INSTRUCTOR MANUAL for American Government Political Development and Institutional Change, 11th Editi by welldoneassistant

American Government Political Development and 1 Institutional Change, 11e Cal Jillson (Instructor Manual All Chapters, 100% Original Verified, A+ Grade)

Chapter 1 THE ORIGINS OF AMERICAN POLITICAL PRINCIPLES FOCUS QUESTIONS Q1

What are the broad purposes of government?

The ancients believed the role of government and politics was to foster human excellence. However, it is imperative to remember that the Greeks and Romans believed the virtuous should rule according to natural law. Furthermore, values of equality and order would be served through a society based upon the rule of law to provide for the common good. In the Middle Ages, government was largely used to facilitate religion and maintained the need for the individual to live a proper life in the service of God. The role of government changed in the early sixteenth century by downplaying the role of religion while alternatively promoting the role of limited government to protect private property and individual rights.

How should government be designed to achieve its purposes?

According to Plato the philosopher-king’s wisdom and intellect would promote order, stability and justice. Yet, Aristotle takes a more realistic view of Athenian society by advocating the best form of government as a polity, which combined oligarchic and democratic elements to produce political stability. The Romans combined monarchical, aristocratic, and democratic principles as a mixed government within representative bodies like the Senate and the Assembly in order to champion the causes of both the rich and the poor. Government in the Middle Ages was determined through divine right, whereby a monarch or Pope was ordained by God to rule. Hence, wisdom and virtue rested within these few individuals who governed to promote religious life and protect the religious establishment. The Renaissance, Protestant Reformation, and Enlightenment Periods shifted the role of government from upholding religious doctrine to secular concerns, such as protecting inalienable rights, including private property, and promoting commerce. In turn, Enlightenment political philosophers largely appealed to individualism and not religious hierarchy as a means to provide order and stability in which individuals could flourish.

What lessons about government did colonial Americans draw from the history of ancient Greece and Rome?

Plato was suspicious of democracy’s rule of the many because good government would decay into mob rule. Hence, the passions of the masses needed to be quelled by more aristocratic elements. With this problem in mind, the Framers of the U.S. Constitution referenced the institutional design of the Roman republic adhered to the tradition of mixed government initially expounded by Aristotle and the Romans. This was maintained in the indirect selection of both the Senate and the presidency within the Constitution. Aristotle also advocated mixing aristocratic and democratic elements in a governing structure called a polity. In effect, this governmental design allowed the few and the many to participate in the politics providing an orderly society where the poor should be able to select government officials who were held accountable. This was also made manifest in the Constitution with its aristocratic-like Senate and the more democratic House of Representatives. Thus the American republic’s Constitution established institutional powers to govern according to the rule of law. While the Framers rejected the religious hierarchy of the Middle Ages, they appealed to inalienable rights endowed upon every individual by God, per the writings of John Locke, in which a just government and society could not be impeded.

What circumstances led Europeans to leave their homelands to settle in America?

Individuals immigrated to the colonies to escape religious persecution and civil unrest after the English Civil War and to pursue social and economic opportunities. Colonists enjoyed a vast array of natural resources and a large geographical area where freedom of religion and economic opportunity flourished. Also, their heterogeneous social composition as well as continual promotion of ideals, such as equality and tolerance, tended to promote political freedom at the same time that social expansion of the population was occurring.

What did democracy mean to our colonial ancestors, and did they approve it?

The colonists were skeptical of democracy and viewed this type of governing authority as mob rule. Society was largely seen as segmented into those who should rule and those who should not. In fact, the Founders believed that the elite (well-educated, land owners) should occupy positions of leadership. Thus, an aristocratic element within government was necessary to protect against the threat of mob rule historically associated with democracy. Fundamentally, the idea of republicanism was promoted as an ideal at a higher level than democracy. This was made most manifest in the tendency to prefer mixed constitutional schemes over single-body regimes, such as monarchies, aristocracies, and democracies. It was in this respect that our colonial ancestors were both innovative and critical of extant governmental forms yet simultaneously wedded to the past, especially the Greco-Roman Ancients.

CHAPTER OUTLINE I.

A Tradition to Draw From History and experience provided lessons upon which the Founders referenced in designing American political institutions. A. The Ancients: Who Rules and for What Purpose? The philosophy of Plato and Aristotle was concerned with structuring a society, known as a city-state, and based upon human nature: Speech and reason as the fundamental characteristics of humans. Thus, the political community or polis is designed according to the virtues and abilities of its inhabitants. 1. The Greeks: Monarchy, Aristocracy, Democracy a. According to Aristotle, the purpose of politics is to create an order that fosters human excellence. Plato’s leader was the philosopher king. Since Plato doubted the reality of this king, he concluded that good government would be uncommon and short lived. Plato and particularly Aristotle identified three forms of government: 1) Monarchy—rule by one leader 2) Aristocracy—rule by a few good men 3) Democracy—rule by the many b. Aristotle also theorized that governments would decay. Thus, monarchy decays into tyranny through despotic actions of a single ruler. Second, aristocracy decays into oligarchy whereby the few rule to advance their self-interests contrary to the common good. Finally, democracy decays into mob rule as the masses rule according to their passions. c. Aristotle’s additional contribution: Political order based on reality 1) Aristotle’s contribution was pragmatic by addressing the needs of the wealthy and the masses within a society to form a mixed government. 2) He believed that oligarchy and democracy are the most common regimes. Therefore, the best elements of each might be combined and made into a good, workable, and stable government. He called this form “polity.” 2. The Romans: Republicanism and Mixed Government a. The Romans, notably Polybius and Cicero, believed that government’s institutional structure should arbitrate power between rich and poor. Accordingly, this order was a republic or mixed state in which monarchical, aristocratic, and democratic elements are represented. b. Polybius asserted that this mixed government would promote stability via a strong executive while also providing a legislative

branch whereby the few (wealthy) and many (poor) could participate in the political process. c. Cicero appealed to natural law, the necessity of rule of law, and the virtues of liberty, equality, and the informed consent of the individual to provide stability, order, and freedom. d. Cicero’s impact upon the Framers is seen with the concepts of limited government, separation of powers, and checks and balances. The Founders, specifically James Madison, reflected upon the ancient philosopher’s beliefs concerning the roles, institutions, and mechanisms of politics. However, the task at hand for the Framers of the U.S. Constitution was to design a government balancing order and freedom to the end of providing a just government that may be sustained over an extended period of time. The Middle Ages: The Secular Serves the State The Christian view of political life maintained that the highest goal of man is salvation and eternity, which are achieved by serving God. This view of political life was proposed by St. Augustine and St. Thomas Aquinas who advocated that both ruler and ruled should conduct themselves in the political realm as in their personal life through a devotion to God. 1. This had political implications. To achieve salvation the political order was organized to support religious beliefs, values, and expectations. Thus, religious institutions were active in political matters. a. Order was needed to allow religion to prosper in peace. b. Rule by one or a few (e.g. the Pope or king) c. Religious order assured obedience to authority d. Power would flow down e. The many would follow: Obedience would flow up from the masses f. Religious values (moderation, tolerance, and faith) would promote stability and peace 2. Accordingly, hierarchy was the best form of social and political organization. 3. These conditions led to the formation of a stable and peaceful community. 4. The emphasis placed on religion in the Middle Ages negatively influenced the Framers. The Founders believed that politics and religion should be separate. 5. In American colonial history, the Puritans of Massachusetts were the closest approximators to the theocratic elements in politics inherited from the Middle Ages. Secularism, Individualism and the Idea of Progress Beginning in the 1600s the religious hierarchy dominating politics began to wane. Subsequently, a commitment to science and human progress replaced

a devotion to religious doctrine within social life. Instead, more emphasis was placed upon the idea that an appeal to individualism and freedom would lead to political and social order. 1. Because there was less emphasis upon salvation, religion was increasingly divorced from politics. However, this did not discount the need for strong government. a. The political theorist Niccolò Machiavelli observed Italian politics and concluded that strong government was needed to provide peace and order. b. Individualism and the Protestant Reformation 1) The Reformation elevated the status of the individual and lessened the role of the Church. 2) This was in solid opposition to the Catholic Church’s hierarchy. 3) However, political hierarchy was still needed to provide peace and order. 2. Secular issues such as power, social order and economic development began to slowly replace religion. Several philosophers led this revolution. a. Francis Bacon believed that science and discovery rather than salvation would lead to human progress. b. However, on account of the English Civil War, Thomas Hobbes maintained that an absolute sovereign was needed to restrain human self-interest and provide peace and order. c. John Locke stressed the ideas of natural rights and a social contract based upon individual consent. Locke had such a strong impact upon the Framers, specifically James Mason and Thomas Jefferson, that they based the Declaration of Independence upon contract theory. Locke stressed the ideas of popular sovereignty, rule of law, legislative supremacy, a limited monarchy, and political accountability, even proposing the revolutionary notion that if the monarch violated the terms of his contract with the people, they had the political right to break the contract and design a new form of government. d. Adam Smith’s invisible hand as it applied to economic markets had a natural order if competition were allowed to prevail. So, governmental and religious hierarchies were unnecessary. II.

The Liberal Roots of American Politics English settlers came to North America to flee religious persecution, poverty, and political oppression. The colonies encouraged individualism, freedom, liberty, and equality. American political development grew from these tenets buttressing classical liberalism. A. Religious Persecution

1. 2.

Most early groups fled to America to escape religious persecution. The most important were the Puritans. a. From 1629 to 1640 Charles I sought to exclude Puritans from English society resulting in the exodus of many Puritans from England. 3. Other groups, including the Quakers and the Huguenots left England and France, respectively. The lack of social, economic, and political opportunity as a result of the English Civil War and subsequent political unrest between 1640 and 1688 forced many to flee England to the colonies. 1. The abundance of land and opportunity in America attracted many poor and middle-class people. 2. Political Participation in the Early Colonies a. Initially, few people came to America in search of democracy. 1) Neither the religious leaders nor the majority of people believed in the utility of democracy. 2) Government was dominated by the elite and educated within any community. (a) In the Northeastern colonies, political positions were occupied by religious and secular leaders who deliberated on how best to persuade and educate the public on policy issues. (b) The mid-Atlantic colonies were the most individualistic in character and the governmental infrastructure was dominated by the economic elite. (c) Southern colonies were generally oligarchic in their governance with the majority of leadership coming from the “plantation gentry.” 3. The large amount of uninhabited land allowed “space” for dissent, whereby marginalized groups could move and implement their preferred religious, economic, or political life. a. For example, while in England Puritans and Quakers faced oppression from the Anglican Church. Yet, in America, they were free to practice their religion. b. Another instance concerned Roger Williams who was banished from the Massachusetts colony. Once this occurred, he simply moved to what is now Rhode Island. c. Finally, the Quakers pushed the Scottish-Irish from Philadelphia to the western portion of the state and southern colonies. 4. Economic Opportunity and Social Fluidity a. Two factors allowed for self-sufficiency and social mobility into the next social class. 1) America was overwhelmingly agrarian. 2) Nearly 80 percent of people made their living from the land.

III.

Heterogeneity a. By the mid-1700s, the population of America was diverse. 1) Out of a population of 1,850,000 in 1765, only 53 percent of people were of English origin. 2) There were also many diverse and active religious groups. Equality and Tolerance a. The American colonies became a refuge for diversity that led to a respect and tolerance for diverse religious groups. 1) Some groups practiced this as a matter of religious teaching. 2) Others learned from witnessing oppression and tolerated other groups.

Conclusion A. We must understand that the early colonists were not enamored with democracy. John Winthrop, an Anglican minister and leading political figure in Massachusetts, declared: “A Democratie is accounted the meanest and worst of all forms of Governmt and Historyes doe recorde, that it hath been allways of least continuance and fullest of troubles.” B. The Ancients, medieval Christians, and the moderns greatly influenced (both positively and negatively) colonial governments. 1. However, the colonists embraced classical liberalism, which means: a. Limited government b. Individual liberty c. Freedom from government intrusion in economic matters and personal beliefs d. Commerce 2. Religious, social, and economic factors attracted settlers to the American colonies.

LECTURE SUGGESTIONS Institutional/Philosophical Focus: Influences on American Governing Institutions I.

The Ancients A. Plato believed that, while every inhabitant within the city-state would have a role in society, the ideal political order would be comprised of a single ruler known as the philosopher king. Consequently, this monarch would promote the common good given his wisdom and sense of justice. B. Aristotle was more pragmatic than Plato. He advocated an institutional design, including a mix of aristocratic and democratic elements. In turn, political participation would include the rich and poor to increase the probability of a stable and peaceful society.

The Roman Republic included a Senate whereby an elected body would deliberate matters of domestic and foreign policies. This deliberative body included aristocratic elements of society but also addressed the concerns of the people. An appeal to natural law as the source of human dignity while codifying these laws aspired to provide stability and protect individual liberty. The teachings of Cicero influenced the Framers through the establishment of representative government, separation of powers, and checks and balances.

II.

The Middle Ages A. The Middle Ages was a period of more than a thousand years from the fall of the Roman Empire in the fifth century A.D. to the stirrings of early modern Europe in the sixteenth century. With the collapse of the Roman state, Europe fell into social, political, and economic disorder. Increasingly, the Catholic Church was the only institution operating throughout Europe and its principles and priorities, not surprisingly, were religious rather than secular. B. During the medieval period institutional governance resided in the Pope and monarchs who were endowed as rulers by divine right. The Pope dominated economic and social life and was largely responsible for the salvation of believers. Monarchs upheld religious tenets and ruled-based principles accordingly. This power hierarchy maintained strict order through obedience to religious doctrine and the monarch’s proclamation(s). C. Institutional design was based upon inheritance, lineage, and religious succession.

III.

The Enlightenment A. The decreased influence of religion on economic and social life did not eradicate a governing hierarchy but allowed greater latitude for individual choice and opportunity to flourish. 1. The Protestant reformation led by Martin Luther and John Calvin stressed individual faith and congregational autonomy as opposed to the order of the Catholic Church. 2. In the Prince, Niccolò Machiavelli addressed the need for the establishment of strong institutions that would produce order that allowed individualism to flourish. B. In Leviathan, Thomas Hobbes advocated the need for a strong monarch with absolute power to rule. Subsequently, this “top-down” design would facilitate order and stability by controlling the natural passions inherent in human beings. C. In the Second Treatise, John Locke’s concept of a social contract asserted the need for limited government to protect private property, which in turn, would maintain order while preserving the natural rights of life, liberty, and property. The Framers were influenced by Locke’s appeal to inalienable

rights when drafting the Declaration of Independence and debating the merits of the U.S. Constitution. IV.

The Colonial Period A. Social, economic, and political institutions in the colonies were based upon religion, wealth, and community values. Government positions were held by religious and secular leaders who were prominent in the community. B. Given the large geographical area, if one did not like the institutional arrangement there was ample room to start a new community. C. Initially, the colonies were governed according to English laws and officials appointed by the King of England.

American Political Development (APD) Focus: The Framer’s Approach to Form a Stable and Just Government I.

Introduction One mode of developing a political system is via a constitution. Constitutionalism may be defined as a structure for preserving or enhancing [a regime], a statement of the way people should treat each other, and the values that form the basis for the people's working relationship, as well as the serious, remaining problems in the political order" (Lutz, 1988, p. 3). Thus, the Founders of the U.S. federal government relied upon the teachings of the past. It is well known that James Madison researched the plight of confederations throughout history prior to attending the Constitutional Convention of 1787 in Philadelphia, Pennsylvania. History guided the Framers in an attempt to establish a new form of government.

II.

The Ancients A. Beginning with Plato’s Republic, political scientists have examined the origin, nature, and design of the state to promote the common good of a community. A society relies upon fundamental rules to establish a formal method of governing. Thus, the ruler and the ruled are subject to the constraints imposed upon them by the law of the land, which governed interactions within the city-state, as well as promoting the common good. B. It is important to remember that both Plato and Aristotle’s reliance on the virtuous, educated, and efficacious elite influenced the Founders. Democratic government could degenerate into ochlocracy (“mobocracy”) and therefore aristocratic institutions (a president, Senate) should be included within the structure of the federal government. However, to check a despotic ruler or rulers, an appeal to the will of the people should also be instituted in a lower house, specifically the House of Representatives. C. Aristotle’s impact on the Framers is apparent in his concept of polity in which a combination of democracy and oligarchy and a system of checks and balances are built addressed in each institution of the federal government.

The influences of the Romans, including Cicero and Polybius, on American government may be seen in the establishment of republican principles including limited and mixed government comprised of representatives elected by an informed citizenry.

III.

The Middle Ages The impact of this era provided a guide on what not to do; specifically, political authority should not rest in the hands of any religious entity. This led the Founders to conclude that religion and politics should be separate.

IV.

The Enlightenment A. The decline of religious authority that dominated in the Middle Ages led to a transitional period leading political philosophers to deliberate how best to balance order and freedom. This will be a major concern for the Founders. 1. Machiavelli proposed that religion could be used as a tool to provide order and stability. As a result, institutional arrangements would allow individuals to pursue their desires within the Italian republics. 2. Thomas Hobbes sought to suppress individual self-interest by establishing an absolute sovereign who had final arbitration concerning all disputes guided by the rule of law. Hobbes’s influence on political development is akin to Machiavelli’s whereby individuals can only achieve their potential through a government structured to mediate human passions. Only when order is established can individualism flourish. Hobbes asserts the need for enumerated rights prohibiting specific actions and behaviors to form an orderly and stable society. 3. Probably the greatest influence on American political development was due to the writings of John Locke. The belief that individuals consent to be ruled through a social contract was similar to Hobbes’s notion of the need for government. Men consent to contract with each other to rein in their self-interest and form a government accordingly. According to Locke, the paramount role of government is to protect inalienable rights of all free men, specifically, those enumerated in the Declaration of Independence and later the Bill of Rights, including life, liberty, and property. These concepts along with limited government comprise the tenets of classical liberalism.

The American Colonies A. The origin of American constitutionalism was based upon religious convictions enumerated within church charters, such as the CharlestownBoston Church covenant of 1630. In this document, the church was created to support living in a manner according to God's rules. B. The Mayflower Compact of 1620 was the first document to create a government based upon the approval of the governed instead of a religious

order. The aforementioned political covenant initiated the first modern constitution, namely the Plymouth Agreement. The Combinations of the Inhabitants upon the Piscataqua for Government in 1641 changed the prevailing, non-secular belief expressed in religious and political covenants, which, instead, advanced the philosophy that the will of the people is supreme. Thus: 1. Governing was based upon the decisions of the polity rather than the church. 2. The compact demonstrates that the colonists relied upon popular sovereignty as the basis for government and not a monarchy. Consequently, the impetus of American constitutionalism emerged through commitments to popular sovereignty and representation in government. The Fundamental Orders of Connecticut established a confederation where power was divided between independent towns and a General Court, which represented the aggregate community. This political structure greatly influenced American constitutionalism in two distinct fashions: 1. This is the first instance of federalism in American government. Therefore, dual citizenship may permit an inhabitant of a state also to be a citizen of the United States of America. 2. By instituting a bicameral legislature consisting of a certain number of members elected directly by the people and others elected by fellow representatives. The ratified U.S. Constitution of 1789 would incorporate legislative bicameralism to ensure state and popular sovereignty. Regional differences affected American constitutionalism. Three American subcultures: 1. The moralistic culture of the Northeast, 2. The culture of individualism that characterized the Mid-Atlantic colonies, and 3. The paternalistic cultural of the South, 4. Influenced the structure of the American federal government. However, the original state constitutions already possessed similar features. The original eighteen colonial constitutions contained a bicameral legislature, popular elections for the lower house and governor, and property requirements to hold public office (Lutz, 1988, pp. 104-105). The basis of our government may be viewed as a culmination of religious covenants, local compacts, regional differences, and political philosophies. These influences coupled with a developing American character transformed a confederacy of colonies into a republic composed of independent states to form the oldest, existing democracy in the world—the United States of America.

PROJECTS, EXERCISES, AND ACTIVITIES 1.

Aristotle’s typology of regimes allows the students to learn the strengths and weaknesses of a monarchy, aristocracy, and democracy. Discuss the benefits and pitfalls of each.

Plato’s Virtues within Regimes Regime Type

Characteristics

Virtues (stability)

Vices (decay)

Monarchy Philosopher King

Rule by one

Wisdom and justice Love of rule and country

Injustice and ignorance Leads to tyranny!

Aristocracy Guardians, wealthy families

Rule by the few

Courage and moderation Wealth to promote the common good

Greed, revenge and envy Leads to oligarchy

Democracy Commoners

Rule by the many

Moderation in passions and equality, freedom

Excesses and desires lead to neglect and mob rule

Discuss the relationship between human nature and the role government. Is there a human nature or is human nature constructed through society via governmental institutions? Specifically, can government change human nature? To facilitate discussion, see Larry Arnhart’s books, Darwinian Natural Right and Darwinian Conservatism, Peter Singer, The Darwinian Left, and Steven Pinker’s best-seller, The Blank Slate.

The term power is both controversial and ubiquitous in all aspects of life. If power is defined as the ability of one individual to get another to act in a particular way, is one form of government (monarchy, aristocracy, or democracy) better suited to exercise power than the others? If so, to what end? Moreover, discuss the degrees of political legitimacy associated with each. Must any government incorporate elements of each to promote freedom and provide stability and order? Why or why not? Refer to historical events to support a position.

Organize a class to debate which of these two concepts philosophically (ontologically) precedes the other: natural rights and natural law. Divide the class into two teams; one team will defend the position that natural rights philosophically precede natural law, and other group will defend the position that

natural law philosophically precedes natural rights. Alternatively, this activity could consist of student presentations in class or a written essay contest. 5.

Form the class into groups, each designing their own constitution. Allow ample time for the exercise (this is best done outside of class, if possible). Compare the tenets of each group’s constitution. Discuss the similarities and differences.

Do you believe in “American Exceptionalism”? What is “American Exceptionalism”? Does the Preamble to the U.S. Constitution support “American Exceptionalism”? Some survey research suggests that certain segments of American society are more likely to believe in “American Exceptionalism” than other segments. They find that there is a difference between millennials and retired people, and between Republicans and Democrats. Do these findings seem reasonable to you? Why or why not?

ADDITIONAL RESOURCES Supplemental Readings Aquinas, Thomas. 2000. Treatise on Law. Indianapolis: Hackett Publishing. Aristotle. 1984. The Politics. Chicago: University of Chicago Press. Bailyn, Barnard A. 1986. Voyagers to the West: A Passage in the Peopling of America on the Eve of the Revolution. New York: Alfred A. Knopf. Cicero. 2009. The Republic and The Laws. Oxford, UK: Oxford University Press. Hobbes, Thomas. 1991. Leviathan. New York: Cambridge University Press. Locke, John. 1980. Second Treatises of Government. Indianapolis: Hackett Publishing. Lutz, Donald. 1988. The Origins of American Constitutionalism. Baton Rouge: Louisiana State University Press. Machiavelli, Niccolò. 1952. The Prince. New York: Penguin. Plato. 1992. The Republic. Indianapolis: Hackett Publishing. Richard, Carl J. 1994. The Founders and the Classics: Greece, Rome, and the American Enlightenment. Cambridge, MA: Harvard University Press. Websites .

Claremont Institute Center for the Study of Statesmanship and Political Philosophy Official Web page of the Claremont Institute Center for the Study of Statesmanship and Political Philosophy. The institute supports research, scholarship, teachings, public forums, and conferences. Foundations of Political Theory This is the website for the Political Theory Section of the American Political Science Association. The History Place Information concerning American history—pre-colonial to the present. A plethora of timelines, quotes, and photos are available. Cambridge Forum for Legal and Political Philosophy This is the main Web page for the Cambridge Forum for Legal and Political Philosophy, an organization that conducts scholarly investigations and sponsors work/reading groups on relevant topics in political and legal thought/philosophy. It is a good source for information in order to ground your lectures on the American political culture in their philosophical premises. Political Philosophy This site provides a series of videos containing lectures by Professor Steven B. Smith of Yale University covering an undergraduate introductory course in political philosophy. It is useful for generating ideas and for drawing connections between philosophical premises and their practice in the subsequent political development of the United States.

Chapter 2 THE REVOLUTION AND THE CONSTITUTION FOCUS QUESTIONS Q1

What are the decisive events and arguments that produced the American Revolution?

The contentious relationship between the colonists and the British began with taxes and tariffs imposed upon the colonists by the British Parliament in order to repay the debts incurred during the French and Indian War (Seven Years War) and other ongoing battles defending the British empire (Africa, India, etc.). Regarding the American colonies, the king and many members of Parliament believed the colonists did not do enough to defeat the French and protect the English colonies. Yet, the colonists were increasingly becoming more independent both economically and politically from their mother country. Thus, when Parliament imposed a series of taxes on imported goods the colonists became upset at these overt political maneuvers to increase revenues. Politically, the colonists were not officially represented in Parliament (although there was a nonvoting colonial delegate) and could not voice their opposition to the Sugar, Stamp, Declaratory and Intolerable Acts closing Boston Harbor, British troops being housed in private homes and the suspension of town meetings. In turn, the establishment of a military governor in the Massachusetts colony confirmed the dictatorial nature of the king regarding the plight of the colonies. In addition, the colonists are increasingly self-identifying as Americans and not British subjects. Contempt is building within the colonies as seen through public displays of disloyalty to the Crown by way of the Boston Massacre, the Boston Tea Party, and the publication of Thomas Pain’s Common Sense. As a result, the First Continental Congress convened in 1774. The Congress sent a petition of grievances to the King of England. The petition was rejected because Parliament viewed this Congress as an act of insurrection and therefore illegal. The Second Continental Congress met in 1775 and drafted a formal declaration indicating its secession from British rule, namely the Declaration of Independence. Additionally, the delegates formed a national military to use force, if necessary, to gain independence from Great Britain.

What changes in institutional design and allocation of powers were reflected in the first state constitutions?

Between 1776 and 1787 all thirteen states drafted new constitutions. Governors were denied veto powers, appointment powers, and control over the budget. The lower houses of the legislatures gained power at the expense of the upper houses. Suffrage was expanded in annual or biannual elections. State constitutions included more protections of individual liberties. However, a weak executive left many legislatures ineffective and unstable. Basically, in the years during and after the Revolutionary War,

2 the thirteen original states became increasingly democratic moving towards weak and largely de-centralized governments embodied with legislative supremacy but tempered by popular sovereignty. The executive was virtually left out of the equation and the upper houses were kept limited, this was the exact opposite of the condition of many colonial governments in the years leading up to the Revolution. Q3

How did the Articles of Confederation and the U.S. Constitution differ from the U.S. Constitution?

The Articles of Confederation did not provide an effective federal government. Fundamentally, it created a confederacy of thirteen largely independent states. There was no central executive, judiciary, separation of powers, checks and balances and no power to raise revenue other than by requesting it from the states. In fact, the only national political institution established in the wake of the Articles ratification in 1781 was the Confederation Congress, a unicameral legislative body with no specific executive or judicial components. This was not dissimilar to the interim national government provided in the institution of the Second Continental Congress. But, it would stand in stark contrast to what the Founding Fathers put together at the Constitutional Convention of 1787. This new legislative branch was extremely weak. Under the Articles of Confederation, Congress could not regulate commerce between the states or tax state citizens. There was no mechanism to generate revenue. So, if Congress wanted money, it had to request it from the states. Amending the Articles required unanimous approval from all the states. The Constitution established a federal system and sought to balance power between the states and the national government. Specific powers were given to each, others were denied to each, and some were given to both. The new Constitution included three branches of government: The executive, the legislative, and the judiciary. Each department has specific tasks indicating separation of powers. There are also checks and balances between the branches. The members of the Supreme Court are appointed by the president and confirmed by the Senate. Congress was designed as a bicameral legislature, with the lower house being the House of Representatives and the upper house, the Senate. The terms for members of the House are 2 years; while Senators have 6 year terms. The judicial and executive branches checked the legislation approved by Congress. However, Congress has the exclusive power to tax, spend, regulate interstate commerce, and declare war.

