over the years even though the president’s constitutional powers have not changed. What role does a president have in times of national crisis? What role did George W. Bush assume following the September 11, 2001 terrorist attacks on America? What was his role in the financial crisis of October 2008? How did the war in Iraq affect the Bush administration? What is the current situation? Identify some cause-and-effect relationships among global policies, presidential leadership of the military, and commercial interests in domestic and foreign nations.

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Given the importance of the president’s persuasive abilities, compare the abilities of FDR, Reagan, and Clinton. Which one was most effective and why? What role in the current government, if any, should former presidents of the United States have, considering all of their experience in domestic and global issues? If you could be president for a day, which of the defined informal powers would you be most likely to use? Executive privilege? Executive orders? Executive agreements? What would be your justification for exercising that informal power? Should Congress pass a law restoring the power of presidents to impound? Why? Why not? The role of Commander-in-Chief of the military has impacts other than those associated with direct orders to troops. What other impacts associated with this role can you identify? What are the most important qualities you are looking for in a president? When it comes to selecting a president, some people believe that “character matters.” How much does it matter to you whether a presidential candidate has lied, broken the law, or committed adultery? How compelling are the arguments that the president has inherent powers not directly granted in the Constitution? How can a president improve his relationships with the media? How could one argue that a president is only as good as his advisors? Do you feel the impeachment process requires too many difficult steps in removing a president or are such lengthy steps a necessary hindrance to possible overreaction and quick judgment? What are the formal and informal powers of the president? What roles does the president play in contemporary American government? What role does Congress play in oversight of the executive branch? What makes a great president? Compare Roosevelt’s response to the attack on Pearl Harbor with Bush’s response to the events of 9/11/01. Did Hillary Clinton’s role as First Lady bring her the attention that helped her become a U.S. Senator and potential presidential candidate? Given the enormous complexity of international affairs, is vesting the majority of power in one person (or office) the only efficient way to make foreign policy decisions? Is it the wisest way? How useful is the War Powers Act? Once the president makes an initial commitment of troops, doesn’t it become more difficult for Congress to withdraw from an engagement than it would have been to stay out in the first place? President George W. Bush held office during a time of great crisis precipitated by the events of 9/11/01. Where do you think he will be ranked on the “greatness” scale? Do you feel President George W. Bush’s leadership capabilities will be judged more on the basis of his performance in foreign issues such as the war on terrorism and the war in Iraq or on domestic issues such as the economy, tax cuts, and social security reform? Why? How do other countries handle the “head of state, head of government” conflict? Should the president be able to use the power of executive privilege? Why would a president use an executive agreement rather than a treaty? Compare an executive agreement with an executive order. What limits do other countries place on presidential power? Copyright © 2011, 2009, 2007 Pearson Education, Inc. All rights reserved.

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What are the characteristics that you, as a student, think a candidate for the presidency must have? Are these realistic? What is the difference between the president as head of state and head of government? How have presidents used executive power to justify actions beyond those specified in the Constitution or in laws of Congress? What is the difference between a veto, a pocket veto, and a line-item veto? Make a list of overseas military interventions directed by U.S. presidents since 1900. How many of these were “declared” wars? Why did Congress pass the War Powers Resolution? Do you think that the resolution is constitutional?

¾14.3 Analyze how the presidents use public support, electoral victories, and congressional allies to push through their policies • • • • • • • • •

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Discuss the ways that a non-supportive public opinion can hurt the presidency. Were there any lingering effects of Bill Clinton’s impeachment upon the presidency? What evidence of lobbying efforts by the president have most recently been headline news? Is lobbying, as arm-twisting, beneath the dignity of the chief executive of the United States? Some people believe that the most compelling restraint on presidential power is the opinion of the American people. Do you agree? Theodore Roosevelt referred to the White House as “a bully pulpit.” Discuss the meaning of this phrase in terms of contemporary politics and current issues. How has the presidential ticket changed over the years? Do you think the way we elect presidents and vice presidents today is the best way to approach such a dual election? Based on the 2008 presidential nomination and general election campaigns, is it now more likely that women and persons of color will become candidates for president? Who are possible candidates for each party? What techniques can a president employ to strengthen a cooperative legislative coalition in Congress? Why are some of these techniques difficult to implement? President Bush confronted opposition from several prominent U.S. senators early in his administration, such as the case of Senator John McCain and the issue of campaign finance reform and Senator Ted Kennedy and the issue of social security reform. When a president confronts a nationally known opponent in Congress, what strategy should be adopted in order to maximize his or her own presidential policy agenda? How would a parliamentary system of government eliminate the legislative executive conflict inherent in the U.S. political system? Would it be a good idea to change the congressional “supermajority” needed to override a presidential veto from two-thirds to a simple majority of the Senate (51 or more). Why, or why not? What part does the president play in the legislative process? How do we give the president sufficient power for him to carry out his responsibilities effectively without giving him the potential to abuse his power? How can the president use his veto power to prevent legislation from being passed?

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Political scientists and historians have long questioned whether great presidents make great times or whether great times and events create great presidents. What conclusion have you reached after reading this chapter. Compare the Founding Father’s vision of the Electoral College’s purpose with its use today. Should we end the use of the Electoral College and choose the president via popular vote only? Under what circumstances may Congress seek impeachment charges against a president? What is the key reason the president wants to maintain a positive relationship with the public? How does party control of Congress affect presidential success? Debate in class whether the line-item veto, if it had not been ruled unconstitutional, would have reduced partisan differences over budgetary priorities for a future president and Congress. How did public expectation of the president as manager of the economy affect the careers and legacies of Herbert Hoover, Jimmy Carter, and G.H.W Bush? How does the existence of a White House press corps assist and detract from presidential power? What are the consequences of an unpopular president in attempting to achieve legislative success in Congress? What is the honeymoon period, and how does this assist newly-elected presidents? What is gridlock, and why is it more likely to develop after the midterm elections?

¾14.4 Assess the role of the Cabinet, the Executive Office of the President, and the White House staff in assisting the president • • • •

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Discuss the significance of the activities of recent vice presidents such as Al Gore, Dick Cheney, and Joe Biden. Are there any of the executive departments, such as the Department of Agriculture, which should be abolished? Is there a better way to prepare a vice president for assuming the role of president rather than having him fulfill the duties currently given to vice presidents? George H.W. Bush frequently said he wanted “a kinder, gentler nation,” while Bill Clinton talked of a “new covenant” in which “we don’t have a single American to waste.” George W. Bush preached “civility” and unification of the political system. How can the presidency be used to promote those values? Are there any advantages to making the vice presidency a more visible and active role? For a class discussion, have students debate the different ways vice presidents can be used to enhance the president’s opportunities for advancing his agenda in Congress. In particular, have them examine the concept of a co-presidency or the abolition of the vice presidency position. What would be the consequences? Do Presidential signing statements change bureaucratic behavior? Debate the effectiveness of President George W. Bush’s efforts to push through agenda in his second term.

Class Activities

¾14.1 Trace the Constitutional origins and historical expansion of presidential power • • • •

Assign students to read Article II of the Constitution and compile a list of the president’s constitutional powers. Have students simulate a portion of the Constitutional Convention to rewrite Article II. They should discuss what specific powers of the president should be enumerated in the Constitution. Have students hold a debate on ratifying the Constitution, focusing on the power of the president. Hold a mock Supreme Court hearing on the constitutionality of the War Powers Act.

¾14.2.Distinguish between the formal and informal powers of contemporary presidents •

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Have students choose two presidents from history and write a paper discussing the impact they had on the office. Two interesting variants would be: choose one president who had a positive effect and one who had a negative effect or choose two extremely different personalities who seem equally successful and explain why. Take a class poll of how many believe the president alone should decide when the nation goes to war. Is that what happened in the war in Iraq? Have students write a report on how a strong president might expand the power of the presidency.

¾14.3Analyze how the presidents use public support, electoral victories, and congressional allies to push through their policies • •

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Stage a presidential press conference including the pre-conference briefing of the president. A small group of students can be the president, press secretary, and major Cabinet/EOP personalities. The rest of the class can function as the press. Explain the original plan for selecting a president, and describe how the Electoral College system works now. Have students hold a Constitutional Convention to decide how the executive should be chosen and how long his term should be. Is the outcome influenced by the reliance on direct election that has grown since the founding? Hold a public forum on the role of the presidency in the post-9/11 world, bringing in faculty (from political science, history, law, and others), students (from the debate team and from the college political parties), and community members (local government representatives, business leaders, religious leaders, etc.). Following the forum, students should write reflection papers tying concepts and vocabulary from the book to arguments raised in the forum. Create a presentation detailing connections between past presidents, your town, and local interests (including economic interests). Work with school children in collecting the information and setting up a visual display for Presidents’ Day. Then have the college students translate the visual display to essay form, bringing in terms and concepts from the chapter.

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Commentators on the presidency often refer to it as a “bully pulpit,” implying that presidents can persuade or even mobilize the public to support their policies if only they are skilled enough communicators. Ask your class to try to determine the skills that are needed to make a president an effective communicator. How has the concept of the “bully pulpit” changed since Theodore Roosevelt referred to the idea? How has the public changed? The office of the president? Have your class write short essays in which students explain why voters choose presidents and congresses that appear to reflect different policy positions. Is this a negative or a positive factor of the American form of government?

¾14.4 Assess the role of the Cabinet, the Executive Office of the President, and the White House staff in assisting the president •

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Assign a student to play the role of president and develop his or her White House staff. What criteria need to be met to fill each position?? What positions might be added, or eliminated, from the student’s staff? Be sure to have all students become involved in choosing the characteristics of those selected, as well as in identifying the positions and titles necessary, in their opinions, for running the executive office. The class has become the National Security Council, advising an unseen president on management of Middle Eastern conflicts. Develop means to implement the advice given to the unseen president. Identify two of the major issues about the role of the executive that were discussed at the convention. Present arguments on various sides of each issue.

× Return to Chapter 14: Table of Contents

Research Assignments

¾14.1 Trace the Constitutional origins and historical expansion of presidential power • • • •

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Have students research and compare the role of prime minister to Great Britain to that of president of the United States. Have students do Web research on the nature of war powers. What are the presidential and congressional powers at issue and has this conflict been solved? What has been the role of the Supreme Court in this debate? Assign students to write a report on the provisions of the Twenty-Fifth Amendment. Interview senior citizens about their recollections of past presidents as part of an oral history project. Collect additional recordings of presidential speeches, including State of the Union addresses and radio addresses. Write a paper discussing how the perception of the presidency and its powers have changed over time, referencing interviews, presidential speeches, and the textbook. Have students search the Web to determine how the first three presidents (or any groups of presidents) affected the powers of the presidency.

¾14.2 Distinguish between the formal and informal powers of contemporary presidents • • •

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Choose the four or five "best" presidents in our history (have the class vote or just choose your own favorites). Have students research the records of these presidents and stage a debate to determine who should be the first enshrined in a president's Hall of Fame. Ask students to use the Internet to locate a recent presidential speech. Describe the speech’s main points and its intended audience. Discuss whether the speech is consistent with the broad policies and values espoused by the president. For a reading and writing connection, have students keep a clipping file of newspaper coverage of the president for at least one week. Have them categorize the articles into stories about the president’s (domestic and international) roles and personality. Then have them assess the tone and nature of the coverage. Once they have analyzed their clippings, have them write an analytical essay concerning the presidential news coverage and bias in the media. Have students choose the State of the Union address delivered by one president, and determine the extent to which the president’s speech successfully set the congressional agenda. What factors enhanced the president’s ability to lead Congress? What factors hampered his ability to lead? Have students search the Web for copies of three executive orders on different subjects executed under one president. They should use these documents to write a paper on the nature and impact of executive orders. Have your students visit the Atlantic Monthly website and do the presidential decisionmaking simulation. Assign a class discussion or paper to follow. Have students find the homepages of three presidential libraries and compare what they find. What factors determine the focus of presidential libraries?

¾14.3 Analyze how the presidents use public support, electoral victories, and congressional allies to push through their policies •

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Have students search the Web for public opinion on the presidency—both the office and current inhabit thereof. They should discuss why Americans are dissatisfied with the office of the presidency and whomever seems to inhabit it. What proposals have been made to reform the presidency? Do they adequately reflect the problems and conflicts of the office? Can we “fix” the presidency so that the majority of Americans are satisfied? Discuss. Have students do a media analysis of presidential coverage. For one month, they should watch a variety of network and cable news programs, read a variety of newspapers and weekly news magazines, listen to talk radio (be sure they get right and left-wing stations), and check out Internet news sites. They should discuss the following questions: How is the president covered? What gets the attention of the media and why? Is the president “staging” or “spinning” any of the coverage or are the media in control? What implications do your findings have on how we perceive the president? Ask students to review the current budget proposals being debated between Congress and the president. What appear to be the major points of contention and agreement between the two branches on the proposed budget figures? What ideological differences or similarities are at work in the current budget deliberations?

¾14.4 Assess the role of the Cabinet, the Executive Office of the President, and the White House staff in assisting the president • •

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Have students research the career of J. Edgar Hoover as an example of a bureaucrat beyond presidential control. Assign students to do some research on the vice presidency of Dick Cheney. Some call him the most active vice president in history. What types of activities was he involved in and why? Was it a function of a permanent change in the office of the vice president or his personal relationship with President Bush? Discuss in class or assign a paper. Research the administration of President Obama and write a report in which you rate his ability to 1) successfully meet the public expectations of presidential power; 2) his use of the political resources of the president; and finally, 3) his ability to use personality to achieve policy. Partner students with a computer literacy class and have them jointly research presidential, vice presidential, and First Lady domestic policy initiatives. Each pair or group could focus on a different policy area, such as education, health, economic development, transportation, science/technology, environment, or the arts. The adults in the computer class could reflect on their learning experience by posting to a class blog. The college students could complete field journal entries about the process of working with their adult partners (reflecting and reacting) and a final, critical analysis of how the information they gathered can be brought to bear on the topics and terms in the textbook. Using your access to the Internet, go online and visit the presidential library sites of the last 4 presidents: Reagan, Bush, Clinton, and Bush. Compare the activities of each president. What similarities do you see? What differences do you see? Study the role of Vice President Joseph Biden and compare his role to that assigned to G.H.W. Bush by Ronald Reagan, Al Gore by Bill Clinton, and Dick Cheney by G.W. Bush. Copyright © 2011, 2009, 2007 Pearson Education, Inc. All rights reserved.

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•

Use the Internet to find a list of the current heads of the NSC, OMB, and CEA. Do further research to learn about the backgrounds and qualifications of these officials. The Executive Office of the President was established during the administration of President Franklin Roosevelt following recommendations of the Brownlow Commission (which concluded that “the president needs help”) and authorized by the Reorganization Act of 1939. Ask your students to review several articles from the era when the Brownlow Commission made its report and to contrast executive branch organization before and after the Executive Office of the President was first created. Using the Internet, have students compare and contrast the nature and functions of the Cabinet, the Executive Office of the President, and other advisors. They should determine the current officeholders and how they have affected the office they hold as well as the basic parameters of that office.

× Return to Chapter 14: Table of Contents

V. Quantitative Assessment Administer Chapter Exam (see Test Bank, Chapter 14) × Return to Chapter 14: Table of Contents

VI. Resources for Further Study A.

Books

1. Abbott, P. (2008). Accidental presidents: Death, assassination, resignation, and democratic succession (The evolving American presidency). New York: Palgrave Macmillan. 2. Barber, J. D. (1992). The presidential character (4th ed.). Englewood Cliffs: Prentice Hall. 3. Bond, J., & Fleisher, R. (1990). The president in the legislative arena. Chicago: University of Chicago Press. 4. Bradley, R. (2000). American political mythology from Kennedy to Nixon. New York: Peter Lang Publishing. 5. Burns, J. M. (1984). The coming of the new leadership. New York: Simon & Schuster. 6. Cameron, C. (1999). Veto bargaining: Presidents and the politics of negative power. New York: Cambridge University Press. 7. Campbell, C., & Rockman, B. A. (Eds.). (1995). The Clinton presidency: First appraisals. London: Chatham House Publishers. 8. Corwin, E. (1948). The president, office and powers, 1787–1948: History and analysis of practice and opinion. New York: NY University Press. 9. Cronin, T. E. (Ed.). (1989). Inventing the American presidency. Lawrence: University Press of Kansas. 10. Cronin, T. E., & Genovese, M. (1998). The paradoxes of the American presidency. New York: Oxford University Press. 11. Dionne, E. J., & Kristol, W. (Eds.). (2001). Bush v. Gore: The court cases and the commentary. Washington, DC: Brookings Institution Press. 12. Edwards, G. C., III. (1989). At the margins: Presidential leadership of congress. New Haven: Yale University Press. 13. Edwards, G. C. III. (2009). The strategic president: Persuasion and opportunity in presidential leadership. Princeton: Princeton University Press. 14. Edward, G. C., III, & King, D. (Eds.). (2007). The polarized presidency of George W. Bush. New York: Oxford University Press. 15. Eisinger, R. M. (2003). The evolution of presidential polling. New York: Cambridge University Press. Copyright © 2011, 2009, 2007 Pearson Education, Inc. All rights reserved.

16. Fisher, L. (1998). The politics of shared power: Congress and the executive, (4th ed.). College Station: Texas A&M University Press. 17. Gellman, B. (2008). Angler: The cheney vice-presidency. New York: Penguin Press. 18. Gergen, D. (2000). Eyewitness to power: The essence of leadership, Nixon to Clinton. New York: Simon & Schuster. 19. Gerhardt, M. J. (2001). The federal appointments process: A constitutional and historical analysis. Durham: Duke University Press. 20. Goldsmith, J. (2007). The terror presidency: Law and judgment inside the bush administration. Boston: W. W. Norton & Company. 21. Greenstein, F. I. (Ed.). (1988). Leadership in the modern presidency. Cambridge: Harvard University Press. 22. Greenstein, F. I. (2004). The presidential difference—leadership style from FDR to George W. Bush. Princeton: Princeton University Press. 23. Greenstein, F. I. (2005). The presidential difference (2nd ed.). New York: Free Press. 24. Hargrove, E. C. (1988). Jimmy Carter as president: Leadership and the politics of the public good. Baton Rouge: Louisiana State University Press. 25. Healy, G. (2008). The cult of the presidency: America's dangerous devotion to executive power. Washington, D.C: Cato Institute. 26. Hess, S. (2003). Organizing the presidency (2nd ed.). Washington, DC: Brookings Institution Press. 27. Jones, C. O. (2005). The presidency in a separated system (2nd ed.). Washington, DC: Brookings Institution Press. 28. Kernell, S. (2006). Going public: New strategies of presidential leadership. Washington, DC: Congressional Quarterly Press. 29. Klein, J. (2002). The natural: The misunderstood presidency of Bill Clinton. New York: Doubleday. 30. Landy, M., & Milkis, S. (2000). Presidential greatness. Lawrence: University of Kansas Press. 31. Levy, L. W., & Fisher, L. (Eds.). (1994). Encyclopedia of the American presidency. New York: Simon & Schuster. Copyright © 2011, 2009, 2007 Pearson Education, Inc. All rights reserved.

32. Mayhew, D. R. (1992). Divided we govern. New Haven: Yale University Press. 33. Milkis, S., & Nelson, M. (2003). The American presidency: Origins and development 1776– 2002. Washington, DC: Congressional Quarterly Press. 34. Miller, N. (1998). Star-spangled men: America's ten worst presidents. New York: Charles Scribner’s Son. 35. Nelson, M., & Milkis, S. M. (2007). The American presidency: origins and development, 1776–2007. Washington, DC: Congressional Quarterly Press. 36. Nelson, M. (Ed.). (2000). The presidency and the political system (6th ed.). Washington, DC: Congressional Quarterly Press. 37. Neustadt, R. E. (1991). Presidential power and the modern presidents: The politics of leadership from Roosevelt to Reagan. New York: Free Press. 38. Patterson, B. H., Jr. (2000). The White House staff: Insider the west wing and beyond. Washington, DC: Brookings Institution Press. 39. Pfiffner, J. P. (2007). The modern presidency. Belmont: Wadsworth. 40. Pfiffner, J. P., & Davidson, R. H. (2004). Understanding the presidency: 2004 election season update. New York, London: Pearson Longman. 41. Riddlesperger, J. W., & Jackson, D. W. (Eds.). (1995). Presidential leadership and civil rights policy. Westport: Greenwood Press. 42. Rockman, B. A. (1984). The leadership question. New York: Praeger. 43. Rossiter, C. (1987). The American presidency (Rev. ed.). Baltimore: Johns Hopkins University Press, copyright 1960. 44. Rudalevige, A. (2005). The new imperial presidency: Renewing presidential power after watergate. Ann Arbor: University of Michigan Press. 45. Sauer, P. (2000). The complete idiot’s guide to the American presidents. Indianapolis: Alpha Books. 46. Schlesinger, A. M., Jr. (2004). War and the American presidency. New York: W. W. Norton & Company. 47. Seligman, L. G., & Covington, C. R. (1989). The coalitional presidency. Chicago: Dorsey Press.

48. Shenkman, R. (1999). Presidential ambition: How the presidents gained power, kept power, and got things done. New York: HarperCollins Publishers. 49. Shogan, R. (1998). The double-edged sword: How character makes and ruins presidents, from Washington to Clinton. Boulder: Westview Press. 50. Simon, R. (2001). Divided we stand: How Al Gore beat George Bush and lost the presidency. New York: Crown. 51. Skowronek, S. (2008). Presidential leadership in political time: Reprise and reappraisal. Lawrence: University Press of Kansas. 52. Smith, S. (2002). Presidential transitions: 1960–2001. New York: Nova Science Publishers. 53. Snow, N. (2007). Persuaders-in-chief: The presidents and propaganda that shaped modern America. New York: Routledge. 54. Stebben, G., & Morris, J. (1998). White House confidential: The little book of weird presidential history. Nashville: Cumberland House. 55. Taranto, J., & Leo, L. (Eds.) (2004). Presidential leadership: Rating the best and the worst in the White House. New York and London: The Free Press. 56. Tucker, R. (1981). Politics as leadership. Columbia: University of Missouri Press. 57. Woodward, B. (2002). Bush at war. New York: Simon & Schuster. 58. Woodward, R. (1994). The agenda: The Clinton White House. New York: Simon & Schuster. 59. Woodward, R. (2008). The war within: Secret White House History 2006–2008. New York: Simon & Schuster. × Return to Chapter 14: Table of Contents B.

Articles

1. Buchanan, B. (1988, Winter). The six-year one-term presidency: A new look at an old proposal. Presidential Studies Quarterly, 18(1), 129–130. 2. Cohen, J. E. (1993). The dynamics and interaction between the president’s and the public’s civil rights agendas: A study in presidential leadership and representation. Policy Studies Journal, 21, 514–521. 3. Ellis, R., & Wildavsky, A. (1991, Winter). Greatness’ revisited: Evaluating the performance of early American presidents in terms of cultural dilemmas. Presidential Studies Quarterly, 21, 15–34. Copyright © 2011, 2009, 2007 Pearson Education, Inc. All rights reserved.

4. George, A. L. (1974, January). Assessing presidential character. World Politics, 26(2), 234– 282. 5. Halpert, L. (1991, Fall). Presidential leadership of Congress. Presidential Studies Quarterly, 22, 765–777. 6. Holmes, J. E., & Elder, R. E., Jr. (1989, Summer). Our best and worst presidents: Some possible reasons for perceived performance. Presidential Studies Quarterly, 19(4), 529– 557. 7. House, R. J., Spangler, W., & Woycke, J. (1991, September). Personality and charisma in the U.S. presidency: A psychological theory of leader effectiveness. Administrative Science Quarterly, 36(3), 364–396. 8. McKay, D. (1996, Autumn). Presidents in political time: Recent research on the American presidency. Government and Opposition . 9. Pfiffner, J. P. (1993, Winter). The president’s chief of staff: Lessons learned. Presidential Studies Quarterly, 23(1), 77–102. 10. Pious, R. M. (2002, December). Why do presidents fail? Presidential Studies Quarterly, 32(4), 724–742. 11. Pomper, M. A. (2002, August 31) Bush hopes to avoid battle with Congress over Iraq. Congressional Quarterly Weekly. 12. Rudalevige, A. (2006, September). The contemporary presidency: The decline and resurgence and decline (and resurgence?) of congress: Charting a new imperial presidency. Presidential Studies Quarterly, 36(3), 506–524. 13. Simendinger, A., Kitfield, J., Stone, P. H., & Victor, K. (2004, February 14). Just the ticket? National Journal. × Return to Chapter 14: Table of Contents C.

Media

1. The American President. (2000). Kunhardt Productions. A PBS Video which depicts 41 of our nation’s leaders and how they left indelible marks on our nation. 2. Bill Moyers Journal: Impeachment of a President. (2007). Films for the Humanities and Sciences. Perspectives on presidential impeachment by the constitutional lawyer Bill Fein.

3. Constant Combatants: The President and Congress. (1997). Films for the Humanities and Sciences. This seminar focuses on the tension between the president and Congress during a conflict with a fictional European country. 4. Deterrence. (2000). Drama featuring a snow-bound president in Colorado during the primaries, facing an international military crisis in the Middle East. 5. Executive Privilege and the Delegation of Power. (1984). Columbia University Seminars on Media and Society. Part of “The Constitution: That Delicate Balance” series from Films Incorporated, examining the powers of the president. 6. The Man. (film–1972). The sudden deaths of the president and vice president and infirmity of the Speaker of the House lead to appointment of the president pro tempore of the Senate to be the U.S. president, and also to become the first black president in history. 7. Meet the Press Meets the Presidents. (2007). Films for the Humanities and Sciences. A13part series of news conferences featuring present of former presidents. 8. The Press Secretary—A Fascinating All-Access Look Inside Clinton’s White House Press Office. (2001). Boston Video. It’s September 2000, and Bill Clinton is in the final months of his presidency. You’re there for three unprecedented, uncensored days as high-definition cameras capture the fascinating, enlightening, and at times, tense scenes swirling around White House Press Secretary Joe Lockhart. For this remarkable special, Emmy-nominated documentarian Ted Bogosian enjoyed White House access not allowed since the Kennedy administration. 9. The Role of the First Lady. (1994). Films for the Humanities and Sciences. This program examines the traditional and perceived role of the First Lady with special reference to Hillary Clinton. 10. War Powers and Covert Action. (1984). Columbia University Seminars on Media and Society. Part of “The Constitution: That Delicate Balance” series from Films Incorporated, examining the war powers and foreign policy role of the president. × Return to Chapter 14: Table of Contents D.

Web Resources

1. The American Presidency Project. The University of California at Santa Barbara. http://www.presidency.ucsb.edu/ 2. American President: An Online Reference Resource. University of Virginia. http://millercenter.org/academic/americanpresident 3. Council of Economic Advisors. http://www.whitehouse.gov/cea/

4. Federalist No. 51: The Structure of the Government Must Furnish the Proper Checks and Balances Between the Different Departments. http://www.constitution.org/fed/federa51.htm 5. Read Hamilton’s arguments in Federalist No. 69: The Real Character of the Executive. http://www.constitution.org/fed/federa69.htm 6. The Inaugural Addresses of Presidents are available online. http://www.bartleby.com/inaugural 7. The National Archives and Records Administration offers links to all presidential libraries. http://www.archives.gov/ 8. The National First Ladies Library has a bibliography, information on their exhibits, and a gift shop. http://www.firstladies.org/ 9. The National Portrait Gallery's Hall of Presidents has information and portraits of American presidents. http://www.npg.si.edu/exh/hall2/index.htm 10. National Security Council. http://www.whitehouse.gov/nsc/ 11. Office of Management and Budget. http://www.whitehouse.gov/omb/ 12. Office of the White Office Press Secretary. http://www.whitehouse.gov/news/briefings/ 13. PBS series The American Experience has a Web site on the Presidency, including teachers’ guides, photo and video displays, and more. http://www.pbs.org/wgbh/amex/presidents/indexjs.html 14. POTUS and other information about American presidents. http://www.ipl.org/div/potus/ 15. The President’s Cabinet. http://www.whitehouse.gov/government/cabinet.html 16. Presidential Archives. National Archive. http://www.archives.gov/presidential-libraries/ 17. Presidential Library Consortium. Links to all existing presidential libraries and their vast repositories of information. http://www.ibiblio.org/lia/president/ 18. Roper Center. Reports on all major presidential performance and popularity polls. http://www.ropercenter.uconn.edu/ 19. The University of Michigan Documents Center provides many, many presidential documents dealing with administration policy to impeachment papers. http://www.lib.umich.edu/govdocs/fedprs.html 20. The University of North Carolina site offers biographies of the presidents and first ladies including links to presidential libraries. http://metalab.unc.edu/lia/president/ Copyright © 2011, 2009, 2007 Pearson Education, Inc. All rights reserved.

21. Watergate Site. Complete information on the Watergate affair: background, congressional testimony, official statements, press coverage, speeches, court rulings, biographies of the leading players, and more. http://www.washingtonpost.com/wpsrv/politics/special/watergate/ 22. White House Home Page. Information on the first family, recent presidential addresses and orders, text from news conferences, official presidential documents, and ways to contact the White House. http://www.whitehouse.gov/ × Return to Chapter 14: Table of Contents

Integrated Guide to the Text’s Resources (Instructor’s Resource Manual)

Chapter 15 - The Federal Court System Table of Contents I. Chapter Overview A. Learning Objectives B. Chapter Summary II. Student Assignments – Pre-Lecture III. Lecture Resources A. Lecture Slides B. Additional Lecture Suggestions IV. Student Assignments – Post-Lecture A. Class Discussion Questions B. Class Activities C. Research Assignments V. Quantitative Assessment VI. Resources for Further Study A. Books B. Articles C. Media D. Web Resources

I. Chapter Overview: A.

Learning Objectives

¾15.1 Determine the role of the judiciary as established by the Framers of the U.S. Constitution. ¾15.2 Outline the structure of the U.S. judiciary branch. ¾15.3 Distinguish between civil and criminal cases, and describe methods used to manage the judicial caseload. ¾15.4 Explain how judges decide cases that involve public policy. ¾15.5 Analyze the process of judicial appointment and selection. × Return to Chapter 15: Table of Contents B.

Chapter Summary

The Constitutional Design of the Federal Judiciary A federal judiciary is needed to perform the core functions of interpreting the laws that Congress and the president enacted, issue rulings over disputes where no guiding legislation previously existed, ensuring that individuals who violated these laws and rulings were appropriately punished, and compensating the victims of these violations. There are three tiers of the federal judiciary. The bottom tier consists of 94 district courts. Every state contains at least one district court. The second tier of the federal judiciary consists of appellate courts. Appellate courts are organized into thirteen circuits. Standing atop the federal judiciary is the Supreme Court. The Supreme Court is especially choosy about which cases it will hear. Generally, the Supreme Court has granted a writ of certiorari to around five percent of petitions for appeal. Four of the nine justices must agree before a case can be heard. The Judiciary Makes and Interprets the Law In two ways, judges can influence public policy. The first is through law. When no legislation exists, judges can develop rules that dictate how certain disputes are to be resolved. In these instances, judges create common law that becomes binding in future cases. Judges also resolve disputes about public law, which deals with the statutes that presidents and Congress write and that bureaucrats implement. Through the power of judicial review, judges interpret and, when necessary, overturn actions taken by the legislative and executive branches of government. Unlike many of the court’s other powers, this one cannot be found in Article III. It is a power that the judiciary claimed for itself in the landmark case, Marbury v. Madison. × Return to Chapter 15: Table of Contents

II. Student Assignments – Pre-Lecture A. B. C.

Student Required Reading: Chapter 15 – The Federal Court System Administer Reading Comprehension Quiz (see Test Bank, Chapter 15) Chapter Test – After your students have completed their reading assignment, go over these questions with your class to identify any areas you should focus on in your lecture.

Chapter Test 1. What about Article III of the Constitution makes “legitimacy” so important to the judiciary? 2. What are the three levels of the federal judiciary? At what level are most court cases decided? 3. Must the Supreme Court accept all appeals? 4. What function do juries serve? 5. Do “plaintiffs” and “defendants” always consist of just one person or organization? 6. When interpreting the meaning of a congressional statute or constitutional provision, do judges rely on political considerations? How do you know? 7. Would the strategic model of judicial decision-making predict that the Supreme Court is more or less likely to overturn a policy issued by Barack Obama when Democrats hold a majority of seats within Congress? 8. What role, if any, do partisanship and ideology play in judicial appointments? 9. How do presidents go about selecting a nominee to a federal judgeship? How do these criteria differ, if at all, for Supreme Court nominees? 10. Are high rates of senatorial confirmation evidence that presidents are free to choose whomever they would like to serve on the federal judiciary? × Return to Chapter 15: Table of Contents

III. Lecture Resources A.

Lecture Slides

Slide 1

Slide 2

Campaign finance is the feature that opens this chapter. Use this as a way to get a feel for how students think about the Supreme Court’s decisions. This was a controversial decision that was decided 5-4 and is a good way to get students engaged in the role the Supreme Court plays.

Slide 3

Chapter 15: The Federal Court System The federal judiciary stands at the center of some of the most pressing national controversies: freedom of speech, reproduction, civil rights, and the treatment of enemy combatants, among a host of others.

Slide 4 After Reading This Chapter, You Should Be Able To: 9 LO 15-1: Determine the role of the judiciary as established by the framers of the U.S. Constitution. 9 LO 15-2: Outline the structure of the U.S. judiciary branch. 9 LO 15-3: Distinguish between civil and criminal cases, and describe methods used to manage the judicial caseload. 9 LO 15-4: Explain how judges decide cases that involve public policy. 9 LO 15-5: Analyze the process of judicial appointment and selection. Copyright © 2011 Pearson Education, Inc. Publishing as Longman

Slide 5

LO 15-1

Constitutional Design 9Article III 9Vague Mandate 9Foster Respect and Legitimacy 9Highest Public Support

To Learning Objectives

Slide 6

Article III of the Constitution deals with the judiciary, giving the courts the power to interpret the laws that the Congress and president enact, issue rulings over disputes where no guiding legislation previously existed, ensure that individuals who violated these laws and rulings are appropriately punished, and compensate the victims of violations. The framers gave the judiciary a brief, rather vague mandate; a complete system did not appear until the Judiciary Act of 1789. They expected the branch to be the weakest of the three. Thus the ability of judges to exert political power ultimately depended on the persuasive appeal of the rulings they handed down, which led to judicial proceedings designed to foster respect and legitimacy. Judges have been seen as trustworthy and independent arbiters of justice; Americans consistently approve the most of this branch of government.

LO 15-1

____ established the structure of the federal judiciary. A. Article III of the U.S. Constitution B. The President C. The Judiciary Act of 1789 D. Marbury v Madison (1803)

To Learning Objectives

Slide 7

LO 15-1

____ established the structure of the federal judiciary. A. Article III of the U.S. Constitution B. The President C. The Judiciary Act of 1789 D. Marbury v Madison (1803)

To Learning Objectives

Slide 8

LO 15-2

Organization of the Judiciary 9Hierarchical 9 Appellate 9writ of certiorari

Slide 9

To Learning Objectives

LO 15-2

The core elements of the judiciary include district courts, appellate courts, and the Supreme Court; the judiciary is hierarchical. The federal judiciary accepts three kinds of cases: those in which the federal government is a party; those that involve a question about the U.S. Constitution, a federal law, or a federal treaty; those involving a large civil suit between two parties from different states. The top of the hierarchy is the Supreme Court— any decision it makes is binding for all courts in the nation.

To Learning Objectives

Challenging the war on terror: The Supreme Court repeatedly shot down efforts by the Bush administration and Congress to establish an alternative court system to try individuals suspected of terrorism. On June 29, 2006, lawyers for Salim Ahmed Hamdan, an “enemy combatant” held in the US military base at Guantanamo Bay, Cuba, left the Supreme Court after it issued its ruling on military tribunals. That day, the Court ruled that the president had overstepped his authority in ordering military war crimes trials for Guantanamo detainees. Two years later, the Court would once again strike down a similar law that had been enacted by Congress and signed by the president. What role, if any, do you think that the courts should play in defining national efforts to combat terrorism?

Slide 10

LO 15-2

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Slide 11

LO 15-2

Organization of the Judiciary 9 Hierarchical 9Appellate 9writ of certiorari

Slide 12

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LO 15-2

Note the hierarchy of the federal judiciary. Most cases are heard at the bottom level: trial courts. The Supreme Court is very choosey about which cases it will hear; it never has heard more than ninetytwo cases a year. There are 678 judges in district courts, 178 judges at the appellate level, and 9 justices at the Supreme Court level.

The federal judiciary is designed so that cases can move up the chain—almost all federal cases start at the district level. The losing side can always appeal; the higher courts then can choose to take the case or not. The vast majority of cases terminate at the district level, but the Supreme Court has historically chosen to hear about 5 percent of cases. They do this by issuing a writ of certiorari: formal acceptance. In the last half century, this has dwindled to about 1 percent. The Supreme Court is the final appellate court and also has original jurisdiction in all cases affecting ambassadors, public officials, and states. The most common instance of this is when two states are in conflict with each other. This is the appellate level of the federal judiciary: the circuit courts.

To Learning Objectives

Slide 13

LO 15-2

Organization of the Judiciary 9 Hierarchical 9 Appellate 9writ of certiorari

Slide 14

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LO 15-2

Slide 15

Whose water is it?: The Supreme Court often resolves disputes between states. As one example, North and South Carolina have been embroiled in a long-standing disagreement about rights to the water in the Catawba River. In your view, what right, if any, does South Carolina have to water from a river that originates inNorth Carolina?

To Learning Objectives

LO 15-2

Supreme Court proceedings are highly scripted. Once the Court has decided to hear a case, both sides submit briefs which contain the legal arguments of the dispute. After the justices have reviewed the briefs, they hear oral arguments from the lawyers, allowing about half an hour for each side. Following oral arguments, the justices meet for conference, discuss their current thinking, and cast preliminary votes—the Chief Justice presides over the conference and decides who writes the decisions. Majority opinion is the written document that reflects the collective judgment of the justices on the majority side of a ruling. Concurring opinion is the written document that outlines the additional considerations for the majority. Dissenting opinion is the written document that reflects the collective judgment of the justices on the minority side of a ruling.

The current Supreme Court: Current members of the Supreme Court are, beginning in the top row at left, Sonia Sotomayor, Stephen Breyer, Samuel Alito, and Elena Kagan. In the bottom row are Clarence Thomas, Antonin Skalia, John Roberts (the chief justice), Anthony Kennedy, and Ruth Ginsberg.