How did the Virginia and the New Jersey Plans differ about the kind of national government that each envisioned?

The Virginia Plan favored by the Federalists expounded the need for a strong federal government. The executive and the judiciary would be selected by the legislature. The legislative branch would be bicameral with the representatives of lower house being directly elected by the people and the membership of the upper house would be elected by the members of the lower house. The executive served a single 7-year term. The members of the federal court would consist of five members selected by the

3 Senate, with the lower courts selected by the lower house. The New Jersey Plan provided for a unicameral legislature where each state would have one vote. The executive would be selected by Congress. The executive would be limited to one term. There would be a federal judiciary with only appellate jurisdiction. Original jurisdiction was exclusively exercised by the state courts. Another way of seeing this is to suggest that the New Jersey Plan essentially just modified the existing national government under the Articles of Confederation by slightly increasing its executive abilities and granting it a judicial arm with limited law interpretation powers. Meanwhile, the Virginia Plan would become the roadmap for the Constitution with its separation of powers scheme and differential selection methods for members of the lower versus the upper houses. Note how the Virginia Plan uses proportional representation as its basic scheme for legislative organization thus empowering large states. Meanwhile, the New Jersey Plan utilizes the equality principle thus in practice empowering the smaller states. Q5

What role did the debate over a bill of rights play in the adoption of the U.S. Constitution?

The Anti-Federalists pointed to the absence of a bill of rights as the major deficiency of the Constitution. They believed that the Constitution itself was not enough to protect the rights of citizens as well as the states. Supported by a majority of the public, the anti-Federalists demanded that a bill of rights be attached to the Constitution before they would ratify the document. The Federalists opposed the Bill of Rights because they believed that any rights not included would be open to government intrusion. The antiFederalist position resonated with the mass’s fears that the federal government would become tyrannical and corrupt. The Constitution was officially ratified on June 21, 1788, primarily due to James Madison’s support for the Bill of Rights. Consequently, ten out of the twelve amendments were ratified in 1791. This debate was the first instance of the perennial question about the size and scope of the national government in its interactions with the states and the people. While in this instance a compromise was reached, the debate over big versus limited government across economic, social, and even foreign affairs continues to this day. Thus, largely bifurcating elites and masses across American political society and resonating throughout U.S. history right in to the present day.

CHAPTER OUTLINE I.

Background to the Revolution A. The Political Environment 1. In the early colonies the king appointed officials, known as royal governors, who were in charge of the colonial governments. 2. However, institutional mechanisms including separation of powers, checks and balances, representation, and bicameralism, were present in the colonial governments.

4 a. b.

The powers of royal governors and magistrates were limited. The legislative branch, specifically the lower house comprised of colonists who had little loyalty to Great Britain, controlled revenue collection (taxing), and appropriations (spending). 3. Opportunities for the colonists to participate in politics were limited to property owners and the religious and secular elite within each colony. Adding Economic Muscle 1. Due to the distance from England, the colonies became economically selfsufficient and many inhabitants began to see themselves as Americans rather than British subjects. This was augmented due to the burgeoning population of the colonies between the mid to late 1700s. 2. One begins to see an American character being formed that is becoming increasingly hostile to royal control of property. 3. A series of taxes imposed on them to repay the debts incurred as a result of the French and Indian War adds to the colonies tax burden and contempt for King Charles III. Removal of the French Threat 1. In 1763 The British and the colonists defeated the French in the French and Indian War (also known as the Seven Years War) and made Canada a British colony. 2. The French were driven out of North America to Canada. 3. More importantly, Great Britain is heavily in debt to the sum of £60 million (~$90 million). 4. The British were upset that some colonists continued to trade with the French during the Seven Years War. 5. The colonists were opposed to the taxes imposed on them by the Crown. 6. The colonies were not represented in Parliament (although they had a representative who attended Parliamentary deliberations but did not have a vote). Thus, they were being taxed by Great Britain without an opportunity to voice their concerns: Taxation without representation. Assertion of British Imperial Authority 1. The victory in the French and Indian War increased Britain’s national debt. a. The British began to take steps to raise revenue from the American colonists. b. Parliament imposed several taxes to raise revenue: The Sugar Act (1764) and the Stamp Act (1765). 1) The Stamp Act was rescinded in 1766 after London merchants complained it was hurting trade with the colonists. 2) In response, Parliament passed the Declaratory Act that reaffirmed the right to pass binding laws “in all cases whatsoever” upon the colonies. 2. Relations worsened due to the: a. Boston Massacre (1770). b. Boston Tea Party (1773).

5 3.

Parliament reacted to these events by passing the Intolerable Acts. a. Boston harbor was blockaded. b. military governors were installed c. town meetings were suspended, soldiers were housed in private homes, and criminal trials involving royal officials were conducted in London.

II.

First Steps Toward Independence A. The American Colonies Respond 1. The Intolerable Acts prompted a unified response by the colonies culminating in the First Continental Congress convening in Philadelphia on September 5, 1774. a. Petitions were sent to the king and Parliament seeking redress for the imposition of taxes and trading policies. b. The delegates adjourn agreeing to reconvene in 1775. 2. Revolutionary Action a. The relationship between the colonists and Great Britain sour. 1) The British interpreted the actions of the First Continental Congress as an act of defiance and increased the number of troops in America. 2) The colonists wanted the soldiers out of Boston, New York and Charleston harbors. 3) The political culture of the colonists change and distinctions between those who remain subjects of Great Britain (Loyalists) and Patriots are made. b. In the early morning hours of April 19, 1775, British troops incur casualties from armed colonial militias at Concord and Lexington in Massachusetts. 3. The Second Continental Congress a. The Congress met again in May 1775 to organize an army. b. George Washington was appointed commander-in-chief. 4. On May 15, 1776, the Virginia House of Burgesses instructed their congressional delegation to propose independence. 5. On June 7, 1776, Richard Henry Lee of Virginia proposed independence.

III.

The Declaration of Independence A. On July 4, 1776 the Second Continental Congress adopted the Declaration of Independence. B. The English philosopher John Locke greatly influenced the tenets of the Declaration of Independence. 1. The Declaration was the only written document governing the thirteen colonies from 1776 to 1781. 2. The Declaration emphasized a. economic and political liberty

6 b.

4. 5.

IV.

a legislature that would “mirror” the wishes and interests of the people over the wants of an executive monarch c. the virtue of republicanism was advanced in which the individual transforms his self-interests, skills and trades toward the common good (e.g. personal interest promotes the public good) d. inalienable rights: As human beings the rights “of life, liberty and the pursuit of happiness” are non-negotiable Within the document four truths are held to be self-evident: a. All men are created equal. b. Men are endowed by their creator certain inalienable (unalienable) rights c. Government derives (receives) its power from the people. d. It is the right and duty (imperative) of men to “throw off” (overthrow) despotic (tyrannical) governments. Locke’s social contract theory posits that if government does not serve the people, the people can redesign or replace it. In conclusion, the colonists declared their independence from Great Britain because the royal government breached this social contract.

Governance During the Revolutionary Period A. Independence Sparks Constitutional Change 1. The outbreak of war led to many changes in state constitutions. a. There was a redesign in institutions and the allocation of power. b. These changes emphasized a more democratic political process. 2. The State Constitutions a. In the states, more political influence shifted to the lower house of the state legislatures. 1) This reduced the power of the governor. 2) Governors usually lost the power to veto legislation and to appoint officials, and had less power over the budget. b. Citizens obtained more protection from government in the areas of free speech, criminal trials, and the press. B. The Articles of Confederation 1. Under the Continental Congress there was no national executive, judiciary, or any system of checks and balances. 2. The original framework of the government of the United States. It went into effect in 1781 and was superseded by the U.S. Constitution in 1789. 3. The Articles of Confederation were written establishing a central government for the colonies. Specifically, this document gave Congress the power over foreign relations and several domestic concerns such as regulating coinage, starting a postal system, and appointing military officers. 4. Basically, The Articles established a weak central government which could not compel states to respect treaties, could not regulate interstate commerce and foreign commerce, could not collect taxes directly from the people nor compel the states to pay for costs of the national government. Most importantly, no

amendment could be written until the legislature of every state affirmed the proposal. 5. The problem was how to provide a sense of national unity among the 13 colonies that held different customs and industries: a. Southern colonies: agrarian b. Northern colonies: industrial c. Congress had the power to borrow money. 1) No standard monetary system 2) Could not fund a national military 3) Relied on local garrisons and militias for defense d. It simply provided the feeling of state cooperation. 6. The Articles provided a document expressing the aspiration and potential of transforming into a stronger union by some colonists. Political Instability During “The Critical Period” (1781-1787) 1. The Articles of Confederation were ineffective to provide stability and foster economic growth in the newly established United States of America. 2. Subsequently, delegates from five states (Delaware, New Jersey, Pennsylvania, New York and Virginia) attended the Annapolis Convention to address the weaknesses with the Articles of Confederation and adjourned on September 11, 1786, with the agreement that: a. A stronger central government was needed. b. Disputes among individual states concerning trade and interstate commerce must be reconciled. 3. No one event illustrated the need for the Articles to be revised more than Shays’s Rebellion where farmers and debtors in Massachusetts protested high taxes. 4. This rebellion pointed out three problems the country faced: a. A pattern of struggle between rich and poor led to domestic instability b. State constitutions were not enough to produce stability c. The national government as then constituted offered no solution.

The Constitutional Convention A. The Founders met in Philadelphia in May 1787 to address the problems under the Articles of Confederation and amend the document. Initially, there was no indication that a new ruling document would be designed. 1. The backgrounds of the delegates who attended the Constitutional Convention a. There were 55 delegates from 12 states. b. They were relatively young and well educated. c. They held previous public offices. d. They were the elite of colonial society. B. A Foundation of Basic Principles 1. While the delegates had differing opinions on how to amend the Articles of Confederation each agreed that the following political principles and institutional design were needed.

8 2.

A foundation of the basic political principles and intuitional possibilities of the Federal Convention of 1787 were: a. Limited government b. A written constitution was needed to delineate and limit the powers of government c. A representative government that would best governs a nation of diverse traditions d. Federalism or how power would be shared between the states and the federal government e. Separation of powers in the federal government 1) Executive Branch, characteristic: energy; power: the sword 2) Legislative Branch, characteristic: will; power: the purse 3) Judicial Branch, characteristic: reason; power: neither the purse nor the sword f. Checks and balances among the institutions 1) Prevents one person, faction or institution encroaching on the powers of the other branches 2) Institutions of government are not totally separate 3) Each branch of government checks the other 4) Examples are the executive veto of legislative bills 5) Bicameralism is a check that divides legislative power between the two Houses in Congress (Federalists only). The Convention Debates 1. The delegates selected George Washington to preside at the convention, which met in secret. 2. James Madison and other attendees kept journals that provide the best record of what took place. 3. The Constitutional Convention centered on the size and scope of the federal government. a. The Northern states and larger mid-Atlantic states largely supported the Constitution. b. Conversely, the smaller states feared a stronger national government would be contrary to their interests and therefore they favored the status quo of state sovereignty. 3. The Virginia Plan a. James Madison researched state constitutions thoroughly and brought his expertise to the Federal Convention of 1787. b. Madison proposed the necessity for a more powerful national government. c. Madison’s Virginia Plan was introduced by Gov. Randolph on May 29, 1787. d. Elements of the plan included: 1) A national bicameral legislature 2) The powers of Congress would be significantly increased

9 3) 4)

E. .

Executive and judicial officers appointed by the legislature The new constitution would be ratified by popularly elected state conventions. 4. The New Jersey Plan a. William Patterson introduced the New Jersey Plan on June 14, 1787. b. The plan favored the smaller states: 1) The national judiciary would have limited jurisdiction. 2) Congress would be unicameral, and each state would have one vote. 3) Congress would elect the executive, who would serve only one term. 4) The plan called for a weaker federal government. 5. The Great Compromise (a.k.a. The Connecticut Compromise) a. The convention accepted and amended the Virginia Plan and favored it over the New Jersey Plan. b. However, a problem arose over representation in Congress. 1) Large states desired representation based upon state population. 2) Small states demanded equal representation. c. The Great Compromise based the House of Representatives on population and the Senate on equal representation for each state. 6. The Commerce and Slave Trade Compromise a. Northern delegates wanted to shape national commerce and trade policy b. The presence of slaves posed a problem. 1) Agreed to Northern interest in commerce and Southern concerns over slavery 2) Eventually slaves were counted as three-fifths a person. (This was later eradicated per the Fourteenth Amendment, section 2.) 3) The slave trade could not be prohibited until 1808. 7. The Compromise on Presidential Selection a. Debate then centered on who would select the president. 1) Some wanted an independent executive to check the legislature. 2) Some wanted an executive selected by the legislature. b. The Brearley Committee provided a compromise. 1) The solution was the electoral college. 2) Electors would select the president. 3) The number of electors was equal to the number of House and Senate members assigned to each state. 4) If no candidate received a majority, the House of Representatives, voting by states, would select the president. The Constitution As Finally Adopted The Constitutional Convention produced an entirely new document providing a stronger federal government. The Constitution 1. The Preamble:

10 a.

The Preamble declares the Constitution to be an act of the people, not the states. Thus, the power of government harkens back to the earliest compacts whereby the governed consent to be governed. b. It then lists the objectives the Constitution was designed to achieve. Article I: The Legislative Branch a. Section 1 states that all legislative power rests in Congress. b. Section 7 grants the president the power to approve or veto bills. c. Section 8 lists seventeen enumerated powers such as taxing, regulating commerce, and raising an army and navy. d. Section 8 also includes the “necessary and proper” clause. 1) Congress can take necessary and proper steps to execute its enumerated powers. Article II: The Executive Branch a. Section 1 spells out the selection of the president, lists qualifications for office, and contains the presidential oath. b. Section 2 declares the president is commander-in-chief of the armed forces. c. The president is authorized to make treaties and appoint executive officers and federal judges with the “advice and consent” of the Senate. d. Section 3 states the president must assess the “State of the Union” from time to time. e. The president is to take care that the laws be faithfully executed. f. Section 4 details the process of impeachment. Article III: The Judicial Branch a. Section 1 vests the judicial power in the Supreme Court and in as many inferior courts as Congress chooses to create. b. Section 2 details the jurisdiction of the Supreme Court. c. Section 3 defines treason. Articles IV and VI: Federal Relations a. Article IV, section 1, the Full Faith and Credit Clause, and section 2, the Privileges and Immunities Clause, guarantee reciprocity of legal acts between the states. b. Article VI declares that the Constitution shall be the supreme Law of the Land, limiting state power. Article V: The Amendment Process a. There are two ways amendments to the Constitution can be proposed: 1) If two-thirds of both houses of Congress concur on the proposed amendment, it is put forward, or 2) If two-thirds of the state legislatures call for an amendment, Congress must convene a convention to consider it. (This has never been used.) b. There are two means to ratify amendments: 1) Three-fourths of state legislatures must agree on ratification, or

11 2)

VI.

Conventions held in three-fourths of states agree on ratification. (This has been used only once, for the Twenty-first Amendment.) c. The Constitution can be changed but it is very difficult to do so. 1) Only 27 amendments have been ratified. 2) Six others, such as the Equal Rights Amendment, have been formally proposed but not ratified. 3) Hundreds more have been introduced in Congress but failed to receive the required two-thirds vote in both houses. d. In some cases Congress imposed a time limit of seven years for ratification but in most cases it did not. Omissions in the Constitution a. The Constitution does not mention political parties, the presidential cabinet, the bureaucracy, or vacancies in the vice-presidency. b. Congress was left to fill in the blanks.

The Struggle Over Ratification A. Supporters of the Constitution feared the document would not be approved because it would need to be ratified by all 13 state delegations as stated in the Articles of Confederation. B. Thus, supporters passed Article VII stating that only nine states were needed to ratify the Constitution before it would go into effect. 1. Seven months later, New Hampshire became the ninth state to vote in favor of ratification and the Constitution was ratified. Yet, two large states, Virginia and New York, still had not. 2. The votes were close, but Virginia and New York soon followed, largely through the influence of Washington in Virginia and Hamilton in New York. a. The last two states, North Carolina and Rhode Island, ratified the Constitution on November 21, 1789 and May 29, 1790 respectively. C. Federalists versus Anti-Federalists 1. Americans became divided into Federalists who supported the Constitution, and the Anti-Federalists who opposed it. a. The Federalists published their viewpoints supporting the Constitution in newspapers mainly in New York City but they were distributed throughout the colonies. 1) Known as the Federalist Papers, these writings provide the theoretical framework for our Constitution. 2) They were composed under the pen name Publius. 3) The 85 Papers were authored by James Madison, Alexander Hamilton, and John Jay. 4) The Federalists proposed: (a) A large nation with a diverse population would best function under a federal system government. (b) The presence of many groups would prevent a stable societal majority from oppressing a minority.

12 (c)

VII.

Separation of powers and checks and balances would limit governmental majorities. b. The anti-Federalists opposed the Constitution 1) These writings were written under the pen names Cato and Brutus. 2) The authors included George Clinton, John DeWitt, Patrick Henry, and Melancton Smith. 3) The anti-Federalists: (a) favored smaller government that was closer to the people (b) believed the national government would be too powerful (c) believed a single executive would become despotic. 2. What resulted is one of the most intelligent extended public debates regarding the structure (institutional design) and function (purpose) of government. A Concession to the Opposition: The Bill of Rights 1. A main concern of the Anti-Federalists was the absence of a Bill of Rights. This contention also had public support. 2. Due to public pressure the Federalists approved the addition of a Bill of Rights. 3. On September 28, 1789, Congress proposed 12 amendments for ratification. In 1791 ten were ratified by the states and became known as the Bill of Rights. In 1790 Alexander Hamilton made a deal with two prominent Virginians, Thomas Jefferson and James Madison, to move the national capital from New York City to what is now Washington, D.C. In return, Hamilton was able to establish the First U.S. Bank to both pay back the money borrowed to fund the Revolutionary War and, more importantly, to establish the United States of America as a country able to compete militarily and economically with other countries.

Considering Constitutional Reform A. Contemporary Critics Reveal Constitutional Deficiencies 1. Supreme Court Justice Thurgood Marshall a. The intent of the Constitution was unfinished when ratified, which resulted in a defective government unable to deal justly with race relations and individual rights. b. The Constitution has required several amendments, a government that faced a Civil War, and fundamental social transformations to realize a modern system of constitutional government. 2. Democratic Theorist Robert Dahl a. Scholarship reveals that the original intent of the Framers was not to create a democratic constitution, as demonstrated with the design of the Electoral College. b. The conventional acceptance of the power of judicial review to be wielded by judges against executive actions and legislation demonstrates a bias against a broader commitment to democracy. B. Correcting Inefficiencies in American Constitutional Democracy 1. Government Professor Sanford Levinson

13 a.

Parliamentary government would correct the unnecessary and cumbersome arrangement of lawmaking via the House, Senate, and presidency. The states and Congress ought to call for a constitutional convention to address the inefficient aspects of government in the Constitution.

LECTURE SUGGESTIONS Institutional Focus: The Constitutional Debate I.

The Federalist/anti-Federalist debate regarding the proper size and scope of the federal government A. The Debate of the Constitutional Convention

Federalists’ Beliefs 1. Strong central government best protects the people

Anti-Federalists’ Beliefs 1. Strong central government will lead to tyranny.

2. Need national government to gain respect at home and abroad

2. Need Bill of Rights to protect individual liberties and states’ rights

3. Government of checks and balances to limit the use of power

3. Judicial activism will occur at national level. National Gov’t will become too powerful

4. Need a national judiciary to interpret the U.S. Constitution a. determine what law is b. least dangerous branch: judicial review of Congress

4. President will become too powerful under U.S. Constitution

5. Need strong Executive Branch, president: a. conduct diplomacy b. Commander and Chief c. execute laws of the land d. to be elected indirectly e. checked by Congress 6. Thought that the Bill of Rights was not needed due to existing State constitutions 7. Government of limited powers a. only perform duties that are spelled out in Constitution .

5. States are the key to liberty\freedom 6. National Constitution will deprive States of authority within their boundaries 7. Legislative Branch: a. powerful b. corrupt 8. Financial power of the National Gov't to tax individuals within states is intrusive to States' Rights. National Gov't will take away State revenues. 9. Local militias adequate for defense of individual states.

14 b. limited powers: narrowly constructed 8. Pessimistic view of human nature: elite should rule

10. Optimistic outlook on human nature commoners can rule 11. Favored powerful state governments

9. Favored a powerful national government 10. Representatives should filter constituency: trustees 11. Viewed the Constitution as a means to promote economic growth and protect property rights

12. Representatives should mirror constituency: delegates 13. Viewed the Constitution as tyrannical leading to corruption because it did not ensure liberty 14. Favored liberty

12. Favored stability B.

Yet, the debate instituted a new outlook on government. 1. The Founders embraced principles such as a. Limited government b. Representative government c. Separation of powers d. Checks and balances e. An elected monarch—the president! 2. The Convention sought to modify these principles and add others such as federalism and a written constitution. The culmination of the debate The tenets of the Virginia Plan supported by the Federalists and authored by James Madison eventually prevailed. The Constitution established an electoral college to indirectly elect the president, a bicameral congress and a national judiciary, known as the Supreme Court whose members were appointed by the president and confirmed by the Senate. This institutional structure including the Bill of Rights comprises the United States Constitution.

American Political Development (APD) Focus A.

The heritage of U.S. Constitution is not predicated upon one individual philosophy or specific event. Instead, the basis of our government may be viewed as a culmination of religious covenants, local compacts and regional differences. These influences coupled with a developing American character transformed a confederacy of colonies into a republic composed of independent states with written constitutions. The theoretical basis for the American system of government must be understood through examining the historical events, theoretical reasoning, and political documents that influenced the principles of the U.S. Constitution.

15 C.

The origin of American constitutionalism was based upon religious convictions enumerated within church charters or covenants. Within these early years of our republic, an individual took an oath or made an obligation to govern a village or colony according to God’s rules, i.e. “as God is my witness.” Yet, an appeal to the community was sought. 1. The Mayflower Compact of 1620 was the first document to create a government based upon the approval of the governed. 2. The Plymouth Agreement created a representative government based upon established political institutions via the consent of the community. 3. The Providence Agreement of 1637, under the direction of Roger Williams, further defined the common good as contingent upon popular sovereignty. In 1641, The Settlers Upon the Piscataqua changed the prevailing, non-secular belief expressed in religious and political covenants; instead, advancing governing according to compact or the belief government is based upon the independent will of the people and therefore hold the power to rule. This document was significant to the development of our current Constitution for several reasons: 1. Signified a mutual agreement to establish governing based entirely upon "a purely political entity, their body politic" instead of a church (Lutz, 1988, p. 31). 2. The compact demonstrates that the colonists relied upon popular sovereignty as the basis for government not a monarchy or deity. 3. The impetus of American constitutionalism emerged through this conviction to popular sovereignty and representation in government. a. The Laws and Liberties of Massachusetts, covenants began to "evolve from a communitarian perspective into a more legalistic view of politics" (p. 35). b. The Pilgrim Code of Law in 1681 codified administrative practices, legislative requirements and duties of the General Court, election cycles, and the operations of political institutions. Furthermore, colonial constitutionalism was influenced by regional traditions. Within the colonies, there were three predominant political subcultures (political orientations) with diverse views on the proper scope of government and who should participate. 1. The traditionalist subculture associated with the more homogenous Southern colonies viewed government as paternalistic and instituted to support the aristocracy, i.e. landed gentry. 2. The individualistic political culture in the mid-Atlantic states valued competition which largely advocated minimal government intervention in economic matters and advanced the notion of utilitarianism. Therefore, government mediated economic and social issues due to competing policy initiatives which are associated with larger, heterogeneous, metropolitan areas. Political participation was concentrated among men of commerce but also property requirements to hold public office existed.

16 3.

Conversely, the New England colonies displayed a moralistic political subculture given a strong communitarian belief that the role of government should be to advance the needs of the community over personal self-interest. The state constitutions represented the various regional differences regarding the scope and composition of government. However, there were similarities among the state constitutions: 1. bicameral legislature 2. popular elections of the lower house 3. enfranchisement of white adult males 4. popular elections for the office of governor, 5. an elimination of religious provisions from politics 6. recognition of inalienable rights. Debate at Constitutional Convention on how to understand the limits, if any, of democratic governance. 1. Alexander Hamilton and John Dickinson distrusted popular control; demanded a property stake in society to limit those permitted to vote in political elections 2. Benjamin Franklin and George Mason favored broader suffrage rights for those affected by society’s policies 3. James Madison sought a middle ground of limited participation in government by permitting voters only the right to send representatives to the lower house of Congress

PROJECTS, EXERCISES, AND ACTIVITIES 1.

During the Federal Convention of 1787, several constitutional plans were put forth for the delegates’ consideration, including the Virginia Plan, the Pinckney Plan, the New Jersey Plan, and the Hamilton Plan. From May until September, the delegates debated the merits of each plan and through compromise ultimately wrote a constitution that most of the delegates could support. Access the website http://www.ourdocuments.gov/doc.php?flash=true&doc=3 and examine the Articles of Confederation, the Virginia Plan, and the Constitution to identify some of the key similarities and differences in the evolution of the separation of powers from the Articles of Confederation to the U.S. Constitution.

While there is no mention of political parties in the U.S. Constitution, two political factions arose with different views on how government should be structured. These two groups, the Federalists and anti-Federalists, held differing views regarding the relationship between good government and the polity. How did the factions differ regarding the role of the citizenry in the political arena? How were they similar? In effect, who should rule according to each group? What were their views concerning human nature? Refer to the aforementioned Institutional focus outline to facilitate discussion.

17 3.

Access the website http://www.constitution.org/cons/natlcons.htm and examine the constitutions of other countries. What are the similarities and differences among them? Can the tenets of the United States Constitution: limited government, separation of powers, checks and balances, federalism, and inalienable rights succeed in new democracies such as Iraq, Afghanistan, and Russia? Why or why not? Are these values universal to all cultures? What are some reasons for countries to oppose a representative democracy?

Which branch of government has the greatest power under the Constitution? Briefly describe the powers the legislative branch is granted in the U.S. Constitution. In a paragraph describe the roles and duties of the judicial branch as stated in the U.S. Constitution. Now outline the duties and powers of the President of the United States. In your opinion, which branch of the U.S. government (executive, legislative, judicial) is the most democratic? Finally, which branch of the U.S. government (executive, legislative, judicial) do you believe is the least democratic? Support your answers with information from the textbook and class lectures.

At the Constitutional Convention, the Framers debated how to ensure that the new federal government would have popular input as well as maintain competency in designing public policies. With regard to popular input, they offered several approaches to suffrage, some more broadly construed than others. Compare and contrast the assumptions underlying the three approaches suggested by Alexander Hamilton and John Dickinson, Benjamin Franklin and George Mason, and James Madison. Now, visit the website https://plato.stanford.edu/entries/democracy/ for an introductory review of basic theories of democracy. How democratic were these three approaches discussed at the Convention?