To Learning Objectives

Slide 16

LO 15-2

Which court is the first level of the federal judiciary? A. Military B. Trial C. Appellate D. Supreme

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Slide 17

LO 15-2

Which court is the first level of the federal judiciary? A. Military B. Trial

C. Appellate D. Supreme

Slide 18

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LO 15-3

Managing the Judicial Caseload 9Adversarial System 9 Not All Resolved 9 Numbers of Cases

To Learning Objectives

The most important function of judges is to resolve disputes: How do they do this? In the United States, we have an adversarial system; we encourage parties to fight. This differs from the inquisitorial systems found in Europe, in which the judge leads. The plaintiff brings the case before the court, while the defendant is the person against whom the complaint is made. Juries are groups of private citizens who listen to the trial and offer a verdict. There are two types of cases: criminal cases are those that involve violations of the criminal code, those statutes that are intended to protect the public’s health, safety, order, and morality; civil cases are those that involve violations of the civil code, the legal rights and obligations that individuals have toward one another.

Slide 19

LO 15-3

Managing the Judicial Caseload 9 Adversarial System 9Not All Resolved 9 Numbers of Cases

Slide 20

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LO 15-3

Slide 21

Managing the Judicial Caseload 9 Adversarial System 9 Not All Resolved 9Numbers of Cases

Slide 22

The real Erin Brockovich: Erin Brockovich worked as a legal clerk in a class action suit against a company charged with contaminating the groundwater of several California communities. Brockovich won national acclaim when the actress Julia Roberts portrayed her in an Oscar-winning performance.

To Learning Objectives

LO 15-3

Not all cases are brought to court; there are criteria for those that are allowed. Standing : the requirement establishing that for a plaintiff to bring a case to court, he or she must have suffered a well-defined injury that is a result of violation of the civil code Ripeness: the principle by which the courts will accept only cases where actual harm has already taken place Plea bargain: an agreement between the prosecutor and the defendant in a criminal case through which the parties agree to a specified verdict and punishment

Hundreds of thousands of cases are brought before the 1000 full-time judges serving each year—as a result, each judge has processed an average of several hundred criminal and civil cases each year. This caseload has drifted upward over the last few decades. This is known as the litigation explosion, but evidence suggests that we are not more litigious than other countries.

To Learning Objectives

LO 15-3

That actual harm has taken place is part of ____. A. Standing B. Ripeness C. None of the Above

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Slide 23

LO 15-3

That actual harm has taken place is part of ____. A. Standing B. Ripeness

C. None of the Above

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Slide 24

LO 15-4

Judges Make and Interpret Law 9Making Law 9common law

Judges can influence public policy by making law. When no legislation exists, judges develop rules that dictate how certain disputes are to be resolved—this is common law that becomes binding in future cases. Judges can also make law in that they resolve disputes about the intentions of public law.

9public law

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Slide 25

LO 15-4

The annals of law: The sheer volume of existing case law requires lawyers and judges to conduct a tremendous amount of research in preparation for trial. What challenges does this expansion of case law present for lawyers and litigants?

To Learning Objectives

Slide 26

LO 15-4

Judges Make and Interpret Law

Through the power of judicial review, established in Marbury v Madison (1803), the courts interpret and can overturn actions taken by the other branches of government.

9 Making Law 9common law 9public law

To Learning Objectives

Slide 27

LO 15-4

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Slide 28

LO 15-4

Judges Make and Interpret Law 9 Making Law 9common law 9public law

A presidential election in the balance: Protestors gathered outside the Supreme Court as the Justices heard arguments for Bush v. Gore. This case, which many claim yielded a blatantly political decision, resolved the 2000 election disputes in Florida and put George W. Bush into the White House. Was it right, in your view, for the Supreme Court to intervene and settle the 2000 election dispute?

To Learning Objectives

When judges are interpreting law, they use the legal model of decision-making—judges make decisions by deciphering the correct interpretation of the law and the relevant portion of the Constitution and determining whether there is a conflict between the two. The most important principle is stare decisis: let the decision stand. Judicial restraint is the practice by which judges avoid overturning previous decisions unless those decisions are clearly unconstitutional. Judicial activism is the tendency of judges to give themselves leeway in deciding whether to abide by past court decisions, which allows them to consider possible outcomes, public opinion, and their own preferences before issuing a ruling. Other political scientists suggest that judges follow the attitudinal model; judges use their own policy preferences in deciding cases. There is a strong relationship between a judge’s ideology and his or her decisions. Another model is the strategic model—judges consider their own policy preferences as well as the possible actions of the other branches of government. A good way to flesh this out is to go over the Bush v Gore (2000) case; go through the decision and see whether students think the judges were using the legal, attitudinal, or the strategic model.

Slide 29

LO 15-4

Slide 30

Slide 31

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The Solicitor General: When Elena Kagan left the Solicitor General’s office to become the newest member of the Supreme Court, Neal Katyal took over as acting Solicitor General. As of November 2010, President Obama has not selected a permanent replacement for Kagan.

Challenging the Japanese internment in World War II: Fred Korematsu, shown here in 1983, was the subject of one of the most important wartime cases ever decided by the Supreme Court. In a case that bore Korematsu’s name, the Supreme Court upheld the internment of Japanese Americans during World War II.

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The ____ model has most to do with a judge’s ideology. A. Legal B. Attitudinal C. Strategic D. Common Law

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The ____ model has most to do with a judge’s ideology. A. Legal B. Attitudinal

C. Strategic D. Common Law

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How do judges become judges? 9 Confirmation Process 9 trial courts 9 Supreme Court

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How do judges become judges? 9 Confirmation Process 9 trial courts 9 Supreme Court

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Lower court controversies: Among the more controversial appointments made by President Obama to the appellate courts was Goodwin Liu, a constitutional law professor at U.C. Berkeley who has espoused traditionally liberal views on a variety of policy issues. Here he is seen greeting Senator Dianne Feinstein just before testifying before the Senate Judiciary Committee. As of November 2010, Congress still has not confirmed the appointment.

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Presidents appoint people to be judges and the Senate approves the nominations. These appointments can have a lasting impact on the government long after the president is gone. Every president since WWII has appointed more than 100 judges—except Gerald Ford, who only served for 2 years. Reagan and Clinton each appointed upwards of 400 justices. In terms of race and gender, more and more presidents are appointing a crosssection—except that all appointees tend to be wealthy.

The confirmation process for the trial court level is about competence, legal expertise, and accomplishment—but it also very much about politics. Presidents regularly appoint judges who are of their political party; regardless of which party dominates the Senate, however, most lowercourt nominees are confirmed. The reason this happens is that the president defers to the Senate in his choices for the lower courts in a process known as senatorial courtesy. The process becomes more difficult at the circuit court level—courtesy goes away at this level and the inter-branch squabbles begin. Use the Pickering case as a way to flesh this out. Note that district courts get approved at a rate of not much less than 70 percent—even under a divided government. The appellate courts have been less polarized in recent years; the partisan polarization has affected the appellate much more than the district court level.

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How do judges become judges? 9 Confirmation Process 9 trial courts 9 Supreme Court

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The Supreme Court is the most important political appointment a president makes, and thus the confirmation process is extremely difficult. Senatorial courtesy plays no role—the president consults directly with his closest advisors. Then he gives a list of names to the FBI for a full background check; he also sends the list to the American Bar Association for ratings on the candidates’ qualifications. Once the nominee survives these checks, the president announces his choice and the media scrutiny begins—no element of the nominee’s life is off limits. The confirmation hearings are open to the public as the Senate Judiciary begins its own process; since the founding, presidents have nominated 158 justices and the Senate has confirmed 122. Confirming Thomas: Among Supreme Court confirmation hearings, Clarence Thomas’s in 1991 was among the most politically charged in recent memory. An new Supreme Court Justice: President Obama’s first Supreme Court appointment, Sonia Sotomayor, smiles as she concludes her testimony before the Senate Judiciary Committee in July of 2009. One year later, the Senate would confirm his second nominee to the nation’s highest court, Elena Kagan.

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Note here that the president generally gets his nominee confirmed; the margins of victory have gotten much closer in recent years. Use the feature provided in the text to look at Sonia Sotomayor and how the process works.

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Senatorial courtesy does not apply at the ____ level. A. Trial B. Appellate C. Supreme Court D. Both B and C

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Senatorial courtesy does not apply at the ____ level. A. Trial B. Appellate C. Supreme Court D. Both B and C

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Text and Art Credits

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Photo Credits

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Additional Lecture Suggestions

¾15.1 Determine the role of the judiciary as established by the Framers of the U.S.Constitution •

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Presidents have failed twenty percent of the time to get Senate confirmation of their nominees to the Supreme Court, a percentage much higher than any other federal position. Call on volunteers to analyze why this particular office should have a rate of rejection so much higher than for other offices. And why are so few nominees for district and appeals courts rejected? The role of the Senate in the exercise of its constitutional advice and consent function in the confirmation process became the subject of debate during the Senate confirmation hearings of Robert Bork to be an associate justice of the U.S. Supreme Court in 1988. In fact, the treatment of Bork resulted in an addition to the lexicon for the confirmation process: nominees could now be “borked.” What are the different ways the Senate can exercise this role? What role is usually used? What role would seem to be the one intended by the framers? Senate Approaches to Advice and Consent: One way the Senate could approach its role of advice and consent is to see its job as one of uncovering any bad behavior on the part of the nominee that might disqualify him or her from serving on the Court. In other words, when guided by this role, the Senate is basically searching for any skeletons that might exist in the nominee’s closet. If none are uncovered, then the nominee should be confirmed. Perhaps the driving force behind this approach is the assumption that the president should be able to select whomever he or she wants as long as the person has not smoked marijuana, abused his or her spouse, had shock treatments, etc. Another approach to the Senate’s role of advice and consent would include the above role, but go further in its scope. According to this approach, certainly the Senate might want to vote against a nominee, if serious enough “skeletons” were uncovered, but there would be additional reasons for rejecting a nominee as well. The Senate should also consider what kind of justice the nominee will be and what changes he or she might bring to the Court. Thus, even without disqualifying “skeletons,” the Senate might refuse to confirm if the nominee was deemed too extreme in his or her beliefs (one of the accusations made against Bork) or not of the proper judicial temperament. In exercising this approach, the Senate is not operating under the assumption that the president should be the sole judge of the nominee’s ability to perform well as a justice. The Senate feels free to independently examine this question. What Approach Is Usually Used?: Until the nomination of Robert Bork, one would have to say the first role of merely examining a nominee for skeletons was the predominant role. It does, of course, depend on how you look at it, but Reagan’s and the Republican’s outrage at how the Senate judiciary committee treated Bork would indicate they did not think it was normal. Indeed, when Reagan nominated Bork, the historical record was that 80 percent of the time presidential nominees to the Court were confirmed. Of course, one could focus on the twenty percent and see this as a sign that the Senate had not, over the years, merely played dead with Court nominees. Copyright © 2011, 2009, 2007 Pearson Education, Inc. All rights reserved.

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What Would the Framers Say?: The Framers did not say anything. They gave literally no guidelines as to what the Senate should do. In Federalist No. 76 Publius writes that the procedure should be used to prevent the appointment of unfit individuals. Unfortunately, Publius does not explain what he meant by “unfit.” There is some evidence from the Constitutional Convention that could help answer the question. The Virginia Plan stipulated that the Congress would select the members of the national judiciary. There were four attempts at the Convention to place the appointment process in the hands of the president alone. Madison, considered the father of the Constitution, wanted the Senate to act alone in selecting justices. The president was not added to the process until the latter part of the convention. In fact, had the Convention adjourned just two weeks early, the Senate would have exclusively appointed justices. Given this history of the appointment process in the Convention, it seems unlikely that the Framers would have approved of the Senate approaching its advice and consent function as one of basically letting the president get whomever he or she wants as long as the nominee has no skeletons in his or her closet. One final note: Even Hamilton, an advocate of an energetic executive, defended the role of the Senate in presidential appointments as a way of preventing justices who would be “obsequious instruments of [the president’s] pleasure.” Some people object to what they perceive as “judicial tyranny,” and claim that judges are running this country. In the last three decades, the courts have expanded the constitutional guarantees of due process and equal protection. In some quarters, this has been greeted with complaints about judicial activism. As the courts have recognized the rights of African Americans and other minorities, given procedural rights to those accused of crimes, required busing to achieve desegregation, announced that every person’s vote should be weighted the same, and expanded a host of other civil liberties, people have begun to object to the judicial intrusions into their lives. When judges take on the job of running a statewide prison system, supervising a mental health institution, or overseeing the busing of thousands of schoolchildren, members of the public ask, “Who elected them to do these things?” After all, no one elected the judges to these positions, and most have little in their background to suggest they have the competence to handle these jobs. In part, the answer is that judges feel duty bound to give meaning to the Constitution, and judges are merely filling the vacuum created by the inability or unwillingness of other governmental entities to do their jobs. The problem with judicial restraint is that everyone is for judicial restraint until it is their ox that is being gored. The Framers expected that the courts would be the least dangerous branch of government, but the court-centered pathway can be a dramatic avenue for public policy change. Explain the structure of the judicial system, with trial and appellate courts at both the state and federal level. It examines the factors that make federal judges powerful, such as life tenure and the power of judicial review, and discusses how judges are selected for state and federal service. The chapter also looks at the factors that impact the outcomes of cases: the judicial philosophy and ideology of individual judges, and the resources and strategies available to litigants and lawyers. Finally, discussthe big question of how judicial decision making affects public policy, and the impact that process has on American democracy.

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In a democracy, how can unelected officials have the authority to make far-ranging public policy decisions? The courts have the power to resist “tyranny of the majority” when the majority threatens to overtake the rights of political minorities. Explain the reasons the Founders permitted Congress to create courts in Article I and why Article III of the Constitution only briefly describes powers of the courts. Explain the court case Marbury v. Madison to someone unfamiliar with the United States court system, including the importance of this case to government system. List the four core functions the founding fathers recognized that the federal judiciary needed to perform. Name four things Article III of the Constitution establishes as it relates to the judiciary.

¾15.2 Outline the structure of the U.S. judiciary branch •

A question that frequently comes up in class is which cases go to federal courts and which cases go to state courts. Below is a description of the jurisdiction of federal courts. All other cases begin in state courts. Original Jurisdiction: If a court has jurisdiction, it means it can hear a case. Original jurisdiction means a court can hear a case before any other court has heard the case. Students will be surprised to learn that the Supreme Court has original jurisdiction. This is specified in Article III, Section 2, clause 2. “In all Cases affecting Ambassadors, other public Ministers and Consuls, and those in which a State shall be Party, the Supreme Court shall have original Jurisdiction.” Congress may not add to this original jurisdiction (Marbury v. Madison, 1803). It may, however, reassign these cases to lower courts. Congress had done this. Today, the only cases in which the U.S. Supreme Court has exclusive original jurisdiction are cases in which a state is suing another state. On average, the Court gets about one of these a year. When it does, it usually assigns the fact-finding of the case to a Special Master who is often a retired federal judge. The Special Master issues a ruling to the Court that it may follow or ignore. Appellate Jurisdiction: Most federal cases begin and end at the federal District Court which has original jurisdiction. Those losing a case in these courts can appeal them to the U.S. Courts of Appeal. There are two categories of cases that can be brought to federal courts: those dealing with a particular subject and those involving particular parties. Subject Matter: Any case involving a federal question can be brought to a federal district court. A federal question would be one that requires (1) an interpretation of a federal law; (2) an interpretation of the U.S. Constitution;or (3) an interpretation of a treaty to cases dealing with admiralty and maritime laws. Particular Parties: Even if a case does not raise a federal question, it may still be brought to federal court if particular parties are involved in the case. If the following parties are involved in a case, it is federal court jurisdiction: i. United States is a party to the suit ii. a state is a party to the suit iii. an ambassador or other foreign representatives

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a citizen of one state suing a citizen of another state (These are called “diversity of citizenship” cases. Federal law stipulates that such cases must also involve damages of $50,000 or more to be brought to federal courts.) v. citizens of the same state, if the dispute involves land grants claimed under two or more states vi. a state and a citizen of another state (as modified by the eleventh Amendment) American courts use an adversarial system, with lawyers representing each side in a case and judges playing a more passive referee-type role. Inequality of resources can give one side an advantage over the other in such a system. The United States has a dual court system, with trial courts at both the state and federal levels. Each level handles both criminal and civil cases. Almost all cases are first heard at the trial level (original jurisdiction). The majority of legal suits do not ever go to trial; some are dismissed by judges, and a majority are resolved through negotiated settlements or plea bargains. Both state and federal court systems have appellate courts that hear cases in which the trial outcome from a lower court is appealed. The highest appellate courts in the states are state supreme courts (sometimes called high courts). The federal system has intermediate-level appeals courts for each district, and the U.S. Supreme Court is the highest court of appeal. Appellate courts rule on the procedural issues of a case rather than the substantive issues. Through their interpretation of statutes and constitutions, judges can provide meaning for law written by other branches of government. The reputation of courts as the “nonpolitical” branch of government, along with the dignified trappings of office, add to the power of the courts. The notion that rulings are based on law, not politics, grants legitimacy to judicial decisions. Judicial review over congressional legislation and executive acts gives the Court its heaviest weight in the system of checks and balances. This power is not enumerated in the Constitution, but was asserted in the 1803 case Marbury v. Madison and slowly solidified over the following century. Students have more difficulty understanding judicial review over executive actions than over legislation. Present a case like Korematsu v. U.S. or Hamdi v. Rumsfeld to illustrate this power. Lifetime tenure means that federal judges are free to make decisions they believe are right, but that may be unpopular, without fear of losing their positions. However, this feature also means that the public cannot hold judges accountable for “extreme” or highly controversial rulings, or force them to resign if their mental capabilities are in question. The judicial selection process is not simply a search for the wisest or most experienced jurist. Political affiliation, ideology, and connections play a strong role in the selection process. The selection process for federal judges begins with a presidential nomination based on advice from staff, influential senators, and others. After the Judiciary Committee investigation and hearing, the process ends with a Senate confirmation vote. The political aspect of the process is highlighted. Presidents try to please elements of their supporters and certain interest groups with their selections. Judicial selection in the states is done through one of four methods: partisan elections, nonpartisan elections, merit selection, and gubernatorial or legislative appointment. Each method has advantages and disadvantages.

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Studies show that judges’ political ideology is reflected in their judicial decision making to some extent, but case precedent also plays a strong role, especially in lower courts. In addition to ideology, judicial philosophies such as the doctrine of original intent or flexible interpretation may influence judges’ decision-making. With its complex rules, the court system is not easily understood or accessed by the average citizen. Those with more resources are better able to take advantage of the court pathway. Interest groups frequently use the court pathway to pursue their goals. Three types of resources contribute to a group’s ability to use the courts: expertise, litigation resources (money), and patience. The courts must rely for enforcement on the executive branch and public acceptance of their decisions. The courts can lead the executive and legislative branch on policy via landmark rulings, but are limited by the willingness of the other branches to follow that lead. Point out that Congress and even recent presidents have virtually ignored the Court’s decision on the use of legislative vetoes. Explain the constitutional design of the federal judiciary. Describe the organization of the judiciary. Explain original and appellate jurisdiction with respect to the Supreme Court and to federal district courts. Discuss the extent to which checks do or do not exist on the power of the Supreme Court.

¾15.3 Distinguish between civil and criminal cases, and describe methods used to manage the judicial caseload • • • • • • • • • •

Ask a local criminal attorney to visit your class to discuss how his or her job is different from what’s portrayed on television. Present the advantages and disadvantages of each method of selecting state judges. Diagram the steps for a case to make it all the way to the Supreme Court. List the kind of cases that judges hear. List three types of criminal cases that often end up in court. Give an example of a civil case that a judge would hear. Name and describe a famous class action suit. List the ways in which judges decide cases that involve public policy. Discuss how the Supreme Court has established general rules that limit what cases it will hear and the procedure for overturning precedent. Trace the case of Dred Scott v. Sandford (1857) from its origins in St. Louis to the Supreme Court.

¾15.4 Explain how judges decide cases that involve public policy • •

Supreme Court decisions can affect public policy nationwide. Cover the process of getting a case before the Supreme Court, the procedure for hearing a case, and the delivery of the opinion. Explain the purpose and tactics of the American Civil Liberties Union (ACLU) as an interest group that specializes in using litigation.

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Interest groups use several strategies to maximize their use of the courts. These include carefully selecting test cases and jurisdictions, framing arguments to make the strongest possible case, and using public relations to shape public opinion. Use Frothingham v. Mellon, 262 U.S. 447 (1923) to illustrate the issue of “standing” in a taxpayer’s suit. Using abortion as an issue, explain how a political conservative might advocate judicial activism and a political liberal might advocate judicial restraint. Describe the difference between judicial activism and judicial restraint. Thinking about the attitudinal model, list two different ways to measure a judge’s policy preferences. At one time the Supreme Court refused to hear “political questions,” but in 2000 it took up a significant political issue which some believe hurt its credibility. Based on your reading of this chapter, suggest reasons why the Court chose to hear Bush v. Gore. Differentiate the role that the Court plays in overturning congressional laws and state laws.

¾15.5 Analyze the process of judicial appointment and selection • • • • • • • •

Using your own state’s senators as examples, illustrate how senatorial courtesy might work. Review the delay in getting federal judgeships filled, and compare the problem under Presidents Clinton, Bush, and Obama. Name the three tiers of the federal bureaucracy Describe the way by which judges are appointed to the office. Compare and contrast the judicial philosophies of original intent and judicial activism. Compare and contrast the constitutional philosophies of Justice Antonin Scalia and Stephen Breyer. Trace the history of the politicization of the process of appointment of Supreme Court justices in the 1980s and 1990s. Indicate the importance of liberal and conservative voting blocs in the Supreme Court in shaping the history of the Court.

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IV. Student Assignments – Post-Lecture A.

Class Discussion Questions

¾15.1 Determine the role of the judiciary as established by the Framers of the U.S. Constitution •

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The judiciary has not been representative of many groups in American society. In your opinion, should the unrepresentative nature of the federal judiciary be cause for concern? In what ways would decisions change if the courts were more representative? What criteria should be used in the nominating process? How well does the Supreme Court conform to the criteria for democracy? What changes would need to be made to make the Court more democratic? Would these changes have any impact on the effectiveness of the Court? What factors make American judges more powerful than their counterparts in other countries? Do judges have too much latitude to interpret laws and thus influence public policy? For example, judges’ rulings have determined under what conditions speech can be limited, and how businesses can be regulated. Can you think of other avenues for making such decisions? Does judicial review give too much power to a small group of unelected officials? Discuss the need for judicial review and the potential dangers of its abuse. How do court justices evaluate cases based on original intent of the Founders? Argue whether or not the courts are the most powerful branch of government, including the checks and balances that apply to them. Imagine that the Supreme Court did not have the power of judicial review. What person, branch, or level of government do you think would determine what was constitutionally permissible? When was the last time Congress asserted its power over the Supreme Court?

¾15.2 Outline the structure of the U.S. judiciary branch • • •

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Compare the U.S. federal court system with other nations’ systems. Explain the development of judicial review. For an interesting class discussion, have students debate how democratic the Supreme Court is compared to other institutions. The discussion should integrate the material learned in other chapters about the role of representation and elections in enforcing accountability and responsibility in policymaking. How is the federal judicial system organized? What is judicial activism? Ask students to compare their TV knowledge of the court system to what they learn in the chapter. What are the pros and cons of life tenure for judges? Should judges be appointed for a set term, rather than for life? Is it a problem for democracy that access to the justice system is limited by availability of resources? Copyright © 2011, 2009, 2007 Pearson Education, Inc. All rights reserved.

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Most students are familiar with courtroom drama TV series such as Law and Order. Ask them to describe what they’ve seen in terms of court structure and courtroom procedure from these shows. Does the Supreme Court’s workload suggest the need for another intermediate appellate court? How might it be organized? How successful has the Solicitor general been in recent years?

¾15.3 Distinguish between civil and criminal cases, and describe methods used to manage the judicial caseload • •

Compare and contrast criminal and civil cases. The European Union submitted an amicus curiae brief supporting the defense and opposing the execution of minors convicted of murder. Do you think Supreme Court Justices should consider world opinion when interpreting the Constitution of the United States?

¾15.4 Explain how judges decide cases that involve public policy •

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It has been said that “the Supreme Court reads the election returns.” Ask your students what they think this means. Ask them if they think it is appropriate for public opinion to influence Court decisions, or should the Court deal only with “the law”? Is it even possible or practical to think that the Court would pay no attention to the political climate? What effect does all this have on the theme of this text - that is, the struggle for democracy? Take sides in the Bush v. Gore presidential election debate. Was the case a political question or a legal, constitutional question? Did the Supreme Court, in effect, decide the presidency in 2000? What flaws, if any, exist in the majority opinion? What flaws, if any, are within the dissent’s argument? What likely would have happened had the Supreme Court refused to hear the case? Today, could the judicial branch still be described as the “least dangerous branch?” Do dissenting opinions matter? Should the Supreme Court members engage in more public communication as a means of explaining their decisions and generating public support? What role does the federal judicial system play in contemporary American government? What powers do judges have to ensure that their rulings are enforced? What limits are there on the interpretation of the law and the Constitution by federal judges? What are the advantages and disadvantages of using the courts to accomplish social and political change? Ask students if any of them were exposed to drug testing in high school. What do they think about testing for students engaged in extra curricular activities? Is an adversarial court system designed to discover truth or to resolve conflict? Identify and explain three strategies that interest groups use to enhance their chances of success in court. Does executive or legislative unwillingness to follow courts’ rulings result in weakening the reputation of the court?

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Why is it important to upholding parts of the Constitution that judges not be bound to the majority public opinion? Give an example to illustrate the need for the courts to resist the majority opinion. Why is the doctrine of stare decisis important in our judicial system? What is the significance of the fact that only three Supreme Court decisions have been reversed by formal constitutional amendment? Courts do not initiate policy, but must wait until a case or a controversy is brought to them for resolution. How does this work when you consider decisions made on civil rights cases, as well as a host of other social and economic issues? (Remember, the judges can and do select which cases they will consider from among the 8,000 brought to the Court each year.) As students, what issue or subject would you be interested in pursuing as a class action suit? Why? Ask students if they think any person should have the right to take a case to the Supreme Court. A policy of mandatory drug testing in an Oklahoma school district inspired a high school student to challenge the policy claiming it violated her Fourth Amendment right against “unreasonable searches.” What was the result of that case? Why do you think the Court is more deferential to the president than to the Congress? Why is the Fourteenth Amendment critical to understanding the Court’s actions against the states? What is stare decisis, and how does it encourage judicial restraint? How does public opinion mitigate presidential reaction to Court decisions?

¾15.5 Analyze the process of judicial appointment and selection • • • • • • • • • • •

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Do politics play a role in judicial appointments? Has the process of selecting federal judges become too politicized? How are federal judges selected? Federal judges are not elected, but the president and senators who choose them are. Does that mean that public opinion does play a role in selecting judges? Do political considerations play too large a role in judicial selections, even overriding legal qualifications? What is wrong with asking Supreme Court nominees to reveal how they would decide a case if it were to come before the Supreme Court? Could Congress constitutionally pass a law removing abortion and school prayer matters from all federal court jurisdiction? With all the power that rests in the hands of the Supreme Court justices, why aren’t they more famous than they are? Should senatorial courtesy be abandoned—why, or why not? What would the impact be if Supreme Court justices had to be elected to office? Stage a discussion about how state court judges, federal judges, and Supreme Court justices are selected. The class should address at least the following: Do the processes differ? How and why? Is there an optimum way to select judges? Who should sit on the bench? Who should determine that—public opinion, legislators, the Bar Association, or some other entity? Discuss whether judicial lawmaking is consistent with the doctrine of separation of powers. Copyright © 2011, 2009, 2007 Pearson Education, Inc. All rights reserved.

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Discuss whether selection of judicial candidates who avoid participation in political battles will lead to mediocrity on the bench. Why are appointments for judges so political? How does the case of Clarence Thomas illuminate the politicization of the nomination process? How was the abortion litmus test used in the nominations of Justice Alito and Chief Justice Roberts? Review the history of the Warren Court. What significant rights did it establish? Review the history of the Rehnquist Court. How did it reshape federalism?

× Return to Chapter 15: Table of Contents

Class Activities

¾15.1 Determine the role of the judiciary as established by the Framers of the U.S. Constitution •

Constitutional law is taught very textually. This means that many ConLaw professors read aloud from Court opinions quite extensively. The language and nuance of what the Court says in its opinions is very important. Choose several cases and read the actual opinions. What types of language does the Court tend to use? Are rulings broad or narrow? How often are precedents overturned? How does the Court use precedent generally? What kinds of things did you learn about the Court from reading opinions? Be sure to explain 'why' for each of your answers.

¾15.2 Outline the structure of the U.S. judiciary branch •

For a reading and writing connection, have students read memoirs and court papers from justices, attorneys, and others involved in the civil rights cases of the 1950s and 1960s. Why were these cases appealed to the courts? Were the courts acting in a democratic manner in their decisions? Why were the decisions made when they were? Did the composition of the court, the broader political context, or the specific legal strategy seem to influence the outcome the most?

¾15.3 Distinguish between civil and criminal cases, and describe methods used to manage the judicial caseload •

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Visit two sessions of two different courts in your area. If possible, include a federal district court and either a state or a local court. Did you notice any differences in procedure in the different courts? How did the procedures compare with court scenes portrayed on television or in motion pictures? Cite examples of different types of cases (fictitious or real) and ask students to identify the type of law that applies.

¾15.4 Explain how judges decide cases that involve public policy • •

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Assign groups of students to two panels. Hold a short debate on the opposing theories of original intent and loose construction of the Constitution. The Supreme Court has always insisted on maintaining complete secrecy over deliberations among the justices in conference. Therefore, there was great controversy when the Library of Congress released the papers of the late Justice Thurgood Marshall shortly after his death in 1993. Marshall’s papers provide a rare look at behind-the-scenes maneuvering by the Court. Divide your class into several groups and have them review newspaper accounts of Marshall’s files (May 1993). One or two groups should focus on key cases (particularly in the area of civil liberties), while another group should focus on the controversy over the decision to release the papers to the press. Describe a case, either using a real case or a hypothetical one, perhaps associated with some local or national news headline. Split the class into two sections and assign one as an activist Copyright © 2011, 2009, 2007 Pearson Education, Inc. All rights reserved.

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court, the other as a court practicing judicial restraint. Each group is to make a decision on the described case, using only those qualities associated with its assigned method of reaching decisions. How do the outcomes compare? The class should imagine itself as an environmental interest group contesting a large corporation on some issue. Design a publicity campaign that will encourage public support for your side—think media, market, and message. Assign several topics (perhaps choosing issues that are on the current docket of the Supreme Court) to students in the class, and divide students into groups to write briefs as litigants, amici, and as the solicitor general. You may even want to simulate the circuit court decision by creating panels of three to rule on the case before it is appealed to the Supreme Court. For the final stage, assign the roles of the justices to nine students, provide them with the briefs, and have them play out the rule of four. All students can then write a response discussing whether they agree with the Court’s decisions on cert, the reasons why the Court acted as it did, and what changes in the appealed cases might make them more and less likely to be brought up on certiorari. Ask students to identify cases that the Supreme Court would likely hear from a list. Include cases that are not within the Court’s jurisdiction.

¾15.5 Analyze the process of judicial appointment and selection •

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Assign the various court cases (federal and state) that arose as a result of the 2000 presidential election. Have each group brief each case (e.g., parties to the case, origin, issues, the decision, and the reasoning behind it). Then, in class discussion, have students evaluate the courts’ decisions, and how democratic they were. It is the Senate’s responsibility to confirm presidential nominees to the courts. Have the students write an essay where they discuss the limits, if any, the opposition party should have in preventing nominees they don’t like from taking the bench. Should they go so far as to filibuster nominees that would be confirmed if allowed to be voted on by the entire body? Assume all of the students in the classroom are graduates from law school and have served as judges in a state or federal system. Appoint a panel of three to five persons who will select three to five “judges” for appointment to federal courts. What will be the basis of their selections? In interviews, conducted in front of the class, what qualities do each of the potential “judges” bring to the court? Assign students to act as delegates in a mock Constitutional Convention and have them debate the question of life tenure for federal judges. Hold a mock Senate confirmation hearing for Supreme Court nominee, based on the Samuel Alito hearing. Assign students as the president’s chief of staff, the nominee, the committee members, and representatives of several interest groups that both favor and dislike the nominee. States use a number of different ways to select judges. Stage a debate about the relative merits and deficiencies in these selection methods. The president has just nominated a new member to the Supreme Court. Have students stage a confirmation hearing. (Have them research previous hearings and the Senate Judiciary Committee) Then have them discuss the implications of such a hearing on who wants to serve and on the integrity and independence of the judiciary. Ask students to devise their own plan for selecting Supreme Court justices.

Research Assignments

¾15.1 Determine the role of the judiciary as established by the Framers of the U.S. Constitution •

Presidential nominees sometimes withdraw their name from consideration due to the pressure of public opinion or the likelihood that the Senate will not approve them. Investigate the case of and Harriet Miers and report your findings.

¾15.2 Outline the structure of the U.S. judiciary branch • •

Use the Internet to find a diagram of your state’s court system. Does your state have special trial courts for certain types of cases: family law court, small claims court, etc.? Are there intermediate appellate courts, or just a state supreme court above the trial level? Investigate the composition of the current Supreme Court in terms of the different types of individuals that are found there. Find out who appointed them, their political party affiliation, their age, their ethnicity, their religion, their home state, their previous occupation, and other such defining characteristics. Sort the members into conservatives, liberals, and moderates.

¾15.3 Distinguish between civil and criminal cases, and describe methods used to manage the judicial caseload • •

•

Search online for information about the cost of bringing suits to trial. Try typing “average legal fees” into your search engine or searching for costs of specific cases. Most if not all legal cases that go to trail are open to the public. Contact your local County Prosecutor and make plans to visit a court room and observe a legal proceeding. Take notes of the activities. Differentiate the plaintiff from the defendant. If possible, listen to the oral arguments. Decide how you would settle the case. Obtain the court rulings and compare your results with the actual result. Make plans to visit either a law school in your area or to visit with a member of the Bar Association. Interview an official about the legal profession. Differentiate between different types of cases. If possible, visit a courthouse and meet with a public defender or a paralegal. Write a reflection paper on your visit and what you have learned about the judicial system.

¾15.4 Explain how judges decide cases that involve public policy •

•

Have students do some research on the Court's current docket. How many cases will it hear? How many came to the Court through cert, and how many through in forma pauperis? What types of cases will the Court hear? What constitutional issues are at stake? Have students discuss why the Court has chosen to rule on these cases orally or in a paper. Have students choose two well-known Supreme Court cases. They should use the Web to do some research to determine how much interest group activity and how many attempts at public persuasion there were on the Court during that case. Using those examples and the text, have students write a paper (or prepare a short talk) about the impact of public opinion and lobbying on the Supreme Court.

• • •

• • • •

•

Following assigned research in a local law library, have students compile a list of topics on which the Supreme Court has made decisions. What political topics are not on the list? Have students research the docket of the nearest U.S. District Court to ascertain the kinds of criminal cases it hears. Provide students with a list of several Supreme Court cases that include majority, concurring, and dissenting opinions. Choose “hot topic” cases such as those related to flag-burning, holding terror suspects incommunicado, or other civil liberties questions. Have each student find one case at http://www.findlaw.com/casecode/supreme.html and read the opinions. Assign students to read cases on the establishment clause and school prayer. Choose a recent case and assign students to write and deliver opinions based on the precedents. Select one justice and from http://www.findlaw.com, read one or two landmark opinions (majority, concurring, or dissenting) written by him or her. Can you see any evidence of a judicial philosophy of original intent or flexible interpretation? Search online to find out which states have proposals to prohibit same-sex marriage or to declare marriage legal only between a man and a woman. Coordinate with the local public defender or legal aid office to have students work on a small project at the office. (The specific nature of the project should depend on the office’s needs and a clear agreement between the instructor and the coordinator on appropriate and inappropriate types of tasks for students.) After the project is completed, students will write an analytical essay comparing concepts and discussions of process from the book with their experience. In addition to the analytical section, they should also complete a separate section where they reflect on their personal reactions to the experience. Measure public (or just student) knowledge about Supreme Court decisions relevant to a local interest group, organization, or social movement. Define what it means for the Court to have been “effective” for that group and explain why or why not the outcome was effective, using concepts from the chapter. Hypothesize about how public knowledge might differ within other populations, and offer a research design for testing the hypothesis. Interview various community groups about the impact of relevant court decisions on their policy area or areas. Have students compare the responses to the NAACP example from the book, and explain why different outcomes occurred. Suggest the best forums, in terms of level of government and geographic region, for the groups studied to achieve success. Have students search the Web and find a Supreme Court case with a majority opinion, concurring opinion, and a dissenting opinion. They should read each and discuss what they mean in real terms and as precedents.

¾15.5 Analyze the process of judicial appointment and selection •

To provoke discussion on the unrepresentative nature of the Supreme Court, have students research the backgrounds of the current justices, using Who’s Who or other materials along with the Web Exploration on this topic. You can assign different students different justices if you like. Then, in class, ask the students to share what they’ve found and draw some conclusions about what kind of people (not just anyone) get on the Court, linking it to themes from the book about democracy and equality. Is it a problem that we don’t have a Supreme Court that “looks like America,” or not? • Assign students to research the qualifications of a federal magistrate judge. × Return to Chapter 15: Table of Contents Copyright © 2011, 2009, 2007 Pearson Education, Inc. All rights reserved.