ADDITIONAL RESOURCES Supplemental Readings Bailyn, Bernard A. 1967. The Ideological Origins of the American Revolution. Cambridge, MA: Harvard University Press. Bowen, Catherine Drinker. 1986. Miracle at Philadelphia: The Story of the Constitutional Convention. New York: Little Brown & Co. Elazar, Daniel. 1972. American Federalism: A View From the States. Second Edition. New York: Thomas Y. Crowell. Farrand, Max. 1911. The Records of the Federal Convention of 1787. New Haven: Yale University Press. .

18 Frohnen, Bruce (ed.). 2002. The American Republic: Primary Sources. Indianapolis: Liberty Fund. Kammen, Michael (ed.). 1986. The Origins of the American Constitution: A Documentary History. New York: Penguin Books. Kesler, Charles R (ed.). 1987. Saving the Revolution: The Federalist Papers and the American Founding. New York: Free Press. Ketcham, Ralph (ed.) 1986. The Anti-Federalist Papers and the Constitutional Debates. New York: Mentor. Lutz, Donald. 1988. The Origins of American Constitutionalism. Baton Rouge: State Press.

Louisiana

Madison, James. 1987. The Debates in the Federal Convention. Promethean Press. Meyers, Marvin ed. 1973. The Mind of the Founder: Sources of the Political Thought of James Madison. Hanover, NH: University Press of New England. Paine, Thomas. 1995. Common Sense. New York: Barnes and Noble Reprinting. Rakove, Jack M. 1996. Original Meanings: Politics and Ideas in the Making of the Constitution. New York: Vintage. Rossiter, Clinton (ed.). 1961. The Federalist Papers. New York: Penguin/Putnam Press. Womersley, David (ed.). 2006. Liberty and American Experience in the Eighteenth Century. Indianapolis: Liberty Fund. Wood, Gordon S. 1991. The Radicalism of the American Revolution. New York: Vintage Books.

Websites Founding Fathers Biographical information about the Framers of the Constitution. Early America This site provides copies of the Declaration of Independence, the Constitution, and the Bill of Rights along with images, texts, relics, newspapers, and literature of eighteenth-century America. National Constitution Center .

19 Provides educational resources concerning the U.S. Constitution, writings regarding the American founding and American politics. American Constitution Society The American Constitution Society for Law and Policy is a progressive legal organization that promotes the fundamental values of individual rights and liberties, equality, justice and the rule of law, and democracy expressed in the U.S. Constitution. Day-by-Day Constitutional Debates Provides a detailed account of the 1787 Federal Convention in Philadelphia. The proceedings are provided from James Madison’s journals. This link is provided to the main page of the Constitution Society. The organization is a non-profit group dedicated to constitutional scholarship. The Constitute Project This site provides links to other countries’ constitutions and is a good resource for comparative studies regarding government institutional research. Founding Fathers Video This YouTube video is a clip from the History Channel’s program on “The Founding Fathers”; it is introductory in nature but provides a nice set-up for a presentation or class discussion on the role these individuals played in establishing our constitutional society. Constitution Day This site contains instructor materials for exercises informing and celebrating the U.S. Constitution, it can be a useful reference or a place to draw activities from for your students. Democracy The Stanford Encyclopedia of Philosophy provides an overview of definitions of democratic theory from which students may compare and contrast diverse points-of-view on the extent to which suffrage is broadly or narrowly construed.

Chapter 3 FEDERALISM AND AMERICAN POLITICAL DEVELOPMENT FOCUS QUESTIONS Q1

How did the meanings of the terms federal and federalism change over the course of the founding and early national periods?

“Federalism” comes from the Latin root foedus, meaning treaty, compact, or covenant. Federalism may be defined as a governmental structure of self-rule and shared rule. Initially, the colonial governments developed as a loose confederal system whereby sovereignty resided within the state and local governments. As addressed in Chapter 2, this presented a series of problems given there was an inability to regulate interstate commerce and provide for the common defense under the Articles of Confederation. Thus, some anti-Federalists and all Federalists believed it was vital to strengthen the powers of the federal government although they differed as to the degree. Consequently, the Articles were disregarded in favor of the Constitution, providing greater powers for the national government; yet, upholding republican principles in which the states retained certain powers. In turn, the U.S. Constitution delineates federal powers and allocates those powers not enumerated to the national government as reserved to the states in the Bill of Rights’ Tenth Amendment, which is the cornerstone of the American federal system.

What powers and responsibilities did the U.S. Constitution give the national government in relation to the states and to the states in relation to the national government?

The U.S. Constitution enumerates powers to the federal government and state governments but also stipulates certain powers are shared between the two. These are known as concurrent powers. Powers vested in the federal government include the power to admit new states into the Union, coin money, declare war, regulate interstate commerce, raise and maintain an army for defense, and conduct diplomacy with other nations. The powers reserved to the states include regulating intrastate commerce, police powers (known as reserved powers including the creation of local governments and regulating health, education, safety, and upholding morals), ratifying amendments to the U.S. Constitution, and determining the time, manner, and place for elections. Alternatively, states may not enter into treaties with other nations, coin money, enact tariffs, declare war or deny due process or equal protection under the law to citizens. The national and state governments share the power to enact eminent domain, establish banks, borrow money, collect taxes, enact legislation, and enforce laws (state and federal) providing for the general welfare. The Constitution also provides for implied powers. Congress has the power to make all laws which are deemed to be “necessary and proper”

for fulfilling its enumerated powers. In addition, there are inherent powers including the federal government’s power to defend its boarders and appropriate land, if needed. Q3

How did the expansion and integration of the American economy shape the balance of governmental power and authority within the federal system?

Two competing beliefs regarding the scope, size, and powers of the federal government have been debated since the inception of our system of government. Historically, the colonies were divided between agrarian interests and mercantilism. Two competing visions of American federalism quickly emerged. Hamiltonian nationalism advocated the nation is paramount to the existence of state governments and maintains the need for a strong national government to promote commercial interests. Alternatively, the Jeffersonian or a state-centered model maintained the states pre-date the national government and advances a system of small, local governments commonly found in agrarian societies. The Hamiltonian nation-centered model of federalism advocated the need for a national bank to secure U.S. currency, which would promote an industrial economy allowing American businesses to trade and compete on a global level with countries that were developing a merchant economy such as France and England. The Jeffersonian model advocated sovereignty resides in the states with currency secured by state banks. This would become a major campaign of President Andrew Jackson in 1828. However, the emerging industrial economy in New England and the Mid-Atlantic states during the 1840s and 1850s began to challenge the viability of state-centered federalism supporting the Southern agrarian economy. These competing notions of federalism were among the factors leading to the American Civil War. Under the leadership of Abraham Lincoln and the subsequent victory of the North, the economy and governmental structure became primarily nation-centered. Throughout the late 1800s and early 1900s a massive expansion in manufacturing and industrialization occurred with corresponding federal court cases that limited the discretion of the federal government to intervene in that expansion due to the doctrines of laissez-faire, selective incorporation, and the guarantee of due process. Presidents Theodore Roosevelt and Woodrow Wilson advocated the need for a more energetic federal government in national economic matters. However, as a result of the Great Depression in 1929 and the election of FDR in 1932 and the subsequent Supreme Court ruling—Wickard v. Filburn (1942), the national vision first proposed by Alexander Hamilton has prevailed to integrate global markets and augment federal intervention within all aspects of the economy, especially through tax redistributive mechanisms like grants-in-aid as well as federal mandates. But, in recent decades due to devolution, tax cutting, and macro-economic de-regulation schemes the United States has returned to a more limited version of federalism where block granting has often displaced categorical granting. In fact, in a rare decision, the Supreme Court—in Printz v. U.S. (1997)—cited the Tenth Amendment’s recognition of the reserved powers of the states to nullify a federal law.

Also, there has been a corresponding decrease in the size and scope of the federal government’s activities relative to the states continuing on into the first term of the George W. Bush administration. This in turn has been offset somewhat by the development of Homeland Security, a recent return to federal social program expansion as well as macro-economic re-regulation in the mid to late 2000s and early 2010s. While continuing some of the thrusts of de-regulation, the administration of Barack Obama increased the presence of the federal government in others, particularly in nationallycoordinated health care provision, especially as the Supreme Court eventually upheld Obamacare. With the new administration of Donald Trump, assertion of renewed federal authority took a different turn with increased enforcement of emigration policies and efforts to undermine sanctuary cities through denial of federal grants. Q4

What fiscal and political forces led to the change in American federalism called “devolution”?

Devolution or the return of political authority and fiscal control from the national government to the states may be seen as a reaction to the expansion of federal prominence as a result of the New Deal programs enacted under Franklin Delano Roosevelt’s administration. As a result, funds were transferred from the national government to the states to support state and local programs. States became increasingly dependent on grants from the federal government to support their programs. This reliance on federal funds for state programs became a central feature of the idea of fiscal federalism. In turn, the federal government began to experience large budget deficits during the late 1970s, 1980s, and early 1990s. The burgeoning national government was beginning to be viewed as too powerful, costly and intrusive. In 1980, the election of Ronald Reagan as president ushered in the idea that the role of the federal government should be reduced, prompting a reduction of federal intervention (and federal funding) in state matters. Subsequently, Reagan cut federal grants to states by more than 25 percent. Devolution continued throughout the 1990s and into the twenty-first century. Consequently, this has prompted the states to fund their existing programs by generating state revenue and relying less on federal grants. Furthermore, the 1997 welfare reforms, the 2001 No Child Left Behind (Education) Act and the 2002 Homeland Security reforms have produced mixed signals whereby the federal government mandates state and local government must implement these programs but should not expect large contributions from the federal government to do so. The character of devolution has been left in the air in recent years as the Bush, Obama, and Trump administrations actually moved toward greater centralization of federal policy initiatives in healthcare, domestic surveillance, immigration, and macro-financial regulation in terms of their content and implementation relative to the states. Even after the Obama administration’s substantial funding of economic stimulus programs during the Great Recession of 2008-2009, federal spending returned to pre-recession levels as the economy began to improve.

Have the complexities and dangers of the twenty-first century rendered our government essentially national, or do state and local governments still have important roles to play?

Globalization of the world’s communication, trade, and finance structures has illustrated the need for a coordinated federal system of government. Federalism contains two fundamental ideas: (1) political power is necessary, though dangerous, and must be divided between levels and branches of government, and (2) particular powers and responsibilities are best assigned to a particular level of government. Yet, Immigration, national security, Hurricanes Katrina and Maria, as well as the domestic effects of changes to international and regional trade agreements, such as NAFTA, climate change policies, and the imposition of tariffs, have exposed the strengths and weaknesses of American federalism. Increasingly, foreign policy is defined more by its confluence with domestic policy referred to by scholars as “intermestic policies.” The War on Terror with its implications for security, immigration, and even trade is just the most recent example of a fundamental change in the character of federal relationships brought on by new events such as this. What have become apparent are all levels of government—federal, state, and local—must respond to these changes. Furthermore, as the unexpected pandemic of the novel coronavirus erupted worldwide in 2020, its devastating impact on the American economy and rapid depletion of health care resources for the immense number of Americans who contracted the disease called into question once again the role of the federal government in a national crisis. Different approaches to restarting the economy while containing the pandemic revealed strikingly different proposed solutions in the presidential campaign, as Donald Trump maintained a weak federal response that relied on the autonomy of the states, while his competitor, Joe Biden, advocated a more central and robust role for the federal government to coordinate efforts with the state governments.

CHAPTER OUTLINE I.

What is Federalism? A. The United States has a system of government called federalism that divides power between a central (federal) government and state and local governments. B. Federalism may be seen as a dichotomy whereby self-rule is congruous with shared rule. C. The dilemma of federalism concerns what powers should be granted and denied to the various levels of government.

II.

The Original Meaning of Federalism A. The term “federalism” originates from the Latin word, foedus meaning “treaty, compact, or covenant.” B. The early colonial governments were designed as loosely connected alliances which could best be described as confederal in which separate republics formed political

alliances to coordinate foreign affairs and provide for a greater defense and promote trade among the colonies. Yet, each colony had sole authority over domestic affairs. 1. These political arrangements provided decentralized and fragile alliances. 2. One of the most well-known examples of confederal relationships was seen in ancient Greece 3. Political alliances in the American colonies include the “Mayflower Compact” and the Articles of Confederation. 4. During the Revolutionary War Americans were united against Great Britain. However, gaining independence proved to be difficult. In effect, the deficiencies of the Articles of Confederation illustrated the weaknesses of a confederation of states. III.

Federalism in the Constitution A. Led by James Madison and Alexander Hamilton, the Federalists initially favored a unitary government or a system of government in which all significant powers reside in a central entity; thus, superseding state and local governments. 1. Historically, the most common form of government 2. Provides the greatest probability for stability. B. However, to appease the anti-Federalists who favored state sovereignty, the Federalists proposed a division of powers between state, local, and a central government. C. Thus, dual federalism is a system of government where the national and state governments have separate spheres of authority and specific functions. 1. Yet, power originates from the consent of the people. 2. Under a written Constitution certain powers are granted to the national government while denied to state governments, certain powers are shared by both the national and state governments, with the remaining powers are reserved to the state governments and the people.

IV.

Enumerated, Implied and Inherent Powers in the U.S. Constitution A. There are several different types of powers granted in the U.S. Constitution. 1. Enumerated powers or powers specifically granted to the federal government include those granted to Congress in Article I, section 8: a. The power to coin money b. The power to raise an army and navy c. The power to declare war d. Provide for the common defense e. Establish inferior courts. 2. Implied powers are provided in Article I, section 8, of the U.S. Constitution whereby Congress has the authority to “make all laws necessary and proper for carrying into execution the foregoing [enumerated] powers”: a. Regulate interstate commerce

The anti-Federalists were concerned that Article I, section 8, also known as the “elastic clause” would allow the federal government to encroach upon the sovereignty of state governments. Inherent powers are those powers not enumerated in the Constitution but are necessary to safeguard the Union against attack or insurrection and geographic expansion. In effect, these powers are a necessary component of any sovereign nation a. Annexing land: The Louisiana Purchase, territories, adding new states b. The executive power to react and respond to internal and external threats.

Concurrent Powers A. Concurrent powers are those responsibilities granted to the national and state governments: 1. The power to tax 2. The power to establish courts 3. The power to construct highways 4. The power to establish banks and borrow money.

VI.

Powers Denied to the National Government A. The powers denied to the federal government are listed in Article I, section 9, including: 1. Denying habeas corpus 2. Prohibiting bills of attainder 3. Forbidding ex post facto lawmaking

VII.

Powers Reserved to the States A. Reserved powers are powers not granted to the federal government and therefore left to the sovereignty of the states per the Tenth Amendment. 1. Reserved powers are categorized into three types: a. Police powers—states are responsible for regulating public health, safety, welfare, and morals b. Provision of services—states are the primary supplier of education c. Control of local governments—local governments (city/local/township) exist at the behest of the state governments by conducting elections

VIII. Powers Denied to the State Governments A. To strengthen the Articles of Confederation, the Constitution provides that states are forbidden to exercise certain powers. 1. Powers denied to the states include: a. The power to enter into treaties with foreign governments b. The power to coin money c. The power to impose tariffs.

IX.

Federal Obligations to the States A. Article IV, sections 3 and 4, guarantee the provisions stating: 1. Each state shall retain its geographic boundaries 2. Each state will be guaranteed a “Republican form of Government.” 3. The federal government will protect each state from invasion or insurrection.

Relations among the States A. To provide a union of states, Article IV, sections 1 and 2, provide that states must recognize the acts of other states, deal fairly with each other’s residents, and extradite fugitives who escape indictment from one state by fleeing to another. 1. The union of states is strengthened by way of: a. Full Faith and Credit Clause—Article IV, section 1, provides that the “acts, records, and judicial proceedings” of one state be recognized by other states. b. Privileges and Immunities—Article IV, section 2, provides that citizens of one state be afforded the same freedoms and protections of citizens of the state in which they live. c. Extradition—Article IV, section 2, provides that a criminal who flees from one state and is found in another state is to be returned to the state where the crime was committed. B. While the U.S. Constitution was designed to provide the federal government powers over military, foreign, and economic policy and the state governments’ sovereignty concerning domestic and intrastate public policies, throughout American history specific events have challenged the original intent of the Framers’ conception of the aforementioned powers.

XI.

Dual Federalism and its Challengers The balance of national power versus state sovereignty has fluctuated throughout history. Thus, American federalism has been redefined by historical events and those individuals in power. In turn, different views of federalism have defined our current structure of government. A. Dual Federalism is the concept in which the powers and responsibilities of the national and state governments do not overlap. 1. In effect, each level of government has a distinct and separate sphere of authority. 2. This theory is often referred to as layer cake federalism. B. Nation-centered Federalism is a system of government whereby the nation preexisted the various state governments. 1. This belief was advocated by political figures including Alexander Hamilton, Chief Justice John Marshall, and Abraham Lincoln. 2. State governments are subordinate to the federal government. C. State-centered Federalism is a theory of federalism maintaining the states preexisted the nation and that the states through a compact created the Union.

This view of federalism was championed by Thomas Jefferson, John C. Calhoun and Chief Justice Roger B. Taney. 2. Proponents believe the national government is subordinate to the states. 3. Thus, states may secede from the Union if they so desire. Chief Justice John Marshall and Judicial Nationalism (1801-1835) 1. Chief Justice John Marshall, a Federalist, was a proponent of nation-centered federalism. 2. The Marshall Court had a tremendous influence on the relationship between state governments and the federal government. The Court’s rulings in three cases advanced the supremacy of the national government over the states: a. Marbury v. Madison (1803) 1) The Supreme Court ruled an act of Congress, specifically the Judiciary Act of 1789, unconstitutional. 2) In doing so, Marshall established the Supreme Court as final arbiter as to the constitutionality of legislation. 3) The Court’s power was defined to include interpreting the meaning of the Constitution. b. McCulloch v. Maryland (1819) 1) This Supreme Court case concerned the constitutionality of whether Congress could charter a (national) bank. 2) Marshall ruled this was supported under the Constitution, specifically, Article I, section 8’s, “necessary and proper” clause. c. Gibbons v. Ogden (1824) 1) This case dealt with the extent Congress’ may regulate interstate commerce, specifically if “any element” aboard a steamship “will” cross state lines. 2) Marshall advanced a nation-centered vision of federalism by stating Congress can regulate commerce if “any passenger or goods being carried on the steamship are engaged in a continuous journey that finds or will find them in interstate commerce” per Article I, section 8, of the U.S. Constitution. Chief Justice Roger Taney and the States (1836-1863) 1. The death of John Marshall allowed President Andrew Jackson, a proponent of states’ rights and state-centered federalism, to appoint Roger B. Taney as Chief Justice. a. Taney who was also supportive of states’ rights (although historians have overlooked his support of the federal government’s intervention in economic issues) provided the final nail in the coffin of events leading to the Civil War when ruling in Dred Scott v. Sanford (1857) that blacks whether free or slaves were not considered citizens. Thus, fugitive slaves were considered property subject to government regulation and must be returned to their owners. b. Furthermore, Taney was sympathetic to:

South Carolina Senator John Calhoun’s belief that each region of the country had the right to reject national acts or legislation thought harmful to the region known as the theory of nullification or “the doctrine of the concurrent majority.” Illinois Senator Stephen Douglas’s commitment to popular sovereignty whereby citizens of the respective states could vote slavery up or down.

XII. From Dual Federalism to Cooperative Federalism A. After the Civil War, the United States experienced: 1. The defeat of states’ rights. 2. The industrial revolution. 3. The increased migration of workers to the cities. 4. Advances in communication, transportation and an economy based upon manufacturing. 5. An injection of immigrants within the American labor market. 6. The beginnings of a global economy. 7. Challenges to Dual Federalism from Presidents Theodore Roosevelt and Woodrow Wilson. 8. World War I. 9. The Stock Market Crash (Black Friday) on 10/27/1929. B. In response to the bank failures, high unemployment and the foreclosures of numerous family farms and businesses due to the Great Depression, Franklin Roosevelt was elected president in 1932. 1. FDR changed the basic structure of governmental arrangements from dual federalism to cooperative federalism whereby state/local and national officials share responsibilities and functions. a. Cooperative federalism is also called marble-cake federalism because the delineation between local, state and federal government responsibilities is indistinguishable. b. The theory supporting cooperative federalism stipulates: 1) All levels of government share responsibilities 2) Policy-makers in all levels of government cooperate on a given policy issues (this is termed picket fence federalism because national, state, and local departments work as a team within a specific policy domain). C. The Great Depression illustrated the weaknesses of our federal system of government and prompted an increased role for the federal government in all areas of society. The national crisis required national action. 1. FDR proposed the “New Deal” in 1933 which gave the federal government new and broad authority over the economy. 2. FDR’s proposals were initially fought by the Supreme Court which struck down several of the president’s proposals as unconstitutional violations of the federal/state relationship outlined in the Constitution.

3. 4. 5.

Roosevelt tried to increase the number of Supreme Court justices and appoint allies in order to win approval for his legislation. The Justices acquiesced, the infamous “Court Packing Plan” was averted, and Roosevelt’s policies went into place relatively unscathed by the Court. FDR left a legacy of having a more activist government in which more decisionmaking authority was assumed by the national government.

XIII. The Rise of Fiscal Federalism Following the relative calm of the post-World War II and Korean War era, Presidents Kennedy and Johnson ushered in a new era in American federalism. A. LBJ: Creative Federalism and Grants-in-Aid 1. Kennedy and Johnson increased the use of categorical grant programs offering federal funds if the states and localities would engage in certain activities following federal requirements. 2. During this time the number of new federal programs grew tremendously. 3. The great increase in the activities of the federal government and the funds spent ushered in a period in which the federal government predominated. By 1970, almost 1 of every $4 spent by states came from federal coffers. a. In addition to congressional and presidential actions during this time, the federal judiciary moved to enforce the philosophic ideas behind Johnson’s “Great Society” legislation. b. Federal courts moved to force states to end racial discrimination and to protect civil liberties and the rights of the accused. c. Critics of the expansive new role for the federal government called “creative federalism” “coercive federalism.” XIV.

Nixon: Revenue Sharing and the First New Federalism In reaction to the complex and often coercive nature of the categorical grants utilized by Lyndon Johnson, Richard Nixon adopted a policy of “New Federalism.” A. Nixon’s “New Federalism” was an attempt to decentralize power within the federal system of government. B. The New Federalism was fueled by two initiatives enacted during his second term. 1. Special Revenue Sharing (SRS), also known as Block Grants, which bundled categorical grants and gave states greater discretion as to how to allocate the money received through the grants. 2. General Revenue Sharing (GRS) provided funds to states and did not entail many of the spending restrictions or requirements found with other federal programs C. While Nixon’s “New Federalism” initiatives were successful, Congress pushed for increased regulation of state and local government. The overall devolution of power and authority envisioned by the “New Federalism” was not forthcoming and Nixon presided over the greatest expansion of federal regulation of state and local governments in American history.

XV.

Reagan Turns Off the Tap: The Second New Federalism The inauguration of Ronald Reagan in 1981 marked an important period in American federalism. Reagan viewed government as too large and intrusive. A. The Reagan administration looked to downsize government programs and not simply change the way government money and services were delivered. B. Reagan moved to downsize government by reducing tax revenues used to fund it. 1. Reagan won passage of the Economic Recovery Tax Act (ERTA) in 1981. 2. The effect of ERTA was to greatly reduce federal revenues. C. By reducing federal revenues, ERTA was to swell annual budget deficits which in turn affected the availability of federal funds to the states.

XVI. The Process of “Devolution” in Contemporary Federalism. A. Devolution, or the return of political authority and fiscal control from the national government to the states, may be seen as a reaction to the expansion of federal prominence as a result of the New Deal programs enacted under Roosevelt’s administration. B. The burgeoning national government was beginning to be viewed as too powerful, costly, and intrusive. In 1980, the election of Ronald Reagan as president ushered in the idea that the role of the federal government should be reduced prompting a reduction of federal intervention (and federal funding) in state matters. Subsequently, Reagan cut federal grants to states by more than 25 percent. C. Devolution continued throughout the 1990s and into the twenty-first century. Consequently, this has prompted the states to fund their existing programs by generating state revenue and relying less on federal grants. Furthermore, the 1997 welfare reforms, the 2001 No Child Left Behind (Education) Act and the 2002 Homeland Security reforms have produced mixed signals whereby the federal government mandates state and local government must implement these programs but should not expect large contributions from the federal government to do so. D. George Bush combined dozens of categorical grants into a few block grants and reduced appropriations, thereby producing a dramatic overhaul of federal-state relations. E. Under the Rehnquist Court several rulings by the Supreme Court have limited the ability of the federal government to use the commerce clause to push states where they do not wish to go. F. Barack Obama temporarily increased federal spending during the Great Recession of 2008-2009 to stimulate the economy then returned spending to pre-recession levels. G. Yet, the ruling in Gonzales v. Raich (2005) signaled a temporary rival of Wickard where Congress could intervene under the Commerce Clause to regulate the possession and use of medicinal marijuana despite voters in California approving the ballot initiative legalizing the use of marijuana for medicinal purposes. However, under the administration of Donald Trump, Attorney General Jeff Sessions has sent mixed signals as to the degree to which the federal government will take on state governments that have moved toward various versions of legalized marijuana sales.

Until recently, there has been at least a modest reversal of the devolutionary trend relative to federalism as macro-financial, macro-industrial, and macro-social nationcentered federalism has characterized recent governmental initiatives in areas including: healthcare, real estate, immigration, credit finance, etc. However, during the 2020 pandemic of the novel coronavirus, most states mandated various versions of lock-downs and stay-at-home orders that devastated the economy and rapidly taxed health care resources throughout the country to handle the immense number of Americans who contracted the disease. The proper role of the federal government was debated during the crisis. Different approaches to restarting the economy while containing the pandemic revealed strikingly different proposed solutions in the presidential campaign, as Donald Trump maintained a weak federal response that relied on the autonomy of the states, while his competitor, Joe Biden, advocated a more central and robust role for the federal government in coordination with the state governments.

XVII. The Future of American Federalism A. The exact relationship between the national and state governments has changed since the Founding. These changes have been driven by individual policy-makers and historical events prompting changes in the relationship between the federal, state, and local governments. B. Political power is necessary, but dangerous. 1. Because it is dangerous, it must be divided between levels of government. 2. Because it is dangerous, it must be divided between the branches at each level of government. C. The changing international landscape and the global economy would suggest an increased role for the federal government to play in said matters. In turn, the resilience of the U.S. federal system will be tested.

LECTURE SUGGESTIONS Institutional/Historical Focus: Federalism and the Constitution I.

Political Principles of American Federalism A. Initially, the Declaration of Independence outlined the justifications for American Independence (freedom, liberty, inalienable rights); yet, did not address the institutional design of government. B. The Articles of Confederation and the U.S. Constitution address the need for a distribution of powers and responsibilities shared between the federal and state and local governments. C. However, the exact nature of this federal system has been a matter of debate since the Constitutional Convention of 1787. 1. The Articles of Confederation was the first governing document whereby the majority of power resided in state governments.

II.

The Articles contained no provision for a national judiciary, army, or the power to tax. 3. Each state held a veto over amending the Articles. 4. Nine states had to agree to major legislation in order for it to be binding. The ratification of the Constitution in 1789 combines the Declaration’s philosophical tenets of freedom and liberty, the Article’s commitment to the importance of state governance and the necessity for a strong federal government. In turn, the U.S. Constitution provides for a federal system of government.

The Constitution and American Federalism A. With the failure of the Articles of Confederation, America needed a new governmental structure. Given the colonists’ attachment to and the efficiency of state governments, this new structure must provide: 1. An effective national government 2. Sovereign state governments. B. The Framers, notably James Madison, sought to form a system of government in which the states and the central government shared powers but also had exclusive powers enumerated in the Constitution. C. The Framers belief in a federal system of government may be seen throughout the institutional structure of the Constitution. 1. The U.S. Constitution advocates federal supremacy whereby: a. State laws are subservient to federal laws enacted by Congress per the supremacy clause, namely Article VI of the Constitution. b. Congress may propose and enact legislation, which it deems “necessary and proper” as long as said legislation does not conflict with the Constitution. c. The Constitution gave Congress exclusive jurisdiction over certain domestic matters such as the regulation of interstate commerce. d. The Constitution establishes a national executive (president). e. The Constitution also created a national judiciary with original and appellate jurisdiction with the power to determine the constitutionality of federal and state legislatures and courts. 2. Conversely, those powers not provided to the federal government are reserved to the states and the people. a. States are responsible for regulating public health, safety, welfare, and morals. b. States may establish banks and borrow money for infrastructure and other public works projects. c. Local and municipal governments are under the jurisdiction of state statutes. d. The Fifth and Fourteenth Amendments provide protection for individuals from interference in their personal rights from either federal or state governments.

III.

In addition to the distribution of powers within the American federal system, the U.S. Constitution also makes provisions about the relations between individual states. a. Article IV, sections 1 and 2, provide that states must recognize the acts of other states, treat citizens of other states fairly, and return fugitive criminals from other states. b. Full Faith and Credit Clause—Article IV, section 1, provides that the “acts, records, and judicial proceedings” of one state be recognized by other states. c. Privileges and Immunities—Article IV, section 2, provides that citizens of one state be afforded the same freedoms and protections of citizens of the state in which they live. d. Article IV, section 2, provides that a criminal who flees from one state to escape indictment in another may be extradited (returned) to the state where the crime was committed.

Unresolved Debates Regarding American Federalism A. Despite these provisions within the Constitution, there are debates among scholars concerning the scope of federal involvement in policies affecting certain states based upon their geographical location. For example: 1. The American Southwest and immigration policy 2. State legislatures and courts and federal courts regarding gay marriage B. Furthermore, discrepancies have arisen concerning the role of state -controlled National Guard units co-opted by the federal government and deployed overseas. C. In effect, the theoretical underpinnings of the Constitution provide the national government with the responsibility of dealing with foreign and military affairs while mediating interstate commerce and foreign trade while the state governments retain those powers concerning domestic affairs. However, given historical events the lines between state and federal power are unclear.

Political Theory Focus: The Roots of American Federalism; Federalist Numbers 17, 39, 46, and 51. I.

Introduction A. Federalism was an important concept for the Founders because of their experience under British rule. 1. The American Revolution illustrated the colonists’ distaste for monarchy. 2. The colonists believed in the republican virtue of self-rule that was the strongest between the citizen and state and local governments. 3. Consequently, they devised a system of government in which the states and a national government shared powers. B. The Founders sought to create a system of government that was effective, stable, and responsible to the citizenry.

II.

The Fear of a Tyrannical National Government During the ratification debates, proponents of the proposed Constitution attempted to quell the fears of the anti-Federalists that the proposed Constitution would usurp the powers currently held by state governments. The Federalists believed the reverence currently held for state governments and the laws provided can be found in a virtuous federal government. A. In fact, Madison views an appeal to federalism actually providing greater security against tyranny. In Federalist #51, he maintains, “a double security arises to the rights of the people” by designing a system of government whereby “power surrendered by the people is first divided between two distinct governments (state and federal) and then the portion allotted to each is subdivided among distinct and separate departments.” B. In Federalist #17, Alexander Hamilton recognizes that proponents of sovereign state governments should not fear the encroachment of the national government because: 1. “The splendor of the national government is that the political class [men of ambition] will not concern itself with the details of the states and locales” because the state governments will be close to the “affections” [interests] of their residents (Rossiter, 1961, pp. 88-89). 2. Therefore, even if the Union attains great power, individuals will be more responsive and directly involved in local politics. 3. In fact, Hamilton believes state and local governments serve a functional role to contribute to the habit and civic education of the polity whereby the laws implemented will be embraced, respected, and perpetuated as a means and to establish and maintain good government.

III.

Federalism is Necessary for Republicanism (self-rule) to Prevail A. In Federalist #39, Madison (Publius) points out that approval of the proposed Constitution is “founded in the assent and ratification of the [American] people” (p 211). Immediately, the “mixed character” of the ratification and amendment process demonstrates the Constitution is ultimately derived from the will of the people (republicanism) where political power is “neither wholly national nor wholly federal, but a composition of both” (p. 214). B. In turn, federalism is a major component of the ratification process prior to the states’ approval of the proposed Constitution. It is the will of the people who reside within the various states where their allegiances reside.

IV.

The People’s Preference for State Governments A. In Federalist #46, Publius assures opponents of the proposed Constitution that the federal government will be concerned with “a more narrower field of power [treaty making, defense, trade] than the states” and, therefore if the federal government encroaches upon the “subordinate governments” the people who would comprise these states would mobilize to defend against the threat (pp. 262, 266).

Publius believes the powers given to the federal government are ultimately checked by the will of the people. Furthermore, the existence of state and local governments will provide additional security to guard against the encroachment of the federal government in state matters.

PROJECTS, EXERCISES, AND ACTIVITIES 1.

First, separate the class into small groups. Allow each group to design amendments to the United States Constitution. What are the processes to amend the U.S. Constitution (see Article V of the U.S. Constitution)? What is the role of the states in the amendment process? Second, what is the role of the states in calling for a Constitutional Convention? What may be the outcome(s) of said event? In effect, what may be some reasons explaining why we have not had another Constitutional Convention?

Considering the Deep Water Horizon Oil spill, address the roles of the various levels of government in preparing for a state of emergency. Ask students to visit relevant websites (https://www.whitehouse.gov/deepwater-bp-oil-spill) and address the logistical problems with powers being divided between the federal and state governments during times of crisis and national emergencies. Consider the following questions: a. Is there a system of accountability for federal, state, and local agencies during times of crisis? b. What do you think the responsibilities of each level of government should be? How much responsibility do citizens and other private actors have in a time of crisis?

After breaking the class into groups of four to five, ask some of the students in each group to visit the website for Child Protective Services in your state. At the same time, other students in the group should visit the federal Child Welfare Information Gateway (http://www.childwelfare.gov/). Ask students to provide three examples cooperation between the state and federal government on this issue. Ask the students to consider the following questions: a. What does the relationship seem to be between the federal government and state agencies in this policy area? Are there areas where cooperation should be strengthened? b. Which level of government do you think is leading in this policy area? Why?

Let’s consider sanctuary cities and federal immigration policy. First, divide the class into three groups, with each one responsible for arguments regarding one of the following: moral, political, or legal dimensions of sanctuary cities. Now, go to America’s Voice website for the ins-and-outs of sanctuary cities: “Immigration 101: What Is a Sanctuary City?” (https://americasvoice.org/blog/what-is-a-sanctuary-city/). Identify an evening where the students will have a “debate” (really, presenting pro and con arguments) to

be adjudged by a panel of faculty members as to the quality of the arguments presented. 5.

Is there a role for the federal government to play in bringing an end the coronavirus pandemic and restarting the economy or should the states be allowed to solve this problem on their own? Identify two groups of students to hold a debate in the class or even on campus for a wider audience on the issue of appropriate federal and state government responses to end the crisis.

First, read this report from NPR: “Coronavirus Response Shows How a National Crisis Can Again Transform Politics” (https://www.npr.org/2020/04/22/839965140/coronavirus-response-shows-how-anational-crisis-can-again-transform-politics). Now, using what they have learned in class regarding different approaches to effective federal-state relations, the students can craft competing positions, engage in a debate in class or elsewhere, and ask the students or attendees to complete an evaluation as to which group provided the most compelling argument.

ADDITIONAL RESOURCES Supplemental Readings Conlan, Timothy. 1988. New Federalism: Intergovernmental Reform from Nixon to Reagan. Washington, DC: Brookings Institution. Diamond, Martin. 1961. “The Federalist’s View of Federalism.” In Essays on Federalism by George Benson. Claremont: CMC Publications. Elazar. Daniel J. 2014. Exploring Federalism. Tuscaloosa: University of Alabama Press. Ketcham, Ralph (ed.). 1986. The Anti-Federalist Papers and the Constitutional Convention Debates. New York: Mentor Books. Morone, James A. 1990. The Democratic Wish: Popular Participation and the Limits of American Government. New York: Basic Books. Riker, William H. 1964. Federalism: Origins, Operations and Significance. Boston: Little Brown. Rossiter, Clinton. 1961. The Federalist Papers. New York: Mentor Books. Websites Claremont Institute

The Claremont Institute supports research, scholarship, teachings, public forums, and conferences. Cornell University Law Resources The Legal Information Institute of Cornell University provides links to each state constitution. National Conference of State Legislatures A great website for information on federal-state issues regarding all 50 states. Daily email newsletters available. Stateline Information on news and policies regarding the 50 states. Provides insight and analysis of governmental policies and information concerning public officials. National Center for Interstate Compacts The Council of State Governments is the main website for an institute that is dedicated to the study and promotion of interstate compacts, a key development in federalism. Interstate Compacts This is a document sponsored by the National Center for Interstate Compacts that provides a useful overview of the nature, size, and scope of activity that encompasses these organizations as well as their role in policy relationships between the federal and state governments. Senator Thompson on Federalism This is a short clip starring former actor, Watergate lawyer, former Senator from Tennessee, and Republican presidential candidate, Fred Thompson, discussing federalism. Chris Matthews on Federalism This is from MSNBC’s primetime news where liberal broadcaster Chris Matthews is conducting an interview with the more conservative leaning Joe Scarborough over federal issues. Once again this presentation devolves the issue down to a national versus a state-centered approach to federalism.

Chapter 4 POLITICAL SOCIALIZATION AND PUBLIC OPINION FOCUS QUESTIONS Q1

What does it mean to say that America is the only country in the world based on a creed— on principles and ideals?

Americans uphold fundamental beliefs in liberty, equality, individualism, the rule of law, popular sovereignty, laissez-faire economics, and egalitarianism, which are the basis of our political culture. These ideals serve as the unifying force for our society and guide the conduct of government. While virtually all Americans believe these tenets should be supported by our government, the avenues to facilitate and achieve these values are the fodder for numerous political debates. For example, equality of opportunity promises fairness in competition for economic and other benefits, while equality of outcomes or results promises attention to the distribution of economic and other benefits. Thus, to achieve absolute equality is to deny an appeal to individualism. This question is a bit misleading because the United States of America is not the only country based upon principles. Numerous countries incorporate religious or non-secular tenets within their governmental institutions that shape laws and guide behaviors. Yet, the Framers sought to form a society governed according to ideals that promote life, liberty, and the pursuit of happiness rather than those based upon religious scripture. Of course, many of these values are expounded in religious teachings. Basically, the American creed should be seen as a “civic religion” whereby republican principles provide a basis for our society and system of government. As Americans, these are the values we cherish and seek to promote through public policies.

Where do individual Americans get their opinions about politics, and what are the forces that shape those opinions?

We begin to form our values very early in life through learning, imitation, and modeling the behaviors of those individuals, we interact with on a daily basis. Subsequently, these individuals, including parents, teachers, and later in life, coworkers, have a significant influence on our worldview. Thus, individuals and organizations are referred to as agents of socialization because they provide the process in which our political views are formed. Agents of socialization are divided into two groups: primary and secondary. Primary groups comprise those individuals whom one has face-to-face, regular, and frequent contact including family, friends, peers, and teachers. These groups are comprised of people from similar backgrounds and thus homogenous. Secondary groups include professional organizations, schools, and religious institutions that are bureaucratic in nature

and heterogeneous. These groups are large and therefore do not facilitate daily, face-to-face contact but still play a significant role in forming political attitudes. In addition, the electronic media (radio, television), including social media, play a significant role in shaping political attitudes. This will be discussed in greater detail next chapter. Q3

How well informed and well organized is public opinion in America today?

While scholars debate the merits of an informed public, they note that most Americans hold to certain broad ideas or predispositions about politics, although they have little detailed information about institutions, leaders, or policies. New information, mediated through a voter’s predispositions, generally leads to a decision with which they are comfortable, even if they do not know in detail what their candidate stands for. In addition, an individual is more likely to incorporate the beliefs of family members and choose to associate with those people who share similar beliefs and opinions. Furthermore, organizations both shape and reinforce political opinions because an individual is attracted to the organization’s stance on an issue or belief and this is reinforced through the support provided by the organization’s membership. The political knowledge of the public may be best described as unsophisticated and therefore public opinion is determined by peer groups, membership in organizations and religious affiliations. In terms of general knowledge, the American public is most familiar with governmental processes and institutions but lacks detailed knowledge of specific policies, historical events and the names of political leaders. The public’s ability to assess the state of politics without detailed political knowledge has been substantiated by survey data. These surveys have found that aggregate public opinion is inconsistent and slow to change. Usually, a shift in public opinion results after a significant event such as the terrorist attacks on September 11, 2001. Also, public opinion is contradictory. For example, individuals overwhelmingly oppose burning the American flag but also support the right to free political speech. Thus, understanding the specifics of a given policy area may provide a better understanding as to why an individual may express inconsistent opinions. The literature concerning these inconsistent views has suggested that even when they are brought to the attention of the respondents, about 50 percent did not change their answers. Yet, other studies maintain the respondents are largely misinformed and will use the new information to re-evaluate their previous answers. On the other hand, other scholars argue that although many citizens and voters “know” little about politics, there are informational shortcuts of “cues” from

trusted surrogates that can guide voters toward responsible choices. Arthur Lupia and Mathew McCubbins “argue that limited information need not prevent people from making reasoned choices. . . . During election campaigns, numerous speakers – from political parties and candidates to interest groups, media organizations, friends and family – offer advice to voters about how they should cast their ballots.” Many scholars have worried that a widespread lack of information about political institutions, parties, candidates, and policies endangers representative democracy. John R. Zaller has observed that “Many citizens . . . pay too little attention to public affairs to be able to respond critically to the political communications they encounter; rather, they are blown about by whatever current of information manages to develop the greatest intensity.” Q4

Do Americans support or oppose abortion, or is the distribution of opinion more complicated than that?

The American public’s support for legalized abortion has largely fluctuated between 55-62 percent. In fact, public opinion has remained stable concerning the legalization of this medical procedure. However, this is dependent upon the circumstances surrounding the medical procedure, an individual’s religious affiliation and, most importantly, the term of pregnancy. For instance, an individual is more likely to support the procedure if the life of the mother is in danger or if the woman requesting an abortion was the victim of rape or incest. Yet an individual who self-identifies as an Evangelical Christian or Catholic is more likely to oppose abortion under any circumstance. Surveys suggest 30 percent of Americans support unlimited abortion or abortion on demand while about 20 percent believe abortion should always be illegal. Moreover, as the term of the pregnancy progresses, fewer Americans believe the procedure should be conducted. The recent 2007 Supreme Court ruling upheld Congress’s ban on partial-birth abortion. In the aggregate, most Americans believe abortion should be legal with restrictions.

What does it mean to be liberal or conservative, libertarian or populist, in America today?

An ideology is a comprehensive system of political beliefs about the nature of people and society and provides a political perspective or organized collection of ideas about the best way to live and the institutional arrangements for the society. Conservatism: Promotes the idea that people need the direction and structure tradition or religion provides. Conservatism upholds traditional economics and social frameworks: free market system; strong measures against crime; strong need for government to promote national security; strong government role in

upholding moral values. Liberalism: A political perspective that has as its goal changing society through government intervention to promote fairness and to protect individual rights. Liberalism is concerned with promoting economic and political equality. Liberals favor tighter government regulations on business; a strong government role in providing public services (education, healthcare); progressive taxes to promote social welfare programs; and a strong government role in protecting minority groups from discrimination. Libertarianism: A political perspective that strongly supports individualism and capitalism, favors the limitation of government involvement in all areas of life, and stresses the importance of private property. Libertarians believe in a free market system, limited government in all operations of society except national defense, and tolerance on social issues. Populism: A perspective that emphasizes majority rule and power in the hands of the "little person" in an effort to counterbalance large institutional concentrations of power, both public and private. Populists favor: majority rule and empowerment of the common people; a government role in promoting traditional morality; and government intervention to ensure economic equality.

CHAPTER OUTLINE I.

Political Information in America The crux of this chapter involves how individuals are socialized within American culture and who shapes these beliefs and attitudes that influence how one views politics. As Alexis de Tocqueville observed very early in our country’s history, Americans uphold fundamental tenets of liberty, democracy, individualism, popular sovereignty, equality, economic freedom, and the rule of law as the basis for our political culture. However, the exact function of government to achieve these principles is debatable. Four predominant American ideologies—liberalism, libertarianism, conservatism, and populism—advocate differing views on the scope, function, and size of government to advance these principles. A. Political scientists offer three concepts—political culture, political socialization, and public opinion—to investigate how Americans comprehend political and public life. 1. Political culture refers to a set of common rituals, stories, symbols and habits that Americans share. 2. Political socialization is the basic view of political and social order that is formed early in life and reinforced (taught) through agents of socialization.

Public opinion or the distribution of the (aggregate) polity’s beliefs and expressions about politics and public policies.

II.

Political Culture: Defining the American Creed A. Americans uphold fundamental beliefs in liberty, equality, individualism, the rule of law, popular sovereignty, laissez-faire economics, and egalitarianism, which are the basis of our political culture. B. While virtually all Americans believe these tenets should be supported by our government, the avenues to facilitate and achieve the aforementioned values differ. C. But, while quality of opportunity promises a fairness in competition, equality of outcomes promises attention to the distribution of competitive results. D. The first governing document—the Declaration of Independence—illustrates the aspiration of the Founders to establish a system of government via a written Constitution to promote these values.

III.

Political Socialization: Where Our Ideas about Politics Come From A. Basic views of political and social order are common to every society. 1. As Fred Greenstein asserts, the way one learns about our political culture is by acquiring knowledge about politics through a process known as political socialization. 2. Thus, agents of socialization are the persons and organizations that carry out the socialization process. a. Primary groups are groups the individual has frequent, almost daily, face-to-face contact with, including family, peers, and coworkers. 1) Parents and caregivers are the predominant influence on political views and subsequent party affiliations of their children. 2) For example, if both parents are Democrats, the probability that the child will self-identify with the Democratic Party is high. b. Secondary groups include religious and professional organizations, unions, and ethnic groupings that form to achieve common goals but do not accommodate the daily, face-to-face interaction that primary groups afford. c. The media is an agent of political socialization as radio, television, and the Internet disseminate large amounts of political information. 1) Given the 24-hour news cycle, political coverage provides instantaneous access to political events. 2) The role of the media will be discussed in greater detail in Chapter 5.

IV.

Transformative events or changes within an individual’s life beginning in early adulthood that alter one’s political views: 1) Marriage 2) Children 3) Occupational changes 4) Historical events. Finally, political leadership has a strong influence on one’s of government. 1) How effective a president or governmental institution handles a particular crisis or event legitimizes the necessity for government. 2) Conversely, if political leaders and institutions fail to address the needs of the polity, faith in government deteriorates.

The Nature of Public Opinion in the United States A. While primary and secondary groups have a significant impact on how individuals view the political and social order, social group characteristics, including socio-economic status, gender, ethnicity race, and regional differences also affect the socializing process. B. In effect, measuring elite and mass beliefs and concerns about politics and governmental policies includes a wide range of social group characteristics. C. History of Public Opinion Polling 1. Informal polling has been used and reported in newspapers since the beginning of the two-party system in 1824. 2. The national publication called the Literacy Digest began conducting public opinion polling concerning the very competitive 1916 presidential election between Democrat Woodrow Wilson and Republican Evans Hughes and continued to measure the public’s view regarding subsequent national elections. 3. In 1936, 20 million surveys were distributed based upon names gathered from automobile registration lists, telephone directories, and various magazine subscription lists to measure public attitudes towards the two presidential candidates, Democrat Franklin Roosevelt and Republican Alf Landon. 4. The response to the surveys suggested Landon would be the winner of the 1936 presidential election. 5. However, the election results provided one the greatest presidential election landslides since the victory of James Monroe in 1820. a. Roosevelt buried Landon by gaining 523 Electoral College votes to Landon’s 8. b. The survey was inaccurate because the Literary Digest oversampled the wealthy who were more apt to own cars, have telephones, and subscribe to magazines.

The inaccuracy of the Literacy Digest’s 1936 presidential polling has led pollsters, notably George Gallup, Louis Harris, and Elmo Roper, to conduct “scientific polling” whereby (respondent) samples are randomly selected by variables including age, race, income, ethnicity, and gender in order to attain a cross-section of Americans to an end of attaining more reliable polling result. 1. There are different types of polling and survey designs used to measure public opinion: a. A benchmark poll is used by a candidate to “test the waters” to see how he or she is viewed by the public. b. A preference poll provides a list of candidates and asks the respondents to signify which candidate they prefer. c. Opinion surveys are very commonly used by media and online services, campaigns, and interest groups to ascertain the public’s views concerning a particular issue or area of public policy. d. A focus group provides selected individuals the opportunity to directly express their thoughts and reactions to a candidate, area of public policy, campaign, or issue. 1) While not technically considered polling, this type of Q&A allows the surveyor to gain a plethora of knowledge. 2) Also, focus groups may provide the facilitator an opportunity to refine and reformulate a campaign message because new concerns may be expressed by the respondents. e. Tracking polls provide up to the minute information on a particular race and the candidates may construct, refine, or reiterate a political position based on these findings to appeal to changing public attitudes. f. Exit polling is taken after an individual votes. 1) Used by news agencies to call elections 2) Indicates voter preferences of actual and not potential voters. g. Turnout models provide political campaign with the best estimate as to how many whites, blacks, Hispanics, etc. will turn out on election day, 2. Citizens are skeptical of polling data and there is reason to support this suspicion: a. Polling can be manipulated to indicate support for an issue or candidate b. A technique known as “push-polling” actually disseminates biased information about a candidate, campaign, or issue under the guise of polling. c. Polling and survey designs are subject to innate limitations and deficiencies.

There are differences in socialization due to socioeconomic status, race, ethnicity, and gender 1. Socioeconomic status (class) a. Lower-class children are less efficacious than children from middle or upper class backgrounds. b. Lower-class children are less likely to be exposed to information about politics. c. Lower-class children tend to have a lower quality of education. 2. Race a. African Americans and Caucasians prioritize political issues differently. 1) Blacks are more supportive of spending on social programs. 2) Whites tend to support increased spending on the military and are less supportive of affirmative action programs. b. Seventy percent of whites, but only 42 percent of blacks, said they could imagine a situation in which they could approve police striking an adult male. 3. Ethnicity a. While both minority groups, African Americans and Latinos/Latinas have differing views on social justice. 1) 75 percent of blacks claim to have been a victim of discrimination. 2) 33 percent of Hispanics have expressed being victims of discrimination. b. Also, they differ over the proper role of government. 1) Blacks are much more supportive of legalized abortion than Hispanics. 2) Hispanics are more supportive of free-work policies than blacks. 3) Blacks are more likely to self-identify with the Democratic Party due to its traditional support for increased spending on social programs. 4. Gender (Differences in issue saliency) a. Women are more supportive than men on issues such as: 1) Gun control 2) Increased spending for social welfare programs 3) Rehabilitation rather than incarceration 4) Legalized abortion with restrictions b. Men are more supportive than women on issue concerning: 1) Increased spending on defense programs 2) Laissez-faire economic policies 3) Law and order issues 4) Increased implementation of the death penalty 5) The Iraq War and international military involvement

Properties of Public Opinion 1. Differences Between “elites” and the mass public a. Elites are: 1) 10 percent of the population 2) Highly informed on the issues- “opinion leaders” 3) Well-educated 4) Occupy positions of influence within business and the community 5) Economically located in the upper-middle class and upper class b. Members of the mass public are primarily: 1) Less educated 2) Less knowledgeable of political issues 3) Ideologically inconsistent 4) More likely to be located in the middle and lower economic classes 5) More likely to take voting cues from elites 2. How Detailed is Public Opinion? a. In terms of general knowledge, the American public is most familiar with governmental processes and institutions but lacks detailed knowledge of specific policies, historical events, and the names of political leaders. b. The public’s ability to assess the state of politics without detailed political knowledge has been substantiated by survey data. c. These surveys have found that aggregate public opinion is inconsistent and slow to change. d. Individuals use heuristics (cues or voting shortcuts) which enable them to reduce the cost of attaining detailed information when voting (see Chapter 8). 3. General Principles versus Real Choices a. Often individual views on specific policy are inconsistent with the fundamental characteristics of our democratic society such as those comprising the American Creed (liberty, equality, fairness etc.). b. As the research of Prothro and Grigg illustrate, when these inconsistencies are recognized 82 percent of the respondents “modified their opinions on concrete issues to make them more consistent with their endorsement of general democratic values.” c. In turn, their research may indicate many voters are simply misinformed or ignorant of these contradictory beliefs. The Ambivalence of Public Opinion 1. The public is ambivalent about certain policy issues and the effectiveness of government. Yet, one must remember that this

2. 3.

uncertainty is often measured in the aggregate and does not indicate individual preferences. Regarding legalized abortion, a majority of Americans support the medical procedure with some restrictions. Moreover, measuring the public’s trust in government has fluctuated given events and the institutional performances in response to these occurrences. According to a 2015 poll, as measured by the Gallop Research Center, public opinion was as follows: a. The president (Barack Obama) had an approval rating of 41 percent b. Congress had a low approval rating: 32 percent c. 45 percent believed government acted in the interest of “all people” d. Trust in government was low at 19 percent

Political Ideology and the Coherence of Public Opinion A. Political ideology is a comprehensive system of political beliefs about the nature of people and society and provides a political perspective or organized collection of ideas about the best way to live and the institutional arrangements for the society. 1. In his1964 publication, The Nature of Belief Systems in Mass Publics, Philip Converse’s findings suggest 50 percent of non-elites understood ideological differences and about 90 percent held “non-attitudes” or inconsistent views (remember the Socialist who was against government programs) regarding political issues between the years 1956-1960. 2. However, contemporary political attitudes suggest 55 percent of the public self-identifies as either liberal or conservative. 3. In 2012, the distribution of ideological identification within the United States was: a. 21 percent Liberal b. 33 percent Conservative c. 24 percent Moderate d. 23 percent Don’t Know. B. There are four predominant American ideologies. 1. Conservatism: Promotes the idea that people need the direction and structure tradition or religion provides. a. Conservatism upholds traditional economics and social frameworks: Free market system; strong measures against crime; strong need for government to promote national security; strong government role in upholding moral values. b. Conservatives agree with Libertarian laissez-faire views. c. Also, Conservatives concur with Populist emphasis on traditional values.

VI.