V. Quantitative Assessment Administer Chapter Exam (see Test Bank, Chapter 15) × Return to Chapter 15: Table of Contents

VI. Resources for Further Study A.

Books

1. Abraham, H. J. (1992). Justices and presidents: A political history of appointments to the Supreme Court (3rd ed.). New York: Oxford University Press. 2. Abraham, H. J. (1996). The judiciary: The Supreme Court in the governmental process (10th ed.). New York: New York University Press. 3. Abraham, H. J. (1998). The judicial process (7th ed.). New York: Oxford University Press. 4. Ball, H. (2004). Supreme Court and the intimate lives of Americans: Birth, sex, marriage, childrearing, and death. New York: New York University Press. 5. Baum, L. (1998). American courts: Process and policy. Boston: Houghton-Mifflin. 6. Baum, L. (2007). The Supreme Court (9th ed.). Washington, DC: Congressional Quarterly Press. 7. Bickel, A. M. (1986). The least dangerous branch: The Supreme Court at the bar of politics. New Haven: Yale University Press. 8. Bork, R. (1990). The tempting of America: The political seduction of America. London: Collier Macmillan. 9. Breyer, S. (2006). Active liberty: Interpreting our democratic constitution. New York: Vintage. 10. Bugliosi, V., et al. (2001). The betrayal of America: How the Supreme Court undermined our constitution and chose our president. New York: Thunder’s Mouth Press. 11. Carp, R. A., Stidham, R., & Manning, K. L. (2007). Judicial process in America (7th ed.). Washington, DC: Congressional Quarterly Press. 12. Clayton, C., & Gillian, H. (Eds.). (1999). Supreme Court decision-making: New institutionalist approaches. Chicago: University of Chicago Press. 13. Cooper, P. (1999). Battles on the bench: Conflict inside the Supreme Court. Lawrence: University Press of Kansas. 14. Dworkin, R. (Ed.). (2002). Badly flawed election: Debating Bush v. Gore, the Supreme Court, American democracy. New York: The New Press. 15. Ely, J. H. (1981). Democracy and distrust: A theory of judicial review. Cambridge: Harvard University Press. Copyright © 2011, 2009, 2007 Pearson Education, Inc. All rights reserved.

16. Epstein, L. (1998). Constitutional law for a changing America: Institutional powers and constraints. Washington, DC: Congressional Quarterly Press. 17. Epstein, L, & Knight, J. (1998). The choices justices make. Washington, DC: Congressional Quarterly Press. 18. Fisher, L. (1988). Constitutional dialogues: Interpretation as a political process. Princeton: Princeton University Press. 19. Garbus, M. (2002). Courting disaster. New York: Times Books. 20. Greenburg, J. C. (2008). Supreme conflict: The inside story of the struggle for control of the United States Supreme Court. New York: Penguin Group. 21. Gregory, L. H. (1998). Presumed ignorant! Over 400 cases of legal looniness, daffy defendants, and bloopers from the bench. New York: Bantam Books. 22. Hall, K. L. (Ed.). (1992). The Oxford companion to the Supreme Court of the United States. New York: Oxford University Press. 23. Hall, K. L. (Ed.). (2000). Conscience and belief: The Supreme Court and religion. New York: Garland Publishers. 24. Hall, K. L. (Ed.). (2001). The Oxford guide to United States Supreme Court decisions. New York: Oxford University Press. 25. Hall, K. L., & Karsten, P. (2008). The magic mirror: Law in American history. New York: Oxford University Press. 26. Hammond, T. H., Bonneau, C. W., & Sheehan, R. S. (2005). Strategic behavior and policy choice on the U.S. Supreme Court. Stanford: Stanford University Press. 27. Hansford, T. G., & Spriggs, J. F., II. (2006). The politics of precedent on the U.S. Supreme Court. Princeton: Princeton University Press. 28. Hitchcock, J., & George, R. P. (Ed.). (2004). The Supreme Court and religion in American life: From higher law to sectarian scruples (New Forum Books Series) (Vol. 2). Princeton: Princeton University Press. 29. Hoekstra, V. J. (2003). The Supreme Court and local public opinion. New York: Cambridge University Press. 30. Jacob, H. (1995). Law and politics in the United States (2nd ed.). Boston: Little, Brown. 31. Jaonakait, R. (2003). The American jury system. New Haven: Yale University Press. Copyright © 2011, 2009, 2007 Pearson Education, Inc. All rights reserved.

32. Lazarus, E. (1998). Closed chambers: The first eyewitness account of the epic struggles inside the Supreme Court. New York: Times Books. 33. Lipkin, R. (2000). Constitutional revolutions: Pragmatism and the role of judicial review in American constitutionalism. Durham: Duke University Press. 34. Lopeman, C. S. (1999). The activist advocate: Policy making in state supreme courts. Westport: Praeger. 35. McCloskey, R., & Levinson, S. (2000). The American Supreme Court (3rd ed.). Chicago: University of Chicago Press. 36. Mourtada-Sabbah, N. (2007). The political question doctrine and the Supreme Court of the United States. Lanham: Lexington Books. 37. Murphy, W. F., Prichett, C. H., Epstein, L., & Knight, J. (2006). Courts, judges, and politics: An introduction to the judicial process (6th ed.). New York: Random House. 38. Noonan, J. T. (2002). Narrowing the nation’s power: The Supreme Court sides with the states. Berkeley: University of California Press. 39. O’Brien, D. M. (2008). Storm center: The Supreme Court in American politics (8th ed.). New York: W. W. Norton & Company. 40. Peppers, T. C. (2006). Courtiers of the marble palace: The rise and influence of the Supreme Court law clerk. Stanford: Stanford University Press. 41. Raskin, J. B. (2004). Overruling democracy: the Supreme Court versus the American people. New York: Taylor & Francis, Inc. 42. Rehnquist, W. H. (2002). The Supreme Court. New York: Vintage. 43. Rosen, J. (2006). The most democratic branch: How the courts serve America. Oxford: Oxford University Press. 44. Rosen, J. (2007). The Supreme Court: The personalities and rivalries that defined America. New York: Times Books. 45. Rosenberg, G. (2008). The hollow hope: Can courts bring about social change? (2nd ed.). Chicago: University of Chicago Press. 46. Savage, D. G. (2005). Turning right: The making of the Rehnquist Supreme Court. New York: John Wiley. 47. Schwartz, B. (1993). A history of the Supreme Court. New York: Oxford University Press. Copyright © 2011, 2009, 2007 Pearson Education, Inc. All rights reserved.

48. Schwartz, B. (1996). The Warren Court: A retrospective. New York: Oxford University Press. 49. Schwartz, H. (2002). The Rehnquist Court. New York: Hill & Wang. 50. Segal, J. A. (2002). The Supreme Court and the attitudinal model revisited. New York: Cambridge University Press. 51. Slotnick, E. E. (2005). Judicial politics: Reading from judicature (3rd ed.). Chicago: American Judicature Society. 52. Smith, C. E., DeJong, C., & Burrow, J. D. (2003). The Supreme Court, crime & the ideal of equal justice. New York: Peter Lang. 53. Starr, K. (2002). First among equals: The Supreme Court in American life. New York: Warner Books. 54. Toobin, J. (2008). The nine: Inside the secret world of the Supreme Court. New York: Anchor. 55. Wasby, S. (1993). The Supreme Court in the federal judicial system (4th ed.). Chicago: Nelson-Hall. 56. Woodward, B., & Armstrong, S. (1979). The Brethren: Inside the Supreme Court. New York: Simon & Schuster. 57. Yarbrough, T. (2001). The Rehnquist Court and the Constitution. Oxford: Oxford University Press. × Return to Chapter 15: Table of Contents B.

Articles

1. Cameron, C. M., Cover, A. D., & Segal, J. A. (1990, June). Senate voting on Supreme Court nominees: A neoinstitutional model. American Political Science Review, 84(2), 525–534. 2. Clayton, C. W. (1994–1995, Winter). Separate branches–separate politics: Judicial enforcement of congressional intent. Political Science Quarterly, 109(5), 843–872. 3. Goldman, S. (1993, April–May). Bush’s judicial legacy: The final imprint.” Judicature, 76, 282–297. 4. Goldstein, L. F. (1986, February). The Supreme Court and Constitutional democracy. The Journal of Politics, 48(1), 203–205.

5. Goldstein, L. F. (1987, September). Judicial review and democratic theory: guardian democracy vs. representative democracy. Western Political Quarterly, 40(3), 391–412. 6. Knight, J., & Epstein, L. (1996). On the Struggle for Judicial Supremacy. Law & Society, 30(1), 87–120. 7. McDowell, G. (1996, September). Saving the Constitution from the courts. American Political Science Review. 8. Padovano, F. (2003). Judicial branch, checks and balances and political accountability. Constitutional Political Economy, 14(1), 7–70. 9. Sager, L. (2001). Thin constitutions and the good society. Fordham Law Review, 69(5). 10. Songer, D. R., & Sheehan, R. S. (1993, June). Interest group success in the courts: Amicus participation in the Supreme Court. Political Research Quarterly, 46(2), 339–354. 11. Vile, J. R., & Perez-Reilly, M. (1991, December–January). The U.S. constitution and judicial qualifications: A curious omission. Judicature, 74, 198–202. 12. Wenner, L. M., & Dutter, L. F. (1988, March) Contextual influences on court outcomes. Western Political Quarterly. × Return to Chapter 15: Table of Contents C.

Media

1. The First Monday in October. (1981). Comedy about a conservative woman appointed to the U.S. Supreme Court and the issues the Court faces in a variety of civil liberties cases. 2. Frontline: Real Justice. (2004). PBS Video. A special two-hour report goes inside the reallife workings of America’s criminal justice system. 3. Hill vs. Thomas. (1997). Films for the Humanities and Sciences. This program, hosted by Lesley Stahl, provides diverse viewpoints on the Senate nomination hearings of Supreme Court justice Clarence Thomas. 4. PBS Video produced an outstanding two-part series, This Honorable Court, which provides a behind-the-scenes look at the internal workings of the U.S. Supreme Court. A History of the Court provides an illuminating look at the history and development of the Supreme Court, while Inside the Supreme Court follows a Supreme Court case through the judicial process. It features interviews with justices of the Supreme Court and provides rare behind-the-scenes footage. The videos are now several years old, but they are still among the best available.

5. An Introduction to the Federal Courts. (1998). Insight Media. Part of the “Court System” series distributed by Insight Media. This 1991 program provides a general introduction to the structure and process of the judicial system. 6. The Pelican Brief. (1993). Drama depicting efforts to assassinate members of the U.S. Supreme Court, based on the novel by John Grisham. 7. The TV movie, Separate but Equal is an excellent portrayal of how Chief Justice Warren secured unanimity in Brown v. Board of Education. 8. The Supreme Court. (2007). PBS Video. A four-part series which explores the role of the Court throughout American history. × Return to Chapter 15: Table of Contents D.

Web Resources

1. The American Bar Association. http://www.abanet.org/public.html 2. The American Judicature Society. http://www.ajs.org/ajs/publications/ajs_judicature.asp 3. Federal Courts Home Page. Information and statistics about the activities of the U.S. District Courts, Circuit Courts of Appeal, and the Supreme Court. http://www.uscourts.gov 4. The Federalist Society for Law and Public Policy Studies. http://www.fed-soc.org 5. FindLaw is a searchable database of SC decisions plus legal subjects, state courts, law schools, bar associations, and international law. http://www.findlaw.com/ 6. FLITE: Federal Legal Information through Electronics offers a searchable database of Supreme Court decisions from 1937–1975. http://www.fedworld.gov/supcourt/index.htm 7. Legal Information Institute, Cornell University Law School. This is a gateway to a world of information that offers links to associated law and court sites on the Web. Among its sections you will find the following: the Supreme Court calendar: biographies and opinions of the justices; directories of law firms, law schools, and legal associations; constitutions and codes, including U.S. statutes, regulations, and judicial rules of procedure; and Court opinions, including state supreme courts. http://www.law.cornell.edu/ 8. Oyez-Oyez-Oyez is a comprehensive database of major constitutional cases, including multimedia aspects such as audio. http://www.oyez.com/oyez/frontpage 9. Rominger Legal Services provides U.S. Supreme Court links including history, pending cases, rules, bios, etc. http://www.romingerlegal.com/supreme.htm

10. The site of the Supreme Court History Society covers basic history of the Court and has a gift catalog. http://www.supremecourthistory.org/ 11. The official website of the U.S. Supreme Court is http://www.supremecourtus.gov/ × Return to Chapter 15: Table of Contents

Integrated Guide to the Text’s Resources (Instructor’s Resource Manual)

Chapter 16 - The Bureaucracy Table of Contents I. Chapter Overview A. Learning Objectives B. Chapter Summary II. Student Assignments – Pre-Lecture III. Lecture Resources A. Lecture Slides B. Additional Lecture Suggestions IV. Student Assignments – Post-Lecture A. Class Discussion Questions B. Class Activities C. Research Assignments V. Quantitative Assessment VI. Resources for Further Study A. Books B. Articles C. Media D. Web Resources

I. Chapter Overview: A.

Learning Objectives

¾16.1 Identify the functions of the federal bureaucracy. ¾16.2 Outline the organization and the expansion of the bureaucracy. ¾16.3 Assess the role of the bureaucracy in public policymaking. ¾16.4 Evaluate the different approaches to overseeing and reforming the bureaucracy. × Return to Chapter 16: Table of Contents B.

Chapter Summary

What Bureaucrats Do Bureaucrats interpret and implement the law. When Congress enacts a law, when the president issues a unilateral directive, or when the court issues a decree of one sort or another, somebody must figure out what exactly these policies require in practice, and then they must ensure that the government actually takes the steps needed to realize them. Once bureaucrats have deciphered the meaning of new laws, they then are charged with putting them into practice, implementing them. One of the ways in which bureaucrats flesh out the meaning of congressional statutes, presidential directives, and court orders, is by issuing rules. Rules typically provide more specific directions about how policy is to be interpreted and implemented. Once rules are issued, they take on the weight of law. For this reason, political scientists sometimes refer to bureaucratic rules as “quasi-legislative”. Growth and Organization of the Bureaucracy Most of the federal bureaucracy is located within the executive branch of government. In the nineteenth century, bureaucrats were chosen not for their expertise, but for their political allegiance to the party in power. The spoils system defined the common practice of handing out government jobs, contacts, and other favors not on the basis of merit, but on the basis of political friendships and alliances. During the latter half of the nineteenth century, the spoils system was replaced with the civil service system, which awarded jobs primarily on the basis of merit. Most bureaucratic agencies are housed in departments which address broad areas of government responsibility, and the head of each department is appointed by the president to serve in his cabinet. Challenges of Bureaucracy Sometimes bureaucrats attend to their own private interests or those of a narrow band of citizens rather than to the interests of the broader public (principal-agent problem). Bureaucrats occasionally stray from their mandate not in the pursuit of their own interests, but rather in the pursuit of someone else’s (agency capture). The most common complaint about bureaucrats is not that they serve their own interests or those of a narrow band of the U.S. public. Rather, it is that they do not do a good job of serving anyone’s interest or are mired in red tape. × Return to Chapter 16: Table of Contents

II. Student Assignments – Pre-Lecture A. B. C.

Student Required Reading: Chapter 16 – The Bureaucracy Administer Reading Comprehension Quiz (see Test Bank, Chapter 16) Chapter Test – After your students have completed their reading assignment, go over these questions with your class to identify any areas you should focus on in your lecture.

Chapter Test 1. Is it possible to implement laws without first interpreting them? And if not, how can agencies figure out the meaning of different statutes? 2. In what ways are bureaucratic agencies’ responsibilities similar to those of members of Congress? 3. In what ways are bureaucratic agencies’ responsibilities similar to those of judges? 4. What were the essential features of the spoils system? 5. What are the most important merits of a civil service system? 6. Why is bureaucracy often equated with inefficiency? 7. In what ways does the relationship between Congress and the federal bureaucracy resemble a principal-agent problem? 8. In what ways do appointments enable members of Congress and the president to gain control over administrative units? 9. How can members of Congress find out what bureaucratic agencies are doing? 10. Why might presidents want to rely on officials within the Executive Office of the President rather than departmental bureaucrats for policy advice? × Return to Chapter 16: Table of Contents

III. Lecture Resources A.

Lecture Slides

Slide 1

Slide 2

The bureaucracy plays an interesting role in terms of national security—the recent controversy over the airport scanning demonstrates this. Use the opening feature to draw students into the bureaucracy.

Slide 3

Chapter 16: The Bureaucracy A group of departments, agencies, and other institutions that for the most part are located in the executive branch of government and that develop and implement public policy

Slide 4 After Reading This Chapter, You Should Be Able To: 9 LO 16-1: Identify the functions of the federal bureaucracy. 9 LO 16-2: Outline the organization and the expansion of the bureaucracy. 9 LO 16-3: Assess the role of the bureaucracy in public policymaking. 9 LO 16-4: Evaluate the different approaches to overseeing and reforming the bureaucracy.

Slide 5

LO 16-1

What do bureaucrats do? 9Interpret and Implement Law 9Make Rules 9Provide Expert Advice 9Resolve Disputes

Slide 6

To Learning Objectives

LO 16-1

Slide 7

After the storm: To uphold the law and ensure their own safety, police officers must make all sorts of decisions on the ground. Every day, they must discern when laws have been violated, who are likely perpetrators, and what should be done about it. In the aftermath of Hurricane Katrina, basic law and order broke down in the streets of New Orleans. Here, police officers arrest a man who was found with stolen beer in his bags. How should police officers, sometimes called “street-level bureaucrats,” go about assessing the threat posed by suspected criminals?

To Learning Objectives

LO 16-1

What do bureaucrats do? 9 Interpret and Implement Law 9Make Rules 9 Provide Expert Advice 9 Resolve Disputes

Bureaucrats run the nation’s prisons and schools, collect garbage, maintain job training programs, write Social Security checks, etc.; when we experience government in our daily life, it is the bureaucracy we see. First, bureaucrats interpret and implement law. Congress enacts a law, the president issues a directive, the court issues a decree—the person who figures out what exactly these policies require in practice is the bureaucrat. Implementation is the process by which policy is executed; this is where the rubber hits the road.

Rules are administrative determinations about how laws will be interpreted and implemented. They provide specific directions about how policy works; they take on the weight of law. Bureaucrats then make sure that the law is obeyed—they also work to punish people in violation of the rules. The Administrative Procedures Act of 1946 lays out the specific steps that agencies must follow when they issue rules.

To Learning Objectives

Slide 8

LO 16-1

Slide 9

To Learning Objectives

LO 16-1

What do bureaucrats do? 9 Interpret and Implement Law 9 Make Rules 9Provide Expert Advice 9 Resolve Disputes

Slide 10

Slide 11

Bureaucrats in a particular area typically know a great deal more about the specifics of public policy than do members of Congress or the president; as such, they are experts on policy, and policy makers will ask them for advice. They do this formally through the Government Accountability Office or through hearings, and they do this informally through conversations.

To Learning Objectives

LO 16-1

Stern Versus the FCC: After receiving numerous fines from the FCC, popular shock-jock Howard Stern announced in 2004 that he would begin airing his show via satellite radio. So doing, he would avoid many of the rules and regulations that the FCC enforces. In your opinion, should the FCC also regulate the content of satellite radio?

Note here the rules that have been issued—they are measured here in pages published. This is known as red tape.

To Learning Objectives

LO 16-1

What do bureaucrats do? 9 Interpret and Implement Law 9 Make Rules

Bureaucrats are executives when they implement law; they are legislators when they write rules; they are judicial when they hear and resolve disputes. People who have been in violation of a rule will challenge the agency. They have recourse to the courts if the agency does not resolve the dispute in their favor.

9 Provide Expert Advice 9Resolve Disputes

To Learning Objectives

Slide 12

LO 16-1

Bureaucrats behave mostly as ____. A. Legislators B. Executives C. Judges D. All of the Above

To Learning Objectives

Slide 13

LO 16-1

Bureaucrats behave mostly as ____. A. Legislators B. Executives C. Judges D. All of the Above

To Learning Objectives

Slide 14

LO 16-2

Growth and Organization of the Bureaucracy 9History 9 Modern Bureaucracy 9departments 9independent agencies and regulatory commissions 9government corporations Copyright © 2011 Pearson Education, Inc. Publishing as Longman

To Learning Objectives

The bureaucracy has changed dramatically over the nation’s history. The United States looks different from other countries in that our democracy predated our bureaucracy—big government was not necessarily what the framers intended. In the nineteenth century, bureaucrats got their jobs based on their political allegiance to the party in power: a spoils system. The spoils system was good for the people who won, but turnover was high and bureaucrats only worked for a short period of time. This left agencies very unprofessional and unable to implement policy effectively. In the twentieth century, the civil service system began to take over—this is a system of government in which decisions about hiring, promotion, and firing are based on a person’s work experience, skills, and expertise. Once this happened, the total number of federal bureaucrats jumped and has remained relatively stable since.

Slide 15

LO 16-2

Growth and Organization of the Bureaucracy

The size of the federal bureaucracy has leveled off: slightly over 2 million people work for the federal government, which is about the same number as in 1946. The bureaucracy is broken into three parts.

To Learning Objectives

Slide 16

LO 16-2

Growth and Organization of the Bureaucracy 9 History 9Modern Bureaucracy 9departments 9independent agencies and regulatory commissions

Most bureaucratic agencies are housed in a department, which is the largest organizational unit in the federal bureaucracy. There are fifteen departments – the most recent, Homeland Security, was added in 2002. George Washington had three departments: Treasury, War, and State. The nineteenth century saw the addition of Interior, Justice, and Agriculture. During the twentieth century, there was a major expansion of departments, as citizens expected the federal government to do more and more.

Slide 17

To Learning Objectives

LO 16-2

Slide 18

To Learning Objectives

LO 16-2

Since 1946, the total number of bureaucrats has remained fairly stable, while the number of nondefense employees has continued to grow.

In April 2010, President Obama meets with Labor Secretary Hilda Solis and other high-ranking bureaucrats to discuss issues involving mine safety.

To Learning Objectives

Slide 19

LO 16-2

To Learning Objectives

Slide 20

LO 16-2

Here we see the departments in chronological order—go over with students where we have expansion and why—what were citizens looking for. Use the Homeland Security department to flesh this out, as students should be familiar with the events of 9/11.

Note the money spent on various agencies—talk about who gets the most and why—explain that HHS is so expensive because it covers Medicaid and Medicare.

To Learning Objectives

Slide 21

LO 16-2

Growth and Organization of the Bureaucracy 9 History

Independent agencies and regulatory commissions operate outside departments; they are less subject to congressional or presidential influence. The restrictions on the president and Congress exist to protect them from politics.

9Modern Bureaucracy 9departments 9independent agencies and regulatory commissions

Slide 22

To Learning Objectives

LO 16-2

This slide has independent agencies and regulatory commissions—note all the different areas of policy that are covered here. Challenge the students to think about why these should be separate from politics.

To Learning Objectives

Slide 23

LO 16-2

To Learning Objectives

Slide 24

LO 16-2

Growth and Organization of the Bureaucracy 9 History

Even more removed from political interference are government corporations: created and funded by government to provide some public service that would be insufficiently provided by the private sector.

Slide 25

To Learning Objectives

LO 16-2

Which of the following is created to act most like a private business? A. Department B. Independent Executive Agency C. Independent Regulatory Commission D. Government Corporation

Slide 26

To Learning Objectives

LO 16-2

Which of the following is created to act most like a private business? A. Department B. Independent Executive Agency C. Independent Regulatory Commission D. Government Corporation

To Learning Objectives

Slide 27

LO 16-3

Role of Bureaucracy in Policymaking 9Have Their Own Interests 9 Serve Interests of Unelected Groups 9 Can Be Inefficient

To Learning Objectives

Slide 28

LO 16-3

Role of Bureaucracy in Policymaking 9 Have Their Own Interests 9Serve Interests of Unelected Groups 9 Can Be Inefficient

In addition to serving their own interests, bureaucrats may serve the interests of one constituency group to the disadvantage of other groups. It is known as agency capture when an agency primarily serves the interests of nongovernmental groups rather than elected officials. This happens when either the benefits are concentrated on a few individuals or organizations or when the costs fall on a small group of individuals or organizations. The example of farm subsidies is a good one to explicate this problem.

To Learning Objectives

Slide 29

LO 16-3

Role of Bureaucracy in Policymaking 9 Have Their Own Interests 9 Serve Interests of Unelected Groups 9Can Be Inefficient

While bureaucrats provide vital services in an increasing number of policy areas, the bureaucracy is not without its problems. One major problem is that sometimes bureaucrats serve their own interests, which may or may not align with the president or the Congress. Because they have so much expertise, bureaucrats enjoy considerable discretion to pursue these ends—this is known as the principal-agent problem. Congress and the president are policy generalists and need the bureaucrats for their expertise; and the president and Congress cannot watch every little thing the bureaucrats do. If bureaucrats do not want to work as hard as the branches call for, this is known as slack. If bureaucrats work hard but in an opposite direction from the way the branches want the work to go, it is known as drift.

To Learning Objectives

The most common complaint about bureaucrats is that they are inefficient; “red tape” is the term used to describe inefficiency resulting from excessive regulation and overly formal procedures. Elected officials also have a tendency to create new, redundant bureaucracies rather than deal with the civil servants in old bureaucracies—as a result we have people who are doing the same job in different agencies. Use the case provided in the text of Hurricane Katrina to talk about this particular issue of bureaucracies: Did the federal government do a good job?

Slide 30

LO 16-3

To Learning Objectives

Slide 31

LO 16-3

Slide 32

Government waste: Boston’s Big Dib was hardly a paragon of government efficiency. In addition to high costs and delays, the public works project had numerous design setbacks. In 2006, a 12-ton portion of the tunnel collapsed and killed a driver.

Stranded: Hurricane Katrina completely overwhelmed the capacities of local and state bureaucratic agencies. Following the hurricane, many residents of New Orleans were stuck on rooftops for days. Here, a woman is rescued from a school rooftop after she and dozens of others had been trapped by the rising waters.

To Learning Objectives

LO 16-3

___ is when bureaucrats work hard, but in opposition to the wishes of the President. A. Slack B. Drift C. Red Tape D. Subsidies

Slide 33

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LO 16-3

___ is when bureaucrats work hard, but in opposition to the wishes of the President. A. Slack B. Drift

C. Red Tape D. Subsidies

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Slide 34

LO 16-4

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Slide 35

LO 16-4

Controlling the Bureaucracy 9 Appointments 9Budgets 9 Oversight 9 Centralization

Given all the issues with the bureaucracy, it is important for elected officials to have control. First, Congress and the president appoint all the secretaries of the departments; the president also chooses individuals for boards that govern the independent executive agencies, government corporations, and regulatory commissions. The Senate confirms all of these, and by July 2010, only 77 percent of President Obama’s appointees had been confirmed. Appointees need to be qualified, have expertise and experience, and be likely to inspire their workforce. Because bureaucrats have a tendency to drift, it is important to choose leaders who are ideologically compatible with those who appoint them. Elected officials also use money to control the bureaucracies—every year, the president proposes a budget that punishes or rewards bureaucracies— Congress then passes the budget with changes. The money creates strong incentives for bureaucracies to behave. Congress can also add budgetary stipulations; agencies can use the money only for a specific purpose.

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Slide 36

LO 16-4

To Learning Objectives

Oversight is crucial: congressional and presidential efforts to monitor and supervise the actions of agencies. One of the best mechanisms is hearings—Congress will haul a bureaucrat in to answer for some issue. Congress has enacted a number of laws to make behavior more transparent. The Sunshine Law requires agency meetings be held in public unless classified information is being discussed. The Freedom of Information Act allows any citizen to examine a wide variety of documents. The Whistle-Blower Protection Act makes it illegal to demote, fire, or otherwise punish bureaucrats who expose wrongdoing.

Slide 37

LO 16-4

Monitoring the bureaucracy: Through hearings, members of Congress can monitor what is happening within the federal bureaucracy. In 2007, Representative Christopher Shays (R-CT) questioned witnesses at a congressional hearing on the treatment of wounded veterans at the Walter Reed Medical Center. What impact do you think these kinds of hearings have on actual public policy, if any?

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Slide 38

LO 16-4

Controlling the Bureaucracy

Centralization is the method of increasing the president’s power by moving key administrative functions from the departments to the EOP; this allows the president to have more direct control.

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Slide 39

LO 16-4

Controlling the Bureaucracy 9 Appointments 9 Budgets 9 Oversight

Finally, if an agency is not working, the Congress and the president can eliminate an agency. Fully 60 percent of all agencies created between 1946 and 1997 had been eliminated by 2000. Government corporations and independent agencies and commissions tend to live the longest—the EOP tends to have agencies that are eliminated easily.

Slide 40

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LO 16-4

Hamstring the regulators: Sometimes, political principals seek t restrict the industrious work of bureaucratic agencies. During their time in office, Presidents Ronald Reagan and George W. Bush attempted to curtail the efforts of the Environmental Protection Agency to enforce federal clean air standards. What, in your view, should be done when political superiors try to undermine the effectiveness of agencies that have mandates with which they disagree?

To Learning Objectives

Slide 41

LO 16-4

Controlling the Bureaucracy 9 Appointments 9 Budgets 9 Oversight 9 Centralization

Introducing market forces came into vogue in the 1990s. Through deregulation, the process of decreasing the number of agency rules that apply to an industry or group of industries, government reduces the workload of bureaucrats. The second method of decreasing the burden on the bureaucracy is privatization, where government transfers functions to private companies.

Slide 42

To Learning Objectives

LO 16-4

Controlling the bureaucracy with money is tied to ____. A. Appointments B. Budgets C. Oversight D. Centralization

Slide 43

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LO 16-4

Controlling the bureaucracy with money is tied to ____. A. Appointments B. Budgets

C. Oversight D. Centralization

Slide 44

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Text and Art Credits

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Slide 45

Photo Credits

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× Return to Chapter 16: Table of Contents

Additional Lecture Suggestions

¾16.1 Identify the functions of the federal bureaucracy • • •

Emphasize that a government bureaucracy is very similar to other bureaucracies in the private sector, and then try to get at the root of the anti-bureaucracy feelings in the United States. List the kinds and functions that federal bureaucrats perform. Name four functions or jobs that bureaucrats perform.

¾16.2 Outline the organization and the expansion of the bureaucracy •

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The federal bureaucracy has evolved to respond to growing demands for government involvement in social and economic issues. Today the bureaucracy includes four types of organizational entities: departments, independent agencies, independent regulatory commissions, and government corporations. While the bureaucratic departments and agencies are not enumerated in the Constitution, Articles I and II both refer to their creation in order to implement the laws. The creation and growth of specific departments resulted from the need to address specific policy issues, such as taxation, defense, commerce, and issues of industrialization and the economy. Some bureaucratic organizations are created as cabinet-level departments, while other agencies may rise to that status as the related policy area is seen as being worthy of such a designation. Explain the differences between departments, independent agencies, independent regulatory commissions, and government corporations. Today there are 15 cabinet-level departments or agencies, ranging in size from under 4,500 employees to over three million in the Department of Defense. The president takes several factors into account when nominating department heads: political and party loyalty, public image, and diversity among them. Experience and expertise in the policy area plays a role in some cases, but is not always a factor. Senate approval of the president’s nominees is generally automatic, although some appointees have received greater scrutiny and some have been denied the appointment by the Senate. Independent agencies, independent regulatory commissions, and government corporations cover a diverse group of bureaucratic agencies. Some have responsibility for a specific government facility or program, or for administering grants. Others are regulatory agencies, generally headed by a commission with members representing both major parties. Government corporations provide services that might be handled instead by private corporations. Bureaucratic organizations exist in many institutions, such as colleges and businesses, as well as government. All have a hierarchy for leadership and organization, and a specified designation of responsibility for each level. Americans generally have a negative image of the bureaucracy, perceiving most agencies to have uncaring and inefficient employees who use “red tape” and complicated rules to create obstacles for citizens seeking help. Federal agencies are seen as distant from the people and slow to respond to citizens’ needs. Bureaucracy evolves in response to the need to implement policy effectively and accountably. Advantages of bureaucracy include enhancing standardization, expertise and Copyright © 2011, 2009, 2007 Pearson Education, Inc. All rights reserved.

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competence, accountability, and coordination in policymaking. The beginning of the civil service system in 1883 (with the Pendleton Act) helped to professionalize and depoliticize the bureaucracy to some extent, replacing the spoils (or patronage) system that existed previously. Bureaucracies are by nature resistant to change, and civil service protections make it difficult to motivate bureaucratic employees. With a base in Washington, D.C. and agency offices spread across the country, federal agencies find it difficult to supervise local offices. Explain three advantages of using a bureaucratic system to implement laws and public policy. Name four agencies that bureaucrats work with or for. Explain the spoils system utilized by federal bureaucrats and why it didn’t work. Name three characteristics of the civil service system. Name the three types of government entities that make up the bureaucracy. Name a specific group or agency that goes with each entity: Government Department: Independent Agency and Commission: Government Corporation Trace the sources of bureaucratic power. Discuss how bureaucracy power develops from presidential and congressional passage of symbolic legislation and the process of policy implementation. Trace the size and scope of the federal bureaucracy. Trace the struggle to replace the spoils system with a merit system and explain how this led to problems to responsiveness and productivity. List and describe some government corporations. Discuss the limited power of the president to control the bureaucracy. List methods by which the president can control the bureaucracy. Explain the annual budget process. Define and describe the term government shutdown. Explain the power that Congress and the judiciary have to control the bureaucracy.

¾16.3 Assess the role of the bureaucracy in public policymaking • • • •

Name and describe three challenges that bureaucrats face in government. Trace the connection between interest groups and activist bureaucracies. Bureaucratic officials at the upper levels of federal agencies can impact policy by formulating rules that specify how broad statutes should be implemented. Lower-level officials can affect the implementation of policy through their routine actions. The concept of “iron triangles” refers to the relationships between interest groups, congressional committees, and bureaucratic agencies that share interest in a policy area. The iron triangles framework as an explanation of policy outcomes has been replaced by the idea of “issue networks”(or policy committees), reflecting a broader group of actors focused on an issue and the interactions that take place among them, including lobbying and other influence-making activities. Issue networks also include the “revolving door” experience that accompanied iron triangles.

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Bureaucrats with expertise in a policy area who disagree with policy changes or initiatives may try to influence policymaking by contacting members of congress or the media. Bureaucrats also provide information, both formally and informally, to attempt to shape policy. Some information may be distorted to promote policy that reflects a specific political viewpoint. Higher officials may pressure subordinates to provide inaccurate or misleading information. A “whistleblower” who raises alarms about such misinformation may face sanctions. Within the boundaries established by congressional legislation, agency-made regulations fill in the details for implementing policy. Interest groups often lobby the agencies to adopt regulations that favor their interests. Presidents also influence bureaucratic regulations through their appointments and influence over bureaucrats.

¾16.4 Evaluate the different approaches to overseeing and reforming the bureaucracy •

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Explain how the federal bureaucracy grew to its present size in response to the evolving demands for government action in various policy areas. It identifies the various types of federal bureaucratic organizations (departments, independent agencies, independent regulatory commissions, and government corporations) and explains the differences among them. Discuss the negative image most Americans hold of the bureaucracy, and the reasons behind these perceptions. Outline the advantages of a bureaucratic system, and the problems that can result from inefficiency and lack of accountability. Examine possible reforms such as decentralization and privatization. Finally, look at the ways in which various actors can impact policymaking by influencing the making and implementation of bureaucratic regulations. Suggested reforms for making bureaucracy more effective include decentralization and privatization. Agencies hold various types of hearings to examine information and issue decisions that interpret statutes and regulations. These adjudicative processes may be used to determine whether laws or regulations have been violated, or whether citizens have received their due benefits. They may also adjudicate disputes between parties over compliance with regulations. All three branches of government exercise some control over the bureaucracy. The president wields power through political appointments. Congress engages in oversight through hearings about policy issues and bureaucratic actions, by passing legislation to direct bureaucratic action, and by control over the budget. The courts have a say when lawsuits involving agencies are brought into court and through appeals of administrative decisions to higher levels. Ask students what they would do if they were denied benefits they believed they were due from a government agency. Walk them through steps they could take to pursue their claim. Part of the problem is that bureaucracies are often mired in red tape. Below are some points that could be elaborated upon concerning red tape. Why Is It Called Red Tape? According to William Safire (Safire’s Political Dictionary), Charles Dickens supposedly first used the phrase, “official documents in England were tied with a string or tape of a reddish color, and many lawyers followed the practice in packaging their briefs.” Copyright © 2011, 2009, 2007 Pearson Education, Inc. All rights reserved.

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In his Dictionary of American Politics, Eugene McCarthy explains the pejorative connotation of the phrase this way: “The expression arose from dissatisfaction with the time taken to tie and untie the red tape used to bind official documents.” Is Red Tape Bad? Strictly by definition, one would have to say yes. The phrase literally means excessive paperwork and the like. Yet, as pointed out by the authors of the text, “one person’s red tape may be another’s treasured procedural safeguard.” This is a 1977 quote of Herbert Kaufman’s about the liberal think tank, the Brookings Institution. Kaufman goes on, “We are ambivalent about the appropriate trade-offs between discretion and constraint, each of us demanding the former for ourselves and the latter for our neighbors.” (Safire, Political Dictionary). Kaufman’s Point If we own a construction company that is about to get a million-dollar contract to construct a dam, when we learn that the project has been halted due to our failure to file an environmental impact statement, we throw up our hands at such outrageous red tape! However, those people whose farms (which have been in the family for eight generations) would be submerged due to the damming of the river and who wrote letters to their congressmen in an effort to halt the project would applaud the government for finally getting something right. In other words, Those who see government regulations as getting in their way (usually meaning keeping them from getting what they want) see those regulations in a negative light (red tape). Those who view government regulations as advantageous would not call them red tape. What Is Red Tape Supposed To Do? Few people, if any, make a case for excessive government regulations. Forgetting for the moment the dictionary definition of red tape and taking red tape to be all government regulations, what is the purpose of red tape? Ironically, the purpose of red tape is to protect citizens and provide inefficiency in government. How Does Red Tape Protect Citizens? If people buy and consume in great quantities a popular drink that contains saccharin, only to learn, ten years later, that they have developed a certain type of cancer, their first reaction might be, “How did the government let this happen?” There was a time when the prevailing marketplace philosophy was caveat emptor. That is, let the buyer beware since he buys without recourse (The American College Dictionary). Today, we expect the government to protect us from such things before it is too late. In fact, we don’t just want to be warned about possible side effects of chemicals placed in food or food products. To help us with our diets, we demand to know things such as fat content and the amount of calories. The government’s position could be that if some manufacturer causes us injury, our only recourse would be to use the courts to seek restitution. But we want the government to protect us before we are injured. These demands mean that the government must collect data and undesirable inspections. This means that people must be hired and forms must be filled out concerning the production, storage, transportation, packaging, and selling of goods. Guess what some call this? Red tape. Returning to the drink with saccharin mentioned above, the government is placed in a no-win situation. If there are no regulations of such drinks or if the government does Copyright © 2011, 2009, 2007 Pearson Education, Inc. All rights reserved.