Liberalism: A political perspective that has as its goal changing society through government intervention to promote fairness and to protect individual rights. a. Liberalism is concerned with promoting economic and political equality. b. Liberals favor tighter government regulations on business; strong government role in providing public services (education, healthcare); progressive taxes to promote social welfare programs, strong government role in protecting minority groups from discrimination. c. Liberals agree with Populist support for a strong government role in assisting common people. d. In addition, Liberals concur with Libertarian tolerance on social issues. Libertarianism: A political perspective that strongly supports individualism and capitalism, favors the limitation of government involvement in all areas of life, and stresses the importance of private property. a. Libertarians believe in a free market system, limited government role in all operations of society except national defense, and tolerance on social issues. b. Libertarians concur with Conservative laissez-faire views and Liberal tolerance on social issues Populism: A perspective that emphasizes majority rule and power in the hands of the "little person" in an effort to counterbalance large institutional concentrations of public and private power. a. Populists favor: majority rule and empowerment of the common people; government role in promoting traditional morality; and government intervention to ensure economic equality. b. Populists agree with Liberalism's support for a strong government role in assisting common people. c. In addition, Populists concur with Conservative views on traditional values.

Conclusion A. Political socialization is the process where societal norms and values are transmitted from one generation to another. B. Within every society primary (family, peers) and secondary (organizations) groups shape political attitudes that provide a basis for how the public views the role of government. C. Four political ideologies or coherent set of ideas regarding the role of government predominate American political thought: Liberalism, Libertarianism, Conservatism and Populism. D. Yet, the public is largely uniformed about specific policy issues and relies

upon the leadership the political, economic, and educational elite (about 10 percent of the U.S. population) provides. Consequently, to understand American public opinion, one must remember: 1. Americans’ political opinions are based upon very little political information. 2. There are inconsistencies between the fundamental principles citizens uphold and the actual public policies promoted. 3. Americans are ambivalent about the role of the government in regard to certain policy issues such as welfare programs, abortion, and government spending.

LECTURE SUGGESTIONS Theory/Philosophical Focus: Alexis de Tocqueville, Democracy in America I.

Tocqueville and American Values A. Alexis de Tocqueville, a French sociologist and political scientist, arrived in the United States in May 1831 to assess the benefits and weaknesses of American democracy. B. In the seminal work, Democracy in America, Tocqueville provides a critique of American society and the system of mechanisms, or casual patterns of behavior, within a young democracy. C. Within the text, Tocqueville identifies equality of condition, as “the fundamental fact from which all others [mechanisms] seem to be derived” (Tocqueville, 1956, p. 26). D. Yet, he stipulates certain mechanisms, specifically equality, decentralized power, and public political participation are essential parts of American democracy.

II.

Equality A. Tocqueville observed the general equality of condition permeates the public arena and forces cooperation among inhabitants regardless of individual endeavors. 1. First, equality of condition leads man to commercial and industrial occupations because man is free to pursue economic ventures to obtain wealth. 2. Second, equality of condition prevents an aristocracy and promotes political efficacy. Within America, "the sovereignty of the people...is recognized by the customs and proclaimed by the laws" diminishing tyranny and promoting democracy (p. 55). 3. Yet Tocqueville suggests that equality of condition may lead to the negative consequence of a tyranny of the majority. American democracy serves the interests of the greatest number of people but

B. C.

provides safeguards against tyranny resulting from an uneducated, passionate mass, which incrementally could be fatal to liberty. Tocqueville points to equality as the “distinguishing characteristic of the age [1800s]” and the basis for the U.S. Constitution (p. 190). The institutional design of equality can be seen in all aspects of American government. As a result, an inherent pursuit of commerce consumes the passions of Americans producing a vibrant, national economy, and furthers the civic virtue of industry. Therefore, equality of condition permits any person, regardless of socioeconomic class, to participate in governmental actions and deliberations. Moreover, every citizen is responsible for his/her own actions and is free to introduce personal opinions into the public discourse. Tocqueville promotes the potentiality of American equality to "open a thousand new paths to fortune and lead adventurers to wealth and power" sustaining the success of American democracy (p. 28).

III.

Decentralized Power A. Tocqueville offers a second mechanism found in American democracy, specifically, the decentralization of power, diminishing the likelihood of a tyranny by the majority. B. He stresses the advantage of power being dispersed among various state governments and a central government as vital to the success of democracy. 1. Citing the New England township, Tocqueville illustrates that the “social Power ... is constantly changing hands because it is subordinate to the power of the People” and is dispersed among many different individuals (pp. 62-64). 2. Therefore, if one does not approve of the public official's performance while in office, he/she may challenge that official directly or simply not support the individual in the proceeding election. C. Patriotism, or the love of community, through the “collective strength of the people” challenges the absolute “authority of government” and protects the general welfare of the community (p. 66).

IV.

Political and Public Associations A. Tocqueville identifies a third mechanism, political and public associations as a means to promote stability within a democracy. B. He defines an association as “the public assent which a number of individuals give to certain doctrines ... which they contract to promote in a certain manner the spread of those doctrines” (p. 95). C. The act of association, or the power of meeting, inspires increased activity to further influence the public discourse regarding political activities. D. Politically, “the partisans of an opinion unite in political bodies [parties] ... and choose delegates to represent them in a central assembly” (p. 97).

Thus, civil society relies upon the "moral power" of citizens forming political parties to further common virtue. 2. According to Tocqueville, without the collective organization of political parties, anarchy and disorganization would follow, allowing one prominent interest to dominate the political arena. Publicly, Tocqueville also observes the benefit of certain shared activities such as schools, religion, family, and social organizations in a democratic society to perpetuate civic values. 1. He warns “if individuals cannot create an artificial and temporary substitute for [titled organizations of the old world] there will be no permanent protection against the most galling tyranny ... by a small faction, or by a single individual” (ibid.). 2. Furthermore, Tocqueville believes that the “right of association is as inalienable as the right of personal liberty” (p. 98). Thus, a citizen's ability to freely association with others who share his/her opinion promotes an avenue of discourse for a “common undertaking” (p. 100). 3. In turn, a common motive or passion establishes stability within the United States. 4. Yet, Tocqueville warns the reader of the possibility of one organization, newspapers, conforming public opinion and suppressing public discourse (this is considered in Chapter 5).

Conclusion A. Democracy in America provides a compelling critique illustrating the strengths and weaknesses of American society. B. Tocqueville ascertains that while people retain different self-interests in American society there are similarities concerning ethnicity, respect for law, spirit of liberty and religion, independence, and the general welfare of the country. C. Specifically, Tocqueville distinguishes three components of American society, equality of condition, decentralized power, and associations that advance democracy. D. Consequently, Tocqueville views these mechanisms as beneficial to promote the potentiality of American equality to “open a thousand new paths to fortune and lead adventurers to wealth and power” sustaining the success of American democracy (p. 28).

Behavioral Focus: Explanations for the Gender Gap I.

Introduction To understand the relationship between gender and politics, one must explore the social and institutional constraints that limit women’s involvement in politics.

II.

The gender gap refers to the aggregate differences between men and women who aspire to hold public office. 1. Differences in political socialization 2. Biological differences 3. Institutional explanations Also, men and women place different levels of importance on specific policy issues. This is known as the Salience Hypothesis.

Social and Institutional Explanations of the Gender Gap A. Socialization 1. In their article, Entering the Arena? Gender and the Decision to Run for Office, Lawless and Fox examine why women who “share the same personal credentials and professional characteristics as men” are less ambitious to run for public office. The authors incorporate data from the Citizens Political Ambition Study to conduct an elite survey of 1,969 men and 1,796 women to further research as to why there is a gender gap. a. From the respondents’ answers, the authors conclude “that women are less likely than men to receive a political source’s encouragement to run for office,” while women were less likely “to consider themselves qualified to run for public office” even though, on paper, they are more qualified than their male counterparts. b. Therefore, to further understand “where the women are not,” we need to understand the importance of “perceived” roles and responsibilities of men and women in American society. c. In effect, women “self-assess” that they are not qualified to run which suggests cultural factors associated with how women are socialized explain the gender gap and the lack of women who aspire to attain positions in government. d. According to Lawless and Fox, the following are a few “cultural constraints” placed on women, which may explain why women are less likely to run for public office: 1) Women are less likely to talk politics with their parents than men. 2) Women are less likely to be unmarried than men 3) Women are seen as more apt to be responsible for childcare 4) Women are less likely to be encouraged by their parents to pursue a career in politics. 5) Women professionals identify a male culture (“masculinized ethos”), which is inherently biased and does not encourage women to run for public office. 6) Women hold themselves to a higher standard than men when determining if they decide to run for office.

Women are less likely to think they will win if they run for public office. 2. In his article, Women’s Representation in National Legislatures: Developed and Developing Countries, Richard Matland supports Lawless and Fox’s findings through his research of developing countries and former communist countries. a. He concludes that men are socialized in “virtually all cultures” to view politics as a “legitimate sphere for them to act in” which is perpetuated and leads to greater political efficacy and increased “political knowledge” and experience; conversely, women internalize that they are less efficacious and do not aspire to be candidates for public office. b. Therefore, in the “recruitment process” countries with singlemember congressional districts are more likely to have male candidates given the pool of “eligibles” will not include many women. Institutional Factors 1. Structural impediments that have limited women’s accessibility to participate in politics and attain public office. a. Radical feminists, such as Catherine MacKinnon and Susan Moller Okin, point to the “gendered” structure of society that perpetuates women’s roles as caregivers which limits the role of women in American politics. 1) Okin’s critique of American society follows the radical feminist tradition that American society has been formed according to a male perspective and gender must be seen as a socially constructed concept. 2) Therefore, it should come as no surprise that men occupy positions of power and are paid more than women; consequently, the locus of control has always been dominated by men, to perpetuate male power and delineate women’s role as exclusively subservient and functional to the system. b. Also, the incumbency factor excludes women from obtaining public office. 1) As of 2014, House reelection rates approaching 95 percent with the Senate just a bit lower at 82 percent, the incumbency advantage has limited the chances of women to be recruited and advance a successful campaign in singlemember congressional districts. 2) Yet, as Barbara Burrell has found in her article, Sex and Money: the Financing of Women’s and Men’s Campaign for the U.S. House of Representatives, 1972-92, women are as likely as men to solicit financial support and raise equal

III.

amounts of campaign funds as their male counterparts for primary and general elections. Other factors impede women from serving in Congress. (a) While women are equally able to win primaries and elections, women face more difficult primary competitions as incumbents, as challengers and as candidates in congressional open seats. (b) Women who are incumbents attract a greater number of women challengers in their own party and in the opposing party. (c) There is evidence that female Republican candidates are more apt to gain their party’s nomination in primary elections despite the fact that the conservative base still views women as “more liberal” than male candidates. (d) Nevertheless, women still face an uphill battle in elections in which they challenge an incumbent male.

Gender Differences Regarding Salient Political Issues A. To understand the effects of gender in political science, women studies scholars have suggested that there are differences between men and women regarding “salient” election issues. 1. In effect, one needs to explore the “gender gap” or the differences in voting choices between men and women based upon partisanship and issue priorities which shape the American electorate. However, the impetus for the gender gap in American politics is debatable. a. In their article, The Changing Politics of American Men: Understanding the Sources of the Gender Gap, Kaufmann and Petrocik expound that the gender gap occurred due to the LBJ’s support for expanded governmental welfare programs in the 1964 presidential election. Subsequently, the salient issues of “guns versus butter” prompted more conservative, Southern, male voters to support the Republican Party’s pro-defense platform of Barry Goldwater. b. Kathleen Frankovic disputes the findings of the aforementioned authors in her article, Sex and Politics: New Alignments, Old Issues, instead she ascertains that younger women (ages 18-24) increasingly supported expanding social programs and were therefore more likely to support Democratic Party candidates beginning in the 1980 election as a result of Reagan’s prioritizing foreign policy issues over “other programs” during his successful bid for the Presidency in 1980.

While the advent of the gender gap provides for contentious academic debates, one must admit that men and women have different attitudes regarding salient policy issues. In general, men are more likely to promote conservative issues, such as defense and economic issues, as candidates and support these issues as voters; while women are more likely to support candidates who favor increased domestic spending on education, environmental, and social programs.

Furthermore, data from GSS and NES support the hypothesis that 1. Age 2. Marital status 3. Religiosity 4. Socio-economic status 5. Geographical location affects ideological and political party identification. For example: a. Women below the age of 29 tend to be more liberal and are more likely to vote for Democratic candidates. b. Women over the age of 60 years old tend to be more conservative and vote in greater numbers for republican candidates. c. Women living in large, urban areas are more likely to support Democratic candidates than women in rural areas. d. The marriage gap: Single women are less likely to vote than married women because they see substantive policies not affecting them; while married women tend to be more conservative and support Republican candidates in slightly greater numbers. e. Women who attend church regularly are more likely to support the Republican platform which stresses traditional, family values. f. Women who have achieved a higher degree of education are slightly more ideologically conservative and tend to vote for Republican candidates. g. Women in higher income brackets are more likely to support Republican candidates due to economic policies that favor tax cuts and limited spending.

PROJECTS, EXERCISES, AND ACTIVITIES 1.

As a paper assignment, have the students access the website www.uspolitics.org and click on “IDEALOG”. First, read the first section of the program explaining political ideologies. Next, have them take the survey by clicking on the answer that best represents their opinion. Finally, after the program tallies the results, write a 2-page paper explaining to which ideological category they belong. Lastly, were

the results surprising? If so, why? Or, why not? 2.

Access the website: http://www.migrationpolicy.org/ and look at the changes in the foreign-born populations of the 50 states. Click the link “MPI Data Hub.” Which states have the largest concentration of foreign born residents? What are some reasons for the influx of immigrants into these states? What policies are being implemented due to increased immigration? How may the changing state demographics alter the American political landscape?

Ask students to compose a list of five beliefs about government, authority figures, and specific policy issues. In groups of three to four, ask students to share how they developed these beliefs. Do they share these ideas with primary or secondary groups? Ask students to consider the commonalities and differences in their answers.

Assign students the Lawless and Fox (2012) article (http://www.american.edu/spa/wpi/upload/2012-Men-Rule-Report-web.pdf) as additional reading. Once students are prepared, help them to design a set of questions to explore, through interviews, key conclusions made by Lawless and Fox. Ask students to administer these interviews and report back their findings to the entire class. After you have compiled the entire class’s findings, discuss the similarities and the differences between their findings and those of the article. This exercise opens up space to talk about the differences between your informal survey and a more rigorous research design.

Access the following articles and websites and explore the nature of the gender gap in the 2016 presidential campaign between Hillary Clinton and Donald Trump: • • •

“Hillary Clinton Had the Biggest Voter Gender Gap On Record,” Fortune Magazine [http://fortune.com/2016/11/09/hillary-clinton-electiongender-gap/] CNN Exit Polls [https://www.cnn.com/election/2016/results/exitpolls/national/president] “Behind Trump’s Victory: Divisions by Race, Gender, Education,” Pew Research Center [http://www.pewresearch.org/facttank/2016/11/09/behind-trumps-victory-divisions-by-race-gendereducation/]

Discuss the following questions: 1. What percentage of women voters supported Clinton? 2. What percentage of women voters supported Trump? 3. Break down the percentage of women voters by race and education. Is there a difference as for whom they voted? .

4. What are some of the socialization characteristics, social economic conditions, or other variables of these voting groups that might explain the percentage differences in support for each candidate? 6.

Divide the class into four groups for two weeks of presentations on the presidential election of 2020. Assign each group research into one of the four questions below: 1. To what extent did populist, liberal, or conservative ideologies play in motivating voters to go to the polls? 2. To what extent did race and gender influence the outcome of the election? 3. How did the electorate evaluate Donald Trump’s experience after four years as president and Joe Biden’s experience after decades as senator and 8 years as vice president? 4. To what extent did the coronavirus pandemic and economic downturn influence the outcome of the election? In week one, groups #1 and #2 will present their findings to the class, and the next week groups #3 and #4 will present their findings. Debates and/or voting can be held at the end of each presentation on the quality of the group’s research.

ADDITIONAL RESOURCES Supplemental Readings Fiorina, Morris. 2004. Culture War: The Myth of a Polarized America. New York: Pearson Longman. Fishkin, James S. 1996. “The Televised Deliberative Poll: An Experiment in Democracy.” Annals of the Academy of Political and Social Science 546: 132–140. Hartz, Louis. 1955. The Liberal Tradition in America. New York: Harcourt, Brace, Jovanovich. Holmes, Jack E. et al. 1998. American Government: Essentials and Perspectives. Third Edition. New York: McGraw-Hill. Putnam, Robert. 2000. Bowling Alone: The Collapse and Revival of American Community. New York: Simon and Schuster. Sheldon, Pavica. 2015. Social Media: Principles and Applications. Lanham, MD: Lexington Books.

Smith, Rogers. 1997. Civic Ideals: Conflicting Visions of Citizenship in U.S. History. New Haven: Yale University Press. Tocqueville, Alexis. 1956. Democracy in America. New York: Mentor Press. Websites Migration Policy Institute This site is operated by the non-partisan, not-for-profit think tank dedicated to research concerning global migration. CNN Politics CNN website dedicated to providing news and features concerning politics. Fair Organization Homepage of Fairness and Accuracy in Reporting which is a media watchdogs agency. U.S. Census Statistics regarding American population demographics. Also, provides future economic trends and projections. U.S. Citizenship and Immigration Service Data and statistics available for federal governmental agencies. Gallup Polls Information and data from numerous surveys conducted by Gallup polling measuring public opinion. American National Election Studies This is the main Web page for the American National Election Studies; it provides a plethora of polling data relevant to American presidential and mid-term election cycles. This is excellent for up-to-date empirics on the condition of the American electorate that will help inform your in-class presentations. Pew Research Center This is the main Web page for the Pew Research Center a non-partisan public opinion analysis organization that sponsors and studies polls dealing with a plethora of issue including American national politics. Annenberg Public Policy Center This is the main Web page of the Annenberg Public Policy Center which sponsors national election surveys and provides public analysis of them especially regarding policy issues. .

Real Clear Politics This site examines polls to develop generalizable statements about the American polity at any given time. It is routinely updated and serves as a center for poll-on-polls data that is often discussed by the larger political media. PRRI PRRI (Public Religion Research Institute) is a nonprofit, nonpartisan organization dedicated to conducting independent research and news reporting at the intersection of religion, culture, and public policy. FiveThirtyEight This site examines all aspects American politics, especially on presidential elections.

Chapter 5 THE MASS MEDIA AND THE POLITICAL AGENDA FOCUS QUESTIONS Q1

How has the role of the media changed over the course of American history?

Since the beginning of the United States, news publications have been partisan and politically oriented. Thomas Paine’s publication, Common Sense, and the printed debates between the anti-Federalists and Federalists demonstrate the effective use of the media to disseminate information in order to attempt to persuade the public to ratify the Constitution. Beginning in the 1820s, inexpensive newspapers affiliated with political parties provided political fodder to energize party supporters and discredit the opposition. In effect, news and current events, albeit sensationalized and biased, became accessible to the masses. Through technological advances such as the telegraph, an event occurring in one city could be reported and disseminated to an audience in another region. News coverage began to gain a faithful audience that prompted subscriptions from these devoted readers. Furthermore, as businesses realized the benefits newspapers provided allowing them to advertise their products and services to a wide range of Americans, a new avenue of revenue through paid advertising was available to publishers. The influx of advertising and new subscribers began to replace the partisan biases within the papers’ news coverage. While the newspapers still concentrated on sensational stories, information journalism (muckrakers) began to uncover sordid business practices and brought corporate abuses to light in magazines and newspapers. Subsequently, Adolph Ochs, owner and publisher of The New York Times, initiated a move toward professionalism and objective reporting in the news. Consequently, the technological advances producing what we now consider the electronic media (telephone, television, radio, Internet, world wide web) has provided media ownership consolidation, but also accommodates diverse opinions and objectivity in news reporting (covering who, what, where, when, how, why). Yet, there is still a common perception that the mass media, specifically certain news agencies, are biased in their news reporting. Moreover, charges of “fake news” have increasingly been levelled against select news outlets and journalists by those who have been the target of unflattering reports. Whether this is accurate or not, the current proliferation of print, audio, visual, and digital news sources has provided many avenues for individuals to gain immediate access to information. Yet, establishing what is newsworthy is still debatable. Given the competition among media outlets to get advertising revenue coupled with the public’s desire for sensational and

scandalous stories, one may inquire if the media have largely reverted to the partisan press and yellow journalism of the late 1700s. Q2

Does the increasing concentration of media control in the hands of a few private corporations threaten the accuracy and diversity of information available to citizens?

Given that four corporate entities (AT&T, Comcast, Disney, Verizon) own the vast majority of the television, publishing, radio, film distribution, and online/multimedia outlets, it should not surprise anyone that these global media networks control the images and words that influence the political agenda within the United States as well as the world. In turn, media conglomerates are careful not to criticize their parent companies, which raise a red flag as to what the major media outlets consider news. In turn, relatively few people determine what the nearly 8 billion people in the world see, read, or hear. What is troubling is that corporations are beholden to the shareholders and thus need to turn a profit. This produces a dilemma where news agencies have to attract large audiences to generate advertising revenue by providing entertainment at the expense of information. Thus, modern trends in reporting the news may be seen as “infotainment” whereby the substance of news stories is watered down to sound bites and superficial images. Moreover, given the competitive nature of the modern mass media, reporters and journalists compete to gain access to newsmakers. Consequently, information disseminated may originate from a single source that has the ear of a particular person of importance. Since the1990s, privately owned magazines and Internet websites have provided avenues for the dissemination of diverse political views that have traditionally not been covered by the large news corporations. In turn, these alternative news sources have challenged the hegemony of the mainstream media in determining what issues are considered newsworthy. Furthermore, not only the diversity of coverage has been rather narrow, but the diversity of reporters themselves has also been skewed toward white men. Many worry about the lack of diversity in media ownership and reporting. Women comprise 51 percent of the population and people of color comprise 36 percent, while women own just seven percent of radio and television licenses and minorities own just seven percent of radio licenses and three percent of television licenses.

How do the media shape the ideas and information that citizens have about their world?

The media act as a gatekeeper deciding what is newsworthy. Therefore, the mainstream media shapes public opinion by choosing what constitutes news and what does not. There is a reciprocal relationship between journalist and newsmakers. Thus, prudent media outlets are more apt to get access to politicians if they are considered friendly or at least not hostile by them. So, while press conferences, formal interviews and speeches are good sources for sterile, prepackaged, political information, individual reporters must establish trust with insiders and the politicians themselves to be the first to report “breaking” news, which advances his or her reputation and attracts large audiences. Consequently, both the newsmakers and the reporters are involved in framing the

message the public will hear. Given the public’s short attention span and lack of specific knowledge concerning political events and the need for news organizations to increase ratings, news coverage is primarily concerned with the “here and now,” or episodic coverage, rather than thematic coverage linking the story to other events. As a result, news coverage is largely segmented and choppy rather than constant and detailed. In effect, public opinion is prone to change based upon how the issues are presented. Q4

How do the media affect how elections are conducted and how government works in the United States?

The relationship between political candidates and the mainstream media’s news agencies may be seen as mutually beneficial: The candidate gets favorable news coverage while the news outlet gets exclusive access to the candidate. Thus, media access is vital to the success of any political campaign as media expenditures for recent House, Senate, and presidential campaigns have illustrated. The media becomes an integral part of any political campaign and plays an important role in defining successful governance. Thus, an incumbent politician benefits from the free coverage the media provide when evaluating his or her performance. In the era of the candidate-centered campaign, the media tend to focus on the politicians’ lives and the events surrounding them, whose winning and losing and how much money each candidate has raised rather than the issues discussed. This is known as horse-race journalism. Moreover, the media are a successful tool for a member of Congress or the president to make a direct appeal to the people to oppose or support a particular policy or proposed legislation. A prudent politician may increase the chance of a bill passing and gaining support for his or her policy issue by briefly repeating the merits of said issue in a non-technical way via the media.

What role should the media play in a democratic society, and what can we do to get our media to play this role?

Most people believe the media should ensure accurate reporting on the issues and provide the strengths and weaknesses of existing policies. However, relevant research on the effects of new technologies to increase access to political information suggests that those people who are interested and follow politics will use the Internet and watch 24hour news channels to make a more informed opinion on political issues while those that are cynical and uninterested in politics will not. This has led to a relatively new news genre combining news with entertainment known as “infotainment” illustrated by radio or the television monologues of Stephen Colbert, Seth Meyers, and Jimmy Fallon. These shows appeal to a younger audience but have not been shown to motivate these individuals to become more politically active. But, also disconcerting has been the increasingly frequent charges of “fake news” against news outlets whose reports are partially or wholly madeup. To protect themselves from “fake news,” citizens need to rely on careful reading of history and outlets that have been proven to produce solid political news.

CHAPTER OUTLINE I.

The Mass Media The modern media play several roles in our democracy. Television, radio, Internet, social media, film, newspapers, magazines, professional journals and other forms of multimedia entertain, inform, and influence the public dialogue. A. Historical Development of the Media 1. Throughout history, information was passed down from generation to generation through word of mouth. 2. In turn, the unique human ability to articulate thoughts and ideas through spoken and written languages has led to the formation of large and complex societies. 3. With the advent of the printing press, the first newspaper was distributed in Strasbourg in 1609. 4. Almost a century later, The Daily Courant became London’s first daily publication that disseminated information concerning entertainment, high society, and politics to the city’s population. 5. Recognizing the influence the paper had on shaping public opinion, the English courts developed the idea of seditious libel that decreed criticism of government officials and policies that reduced the prestige and influence of government, whether true or false, were illegal. 6. In the American colonies, the first newspaper was published in Boston with other daily publications following in New York and Virginia whereby local government officials sought to control and limit the information presented by the press. B. The Partisan Press, 1776-1880 1. During the early years of the United States, newspapers were used as mediums to articulate a particular political idea, promote the party line and discredit the opposition. 2. Therefore, one must remember that newspapers were used as partisan tools to persuade the mass public to support a particular politician, party platform, policy, or political campaign. a. Beginning in the 1820s, inexpensive newspapers affiliated with a political party provided political fodder to energize party supporters and discredit the position. b. In turn, the partisan press served to rally the party faithful rather than objectively inform the entire public. 3. To appeal to the masses, inexpensive newspapers were sold for a penny, hence the name—penny press—which increased newspapers distribution and influence. 4. Through technological advances such as the telegraph, an event occurring in one city could be reported and disseminated to an audience in another city. C. Muckraker Journalism, 1880-1920

The influx of workers into the city spawned the relationship between newspapers and business. 2. Because newspapers had a large audience, merchants began to advertise their commodities within the publications. 3. This prompted a change in the newspapers’ foci from informing the public about partisan politics to providing news concerning current events and human-interest stories. a. The newspapers began to operate as profit maximizing businesses that focused on increasing sales by offering subscriptions and concentrating coverage on sensationalistic events that focused on fires, scandals, and the spectacularly unusual. b. Also, while the newspapers still concentrated on sensational stories, information journalism, whose writers were known as muckrakers, began to emerge in numerous publications to an end of uncovering political and corporate corruption. 1) Business practices and corporate abuses were brought to light in magazines such as McClure’s and Collier’s. 2) Editors of the magazines, including Lincoln Steffens, Ida Tarbell, and Upton Sinclair, included photographs within these publications to accentuate these corrupt and dangerous corporate practices prompting government to act to mandate worker safety standards, maximum working hours and greater government intervention in economic matters. The Evolution of the Modern Media 1. With the rise of the Progressive movement and America’s involvement in World War I the country was largely united which temporarily quelled the influence of the muckrakers. 2. Consequently, bureaucratic organization, efficiency, objectivity and professionalism began to dominate the economic, social, and political landscape. 3. In the wake of these changes, Adolph Ochs, owner and publisher of The New York Times, initiated a move toward professionalism and objective reporting in the news. 4. The focus of print media changed: a. Journalists used multiple sources to corroborate information b. News coverage presented both sides of an argument or political debate. c. Reporting was organized as an inverted pyramid whereby the most important information was placed at the top of an article explaining the “who, what, where, when, how and why of the event.” The Rise of the Electronic Media 1. Beginning in 1920, a new means of mass communication—the radio—replaced the telegraph as a means to transmit news in “real time.” 2. In two years, around 600 radio stations were operating in the United States.