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not make the manufacturer issue warnings, when people get sick they see the government as not doing its job. Yet if the government issues regulations in an attempt to prevent such things, it is criticized for being mired in red tape. What Does Red Tape Have To Do With Efficiency? Suppose the government created a program for aid (perhaps financial assistance) for those that were blind. This type of program would seem to be one that a lot of people would see as legitimate. To make sure only those who are truly disabled with blindness get the aid, the government might come up with lengthy definitions as to what constitutes blindness. Furthermore, it might require that those applying for the aid have their blindness certified by several specialists. Those seeking the aid would probably call all of this paperwork red tape. Yet if the government did not follow such procedures and it was discovered (probably reported on 60 Minutes) that people who were not truly blind were getting taxpayer money, the general public would be upset. Again, the government is placed in a no-win situation. If they have rules and regulations they are accused of creating red tape, and if they do not, then they are accused of inefficiency or incompetence. Why Is There So Much Red Tape? Because everyone wants it. Of course, few people want all of it. They merely want the part that protects them. Some Laws Governing Organizations (Bureaucracies) Parkinson’s Law: This law states that work expands to fill the time allotted to complete it. This law can be brought home to students by asking how many times they have turned in a research paper early. Peter Principle: This principle states that in any organization people get promoted until they reach their level of incompetence and provides one explanation for why bureaucracies can be inefficient. Taken to its logical conclusion it means that eventually, in any organization, people will be performing tasks that they are least capable of performing. It works like this: A person just starting work at an organization gets a lower-level job. If the person does a good job, he or she will get a promotion when there is a vacancy above them. This situation keeps repeating itself until the person is finally promoted into a position where they do not perform well. Not having performed well at this position they are passed over for future promotions. In a more serious vein, Anthony Downs has presented the set of propositions below about bureaucratic behavior. Law of Increasing Conservatism: “All organizations tend to become more conservative as they become older, unless they experience periods of very rapid growth or internal turnover.” This could be called the law of inertia. “In every bureau, there is an inherent pressure upon the vast majority of officials to become conservers in the long run.” [Note: This is a corollary to the previous law.] Law of Imperfect Control: “No one can fully control the behavior of a large organization,” and, “The larger any organization becomes, the weaker is the control over its actions exercised by those at the top.” Law of Countercontrol: “The greater the effort made by a top-level official or sovereign to control the behavior of subordinate officials, the greater the efforts made

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by those subordinates to evade or counteract such control.” [Note: This is a corollary to the previous law.] Law of Control Duplication: “Any attempt to control one large organization tends to generate another organization.” [Note: This law could explain the duplication of the bureaucracy found in the White House Office and Congress. Even though there is a State Department and a Defense Department, the president has a National Security Council. Furthermore, even though there is a Treasury Department and a Commerce Department, Congress has a Budget Office and the president has the Office of Management and Budget.] Describe the manner in which Congress exercises oversight of the bureaucracy. Cite an example of “red-tape.” Differentiate the different approaches to overseeing, and in some instances, reforming the bureaucracy. Name two ways Congress and the president exercise control through appointments. Reformers seek to introduce market forces in to the bureaucratic stream. Differentiate between privatization and de-regulation.

× Return to Chapter 16: Table of Contents

IV. Student Assignments – Post-Lecture A.

Class Discussion Questions

¾16.1 Identify the functions of the federal bureaucracy • • • •

• • • • • • •

What is a bureaucracy? What are the most important responsibilities of the federal bureaucracy? Think about any personal experiences you have had with federal agencies. How helpful and responsive were the agencies you dealt with? Did you encounter obstacles to getting your problems resolved? For class discussion, have students debate the value of a professional bureaucracy. In particular, have them examine the costs and benefits of the patronage system as compared to those of the merit system in terms of responsibility and accountability to the people bureaucrats serve. What do bureaucrats do? How do agencies create rules? Why are rules sometimes referred to as “quasi-legislation”? Do bureaucrats have a judicial function? What are the pros and cons of the civil service system? Compare the duties of the cabinet departments with the duties of independent agencies and commissions. What is meant by the principal-agency problem?

¾16.2 Outline the organization and the expansion of the bureaucracy • • • • • • •

• • •

What role do political leaders play in staffing the federal bureaucracy? How are positions in the federal bureaucracy filled? Maximizing democratic accountability in the bureaucracy may conflict with other things we care about. Are there ways in which decreasing the scope of bureaucratic discretion could also have the effect of reducing the efficiency and effectiveness of bureaucratic institutions? How is the federal bureaucracy organized? How have the responsibilities of the federal bureaucracy changed in recent years? What are the advantages and disadvantages of government corporations such as Amtrak or the U.S. Post Office? Private alternatives to the U.S. Postal System have expanded tremendously in recent years. Do you think other government services could be provided more efficiently through private means? Are there privately provided services that would be better handled through government agencies, perhaps to provide more equitable access to all citizens? Consider the popular culture image of the bureaucrat. What comes to mind? Discuss the reasons for the bureaucracy’s poor image with the American public. Is the image justified? What are the advantages and disadvantages of shifting existing federal responsibilities to the states?

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How has the federal government changed over the past ten years? Has it grown larger or smaller, strengthened or weakened, become more centralized or less centralized, etc.? What criteria are used by the President and Congress when appointing people to departments or agencies? Why would a president use a recess-appointment? What is policy implementation and what are its main features? What are some key differences between the cabinet and the independent regulatory agencies? Who was Andrew Jackson and what is his relationship to the spoils system? How much control does the president have over the organization and operation of the federal bureaucracy?

¾16.3 Assess the role of the bureaucracy in public policymaking • • • • • • • • • •

List bureaucracies that owe their existence to interest groups. Would you say these agencies have been “captured” by special interests? Can interest groups affect the decisions of bureaucrats? Do you feel the federal government is spending money in such a way as to provide assistance and services to the greatest number of citizens, across the greatest possible spectrum? Why, or why not? Why is the Federal Reserve System the most independent of all federal government agencies? What rules regulate the passage of individuals through the “revolving door” –going from government bureaucrat to lobbyist? Are there other limits on the relationships within issue networks? Should expertise in a policy area receive greater consideration than political loyalty in an appointee? What do you think? How would this affect presidential power over the bureaucracy? Why are certain bureaucratic organizations deemed important enough to be cabinet departments while others are not? We tend to think of the bureaucracy as “just following rules.” How does the arsenic example show that bureaucratic agencies are active in shaping policy? What constraints are there on the actions and policies of the federal bureaucracy? How do bureaucratic realities shape the policy choices of political leaders?

¾16.4 Evaluate the different approaches to overseeing and reforming the bureaucracy • • • • •

Why do bureaucracies have such a bad reputation? To whom is the federal bureaucracy accountable? How do political pressures shape the organization, actions, and policies of the federal bureaucracy? How much control does each branch of government have over the bureaucracy? Describe the tools that each branch can use to keep the bureaucracy in check. Discuss the potential consequences of a reform making it easier to fire government employees. Should the government have more authority to reassign or terminate career bureaucrats who are currently protected by civil service?

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Why isn’t Congress more willing to seek and enact dramatic reform of the bureaucracy? Is such reform necessary? Using the IRS as an example, discuss the powers held by one large bureaucracy. Are the powers necessary? Why? Why not? Discuss three specific measures that could be taken to eliminate government waste. Are these measures likely to be adopted? Why? Why not? Is true bureaucratic reform a serious reality? Why was the Office of Homeland Security established? To date, has the office made a positive difference in homeland security? Do you feel safer knowing that this office is operating? What should the role of the Department of Homeland Security be? How might the role of this department differ from the role the military has always played in domestic issues? Why is government involved in business bureaucracies of its own, including such agencies as the Tennessee Valley Authority, Amtrak, the U.S. Postal Service, etc.? Is the federal bureaucracy stifling innovation, productivity, and common sense? If so, how can this be improved? Almost 25 percent of the civilian federal government employees work for the Army, the Navy, or the Air Force. Should Congress cut some of these positions, or do decisions like that have to be left to the military? Is some of the federal bureaucracy problem due to the fact that we are asking the federal government to do too much? If so, where can program cuts be made? Are there some federal executive branch departments that should be abolished, or at least diminished from cabinet level status? How is the delivery of federal services hampered due to the fact that the federal bureaucracy answers to both Congress and the president? What steps can be taken to cut down on bureaucratic inefficiency? What are the causes of “red tape”? Can bureaucratic inefficiency be corrected? How can Congress use the budget to control the bureaucracy? How can deregulation backfire? Host a discussion on the checks and balances the president, Congress, and the judiciary have on the bureaucracy. Which techniques are used most often and which are most effective and why? Arguments about how to reform the bureaucracy are rampant throughout history. Have students determine what problems plague bureaucratic politics and what reforms have been aimed at addressing them. How effective have these reform efforts been? Discuss methods to depoliticize the civil service. Discuss whether public employees should have the same free speech rights to criticize the government as private sector employees. Discuss why comparing a private company with a government bureaucracy in terms of cost effectiveness is comparing apples to oranges. Ask students to discuss whistle blowers. Should they be rewarded or fired? Discuss the implications of privatization in terms of how it reflects on faith in government and bureaucracy. Discuss the potential problems of privatization in areas such as law enforcement and corrections.

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Discuss the allegation that members of Congress welcome bureaucratic inefficiency as a means of promoting casework for their constituents. Assess the economic impact that a significant reduction of government employees would have on your state or locality. Is this a likely result in the near future due to the recession? Discuss the use of public-public partnerships. Can neighboring governments come together for joint purchasing agreements or other mutually beneficial arrangements? Are the mechanisms in place to allow this type of cooperation? Why is the principal-agent problem such an issue with bureaucrats and bureaucracy? How do the president and Congress specifically use the following things to control the bureaucracy? Budgets/Money Agency eliminations Centralization What are the four explanations for the growth of bureaucratic power? Do you believe that people want government regulation and that conservative theories of limited government ignore popular demand? Why? How would casework assist in controlling bureaucracies?

× Return to Chapter 16: Table of Contents

Class Activities

¾16.1 Identify the functions of the federal bureaucracy • •

In a short essay, compare the federal bureaucracy to the three major branches of government. Based on your reading of this chapter explain how the federal bureaucracy may be more or less democratic than each of the others. Have students consider the following questions: How does the bureaucracy affect you? Consider the innumerable ways that government helps or hinders your life. Have students keep a journal for the semester and note in it ways that they interact with bureaucracy and government. At the end of class, have them compare notes with friends and colleagues. Discuss whether, in total, their experiences with government are positive, negative, or neutral.

¾16.2 Outline the organization and the expansion of the bureaucracy •

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Divide your class into several small groups. Have each group identify an agency of the federal government that is located in your community and arrange to interview an employee of that agency. Students should review the functions and purposes of the agency and should be prepared with questions to ask before they appear for the interview. For example, they might ask the person they interview to describe his or her job, how candidates are selected for that particular position, what potential there is for promotion within the federal bureaucracy, and what effects he or she thinks the agency has on the local community. Identify the class as a small agency, describing its role or service, clientele, number of employees, and budget. Select an agency head from the class and have that student lead the class through development of a budget for next year. Observations about the process will aid students’ understanding, even on such a small (make-believe) basis, of the problems associated with budget cutting and job security in the bureaucracy. Ask students to evaluate the organization and efficiency of your university. How is it organized? Who is employed in what types of positions? Who are the bureaucrats and how efficiently do they perform their jobs? Do these bureaucrats have the same challenges in implementing policy that federal bureaucrats face? Have students prepare brief reports or presentations on their findings. Have students debate a return to the spoils system as a way of strengthening political parties and increasing the president’s control over the bureaucracy. Have students do a brief report on the current heads of the cabinet departments. Have students debate the issue of mandatory drug-testing for civil servants.

¾16.3 Assess the role of the bureaucracy in public policymaking • • •

Identify agencies, congressional committees, and interest groups involved in an issue of concern to students. Have students represent those actors in committee hearings and other meetings that might occur in attempts to exchange influence. Ask students to relate their experiences with government bureaucracy. Have students report on existing governmental sharing efforts going on in your area.

¾16.4 Evaluate the different approaches to overseeing and reforming the bureaucracy • • •

Have students prepare a plan to make bureaucracies more responsive and productive. Have students outline a plan to create a new bureaucratic agency to address a social problem that is not currently being met by government. Be sure to think about where the agency would reside, how many employees it would need, and what budget would be necessary. Have several groups of students analyze the following scenario: The Department of Defense (DoD) is a mess. Each branch of the service has duplication with the others (special forces, aircraft, artillery, brass,...etc.) The Pentagon is huge and the DoD has over three million employees both civilian and military. Base closings in the 1980s didn't work. Congressmen bringing home pork managed to thwart any real savings. It is now up to the bureaucracy to come up with a plan to streamline DoD while maintaining our military readiness. Using whatever resources you like, each group should attempt a reorganization of DoD and be able to explain how it meets the twin goals of efficiency and readiness.

× Return to Chapter 16: Table of Contents

Research Assignments

¾16.1 Identify the functions of the federal bureaucracy • •

Compare the American civil service to that of another developed nation from the West. Is the United States’ bureaucracy any more or less efficient? Outline the areas where the American civil service system is more or less efficient than the nation to which it is compared. Have students research and then debate the costs and benefits of the new Department of Homeland Security.

¾16.2 Outline the organization and the expansion of the bureaucracy •

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Ask students to research current law and policies regarding the relationships between former government officials and government bureaucrats. Should these now-private citizens be able to use their former positions in order to obtain access for lobbying activities? Have your class propose changes to current federal policies on such lobbying activities. If yours is a fairly small community, have each student prepare a “service directory” of local government agencies. They will probably be surprised to find how many government offices and services are available even in small-town areas. For a reading and writing connection, have students conduct interviews with civil service employees at three different local bureaucratic agencies, preferably at the same levels. Have the student design a set of survey questions about the qualifications of the job and what kind of preparation a person would need to secure that kind of job. Encourage students to explore the popular myths about bureaucrats. In addition, have students ask questions about how much discretion each respondent has and how much interest groups and political appointees place on them. Then have students write an essay comparing and contrasting the respondents’ answers with the material in the text as well as with each other. Have students investigate the qualifications for a job in a federal agency of their choice using the government documents section of the library or government agency websites. Starting with the top appointed position to the street-level civil service positions, have them detail the qualifications stated in the government literature. Then have them examine, from biographical resources, who fills those positions now. Have students write an essay comparing the standards set with the qualifications of those in office. In particular, ask them whether they think merit standards have been met, at least in the civil service positions. Visit at least three federal offices in your area. Watch what goes on. Ask questions. Investigate the functions and efficiencies of the procedures used. If possible, schedule interviews with managers at these offices. Ask about misconceptions and problems with the bureaucracy. How does what you find compare with what you learned in the text? Research the appointments made by President Barack Obama and identify individuals who occupy positions that are political “plums.”

¾16.3 Assess the role of the bureaucracy in public policymaking •

Have students research “sunshine” legislation and “sunset” legislation. Does this legislation accomplish the goals as intended?

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To see the role of bureaucracy at the local level, visit with your county government. Go to a specific agency (Health department, Job and Family Services, etc.) and learn about their projects and their mission. Ask to read their strategic plan. Interview an employee. Critique the agency by applying your knowledge from this chapter paying special attention to such items as slack, red-tape and drift. Have students select a local community group with which to partner. Students will monitor notices of proposed rulemaking and prepare policy memos that advise their community group of how potential changes in policy might affect that organization or its interests more generally. Students might also prepare comments on behalf of the agency (with agency approval, of course) to submit in the public comment period. Have each student select one of the independent regulatory agencies and write a brief essay on the history and powers of the agency. Ask students to focus on the “capture” theory and try to determine how well—or how poorly—the theory fits the agency the student selected. Using the Internet or another electronic database, find 10 news articles dealing with “budget battles” between Congress and the president. Review these articles for quotes from bureaucrats regarding the impact of the presidential budget on their agency.

¾16.4 Evaluate the different approaches to overseeing and reforming the bureaucracy • •

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• • •

•

Ask students to research a bureaucratic scandal, identify how the scandal was resolved, and whether or not they agree with the outcome. Is it really possible to reform the bureaucracy? One of the oldest bureaucratic departments is the Department of State. Have students do some research to determine how they have reorganized over the years to cope with new challenges and directives. How large is the DOS? What functions does it perform? What is its budget? How effective is it in carrying out its goals? The Postal Service has changed its relationship with the government over time. Students should research the history of the Postal Service, its past and present ties to the government, its effectiveness, and reputation. Many of us complain incessantly about the mail. Are we justified? How are rate increases determined? If we are truly unhappy, what avenues of complaint are open? Have students research the roots, history, and development of bureaucracy in the U.S. They should write a brief paper on the topic. What reforms have been imposed upon the Internal Revenue Service in recent years? Research C-SPAN for past archives containing congressional hearings on the IRS. Locate individuals at your institution who has participated in an internship with a government entity. Ask them about their specific duties. Discuss with them the challenges of working in a bureaucratic agency. See if they have an example of red tape. Discuss with them a specific public policy issue that they worked on. Using the information contained in this chapter as it pertains to the number of presidential cabinet positions and departments, select five different departments and visits their Web sites. Determine the major public policies issues they are working on. Learn the names of the Secretaries of each department. Search online for articles and information about the privatization of federal prisons in the United States. Outline the potential advantages and disadvantages of privatizing portions of the federal criminal justice system.

•

• •

Students can interview “street level bureaucrats” (such as teachers and firefighters) or federal bureaucrats in your community about their jobs. Compare their responses to stereotypes and preconceptions about bureaucracy. What values predominantly guide decision making in these agencies or organizations: accountability, efficiency, equity, or technical expertise? How do these jobs embody the advantages and practical problems of having a bureaucracy? What issue networks exist in connection with these agencies? Ask students to investigate the creation of the Department of Homeland Security in 2002. For a reading and writing connection, ask students to write an essay applying the principles of this chapter to this new department. How does this department (its mission and creation) illustrate fundamental issues regarding bureaucratic organization, efficiency, and effectiveness? What is the likely success of the agency in meeting its goals? Write or go to your local congressional office. Ask to speak with one of the caseworkers who deals with bureaucratic snafus and red tape. Find out how they intervene, how effective they are, how many constituents avail themselves of this service, and their impressions of the bureaucracy. Have students write a paper or discuss in class what they have learned. Have students watch the A&E one-hour program Investigative Reports of the IRS and report on its similarity to the text material. Have students choose two departments, agencies, or other federal bureaucratic entities. They should use the Web to garner substantial amounts of information on the two components of the bureaucracy. Have them discuss it or write a paper. Alternatively, assign a number of students from class to each of the Cabinet departments and main agencies. They could prepare an oral presentation on their assigned department. Have students search the Web for public opinion on the bureaucracy and discuss the fairness of what they find in class. Find a news story that provides an example of how a citizen used the Freedom of Information Act to reveal improper behavior by a government agency.

× Return to Chapter 16: Table of Contents

V. Quantitative Assessment Administer Chapter Exam (see Test Bank, Chapter 16) × Return to Chapter 16: Table of Contents

VI. Resources for Further Study A.

Books

1. Aberbach, J. D. (1990). Keeping a watchful eye: The politics of Congressional oversight. Washington, DC: Brookings Institution Press. 2. Arnold, P. (1998). Making the managerial presidency: Comprehensive reorganization planning, 1905–1996 (2nd ed.). Lawrence: University Press of Kansas. 3. Beetham, D. (1996). Bureaucracy. Minneapolis: University of Minnesota Press. 4. Behn, R. D. (2001). Rethinking democratic accountability. Washington, DC: Brookings Institution Press. 5. Derthick, M., & Quirk, P. J. (1985). The politics of deregulation. Washington, DC: Brookings Institution Press. 6. DiIulio, J. J., Jr., Garvey, G., & Kettl, D. F. (1993). Improving government performance: An owner’s manual. Washington, DC: Brookings Institution Press. 7. Downs, A. (1967). Inside bureaucracy. Boston: Little, Brown. 8. Fesler, J. W., & Kettl, D. F. (1991). The politics of the administrative process. London: Chatham House Publishers. 9. Fritschler, A. L., & Rudder, C. (2006). Smoking and politics: bureaucracy centered policymaking. Upper Saddle River: Prentice Hall. 10. Goodsell, C. T. (2003). The case for bureaucracy: A public administration polemic. Washington, DC: Congressional Quarterly Press. 11. Gore, A. (1993). Creating a government that works better and costs less: The report of the national performance review. New York: Plume-Penguin. 12. Gormley, W. T., Jr., & Balla, S. J. (2007). Bureaucracy and democracy: Accountability and performance (2nd ed.). Washington, DC: Congressional Quarterly Press. 13. Kaufman, H. (2006). The forest ranger: A study in administrative behavior. Washington, DC: Resources for the Future. 14. Kerwin, C. M. (1999). Rulemaking: How government agencies write law and make policy (2nd ed.). Washington, DC: Congressional Quarterly Press. 15. Kingdon, J. W. (1995). Agendas, alternatives, and public policies (2nd ed.). New York: HarperCollins Publishers. Copyright © 2011, 2009, 2007 Pearson Education, Inc. All rights reserved.

16. Krause, G. A., & Meier, K. J. (Eds.). (2003). Politics, policy, and organizations: Frontiers in the scientific study of bureaucracy. Ann Arbor: University of Michigan Press. 17. Light, P. C. (1995). Thickening government: Federal hierarchy and the diffusion of accountability. Washington, DC: Brookings Institution Press. 18. Light, P. C. (1999). The new public service. Washington, DC: Brookings Institution Press. 19. Lipsky, M. (1983). Street level bureaucracy. New York: Russell Sage Foundation Publications. 20. Lubbers, J. (2006). A guide to federal agency rule making. Chicago: American Bar Association. 21. Makenzie, G. C., & Hafkin, M. (2002). Scandal proof: Do ethics laws make government ethical? Washington, DC: Brookings Institution Press. 22. Maxwell, B. (1999). How to access the federal government on the internet. Washington, DC: Congressional Quarterly Press. 23. Meier, K. J., & Bohte, J. (2006). Politics and the bureaucracy: Policymaking in the fourth branch of government. Belmont: Wadsworth. 24. Meier, K. J., & O'Toole, L. J. (2006). Bureaucracy in a democratic State: A governance perspective. Baltimore: Johns Hopkins University Press. 25. Niskanen, W., Jr. (2007). Bureaucracy and representative government. Chicago: Aldine Transaction. 26. Obermeyer, N. J. (1989). Bureaucrats, clients, and geography: How clients influence the geography of public policy outcomes. Chicago: University of Chicago Press. 27. Office of the Federal Register, National Archives and Records Administration. United States Government Manual. Washington, DC: U.S. Government Printing Office (published annually). 28. Osborne, D., & Plastrik, P. (1998). Banishing bureaucracy: The five strategies for reinventing government. Boulder: Perseus Press. 29. Osborne, D., & Gaebler, T. (1992). Reinventing government: How the entrepreneurial spirit is transforming the public sector. Reading: Addison-Wesley. 30. Page, E., & Jenkins, B. (2005). Policy bureaucracy: Government with a cast of thousands. New York: Oxford University Press.

31. Page, E. (1985). Political authority and bureaucratic power: A comparative analysis. Knoxville: University of Tennessee Press. 32. Peters, B. G. (2001). The politics of bureaucracy. New York: Routledge. 33. Pinchot, G. (1993). The end of bureaucracy and the rise of the intelligent organization. San Francisco: Berrett-Koehler Publishers. 34. Pressman, J., & Wildavsky, A. (1984). Implementation (3rd ed.). Berkeley: University of California Press. 35. Reich, R. B. (1998). Locked in the cabinet. New York: Vintage. 36. Salamon, L. M. (1989). Beyond privatization: The tools of government action. Washington, DC: Urban Institute Press. 37. Savas, E. S. (1987). Privatization: The key to better government. London: Chatham House Publishers. 38. Schwartz, B., Corranda, R. L., Brown, J. R. (2006). Administrative law: A casebook. New York: Aspen Law & Business. 39. Selden, S. C. (1997). The promise of representative bureaucracy. Armonk: M.E. Sharpe. 40. Stillman, R. J., II. (2003). American bureaucracy. Belmont and London: Wadsworth. 41. Terry, L. D. (2003). Leadership of public bureaucracies: The administrator as conservator. Armonk: M.E. Sharpe. 42. Weaver, K., & Rockman, B. (Eds.). (1993). Do institutions matter? Government capabilities at home and abroad. Washington, DC: Brookings Institution Press. 43. Weber, M. (1968). Economy and society. (G. Roth & C. Wittich, Trans. and Eds.). New York: Bedminster Press. 44. Wilson, J. Q. (2000). Bureaucracy: What government agencies do and why they do it. New York: Basic Books. 45. Wood, B. D., & Waterman, R. W. (1994). Bureaucratic dynamics: The role of bureaucracy in a democracy. Boulder: Westview Press. × Return to Chapter 16: Table of Contents

Articles

1. Aberbach, J. D., & Rockman, B. A. (1988, March–April).Mandates or mandarins? Control and discretion in the modern administrative state. Public Administration Review, 48, 606– 612. 2. Calvert, R. L., McCubbins, M., & Weingast, B. R. (1989, August). A theory of political control and agency discretion. American Journal of Political Science, 33(3), 588–611. 3. Christensen, T., & Lægreid, P. (Eds.). (2007). The whole-of-government approach to public sector reform [in the US]. Public Administration Review, 67(6), 549–559. 4. Cooper, J., & West, W. F. (1988, November). Presidential power and republican government: The theory and practice of OMB review of agency rules. Journal of Politics, 50(4), 864– 895. 5. Durant, R. F. (1993, November–December). Hazardous waste, regulatory reform and the Reagan revolution: The ironies of an activist approach to deactivating bureaucracy. Public Administration Review, 53(6), 550–560. 6. Kelman, S. (1985, Winter). The grace commission: How much waste in government? The Public Interest, 62–82. 7. Lee, S-H. (2001, April). Does performance-base pay motivate? P.A. Times. 8. Lewis, G. B. (1988, May–June). Progress toward racial and sexual equality in the federal civil service? Public Administration Review, 48(3), 700–707. 9. Moe, R. C. (1994, March–April).The re-inventing government’ exercise: misinterpreting the problem, misjudging the consequences. Public Administration Review, 54(2), 111–122. 10. Peters, B. G. (2008, December). Debate: The two futures of public administration. Public Money & Management, 28(6), 323–326. 11. Posner, B. Z., & Schmidt, W. A. (1994, January–February). An updated look at the values and expectations of federal government executives. Public Administration Review, 54(1), 20–24. × Return to Chapter 16: Table of Contents C.

Media

1. 13 Days. (film–2001). Account of the Kennedy administration’s handling of the Cuban Missile Crisis.

2. Bureaucracy of Government. (1988). Films for the Humanities and Sciences. A video examining the liberal and conservative commentary concerning the value and problems of bureaucracy. × Return to Chapter 16: Table of Contents D.

Web Resources

1. The American Society for Public Administration. http://www.aspanet.org/scriptcontent/index_patimes.cfm 2. Association for Public Policy Analysis and Management. http://www.appam.org/home.asp 3. The Central Intelligence Agency. https://www.cia.gov/ 4. Department of Agriculture. http://www.usda.gov/ 5. Department of Commerce. http://www.commerce.gov/ 6. Department of Defense. http://www.defenselink.mil/ 7. Department of Education. http://www.ed.gov/ 8. Department of Energy. http://www.energy.gov/ 9. Department of Health and Human Services. http://www.os.dhhs.gov/ 10. Department of Homeland Security. http://www.dhs.gov/ 11. Department of Housing and Urban Development. http://www.hud.gov/ 12. Department of Interior. http://www.doi.gov/ 13. Department of Justice. http://www.usdoj.gov/ 14. Department of Labor. http://www.dol.gov/ 15. Department of State. http://www.state.gov/ 16. Department of Transportation. http://www.dot.gov/ 17. Department of Treasury. http://www.ustreas.gov/ 18. Department of Veteran's Affairs. http://www.va.gov/ 19. The Environmental Protection Agency. http://www.epa.gov/ Copyright © 2011, 2009, 2007 Pearson Education, Inc. All rights reserved.

20. Executive Branch. http://www.whitehouse.gov/government/exec.html 21. Federal Emergency Management Agency (FEMA). http://www.fema.gov/ 22. The Federal Register. http://www.gpoaccess.gov/fr/ 23. FedWorld is a comprehensive index of federal government agencies, searchable by keyword. Access to thousands of U.S. government Web sites, more than a 1/2 million U.S. government documents, databases, and other information products with links to the FedWorld File Libraries and other sources. http://www.fedworld.gov/ 24. Government Executive. http://www.govexec.com/ 25. Government Made Easy. http://www.usa.gov/ 26. National Journal. http://www.nationaljournal.com/njonline/ 27. The Office of Management and Budget. http://www.whitehouse.gov/omb/ 28. The Office of Personnel Management. http://www.opm.gov/ 29. The President’s Cabinet. http://www.whitehouse.gov/government/cabinet.html 30. USA Services. http://info.gov/ 31. Washington Monthly. http://www.washingtonmonthly.com/ 32. The White House has a section on President Barack Obama’s Cabinet complete with pictures and biographies. http://www.whitehouse.gov/government/cabinet.html × Return to Chapter 16: Table of Contents

Integrated Guide to the Text’s Resources (Instructor’s Resource Manual)

Chapter 17 - Economic and Social Policy Table of Contents I. Chapter Overview A. Learning Objectives B. Chapter Summary II. Student Assignments – Pre-Lecture III. Lecture Resources A. Lecture Slides B. Additional Lecture Suggestions IV. Student Assignments – Post-Lecture A. Class Discussion Questions B. Class Activities C. Research Assignments V. Quantitative Assessment VI. Resources for Further Study A. Books B. Articles C. Media D. Web Resources

I. Chapter Overview: A.

Learning Objectives

¾17.1 Identify the conditions under which policy innovations are created. ¾17.2 Assess efforts by the federal government to manage the domestic economy. ¾17.3 Trace the development of the largest federal social program, which assists the elderly. ¾17.4 Analyze changes in welfare policy within the United States. ¾17.5 Trace the federal government’s expanding involvement in education. ¾17.6 Evaluate the government’s efforts to provide health care to the poor and aged. × Return to Chapter 17: Table of Contents B.

Chapter Summary

When Economic and Social Policies Are Made What prompts the federal government to create new policies? Three factors must converge: a problem warranting a governmental response must be identified; a solution to the problem must be articulated; and some kind of focusing event must prod politicians into action. Problems are especially likely to attract the attention of the federal government when they violate elements of the American creed. The federal government is especially likely to enact social programs designed to reduce gross and persistent inequalities that systematically limit the life chances of certain citizens. Above all else, the federal government’s fundamental objective is to protect citizens from foreign harm. One of the government’s greatest responsibilities involves regulating the domestic economy. When gauging the health of the economy, people tend to monitor three main indicators: unemployment trends, inflationary trends, and the overall growth of the economy. Economists have different ideas about how to improve the economy. Social Security and Welfare The Social Security Act enacted in 1935 established the framework for the Social Security Administration, charged with providing a reliable stream of income for the elderly. Social security is best thought of as an anti-poverty program for the elderly. Social security benefits are entitlements, benefits that all qualifying individuals have a legal right to obtain. The federal government supports a wide range of programs designed to assist the poor. Collectively, these public assistance programs are often referred to as “welfare”. Welfare programs are meanstested, that is, they target those who demonstrate a lack of means. To ascertain eligibility for welfare programs, the federal government has developed a standard for identifying the poor: the poverty level. Education and Healthcare The U.S. Constitution does not discuss the education of children. The obligation to educate, therefore, fell upon state and local governments. Since the nation’s founding, public schools in this country have been locally controlled. The federal government has sought to equalize education funding. The federal government has recently attempted to impose standards on education. The demand for standards and accountability came to a head in 2001, when Congress enacted the No Child Left Behind Act (NCLB). In addition to attending to the elderly, the poor, and the young, the federal government also assists the infirm. Millions of people rely Copyright © 2011, 2009, 2007 Pearson Education, Inc. All rights reserved.

on the two largest insurance programs: Medicare, which assists the elderly and Medicaid, which assists the poor. × Return to Chapter 17: Table of Contents

II. Student Assignments – Pre-Lecture A. B. C.

Student Required Reading: Chapter 17 – Economic and Social Policy Administer Reading Comprehension Quiz (see Test Bank, Chapter 17) Chapter Test – After your students have completed their reading assignment, go over these questions with your class to identify any areas you should focus on in your lecture.

Chapter Test 1. What factors improve the chances that the government will formulate a public policy response to a perceived problem? 2. What role for government intervention into the economy do advocates of fiscal and monetary policy envision? 3. What is the difference between the national deficit and national debt? 4. Why are at least some political analysts worried about the future of Social Security? 5. Historically, what have been the largest federal antipoverty programs? 6. How has the federal government interjected itself into public education, which historically has been a matter of local and state control? 7. How do charter schools differ from traditional public schools? 8. Who are the primary beneficiaries of the federal government’s health care policies Medicare and Medicaid? 9. How does the U.S. health system stack up against those found in other industrialized countries? 10. What were the most significant elements of the health care reforms enacted into law in March 2010? × Return to Chapter 17: Table of Contents

III. Lecture Resources A.

Lecture Slides

Slide 1

Slide 2

Slide 3

This chapter opens with a feature on the economy explaining what was happening in the housing market and how it caused problems for the nation’s economy.

Chapter 17: Economic and Social Policy Public policy is the outcome of governmental institutions.

Slide 4 After Reading This Chapter, You Should Be Able To: 9 LO 17-1: Identify the conditions under which policy innovations are created. 9 LO 17-2: Assess efforts by the federal government to manage the domestic economy. 9 LO 17-3: Trace the development of the largest federal social program, which assists the elderly. 9 LO 17-4: Analyze changes in welfare policy within the United States. 9 LO 17-5: Trace the federal government’s expanding involvement in education. 9 LO 17-6: Evaluate the government’s efforts to provide health care to the poor and aged.

Slide 5

LO 17-1

How Is Policy Created? 9Identify a Problem 9Identify a Solution 9Focusing Events

Slide 6

To Learning Objectives

LO 17-1

Slide 7

The federal government does not create new public policies in a preventive manner—the government reacts to what has happened. The first step in this process is to identify a problem. Problems are most likely to attract the attention of the federal government when they violate elements of the American creed. If America’s sense of fairness has been violated, especially in terms of treating citizens equitably, the federal government will label the violation a problem. The major problem the country has is national security—the federal government has to keep its citizens safe from foreign harm. Food stamps: In 1970, when this photo was taken, the federal government launched the federal Food Stamp program. This customer used the stamps to purchase a supply of groceries.

To Learning Objectives

LO 17-1

How Is Policy Created? 9 Identify a Problem 9Identify a Solution

The next step in the policy process is identifying a government solution. Policy entrepreneurs— professionals working in think tanks, universities, lobby groups, unions, and interest groups who propose solutions to policy problems and persuade politicians to adopt them—play an important role in identifying solutions.

9 Focusing Events

To Learning Objectives

Slide 8

LO 17-1

To Learning Objectives

Slide 9

LO 17-1

How Is Policy Created? 9 Identify a Problem 9 Identify a Solution 9Focusing Events

Recession: Many Americans lost their homes in the recent economic recession. Here, a sheriff supervises as a landlord removes furniture from a home in Lafayette, Colorado, after the tenants were evicted. In your opinion, what, if anything, should be done on behalf on those individuals who have been displaced from their homes?

At any given moment in time, many problems demand solutions. To bring a problem together with a solution that is enacted generally takes a focusing event – people will go along thinking there is no issue, and then media coverage of a major event will focus people’s attention on the issue. Financial regulatory reform, for example, was put front and center after the economy collapsed in 2008. The Great Depression is perhaps the largest focusing event in history; it caused years of policy designed to prevent that type of collapse from happening again.

To Learning Objectives

Slide 10

LO 17-1

Which of the following is an example of a focusing event? A. State of the Union Address B. Congressional Budget C. Hurricane Katrina D. Presidential Travel

To Learning Objectives

Slide 11

LO 17-1

Which of the following is an example of a focusing event? A. State of the Union Address B. Congressional Budget C. Hurricane Katrina

D. Presidential Travel

To Learning Objectives

Slide 12

LO 17-2

Managing the Domestic Economy 9Different Aspects 9unemployment 9inflation 9growth

Slide 13

To Learning Objectives

LO 17-2

Slide 14

Economic turmoil: In October 2008, the US economy, as well as the economies of most other industrious nations, experienced a sharp downturn. The crisis was defined by housing foreclosures, a credit crunch, plunging stock prices, and the collapse of major companies in the financial industry. Here, Federal Reserve Chair Benjamin Bernanke testifies before Congress about the economic crisis.

To Learning Objectives

LO 17-2

Managing the Domestic Economy 9 Different Aspects 9unemployment 9inflation 9growth

Economists focus on three main indicators to see if the economy is doing well. First, they look at unemployment: percentage of people who would like to work but do not have a job. Generally that rate is 4–6%; currently it is right around 10 percent. Second, they look at inflation: how the costs of basic goods and services change over time. If inflation is high, costs increase at a rapid rate. They use the Consumer Price Index to figure this out: costs of food, clothing, and medical services. Third, they look at growth; the gross domestic product is a statistic that measures all goods and services produced by individuals and businesses within the United States. The U.S. GDP constitutes about 20 percent of all spending worldwide—while huge, it is not always good. Economists look at whether it is growing or not.

To Learning Objectives

Economists have different ideas about how to improve the economy. The first option is to do nothing: laissez-faire economics. The private marketplace experiences expansion and contraction, and the government should stay out of the way. Second is monetary policy: controlling the supply of available money. When the Tea Party calls for an investigation of the Federal Reserve, they are attacking this policy specifically. This is done through interest rate increases and decreases. Finally, the government can use tax and spend policy to intervene directly—President Obama spent money and President Bush decreased taxes. If the government spends more than it brings in, we have a deficit. The deficits added all together are the public debt: currently at 94 percent GDP. This is the highest it has been since the 1940s, but not as high as that of other European countries.

Slide 15

LO 17-2

___ policy concerns controlling the money supply. A. Laissez-Faire B. Monetary C. Fiscal D. Recession

To Learning Objectives

Slide 16

LO 17-2

___ policy concerns controlling the money supply. A. Laissez-Faire B. Monetary

C. Fiscal D. Recession

Slide 17

To Learning Objectives

LO 17-3

Social Security

9Benefits 9 Future

To Learning Objectives

The largest federal social program aids the elderly: social security. In 1935, the entitlement program providing retirees with a monthly income was passed. Employees pay a portion of their money into a fund that the Social Security Administration maintains—this money pays for current retirees. Since 1935, this program has grown from a modestly sized program to a massive one; it originally did not include farmers, government employees, self-employed persons, and small businesses. Now, all restrictions have been lifted. The longer people pay in, the more money they are entitled to—thus the size of payments has increased along with the number of retirees eligible. In 1975, Congress began to adjust for cost of living, which increases payments to retirees over time.

Slide 18

LO 17-3

To Learning Objectives

Slide 19

LO 17-3

Social Security

9 Benefits 9Future

To Learning Objectives

Slide 20

LO 17-3

Slide 21

The birth of Social Security: Several members of the House and Senate look on as President Franklin Roosevelt signs the Social Security Act in August 1935.

The future of the program is uncertain. When social security started, there were nine workers per retiree—now there are three per retiree—in 2030 it might be down to two. Now the elderly outnumber the workers—which is a problem. Possible solutions to the problem include increasing taxes. People only pay social Security up to $108,000—we could raise that limit. We could also cut payments—raise the age of people who can earn them as well as reducing cost of living adjustments. Some have called for private investment accounts; workers could choose to put their social security payments into private accounts, which tend to do better. This chart shows how the social security reserves are expected to decline over time.

To Learning Objectives

A possible solution to the problem of social security is ___.

LO 17-3

To Learning Objectives

Slide 22

A possible solution to the problem of social security is ___.

LO 17-3

Slide 23

To Learning Objectives

LO 17-4

Welfare 9Who are the poor? 9 Variety of Programs 9 Small Compared to Europe

Slide 24

To Learning Objectives

LO 17-4

Slide 25

Here we see the percentage of people in poverty since 1960—note that it peaks and then declines. It declined until the 1970s, when it stabilized at 12 percent.

To Learning Objectives

LO 17-4

Welfare 9 Who are the poor? 9Variety of Programs 9 Small Compared to Europe

The federal government supports a wide range of programs designed to assist the poor—these are referred to as welfare. All of the programs are means-tested: any program that targets the poor and for which eligibility is based on financial need. The poverty threshold in 2009 was $22,128. In the United States, 18 percent of young people live in poverty, 25 percent of African Americans and Hispanics are poor, and 29 percent of female single parents are poor.

To Learning Objectives

There are a number of federal programs. Aid to Families with Dependent Children was reformed in 1996 to Temporary Aid for Needy Families. The latter established work requirements and firm limits on the time any individual could receive welfare. This resulted in a 60 percent drop in welfare benefits. Supplemental Security Income focuses on those who are really destitute or who suffer from severe and permanent disabilities. WIC and the Supplemental Nutrition Assistance Program provide money for food to destitute families. Earned Income Tax Credit subsidizes the wages of poor people—it reduces their taxes.

Slide 26

LO 17-4

Slide 27

Making ends meet: Welfare programs, which underwent significant revision in 1996, are directed towards the poor. Under the new system, mothers such as this one must secure paid employment in order to maintain welfare benefits.

To Learning Objectives

LO 17-4

Welfare 9 Who are the poor?

Welfare in the United States is a much younger program and much smaller than its European counterparts. Germany was the first to offer welfare, pioneering the policy in the 1880s. Most other European nations had some welfare by 1914.

9 Variety of Programs 9Small Compared to Europe

Slide 28

To Learning Objectives

LO 17-4

The poverty rate is ____.

A. 8 percent B. 10 percent C. 12 percent D. 15 percent

Slide 29

To Learning Objectives

LO 17-4

The poverty rate is ____.

A. 8 percent B. 10 percent C. 12 percent

D. 15 percent

To Learning Objectives

Slide 30

LO 17-5

Education 9 Federal Involvement 9 Equalize Education Funding 9 Impose National Standards 9 Reform

Slide 31

To Learning Objectives

LO 17-5

Education 9 Federal Involvement 9 Equalize Education Funding 9 Impose National Standards 9 Reform

Slide 32

Slide 33

The vanguard of integration: Pictured are eight of the nine African American students who helped integrate Central High School in Little Rock, Arkansas, in 1957.

To Learning Objectives

LO 17-5

Education 9 Federal Involvement 9 Equalize Education Funding 9 Impose National Standards 9 Reform

Once the door opened with NDEA, the federal government stepped in. Its primary goal is to equalize education funding: to provide the opportunity for equal education for children. In 1965, the Elementary and Secondary Education Act provided direct aid to schools with large populations of poor children. In 1975, the federal government turned toward aiding disabled children with the Individuals with Disability Education Act, which required schools to educate handicapped kids.

To Learning Objectives

LO 17-5

The Constitution did not discuss the education of children; the obligation then fell to state and local governments to make sure that children had adequate education. Public schools have been locally controlled throughout this country’s history; our national system is a miscellaneous collection of village schools. In the nineteenth century, the federal government granted public lands to states for educational purposes and an Office of Education was established in 1870 to collect data. In 1957, the Soviet Union launched the first satellite into space, which made Americans worry about their ability to compete. This led to the first major intervention by the federal government: National Defense Education Act 1958.

Recently, the federal government has been involved in imposing national education standards so that Americans can compete with countries from around the globe. This demand resulted in No Child Left Behind (2001), which imposed national standards on schools for the first time. If schools fail, then parents can opt out and transfer their students to higher performing schools. So far NCLB has not produced any dramatic improvements. Use the featured case study to examine Obama’s plan, the Race to the Top initiative.

To Learning Objectives

Slide 34

LO 17-5

Slide 35

This chart shows how the U.S. lags in science and math.

To Learning Objectives

LO 17-5

Education 9 Federal Involvement 9 Equalize Education Funding 9 Impose National Standards

Reformers have begun to challenge public schools which fail to perform well, claiming that they lack competition. One result was charter schools: public schools that are exempt from many rules and regulations applicable to traditional public schools. School vouchers were another: tuition subsidies to reduce the costs of sending children to private schools.

9 Reform

Slide 36

To Learning Objectives

LO 17-5

Slide 37

To Learning Objectives

LO 17-5

The federal government gets into the education business: Student journalist Gopa Praturi, age 10, interviews US Secretary of Education Arne Duncan on the first day of classes at Wakefield High School in Arlington, Virginia, September 8, 2009. In your view, how much influence should the federal department of education have over public schools?

Public versus private schools: Tax credits and vouchers have the potential to help students attend private schools such as this one, in Poughkeepsie, New York.

To Learning Objectives

Slide 38

LO 17-5

Slide 39

This chart shows the challenge to public schools posed by charter schools—the numbers of charter schools are increasing, currently serving about 1.5 million children.

To Learning Objectives

LO 17-5

Which act helped disabled students? A. National Defense Education Act B. Elementary and Secondary Education Act C. Individuals with Disability Education Act D. No Child Left Behind Copyright © 2011 Pearson Education, Inc. Publishing as Longman

Slide 40

To Learning Objectives

LO 17-5

Which act helped disabled students? A. National Defense Education Act B. Elementary and Secondary Education Act C. Individuals with Disability Education Act

Slide 41

To Learning Objectives

LO 17-6

Health Care 9 Medicare and Medicaid 9 U.S. Health Care 9 Health Care Reform 2010

Medicare and Medicaid are the two major federal programs that provide health care to the infirm: the former for the elderly, the latter for the poor. In 2007, Medicare assisted 42 million citizens at a cost of $430 billion. In 2006, Medicaid assisted 54 million poor citizens at a cost of $218 billion. Medicare is an entitlement program, while Medicaid is a means-tested program.

To Learning Objectives

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LO 17-6

Health Care 9 Medicare and Medicaid 9 U.S. Health Care 9 Health Care Reform 2010

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Health Care 9 Medicare and Medicaid 9 U.S. Health Care 9 Health Care Reform 2010

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Note that the WHO ranks us thirty-seventh in the world for health. We are behind all Western European countries as well as some South and Central American countries. On the other hand, America ranks twenty-fourth in health attainment and first in system responsiveness.

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The United States has poorer health than other nations. About 15 percent of Americans do not have health care, and 16 percent of U.S. gross national product is spent on health care. These costs are 50–80 percent higher than other nations in Europe. On the other hand, while Americans spend more than Europeans, they have worse health. In 2004, the life expectancy of Americans was lower than that of twenty-four other industrialized nations.

Almost everyone agrees that the health care in America is a problem: too costly, too many uninsured, unacceptable quality of care. The question is how to fix it—in 2010, the nation passed its first comprehensive health care reform. Universal health care tends to violate tenets of the American creed—individualism and freedom of choice—so it is hard for America to pass this without controversy. The Patient Protection and Affordable Care Act 2010 extends health care coverage to 32 million uninsured Americans and expands Medicaid to cover families making less than $29,327 per year. By 2014, the act mandates that everyone have health insurance or pay a fine of $695 per year. Health care reform: Flanked by members of Congress and his cabinet, president Barack Obama signs the health care bill in the East room of the White House on March 23, 2010.

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The United States ranks ___ in system responsiveness. A. 37th B. 24th C. 1st

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The United States ranks ___ in system responsiveness. A. 37th B. 24th C. 1st

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Text and Art Credits

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Photo Credits

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Additional Lecture Suggestions

¾17.1 Identify the conditions under which policy innovations are created •

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Problems and issues in the United States can be brought to the attention of the government and can result in policy changes. The policy change pathway is complicated but generally follows the following steps: Identifying the policy problem Setting an agenda Formulating a solution Legitimizing the solution Implementing the solution Evaluating the solution Problems in American society often give rise to solutions. Public policy often results from problems. Government responds to issues and vice versa. Public policy is viewed by many to be the outcome of politics plus government. This model clearly ties public policy to politics. Others claim that public policy is not political in itself. Many political scientists see public policy as a process known as the policy process model. The policy process is defined by five or six steps: identifying the policy problem, setting an agenda, formulating a solution, legitimizing the solution, implementing the solution, and (in some versions) evaluating the solution. These steps are simply the starting point; many consider the true core of policy decisions to be how people interpret values. Conservatives believe that government should establish the basic policies but not interfere with personal freedoms. Liberals or progressives believe that the government should be a more active agent of change to correct inequalities and protect freedoms. Social movements and public lobbying have helped change policy. Policies are organized by issues to help determine problems and solutions. To help further explore public policy, scientists break down government according to the following functions: distribution, regulation, and redistribution. Policies can be broken down depending on whether they produce tangible benefits or symbolic benefits. The idea of a process suggests that separate actions lead to a goal. There is an order to the process that helps to create an intended result. The first step is to identify a problem. Some may identify a problem where others see no problem at all. Pluralists believe that our open government allows every voice to be heard. Others, known as elitists, believe that wealth and power drive policy decisions. Events such as September 11, 2001 shine a spotlight on problem areas and are known as focusing events. These events serve as trigger mechanisms that will identify problems, resulting in a push for solutions. Solutions cannot be found until the problem is recognized by a government authority and placed on the institutional agenda. Citizen action can force the government to recognize an issue and place it on the agenda. The issue-attention cycle states that some issues will stay on the agenda and be dealt with, while others will simply slip away. This step of the process involves the suggestion of possible solutions. Laws, court decisions, and executive orders are all forms of policy. The federal bureaucracy, Congress, the Supreme Court, and the president represent the four avenues to create new policies. If the policymaking actions are legitimate, the public will accept them even if they do not support Copyright © 2011, 2009, 2007 Pearson Education, Inc. All rights reserved.

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them. Good policy should not be hurt by biased implementation. Once a policy is in place, it should be carried out without regard to the personal feelings of those who are implementing it. A policy should be carried out if it is reasonable and if discretion is used by those in power. Legislatures can review policies through oversight, where they can reauthorize and investigate. The courts are also responsible for evaluating policy. The garbage can model states that issues, solutions, and government are thrown together, and problems can exist without solutions and vice versa. Others see problems, solutions, and policymakers as separate streams that do not merge. Policy changes are generally minor and have little impact due to divisions in the political structure. Many view stability as more important than flexibility when it comes to good government.

¾17.2 Assess efforts by the federal government to manage the domestic economy • •

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Economic policies have lasting effects. These policies personally affect your state of wellbeing over the course of your life. The economic involvement pathway is hard to determine but it is important for you to get involved. Economic security and stability are important factors in securing our other freedoms. The Framers of the Constitution believed that citizens should have the right to follow their selfinterest. The theory at the time, known as classicism, was that prices were determined by output, technology, and wages. From this theory, many other theories have developed. Today, the strength of the economy rests largely on the status of the dollar. Economic performance is generally measured by inflation, unemployment, gross domestic product, the balance of trade, and the budget deficit or surplus. The consumer price index measures inflation and deflation. The gross domestic product measures the goods and services produced in the United States. A major concern in the United States is the rising debt and budget deficit. Fiscal policy concerns the politics of taxing and spending. Congress and the president create the budget. The Congressional Budget Office is the research arm of Congress. The Budget and Impoundment Act of 1974 created the CBO. This act transferred power from the White House Office of Management and Budget to the CBO. Committees from the Senate and the House are responsible for developing the budget. Appropriations committees determine how government money should be spent. Each chamber also has a committee to deal with tax bills. The largest portion of government revenue is obtained from taxes on individual income. Taxes from Social Security provide a significant chunk of the revenue. Corporate taxes amount to a smaller portion of the overall revenue, with the remaining amount of money coming from assorted tax programs. There are six levels of individual taxation in the United States. Individuals with higher incomes are in a higher marginal tax bracket. Tax codes and deductions are hard to understand and most Americans cannot calculate their own taxes. Many Americans hire professionals to calculate tax returns. Social Security taxes are considered payroll taxes. The employer pays half of the tax while the employee pays the other half. The self-employed pay the full tax, which amounts to 15.3 percent of income under $90,000. Copyright © 2011, 2009, 2007 Pearson Education, Inc. All rights reserved.

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The U.S. corporate tax rate is high in comparison to other nations, but local and state laws help corporations by giving credits and deductions. The tax rate may be high, but the government relies very little on this form of revenue in comparison with other nations. Corporate tax rates depend on the profit of the business. Excise taxes, customs duties, inheritance taxes, and miscellaneous receipts make up the remaining portion of government revenue. Tax revenue increases over a period of years. If the government raises marginal tax rates, revenue will rise; if they cut marginal tax rates, revenue will also rise. Dynamic modeling determines how tax changes in one area will change revenue in other areas. Reforms of the tax collection process have been suggested. One idea is to have a flat tax rate and another is to have a national sales tax. Monetary policy involves managing the amount of money in circulation. Too much money will result in inflation while too little money could result in a decline in goods. The Federal Reserve Board is the central bank of the nation. The president appoints its members but they serve staggering terms to avoid government influence over their decisions. The Federal Open Market Committee (FOMC) makes the policies. There are five ways the FOMC can control monetary policy: reserve ratios, federal funds rates, open-market operations, discount rate, and buying and selling foreign currencies. Inflation and unemployment impact each other. It is important for the Federal Reserve Board (referred to as the “Fed”) to make adjustments to slow or boost the economy. One problem is that adjustments made by the Fed are not felt immediately. The Fed needs to anticipate problems and to make adjustments to prevent them. Fiscal actions are meant to inflate the government and make a politician look as if progress is being made. Monetary policies of the Fed are long term. The Fed has great power to regulate the flow of money and can force Congress to consider the deficit by tightening control of money and raising interest rates. Executive departments or agencies generally create regulatory policy. Many corporations today support regulations because they help them control their portion of the market. Regulations impact politics as well as economics. Describe the interconnections between fiscal and monetary policy. Point out that not only is government a major employer in this country, it is also a major consumer of goods and services. Point out that imposing taxes or tariffs on businesses often results in higher costs being passed on to consumers. Point out that much of the national government’s regulatory power is derived from the power to regulate interstate commerce. Explain the key provisions of the 2003 Bush tax package. Frame a Democratic Party response in opposition to the 2003 Bush tax package. Explain the difference between progressive and regressive taxes. Explain the symbolic political value of a “soak the rich” platform on taxes and why this not a viable political solution to government deficits. List the efforts by the federal government to manage the domestic economy. Name two major responsibilities of economists as they relate to the economy.

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Most economists do not support laissez-faire economic policies believing that the government must intervene. List and describe two policies that the government uses to address economic issues.

¾17.3 Trace the development of the largest federal social program, which assists the elderly •

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In recent years, the government’s largest expenditures have been in Social Security benefits. Defense spending, income security, Medicare, health care programs, and interest on the national debt complete the remainder of government spending. A smaller portion of money is spent on education, science, transportation, veterans’ benefits, and justice. This program was established in 1935 during the Great Depression. The program is independent and is not on budget. At this point in time, there are fewer workers per retiree and by 2018, Social Security is expected to pay out more than it receives. Explain the history of the Social Security program by highlighting how the program has provided assistance to the elderly. There is much uncertainty about the future of Social Security. Explain why this is the case by presenting the concerns and issues facing future generations. Explain the history of the Social Security program by highlighting how the program has provided assistance to the elderly. There is much uncertainty about the future of Social Security. Explain why this is the case by presenting the concerns and issues facing future generations.

¾17.4 Analyze changes in welfare policy within the United States • •

Explain the “poverty line" and summarize the extent of poverty and role of the underclass in the United States. Name and describe three programs presently administered by the federal government to assist the poor.

¾17.5 Trace the federal government’s expanding involvement in education • • •

Explain the federal government’s expanding involvement in education. Name two functions of the federal government as it pertains to the American education system. No Child Left Behind has many supporters and many critics. List the arguments for and against NCLB.

¾17.6 Evaluate the government’s efforts to provide health care to the poor and aged • • •

Compare the American health system with those in other advanced democracies. Using your knowledge of American political culture, explain what extra-economic factors might contribute a resistance to a federal government-controlled national health insurance program. The government should protect the most vulnerable members of society. The earned-income credit, the child tax credit, supplemental security income, unemployment compensation, and Copyright © 2011, 2009, 2007 Pearson Education, Inc. All rights reserved.

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food stamps comprise about 75 percent of federal income security spending. Medicare and Medicaid were both established in the 1960s. Medicare provides health insurance for the retired over age 65 and disabled people. The economically disadvantaged receive health insurance through Medicaid. In the near future, the burden of Social Security, Medicare, and Medicaid will become too much. Solutions to this problem are being explored but will most likely result in higher debt. There will have to be many different approaches to the solution to this problem. No single policy will adequately address it. Identify the strengths and weaknesses of the prescription drug program enacted under the Bush administration. Describe federal healthcare programs for the poor and aged. Explain the problem with providing universal healthcare.

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IV. Student Assignments – Post-Lecture A.

Class Discussion Questions

¾17.1 Identify the conditions under which policy innovations are created • • • • • • • • • • • • • •

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How is it determined when economic and social policies are necessary? How have policy entrepreneurs assisted in developing new public policy? How does a focusing event shape public policy? What is the difference between policy and politics? What role do ideas and values play in the creation of American public policy? What are the three types of public policy? Describe the policy process model. What are the key steps in the policy process? Are there any unnecessary steps in the policy process? Are there any steps that should be added to the policy process? What recent problems in American society have been addressed by policy decisions? What issues have remained in the forefront of public policy over the course of the past five years? What issues are simply avoided or seem to fade from the agenda? What policy changes do you disagree with but accept? Who should have the power to interpret policy decisions? Why? Who should not have this power? Why not? Which view of the policymaking process represents the most efficient model? Why? What policy changes of recent years can be categorized as having a sweeping impact? Why? Monetary policy is primarily set by appointed officials (the Fed), while fiscal policy is primarily established by elected officeholders (the president and Congress). Ask your class to consider whether the difference between elected and appointed policymakers appears to have an effect in setting our nation’s economic policy. Also, what does the accelerating pace of economic change suggest about elected leaders’ ability to manage the economy through fiscal policy? Have students examine the platforms of the Republican and Democratic Parties. Do the parties state particular economic goals? What policy positions do they espouse to reach those goals? Ask the students how to examine carefully how an end to international trade (both exports and imports) would affect their lives. Remind them to think in both macro and micro terms; that is, how it would affect the country and themselves personally as citizens of the country? For class discussion, have students debate the value of a balanced budget amendment. In particular, have them examine the costs and benefits of balancing the budget given that most of the budget expenditures are mandated. Insist that students identify which benefits and which obligations should be the first to go. What is capitalism? Why is it so important in American political culture? What are the negative aspects of capitalism? What policies does the United States use to limit these negative consequences? Ask students to discuss which areas of the economy could do without government regulation. Discuss how a nation’s economic wealth helps to reduce political conflict. Copyright © 2011, 2009, 2007 Pearson Education, Inc. All rights reserved.

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Imagine that you are Chair of the Federal Reserve. What policy would you implement to battle “stagflation” (inflation and recession at the same time)? What is Gross Domestic Product and what does it consist of? Why do some politicians use the unemployment rate to measure the health of the economy? In 2008, the “Big 3” American automakers, Chrysler, Ford, and General Motors, approached the United States government for assistance. Do you think globalization is one of the reasons the companies are in trouble? Why or why not? Are Social Security taxes “progressive” or “regressive”? What are the economic ramifications of having a national debt of $13.6 trillion? Have the September 11, 2001 terrorist attacks on America altered our international trade and economic practices/policies? If so, how? Do you think that tax cuts can produce enough economic growth to counter-balance the deficits caused by lost revenue? Why or why not? What pro and con arguments can be used regarding a national sales tax? What is the public policy justification for the multi-million dollar farm subsidy programs sponsored by our government? Are trade deficits with Japan and China in the American national interest? Which argument makes more sense, protectionism or free trade? In retrospect, was ratifying NAFTA a good move for the United States? Is there an argument to be made for returning to a system where federal government department heads submit their budget requests directly to Congress, rather than to the president? Justice Oliver Wendell Holmes Jr. is quoted as saying that no one is morally obligated to pay more taxes than he legally owes. The thrust of that quote is that it is morally acceptable to take advantage of tax loopholes. What do you think? Should people be allowed to choose whether they want to buy safer, regulated products or pay less for less-safe, unregulated products? How should government regulators strike a balance between the costs of regulation and the benefits of regulation? How well has deregulation worked as a solution to the problems of government regulation? Is the public still being adequately protected? Are there some industries where national regulation will never work, and so fifty different sets of regulations are inevitable? Should government be the “guarantor of last resort” when risky practices in large business sectors result in crisis and potential collapse? Or, should government regulation temper the extremes of risk-taking, at the potential cost of slowing economic growth? What opportunities do Americans have to get involved with economic policy? How can businesses in the United States increase production and raise the GDP? If you could create a budget for the nation, what would you like to see as a top priority? Are there things in the current budget that are unnecessary? Should taxes be increased for the upper classes and decreased for the lower classes? Why or why not? Should the self-employed receive a tax break and not pay the full Social Security tax? Why or why not? What is the difference between payroll and income taxes? Copyright © 2011, 2009, 2007 Pearson Education, Inc. All rights reserved.

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Are corporations unfairly taxed? Why or why not? Should the government have the power to tax? Why or why not? What are the pros and cons of a flat tax rate? What changes are likely to occur in the Social Security program? Will there be benefits from the program when you retire? Why or why not? Is money wisely spent in the defense sector? Should it be the job of the government to provide benefits for those who are struggling financially? Why or why not? How hard is it to balance inflation and the amount of money in circulation? Have you experienced a time of inflation in your lifetime? If so, when? What factors does the Fed consider closely when determining what adjustments to make in anticipation of a problem? What recent fiscal policies have been passed that might be viewed as short term? How do regulations impact the average citizen? How can you become more involved in the shaping of economic policy? Is it really important to get involved? Identify the programs in the United States government budget that do not fit the definition of a “free market economy” principle. Is the United States predominantly a free market economy, or do you believe it to be predominantly another form of economy? If so, what? Justify the idea that capital gains deserve a lower tax rate than “working income.” How does the United States compare economically to other competitive nations? What appear to be the weaknesses and strengths of each nation? Why did the Founders place the majority of economic control in the hands of Congress? How has the president come to have so much power (or at least the appearance of it) over the budget? Did the George W. Bush tax cut help the American economy? Why or why not? Which income level, if any, should pay the most taxes? Or, should all income levels pay the same rate? Explain your argument. With so many uncontrollables in the budget, there are relatively few areas where cuts easily can be made. Ask students to suggest ways to remedy this. Discuss whether Congress would ever pass a constitutional amendment granting the president the line-item veto. See if students can explain the difference between debt and deficit. Discuss why voters appear to be tolerant of the national debt. Discuss how the Federal Reserve System controls the money supply by its control of interest rates. Ask students to consider the safety of riding in an elevator, flying in an airplane, or taking an aspirin in a totally unregulated society. Ask students to discuss how a company might be forced to quit polluting the air or water using only “market forces.” Discuss worker safety. Is it generally cheaper to have an unsafe work environment than a safe one? A president can cripple a regulatory agency under the guise of “trimming the fat” from its budget. Do any regulatory agencies seem to be subject to this sort of budget-trimming? What are the three indicators of economic health? Copyright © 2011, 2009, 2007 Pearson Education, Inc. All rights reserved.

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How do economists recommend responding to an economic fluctuation? What constitutes an economic recession? Compare the reality of the current budget process to what is perceived by the public. What are some reasons for this incongruence?

¾17.2 Assess efforts by the federal government to manage the domestic economy •

What actors are involved in policy concerning increasing vehicle fuel efficiency?

¾17.3 Trace the development of the largest federal social program, which assists the elderly • • • • •

Should those members of the over sixty-five age group who paid into Social Security programs, but who have alternate good incomes, be taken off Social Security? Why? Justify your conclusion. Why was social security created? What are the benefits of private investment accounts? What are the challenges facing the social security system? Compare social security to private investment accounts.

¾17.4 Analyze changes in welfare policy within the United States • • • • • • • • • • •

Is the use of nonprofit local organizations to provide public services, funded in part by government money, the most efficient and effective means of providing these services? Should private charity play a larger role? Should government set up its own local offices to provide services? Why, or why not? Argue whether or not poverty is the fault of those who are poor. Are there plausible alternative reasons why people are poor? Is it the responsibility of government to provide some minimum standard of living for all citizens? Conservatives like to leave social policy at the local level, where programs can be adapted to local circumstances. Liberals say that if you do that, the problems will never be addressed. Who has the better argument? Should all health care and welfare reform models look the same from state to state, or should each state be free to experiment? Should the federal government encourage welfare recipients to get married? Why, or why not? The central article of faith in Lyndon Johnson’s Great Society agenda was that social and economic problems could be solved, or at least reduced, by government action. Is this true? Hold a class discussion about policies designed to increase income security? Ask the class to consider the following questions on Social Security: Should Social Security be kept the way it is or should there be reform? Why are there different opinions as to whether Social Security is in trouble or not? Ask students to discuss how the Obama administration will handle social policy, in comparison to the Bush administration. Copyright © 2011, 2009, 2007 Pearson Education, Inc. All rights reserved.

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Ask students if they think social security will still be available when they retire. Why or why not? What is needed to reform the system? Have any efforts been made since President Bush’s attempt to introduce privatized accounts? How do Cost of Living Allowances (COLAs) continue to assist the affluent recipients of Social Security? Discuss the political power wielded by senior citizens and how this shapes social welfare policy. How do senior citizens as a voting bloc wield political power? Discuss political factors and concerns that lead to the passage of the Welfare Reform Act of 1996. Why do some people fear that welfare programs create a permanent underclass? What did critics say about the Welfare Reform Act? Is it the government’s responsibility to provide assistance to the poor, the elderly and the uninsured? Is it the government’s responsibility to financially assist people? How is it determined who will receive welfare benefits? How is poverty measured? Do entitlement programs encourage or discourage people to seek employment? How do America’s entitlement programs compare with those of Europe? How is it determined who will receive welfare benefits? Compare Aid to Families with Dependent Children (AFDC) to Temporary Assistance to Needy Families (TANF). How did President Clinton and Congress reform welfare? What is meant by the “American creed”? What is Lyndon Johnson’s Great Society? Discuss the impact of rising college costs on low-income students. Will these costs effectively eliminate those potential students from the higher educational system? The question of the appropriate role of government in the provision of medical care has become an increasingly important part of the national debate. For example, a growing elderly population is likely to press political decision-makers to transfer public expenditures from programs that serve the young to those that serve the old. How do you think younger working taxpayers will react to the increased burdens that they will be required to carry? Is there any solution that will be fair and equitable to both young and old? Discuss the welfare system in light of the charge that too much dependence on government undermines self-reliance. What is the right amount of welfare and who should decide? Can private charities replace the current, modified system of welfare in America? Why or why not? What are the issues that prompted the creation of the Medicare system? What are the goals of the system? What are the differences between Medicaid and Medicare?

¾17.5 Trace the federal government’s expanding involvement in education • •

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What is the purpose of the No Child Left Behind Act? Compare charter schools with voucher programs. Are private schools better than public schools? Should education be a right? If so, would you support amending the U.S. Constitution? Should the federal government become the primary funder of education, with state and local governments acting as the providers of services? Discuss the differences between incremental policy and punctuating policy by using the No Child Left Behind Act as an example of punctuating policy, and the Corporate Average Fuel Economy (CAFÉ) fuel mileage standards as an example of incremental policy. Do you favor national standards for education? What would be so terrible about a loss of local autonomy in the realm of education? What should be done to improve the No Child Left Behind Act? Will such reforms pass in Congress? Why, or why not?

¾17.6 Evaluate the government’s efforts to provide health care to the poor and aged • • • • • • • • • • •

How does the American healthcare system compare with the European system? Why is comprehensive healthcare difficult? Who should pay for healthcare? Should care be rationed for the elderly? Should the expense of caring for high-risk premature births be borne by the public, or by private insurance? Are Medicare and Medicaid overused and abused by the public? Why or why not? Compare the state of the American health care system to that of other developed nations. How has Medicaid tried to control costs? Were these measures successful? Cite the causes for inadequate health care programs in this country. Make two (2) recommendations to address one of these causes and evaluate your approach. What are the major prescription drug benefits under Medicare passed in the 2004 law? Compare popularly accepted reasons for poverty today (single female heads of household, crime, drugs, poor education, etc.) to those in past generations. How do you feel about the fact that Social Security programs may not be available to you, assuming you will retire after 2020? How might this be remedied? What are your concerns about health care? What if you found your family had to face a catastrophic health care problem today? Could you afford it? Would you favor or oppose national health insurance? Explain.

× Return to Chapter 17: Table of Contents

Class Activities

¾17.1 Identify the conditions under which policy innovations are created •

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Choose a number of salient political issues or problems and divide students into groups. Each issue should be represented by two groups. Ask groups to create a policy proposal that will address their issue or problem. One group should devise a policy based on equality of process, while the other should develop a policy based on equality of outcomes. Have each set of issue groups present and debate their policy proposals. Use the group debates to launch a discussion of ideas and values in public policy, with a particular focus on the relative value that democratic societies assign to means and ends. Ask students to brainstorm about a policy issue that is important to them or their generation, but not yet salient with the general public. Direct students to act as policy entrepreneurs by developing an action plan that will bring attention to their issue (e.g., write letters to multiple newspapers, distribute pamphlets or other advertisements that bring attention to the scope of the problem, develop a website or weblog that details the problem and asks for support, or speak to local political officials about the problem). Have students put at least one element of their plan into action. Ask students to brainstorm policy issues that they think are important. Then ask them to vote for the top three issues. Next, ask students to think about what should be done in each area, and if they would be willing to pay more in taxes to support the policy they want to see enacted. Ask students to debate the relative power of interest groups, congressional committees, and bureaucratic agencies. Which generally has the most influence over policy and why? Ask students to “walk through a typical day,” and identify all of the possible ways in which government is involved. Then create a web from each suggestion that lays out the relevant agency, congressional committee, and an interest group that might be involved in each particular policy area.

¾17.2 Assess efforts by the federal government to manage the domestic economy •

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Give your class an assignment to write a one-page essay on the following question: Does an increase in regulation mean a decrease in our individual freedom? After obtaining student permission, make copies of two or three of the essays. Distribute them to the class and use these essays as a basis for class discussion. Have the students write an essay on how the War on Terrorism has influenced the National Budget. Require that the students take a side as to the costs and benefits. What has it done to the national debt? Where is the bulk of the money being spent? There has been a tendency to follow only those parts of the Keynesian doctrine that call for deficits in bad economic times to stimulate the economy, and to ignore advice about running budget surpluses in good economic times (sometimes called “one-eyed” Keynesianism). Ask your students to examine the possible consequences of this tendency. Invite a staff member from a representative’s office to brief the class about the current status of the federal budget. Who’s involved? Who wants what out of the budget? If a representative or their staffer is not available, consider inviting a state senator or

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representative to discuss the same questions, as well as differences between the federal and state budgetary process. Make a list of entitlement programs funded by the federal government. Create a chart of economic cycles from 1838 to 2008. A major concern of the twentieth century was the business cycle. Monetary and fiscal policies had minimized these swings to some extent, until the subprime mortgage crisis and subsequent economic downturn in 2008. Have students test whether the 2008 economic crisis is part of a boom/bust cycle or something else by looking at historical economic trends and comparing them to the 2008 crisis. The huge national debt has led many people to suggest a number of reforms in economic policy. Have students discuss the problem of the debt and deficit as well as the reforms that have been proposed. You could stage a debate: Have one side marshal the arguments that debts and deficits have powerful uses (Keynes, et al) and the other side argue that they are bad (Friedman, et al). Support the viewpoint of a protectionist or a free trader. Be prepared to present arguments for your side.

¾17.3 Trace the development of the largest federal social program, which assists the elderly • • •

Have students devise a new Social Security system for their generation and defend their approach. List and describe the differences between social insurance programs and public assistance programs. Prepare a chart indicating the key difference in the demographic characteristics of the recipients of social insurance and public assistance programs.

¾17.4 Analyze changes in welfare policy within the United States • •

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Have the class generate a list of words describing poor people. Compare these with those describing wealthy people and middle-income people. (This can be done with the class as a whole, or three groups can each construct one of the sets.) Few students have a real idea of the costs of living. Few know what it means to be really poor—though most know it from the perspective of being a student. With students’ verbal contributions, develop a cost-of-living chart, based on needs for a family of four in the community where the college exists. Include mortgage/rent, food, medical costs, insurance, gas, clothing, entertainment, car expenses, and “savings.” Use median costs in the community. How close to the poverty line does the family of four find itself with both family members working at the average local income? Assign each student responsibility for creating a new welfare program as an outside-of-class project. Have students trade their program with another and evaluate it. What are the costs of living comfortably in your community? Create a list of the costs either individually as an outside assignment, in several groups, or in the class as a whole. What costs listed would be the first to go? Which expenses / costs would go as you move on down the line to poverty, or even homelessness?

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Have students develop a working budget for a family of three living at the poverty line. Conduct a class discussion that contrasts these budgets with students’ current lifestyles. Give your class an assignment to write a one to two-page essay on the following question: Will the Social Security system remain solvent during the lifetime of each student in the class? If not, what should be done to assure its solvency? After obtaining student permission, make copies of two or three of the essays. Distribute them to the class and use these essays as a basis for class discussion. Arrange for the opportunity to visit firsthand with the director of your local social services department, health department or school board office. Discuss with them the issues and programs raised in this chapter as it pertains to education, welfare or social security. Arrange for them to provide you with local statistics on recipients and services offered to the citizens of your area. Assess the situation and ask open-ended questions that will allow you to get a better understanding of the challenges facing your area. Have students create a family budget using the federal definition of poverty: a family living on or below $20,614 a year.

¾17.6 Evaluate the government’s efforts to provide health care to the poor and aged • • • • •

Explain distributive, redistributive, and counter-distributive policies by using Social Security, Medicaid, and the 1993 Budget Reconciliation Act to illustrate how each type of policy functions. List the several major groups relevant to health care policy and summarize their views. Have students read and debate the “Patient’s Bill of Rights.” Have students prepare a panel discussion on the costs and benefits of the Canadian health care system. Do current discussions about providing coverage for the uninsured mean an improved system over the Canadian model? Ask your class to try to explain the contradiction between the high costs that Americans pay for health care (the highest costs in the world) and the fact that health care statistics show that Americans lag behind other countries in some key health care categories such as life expectancy and the infant mortality rate. Would your students make changes in the basic system, or are they satisfied with the process as it exists? Consider asking students to discuss these issues with members of their families or friends from different generations to see if individuals’ experiences and evaluations differ by age group.

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Research Assignments

¾17.1 Identify the conditions under which policy innovations are created •

Have students locate public opinion data on public support for government programs (i.e., spending questions), using data sources such as the National Elections Studies or General Social Survey, available on the Internet. Have students assess the extent to which the public supports reducing expenditures in various areas, as well as the extent to which the level of support depends on the exact question wording used. Based on these aggregate patterns, do students believe that support for reductions in spending generally applies to all government spending—or only spending on programs that benefit others?

¾17.2Assess efforts by the federal government to manage the domestic economy •

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Ask students to research the ten-year fiscal outlay history of three policy areas, such as defense, education, and Medicare. How much government money has been spent in each of these areas? What do they think are reasons for changes in spending in each of these areas? Have changes such as a new president, political shifts in majority party control of Congress, and recessions had significant effects on spending? Have the students investigate each political party’s policy stances on the environment. Assign an essay where each student compares and contrasts the two parties and explains which is closer to his or her views on the environment. Have students investigate the quality of the environment in their local community. How clean are the air, the drinking water, the lakes, and the rivers? Require the students to interview local officials for this information, as well as to document what they can through government records and local environmental groups. Have students go to the Environmental Protection Agency (EPA) website and investigate how the agency works and what issues are currently on its priority list. There is a huge debate in this country over the pros and cons of a constitutional amendment requiring a balanced budget. Have students do some research on this topic using the Web. Have them look at the 27 amendments we have and how a budget amendment would fit in. Ask them to discover who supports and who opposes such an amendment in Congress, among interest groups and among governors, and be prepared to discuss why each actor supports or opposes. The Chairman of the Federal Reserve Bank is often described as the most powerful man in America. Have students do some research using the Web to determine why he is so powerful, who he is, and what his policies are. Have them compare our Fed to the Central Bank of another country. Do they have similar powers? (You might suggest the Bank of England, European Central Bank, or Bank of Japan.) Have students use the Web to review the bills on economic policy that are currently under consideration by Congress., and then to write a paper that discusses them. Create and defend a politically realistic plan for containing the rising costs of entitlements. Should entitlements be “means tested”? Why or why not?