Competition and consolidation of these radio stations formed radio networks that still exist. These include: a. The National Broadcasting Corporation (NBC) b. Columbia Broadcasting System (CBS) c. American Broadcasting Company (ABC) 4. Congress responded to this new form of communication by using its regulatory powers by passing The Radio Act (1927) that created the Federal Radio Commission (FCC) to regulate the radio industry. 5. In 1941, CBS began to broadcast a few television programs in New York City. 6. This new visual media became the overwhelming broadcast medium beginning in the early 1950s which enabled the public to view: a. the 1952 Democratic and Republican Conventions. b. the first televised presidential debate between Kennedy and Nixon in 1960. c. the Civil Rights Marches d. the assassination of JFK. The Modern Media Explosion 1. The technological advances producing what we now consider the electronic media (satellite telephone, television, radio, Internet, social media, film, and the World Wide Web) has resulted in consolidating media ownership, but also provides diverse opinions and objectivity in news reporting (covering who, what, where, when, how, why). 2. As a result of these new media used to disseminate information, newspaper and magazine readership has declined. However, the Internet has forced the print media to investigate new avenues to distribute their product. While elites disproportionately get their information from newspapers, the Internet provides an increasingly widening avenue for digital news to reach the masses. 3. The mass public acquires most of its news from television and radio. a. Given almost every American household has a television, advertisers, politicians, as well as the entertainment industry allocates the bulk of its operating budget to television broadcasting. Yet, there are indications that the public is not using television to access information concerning current events and politics; instead, the public’s attention is focused on reality shows, entertainment, and sporting events. b. As a result, there has been a boom in “talk radio,” which has been dominated by politically conservative radio personalities such as Rush Limbaugh. 4. With the introduction of the first 24-hour, cable news channel in 1980, Ted Turner’s Cable News Network (CNN) provided “real time” access to events throughout the world via satellite communication. Consequently, news coverage was improved to provide immediate coverage of global events as the happen. By placing news affiliates in London, Italy, South America, Indonesia, and Hong Kong, reporters could be quickly deployed to provide the public with

II.

unprecedented coverage of world events. Because of CNN’s success, Fox and MSNBC also provide 24-hour news coverage. Despite the aforementioned technological advances in the communication industry, research on the effects of new technologies to increase access to political information suggests that those people who are interested and follow politics will use the Internet and watch 24-hour news channels to make a more informed opinion on political issues while those that are cynical and uninterested in politics will not. This has led to a relatively new news genre combining news with entertainment known as “infotainment” illustrated by programs such as The Colbert Report and The Daily Show. These shows appeal to a younger audience but have not been shown to motivate these individuals to become more politically active.

Ownership and Regulation of the Media The expansion of democratic government in the world has threatened state-owned media. Yet, the majority of radio and television stations continue to be governmentowned. A. Media Consolidation and Diffusion 1. The U.S. media are privately owned. 2. The communications industry is primarily controlled by four corporate entities: AT&T, Comcast, Disney, Verizon. 3. Yet, the Internet, World Wide Web, and blog sites have created an avenue for diverse opinions to be broadcasted globally. 4. In 2018, major media consolidation deals were announced: a. AT&T and Time Warner b. Disney and Fox movie and television assets c. Sinclair Broadcast Group and Tribune Media B. Public Regulation 1. Congress created the Federal Communications Commission (FCC) in 1934 to: a. Regulate radio transmissions for the public interest. b. Assign radio frequencies. c. Establish hours of operation. d. Approve or deny broadcasting licenses. e. Limited the number of media outlets any one corporation or individual may own in a single city. 2. Congress authorizes creation of the Public Broadcasting System (PBS) and funding of National Public Radio (NPR) in 1970 to broaden diverse cultural programming not as widely available on commercial channels. a. Aimed at diverse age groups and interests. b. Continuous conflicts in Congress regarding content of broadcasts. 3. Congress enacted the Telecommunication Act of 1996 to deregulate the communication industry with the hope that lifting ownership restrictions would further diversify the media. a. In fact, the market became even more consolidated.

b. 4.

6. 7.

III.

Pornography, graphic language, and violence became more common in television and radio programs. In 2003, Congress began to demand more action by the five-members who comprise the FCC. The regulatory agency began to flex its regulatory muscle by enforcing decency laws in the benefit of the public interest. Two examples are: a. Howard Stern’s million dollar fine. b. Janet Jackson’s wardrobe malfunction during the 2004 Super Bowl’s halftime performance. In June 2007, the Sixth Circuit ruled 2-1 in the case, Fox et al. v. FCC, that broadcasters were not financially responsible for violations of broadcasting standards that were a result of improper language or mishaps during lives events. One must remember that commercial television and radio generates revenue through advertising money. Satellite radio, television and the Internet have led to revenue being generated through subscriptions, which allows the channels to operate outside many FCC regulations. As a result, the programming cannot be regulated by the FCC’s standards and has prompted calls by some organizations for the government to intervene. Consequently, governmental response to new communication technologies has been slow and largely ineffective in monitoring and enforcing antiquated laws designed to regulate only television, radio, and the print media.

Media Influence and the Political Agenda A. The Media, the Politicians, and Public Opinion 1. There is a reciprocal relationship between journalists and public officials. Journalists use public officials as sources for information; conversely, public officials use journalists to disseminate their political ideas to the public. 2. The Freedom of Information Act (FOIA) was passed by Congress in 1966. This requires government agencies to provide citizens, including the press, with most kinds of information in their possession. B. Where Do the Media Get the News? 1. The relationship between the media and government officials is both cooperative and conflicting. a. Government officials want visibility and publicity to promote their achievements b. Journalists want access and information but sometimes this exposes government failures and individual improprieties. 2. During times of war, tensions between government and the media become apparent. a. The First Gulf War established “press pools” to manage the information that was reported to the public. b. In the 2003, reporters covering the Iraq War were embedded within military units were reporting the news in “real time.”

Initially, the successful invasion and battle for Baghdad provided sensational news coverage and positive accounts to increase public support for the war effort. d. Yet, this relationship fractured as a result of numerous scandals, questionable Bush administration policies, unsuccessful strategies to win the hearts and minds of Iraqis, and decreased support for the war. Where Does the Public Get Its News? 1. Even with new avenues to access information concerning politics, the public tends to ignore political issues. 2. Conversely, the media are primarily accessed by individuals for entertainment purposes. 3. Given the public’s short attention span and lack of specific knowledge concerning political events and the need for news organizations to increase ratings, news coverage is primarily concerned with the “here and now,” or episodic coverage, rather than thematic coverage linking the story to other events. 4. As a result, news coverage is largely segmented and choppy rather than constant and detailed. The Media and the Electoral Process 1. Total expenditures regarding the 2020 election reached nearly $14 billion, establishing itself as the most expensive election in U.S. history. 2. The media play an invaluable role for candidates to “get their message out” to the public. 3. Yet, the press determines what issues will be covered; but tends to focus on: a. The candidates’ personalities (flaws and strengths) b. Horse-race political coverage (who is winning and losing the race) 4. In the modern era of politics, money is necessary to win higher office. a. In 2020, campaigns for Congress raised an aggregate of $2.2 billion. b. Yet, money does not guarantee victory. c. To increase the probability of winning, candidates for public office must hire: 1) media experts 2) campaign consultants 3) professional pollsters. The Media Defining Successful Governance 1. The media influence how the public views government and politicians in the following ways: a. The agenda-setting effect: The extent to which the amount of media coverage of an issue affects the public’s attention to and interest in that issue. b. The educational effect: The public learns from what is discussed in the media and cannot learn about those issues not presented by the media.

The framing effect: The way an issue is framed or presented in the media, either episodically or thematically, suggests to the public where praise or blame should be laid. d. The persuasion effect: The way an issue is presented by the media can sometimes change the substance of what people think about the issue. 2. Political scientists Shanto Iyengar and Donald Kinder assert issues can be framed in two ways: a. Episodically 1) Episodic framing places responsibility upon the individual. 2) Television news primarily presents issues episodically. b. Thematically 1) Thematic framing emphasizes social patterns and political responsibility. 2) Issue are discussed in a broader context. The President: Passing His Program 1. Candidates running for the Presidency are heavily scrutinized by the news and the public. 2. By its character, the Office of the Presidency is easily the most publicly scrutinized position in the federal government: a. High visibility of the office. b. The centrality of the president to contemporary politics. 3. News agencies focus on numerous aspects of the Presidency. a. Travels-some of the press corps actually flies on Air Force One. b. Interprets his stances on policy issues and the success of his political agenda. c. Evaluate his performance. d. Since the 1960s, the media has concentrated more upon covering presidents’ private lives including family members. 4. When the media frame events as resulting from presidential action, the public tends to evaluate the president in light of those events. a. When popularity is high, the presidential agenda is the focus of the media. b. When popularity is low, the media and political opponents are more vocal in their criticisms of the president. Congress: Gridlock and Localism 1. Coverage of Congress is as diffused as that of the president is focused. 2. The character of Congress is mostly conflictual and the media portray the institution and its members as “out of control.” 3. Furthermore, C-Span and C-Span II covers the proceedings of the House and Senate, respectively. Many find the coverage boring adding to declining political participation. 4. In addition, media coverage of Congress follows a game frame (who’s winning and who’s losing) rather than in a policy frame.

Political scientist, Mark Watts suggests a greater emphasis on a policy frame would likely improve the public’s opinion about Congress. Yet, he does not think this is likely to occur. The Federal Court: Ideological Imbalance 1. Coverage of the court system is difficult because of different state laws dictating legal proceedings. 2. Coverage of the federal courts, specifically the Supreme Court, concentrates on: a. Whether the decision involves controversial issues such as abortion, gun control and diversity issues. b. How the membership of the Court is changing and the effect of these changes on upholding legal precedents. c. The ideological composition of the Court in an attempt to predict how the Justices will decide the aforementioned cases.

IV. Media Responsibility in American Politics A. Entertainment versus Information 1. “Hard” news is being displaced by a combination of information and entertainment known as “infotainment” programs. 2. For example, the newspaper, USA Today has changed its format to a more tabloid style providing charts, special features, pictures, and a greater emphasis on entertainment. 3. The deregulation of the media resulting from the Telecommunication Act of 1996 has consolidates power in five global media conglomerations. 4. Yet, increased governmental regulation of the media outlets has temporarily slowed the mergers. 5. New technologies of social media, such as Facebook, Twitter, and Foursquare, and 24-hour news services have allowed the public to access and receive virtually instantaneously an incredible amount of information. 6. The “digital divide” of disproportionate access to the Internet and social media may have an impact on how well democracy performs. V. Why Americans Distrust Politics A. Americans distrust politics because what they see largely lacks substance. B. Politicians use the media to feed the public simplistic solutions to complex problems. C. The media tend to cover negative events that buttresses the public’s skeptical view of society and politics. D. The outcome of the struggle between the press and the government produces news, entertainment, and misinformation. E. News reports that are partially or wholly made up result in the spread of “fake news,” which can undermine public’s trust in legitimate news reporting as well as be used by politicians to manipulate the public. F. Episodic framing portrays politics and politicians in a negative light: 1. Concentrates on winners and losers: Politics is largely seen as a zero-sum game.

2. 3.

Focuses on negative stories. Emphasizes conflict over cooperation.

LECTURE SUGGESTIONS Current Events Focus: Who Owns the Media? I.

Media Consolidation A. As of 2020, four corporate entities (AT&T, Comcast, Disney, Verizon) —control many of the radio, television, film, and publishing companies. B. In 2018, major deals had been underway between AT&T and Time Warner, Disney and Fox movie and television assets, and Sinclair Broadcast Group and Tribune Media. C. The consolidation of various media outlets with the telecommunication industry has been justified as necessary to streamline production studios as content providers with the mediums for the dissemination of the information through carriers including the Intent, telephone, radio, and cable. D. However, one may inquire into what effects further consolidation of media outlets may have on the quantity and quality of information. 1. Editorial and programming decisions reside among a few individuals. 2. Information is considered newsworthy based upon the size of the audience and the approval of the advertisers. 3. Conversely, information about the conglomerates or their subsidiaries may be suppressed due to further consolidation.

II.

Who Owns the Media? (Information taken from http://www.cjr.org/resources/index.php) A. The Walt Disney Company 1. Television a. 10 regional television stations including affiliates in New York, Chicago and LA. b. ABC Television Network including ABC Family, The Disney Channel, ESPN, The History Channel, E Entertainment, Lifetime. c. Buena Vista, Touchstone, and Walt Disney Television 2. Publishing a. Books 1) Hyperion 2) Disney Children’s Publishing b. Magazines 1) Disney Magazine 2) US Weekly (50 percent ownership) 3) Video Business 3. Radio

a. Own 64 stations within the United States b. Radio Disney c. ESPN Radio 4. Online/Multimedia a. ABC.com/Internet group b. ESPN.com c. NASCAR.com d. Go Network 5. Film a. Walt Disney Productions b. Touchstone Pictures c. Miramax d. Hollywood Pictures e. Buena Vista Entertainment (International) News Corporation 1. Television a. 36 Fox stations in major U.S. cities b. Fox Television Network including FOX News, FX, SPEED Channel, Fox Movie Channel, Fox Sports c. Direct TV 2. Publishing a. Books 1) Harper Morrow b. Magazines 1) The Weekly Standard 2) TV Guide c. Newspapers 1) New York Post 2) 20 Daily Papers in Australia (Murdoch) 3. Radio a. Classic FM b. Fox Sports Radio Network c. Sky Radio (England, Germany, Denmark) 4. Film a. 20th Century Fox b. Blue Sky Studios c. Fox Searchlight Pictures General Electric 1. Television a. 14 NBC stations b. 14 Telemundo Stations c. Paxson Communications d. NBC Television Network Studios e. CNBC

f. MSNBC g. Bravo h. USA i. A&E j. History Channel 2. Film a. Universal Pictures b. Focus Features Time Warner 1. Television a. Cable systems 1) Time Warner 2) Kablevision (Hungary) b. Networks 1) CNN 2) HBO 3) TBS Superstation 4) Cartoon Network 5) Court TV 6) Turner Broadcasting (Movies, Classics, South, Latin) c. Production companies 1) Warner Bros. Studios 2) Hanna-Barbera Cartoons 2. Publishing a. Books 1) Little Brown 2) Time, Inc. 3) Warner Books 3. Online/Multimedia a. AOL b. MapQuest c. Netscape Communications d. CompuServe Interactive Services 4. Film a. Warner Bros. b. Castle Rock c. Turner Original Productions d. New Line Cinema e. Warner Brothers International Theaters Viacom 1. Television a. 17 CBS stations b. 18 UPN Stations c. 5 Independents

2. 3.

Publishing a. Simon and Schuster Radio a. Infinity Broadcasting b. Westwood One c. TDI Worldwide Film a. Paramount Pictures b. Paramount Home Entertainment

III.

The Politics of Publicly-Funded Programming A. Private Interests 1. Political Parties a. Electoral Dynamics b. Corporate Media 2. Organized Groups a. Cultural/Identity Interests b. Ideological Advocates B. Public Policymaking 1. Congressional Representatives a. Ideological Caucuses b. Private Interest Lobbyists 2. Government Departments/Agencies a. Public Supported Media b. Legal Challenges

IV.

Conclusion A. While the traditional media have become more consolidation, the increased use of the Internet, World Wide Web, and satellite systems has provided an opportunity for diverse information to be disseminated. B. Consequently, rules and regulations governing the content of these new information sources has lagged far beyond the advances in technology which has prompted some to call for greater regulations of these new mediums of communication. C. Yet, others believe the Internet provides a check on the consolidation and uniformity of the traditional media. D. Finally, the question arises if government regulation of these new technologies is feasible.

PROJECTS, EXERCISES, AND ACTIVITIES 1.

Watch the federally funded television networks, C-Span I and/or C-Span II, which provide coverage of House and Senate deliberations, respectively. Choose a single policy issue or particular debate on a proposed piece of legislation. First, briefly summarize the debate

and identify the sponsors, co-sponsors and opponents of the bill. Next, compare your notes of the committee hearings or floor debates to the coverage presented by the media (television news networks, Internet blogs, newspapers, magazines etc.). How does your summary and the debates/hearings compare to the media’s coverage? Is there an indication of selective perception on your part; conversely, did the media outlets decide not to cover certain aspects of the event(s)? What may be some reasons for the differences? 2.

Professor Andrew R. Cline at the Southern Missouri University argues that, in addition to political orientation bias, there are key structural biases in the way news is reported through the media. Ask your students to visit Professor Cline’s site (http://rhetorica.net/bias.htm) and read about the various types of structural bias. Once they’ve gained an understanding, ask them to locate articles on a policy issue of their choice from both left and right leaning publications. What structural biases in the presentation of political issues can they identify across the political spectrum?

Once you’ve placed your students in groups of three to five, ask them to investigate media sources that focus on specialized communities (magazines, newspapers, and internet sources focused on the Gay and Lesbian, African American, Hispanic, Arab American, Disabled, Blind, or other communities). Once each group has selected a different community, ask them to explore the political issues that garner the most attention and focus in these publications. Students can report out to the entire class as a foundation for a discussion on media and diversity in politics.

Ask students to engage in an exploratory and critical thinking exercise that involves the media and politics. Specifically, direct the students to engage in the following activities: a. Compare and contrast news articles dealing with specific issues found in conservative and liberal media sources with articles about the same issues found in mainstream media sources. Can you tell the difference in how the news issues are portrayed? b. As you read the variety of treatments by these media news sources, can you identify any “fake news”? And, if so, is the fake news due to news reports that are partially or wholly made-up? Are there any news reports that some politicians or candidates for office might label as fake news simply because they do not like them?

Organize a debate between two groups of students on the following issue: In the presidential election of 2020, did the media contribute to or mitigate the promulgation of unfounded conspiracies regarding the outcome of the general election? a. The debate can be held in the classroom or in another campus venue where the community may be invited.

b. After the debate, all students in class or those attending in the larger venue can take a vote on which group had the most persuasive argument.

ADDITIONAL RESOURCES Supplemental Readings Ansolabehere, Stephen D. and Shanto Iyengar. 1990. Going Negative: How Attack Ads Shrink and Polarize the Electorate. New York: Free Press. Bagdikian, Ben H. 2004. The New Media Monopoly. Boston: Beacon Press. Burns, Eric. 2006. Infamous Scribblers: The Founding Fathers and the Rowdy Beginnings of American Journalism. New York: Perseus Book Group. Graber, Doris. 2002. Mass Media and American Politics. Sixth Edition. Washington, DC: CQ Press. Iyengar, Shanto and Donald Kinder. 1987. News That Matters: Television and American Opinion. Chicago: University of Chicago Press. Jamison, Kathleen Hall. 1992. Packaging the Presidency: A Media History of Criticism of Presidential Campaign Advertising. New York: Oxford University Press. Lichter, S. Robert et al. 1986. The Media Elite. Bethesda: Adler and Adler. Sabato, Larry J. 1991. Feeding Frenzy: How Attack Journalism Has Transformed American Politics. New York: Free Press. Walsh, Kenneth T. 1996. Feeding the Beast: The White House Versus the Press. New York: Random House. Wright, Robert. 2000. Non-Zero: The Logic of Human Destiny. New York: Vintage. Websites Drudge Report This link is for the Drudge Report, which provides news (with a right of center bias) and has several links to other political news sites and blogs. Raw Story This link provides news and analyses that is similar to the Drudge Report but is ideologically left-of-center.

Columbia Journalism Review This is the website for Columbia School of Journalism’s publication, Columbia Journalism Review. The link above goes immediately to CJR’s Guide to What Major Media Companies Own that provides up-to-date information on what companies and individuals own which media outlets (Internet, radio, print, television, film, and publishing). Democracy Now! This website provides commentary and interviews from a left of center orientation with newsmakers and reporters on national and international events. Nieman Watch Dog This site is for the media watchdog group, Nieman Watchdog, affiliated with the Nieman Foundation for Journalism at Harvard University. This is a good site for media analysis and research exploring accuracy in news reporting. Roper Center This site provides a plethora of public opinion data collected over the past fifty years. The site is maintained by Cornell University. World Newspapers Access Provides listings and links to all global newspapers, news sites, and magazines in English. Fox News This is the main Web page for Fox News which devotes a portion of its coverage to politics. It is a good place to develop a comparative political news content presentation because FOX has a conservative mission statement. MSNBC This is the main Web page for MSNBC which devotes a portion of its coverage to politics. It is a good place to develop a comparative political news content presentation because MSNBC has been found to promote a liberal agenda in its coverage. CNN This is the main Web page for CNN the world’s first 24-hour news channel; it has extensive political coverage, often with interactive web features, and has been found to be relatively neutral regarding its ideological position. Bill O'Reilly This is the main Web page for Bill O’Reilly a conservative TV journalist and broadcaster on FOX NEWS; there are numerous videos and audio recordings from his prospective programs that you can use to stimulate class discussions. Rachel Maddow

This is the main Web page for Rachel Maddow, a liberal TV broadcaster on MSNBC; there are a number of video clips that you can use to stimulate class discussions. Rush Limbaugh The first name in conservative talk radio, Rush Limbaugh is a firebrand in American political communications and you can get access to articles, videos, and audio clips from him which can be used to stimulate class discussions. Bill Maher A controversial liberal comedian and socio-political commentator, Bill Maher, tackles hot button topics. At this site you can get access to videos, a blog, and interviews/talk forums where this man takes on the right in a no-holds barred fashion. Daily Show with Trevor Noah This site is the main Web page for, The Daily Show with Trevor Noah, a liberal leaning comedy show that lampoons the mainstream media. This is an excellent “breaking the ice” device to lessen tensions over controversial topics but also display their implied importance. Colbert Report This entertaining show was an irreverent over-the-top portrayal of conservative views that airs the Best of the Colbert Report.

Chapter 6 INTEREST GROUPS: THE POLITICS OF INFLUENCE FOCUS QUESTIONS Q1

Have the Founders’ concerns about factions been borne out in current American national politics?

Madison believed that the number of interests would be so great that the competition between them would prevent anyone from controlling the others. In turn, he proposed institutional and structural mechanisms: representatives filtering the views of their constituency and an extended republic to control the effects of factions, which place self-interests before the common good. As Theodore Lowi maintains, this pluralistic notion has largely been replaced by a special interest state whereby certain economic and social interests have greater influence in the development and implementation of economic and social policies than other organizations. Consequently, it is plausible that the Framers expected a natural aristocracy to lead and therefore elite interests would be expected to dominate policy decisions and would be disproportionately represented in government.

What types of interest groups are most influential in American politics?

Today there exist over 24,000 interest groups in America. Three-quarters of interest groups reflect occupational interests. Almost 40 percent of interest groups are private sector occupational groups, including corporate, business, and labor interests, and about 35 percent are public sector, not-for profit, occupational groups, drawing members from educational, health, religious, science, and public affairs occupations. The remaining 25 percent of interest groups are comprised of public interest and citizen membership groups. These draw members based on substantive interests, such as consumer, environmental, or international affairs, and member attributes such as ideology, partisanship, race, ethnicity, and gender.

How do interest groups try to influence public policy?

Interest groups rely on the size of their membership, the intensity of their members, financial resources, and the expertise of their members, leadership strengths, and strategic alliances with other groups to further their organizations’ ideas. Lobbyists provide information to legislators during committee deliberations. Interest groups primarily influence public policy by lobbying, engaging in campaign fundraising and dissemination, drafting legislation, testifying during congressional hearings, submitting amicus curiae briefs to the courts, engaging in issue campaigns, endorsing

candidates/parties, and mobilizing voters. Lobbying groups use institutional avenues including face-to-face meetings with policy-makers to influence their decisions. This is known as the “insider strategy.” Conversely, groups that are unable to meet directly with policy-makers must use other tactics, including marches, protests, civil disobedience, and public information campaigns to promote their causes. These tactics illustrate the “outsider strategy” whereby groups appeal to the public to “spread the news” and pressure their elected representatives to support the organizations’ causes. Q4

What role do lobbyists play in the political process?

Lobbying and other interest group activities can be seen as evidence of an elite orientation, if not dominance, in American politics. However, pluralists contend that interest group influence is quite variable since they are part of shifting coalitions referred to by scholars as issue networks. Lobbyists provide information to legislators during committee deliberations. Lobbyists seek to buy access with their campaign contributions, which is not illegal. What is illegal is engaging in a quid pro quo— exchanging campaign contributions or gifts for official favors. The very top lobbyists often move back and forth, through what is referred to as the “revolving door,” between important roles in government and lucrative lobbying jobs. Many former highranking elected officials, military officers, and bureaucrats act as lobbyists after they retire or leave office.

What role did interest groups play in the debate over healthcare reform?

Interest group activism during the recent healthcare reform effort by the Obama administration and Congressional Democrats was unprecedented and ultimately decisive in both the character that the debate took and the product of the legislation itself. A plethora of groups was involved in both promoting and demoting the virtues of expanding as well as attempting to decrease the cost of healthcare. In the U.S. traditional Democratic-leaning interest groups, such as the AFL-CIO, were joined by various healthcare advocacy groups, such as Health Care for America Now, as well as non-traditional groups, such as the American Medical Association, joined together to support the reform. Meanwhile, a coalition of traditional Republican leaning groups led by the Heritage Foundation’s health Policy Consensus Group, the Chamber of Commerce, and the Tea Party Movement vigorously opposed the legislation. The final legislation was watered down by moving away from a single payer system to a managed care system in order to gain support from certain wavering coalition members and help ensure passage in the Democratic Congress. The money spent opposing the effort reached historic levels: drug companies spent $270 million lobbying both ways on the legislation, insurance companies spent $162 million in opposition, and the Chamber of Commerce spent $194 million ($50 million alone in grassroots lobbying through television).

CHAPTER OUTLINE I.

Interest Groups In this chapter and the next, we ask how individuals who see politics similarly come together to press their opinions on society and government. As we shall see, the answer is that citizens who share interests relevant to politics come together in interest groups and political parties. In this chapter, we look at interest groups.

II.

Interest Groups in American Politics The American Founders were keenly aware that, at least since the ancient Greeks and Romans, students of politics had warned that social divisions of class, party, and group threaten political stability. James Madison called all of these social divisions “factions” and was particularly wary of them. A. The Rise of Interest Groups 1. An interest group may be defined as an organization based on shared interests that attempt to influence society and government to act in ways benefiting the organization’s interests. 2. Two competing perspectives address the role and influence interest groups possess in a democratic society: a. Pluralism asserts interest groups represent the benefits of citizens to government and that the competition between these groups will achieve reasonable policy outcomes; consequently, no one-interest group will become overly powerful. Pluralists believe: 1) Interest groups do not pose a threat to the public good because public policy emerges from the balance of competing interests. 2) Special interests are equally represented within the political arena 3) An increased number of citizens will increase the likelihood that no one common motive or passion will prevail over others. 4) Democratic government is respective of majority opinions and governs accordingly. b. Elitism is the belief that American politics will be dominated by wellfunded interest groups who are much more likely to form, win access, and exercise influence on behalf of the interests of the wealthy rather than the poor. 3. As David Truman contends in the seminal work, The Governmental Process, as social and economic conditions change, individuals form groups and associations to protect their interests. Yet, all associations are not able to attract the attention of policy-makers. 4. Furthermore, Mancur Olson points out in his text, The Logic of Collection Action, that there are differences within the group system and institution barriers affecting strategies to achieve the desired outcome(s). 5. In fact, prior to the ratification of the U.S. Constitution, James Madison addressed the role of interest groups in Federalist #10. Because human nature

is such that individuals will naturally form groups to advance self-interests, Madison believed the structure of a government should: a. Encourage groups to form to protect these interests. b. While also ensuring no one interest becomes too powerful. Madison proposed two primary mechanisms to ensure that no one interest would form a faction, which is adverse to the rights of other citizens, or to the permanent interests of the community (contrary to the common good). a. The two mechanisms advocated are: 1) The formation of an extended republic so a greater number of parties and interests spread over a large geographical area will make it harder for a majority faction to form and dominate the national government. 2) A representative democracy whereby people elect a number of representatives who refine and “filter” the views of the constituency. b. Thus, only by the combination of representatives acting as trustees within an extended republic may groups, organizations and interests check each other and further republican liberty. c. The Madisonian model illustrated the role and effectiveness of interest groups early in our republic. d. The Madison model doesn’t solve the problem of faction but it does allow for the possibility of controlling the effects of faction. However, after the Civil War, technological advances including the use of the telegraph and railroads to ship goods across the country led to business monopolies that began to have an enormous influence on state legislatures which appointed members to the U.S. Senate. In effect, national groups began to emerge. a. The economic interests of large manufacturers and industrialists were disproportionately represented in the national government. b. As a result, trade and professional organizations mobilized to protect the interests of their members. c. This system of trade unions, professional organizations and business groups dominated the political arena until the rise of the Progressives in the early twentieth century. The modern group system formed as a result of the burgeoning American population, the expanding geographic of the United States, the use of government to protect workers’ rights and intervene in economic affairs, and advances in the telecommunication industry. a. The Progressives sought to limit the powers of political parties leading to a rise in interest groups who worked with the government to enact reforms. b. New Deal programs gave federal money to businesses and other organizations to lift the country out of the Great Depression. FDR’s National Labor Relations Act, among other New Deal programs, increased

governmental involvement in all facets of society established an unprecedented network of national organizations, specifically groups representing labor interests. c. LBJ’s expansion of social welfare programs, support for civil rights, and the increasingly unpopular Vietnam War led to the formation of large interest groups who profited from the war and social movements who opposed it. 9. The average American adult is a member of four organizations. 10. As of 2018, there are over 11,000 registered lobbyists in Washington, DC. B.

Types of Interest Groups 1. An interest group is an organized body of individuals who share common political goals and try to influence public policy decisions. 2. Baumgartner and Leech’s publication, The Encyclopedia of Associations, lists fewer than 6,000 interest groups in 1959. Today, the same source lists over 24,000 and about 75 percent represent occupational interests. These organizations may be classified in the following groups: a. Private and Public Sector Occupational Groups representing the economic interests of their members are the oldest as well as the most numerous members of the interest group system. 1) Peak associations represent the general interests of business including the Chamber of Commerce and the National Association of Manufacturers. 2) Trade associations bring together companies in a single business, commercial, and industrial sector, such as the American Petroleum Institute and the American Electronics Association. 3) Labor groups consists of both private sector and public sector unions, such as the AFL-CIO, National Education Association (NEA), American Federation of Teachers (AFT), and the Service Employees International Union (SEIU), that protect their members by controlling entrance requirements, work rules, and wage and benefit levels, among other concerns. 4) Professional associations, serve lawyers, doctors, social workers, academics, and others form to set standards and design admission requirements, share information of general interest, and protect member interests against competitors and government regulators at the local, state, and national levels. b. Public Interest and Citizen Group represent private sector and some public sector occupation groups have economic or professional assets, money, expertise, and sometimes numbers to trade for government attention and assistance. The public interest movement, comprised of a diffuse set of membership groups, law firms, think tanks, lobbying groups, and community organizations, depends more on information and

publicity to make both business executives and government bureaucrats look beyond narrow self- interests to the broader public interest.

III.

Interest Group Resources 1. Size of Membership: Large groups, such as the 38 million member American Association of Retired Persons (AARP) or the 12.5 million member AFL- CIO, demand attention simply because of their size. Ultimately, however, both unity and coverage must accompany size if it is to have its full effect. 2. Intensity of Membership: Large majorities as well as well-organized and intensely interested minorities can often overcome unorganized majorities. 3. Financial Resources of Members: Money is critical to interest group success. Money helps groups both organize internally and exercise influence externally. 4. Prestige and Expertise of Members: Some groups— business, labor, and professional groups, for example— are in better positions than other groups— consumer, wilderness, and civil rights groups, for example— to claim decisive or exclusive expertise. 5. Organization and Leadership: Interest groups are organized either as unitary organizations or as federations. Members belong directly to the organization, and there is a single level of administrative structure, usually a national office or headquarters. 6. Strategic Alliances: Some groups are able to leverage their own resources by forming strategic alliances. Although the organization may have local chapters, they are all directed from the national headquarters. For example, consumer groups often supplement their usually modest resources by coordinating their activities with civil rights groups, environmentalists, and organized labor.

Interest Group Resources and Strategies 1. The Role of Lobbyists a. Inside Lobbying: The goal of an inside strategy is to convince the elected and appointed officials, usually by means of close and quiet consultation, to develop or modify a policy or to take some action in the interpretation or implementation of a policy that would serve the interests of a group and its members. b. Outside Lobbying: An outside strategy may involve media advertising designed to educate the public, or letter- writing, phone, and fax campaigns by interest group members and others designed to impress public officials with the breadth and depth of concern in the public over a particular issue. c. Litigation: Interest groups that fail to influence public officials directly or indirectly by influencing public opinion may turn to the courts.

The Fight Over Healthcare Reform: A Lobbyist’s Donnybrook A. The Origins of Heath Care Reform

D. .

1. Generally, this issue made it on the national agenda in the twentieth century and has been a perennial point of conflict since. The Democrats have traditionally advocated for some type of national health insurance while the Republicans have usually opposed such efforts. The first such effort was actually proposed by the Progressive and former Republican President Theodore Roosevelt in his 1912 campaign under the “Bull Moose” Banner. FDR, Truman, Johnson, Nixon, Carter, and Clinton all proposed some type of nationalized healthcare and were subsequently opposed by Republicans who continually spoke of “creeping socialism.” The winning effort was championed by Barak Obama and based on “lessons learned” in Clinton’s failed attempt from 1994. Interest Groups in the Healthcare Debate 1. Coalitions of interest groups formed, one with traditional Democratic leaning organizations joined by key players from the healthcare sector like the AMA advocated on behalf of the reform and was instrumental in putting the legislation together. A key coalition formed specifically for the avocation of such reforms was Health Care for American Now. In opposition stood traditional Republican groups formed into a few coalitions that were led principally by the Chamber of Commerce, the Heritage Foundation, and specified coalitions like America’s Health Care Providers, and Conservative’s for Patients’ Rights. Massive amounts of money were spent in the issue campaign, especially by the opposition groups going well into the hundreds of millions of dollars. Key Provisions of the Obama Health Care Bill 1. The bill containing the healthcare reform was passed on March 21, 2010 with a follow-up bill passed through reconciliation procedures to seal the deal; no Republican supported the measure in the House of Representatives in the 219212 tally. The bill expanded coverage, increased the regulation of health insurance industry practices, and put in place taxes and fees to finance the package. In particular, it expanded coverage to 32 million previously uninsured bridging the uninsured gap by decreasing it from 17 percent to 5 percent. It did this by expanding Medicare and creating state-run insurance exchanges as well as filling gaps in elderly prescription drug coverage by 2020. The bill also limits health insurance industry practices by guaranteeing dependent child coverage up to age 26, eliminating annual or lifetime caps, proscribe against preexistent condition denial by insurance companies (went into effect in 2014), requires company coverage for health insurance by employers with 50 or more workers (or face a penalty), and requires self-employed persons to have coverage either on their own or through a state-run exchange (or face a penalty). New taxes were levied as a progressive increase to payroll taxes for Medicare of 3.8 percent for those making in excess of $200,000 individually or $250,000 as a family. Finally, companies selling brand name drugs and high cost “Cadillac” insurance plans also had taxes and fees levied on them. The CBO claims that over the next ten years the plan will actually reduce deficits by $143 billion, though these figures have been disputed by opponents. The Fight Goes On: Inside and Outside Lobbying after Adoption

1. In 2012, after a series of legal challenges, primarily from a number of states, the U.S. Supreme Court upheld the constitutionality of the Affordable Care Act while amending one of its more stringent requirements with regard to state Medicaid programs. 2. With most of the major elements of Obamacare having been implemented, by 2016 20 million Americans had signed up on the healthcare exchanges or through Medicaid expansion. Yet the public is skeptical and needs to be educated as to the virtues of Obamacare if it is to be a policy success. Also, a new relationship between the government and the insurance system has to be cultivated in order to implement the oversight capacities called for by the reform. And, while access was increased costs have not decreased so far, more aggressive intervention is needed in order to get the process going with an emphasis on good health outcomes as opposed to piecemeal tests and treatments. 3. Inside lobbying focused on bureaucratic implementation procedures in the executive branch as well as other prospective court challenges by supporters and opponents alike. Republicans followed a line of “repeal and revise” while both sides cashed in with relevant interest groups for campaign financing as a result of this issue. 4. When Donald Trump won the presidency in November 2016, Gallup reported that 53 percent of Americans opposed Obamacare while 42 percent supported it. But as Trump and Republican majorities in Congress organized to repeal the law, approval began to rise. By April 2017, 55 percent of Americans approved, including 86 percent of Democrats, 57 percent of Independents, and just 17 percent of Republicans. At year’s end, overall approved remained above 50 percent. Ultimately, the Republican Congress was unable to repeal or replace Obamacare. IV.

Chapter Summary American politics has always included organized individuals who try to affect politics. Yet, access to policy-makers has largely been reserved to elites and those representing business, occupational and professional interests. Interest groups have been a major part of the American political system since the beginning of the country providing a means of access between the citizenry and the state as well as a mechanism for social and economic activism. Interest groups engage in insider and outsider strategies for the lobbying of government officials in all three branches of government and at all three levels of government. They also try to influence public opinion by engaging in issue education and advocacy with the public. Recently, various coalitions of interest groups tackled the difficult issue of healthcare reform. There were pitched battles between adherents and opponents, which occurred in the halls of Congress and across the airways as both sides agitated for/against and ultimately shaped the health policy future of this country.

LECTURE SUGGESTIONS Theory/Philosophical Focus: Federalist #10 I.

Introduction A. In Federalist #10, Madison counters the anti-Federalist’s arguments against the proposed Constitution. 1. Specifically the Anti-Federalist Papers: Letters from the Federal Farmer (October 8-9, 1787) and Brutus’ Essay #1, (October 18, 1787) opposing the proposed Constitution and supported tenets of Jeffersonian democracy: a. Stipulating sovereignty should reside in small republics b. A large, consolidated republic will threaten republican liberty c. A distant federal government will lead to tyranny (faction) d. Local traditions and regional differences will inhibit an effective national government. B. Alternatively, Publius believes an extended republic will actually control the effects of factions. 1. Representation alone will be insufficient because it would require the representatives to have good character, morality, and good judgment. This is utopian as history has shown, given the conflicts, animosities and unfriendly passions among men. 2. There must be another “mechanism” to ensure that if representation fails faction can still be controlled. 3. That mechanism is the Extended Republic: a. By taking in a multiplicity of interest, the interests and parties will effectively moderate the threat to republican liberty. b. The differences between regions and locales will cancel each other so no one interest will become overly powerful. C. James Madison lays out the skeleton of his argument for the proposed Constitution in the first paragraph: 1. A well-constructed Union will break and control the violence of faction. 2. A friend of popular government understands the threat of faction and will support a governmental plan that provides a proper cure for faction.

II.

Controlling the Effects of Faction A. The definition of faction is a number of citizens, whether amounting to a majority or minority of the whole, who are united and actuated by some common impulse of passion, or of interest, adverse to the rights of other citizens, or to the permanent and aggregate interests of the community (contrary to the common good). B. Reasons for factions: 1. The nature of man So strong is this propensity of mankind to fall into mutual animosities, that where no substantial occasion presents itself, the most

III.

frivolous and fanciful distinctions have been sufficient to kindly their unfriendly passions, and excite their most violent conflict. 2. Difference in possession of property How do we deal with the problem of faction? 1. Madison provides two alternatives: a. Removing its causes or b. Controlling its effect(s) 2. How do we remove the cause of faction? a. Liberty is the cause of faction and to remove the cause destroys liberty. Give all people the same opinion is impossible but also a cure worse than the disease. b. So, we cannot get rid of faction without destroying liberty. 3. According to Madison, if we cannot rid ourselves of faction then we need to control the effects of faction. 4. How do we secure the public good and private rights without destroying liberty? It is surprising to many students that Madison is arguing against democracy in that he is showing that democracy provides no control of faction. 1. When people directly administer the laws there is no check on the passions or interest of the people. The passions and interest become the administrators of the laws. 2. Pure democracy does not provide any cure for the mischief of faction. A common passion will be felt by the majority of the whole, which will rule unchecked, sacrificing the minority for the passion or interest. 3. Democracy is a flawed government in that it cannot secure inalienable rights against faction.

Madison’s Mechanisms to Control the Effects of Faction A. Madison proposes two mechanisms that will allow the Republic to control the effects of faction or the tyranny of the minority: (Remember: factions are contrary to the common good) 1. First Mechanism: Representation (the filtration argument) a. Government in which the scheme of representation takes place: A simple majority of votes eliminate the threat of a minority faction. b. The representative process, which will take place within the two legislative branches, allows for a refinement and enlargement of the public views as the view is passed through a body whose insight will help determine if the view is consistent with “the true interest of their country.” c. According to Madison, factions will be controlled by a representative acting as a trustee who will use his wisdom and expertise to filter the views of his constituency: Representatives as Trustees: may know better than the people. 2. However, to control faction you need something else.

IV.

Second mechanism: an extended Republic—(the size argument) 1. Madison proposes an Extended Republic a. Republics, through representation, can be spread out over large territories. b. The people elect a number of representatives and then the representatives make the laws. c. A greater number of parties and interests will make it harder for a majority faction to form. 2. Why? a. Harder to find a lot of people with the same passions or interests. b. If there are people with the same interests it is physically harder for them to be in the same place at the same time.

Conclusion A. In Federalist #10, Madison provides two mechanisms: an extended republic and a scheme of representation where the threat of a minority—the cabal of a few—will be controlled. B. Representatives filtering the public views with those promoting the common good does not solely ensure protection against tyranny. C. Yet, this scheme of representation combined with an extended republic consisting of a multiplicity of interests will make it more difficult for faction to form. D. Publius provides a pragmatic solution to control the effects of faction by appealing to the republican principles of representation and self-rule but also recognizing the capacity of man to abuse positions of power to advance individual interests at the expense of the common good.

American Political Development (APD)/Historical Focus: The Women’s Rights Movement I.

The Impetus for Political Equality (1848-1899) A. In July 1848, Lucretia Mott and Elizabeth Cady Stanton organized the convention in Seneca Falls, New York, publicly adopting a statement calling for women’s suffrage. B. The meeting attracted 240 people, including 40 men including the first man to speak in favor of women’s suffrage, the abolitionist, Frederick Douglas. C. The convention convened with the first written document, the Seneca Falls Declaration of Sentiments, publically stating, in language similar to the Declaration of Independence, the reforms needed to provide political, economic and social equity to women. D. Initially, abolitionists, including Susan B. Anthony, a Quaker from Rochester, NY and Stanton formed the National Woman Suffrage Movement that advocated a broad equal rights platform while Lucy Stone (who incidentally kept her maiden name after marriage) created the American Woman Suffrage Association dedicated to extending suffrage to women. 1. Yet, many in the suffrage movement, including Stanton and Anthony, were against extending suffrage to slaves.

2. E.

G. H. I.

II.

The two groups merged in 1890 to form the American Woman Suffrage Association concentrating their efforts on gaining women the right to vote. In the 1872 presidential election, hundreds of suffragists went to vote for Ulysses S. Grant and other Republican candidates. 1. Susan B. Anthony was found guilty of voting and fined $100. 2. In 1873, the Supreme Court ruled that only individual states could allow women to vote per Article I, section 4, of the U.S. Constitution. 3. In 1890, the admission of Wyoming into the Union created the first state allowing women the right to vote. In 1893, Carrie Catt was dispatched by Anthony and Stanton to Denver, Colorado, to help promote women’s suffrage. Catt had addressed Congress in 1892 promoting women’s political equality. A third group, The Women’s Christian Temperance Union, joined suffragists and abolitionists to push for political equality. By 1896, Colorado, Wyoming, Idaho, and Utah extend voting to women. In Boston, MA anti-suffragists organizations, known as Beacon Hill societies form to counter the influence of suffragists: Why? 1. This would be detrimental to women because they would become “crooked and distrustful” like men. 2. As a result of these organizations, referenda advocating political equality were defeated throughout Massachusetts.

The Suffragist Movement Goes National (1900-1917) A. In 1896, the women’s rights movement gained another ally, The National Association of Colored Women with its charismatic leader, Mary Church Terrel who was invited to speak at national conventions. B. As a result of the large number of immigrant workers pouring into the Northeast during the turn of the twentieth century, Harriet Blache, the daughter of the recently deceased Elizabeth Cady Stanton, began to bring in women from trade unions to support women’s suffrage. C. Yet, the suffragists were fractured with some opposing political equality for blacks and immigrants while also split as to what strategies should be incorporated to achieve equality. D. With the advent of the Progressive Party in the United States, the International Workers’ Movement, and the equal rights marches in London, suffragists began to stage “open air speeches” and organize public demonstrations and parades in New York promoting political equality for women. E. In 1912, the Suffragist Movement begins to gain momentum. F. Suffragists Alice Paul (who gained a PhD in English) and Lucy Burns organize a demonstration outside the White House before Woodrow Wilson’s inauguration as president in 1913. 1. 8,000 demonstrators descend on Washington, DC

G. H. I. J. K.

III.

National recognition of the Suffragist Movement is illustrated by the introduction of the Susan B. Anthony Amendment calling for an amendment to be added to the U.S. Constitution guaranteeing women the right to vote. The labor movement joins the suffragists in a national push for women’s equality by actively campaigning against Democratic candidates in nine Western states. In 1915, Washington, California, Arizona, Kansas, and Oregon join four other states permitting women the right to vote (referendum defeated in New York state). In 1916, Jeannette Rankin is the first woman elected to Congress representing the state of Montana. As the president of the NAWSA, Carrie Chapman Catt hires Maude Hill Park who begins lobbying members of Congress to support the Anthony Amendment. However, Congressional members from Southern states are adamant in opposing the amendment. 1. Scared that blacks would gain too much power. 2. Challenged the traditional notion of the family structure. In 1917, Alice Paul who is the leader of the suffragist organization, the National Women’s Party, begins to stage daily protests and pickets the White House. 1. Public discontent rises as daily protests occur. 2. This strategy is impeding the incremental strategy of Catt and Park. 3. Violent clashes erupt and 168 protesters are jailed. 4. Public opinion is swayed by the abusive treatment of the protesters by the Washington, DC, police and the subsequent imprisonment of some suffragists.

Political Equality: The Nineteenth Amendment to the U.S. Constitution: A. In 1917, President Woodrow Wilson realizes the women’s vote is politically beneficial as several Democratic candidates are defeated in Western states that allow women to vote. B. After two unsuccessful bids to pass a suffragist referendum in New York, the state assembly agrees to the referendum in 1918. C. Politically equality for women is now being debated in every state. D. In 1918, Jeannette Rankin, as a member of the House of Representatives, speaks on the floor supporting the Anthony Amendment and calls Woodrow Wilson “a Kaiser” referencing Kaiser Wilhelm who is now a declared enemy of the United States. E. The Amendment Process 1. The House passes the Anthony Amendment by 1 vote in 1918 as Southern Democrats were allowed to attach a rider to the legislation permitting states to bar women from voting in the next general election based upon state voting registration guidelines. 2. On June 4, 1919, the amendment passes the Senate by 1 vote. 3. The Anthony Amendment now must be ratified by two-thirds of the state legislatures (36 states) per Article V of the U.S. Constitution. 4. As a result of Delaware rejecting the amendment, Tennessee becomes the battleground state.

IV. A.

B. C. D. E.

In the Tennessee legislature, first-term Republican, Harry Burns, changes his vote to support the amendment because he receives a note from his mother asking him to so. The Nineteenth Amendment providing women the right to vote is ratified on August 26, 1920! Conclusion While the Nineteenth Amendment was ratified in 1920, it by no means indicated women became active in politics. In fact, Kristi Andersen’s book, After Suffrage (see supplemental reading section) actually provides empirical evidence that women’s participation declined throughout the 1920s and early 1930s in many states. Furthermore, Mississippi and Georgia do not allow women to vote in the proceeding November elections. Political change does not equate to social change. The decline of the Progressive Movement led to less national attention for women’s issues. Nevertheless, the Democratic Party began to gain the support of women by supporting the Nineteenth Amendment. 1. National leaders hoped women would support the League of Nations. 2. Sponsor women as political candidates in Western and Midwestern states. 3. Southern Democrats remained hostile to women’s equality. Carrie Chapman Catt founded the League of Women’s Voters (originating from the NAWSA) and continued to work to further women’s rights until her death in 1947.

PROJECTS, EXERCISES, AND ACTIVITIES 1.

Social movements propose broad changes that challenge societal norms, cultural practices and seek to influence governmental institutions and procedures. In turn, reforms occur because government officials are forced to respond to public opinion. As an out of class assignment, have the students choose a particular social movement (examples include women’s suffrage, the civil rights movement, environmental issues, Occupy Wall Street, Black Lives Matter, the Twenty-six Amendments to the U.S. Constitution etc.), and identify the group(s) that spearheaded the movement and the specific policy changes that the movement caused. Consider the following questions: What were the most effective strategies used by this group? Why was it effective? What strategies did they use that failed to produce change? Why did these strategies fail?

Invite a representative from a lobbying group, PAC, public interest group, watchdog organization, or think tank to speak to the students. Have the students ask questions following the presentation. Finally, have them write a paper on the presentation and what implications the organization might have on public policy and society, at large.

Learn more about the local political-economy.

Schedule a session with the local Chamber of Commerce to understand better the nature of the business community, plans for economic development, economic diversification, and workforce development. Meet with representatives of the city mayor’s office for a briefing on city services, taxation and expenditures, democratic politics, community involvement in policy advising, and interest group input.

Ask each student to write a paper and present a short, PowerPoint presentation on an issue that transcends both politics and economics. 5.

As an assignment, have the students contact an individual who is employed or works with interest groups (preferably a lobbyist). Next, have the students interview the person asking questions that address the particular strategies used and actions taken to influence policy-makers. Furthermore, is there a particular ideological bias expressed by the organization(s) or issues the lobbyist represents? Finally, what is the personal and professional background of the lobbyist or representative of the organization? How has his/her personal background influenced, affected or prepared the lobbyist to perform the tasks necessary to successfully influence policymakers?

Divide the students into groups 3 or 4 and hand each group member a copy of the U.S. Declaration of Independence and the Seneca Falls Declaration of Sentiments. Ask each group to take 15-20 minutes to compare and contrast the language as well as the philosophical claims of each document. Have a member of each group report to the class the group’s findings regarding the following questions: 1)

2) 3)

In what way is the Seneca Falls Declaration of Sentiments a restatement of the Declaration of Independence with regard to the equal rights of women? To what extent does the Declaration of Sentiments expand on the rights mentioned in the Declaration of Independence? Are there any additional rights in the Declaration of Sentiments that are not found in the Declaration of Independence? If so, in what way are these rights either compatible or incompatible with those in the Declaration of Independence?

ADDITIONAL RESOURCES Supplemental Readings Andersen, Krisiti. 1996. After Suffrage: Women in Partisan and Electoral Politics Before the New Deal. Chicago: University of Chicago Press. Berry, Jeffery M. 1977. Lobbying for the People. Princeton: Princeton University Press. Berry, Jeffrey M. 1997. The Interest Group Society. Third Edition. New York: Longman. Cigler, Allan J and Burdett A. Loomis (eds.). 2002. Interest Group Politics. Washington, DC: CQ Press. Eagles, Charles W. and David L. Lewis. (eds.). 1986. The Civil Rights Movement in America. Jackson: University of Mississippi Press. Lowi, Theodore J. 1969. The End of Liberalism. New York: Norton. Olson, Mancur. The Logic of Collective Action. Cambridge, MA: Harvard University Press. Rossiter, Clinton. 1961. The Federalist Papers. New York: Mentor. Sabato, Larry. 1985. PAC Power. New York: Norton. Truman, David. 1971. The Governmental Process. New York: Knopf. Walker, Jack L. 1991. Mobilizing Interest Groups in America: Patrons, Professions, and Social Movements. Ann Arbor: University of Michigan Press. Wilson, James Q. 1995. Political Organizations. Princeton: Princeton University Press. Websites American Association of Retired Persons Website for the largest American lobbying organization whose membership totals over 35 million including those individuals who are age 50 or older. Americans for Democratic Action Website for the ideologically liberal PAC, Americans for Democratic Action. This organization produces a data set of congress members voting records evaluated according to ideological orientation. Citizens Against Government Waste .

Website for the government watchdog group, Citizens against Government Waste, that advocates lower taxes and opposes wasteful government programs. CATO Institute Website for the ideologically libertarian think tank, Cato Institute. Institute for Policy Studies Website for the ideologically progressive think tank, Institute for Policy Studies. Christian Coalition of America Website for the socially conservative interest group, the Christian Coalition. American Conservative Union Website for the ideologically conservative lobbying group, American Conservative Union. This organization produces a data set of congress members voting records evaluated according to ideological orientation. Federal Election Commission This is the Web page of the Federal Election Commission that provides information on campaign finance laws. International Brotherhood of Electrical Workers This is the site for the International Brotherhood of Electrical Workers (IBEW) representing approximately 750,000 members who are employed as skilled laborers. American Federation of State, County and Municipal Employees With 1.6 million members, the American Federation of State, County and Municipal Employees (AFSCME) is the largest public service employee union in the U.S. National Association for the Advancement of Colored People Website for the National Association for the Advancement of Colored People (NAACP) dedicated to advancing civil rights legislation. NARAL Pro-Choice America This is the Web page of the National Abortion and Reproductive Rights Action League that supports pro-choice candidates and policies. National Organization for Women Official website of the National Organization for Women. Open Secrets This site operated by the Center for Responsible Politics provides information on lobbying activity, campaign donations lists and expenditures, as well as PAC contributions.

U.S. Chamber of Commerce Website for the pro-business lobbying organization, the United States Chamber of Commerce that has numerous affiliates in all 50 states. National Right to Life This interest group agitates on behalf of the pro-life position relative to the abortion issue. American Medical Association Organization that advocates on behalf of physicians. Healthcare-Now! A political interest group that advocates a national single-payer healthcare plan. Service Employees International Union An organization of 2-million members that advocates on behalf of workers in various service industries.