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Have students look at blogs that debate the nature/role of government in the economy. They should try to find at least two left-leaning and two right-leaning blogs and compare the approaches to the economy. U.S. citizens frequently express concerns about the size of foreign investment in the United States (even though it still remains below that of most other economic powers). Survey your class to see what their reactions would be if other nations placed restrictions on American investments. An interesting class report could be based on U.S. resentment of French policies under Charles DeGaulle, at a time when the United States still had a positive international balance of payment and the French feared American intrusion into their economy and culture. As a library assignment, ask students to research some of the methodological issues surrounding our standard economic measures such as unemployment, inflation, and the consumer price index. In what ways are these measures biased? What don’t they measure about the economy? Are there any alternative measures of economic health that should also be considered in economic policymaking? Ask students to prepare briefs on current economic/regulatory issues being considered by Congress or regulatory agencies. Then have them research who supports regulatory change, the nature of such proposals, and who opposes the changes. Have students access a Web site that provides simulation of the federal budget or provides students with other budgetary tradeoff or analysis games. (An Internet search will reveal many.) Develop a current “balanced” budget. Have students compare their decisions in class, debating the value of their expenditure and revenue choices. Look at the U.S. National Debt Clock on the Internet (located at www.brillig.com/debt_clock). Check the same website a few days later. How much change has occurred? There are several interesting simulations on the Internet, including some that permit you to play “what if” scenarios. Select one and see what happens as you change various parts of the budget. Be sure to notice the effect that your changes may have on other parts of the budget. On some occasions, the nation’s monetary policy has appeared to be moving in a different direction than fiscal policy. What do you think would account for differences in approach? (Hint: Think about the fact that monetary policy is primarily in the hands of appointed officials, whereas fiscal policy is primarily set by elected officeholders.) Find information about CAFTA, the Central American Free Trade Agreement. Which countries would be involved, and do you think this would help or hurt the overall GDP of the United States? Use the Internet or another electronic database to find out President Obama’s tax policy. Is he more in line with Reagan, G.H.W. Bush, Clinton, or G.W. Bush? Research the process the Clinton administration used to balance the budget. What effect did the Republican takeover of Congress have on balancing the budget? Would Clinton and the Democrats in Congress have balanced the budget if they were still in control? Study a microcosm of the national economy. Provide students with information about your state or local economy or have students research the information. Economic indicators may include the cost of living (as a way to measure the local CPI and inflation), unemployment rate, gross state product, wage rates, median family income, and state revenue and spending

• • • • • • • • •

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figures. Divide students into three groups representing monetarists, Keynesians, and supplysiders; have each group make recommendations to improve the local economy. Research and create a vocabulary list with key terms and definitions concerning economics. Find a recent news article about the income tax and write a short commentary on the views expressed in the article. Research the history of the Social Security tax. Does it serve the purpose it was intended to serve? Using the Internet, research, compare, and contrast two current proposals to lower the federal deficit. Research periods of high inflation in United States history. What conditions produced the highest inflation? Search the Internet to see what recent regulations have been passed. What was the impact? Research and determine what the current federal deficit and the current U.S. debt are. Write an essay outlining the difference between the two. Question your friends and family about the federal deficit. How many of your friends and family are aware of the problems? What solutions have they considered? Ask each student to write a list of problems with each tax method used in this country. Conclude the paper with a tax that might be agreeable to the majority. What would be its problems with the minority? This assignment can be completed inside or outside of the classroom. Give students an economic issue to discuss, from the current news. Have one group of students look at the OMB Web site and another group look at the CBO Web site. Ask them to analyze the different perspectives and explain why they differ. Have the students simulate a Federal Reserve Board meeting. Have students do some preliminary research on the Fed Web site and other Web sites with economic policy orientations. Supply several copies of the Wall Street Journal (or other major newspaper with good economic coverage) and have the students determine whether they (as the Fed) should raise or lower interest rates and why. Assign students to get a list of the top corporations that pay little or no income tax. Why do they have little or no tax liability? How much of their profit is distributed to their stockholders in the form of dividends –that the stockholders then have to pay tax on? Should those profits be taxed twice –by taxing the corporation and then the stockholders? Have students write a brief report on the Government Accountability Office (GAO). Have students write a brief report on Keynesian economics. Compare this economic theory of demand-side economics to the theory of supply-side economics. Give your class an assignment to write a one-page essay on the following question: Does an increase in regulation mean a decrease in our individual freedom? After obtaining student permission, make copies of two or three of the essays. Distribute them to the class and use these essays as a basis for class discussion. The United States is a mixed free enterprise system. How many other countries of the world have similar economies? Are they as successful as that of the United States? Do some research to determine the answers to these questions. What other types of systems exist? Are any of them “successful”? Why or why not? In your search engine, type “distribution of wealth united states” to get information on how wealth and income are distributed in the country. One such site is Who Rules America? Copyright © 2011, 2009, 2007 Pearson Education, Inc. All rights reserved.

•

(http://sociology.ucsc.edu/whorulesamerica). How do you reconcile the economic data presented with the American value of political equality? Is there a difference between equality of opportunity and equality of outcome? Interview your grandparents or older people in your neighborhood about the impact of environmental problems/laws. Do they have different ideas than you do? Why do you think that might be?

¾17.3 Trace the development of the largest federal social program, which assists the elderly •

Ask your students to research the issue of Social Security privatization. Given the significant downturn in the stock market that occurred in 2008, would working students feel comfortable with such a plan? The issue could be debated on a class panel or even between two student teams.

¾17.4 Analyze changes in welfare policy within the United States •

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•

One of the current hot topics is welfare versus workfare. Assign each student or group of students a particular state to research on the Internet. Students should try to find out how “their” state deals with welfare/workfare. Have students write a summary of how the program is supposed to work. Then, ask for the evaluation of the program. In the last five years, many of the responsibilities for social welfare policies have been delegated to the states. Have students choose three states and find out what they are doing regarding social welfare. Are the states different or similar in their approach? Why? Research the history of the “poverty line.” What is the origin of this construct? Contact your local Department of Human Services and find out what the average welfare payment is in your county. Using this figure, subtract from it the average cost of housing, food, transportation, utilities, etc. Summarize your findings to determine if one could have a “decent standard of living.” on this amount. Scrutinize newspaper or newsmagazine articles related to social insurance and public assistance programs. Social welfare policies divide political parties. Prepare a research report in which you detail the key battles over social welfare policy from the administrations of George H.W. Bush to Barack Obama. Research the social problems plaguing your county or state’s largest city. What reform programs have local or state leaders suggested to remedy these problems? Report on your findings. Develop a writing assignment that requires students to interview a social welfare professional OR an individual currently or recently living in poverty. Have students describe the nature of poverty from either of these perspectives. How does it differ from what they expected? Assign students to read the Welfare Reform Act of 1996. What values regarding families and religion are emphasized in the text of the act? How is poverty portrayed? Ask students to write an essay on these questions, and to comment on whether Gilens’s argument regarding race and attitudes toward welfare are relevant.

•

There has been a debate recently about how appropriate the current poverty line is. Have students research the debate and find out how the U.S. comes to this number and how other countries compute the statistic. Discuss the ramifications of different outcomes if the poverty level were refigured. American social welfare programs are more limited in scope than is the case in other democracies. Divide your class into three or four research groups, and assign a country (including the United States) to each group. Ask each group to review current social welfare policies of the assigned nation. The group should focus on social welfare policies, but should also go beyond the “obvious” and look at advantages and disadvantages of the system. For example, what effect has the system had on the budget, and what is the level of taxation? One member of each group should be expected to give a brief presentation in class the following week outlining the research group’s conclusions. For a reading and writing connection, have students write an essay where they must identify and investigate the number of transfer payments they have benefited from either as direct payments or as benefits in-kind. Then have students evaluate the importance of each of these benefits to the successes or failures they have experienced personally. Finally, have students suggest what they would have to do if these services were not available to them when they needed help.

¾17.5 Trace the federal government’s expanding involvement in education •

If teaching at a state institution, have students investigate the sources of funding of higher education in the state. What proportion of costs does their student tuition cover? Who pays for the rest? What justification is there for state subsidies of higher education, i.e., who benefits?

¾17.6 Evaluate the government’s efforts to provide health care to the poor and aged •

• • •

Inequalities in health and health care are major problems in America. The textbook points out that altogether over 46 million Americans lack health insurance. Ask students to evaluate President Clinton’s Health Security Act proposal both from an economic standpoint and from a perspective of societal need. What changes have occurred in health policy and politics since the failure of Clinton’s proposal? Document these changes by collecting newspaper articles on significant legislative and private sector initiatives. Ask students to investigate the current status of Health Maintenance Organizations (HMOs) in this country. What do public opinion polls reveal about the level of satisfaction? Research the Medicare prescription drug program known as the “Donut Hole.” Report on our findings. Critics of the Bush drug plan suggested that it was favorable to pharmaceutical companies. What types of evidence do they offer to support this?

× Return to Chapter 17: Table of Contents

V. Quantitative Assessment Administer Chapter Exam (see Test Bank, Chapter 17) × Return to Chapter 17: Table of Contents

VI. Resources for Further Study A.

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× Return to Chapter 17: Table of Contents B.

Articles

1. Agnone, J. M. (2007, August). Amplifying public opinion: The policy impact of the U.S. Environmental movement. Social Forces. 2. Bray, J. (1996, October–December). Making economic policy. Political Quarterly. 3. deLeon, P. (1999, Spring). Objectivity versus narrative coherence: Science, environmental policy, and the U.S. data quality act. Journal of Policy Analysis and Management. 4. Dileo, D. (1996, Summer). Likely effects of devolution on the redistributive character of policy agendas. Spectrum, 69(3), 6–15. 5. Durant, R. F. (2006, November). Agency evolution, new institutionalism, and hybrid policy domains: Lessons from the greening of the U.S. military. Policy Studies Journal, 34(4), 469–490. 6. Feldstein, M. (1995, Fall). The social security explosion. The Public Interest, 81. 7. Frederickson, H. G. (1994, September–October). Can public officials be said to have obligations to future generations? Public Administration Review, 54(5), 457–464. 8. Hynes, R., & Posner, E. A. (2002, January). The law and economics of consumer finance. American Law and Economics Review, 4(1), 168–207.

9. Kamerman, S. B., & Kahn, A. J. (2001, March). Child and family policies in the United States at the opening of the twenty-first century. Social Policy and Administration, 35(1), 69–84. 10. Manning, N. (2006, August). The origins and essence of U.S. social policy: On taxonomies, time and transfers. Global Social Policy, 6(2), 155–172. 11. Mintz, A. (1989, December). Guns versus butter: A disaggregated analysis. American Political Science Review, 83(4), 1285–1293. 12. Orloff, A. (2002, February). Explaining U.S. welfare reform: Power, gender, race, and the U.S. policy legacy. Critical Social Policy, 22(1), 96–118. 13. Rabin, J. (Ed.). (1993, January–February). Public debt: A symposium. Public Administration Review. 14. Rigby, E. (2007, November). Same policy area, different politics: How characteristics of policy tools alter the determinants of early childhood education policy. Policy Studies Journal, 35(4), 653–669. 15. Simone, M. & Fernback, J. (2006, April). Invisible hands or public spheres? Theoretical foundations for U.S. broadcast policy. Communication Law and Policy, 11(2), 287–313. 16. Taras, D. (2007, September). Public policy: choice, influence, and evaluation. Journal of Labor Research. 17. Taylor, A. (2004, January 17). With half-trillion in red ink, U.S. Inc., looks bad on paper. Congressional Quarterly Weekly, 132. 18. VanDoren, P. (1989, May). Should congress listen to economists. The Journal of Politics, 51(2), 319–336. × Return to Chapter 17: Table of Contents C.

Media

1. A Job for the World. (1995). Films for the Humanities and Sciences. Provides an overview of how world leaders have reacted to unemployment, underemployment, and an unstable work environment. 2. Bill Moyers Journal: The Business of Poverty/Facing Up to the Economy. (2008). Films for the Humanities and Sciences. Bill Moyers examines corporate practices that may be exploiting the working poor.

3. Bill Moyers Journal: February 15, 2008. (2008). Films for the Humanities and Sciences. Bill Moyers examines the impact of the federal debt on future generations with members of PublicAgenda.org. 4. The Environment: When Politics and Industry Intersect. (2000). Films for the Humanities and Sciences. This two-part series investigates what goes into lobbying for, and complying with, the legislation designed to ensure green business practices. 5. Failure to Protect: A National Dialogue. (2003). Films for the Humanities and Sciences. This award-winning seminar examines child welfare policies. 6. Getting Out of Business: Privatization and the Modern State. Films for the Humanities and Sciences. A video program which examines government benefits to industry through providing employment and infrastructure. 7. The Great Health Care Debate. (1994). Films for the Humanities and Sciences. Featuring Bill Moyers, this film examines the failure of President Clinton’s health care reform bill, highlighting the role of the media and special interest groups. 8. The Lost City of New Orleans: A Case Study. (2006). Films for the Humanities and Sciences. This program examines the environmental vulnerability of New Orleans and debates the question whether New Orleans is worth rebuilding. 9. Minimum Wages. Films for the Humanities and Sciences. This film, featuring Bill Moyers, examines how global economic changes are changing the fortunes of the American working class. 10. Old Ways, New Game. Films for the Humanities and Sciences. This program focuses on the consequences of global competition for American workers and corporations, highlighting the effects of competition from Germany and Japan. This is part of the Challenge to America: Competing in the New Global Economy series. 11. The Politics of Addiction. (1998). Films for the Humanities and Sciences. This program shows how the views of scientists, doctors, counselors, and drug addicts are woven into public policies on drug addiction. 12. Poverty in America. (2007). Films for the Humanities and Sciences. This three-part series looks at the causes and effects of poverty in the United States while discussing possible solutions. 13. Welfare Reform: Social Impact. (1997). Films for the Humanities and Sciences. This show traces the history of welfare in the U.S., beginning with the Depression. Includes interview with Wisconsin Governor Tommy Thompson. Part of the America’s Promise: Who’s Entitled to What series.

14. Welfare Reform: Social Responsibility. (1997). Films for the Humanities and Sciences. This program weighs the financial savings of social welfare reform with our responsibility to help those in need. Part of the America’s Promise: Who’s Entitled to What series. 15. Who Owns America? Economic Crisis in the United States. (2007). Films for the Humanities and Sciences. This program examines the financial pulse of America through the eyes of noted economists and common citizens. 16. World-Class Health Care: Why Isn’t the U.S. the Best? (2003). Films for the Humanities and Sciences. This ABC News program examines the advantages and disadvantages of the Canadian and American health care systems. × Return to Chapter 17: Table of Contents D.

Web Resources

1. Administration for Children and Families. http://www.acf.hhs.gov/ 2. The Alliance for Justice discusses nonprofit advocacy for public policy changes: http://www.allianceforjustice.org/nonprofit/public_policy/index.html 3. Almanac of Policy Issues has a wide array of information about policy related issues and has numerous links to more information. http://www.policyalmanac.org/social_welfare/index.shtml 4. The American Enterprise Institute is a conservative think tank that addresses a variety of issues. Its Web site offers information on their calendar of events, a variety of articles, and links. http://www.aei.org/ 5. Association for Public Policy Analysis and Management. http://www.appam.org/home.asp 6. The Belfer Center for Science at Harvard has a curriculum box entitled “Oil Shockwave” (created by SAFE: Securing America’s Energy Future) that is great for classroom use. I have noticed a bias in the product but with preparation you can minimize it and the benefits of using this (it has DVD news announcements and roles already spelled out…) outweigh the problems. It is primarily aimed at energy and national security issues (the main bias I see…it ignores environmental issues) but can easily be tweaked to focus on environmental concerns as well by adding roles such as EPA administrator, Secretary of the Interior, the chairs of environmental committees in the House and Senate, etc. Available free (shipping charges are about $10) through. http://www.oilshockwave.com/ 7. The Brookings Institution is the oldest think tank in America and has the reputation of being fairly moderate. Its Web site offers policy briefings, articles, books, The Brookings Review, discussion groups, and links. http://www.brookings.edu/ 8. Bureau of Economics Analysis. http://www.bea.gov/ Copyright © 2011, 2009, 2007 Pearson Education, Inc. All rights reserved.

9. The Cato Institute is a libertarian think tank promoting free market ideas. Its Web site offers a variety of articles and links. http://www.cato.org/ 10. Center for American Progress. A prominent liberal think tank with information about social policy. http://www.americanprogress.org/ 11. Center for Public Policy Priorities. http://www.cppp.org. 12. Center on Budget and Policy Priorities provides information on an amendment to require a super-majority in order to raise taxes. http://www.cbpp.org/4-24-01tax.htm 13. Children’s Defense Fund Web site has many articles and links of interest to advocates for issues affecting children and families. They offer a listserv and publications. http://www.childrensdefense.org/ 14. The Concise Encyclopedia of Economics on the Marginal Tax Rate: http://www.econlib.org/library/Enc/MarginalTaxRates.html 15. The Concord Coalition is a nonpartisan, grassroots organization dedicated to eliminating federal budget deficits and ensuring Social Security, Medicare, and Medicaid are secure for all generations; it is founded by Paul Tsongas (D) and Warren Rudman (R). The Coalition Web site offers lots of information about the debt and deficit, as well as some social policy issues. It offers e-mail newsletters, grassroots initiatives, statistics, and more. http://www.concordcoalition.org/ 16. Congressional Budget Office (CBO). Web site offers Congress’s opinions on budget matters including statistics, reports, budget reviews, testimony, and more. http://www.cbo.gov/ 17. The Council of Economic Advisors. Web site offers the Economic Report of the President and CEA publications, as well as basic information about the CEA and its members. http://www.whitehouse.gov/cea/about.html 18. Economic Policy Institute (EPI) is a think tank devoted to economic issues. This Web site offers a variety of reports on economic issues and a monthly newsletter delivered by e-mail. Despite its self-classification as nonpartisan, its board of directors is predominantly leftleaning (liberal). http://www.epi.org/ 19. Federal Reserve Board. Web site has basic information about the FRB, its structure, and purpose. It also has publications, announcements, lists of related Web sites, biographies of members, reports, and statistics. http://www.federalreserve.gov/ 20. Fedstats. -Links to statistics and data from a broad range of federal government agencies, including those most relevant for economic and social welfare policy in the United States. These include the Federal Reserve Board, the Bureau of Labor Statistics, the Social Security Copyright © 2011, 2009, 2007 Pearson Education, Inc. All rights reserved.

Administration, the Bureau of Census, the Bureau of Economic Analysis, and Administration for Children and Families. http://www.fedstats.gov/ 21. Government Accountability Office. http://www.gao.gov/ 22. Heritage Foundation. http://www.heritage.org/ 23. National Association of Schools of Public Affairs and Administration. http://www.naspaa.org/ 24. National Education Association. http://www.nea.org/index.html 25. National Public Radio offers their own assessments, as well as a look at both Bush and Kerry’s opinions about the issues of the 2004 election, including “No Child Left Behind,” Medicare prescription drug benefits, and more. They also offer links to other Web resources about these issues. http://www.npr.org/politics/issues2004/ 26. Office of Management and Budget (OMB). Web site offers budget information, reports, testimony, regulatory policies, and more from the perspective of the administration. http://www.whitehouse.gov/OMB/ 27. Policy Impact. http://www.policyimpact.com/ 28. Policy Studies Organization. http://www.ipsonet.org/ 29. Progressive Policy Institute. http://www.ppionline.org/ 30. Project on Government Oversight. http://www.pogo.org/ 31. Public Agenda Online. A nonpartisan site with comprehensive information about government policies, alternative proposals to solve societal problems, and what the public thinks about existing and alternative policies. http://www.publicagenda.org/ 32. Public Policy Institute of California. http://www.ppic.org. 33. The Regulatory Policy Institute. http://www.rpieurope.org/ 34. Official website of the Social Security Administration. http://www.socialsecurity.gov/ 35. U.S. Department of Education. http://www.ed.gov/index.jhtml. 36. U.S. Department of Health and Human Services offers information about public policies related to health and other issues under their purview. http://www.hhs.gov/ 37. U.S. National Debt Clock. http://www.brillig.com/debt_clock/

38. The U.S. Social Security Administration (SSA) Web site has information, rules, regulations, and policies of the federal government on Social Security both active and proposed. It offers information for citizens, scholars, and recipients. The Web site also offers historical perspectives on Social Security and its funding. http://www.ssa.gov/ 39. The White House Welfare Reform page. http://www.whitehouse.gov/infocus/welfarereform/ × Return to Chapter 17: Table of Contents

Integrated Guide to the Text’s Resources (Instructor’s Resource Manual)

Chapter 18 - Foreign Policy Table of Contents I. Chapter Overview A. Learning Objectives B. Chapter Summary II. Student Assignments – Pre-Lecture III. Lecture Resources A. Lecture Slides B. Additional Lecture Suggestions IV. Student Assignments – Post-Lecture A. Class Discussion Questions B. Class Activities C. Research Assignments V. Quantitative Assessment VI. Resources for Further Study A. Books B. Articles C. Media D. Web Resources

I. Chapter Overview: A.

Learning Objectives

¾18.1 Recount the history of U.S. foreign policy. ¾18.2 Identify the powers of the president to direct foreign policy and the executive agencies that support the president. ¾18.3 Identify the power of Congress to shape foreign policy. ¾18.4 Analyze the role of interest groups in foreign policy-making. ¾18.5 Assess the foreign policy challenges that face the U.S. today. × Return to Chapter 18: Table of Contents B.

Chapter Summary

A Brief History of U.S. Foreign Policy At the heart of foreign policy debates lie concerns about the nation’s grand strategy, the larger, organizing principles that define national interests, outline possible threats to those interests, and recommend military and diplomatic policies to protect those interests. Until the twentieth century, the United States followed a grand strategy of isolationism, a policy of minimizing the nation’s involvement in world affairs. At the beginning of the twentieth century, internal and external pressures were forcing American leaders to reconsider the grand strategy of isolationism. Concerns about trade with European allies convinced the United States to enter World War I. World War I officially concluded with the Treaty of Versailles in 1919. The next 25 years saw great political and economic instability in Europe, with World War II officially beginning on September 1, 1939. In 1945, the United States and its allies emerged victorious after years of war in Europe and Asia. Through the Marshall Plan, the United States supported vast reconstruction efforts in Western Europe, helping its war-torn allies to rebuild their economies, with an eye towards bolstering their security against the Soviet communist threat. In 1949, the U.S. and its allies created the North Atlantic Treaty Organization (NATO) to solidify their common defense. Signatories to the NATO treaty pledged to come to each other’s aid if attacked by the Soviet Union. In the late 1940s the United States adopted a grand strategy of containment. Tensions ran high between America and the Soviet Union for the better part of 40 years, from the end of WWII until the revolutionary year of 1989. This period has been dubbed the “Cold War”. It was not until September 11, 2001 that U.S. foreign policy would fundamentally redefine its grand strategy. The Bush Doctrine is a grand strategy that emphasized an aggressive posture towards nations that provide safe haven for terrorists, preemptive action, and a willingness to unilaterally launch military actions. The Role of the Foreign Policy Bureaucracy No other individual dominates U.S. foreign policy-making as much as the president. As chief diplomat, the president often holds summits with foreign heads of state about the major issues of the day. And as chief administrator, the president appoints many of the individuals who are charged with developing and implementing foreign policy. The State Department oversees U.S. diplomacy, the ongoing negotiation of economic and political relationships between different countries. The State Department is the agency home of diplomats, embassies, and most Copyright © 2011, 2009, 2007 Pearson Education, Inc. All rights reserved.

foreign aid programs run by the U.S. The primary responsibility of the defense department is to defend the nation from external attack. The Department of Homeland Security, created after September 11, 2001, coordinates the work of agencies involved in preventing attacks on the U.S. The Role of Congress Congress enacts foreign policy statutes. Congress legislates on a variety of foreign policy topics: weapons programs, foreign aid, environmental standards, and numerous other issues. Members of Congress pay special attention to foreign trade, for it has immediate implications for the nation’s economic growth, unemployment, and the cost of goods to the average citizen. The key issue in trade policy concerns tariffs, which are taxes upon goods exchanged between nations. Congress’s constitutional authority to declare was places it in the middle of debates over proposed uses of force by the American military. The Senate has the power to confirm individuals nominated to various cabinet-level and ambassadorial posts. × Return to Chapter 18: Table of Contents

II. Student Assignments – Pre-Lecture A. B. C.

Student Required Reading: Chapter 18 – Foreign Policy Administer Reading Comprehension Quiz (see Test Bank, Chapter 18) Chapter Test – After your students have completed their reading assignment, go over these questions with your class to identify any areas you should focus on in your lecture.

Chapter Test 1. How did the grand strategy of isolationism influence U.S. foreign policy in the nineteenth and early twentieth centuries? 2. After World War II, how did internationalism change the conduct of U.S. foreign policy? 3. How do the responsibilities of the State Department and Defense Department differ from one another? 4. Short of military action, what kinds of things can the United States do in response to objectionable behavior by other nations? 5. In the aftermath of the September 11 terrorist attacks, what kinds of changes were made to the U.S. foreign policy bureaucracy? 6. What is the difference between a treaty and an executive agreement? 7. How can Congress influence the conduct of U.S. military policy? 8. What are ethnic lobbies? 9. What are the central subjects of dispute between the United States and North Korea? 10. In what ways does U.S. trade policy pit the interests of consumers and U.S. industries against one another? × Return to Chapter 18: Table of Contents

III. Lecture Resources A.

Lecture Slides

Slide 1

Slide 2

Slide 3

The war in Afghanistan is perhaps the most important foreign policy issue of the day—this chapter opens with a feature about that war and the war in Iraq. Note that President Obama is featured because the president is generally the leader in foreign policy. This is a good way to draw students into the conversation about what foreign policy is.

Chapter 18: Foreign Policy The mix of military, diplomatic, and economic policies that define U.S. relations with other nations around the world

Slide 4 After Reading This Chapter, You Should Be Able To: 9 LO 18-1: Recount the history of U.S. foreign policy. 9 LO 18-2: Identify the powers of the president to direct foreign policy and the executive agencies that support the president. 9 LO 18-3: Identify the power of Congress to shape foreign policy. 9 LO 18-4: Analyze the role of interest groups in foreign policymaking. 9 LO 18-5: Assess the foreign policy challenges that face the U.S. today.

Slide 5

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History of U.S. Foreign Policy 9Early Foreign Policy 9Early 20th Century 9Post World War II 9Post Cold War

To Learning Objectives

Slide 6

LO 18-1

History of U.S. Foreign Policy 9 Early Foreign Policy 9Early 20th Century 9 Post World War II 9 Post Cold War

To Learning Objectives

Since its founding, the United States has formulated policies that define its relationships with other nations. At the core of the debate is the concern for a grand strategy—a plan that determines American national security interests, outlines possible threats to those interests, and recommends military and diplomatic policies to attain them. Until the twentieth century, the United States followed a grand strategy of isolationism, a policy of minimizing the nation’s involvement in world affairs. The alternative policy is internationalism based on the belief that intervention in other nations is sometimes necessary to protect one’s own interests. For the most part, the founders were isolationist; Washington warned against foreign alliances in his farewell address. Although presidents in the nineteenthh century tended to stay out of European affairs, they did actively intervene in the Western hemisphere. By 1900, the United States had become the most powerful country west of the Atlantic Ocean. At the turn of the twentieth century, American leaders were reconsidering isolationism, but the nation’s involvement in world politics was sporadic. Industrialization led to increased trade, and America’s economic ties to Europe grew exponentially with the onset of World War I. The United States entered WWI as a result of those trade ties. President Wilson tried to reshape the world order by introducing his Fourteen Points which called for, among other things, a League of Nations—but the American Senate did not approve the League. The next 25 years saw great economic turmoil in Europe, which led to Germany choosing Hitler in 1933. Italy chose Mussolini, and Spain became engulfed in civil war. The United States stayed distant from all these problems while dealing with its own economic collapse. Japan, Germany, and Italy were very aggressive through the 1930s, which led to WWII.

President Roosevelt was sympathetic to the British, French, and Soviets because he recognized that a Europe dominated by Hitler would be threatening to America’s dominance in North America—but America was still isolationist. When Japan attacked Pearl Harbor, the nation lost its isolationist ideals, and it entered WWII. Slide 7

LO 18-1

History of U.S. Foreign Policy 9 Early Foreign Policy 9 Early 20th Century 9Post-World War II 9 Post-Cold War

Slide 8

To Learning Objectives

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In 1945, the United States emerged victorious with a transformed foreign policy. Isolationism was no longer a viable option, and through the Marshall Plan—a program that provided aid to rebuild Western European economies—the United States worked with its allies in Europe to bolster their security against the Soviet communist threat. The United States and its allies created the North Atlantic Treaty Organization in 1949, a web of democratic allies with a common defense against the Soviet Union. The grand strategy became one of containment: guarding against Soviet power by adopting policies that limited the geographic expansion of Soviet power. This led to the Cold War, which lasted until 1989; the United States and the Soviet Union engaged in diplomatic and economic hostility ,but not full-fledged war. Europe became stable while the rest of the world became hot zones. The United States became involved in the Korean War and in Vietnam. It sponsored coups in Iran, Guatemala, and the Dominican Republic. It supported governments fighting communism in the Philippines, Chile, and El Salvador. Vietnam was the most intense proxy war fought; in the aftermath, both superpowers rethought their stance, which resulted in détente—a period of reduced tensions. Storming the beach head: While under enemy fire in November 1965, American soldiers of the 7th Marines waded ashore at Cape Batangan, Vietnam. Though the United States had sent thousands of “military advisors” to Vietnam in the early 1960s, the Vietnam War began in earnest in the middle of the decade. How did the nation’s experience in Vietnam inform the nation’s conduct of subsequent wars in Iraq and Afghanistan.

To Learning Objectives

Slide 9

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History of U.S. Foreign Policy 9 Early Foreign Policy 9 Early 20th Century 9 Post World War II 9Post Cold War

To Learning Objectives

Slide 10

LO 18-1

The 1980s saw a resurgence of the Cold War as a result of the Soviet Union invading Afghanistan— but shortly into the decade, the Soviet Union began to collapse. Gorbachev passed many reforms designed to shore up the Soviet economy, which led to the Berlin Wall falling in 1989 and the end of the Cold War. This brought forth a major discussion as to what the next grand strategy should be; in the 1990s, the grand strategy included isolationism, selective engagement, cooperative security, and American primacy. This discussion was short lived because on 9/11, the United States was attacked and fundamentally redefined the grand strategy to that of the Bush Doctrine, emphasizing an aggressive posture toward nations that provide safe haven for terrorists, preemptive action, and a willingness to act unilaterally. Making the case for weapons of mass destruction: In February of 2003, Secretary of State Colin Powell came before the United Nations Security Council to make the case for war against Iraq. Just over a year later, Powell acknowledged that the “most dramatic” part of his presentation, that which focused on mobile chemical weapons laboratories, was based on flawed intelligence. Shown here is a slide from Powell’s presentation. Knowing now that Iraq did not possess WMD’s, should the United States nonetheless have invaded the country in 2003?

To Learning Objectives

Slide 11

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Which grand strategy dominated the 19th century? A. Isolationism B. Internationalism C. Containment D. Bush Doctrine

To Learning Objectives

Slide 12

LO 18-1

Which grand strategy dominated the 19th century? A. Isolationism

B. Internationalism C. Containment D. Bush Doctrine

To Learning Objectives

Slide 13

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Foreign Policy Bureaucracy 9National Security Council 9 State Department 9 Defense Department 9 Intelligence Services

The National Security Council was formed in 1947, and assists the president in gathering information from military services and other security-related executive agencies. It coordinates the activities of the armed forces and other agencies to increase national security cooperation. This must include the vice president, the national security advisor, the secretaries of state and defense, and the chair of the joint chiefs of staff. Most presidents include other people—staff assistants.

To Learning Objectives

Slide 14

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Foreign Policy Bureaucracy 9 National Security Council

The State Department is the agency home of diplomats, embassies, treaty negotiators, and most foreign aid programs. It handles diplomacy—the peaceful negotiation of economic and political relationships between different countries.

9State Department 9 Defense Department 9 Intelligence Services

To Learning Objectives

Slide 15

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Foreign Policy Bureaucracy 9 National Security Council 9 State Department 9Defense Department 9 Intelligence Services

The Defense Department is the agency that replaced the Departments of War and Navy and handles the military arm of foreign policy. Its job is to defend the nation from external attack, but it also conducts counterterrorism efforts in the Middle East, provided assistance to war-torn areas in Africa, trained other militaries for anti-drug operations in South America, and struggles to maintain stability in Afghanistan. The Department of Defense is much bigger than the Department of State.

To Learning Objectives

Slide 16

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Slide 17

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Not to be pushed around: While addressing the United Nations General Assembly in 1979, Cuban Premier Fidel Castro points his finger in defiance of a US trade embargo against his country.

To Learning Objectives

Slide 18

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Foreign Policy Bureaucracy 9 National Security Council 9 State Department 9 Defense Department 9Intelligence Services

The State Department Maintains Embassies, Consulates, and other Administrative Outposts in Virtually Every Nation Around the Globe.

To Learning Objectives

To formulate foreign policy, the United States needs reliable information from the world. Since WWII, the Central Intelligence Agency—the cornerstone of U.S. efforts to gather and analyze data in order to confront America’s real and potential enemies—has had primary responsibility for intelligence. Its size and budget is classified. The National Security Agency was formed in 1952 to monitor communications coming in and out of the nation; the agency specializes in code breaking as well. The Departments of State and Defense also have their own intelligence agencies to supply intelligence and analysis to the Joint Chiefs and Secretary of Defense and State. The Federal Bureau of Investigation in the Department of Justice also collects intelligence as well. Given the number of agencies collecting intelligence, the system is not as efficient as it could be. The Department of Homeland Security was created in 2002 to coordinate the work of agencies in preventing and responding to attacks on the United States.

Slide 19

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To Learning Objectives

Slide 20

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The Defense Department has only grown in budget while the State Department has remained the same.

A civilian leader of the US Military: On May 7, 2009, US Secretary of Defense Robert Gates spoke to US troops in the Kandahar province of Afghanistan.

To Learning Objectives

Slide 21

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Which bureaucracy handles diplomacy? A. National Security Council B. State Department C. Defense Department D. Department of Homeland Security

To Learning Objectives

Slide 22

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Which bureaucracy handles diplomacy? A. National Security Council B. State Department

C. Defense Department D. Department of Homeland Security

To Learning Objectives

Slide 23

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Congress and Foreign Policy

To Learning Objectives

Slide 24

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The costs of free trade: With the reduction of tariff barriers and the rise of globalization, numerous US manufacturing plants have relocated abroad. Here, auto workers rally to keep a domestic Chrysler assembly plan open. How should policy-makers weigh the relative costs and benefits of free trade?

To Learning Objectives

Slide 25

LO 18-3

Congress and Foreign Policy

While presidents stand front and center in the shaping of foreign policy, Congress plays a major role. Congress legislates on a variety of foreign policy topics: weapons programs, foreign aid, environmental standards, trade, etc. The most significant trade agreement in recent history is the North American Free Trade Agreement, signed in 1992, which reduces barriers to trade between Canada, Mexico and the United States. It was ratified by the Senate in 1993. Congress also legislates what agencies look like; it can require agencies to work together.

Congress also retains the power to declare war, which it has done five times in the nation’s history. This area of policy is the most controversial, as it is unclear who has the ultimate authority to initiate and oversee the conduct of war. Congress passed the War Powers Act in 1973 to place several legal constraints on the president’s ability to initiate international conflict. The act has not, however, ever been used to end a military operation, and the clock on the president was only started once in 1983.

To Learning Objectives

Slide 26

LO 18-3

Congress and Foreign Policy

9 Enacts Statutes

Congress confirms all nominees to foreign policy posts. This process for foreign policy nominees is different from that for other nominees; they first go through the Senate Committee on Foreign Relations.

To Learning Objectives

Slide 27

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To Learning Objectives

Slide 28

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Congress and Foreign Policy

Testifying on Capitol Hill: US Ambassador to the United Nations John Bolton testified during a Senate Foreign Relations Committee hearing on October 18, 2005. At the time, the committee was considering plans for restructuring the United Nations.

The Senate has the power to ratify treaties, international agreements in which the United States becomes a party once the president has signed it and two-thirds of the Senate has approved. Of the 1500 treaties it has considered since 1789, only 21 were rejected. If the president does not want to deal with the Senate, he can bypass the ratification process by signing an executive agreement: an international agreement in which the United States becomes a party without approval from the Senate. Congress can overturn these agreements, however, so their power is not absolute.

To Learning Objectives

Slide 29

LO 18-3

Congress and Foreign Policy

9 Enacts Statutes

Congress influences foreign policy through oversight—at any point, either chamber can convene hearings on any topic that an agency is pursuing. This can create tremendous publicity about issues.

Slide 30

To Learning Objectives

LO 18-3

On the streets of Baghdad: During his presidency, Barak Obama has dramatically reduced the number of US combat soldiers in Iraq. Seen here in March 2009, a US soldier visits with Iraqi children as he patrols a neighborhood in Baghdad.

To Learning Objectives

Slide 31

LO 18-3

An executive agreement is like a treaty in that ____. A. The president signs it, and the Senate ratifies it. B. The president signs it, and the House ratifies it. C. The president signs it. D. The Senate ratifies it. Copyright © 2011 Pearson Education, Inc. Publishing as Longman

Slide 32

To Learning Objectives

LO 18-3

An executive agreement is like a treaty in that ____. A. The president signs it, and the Senate ratifies it. B. The president signs it, and the House ratifies it. C. The president signs it.

To Learning Objectives

Slide 33

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Interest Groups and Foreign Policy 9Ethnic Lobbies 9 Business Groups 9 Think Tanks

Some of the most prominent foreign policy interest groups are ethnic lobbies, which advocate policies focusing on specific foreign states. The AmericanIsraeli Public Affairs Committee promotes close ties between the United States and Israel. Cuban Americans are another powerful ethnic lobby; these Cuban refugees want to keep Castro’s Cuba isolated.

To Learning Objectives

Slide 34

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Interest Groups and Foreign Policy 9 Ethnic Lobbies 9Business Groups

One of the more powerful sets of pressures arises from multinational and defense firms—one in ten jobs in the United States relied on defense spending during the Cold War. No issue is more common to business, however, than trade. So many people benefit and are harmed by trade agreements that they generate quite a bit of activity on the Hill.

9 Think Tanks

To Learning Objectives

Slide 35

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Interest Groups and Foreign Policy 9 Ethnic Lobbies 9 Business Groups 9Think Tanks

Slide 36

Slide 37

To Learning Objectives

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Think tanks support and publicize the work of scholars, many of whom have significant foreign policy expertise; their opinions can have influence. The Council on Foreign Relations publishes Foreign Affairs and is one of the most prominent think tanks. Use the case study of Africa to demonstrate how interest groups can influence foreign policy.

Walk on, Africa: Bono is greeted at a school in South Africa. In May 2006, the Irish rock star toured six African nations in an attempt to draw attention to the issues of HIV and AIDS. In your view, how successful are celebrities in drawing attention to global issues?

To Learning Objectives

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Which set of interest groups are most concerned with trade? A. Ethnic Lobbies B. Business Groups C. Think Tanks D. None of the Above

Slide 38

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Which set of interest groups are most concerned with trade? A. Ethnic Lobbies B. Business Groups

C. Think Tanks D. None of the Above

To Learning Objectives

Slide 39

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Contemporary Challenges 9 North Korea 9 Protectionism 9 Enemy Combatants

Slide 40

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Contemporary Challenges 9 North Korea 9 Protectionism 9 Enemy Combatants

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Protectionism is the practice of imposing selective tariffs on trade in an effort to protect specific domestic industries from international competition. Many people want to protect American jobs, but the tendency toward free trade in recent decades has made that difficult. Use the steel industry case given in the text to explain how this works and how different presidents have had different reactions.

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LO 18-5

Tensions rise again: On July 2, 2009, North Korea test launched two short-range missiles, further heightening tentions in the region. Here, two South Koreans watch a televised broadcast of the event.

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LO 18-5

One major issue for the United States currently is North Korea’s nuclear program—the world is trying to halt North Korea’s ability to launch missiles and is failing. Nuclear deterrence was a feature of the Cold War; mutually assured destruction seemed to slow nations’ desire to launch offensive moves. Concerns about nuclear proliferation since the collapse of the Cold War have intensified. South Korea is an ally of the United States, and North Korea is launching missiles. The United Nations has tightened sanctions, and the relationship between North Korea and the United States is rocky at best.

The government backs steel: Early in his first term, President Bush sought to protect the domestic steel industry by increasing tariffs on foreign production. Subsequent retaliatory actions by the World Trade Organization, however, lead to the retraction of the US tariffs. In your view, when should the federal government take steps to protect domestic industries from foreign competition.

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LO 18-5

Contemporary Challenges 9 North Korea 9 Protectionism 9 Enemy Combatants

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Perhaps the most important foreign policy challenge is the war on terrorism that has led to tougher law enforcement at home and heightened homeland security. The government would like the right to do more to prevent terrorism, which is at odds with Americans’ rights to privacy. The Bush administration attempted to label American citizens as enemy combatants if they were found to be supporting terrorism—thus they would lose their rights as American citizens. The Supreme Court ruled against the Bush administration in the case of enemy combatants. Treatment of American citizens as well as other people is a major controversy: how much individual freedom should be respected versus how much security the nation should have.

LO 18-5

North Korea is a challenge for America because ___. A. South Korea is our ally. B. North Korea has launched a nuclear program. C. The United Nations is unwilling to act harshly. D. All of the Above Copyright © 2011 Pearson Education, Inc. Publishing as Longman

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Text and Art Credits

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Photo Credits

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Additional Lecture Suggestions

¾18.1 Recount the history of U.S. foreign policy •

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For many years the Cold War shaped the foreign policy of the United States. The collapse of the Soviet Union in 1991 removed the focal point of American foreign policy. The American public largely ignored foreign policy issues until September 11, 2001. Since then, the United States’ war against terrorism has led to the invasions of Afghanistan and Iraq. The main justification for the 2003 Iraqi invasion proved ultimately to have been based on inadequate intelligence The United States is considered by many to be the only remaining superpower in the world. People known as transformers believe that the United States should protect American goals and strengths and bring this strength to other countries. Maintainers believe that Americans should avoid imposing themselves on other nations. There are also neoconservative and neoliberal transformers and conservative and isolationist maintainers Point out how new technology, such as satellite dishes and fax machines, helped transmit news into and out of the Middle East following the September 11, 2001 terrorist attacks on America and leading up to the Iraq War. There are many conflicting opinions concerning the Iraq War. The original military operations may have been a success, but continued violence and tensions, along with rising monetary costs, have brought many to consider the war to be a mistake. Explain why the United States became involved in Korea and Vietnam. Disagreements on how to handle foreign affairs have abounded since the early history of the United States. Hamiltonians, Jeffersonians, Wilsonians, and Jacksonians represent the main schools of thought on foreign affairs. Americans were quite isolated from world events until the dawn of the twentieth century. The United States had a key role in the creation of the United Nations and is part of the North Atlantic Treaty Organization (NATO). The reluctance of political parties to take clear stands on foreign policy issues may be due to the fast-changing nature of world events. Point out that foreign policy has no political payoff for most members of Congress, and may have some penalties. Give arguments for and against reinstatement of the draft vs. maintaining the all-volunteer force. Those who receive foreign aid benefit from foreign policy programs, as do those who supply goods for foreign exchange. Budget increases for foreign policy programs often mean cutbacks for domestic policy programs. Battlefield deaths also must be taken into account when forming foreign policy. There are many concerns over international trade policy as well as the protection of civil liberties. Civil liberties need to be protected during times of war. Many feel that there is no way for average citizens to become involved in the creation of foreign policy. Some think that foreign policy decisions should be left to the experts, Former government officials, major contributors or supporters of a political party, and opinion leaders who write columns for newspapers have great influence on foreign policy issues. Public opinion can also work to make change or to inhibit changes in policy. Elections can impact foreign policy. Foreign governments avoid working with the American government during times of elections. Interest groups are also able to influence foreign policy decisions. Copyright © 2011, 2009, 2007 Pearson Education, Inc. All rights reserved.

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Describe the history of U.S. Foreign policy. Starting in 1900, name five events that changed how the United States viewed the world. List and describe three terms associated with the Cold War. Name the three major points of the Bush Doctrine. Describe the importance of the North American Free Trade Agreement (NAFTA). Name the three steps of the War Powers Act and describe each one. List and describe the various military conflicts of the Cold War era, 1945-1991. Describe major foreign policy events of the 1945–1951 period, including the Truman Doctrine, the Marshall Plan, and the emergence of the policy of containment. Compare and contrast the Truman Doctrine and the Bush Doctrine. What did the Marshall Plan hope to achieve? Outline the various arms limitation and reductions policies of 1969-2002. What is Mutually Assured Destruction? Cite the main provisions of the two SALT and two START treaties.

¾18.2 Identify the powers of the president to direct foreign policy and the executive agencies that support the president •

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There are three important foreign policy powers defined by the Constitution: the power to write treaties, the power of appointment, and the power to declare war. The president is seen as the chief decision maker in foreign policy but the chief of staff, vice president, National Security Council, and the State Department have also become key aids to the president. List five steps utilized in trying to address the conflict between the U.S. and North Korea.

¾18.3 Identify the power of Congress to shape foreign policy • •

Explain how Congress shapes foreign policy. Name two additional ways that Congress shapes foreign policy.

¾18.4 Analyze the role of interest groups in foreign policy-making •

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Foreign lobbying has increased greatly in Washington, D.C. People often lobby the executive branch and Congress. Lobbying is often done to ensure that business can be carried out in the United States without any problems. There are fears that a focus on those lobbying for foreign policy issues takes away the focus on domestic issues. Many believe that some international issues are incompatible with American ideals. Globalization is also a concern. Describe the role of interest groups in foreign policymaking

¾18.5 Assess the foreign policy challenges that face the U.S. today • •

Three areas of foreign policy concern are military security, economic issues, and human welfare. These issues are connected to one another. Terrorism and weapons of mass destruction are a priority for military security. Terrorist groups have multiplied and have become more unified in their goals. Nuclear weapons are also available to some. The idea of preemption was developed by the Bush administration Copyright © 2011, 2009, 2007 Pearson Education, Inc. All rights reserved.

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with the war in Iraq. The idea of a national ballistic missile defense system is being pursued but must overcome challenges before success can be achieved. Globalization has increased trade and the movement of thoughts and people across national borders. There is heightened economic activity but American jobs are being lost to other countries. It is hard to determine how much foreign aid the United States should be giving. The American public is unhappy with foreign aid when they do not see any direct economic improvements at home as a result. The largest human welfare issues today are genocide, land mines, and human trafficking. The United States has no clear-cut policy toward genocide. The United States has proposed a treaty to make sure that the only land mines in use are automatically deactivated after a period of time. Human trafficking is the third-largest illegal business on earth. Other issues include child labor, the status of women, health care issues, poverty, and environmental issues. The terrorist attacks of September 11, 2001 sparked a change in American foreign policy. Americans have been drawn onto the world stage and the public has been forced to consider policy issues concerning defense and national security. The public can work together with policy institutions to create policies that will work. We must remember that terrorism is only one of many issues that face Americans today. Name three ways interest groups affect foreign policy. List the foreign policy challenges facing the U.S. today. Explain the controversy surrounding “enemy combatants.” In recent years, immigration has become an emotional and divisive political issue. Ask your class to list cultural, economic, and political issues that are related to the general theme of immigration. Use several of the topics to discuss changing U.S. policy, at both the federal and state levels, toward immigration. Define terrorism and describe the war on terror. Name several nations still thought to constitute security threats to the United States, explaining why. Identify non-deterrable security threats. Outline the major phases of the U.S. war in Iraq. Examine the Just War doctrine and explain under what circumstances preemptive strikes are permissible. Examine the Constitution of Iraq and compare it to the United States Constitution.

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IV. Student Assignments – Post-Lecture A.

Class Discussion Questions

¾18.1 Recount the history of U.S. foreign policy • • • •

Identify specific examples of foreign and defense policy changes made in response to experiences in the Vietnam War. Why didn’t the Cold War result in actual armed conflict between the former Soviet Union and the United States? Would a similar scenario be possible with nations allegedly possessing nuclear weapons capability now? Why or why not? Which of the nations identified as possible threats to world security, or security of the United States, is of the most concern to you? Why? Some former Warsaw Pact countries have sought regional security by joining NATO. What tension has this created with Russia?

¾18.2 Identify the powers of the president to direct foreign policy and the executive agencies that support the president •

Why does the Constitution define three aspects of foreign policy? What were the concerns of the Framerss of the Constitution?

¾18.5 Assess the foreign policy challenges that face the U.S. today • • • • • • • • • •

Ask students to discuss how much aid the United States should provide Iraqi citizens in rebuilding their nation. Did the United States make a mistake in believing the transformation to democracy in Iraq would be easy? How have the war in Afghanistan and the Iraq War altered the Middle East’s and the world’s view of American foreign policy? Do invasions such as these tend to stabilize or de-stabilize world order? How strong is the argument that in order to secure our energy supply, we need to support nondemocratic governments such as Saudi Arabia? Is it possible to aggressively push trade with China and at the same time oppose China’s sanctioning of human rights violations? How effective has American foreign aid been as a means to achieving national goals overseas? How successful has the United Nations been in fulfilling its mission? What could be done to make the United Nations more effective? What role should public opinion have in the development of foreign policy, given the public’s lack of understanding of foreign affairs? How well do economic sanctions work as a tool of international diplomacy? What does Osama bin Laden represent? Why is he (and why are so many of his followers) so intent on negatively impacting U.S. interests and on terrorizing U.S. citizens? Do women belong in combat?

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Describe the roles of the Department of Homeland Security. Discuss the security versus civil liberties debate. Can the two coexist, or must it be one or the other? What has been the cost of the war in Iraq? Discussion should revolve around human costs, cost of the war, effect on deficit, and the economy. Discuss how the news media influence public opinion about events in other countries. Include in your discussion the unprecedented coverage of a war during the Iraq War. Ask students for examples of the connection between the influence of important ethnic and religious groups and foreign policy. Some people are concerned about the growing power of foreign investors in the United States. Discuss the risks and benefits. Foreign aid continues to be unpopular with most Americans. Have the class discuss the prospects for foreign aid in an era of large deficits, tax cuts, and domestic economic problems. Discuss why constituents expect their members of Congress to resist closing military bases in their districts even if there is a deficit. Some people have been trying to get the United States out of the United Nations for years. Discuss the reasons for this and the prospects for it occurring. Ask students if they have felt the effects of the post-September 11, 2001 security measures in the United States (building security, airport security, random traffic stops, etc.). Ask students to discuss and debate security versus civil liberties. Discuss with students whether or not the war in Afghanistan was a success if Osama bin Laden is still at large. Will the Iraq War be a success in terms of establishing democracy in that country? Discuss the irony that in many ways having nuclear weapons under the control of a powerful centralized Soviet government was superior (i.e., safer) than having them in the hands of numerous unstable independent republics. Recent studies show that Americans are ignorant of world geography. Does that influence our knowledge of foreign affairs? What appear to be the first principles of the Obama administration’s foreign policy? How is it handling the U.S. presence in Afghanistan and Iraq? American news, be it press or broadcast media, tends to skimp on international news. The argument is that Americans are not interested. Have students address the following: Is that true? Find public opinion polling data, ask friends and colleagues, etc. about their interest in international relations. Next, test the hypothesis that the media ignore foreign affairs. Watch several different types of media (network TV, newspapers, cable TV, news magazines) and determine if this is true. Now that you know more about U.S. foreign policy, are you more interested in such news? Discuss these issues or structure a debate about them. As a class, discuss what the grand strategy of the U.S. ought to be now that the Cold War is over and given the new obligations of the war on terrorism. What are U.S. national interests? Should we have intervened in Bosnia, Somalia, Rwanda, Kosovo, etc. and why or why not? What about Afghanistan and Iraq? What is our national interest in that case? Trade and aid policy—with whom should we trade and to whom should we give aid? Are there limits to U.S. generosity? What are they? Should the United States be characterized as a superpower? Why or why not? Are there any other countries that you think deserve this label? If so, which ones? Copyright © 2011, 2009, 2007 Pearson Education, Inc. All rights reserved.

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Do you think the Iraq War was a mistake? Did you think it was a mistake when it first began? Why or why not? What steps should be taken in Iraq today? Is the United Nations doing a good job on foreign policy issues in today’s world? Why or why not? How do you think foreign policy issues affect the availability of goods at home? Can you think of any recent examples? Should America be involved in protecting human rights on the world stage? Why or why not? Should foreign lobbying in the United States be allowed? Should foreign leaders be able to exercise such influence over American policymaking? Is foreign policy a necessary function of the U.S. government? Has the United States become too involved in world affairs? Why or why not? Should foreign policy be left entirely to experts who are familiar with the issues? Why or why not? Why do foreign governments avoid working with the U.S. government at times of elections? What are your top concerns regarding military security, the economy, and human welfare? Which are most important to you and why? What are your biggest fears surrounding security issues? What should policymakers be focusing on and why? What types of foreign aid programs should be increased? Which programs do you think should be decreased? Why? What are some current cases of genocide? What are some historical examples of genocide? What should the U.S. position be on responding to genocide? Why was the United States reluctant to sign a treaty banning the use of land mines? Do you think terrorism is the most important foreign policy issue in today’s world? Why or why not? Should the U.S. act unilaterally when it comes to foreign policy (Bush Doctrine), or should we seek advice from our allies? How has the threat of the spread of communism affected foreign policy? Why was the Vietnam War a watershed event for American foreign policy? What factors contributed to the end of the Cold War? What has America’s foreign policy strategy been since the end of the Cold War? What role does the CIA play in American foreign policy? What role does Congress play in American foreign policy? What are the pros and cons of free trade? Is the War Powers Act a significant constraint on the President? What role do interest groups play in American foreign policy? What contemporary foreign policy challenges is America facing? How has the Supreme Court responded to cases involving enemy combatants? Covert operations are supposed to be secret. Ask your students to consider how the public can have control over governmental actions if it does not know about their operations. Do all covert operations necessarily conflict with the idea of democracy? If so, would your students favor some limitations on democracy, or do they believe that covert operations should be more restricted?

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Identify reasons the United Nations has been less than successful in promoting and maintaining world peace. What actions should be taken to address these weaknesses? What is the future of the UN? Do you approve of the U.S. response to terrorism? The attack on Afghanistan? Was the U.S. attack on Iraq a prudent move given the lack of United Nations support? Do you feel safer as a result of the actions taken in the War on Terrorism and the personal liberties denied? Why or why not? Is U.S. support of Israel, in and of itself, a threat to world peace? Why or why not?

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Class Activities

¾18.1 Recount the history of U.S. foreign policy •

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Chart the evolution of American foreign policy. Give students a timeline of major events or conflicts in U.S. foreign affairs. Ask students to identify whether American policy during each event reflected the Hamiltonian, Wilsonian, Jeffersonian, or Jacksonian perspective. Identify and discuss the evolution of American foreign policy over time; search for patterns, cycles, disparities, etc. Using your class-based discussions, ask students to speculate on what perspective is “best” for the current and near-term-future state of world affairs. Map conflict as it has occurred since post-World War II, in the Middle Eastern nations and the reasons for each conflict. Discuss possible resolutions.

¾18.2 Identify the powers of the president to direct foreign policy and the executive agencies that support the president •

Ask the students to write down the purpose(s) the Bush administration had in going to war with Iraq. Then have them reveal their answers, and discuss why they differ from one another. What are the consequences of the war, and have any of these objectives/goals been achieved? You may also find that some believe Iraq to be responsible for 9/11, even years after the Bush administration has declared this to be untrue.

¾18.5 Assess the foreign policy challenges that face the U.S. today •

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Students often have difficulty understanding how preparedness can serve as a deterrent to war. Select four students from the class using size as the characteristic for selection. One larger, two middle, and one smaller person. Demonstrate, with the three sizes, the United States and the USSR with nuclear superiority (the larger student), the nuclear inferiority (the smaller student), and the middle student moving to stand beside each of the other two, depending on the description at the moment. What probability of a strike exists when they are the same size? (Students become quite involved in the questions with this demonstration.) Hold a debate on a current topic in foreign affairs. Have students argue both pro and con. They can choose to do it on a partisan basis (Republican-Democrat) or on a thematic basis (isolation vs. engagement, unilateral vs. multilateral action) and so on. Ask students to compile a list of what they think the national interests of the United States should be. THE UNITED STATES AS WORLD LEADER: An international group of scientists (the Club of Rome) has projected a series of world disasters in the twenty-first century. Famine, pestilence, and pollution will rage uncontrolled over large sections of the planet, according to the Club, unless we immediately institute controls such as contraception, changes in diet, and conservation of national resources. In this world-of-tomorrow scenario, the United States appears to be in a favored position. Have your students answer the following questions: Assuming the predictions are true, how should we protect our future? How responsible are we for world problems?

Should we share the world’s resources equally, or should we write off nations with uncontrolled birth rates?

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Research Assignments

¾18.1 Recount the history of U.S. foreign policy • •

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Create a timeline of the history of foreign policy in the United States. The following page provides a good starting point for research: http://future.state.gov/when/foreign/ The Iraq War remains controversial, largely due to the postwar failures in reconstruction. Prepare a research paper that examines the efforts of the United States in reconstructing the Philippines after the Spanish American War, and Japan and Germany after World War II. Describe policies used in past reconstructions that might have benefited the United States in rebuilding Iraq. Describe the origin and form of the United Nations. Examine the United Nations organization at http://www.un.org/aboutun/mainbodies.htm and determine which countries are in the Security Council at this time, what agencies the UN sponsors, and how many member states exist. Report on your findings. Outline the regional alliances created during the Cold War era. How did the UN provide “collective security” in places such as Rwanda and Sudan? Go to the NATO Web site at http://www.nato.int/and describe the major initiatives of this body. Have students write a report on the effectiveness of economic sanctions in one of the following situations: Cuba, Iran, Iraq, North Korea, China, or Bosnia. Use the Internet to research the history of terrorism in the modern world. Create a brief timeline. Outline the major phases of the U.S. war in Iraq. Examine the Just War doctrine and explain under what circumstances preemptive strikes are permissible. Examine the Constitution of Iraq and compare it to the United States Constitution. Watch the movies Dr. Strangelove (1964) and Fail Safe (1964). Write a report in which you compare the movies’ themes, concerns, and plot lines, and how this fits into the context of American security concerns during the Cold War.

¾18.5 Assess the foreign policy challenges that face the U.S. today • •

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Have students research and reenact the congressional debate over establishing the Department of Homeland Security and the Director of National Intelligence. Have students choose one week and get copies of the following weekly news magazines: Newsweek, Time, The Economist, and US News & World Report. The students should compare their coverage of a number of international issues and write a paper explaining the differences. Have each student prepare a synopsis of U.S. relations with one of the following countries during the Reagan, Bush, Clinton, and George W. Bush years: 1. Cuba 2. El Salvador 3. Nicaragua 4. Grenada 5. Haiti 6. Mexico Copyright © 2011, 2009, 2007 Pearson Education, Inc. All rights reserved.

7. Columbia 8. Honduras 9. North Korea The summary should touch on these topics: A chronological sketch of major events involving that nation and the United States Policies pursued by U.S. leaders Reactions of the local leaders Success or failure of the American policies Differences among Reagan’s, Bush’s, Clinton’s, and George W. Bush’s approaches • Have your students, using the best current information, analyze the comparative military strength of the United States and possible rivals (say, Russia, China, North Korea, Iran) in terms of: A. Personnel i. Active military personnel in all services ii. Reserves iii. Potential recruiting pool of eligible draftees iv. Allied support forces B. Weaponry i. Naval ships; submarines ii. Fighter airplanes; bombers iii. Tanks iv. Intercontinental ballistic missiles v. Multiple Independently Targetable Reentry Vehicles vi. Cruise missiles vii. Star Wars C. Natural Resources D. Civilian Defense E. Other Imponderables • Ask students about the future of NATO, assigning students to individually represent and research NATO member countries. Students should report to the class once they have reached consensus. • Use the Internet to determine which foreign policy issues have driven the most recent elections. • Use the Internet to research what provisions have been made to protect civil liberties during times of war. • Consider the relationship between foreign policy and oil. How do you think American foreign policy has impacted the price of oil over the course of the past fifteen years? http://www.foreignpolicy.com/story/cms.php?story_id=3233 • Your students may be surprised at the type of jobs that are available at the CIA. Ask them to go to the CIA homepage (https://www.cia.gov/careers/index.html) and make a list of the jobs that are available, as well as and the requirements to work at the CIA. This can be turned in or reported orally. • Visit the homepage of the United Nations: http://www.un.org/english/ • What are the UN goals over the course of the next ten years? • If possible arrange to visit with a military recruiter in your area. Have them explain the process by which someone joins the military. Ask them questions related to where the U.S. Copyright © 2011, 2009, 2007 Pearson Education, Inc. All rights reserved.

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presently has military bases. Determine what is of interest to you and learn about the activities of the base. Visit the U.S. State Department Web site. Locate the link related to opportunities for college students—internships, work opportunities, summer employment, etc. Investigate one of these links and learn about the activities available to a college student in the area of foreign affairs. Assign a report on the pros and cons of an all-volunteer force. Given current commitments, will the draft be necessary? Investigate global opinion on American foreign policy. Ask students to choose a foreign policy issue that interests them. Have the students find two newspaper or magazine articles on the issue: one from an American publication and one from a foreign media source. Ask students to compare and contrast the views on the issue; place emphasis on exploring whether global public opinion has the potential to impact American foreign policymaking. Using the Internet, determine whether any other countries have modeled their foreign policy guidelines by those laid out in the U.S. Constitution. Using the Internet, search for examples of how military security, economic issues, and human welfare are connected in today’s world. Locate online and bring to class a recent article on national security concerns in America and be prepared to discuss your reaction to it. Research and determine what the Millennium Challenge Account is. Have students do some research on businesses in your area that are involved in international trade. They should use the Internet or library to find out what kinds of businesses are doing business where and why. Have them address the following questions: Are there more international ties in your area than you thought? What kinds of impact does this trade have on you, your town/city, and the country? Find out if you can invite some of the international businessmen who visit your area to come to your class. Choose a foreign policy crisis (either contemporary or historical) and do some research on the Web to determine what issues were at hand, what actors were making the decisions, and what the outcome was. Did public opinion matter? Was the president the strongest actor in the crisis? How did the various interests play themselves out? Public opinion polls find that Americans today are more likely to perceive threats to their security in economic competition from allies than from military rivalry with potential adversaries. As a library project, challenge your students to contrast the positions of the United States and Japan with regard to both defense expenditures and protective economic policies. Divide the class into several research groups for this project, and have them allocate some division of responsibility among themselves. Have each student choose a country, and, using Internet, library, and government document sources, investigate the nature of U.S. foreign policy toward that country. In what specific issues does the United States have an interest? What policy instruments (foreign aid, diplomacy, military forces, etc.) is the United States using to accomplish those goals? Have students write a brief essay addressing these questions. If shared with the class, this writing exercise could also result in an interesting discussion highlighting the diversity of American interests around the world, and help students to develop more thoughtful positions on foreign and defense policymaking. Assign students to read media reports from Europe, Central America, and elsewhere to gauge foreign opinion toward the U.S. attack on Iraq. How do beliefs about and attitudes toward the war and the U.S. compare? Do such differences matter, and in what ways? Copyright © 2011, 2009, 2007 Pearson Education, Inc. All rights reserved.

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Have students research the issue of homeland security and civil liberties. What are the tradeoffs? What are the goals? Are the two principles necessarily antithetical?

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V. Quantitative Assessment Administer Chapter Exam (see Test Bank, Chapter 18) × Return to Chapter 18: Table of Contents

VI. Resources for Further Study A.

Books

1. Allison, G. T., & Treverton, G. F. (Eds.). (1992). Rethinking America’s security: Beyond war to new world order. New York: W. W. Norton & Company. 2. Ambrose, S. E., & Brinkley, D. (1998). Rise to globalism: American foreign policy since 1938. New York: Penguin. 3. Bacevich, A. (2008). Limits of power: The end of American exceptionalism. New York: Metropolitan Books. 4. Berrios, R. (2000). Contracting for development: The role of for profit contractors in U.S. foreign development assistance. Westport: Praeger. 5. Bolton, M. (2004). New U.S. foreign policy and international politics: George W. Bush, 9/11, and the global terrorist hydra. Upper Saddle River: Prentice Hall. 6. Breuning, M. (2008). Foreign policy analysis: A comparative introduction. New York: Palgrave Macmillan. 7. Campbell, K. M. (2006). Hard power: The new politics of national security. New York: Basic Books. 8. Carter, R. G. (2004). Contemporary cases in U.S. foreign policy: From terrorism to trade. Washington, DC: Congressional Quarterly Press. 9. Collins, J. J., & Bowdoin, G. D. (1999). Beyond unilateral economic sanctions: Better alternatives for U.S. foreign policy Washington, DC: (CSIS Report). 10. Dolan, C. J., & Glad, B. (Eds.). (2004). Striking first: The preventive doctrine and the reshaping of U.S. foreign policy. New York: Palgrave Macmillan. 11. Dunnigan, J. F. (1998). Digital soldiers: The evolution of high-tech weaponry and tomorrow’s brave new battlefield. New York: St. Martin’s Press. 12. Eland, I. (2004). The empire has no clothes: U.S. foreign policy exposed. Oakland: The independent institute. 13. Fisher, L. (2004). Presidential war power (2nd ed.). Lawrence: University Press of Kansas. 14. Fisher, L. (2007). Constitutional conflicts between congress and the president. Lawrence: University Press of Kansas.

15. Friedman, T. (2005). The world is flat: A brief history of the 21st century. New York: Farrar, Straus & Giroux. 16. Fukuyama, F. (2007). America at the crossroads: Democracy, power, and the neoconservative legacy. New Haven: Yale University Press. 17. Gilpin, R. (1987). The political economy of international relations. Princeton: Princeton University Press. 18. Gordon, P. H. (2007). Winning the right war. New York: Times Books. 19. Hamilton, L., & Tama, J. (2002). A creative tension: The foreign policy roles of the president and congress. Princeton: Woodrow Wilson Center Press. 20. Hanhimaki, J. M. (2004). The flawed architect: Henry Kissinger and American foreign policy. Oxford: Oxford University Press. 21. Hass, R. N., & O’Sullivan, M. L. (Eds.). (2000). Honey and vinegar: Incentives, sanctions, and foreign policy. Washington, DC: Brookings Institution Press. 22. Hilsman, R., Gaughran, L., & Wertsman, P. (1992). The politics of policy making in defense and foreign affairs. Englewood Cliffs: Prentice Hall . 23. Hixson, W. (2007). The end of idealism: U.S. foreign policy since world war II. New Haven: Yale University Press. 24. Hodge, J. F., Jr., & Rose, G. (Eds.). (2003). America and the world: Debating the new shape of international politics. Washington, DC: Foreign Affairs Press. 25. Holt, P. M. (1995). Secret intelligence and public policy: A dilemma of democracy. Washington, DC: Congressional Quarterly Press. 26. Hook, S., & Spanier, J. (2007). American foreign policy since world war II. (7th ed.). Washington, DC: Congressional Quarterly Press. 27. Hook, S. W. (2004). U.S. foreign policy: The paradox of world power. Washington, DC: Congressional Quarterly Press. 28. Howell, W., & Pevehouse, J. (2007). While dangers gather: Congressional checks on presidential war powers. Princeton: Princeton University Press. 29. Johnson, C. (2000). Blowback: The costs and consequences of American empire. New York: Metropolitan Books. 30. Kagan, D., & Kagan, F. (2000). While America sleeps: Self-delusion, military weakness, and the threat to peace today. New York: St. Martin’s Press. Copyright © 2011, 2009, 2007 Pearson Education, Inc. All rights reserved.

31. Keegan, J. (2004). The Iraq war. New York: Knopf. 32. Kennedy, P. M. (1989). The rise and fall of the great Powers. New York: Vintage. 33. Kirkpatrick, J. (1982). Dictatorships and double standards. New York: Simon & Schuster. 34. Litwak, R. S. (2000). Rogue states and U.S. foreign policy: Containment after the cold war. Baltimore: Johns Hopkins University Press. 35. Mann, T. E., (Ed.). (1990). A question of balance: The president, the congress and foreign policy. Washington, DC: Brookings Institution Press. 36. Mearsheimer, J. L., & Walt, S. W. (2007). The Israel lobby and United States foreign policy. New York: Farrar, Straus & Giroux. 37. National Commission on Terrorist Attacks on the United States. (2004). The 9/11 Commission Report. New York: W. W. Norton & Company. 38. Nixon, R. (1992). Seize the moment: America’s challenge in a one-superpower world. New York: Simon & Schuster. 39. Nye, J. (2002). The paradox of American power: Why the world's only superpower can't go it alone. New York: Oxford University Press. 40. Oye, K. A., Lieber, R. J., & Rothchild, D. (Eds.). (1992). Eagle in a new world. New York: HarperCollins Publishers. 41. Pevehouse, J. C., & Howell, W. (2007). While dangers gather: Congressional checks on presidential war powers. Princeton: Princeton University Press. 42. Sammon, B. (2002). Fighting back: The War on terrorism from inside the bush white house. Washington, DC: Regnery Press. 43. Tucker, R. W., Keeley, C. B., & Wrigley, L. (Eds.). (1990). Immigration and U.S. foreign policy. Boulder: Westview Press. 44. Welch, D. A. (2005). Painful choices—A theory of foreign policy change. Princeton: Princeton University Press. 45. Woodward, R. (2004). Plan of attack. New York: Simon & Schuster. 46. Yankelovich, D., & Destler, I. M. (Eds.). (1994). Beyond the beltway: Engaging the public in U.S. foreign policy. New York: W. W. Norton & Company. 47. Zakaria, F. (2008). The post-American world. Boston: W. W. Norton & Company. Copyright © 2011, 2009, 2007 Pearson Education, Inc. All rights reserved.

48. Zbigniew, B., Scowcroft, B., & Ignatius, D. (2008). America and the world: Conversations on the future of American foreign policy. London: Perseus Publishers. × Return to Chapter 18: Table of Contents B.

Articles

1. Carter, R. G., Scott, J. M., & Rowling, C. M.. (2004, August).Setting a course: Congressional foreign policy entrepreneurs in Post WWII U.S. Foreign Policy. International Studies Perspectives, 5(3), 278–299. 2. Deudney, D., & Ikenberry, J. K. (1992, Summer). Who won the cold war. Foreign Policy, 87, 123–138. 3. Dolan, C. J., & Rosati, J. A. (2006, May) U.S. foreign economic policy and the significance of the national economic council. International Studies Perspectives, 7(2), 102–123. 4. Drury, A. C. (2000, December). U.S. presidents and the use of economic sanctions. Presidential Studies Quarterly, 30(4), 623–642.. 5. Huntington, S. P. (1993, Summer). Clash of civilizations. Foreign Affairs, 72(3), 22–49. 6. Jacobs, L. R, & Page, B. I. (2005, February). Who influences U.S. foreign policy? American Political Science Review, 99(1), 107–123. 7. Kennan, G. F. (1985–86, Winter). Morality and foreign policy. Foreign Affairs. 8. Meernik, J. (1993, August). Presidential support in congress: Conflict and consensus on foreign and defense policy. Journal of Politics, 55(3), 569–587. 9. Mintz, A. (1989, December). Guns versus butter: A disaggregated analysis. American Political Science Review, 83(4), 1285–1293. 10. Pape, R. A. (2003, August). The strategic logic of suicide terrorism. American Political Science Review, 97(3), 343–361. 11. Rosenfeld, S. S. (1986, Spring). The guns of July. Foreign Affairs, 64(4), 698–714. 12. Russett, B. (1982, December). Defense expenditures and national well-being. American Political Science Review, 76(4), 767–777. 13. Russett, B., Hartley, T., & Murray, S. (1994, March). The end of the cold war, attitude change, and the politics of defense spending. PS, 27(1), 17–21.

14. Thomas, G. B. (1999, May). External shocks, conflict and learning as interactive sources of change in U.S. security policy. Journal of Public Policy, 19(2), 209–231. 15. Vilas, C. M. (2005, December).Is there any room for Latin America in U.S. foreign policy? Journal of Developing Societies, 21(3–4), 389–402. × Return to Chapter 18: Table of Contents C.

Media

1. America at War. Films for the Humanities and Sciences. This film examines American wars from World War II to the Persian Gulf. 2. Frontline: Ghosts of Rwanda. (2004). Prod./Dir. Greg Barker, PBS Home Video. This film examines the Rwandan crisis and America’s, as well as the UN’s, response and interviews key actors involved in the crisis. 3. Inside the Cold War. Films for the Humanities and Sciences. A CD-ROM that includes eight mini-documentaries of the history of the Cold War. Reconstructs the chain of events that brought the superpowers to the brink of war. 4. The Road to War: American Decision Making During the Gulf Crisis. Films for the Humanities and Sciences. This film provides an in-depth analysis of how decisions were made in response to the Gulf crisis. 5. The UN: It’s More Than You Think. (1991). Films for the Humanities and Sciences. This program provides an accurate profile of the organization, structure, and purpose of the United Nations. 6. The United Nations: Working for Us All. (2003). Films for the Humanities and Sciences. This program examines the creation, history, and functions of the United Nations. × Return to Chapter 18: Table of Contents D.

Web Resources

1. Amnesty International. Reports and documents from the international human rights organization. http://www.amnesty.org 2. Carnegie Endowment for Peace. http://www.carnegieendowment.org/ 3. Central Intelligence Agency. https://www.cia.gov/ 4. Center for Defense Information is a nonprofit public policy center with a somewhat “liberal” perspective. “Founded in 1972 as an independent monitor of the military, the Center for Defense Information is a private, nongovernmental, research organization. Its directors Copyright © 2011, 2009, 2007 Pearson Education, Inc. All rights reserved.

and staff believe that strong social, economic, political, and military components and a healthy environment contribute equally to the nation’s security. CDI seeks realistic and costeffective military spending without excess expenditures for weapons and policies that increase the danger of war. CDI supports adequate defense by evaluating our defense needs and how best to meet them without wasteful spending or compromising our national security.” http://www.cdi.org/ 5. Center for Strategic and International Studies (CSIS) has several programs related to military and foreign policy. Their Web site includes policy papers, links, and more. http://www.csis.org/ 6. Council on Foreign Relations. http://www.cfr.org/ 7. Defense Link. The home page of the U.S. Department of Defense. http://www.defenselink.mil/ 8. Department of Defense. http://www.defenselink.mil/ 9. Department of State. http://www.state.gov/ 10. Federal Web Locator links to many DoD and other defense related sites. http://www.lib.auburn.edu/madd/docs/fedloc.html 11. FedWorld. Links to the home pages of all federal departments and agencies involved in foreign affairs and national defense, including the State Department, the Central Intelligence Agency, the Commerce Department, and the Defense Department. http://www.fedworld.gov/ 12. Foreign Military Studies Office at Fort Leavenworth has analysis, papers, links and more related to security and foreign policy. http://fmso.leavenworth.army.mil/ 13. FP (Foreign Policy) magazine. http://www.foreignpolicy.com/ 14. Foreign Policy. Brookings Institution. http://www.brookings.edu/foreign-policy.aspx 15. International Herald Tribune Online. Complete international news with a much broader perspective than that found in most U.S. newspapers and other media outlets. http://www.iht.com/ 16. Official Web site of the Joint Chiefs of Staff: http://www.dtic.mil/jcs/ 17. National Center for Policy Analysis is a nonprofit public policy research institute from a “conservative” perspective. http://www.ncpa.org/ 18. Rand Corporation. http://www.rand.org/ 19. U.S. Agency for International Development. http://www.usaid.gov/ Copyright © 2011, 2009, 2007 Pearson Education, Inc. All rights reserved.

20. U.S. Arms Control and Disarmament Agency. http://dosfan.lib.uic.edu/acda/ 21. Official Web site of the U.S. Air Force. http://www.af.mil/ 22. Official Web site of the U.S. Army. http://www.army.mil/ 23. Official Web site of the U.S. Marine Corps. http://www.hqmc.usmc.mil/ 24. Official Web site of the U.S. Navy. http://www.navy.mil/ 25. United Nations. Home page of the United Nations; links to a wealth of statistics, documents and reports, UN departments and conferences and information on reaching UN Officials. http://www.un.org/ 26. World Affairs Councils of America. http://www.worldaffairscouncils.org/councilmembers/membercouncils/ 27. The World Factbook. U.S. Central Intelligence Agency. https://www.cia.gov/library/publications/the-world-factbook/ × Return to Chapter 18: Table of Contents

Integrated Guide to the Text’s Resources (Instructor’s Resource Manual)

Chapter 19 - State and Local Governments Table of Contents I. Chapter Overview A. Learning Objectives B. Chapter Summary II. Student Assignments – Pre-Lecture III. Lecture Resources A. Lecture Slides B. Additional Lecture Suggestions IV. Student Assignments – Post-Lecture A. Class Discussion Questions B. Class Activities C. Research Assignments V. Quantitative Assessment VI. Resources for Further Study A. Books B. Articles C. Media D. Web Resources

I. Chapter Overview: A.

Learning Objectives

¾19.1 Explain how state constitutions and local government charters provide the structure and operations of state and local governments. ¾19.2 Compare and contrast the various forms of executive and legislative branches in state and municipal government. ¾19.3 Outline the structure of state courts and their relationship with national courts. ¾19.4 Classify the methods of direct democracy used by some states. × Return to Chapter 19: Table of Contents B.

Chapter Summary

The Making of State and Local Government State constitutions primarily limit the power of government. From the beginning, state constitutions included clauses that limit officials from placing restrictions on individual’s speech and assembly, participating in unreasonable searches and seizures, and using cruel and inhuman punishment. The first state constitutions designed weak government institutions to prevent the kind of government tyranny that characterized colonial rule. State governments recognize the existence of local governments by granting them charters, which are similar to constitutions. Charters may be found in a state statute that relates to cities, counties, school districts, and the like, or they may be written by a community and submitted for approval to the state legislature. Executives and Legislatures The chief elected official in state government is the governor. The primary role of governor is to set the agenda for state government. Budget authority provides governors with an opportunity to set agendas and move toward solutions. Most agency heads are appointed by governors and serve at their pleasure. Unlike the federal government, most states fill a number of agency positions through statewide election rather than gubernatorial appointment. The most substantial role of governors in the judicial system applies after someone is convicted of a crime. The governor has the power to pardon someone, thereby voiding a conviction and eliminating all penalties. State legislatures pass laws and monitor the activities of state agencies. State legislatures, in contrast with Congress, are still primarily part-time citizen bodies. Even in states where legislators have floor sessions and committee hearings throughout the year, compensation is usually set as a percentage of the salaries of senior administrators, and legislators receive reimbursement for every time they leave home and travel to the state capitol. Local Government and State Courts The composition of local governments can vary greatly, but will generally include an elected executive, such as a mayor; an elected council, such as a city council; and an appointed manager, such as a city manager. The primary function of courts is to settle disputes and enforce laws. Most disputes involve state laws, which cover criminal behavior; family matters such as divorce or child custody; business issues such as contracts, liability, and land use; and traffic, Copyright © 2011, 2009, 2007 Pearson Education, Inc. All rights reserved.

such as parking and speeding citations. Most state judges are elected to their position for a specific term, as opposed to federal judges who are appointed by the president and confirmed by the Senate. × Return to Chapter 19: Table of Contents

II. Student Assignments – Pre-Lecture A. B. C.

Student Required Reading: Chapter 19 – State and Local Governments Administer Reading Comprehension Quiz (see Test Bank, Chapter 19) Chapter Test – After your students have completed their reading assignment, go over these questions with your class to identify any areas you should focus on in your lecture.

Chapter Test 1. Discuss the central elements of state constitutions, why some states have very long constitutions, and the relevance of the timing of a state’s founding to the contents of its constitution. 2. What is Dillon’s rule? 3. How and why has representation in state legislatures changed since the 1960s? 4. What are the powers of a governor and how do they differ across the states? 5. How has partisan control of governor’s offices and state legislatures changed over the past 25 years? What implications do these changes have for policy-making? What has been the trend in your state? 6. Local governments use different types of elections for local legislatures. What are these, and what are the implications of using different systems? 7. State and local government institutions allow for many points of access to policy-making for citizens. Does having more points of access encourage greater participation, or does it overwhelm citizens? What changes might encourage more or less participation? 8. Using local resources or the Internet, investigate the structure of local governments in your area. How do they compare to one another? Are there differences that are associated with the size of the population served? 9. What is your opinion of the different methods for selecting judges? Do you favor one method over another? Explain why or why not. 10. What forms of direct democracy are used in states and localities? What are some of the drawbacks of direct democracy institutions such as the initiative and referenda? × Return to Chapter 19: Table of Contents

III. Lecture Resources A.

Lecture Slides

Slide 1

Slide 2

Slide 3

The opening feature of this chapter draws attention to a national issue that is playing out in state governments: demonstrating the complexity of federalism. Drawing together the problems of illegal immigration and education, the feature demonstrates how states are dealing with tuition policies for children of illegal immigrants.

Chapter 19: State and Local Governments In Article 5 of the Northwest Ordinance of 1787, Congress provided for the admission of additional states to the Union with the full status of the first 13. All states have the same rights and privileges.

Slide 4 After Reading this Chapter, You Should Be Able To: 9 LO 19-1: Explain how state constitutions and local government charters provide the structure and operations of state and local governments. 9 LO 19-2: Compare and contrast the various forms of executive and legislative branches in state and municipal government. 9 LO 19-3: Outline the structure of state courts and their relationship with national courts. 9 LO 19-4: Classify the methods of direct democracy used by some states. Copyright © 2011 Pearson Education, Inc. Publishing as Longman

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Making of State and Local Governments 9Northwest Ordinance of 1787 9Limit the power of government. 9Local Government Charters

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To Learning Objectives

LO 19-1

Making of State and Local Governments 9 Northwest Ordinance of 1787 9Limit the power of government. 9 Local Government Charters

In 1787, the Congress (under the Articles of Confederation) passed the Northwest Ordinance, which provided for the admission of additional states to the Union with the full status of the first thirteen; all states would have the same rights and privileges. New states would have to have constitutions acceptable to Congress—new states would therefore probably adopt similar constitutions to those of states already in the Union.

To Learning Objectives

The original thirteen states were drafted before the Constitution was passed, and their primary concern was to make certain that state governments were limited so they did not look like the colonial governments. State constitutions included bills of rights—New Hampshire’s specifically states that citizens have the right to revolt. They also created weak institutions to prevent government tyranny. Legislatures were part time, and governors only served two-year terms. Expansion westward led to more states that looked similar so that they could be passed easily in Congress. The western states came in as the Progressive movement was having its heyday, and they attempted to prevent political parties from having so much power. Thus they introduced initiatives—voters can put policy on the ballot—and recall—voters can remove elected officials through popular vote. State constitutions are also more likely to have statutes than the federal government. In the 1960s and 1970s, some states began to increase their powers.

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Making of State and Local Governments 9 Northwest Ordinance of 1787 9 Limit the power of government. 9Local Government Charters

Slide 9

Slide 10

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Local governments are not the building blocks of states—they are the creatures of the states. Dillon’s rule summarizes the principle that local governments do not have any inherent sovereignty but instead must be authorized by a state government. State governments give this authorization through charters, documents that specify the basic policies, procedures, and institutions of a local government.

To Learning Objectives

LO 19-1

Teddy Roosevelt fighting corruption and machine politics: This cartoon depicts one of the leaders of the Progressive movement, President Theodore Roosevelt, in a the fight against political machines and big corporations. What institutions and policies did the movement create in state and local government?

Counties are districts created by state governments for establishing a local government responsible for implementing a variety of state laws and for providing general governmental services. Every state has counties except Connecticut and Rhode Island—in Louisiana, they call them “parishes”— Alaska calls them “boroughs.” Towns are local governments with general responsibilities for order and services in a mediumsized community. Municipalities are cities. Special districts are local governments created specifically for a narrowly defined purpose with a restricted source of revenue. Charter School: Some states authorize public schools to operate with special rules, known as a charter.

To Learning Objectives

Slide 11

A ___ handles a narrowly defined purpose with a restricted budget.

LO 19-1

A. Town B. City C. Special District D. County

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A ___ handles a narrowly defined purpose with a restricted budget.

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A. Town B. City C. Special District D. County

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State and Local Executives and Legislatures 9Governors 9 State Legislatures 9 Policy Experimentation 9 Local Leaders

To Learning Objectives

The executive for state governments is the governor, and the primary role of a governor is to set the agenda for state governments. They are the most visibly elected official in the state. Governors have budget authority, similar to the president. They also have veto authority like the president, but forty-three governors have line-item veto—the authority of a chief executive to delete part of a bill passed by the legislature, generally limited to bills involving taxing and spending. Governors have appointment powers, but most states fill agency heads through election. Governors have appointment power in the judicial arena, like the president. They also have pardon power; they have the ability to void a conviction or commute a sentence. Governors have the discretion to extradite: send someone against his or her will to another state to face criminal charges.

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Slide 16

The number of Democratic and Republican governors tends to be as evenly split as the national government, demonstrating that party polarization exists at the state level as well.

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State and Local Executives and Legislatures 9 Governors 9State Legislatures 9 Policy Experimentation 9 Local Leaders

Gubernatorial transition: New Jersey Governor Chris Christie speaks after being sworn into office on January 19, 2010. Governor Christie defeated a Democratic incumbent in a state that is heavily Democratic.

To Learning Objectives

In the 1960s, the Supreme Court forced state legislatures to have roughly equal numbers of constituents, and as a result state legislatures became much more representative and competent. This led to policy agendas that were more relevant to states’ needs and opportunities—this led in turn to power being ceded to the executive branch in states, so that governors became more powerful. Compared to the Congress, state legislatures are primarily part-time bodies, and legislators are expected to have other jobs. All states except Nebraska have two legislative chambers, and the most common ratio is one senator for every three house members. All states except Nebraska have partisan legislatures as well. Partisan control matters in the state legislatures just as it does at the national level.

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Slide 19

Slide 20

In the 1990s, many states enacted term limits for their state legislatures; these are the states that have them and the terms set.

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Politics never sleeps: State legislators negotiated over amendments during a break in debate on a bill. How might legislative term limits influence elections and policy-making in the 15 states that have them?

Again, note that legislatures tend to show the polarization across the nation, but they are less likely to be split.

To Learning Objectives

LO 19-2

State and Local Executives and Legislatures

States are viewed as the laboratories of democracy—they attempt to address problems that many states face, and new ideas can be adopted by other states—if they work.

9 Governors 9 State Legislatures 9Policy Experimentation 9 Local Leaders

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Slide 21

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State and Local Executives and Legislatures 9 Governors 9 State Legislatures 9 Policy Experimentation 9Local Leaders

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Slide 23

Virginia Tech Shootings: After the 2007 shootings on campus of Virginia Tech, state and local governments worked with University officials to make students safer. Do you think allowing students, faculty, and staff to bring firearms on campus would make a campus more safe or less safe?

To Learning Objectives

LO 19-2

Local government enacts and implements public policies for communities. Seventy-five percent of cities have a directly elected mayor, while towns and villages tend to have city councils that choose a mayor or president from among the members. Most local government executives are elected in nonpartisan contests. Communities choose representatives to city councils and school boards using geographically defined districts. These are also nonpartisan elections in many states. An alternative to districtbased is the at-large election, in which candidates compete through the whole jurisdiction. Three percent of communities have a commission form of government that has both legislative and administrative responsibilities. Some local governments use appointed managers, who tend to be more professional. Most managers are appointed, but some are elected.

Municipal governments have various forms. Note that almost 56 percent have a mayor-council government, but that the council-manager form is also pretty popular. Also note the existence of small town meetings still in play in the nation.

To Learning Objectives

Slide 24

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Town meeting: Residents began a town meeting with the Pledge of Allegiance. Those attending can propose and pass laws. Do you think this form of government decision-making is more or less democratic? Why?

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Slide 25

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Local governments tend to be ____. A. Partisan B. Nonpartisan C. Nonelected D. Appointed

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Slide 26

LO 19-2

Local governments tend to be ____. A. Partisan B. Nonpartisan

C. Nonelected D. Appointed

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LO 19-3

State Courts

9Relationship between State and National

The rimary function of courts is to settle disputes. State courts are obliged to enforce the prevailing national law—this is known as inclusion. If national and state laws apply to the same crime it is known as dual jurisdiction, and prosecutors just plan to work together.

9 Routes for Appeals 9 Judicial Selection

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Slide 28

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Slide 29

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State Courts

9 Relationship between State and

National 9Routes for Appeals 9 Judicial Selection

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Slide 31

Court trial: A judge and jury watch an attorney question a witness. Juries evaluate the credibility of testimony. What is the primary function of state courts?

States reorganized their courts in the 1970s to follow a model that simplified the handling of cases and appeals and allowed state supreme courts to refuse to take cases. This led to more manageable workloads. Urban areas generally handle traffic and parking citations, small claims, family issues, and probate. Small towns and rural areas generally do not have their own courts, so their cases go to county court. These courts do not have juries; they are bench trials. State courts have juries and have appellate jurisdiction. This is the structure of most state courts, adopted in the 1970s.

To Learning Objectives

LO 19-3

State Courts

9 Relationship between State and

National

Most state judges and justices are elected to their positions for a specific term; the state judiciary looks very different from the national government. Twenty-four states use the merit plan—the governor appoints someone from a list provided by an independent panel and then the people vote to retain.

9 Routes for Appeals 9Judicial Selection

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Slide 32

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Slide 33

This maps out the selection strategy for different states. Use the feature about judges in the book to talk about elections and partisan elections of judges: How do they affect decision-making?

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A ___ trial is one that has no jury; the judge decides. A. Criminal B. Civil C. Bench D. Commission

Slide 34

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LO 19-3

A ___ trial is one that has no jury; the judge decides. A. Criminal B. Civil C. Bench

D. Commission

Slide 35

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Direct Democracy 9Initiative 9direct 9indirect

9 Referendum 9popular 9bond 9advisory

To Learning Objectives

Initiatives allow citizens to participate directly in public policymaking—the town meeting in New England communities is another way of doing this. Direct initiative is a process in which voters can place a proposal on a ballot and enact it into law without involving the legislature or governor. Typically the number of signatures required is about 8–10 percent of the people who voted in the most recent gubernatorial election. Indirect initiative is a process in which the legislature places a proposal on the ballot and allows voters to enact it into law without involving the governor or further action in the legislature.

Slide 36

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Slide 37

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Slide 38

Direct Democracy 9 Initiative 9direct 9indirect

9Referendum 9popular 9bond 9advisory

9 Recall

Slide 39

Referenda are another form of direct democracy that allow voters to veto state legislation and authorize borrowing money. Popular referendum: process by which voters can veto a bill recently passed by placing the issue on a ballot and expressing disapproval Bond referendum: process for seeking voter approval before a government borrows money by issuing bonds to investors Advisory referendum: process in which voters cast nonbinding ballots on an issue or proposal

To Learning Objectives

LO 19-4

In nineteen states (mostly western states), citizens can use direct initiative. These states were entered into the Union at the height of the Progressive movement, which sought to empower voters rather than parties.

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Judicial elections: In many states judges must face voters at least once in order to obtain or retain a state judicial seat.

Petition for direct initiative: In order to get a proposed initiative on the ballot, supporters must get the signatures of eligible voters on a petition. What are some of the drawbacks of direct democracy, including initiatives?

To Learning Objectives

Slide 40

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Direct Democracy 9 Initiative 9direct 9indirect

Recall allows voters to remove elected officials from their positions before their terms expire. Eleven of seventeen states allow recall for no particular grounds—other states require specific grounds, and a judge decides whether the recall is warranted.

9 Referendum 9popular 9bond 9advisory

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Slide 41

LO 19-4

Recall: Shortly after his reelection in 2002, California Governor Gray Davis had to campaign to keep his job in a recall election. He lost and Arnold Schwarzenegger became governor. Some states allow for recall elections only under certain conditions. Should states limit the situations under which a recall election can be held?

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Slide 42

LO 19-4

Initiatives are most often used in the ___. A. Northeast B. South C. West D. Midwest

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LO 19-4

Initiatives are most often used in the ___. A. Northeast B. South C. West

D. Midwest

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Additional Lecture Suggestions

¾19.1 Explain how state constitutions and local government charters provide the structure and operations of state and local governments • • •

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Point out how little voters know about the contact that lobbyists at the state capital have with their legislators. One of the things that makes democracy work so well is that politicians never know before an election which group’s support may be decisive. GOVERNMENT “CLOSEST TO THE PEOPLE”: It would be impossible to work in government very long without hearing some claim that local government is superior because “it is the level of government closest to the people.” An interesting lecture can be developed from that chestnut. The notion is that local government is spiritually close to the voters. Local elected officials attend the same schools and churches, belong to the same clubs, and generally know what the voters want without having to be told. Local government is like being governed by neighbors. Governments “closest to the people” are those where the citizens and their leaders know each other, see each other frequently, and live under the same rules and conditions. It means a government where the electorate is well-informed and most people participate, where, as de Tocqueville put it, “no portion of the community is tempted to oppress the remainder,” and “the government really emanates from those it governs.” Washington politicians, on the other hand, do not seem close to the local voters either geographically, spiritually, or in any other way. Members of Congress are seen as professional politicians who no longer live in their districts and generally avoid the consequences of the laws they enact. But as Alan Ehrenhalt pointed out in Governing magazine in 1995, the notion of local government as “closest to the people” does not necessarily fit with reality. In reality, most of what local government does is invisible to the people in the community. The people do not know what is in the city budget, do not attend city council meetings, do not express opinions to their elected officials, and may not even have voted in the last election. As Ehrenhalt said, “(a) government that people scarcely know about cannot fairly be described as close to them, no matter how small it is, how local it is, or how familiar the faces of the officeholders might be. The only government really close to the people is one that manages to capture their attention a reasonable amount of the time.” Based on this measure, Ehrenhalt concludes that, although the federal government seems to most Americans a rather remote institution, they spend more time thinking about the president than they do about local affairs. SURVEYING THE LOCAL POLITICAL LANDSCAPE: One lecture that is always wellreceived is one that describes the political structure in the local college community. Most college students are strangers in the community and have little idea of the political organization. In many colleges the students do not have a clear orientation toward state politics. Try to cover the following points: What is the structure of city and county government in this community? Who are the top officials? How did they obtain their positions (election, appointment)? What major government programs are the city, county, state, and national governments, respectively, responsible for in this community? What interest groups are prominent locally and in the state capital? Copyright © 2011, 2009, 2007 Pearson Education, Inc. All rights reserved.

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Assess the strength of neighborhood groups, minorities, business interests, and labor. What newspaper is prominent in this community? Is it locally owned? What is its editorial stance? INTEREST GROUP PROFILES: Using a state familiar to the students, a fascinating lecture can be developed concerning interest groups at the state capital. Pick one or two groups that appear prominently in media coverage of the state legislature. Such a lecture would touch on Size of the groups Sources of their influence, such as social status Financial strength Media and public relations image Geographic distribution Leaders and lobbyists (names and profiles) Political goals Success stories The Making of State and Local Government: State constitutions primarily limit the power of government. From the beginning, state constitutions included clauses that limit officials from placing restrictions on individual’s speech and assembly, participating in unreasonable searches and seizures, and using cruel and inhuman punishment. The first state constitutions designed weak government institutions to prevent the kind of government tyranny that characterized colonial rule. State governments recognize the existence of local governments by granting them charters, which are similar to constitutions. Charters may be found in a state statute that relates to cities, counties, school districts, and the like, or they may be written by a community and submitted for approval to the state legislature. Describe how constitutions and charters provide a framework for the structures and operations of state and local governments. Explain the Northwest Ordinance of 1787. Explain how state constitutions have evolved over time.

¾19.2 Compare and contrast the various forms of executive and legislative branches in state and municipal government • •

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Impress upon students that those who are willing to commit time and energy to local politics will be the ones who reap the benefits. STATE LEGISLATIVE TRENDS: A wealth of information about recent trends in state government can be obtained from The Book of the States, published every other year by the Council of State Governments. There are summaries of recent developments in practically every subject area: governors, bureaucracies, legislatures, courts, constitutions, electoral laws, intergovernmental relations, taxing and spending, and policy areas such as education and transportation. Executives and Legislatures: The chief elected official in state government is the governor. The primary role of governor is to set the agenda for state government. Budget authority provides governors with an opportunity to set agendas and move toward solutions. Most agency heads are appointed by governors and serve at their pleasure. Unlike the federal government, most states fill a number of agency positions through statewide election rather than gubernatorial appointment. The most substantial role of governors in the judicial system applies after someone is convicted of a crime. The governor has the power to pardon Copyright © 2011, 2009, 2007 Pearson Education, Inc. All rights reserved.

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• • • •

someone, thereby voiding a conviction and eliminating all penalties. State legislatures pass laws and monitor the activities of state agencies. State legislatures, in contrast with Congress, are still primarily part-time citizen bodies. Even in states where legislators have floor sessions and committee hearings throughout the year, compensation is usually set as a percentage of the salaries of senior administrators, and legislators receive reimbursement for every time they leave home and travel to the state capitol. Legislative Branches: Discuss the structure of the state legislatures outlining the general properties that are common to all –constituent service, elections, committee system, bill passage, etc. Then point out some of the differences –the unicameral vs. bi-cameral structure, part-time vs. full-time legislatures, term limits, salaries, etc. Identify the various forms of the executive and legislature in states, and of municipal governments. As the chief elected official, describe three ways the governor sets the agenda for a state. Name the characteristics and/or differences that exist within state legislatures. Explain the difference between elected executives and elected councils.

¾19.3 Outline the structure of state courts and their relationship with national courts •

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Local Government and State Courts: The composition of local governments can vary greatly, but will generally include an elected executive, such as a mayor; an elected council, such as a city council; and an appointed manager, such as a city manager. The primary function of courts is to settle disputes and enforce laws. Most disputes involve state laws, which cover criminal behavior; family matters such as divorce or child custody; business issues such as contracts, liability, and land use; and traffic, such as parking and speeding citations. Most state judges are elected to their position for a specific term, as opposed to federal judges who are appointed by the president and confirmed by the Senate. Explain the structure of state courts and their relationships with federal courts. Describe the variation that exists within the selection of judges and justices.

¾19.4 Classify the methods of direct democracy used by some states • •

Describe the role of direct democracy in some states. Name and describe the three types of referendums.

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IV. Student Assignments – Post-Lecture A.

Class Discussion Questions

¾19.1 Explain how state constitutions and local government charters provide the structure and operations of state and local governments • • • • • • • • • • • • •

Discuss how political culture interacts with economic and social factors to make your state unique. Discuss how the war on terrorism and new security measures in the U.S. have affected state and local politics, policies, and policing. What might be some reasons for the vast differences in taxes on tobacco products per state? Is geography and relation to tobacco-growing regions significant? The problem that local officials face is that people want more services, yet at the same time they want their taxes cut. Is it possible to do both? Is guaranteeing the best possible education for all young people a national issue, or is it something that can only be accomplished locally? One reason for grassroots apathy about local government is “satisfaction with the state of the community,” but some argue that many people are cynical about the effectiveness and fairness of local government. How can these two concepts be reconciled? Should environmental regulation occur primarily at the state or the local level? What role do zoning and building codes play in environmental policy? Compare the organization and structure of your state constitution to that of the federal constitution. Why do states have constitutions since we have the U.S. Constitution? Why have state institutions increased power since the late 1960s? How are county governments funded? How are agency positions filled in state government? How do local governments use charters to make and enforce laws?

¾19.2 Compare and contrast the various forms of executive and legislative branches in state and municipal government •

• • • • • •

Local communities often face the challenge of a “big box” retailer such as Wal-Mart opening near a downtown area and then drawing business away from local retailers through offering wider selection and lower prices. Should local governments resist or manage this sort of competition, and if so, how? Discuss the extent to which an effective local government creates a lack of interest in local politics. What is the primary role of a governor? Compare a governor’s veto power with that of the U.S. President. How did the Supreme Court address the imbalance of legislative representation? Which system provides more equitable representation: at-large elections or district elections? What role do informal powers play in local government?

¾19.3 Outline the structure of state courts and their relationship with national courts • • • • • •

What is the difference between a pardon and parole? Why would a governor or a state extradite a person? Compare the methods for selection of state judges. Do campaign supporters influence decisions by judges? What is the primary function of state courts? How does the structure of a court provide opportunities for an appeal?

¾19.4 Classify the methods of direct democracy used by some states • • • • • • •

Does your community have direct democracy (initiative, referendum, and recall)? If so, research its use in your community and the rules regarding its use. If not, find a community that has these powers and do the same. Consider the impact of recall, direct initiative, indirect initiative, popular referendum. Discuss the pros and cons of term limits. What is significant about term limits? Has providing more opportunities for direct participation via direct initiatives or referendums resulted in more political participation by citizens? What two types of town meetings exist? What are the differences between an indirect initiative and a direct initiative?

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Class Activities

¾19.1 Explain how state constitutions and local government charters provide the structure and operations of state and local governments • •

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GOVERNMENT SERVICES: Have students list the services that state and local governments provide that benefit them directly or indirectly. Using the state in which you live, locate a state map and notice the counties that comprise your state. How many counties are there? Compare the sizes of the counties? What are the major cities? Differentiate the differences in the counties within the state by looking at population, geographical features, etc. What is the state capital? What else can you learn by reading the map about the state? Take a day and visit your local government office. This can be the town hall, the city municipal building or the county courthouse. Interview the mayor, a police officer or a county commissioner. Consider how their responsibilities are different from those you learned about earlier in the text. Evaluate the pros and cons of this type of government.

¾19.2 Compare and contrast the various forms of executive and legislative branches in state and municipal government • •

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Establish several different types of local government in your classroom to debate a small set of issues to determine how the types of government function similarly and differently. Have the public relations department of your state legislature (or one of your state reps) send your class several bills that will be addressed in this session of the legislature. Have the class organize along similar lines to your state organs (mostly bicameral) and debate the content of one or several bills. Then hold a discussion about how the process affects the legislation. Compile a list of state and local government decision-making bodies that are open to the public in your area, such as city councils or commissions, county commissions, zoning or planning boards, school boards, and courts. As a class project, have each student sign up to attend a session or meeting of at least one government entity on your list.

¾19.4 Classify the methods of direct democracy used by some states • •

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Ask students to write an essay on whether offices for which voter turnout is low should be converted to appointed offices. Instruct them to consider the reasons for low turnout and the factors that should be taken into account in selecting the best person for a particular position. Voters in a number of states have approved term limitations for their state legislators; some states also have term limitations for governors. Ask your class to write a brief essay supporting the idea of term limitations, then ask students to write a paragraph refuting their own arguments. (This process may be reversed, if you prefer, but students should not know in advance about the second half of the task.) Ask students to compile a list of government jurisdictions relevant to their home residences, identifying what services each unit provides. Have students present these lists in class, and discuss the advantages and disadvantages of this diversity in our democracy.

Research Assignments

¾19.1 Explain how state constitutions and local government charters provide the structure and operations of state and local governments •

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Go to a search engine on the Internet such as Google or Yahoo and search the Internet for specific information on the county in which you reside. Examine the Web site in detail. Imagine that you are an elected county official. Visit each county office online and learn about the responsibilities for each department. Discuss your findings by writing a brief report or create a flow chart listing each important job. Have students find out how your community deals with finances. From where does their money come and where does it go? Is their budget balanced? What constraints does the local government operate under? How easy or difficult is it to get this information? Have students find a copy of your state's constitution and another state constitution from outside of your geographic region (i.e. Midwesterners look for a Western state, Southerners look for a New England state, etc.) and compare them. Are they similar or different? Why and how? Have a class discussion or assign a paper. Using the Internet, find out information on at least three Indian tribes. At least one tribe must not run casinos. Make sure they are from several different regions of the country as well. Discuss the quality of life of these three tribes. What kinds of decisions can tribes make? What is tribal life like? How are they governed? Compare the similarities and differences you find. Have students go to the Internet and find the homepages of several different cities around the country: be sure to have them mix it up a bit (Find large and small cities, Western and Northeastern cities, Midwest and Southern cities, etc.). Have them compare the information they find on methods of government, priorities, and revenues. Have a class discussion on the similarities and differences found.

¾19.2 Compare and contrast the various forms of executive and legislative branches in state and municipal government •

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Have students review recent coverage of local government and politics in the local newspaper, identifying what major issues are being debated. If there is no local coverage (a point which you might want to discuss in class), then have students visit local government offices and ask for meeting agendas, press releases, or government reports that might convey what issues are currently on the agenda. Ask students to research the various groups that are represented in the policy discussion, what positions they take, and the resources and limitations that local government faces in dealing with the problem. Role-play a meeting of the National Governor's Association. Give students at least a week to research their assigned governor and his/her state. Then present them with an agenda (you may even want to contact the NGA and get the real agenda—if your class meets when they have a meeting, the agenda will appear on their Web site and local media will have it). Afterward, hold a discussion about the purpose, usefulness, and efficacy of the NGA and about differences among the states. For small classes, choose a small number of key states or states with particularly interesting differences (mix up small and large, conservative and liberal, etc.). Copyright © 2011, 2009, 2007 Pearson Education, Inc. All rights reserved.

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LOBBYING LAWS: Have each student get a copy of the state laws pertaining to lobbying and giving gifts to elected officials. Have each student summarize what he or she found.

¾19.3 Outline the structure of state courts and their relationship with national courts • •

Divide your class into research teams to examine the different ways by which states select judges. Students should look at both partisan and nonpartisan elections, at the Missouri Plan, and at variations of the Missouri Plan generally referred to as “merit selection.” Watch the documentary, Justice for Sale and discuss the implications of an elected judiciary.

¾19.4 Classify the methods of direct democracy used by some states •

LOCAL POLITICAL MEETINGS: Have each student attend a meeting of a local school board, city council, or board of county commissioners and then report back on the following items: What was on the agenda? Did the board follow the agenda? Did the public have an opportunity to speak? How many people attended?

× Return to Chapter 19: Table of Contents

V. Quantitative Assessment Administer Chapter Exam (see Test Bank, Chapter 19) × Return to Chapter 19: Table of Contents

VI. Resources for Further Study A.

Books

1. Agranoff, R., & McGuire, M. (2004). Collaborative public management: New strategies for local governments. Washington, DC: Georgetown University Press. 2. Benedict, J. (2000). Without reservation. The making of America’s most powerful Indian tribe and Foxwood the Largest Casino. New York: HarperCollins Publishers. 3. Berman, D. (2003). Local governments and the states: Autonomy, politics, and policy. New York: M.E. Sharpe. 4. Beyle, T. L. (ed.). (2004). State government: Congressional quarterly’s guide to current issues and activities, 2004–2005. Washington, DC: Congressional Quarterly Press. 5. Bolick, C. (2004). Leviathon: The growth of local government and erosion of liberty. Stanford: Hoover Institution Press. 6. Borins, S. F., & Altshuler, A. D. (1998). Innovating with integrity: How local heroes are transforming American government. Washington, DC: Georgetown University Press. 7. Carey, J. M., Niemi, R. G., & Powell, L. W. (1999). Term limits in state legislatures. Ann Arbor: University of Michigan Press. 8. Colburn, D., & Adler, J. (Eds.). (2001). African American mayors: Race, politics, and the American city. Urbana: University of Illinois Press. 9. Coppa, F. J. (2000). County government. Westport: Praeger. 10. Dionne, E. J. (Ed.). (1998). Community works: The revival of civil society in America. Washington, DC: Brookings Institution Press. 11. Dresang, D. L., & Gosling, J. J. (2008). Politics and policy in American States and communities (6th ed.). New York: Pearson Longman. 12. Dye, T. R. (2003). Politics in states and communities (11th ed.). Englewood Cliffs: Prentice Hall. 13. Farmer, R., Rausch, J. D., Jr., & Green, J. C. (ed.). (2003). The test of time: Coping with legislative term limits. Lanham: Lexington Books. 14. Frymier, J. R., & Roaden, A. L. (2003). Cultures of the states: A handbook on the effectiveness of state governments. Lanham: Scarecrow Press.

15. Gerber, E. R. (1999). The populist paradox: Interest group influence and the promise of direct legislation. Princeton: Princeton University Press. 16. Gray, V., & Hanson, R. (2003). Politics in the American states: A comparitive analysis. Washington, DC: Congressional Quarterly Press. 17. Harrigan, J. J., & Nice, D. C. (2007). Politics and policy in states and communities (10th ed.). Harlow: Pearson Longman. 18. Haynie, K. L. (2001). African American legislators in the American states. New York: Columbia University Press. 19. Hovey, H. A., Hovey, K. A. State fact finder: Rankings across America (annual). Washington, DC: Congressional Quarterly Press. 20. International City Management Association. The municipal yearbook. Washington, DC: ICMA, annual. 21. Johnson, V. C. (2002). Black power in the suburbs. Albany: State University of New York Press. 22. Osborne, D., & Gaebler, T. (1992). Reinventing government: How the entrepreneurial spirit is transforming the public sector. Reading: Addison-Wesley Publication Company. 23. Rosenthal, A. (Ed.). (2001). The third house: Lobbyists and lobbying in the states (2nd ed.). Washington, DC: Congressional Quarterly Press. 24. Rosenthal, A. (2004). Heavy lifting: The job of the American legislature. Washington, DC: Congressional Quarterly Press. 25. Smith, L. L., Barkley, D.C., Cornwall, D. D., Johnson, E. W., & Malcomb, L. (2003). Tapping state government information sources. Westport: Greenwood Publishing Group, Inc. 26. Teaford, J. C. (2002). The rise of the states: Evolution of American state government. Baltimore: Johns Hopkins University Press. 27. Thomas, G. S. (1998). The United States of Suburbia: How the suburbs took control of America and what they plan to do with it. Amherst: Prometheus Books. 28. Van Horn, C. (1996). The State of the states (3rd ed.). Washington, DC: Congressional Quarterly Press. 29. Wates, N. (2000). The community planning handbook: How people can shape their cities and towns. London: Earthscan Publications.

30. Wright, R. G. (2005). Inside the statehouse: Lessons from the speaker. Washington, DC: Congressional Quarterly Press. × Return to Chapter 19: Table of Contents B.

Articles

1. Borut, D. J. (1996, Fall). Aspirations and accountability: Local government in the Era of devolution. National Civic Review, 85(3), 23–27. 2. Cole, R. L., & Caputo, D. A. (1984, June). The public hearing as an effective citizen participation mechanism. American Political Science Review, 78(2), 404–416. 3. DeSantis, V., & Renner, T. (1994, May–June). The impact of political structures on public policies in counties. Public Administration Review, 54(3), 291–295. 4. Mladenka, K. R. (1980, December). The urban bureaucracy and the Chicago political machine: Who gets what and the limits to political control. American Political Science Review, 74(4), 991–998. 5. Seitz, J. L. (1994, March). Now that was a very good class: Learning about politics by observing local government. PS, 27(1), 71–73. 6. Sharp, E. B. (1984, November). Citizen demand-making in the urban context. American Journal of Political Science, 28, 654–670. 7. Stone, C. A. (1980, December). Systemic power in community decision making: A restatement of stratification theory. American Political Science Review, 74 (4), 978–990. 8. Stone, C. A. (1988, February). Preemptive power: Floyd Hunter’s ‘community power structure’ reconsidered. American Journal of Political Science, 32 (1), 82–104. × Return to Chapter 19: Table of Contents C.

Media

1. Can the States Do It Better? (1996). Films for the Humanities and Sciences. This program begins with the historical dispute between Thomas Jefferson and Alexander Hamilton regarding the relative powers of the federal and state governments, including issues as current as school vouchers and welfare reform. 2. The Law. (1995). Films for the Humanities and Sciences. This program provides an overview of how state governments affect virtually every aspect of our daily lives.

3. Lawmakers. (1995). Films for the Humanities and Sciences. This film describes the various motivations and goals of individuals who choose to become legislators, including interviews with both state and national legislators. 4. Lawmaking. (1995). Films for the Humanities and Sciences. This program uses interviews with state legislators to describe the legislative process in the states. × Return to Chapter 19: Table of Contents D.

Web Resources

1. The American Judicature Society offers up-to-date information about judicial selection in the states and other issues related to courts at the national and state levels. http://www.ajs.org/ 2. The Internet Law Library has links to all 50 state constitutions and also includes Indian treaties and compacts as well as territorial laws (Guam, etc.). http://www.lawguru.com/ilawlib/ 3. League of Women Voters. http://www.lwv.org/AM/Template.cfm?Section=Home 4. National Association of Counties. http://www.naco.org/ 5. National Center for State Courts offers substantial amounts of information on what’s happening in state courts around the country. http://www.ncsconline.org/ 6. The National Congress of American Indians is the oldest and largest tribal government organization in the United States. NCAI serves as a forum for consensus-based policy development among its membership of over 250 tribal governments from every region of the country. NCAI's mission is to inform the public and the federal government on tribal selfgovernment, treaty rights, and a broad range of federal policy issues affecting tribal governments. The Web site includes legislative updates, resolutions, links, a tribal directory and more. http://www.ncai.org/ 7. National Conference of State Legislators site offers analyses and information on intergovernmental relations. http://www.ncsl.org/statefed/afipolcy.htm 8. National League of Cities. http://www.nlc.org/ 9. NGA Online. The National Governors’ Association is a nonpartisan organization that looks at solving state-focused problems and provides information on state innovations and practices. The Web site has stories and articles of interest to the states and provides links to similar issues and organizations. http://www.nga.org/ 10. The Pew Center on the States offers a wide variety of information on the states. You can identify any state and find information about current hot issues, recent reforms, political Copyright © 2011, 2009, 2007 Pearson Education, Inc. All rights reserved.

make-up (who's in the legislature and executive, etc.), and links to that state's Web sites, as well as state data on crime, taxes, education, and other key issues. You also have the ability to compare states' approaches to issues and their relative situations. You can also search by issue: welfare reform, utility deregulation, health care, taxes, budgets, and education. It includes links to blogs on topics related to state politics and the option of having state news emailed to you. http://www.stateline.org/ × Return to Chapter 19: Table of Contents