Chapter 7 POLITICAL PARTIES: WINNING THE RIGHT TO GOVERN FOCUS QUESTIONS Q1

How has the role of political parties in American politics changed over the course of the nation’s history?

A political party is a group of people joined together on the basis of broad principles for the purpose of gaining political power by winning elections. The American party system provides an opportunity for the public to choose candidates who offer differing visions concerning the scope and size of government. Subsequently, the balance of power between parties has changed every 35 years. Party dominance may be seen as cyclical with one party controlling government for 10 years followed by a period of dealignment where the dominant coalition fractures resulting in a realigning election (a.k.a. a critical election). Beginning in the late 1820s, the party system began to integrate principles of popular democracy allowing the common man to participate in politics. Consequently, partisanship or voters identifying with one political organization augmented the power political parties have on the mechanisms of elections. The Progressives sought to lessen the power of political parties through reform movements in the early twentieth century. Reforms such as secret ballots, initiatives, recalls, referendums, and party primaries have allowed greater individual influence and decreased the hegemony of political parties. However, the Great Depression increased the need for government intervention in economic and social issues and political parties provided a conduit between citizens and policy-makers. While partisanship decreased over the following decades, divisions within the American electorate were fueled by the 2000 presidential election and continued unabated during the next five presidential elections. Yet, with all these changes, the role of political parties remains the same: recruit, select, and sponsor candidates to win political elections.

How did the progressive reforms of the late nineteenth and early twentieth centuries affect political parties in the United States?

The Progressive reforms of the early twentieth century sought to eradicate the spoils system by limiting the corruption connected with urban political machines and national political parties. In turn, the Progressives sought to place more control in the hands of individual voters by implementing mechanisms such as split ticket voting, referendum, recall, initiative, party primaries, and the secret ballot.

Are American political parties in decline, and, if so, should we be worried about it?

Political parties may be seen as in a state of decline. However, political scientists suggest the role of political parties may be changing to accommodate the modern candidatecentered campaigns. More people consider themselves Independents today than in the past. Also, more people have self-identified as “weak” partisans than ever before. Nevertheless, party strength appears to be recouping its losses from the 1960s and 1970s given the contentious outcome of the 2016 and 2020 elections. Party organization has concentrated on national races and raising money given the close presidential races and slim majorities in Congress. Consequently, political parties still provide voting cues and are the best predictor of voting.

What roles have minor parties, often called third parties, played in American history?

Minor parties, also called third parties, have not played a significant role in the outcome of elections. Yet, throughout our country’s history, there have always been third parties. Third parties are formed around a critical issue that the major parties are ignoring. In addition, successful third parties have a charismatic leader who can appeal to a mass audience and gain support for the issue. However, the likelihood of a third party having a significant effect on an election has been limited by institutional arrangements enacted by the two major American parties to secure their continued political hegemony. These include single-member districts (winner takes all), strong state parties who have been instrumental in designing election laws including the number of signatures needed to be placed on the ballot, who will be included in political debates, money for party conventions, Electoral College delegates, control over patronage, and approval of government contracts to reward the party faithful. In 1860, Abraham Lincoln, under the third party, the Northern (Whigs) Republicans, was elected president. Teddy Roosevelt, George Wallace, Ross Perot, and Ralph Nader had some success in winning a percentage of the popular vote but were far from winning the 270 Electoral College votes necessary to become president.

Are interest groups or political parties the best vehicle for representing citizen opinion to government?

It really depends on the issue and size of the group involved as to whether interest groups or political parties are the best vehicle to facilitate society-to-state interactions. For instance, if it is a single issue or a small group of them then interest groups better represent adherents’ views. But, in the case of a wide diffusion of interests then political parties serves as an umbrella device to contain them all and then as a channeling force to move ideas to action. In fact, while well-defined parties may give voters clear electoral choices, they may be too rigid to govern. Regarding the population sizes involved, interest groups fundamentally represent a small group with a uniform agenda that is shaped by particularistic motives. Meanwhile, political parties represent a wide variety of groups with a set of like-minded but not necessarily cohesive agendas shaped by national broad-based motivations.

CHAPTER OUTLINE I.

Political Parties in the United States While political parties are not mentioned in the U.S. Constitution, there is every indication that the Founders recognized that people will form associations to advance a particular cause, issue, or belief. As we read in the last chapter, competing interests were considered healthy for a democracy to prevent tyranny (faction) and spark deliberation concerning policy issues. Yet, unlike interest groups, political parties recruit, select and sponsor political candidates to run for elected office under a given label. In turn, a political party unites a group of people joined together on the basis of shared principles for the purpose of gaining political power by winning elections. Political parties organize, structure and facilitate democratic politics by making it easier for citizens to participate in the political process. However, political parties are not static. As we shall see, political parties change and attract different constituencies. Moreover, the dominant party in power is temporary given the cyclical nature of politics illustrated by party dominance, dealignment and realignment. Furthermore, scholars have three views of American parties: “big tents,” or parties attracting a wide-range of support among differing ideologies; “responsible parties model” or parties that are issueoriented, or as “teams” whereby political parties are comprised of aspiring officeholders. A. Party Eras in American Politics Political parties compete with one another to win elections. Parties offer competing visions of how government should be run. 1. The Pre-party Period (1787-1799) a. Prior to the American two-party system, two factions dominated the political landscape: 1) Federalists 2) Anti-Federalists b. Support: 1) Federalists: Commercial interests, proponents of the Constitution 2) Anti-Federalists: Agrarian interests, proponents of state sovereignty c. Characteristics: 1) Design a stable representative democracy 2) Representative of elite democracy: (a) An educated, land holding elite dominated politics (b) government should protect property rights and provide stable communities to promote commerce; thus inequalities are inevitable. (c) Political representatives should filter the views of the people through their superior expertise, intelligence, and temperament. (d) Elected representatives should act as trustees. 3) Political parties are weak; instead, they may be described as “teams of aspiring office holders”

Federalists versus Jeffersonian Republicans (1800-1824) a. The two aforementioned factions continued to dominate politics. 1) However, the anti-Federalists were united under the name, Jeffersonian-Republicans beginning with the election of Thomas Jefferson in the 1800 election. Jeffersonian Republicans were later called Democrats (actually a politically insulting term when used by the Federalists because it was a reference to the revolutionaries in France who were unprincipled and were largely seen as lacking the necessary skills, education and virtue to participate and maintain a just government). 2) The Federalists were losing national support and remained competitive only in New England after 1815. 3) After 1815, national politics was dominated by the Democrats and termed the “Era of Good Feeling.” b. Support: 1) Federalists: Northern, urban and commercial interests. 2) Jeffersonian Republicans: agrarian interests in the South and West (90 percent of the country) c. Characteristics: 1) An ascending approach to principles of popular democracy (a) the common people are capable of participating in government. (b) Representatives should “mirror” the concerns and interests of their constituents. (c) Elected representatives act as delegates. (2) James Monroe wins a landslide victory in the 1820 presidential election (3) “War Hawks” led by Speaker of the House, Henry Clay, support presidential candidate John Quincy Adams over Andrew Jackson when the 1824 election is thrown into the House of Representatives (per Twelfth Amendment, ratified in 1804). (4) Intra-party competition within the Democratic Party Jacksonian Democrats versus Whigs (1828-1856) a. Beginning in 1830, the American two-party system emerges: 1) Democrats 2) Whigs—formed from the Clay, Webster, Adams “War Hawk” wing of the Democratic Party. b. Martin Van Buren asserts political parties are a “vehicle” enabling the common citizen to advance his political views and participate in the political process. c. Support: 1) Jacksonian Democrats: continued support from those in the agrarian South and expanding West who favored states’ rights, individualism and lower taxes.

Whigs: Continued support from New England and the industrial Northeast while gaining support in newly established Midwestern states and the abolitionist minded Mid-Atlantic States. d. Characteristics: 1) The Whigs revived the Federalists’ beliefs in supporting high tariffs, improvements in infrastructure, a National Bank and other probusiness, pro-industrial policies. 2) Moreover, Whigs attracted those advocating an end to slavery (Conscience Whigs), the need for cheap farmland (Free Soil Party) and the anti-immigrant American Party also known as the Know Nothings. 4) The 1857 Dred Scott case whereby the Supreme Court, led by Jackson appointee and states’ rights supporter Roger Taney, ruled blacks were property and not citizens. 3) Dual Federalism The Civil War System (1860-1892) a. Beginning with the election of 1860, the Republican Party dominated national politics. 1) The issues of slavery, federalism, and the economy (tariffs, currency reserves, banking) spawned the American Civil War. 2) The Whig Party and other lesser parties were brought into the Northern Republican Party; in turn, winning the 1860 presidential election with its nominee, Abraham Lincoln. 3) The 1860 election is widely seen as a critical election because of high voter turnout, a realignment of a majority of the public identifying with the pro-Union, Republican Party and its dominance in holding majorities in the House, Senate and Presidency until the Democrats won a majority of the seats in the House in 1874. (a) Republicans dominant party in all regions but the South (b) Southern states solidly Democratic b. Support: 1) Republicans: Northern, Midwestern, and Western states, suffragists, abolitionists and industrialists. 2) Democrats: Southern states, proponents of state’s rights and slavery, agrarian interests, Confederate sympathizers in border states. c. Characteristics: 1) Regional divisions both socially and economically 2) Reconstruction:(1864-1876) (a) The Union army and military governments in the Southern states (b) Patronage and the spoils system dominate local politics. 3) Increased economic development in the North; economic depression the South

4) 5)

Open immigration and geographical expansion westward. It could be argued that the Republican Party during this era was most representative of a responsible party given their commitment to pro-Union, abolitionist causes. Republicans dominated national politics until 1876 when the Democratic Party reemerged as national political party. 6) High levels of voter turnout The System of 1896 (1896-1928): a. The 1896 presidential contest between Republican William McKinley and Populist, Democrat William Jennings Bryan signifies another critical election whereby Republicans gained control of the Presidency and Congress until the Democrats won a majority in the House during the 1910 election. b. The election consummated the relationship between the Republican Party and big business given the large campaign donations to McKinley from Northern industrialists. c. Support: 1) Republicans: Commercial interests, suffragists, Progressives, Northern and Midwestern states, proponents of high tariffs and the gold standard. 2) Democrats: Agrarian interests, segregationists, Southern and Western states, supporters of low tariffs and silver backers. d. Characteristics: 1) World War I and the ratification of the Nineteenth Amendment 2) Progressives called for the end of patronage and sponsored reforms that lessened the power of political parties over elections and voters: (a) Initiative: Legal or constitutional process common in the states that allows citizens to place questions on the ballot to be decided directly by the voters. (b) Referendum: A legal or constitutional device that allows state and local governments to put propositions directly to voters for determination. (c) Recall: A legal or constitutional device that allows voters to remove an offensive officeholder before the normal end of his or her term. (d) Party Primary: An election in which voters identified with a political party select the candidates who will stand for election under the party label in a subsequent general election. (e) Voter registration to battle corruption. (f) Australian-style (secret) ballot 3. This era represents the influx of both governmental reform and large campaign contributions in politics.

Also, high levels of partisan conflict in the 1890s and 1900s that began moderating during World War I (1914-1917). The New Deal System (1932-1964) a. As a response to President Hoover’s ineffective response to the Stock Market crash in 1929 and the subsequent depression that followed, voters elected Franklin Roosevelt president in 1932. 1) This election signifies another critical election given Democratic control of the Presidency until the election of Eisenhower in 1952. 2) Roosevelt initiated an unprecedented level of federal spending and government programs to combat high unemployment and poverty while intervening in economic and banking matters within the New Deal legislation. (a) National Recovery Act (1933-1935) (b) Created the Securities and Exchange Commission (1935), Federal Deposit Insurance Corporation (1935) and Banking Act of 1935. 3) These federal programs were extended in the subsequent Democratic presidential administrations: (a) Harry Truman’s Fair Deal (b) John Kennedy’s New Frontier. (c) Lyndon Johnson’s Great Society. b. Support: 1) Democrats: New Deal Coalition—Southern and Western states, ethnic minorities, African Americans and Southern whites, Northeastern Irish, women and Northern industrialists. 2) Republicans: Midwestern states and laissez-faire big business. c. Characteristics: 1) The 1932 election signified the beginning of the New Deal Coalition, which illustrates a “big tent” party including such diametrically opposed interests as African American, urban workers, and rural, white males living in the South. 2) The Great Depression, World War II, Korean Conflict, and Vietnam 3) Cooperative Federalism The Era of Divided Government (1968-2016) a. This era is defined by weakening party allegiances and divided government. 1) Increase in independent voters and weak-leaning partisans 2) From 1968 to 1992, Republicans controlled the presidency (except for Carter’s win in 1976). 3) Moderation of partisan conflict ends in mid-1960s. 4) Ronald Reagan reenergizes the Republicans in 1980 and 1984 elections.

10)

11)

12)

13)

14)

15)

Democrats controlled the House until 1994 when the Republican Revolution, under the leadership of Newt Gingrich, won a majority in the House and Senate (first time since the 1952 election). In 1992, the Democrats won the presidency and controlled Congress. (a) Yet, in 1995 the federal government became divided (Republicans controlled Congress) and highly partisan. (b) This pattern continued until the 2000 elections. The 2000 presidential election illustrated the partisan divide within the country, as the Supreme Court decides the election: (a) Democrat Gore wins popular vote (b) Republican Bush wins Electoral College (c) Congress: i. Senate: 50/50 split (Republican VP breaks tie) ii. House: Republicans have slim majority The 2004 election: (a) Bush wins second term (b) Congress continues to be controlled by Republicans. The 2006 mid-term election: (a) Bush approval ratings are very low at 29 percent due to the Iraq War (b) Congressional scandals hurt Republicans (c) Democrats gain control of Congress in 2007 The 2008 election: (a) Obama wins first term (b) Democrats maintain control of Congress The 2010 mid-term election: (a) Democrats lose control of House in 2011 (b) Partisan conflict over Obamacare The 2012 election: (a) Obama wins second term (b) Divided government continues The 2014 mid-term election: (a) Democrats lose control of Senate in 2015 (b) President Democrat, Congress Republican (c) Partisan conflict rises over judicial court nominees The 2016 election: (a) Trump wins first term (b) No divided government, presidency and Congress in Republican hands (c) High partisan conflict over repeal of Obamacare, tax reductions, judicial court nominees, foreign policy (d) Talk of third party emerging from Republican Party The 2018 mid-term election:

II.

(a) Democrats regain control of House in 2019 (b) Trump is impeached in 2019 16) The 2020 election: (a) Coronavirus pandemic strikes in 2020 (b) Trump loses bid for second term (c) Biden wins first term (d) Divided government returns Support: 1) Republicans: Southern, Midwestern, Southwestern (red) states. 2) Democrats: Upper Midwestern, Northeastern, Pacific Northwestern (blue) states. Characteristics: 1) Vietnam, Watergate, Oil Crisis, Iranian Hostage Crisis, Gulf War, Iraq War 2) Transition from Cooperative to Coercive to Dual Federalism. 3) Highly partisan and competitive party system: divided government. 4) More voters self-identifying as politically Independent. 5) In 2007, Democrats may be described as a big tent party. 6) Realignment of the Democratic Party in the Northeastern states.

The State of Political Parties in the United States The roles of political parties may be studied in three ways: party in electorate, party organization, and party in government. A. Party in the Electorate 1. Basically, this measures the allegiances or psychological attachment of voters to a particular party, producing: a. Voter participation b. Voter intensity 2. Party Identification: The Ties Loosen a. Campaign contributions and media exposure have replaced party activity in local, state and national elections. b. Elections are no longer party-centered but are instead candidatecentered. c. Yet, party identification or the emotional and intellectual commitment of a voter to his or her preferred party is still the best predictor of voting behavior. d. Since 1964, the data collected by the Survey Research Center at the University of Michigan has indicated an increase in voters who identify as Independents (39 percent) (albeit only 10 percent did not identify with either political party in 2004). e. Those voters who identify as strong Democrats have declined since Roosevelt’s New Deal Coalition formed in 1932. 3. Party Identification: The Scales Rebalance:

To accurately understand party identification scholars have looked more closely at the category—Independent. 1) Individuals who self-identify as Independents are largely connected to one political party. These individuals may be classified as Independents leaning to (more apt to support) either the Republican or Democratic Party. 2) Independent “leaners” tend to behave as weak partisan identifiers. (a) Loyal to one party (b) Turnout at the same rates as those who are weak partisans. b. Party loyalty may have weakened as individuals change from strong partisans to weak partisans. 1) Strong partisans turn out at high rates and solidly support the nominee of their party; whereas, weak partisans turn out in lower numbers and are less loyal to the nominee of their party. 2) Republicans are 5 or 6 percentage points more likely to turn out and 5 to 10 points more likely to support the candidate of their party than are Democrats. 4. Democrats and Republicans a. Who are the Democrats and Republicans? 1) Democrats tend to be from the middle to lower classes, minorities, women, union members, live in urban areas, liberal, less religious, less educated. 2) Republicans tend to be white, men, suburbanites, conservative, more religious, more educated, and belong to the middle to upper classes. Party Organizations Party organization has traditionally resembled a pyramid structure: the more numerous local party organizations including wards, precincts, city, and county organizations at the bottom; state organizations including the Democratic and/Republican Central Committees in the middle; and the national party organizations (DNCC, RNC, House and Senate Campaign Committees) at the top. Local organizations are vital to get out the vote. National organizations raise and allocate funds in those districts where candidates stand a good chance of winning. 1. Local Party Organizations a. Local party organizations called political “machines” operate based upon patronage and reward party supporters with jobs, city and county contracts and provide goods and services to those who continue to support the party. b. The political machine in Chicago and Cook County are prime examples of Democratic machines, currently under the reign of Richard M. Daley, who has never faced a serious challenger within his party or by the Republican Party. Daley and his supporters on the Chicago City Council control 37,000 patronage jobs. As mayor of Chicago, Daley has formed a coalition of African Americans, Latinos and Old World immigrants (Irish, Polish,

German) to further consolidate power. The Daley administration is currently under federal investigation as 21 city workers, including former Chicago City Clerk, James Laski, have been found guilty of receiving financial “kickbacks” to the amount of $48,000. 2. Fifty State Organizations a. State committees are responsible for organizing state party caucuses and conventions, writing the state party platforms, allocating campaign revenues, and selecting the state party’s national convention and national committee delegates. b. State party organizations have moved from concentrating on electoral mobilization; instead providing technical assistance (media, mailers, events) to political candidates. 3. The National Party Organizations a. The Democratic and Republican campaign committees provide funding recruit candidates and their staff, sponsor media advertisements, conduct polling and fundraisers that greatly assist political campaigns. b. The national political organizations (DNC and RNC) are vital to the success or failure of any national political in the highly competitive political environment. Party in Government 1. Elections offer an opportunity for political parties to appeal directly to voters by offering policy alternatives that distinguish one party from another and provide clear policy positions that will be enacted once elected to office. 2. These issues are then associated with a specific party and voters will evaluate the performance of a party (and candidates) based upon the success or failure of the policies. An example is the 1994 Republican candidates publicly signing a pledge to support the tenets of the reform minded policy issues in the “Contract With America.” 3. Promoting the President’s Program a. Beginning in the twentieth century, the president has publicly stated his positions on a variety of issues. In turn, the president has become more instrumental in suggesting, offering (but not sponsoring) and advocating legislation (remember that only members of Congress can sponsor legislation). b. As a result, if the same political party as the president controls Congress, his programs have a greater chance of success than if he presides over divided government: 1) Unified government: 80 percent success rate. 2) Presidency and one house of Congress are controlled by the same party: 75 percent success rate. 3) Both houses of Congress are controlled by a different party than the president: 60 percent success rate.

III.

Each year, Congressional Quarterly publishes the proportion of votes in which the president’s programs were supported by Congress. This is known as Presidential Success. d. As a result of the 2006 midterm elections and the unpopularity of the Iraq War, President Bush had an uphill battle to get his legislation passed. Loyal Opposition 1. Each year, Congressional Quarterly reports the proportion of votes in the House and Senate on which a majority of one-party lines up against a majority of the other party. This is known as party unity. 2. It follows: a. If the president’s party does not hold a majority in both houses of Congress, the opposition party is more likely to sponsor its own legislation. b. If the president’s party controls Congress the minority party can simply dissent and attempt to block legislation through procedural rules (especially in the Senate) but is hamstrung to sponsor legislation. c. However, when incumbent presidents are unpopular and considered a “lame duck,” such as Harry Truman, LBJ, and George W. Bush, members of the same party may decide to defect to advance their popularity and separate themselves from an unpopular leader resulting in party disunity.

The Impact of Minor Parties on American Politics The United States is described as a two-party system but also includes minor parties. Minor parties are organizations that sponsor candidates who advance issues that are largely ignored by the major parties. Minor parties have little chance of winning but can occasionally change the outcome of elections. Some political scientists, campaign managers and established third parties point to the advent of the Internet as an avenue for third parties to become viable forces in local, state and national elections. A. The Historical Role of Minor Parties 1. It is surprising to casual observers of politics that national elections attract several minor parties. In the 2004 presidential election, 15 candidates ran for office. 2. However, third parties have not been very successful but may serve an important role to promote issues that the major political parties ignore. 3. Nevertheless, a minor party (a.k.a. a third party) rises to national attention by: a. addressing an issue (economic, moral, or social) that gains a loyal following. b. advancing the issue via a charismatic leader who can increase support for the party. 4. Successes are few: a. Under the third party, the Northern (Whigs) Republicans, Abraham Lincoln was elected president in 1860.

Teddy Roosevelt, George Wallace, Ross Perot and Ralph Nader had some success in gaining substantial percentages of the popular vote but were far from winning the Presidency. c. In fact, Teddy Roosevelt took votes away from Republican William Howard Taft in the 1912 election allowing Woodrow Wilson to win the Presidency. Also, Ralph Nader’s strong showing may have cost Al Gore the Presidency in the highly contested 2000 election. The Obstacles to Minor Party Success 1. Election laws and rules were written by Democrats and Republicans to favor two-party dominance. In turn major parties have institutional advantages over emerging third parties. 2. Political scientist, Maurice Duverger, noted that electoral rules influence party systems. Duverger’s Law states majoritarian systems produce two-party systems, while proportional representation systems produce multi-party system. As is the case in the United States, we have incorporated a single member district in which a given geographical district elects a single individual to office limiting viable third parties. This is known as first-past-the-post given one winner will represent a district whether elected by a plurality or a majority vote. 3. Moreover, state parties have been instrumental in designing election laws including the number of signatures needed to be placed on the ballot, who will be included in political debates, money for party conventions and Electoral College delegates. 4. Patronage also impedes third parties from gaining a political foothold. The Future of Minor Parties in America. 1. If history is a guide, the chances of a third-party gaining national following and running a viable campaign is slim. 2. Institutional structures and a dominant two-party system assure this to be the case. 3. However, since 2006 election deepening fissures have widened in the Republican Party between social conservatives and libertarians. 4. The Green and Libertarian Parties have sponsored numerous candidates in state and national elections with some success. 5. So, could a middle party form to attract weak leaning Republican and Democrats and appeal to the growing number of Independents? Only time can tell. However, realigning election will continue changing the composition of the major American political parties.

LECTURE SUGGESTIONS Current Events/Behavioral Focus: Who are the Democrats, Republicans, and Independents? I.

Party Identification and Preferences A. The number of people self-identifying as Democrats has decreased over time.

B. C. D.

However, Democrats still outnumber Republicans and Independents. Registered Republicans and Democrats have decreased over time while individuals self-identifying as Independents have risen. According to the American National Election Studies, this is the distribution of Party Identification in America: 1. Democrats: 46 percent 2. Independents: 15 percent 3. Republicans: 39 percent Presidential Candidate Preference by Social Group in 2020 Election: Gender 1. Male: Trump (49%) 2. Female: Biden (56%) Race 1. White: Trump (57%) 2. Black: Biden (87%) 3. Hispanic: Biden (66%) 4. Asian: Biden (63%) Education 1. High School or Less: Trump (51%) 2. Some College: Biden (50%) 3. College Degree: Biden (51%) 4. Advanced Degree: Biden (62%) Income 1. Under $50,000: Biden (57%) 2. $50,000-100,000: Biden (56%) 3. $100,000+: Trump (54%) Age 1. 18-29: Biden (62%) 2. 30-39: Biden (52%) 3. 40-49: Biden (54%) 4. 50-64: Trump (51%) 5. 65+: Trump (51%) Area Type 1. Urban: Biden (60%) 2. Suburban: Biden (51%) 3. Rural: Trump (54%) Religion 1. Protestant: Trump (62%) 2. Catholic: Biden (51%) 3. Something Else: Biden (65%) 4. None (No Affiliation): Biden (65%) t

American Political Development (APD)/Historical Focus: Critical Elections

Critical Elections in American Politics A. Political scientists, Walter Dean Burnham, V.O. Key, and David Brady have added to the literature exploring electoral realignment and the effect changes in party loyalty have on elections. These distinct changes in party loyalty among voters resulting in a lasting electoral realignment are termed critical elections. B. The literature has identified three periods of sharp electoral change in which a complete realignment occurs characterized by a unified and dominant political party controlling the Senate, House and Presidency for at least a decade: 1. The Civil War Realignment of 1860 2. The 1890s realignment 3. The New Deal realignment. C. Each critical election is characterized by political parties offering clear and distinct policy platforms and is evaluated by the electorate base upon these differences. In Critical Elections and Congressional Policy-Making, William Brady identifies five tenets of the aforementioned electoral realignments. 1. Dominance of local issues is momentarily softened by "national cross-cutting issues" 2. The “nationalization of issues during critical election periods creates majority parties that are relatively united on major policy issues” (p. 15). 3. The government is controlled by a single party, for a relatively lengthy period of time, in order for policy changes to be implemented (p. 15). 4. A large number of freshman congressman are elected; in turn, the committee system is "inundated with new members replacing old ones" in leadership positions (p. 15). 5. Critical elections stipulate that the majority party actually acts upon national issues (p. 16).

II.

The Civil War Realignment A. The first period of critical elections, the Civil War Realignment, occurred between 1854 and 1860. 1. As Brady asserts, between 1848 and 1874 House elections were highly sectional in nature due to the dominating national issues of slavery, Western expansion, nationalistic economic growth, immigration, and protective tariffs (pp. 21, 29). a. The Democratic Party opposed protective tariffs, the expansion of homestead legislation; and supported the Kansas-Nebraska Act of 1854. b. The Whigs, soon to become the Republican Party, favored Western expansion, tariffs to protect American manufacturing, and the admission of Kansas as a slave-free territory. c. During the critical period of 1856, the Republican Party emerged as a national party opposing slavery and directly challenging the Democratic Party's platform calling for the non-interference by Congress with slavery in states, territories and the District of Columbia.

III.

As a result of the political parties taking distinct stands on national issues, the Democratic Party began to lose House seats in the Northeast and Midwest. a. Brady cites an across the board change of -5.26 in the critical period away from the Democratic Party in the North suggesting that “national electoral factors were benefiting the Republican Party” (p. 35). b. In the Midwest, the votes for Democratic congressman were even lower. The Republicans gained 35 House seats and averaged 66 percent of the vote over Democratic candidates (p. 29). Moreover, the Republicans became the majority party in 1856 and attained unified control of the government in 1860 when Abraham Lincoln defeated the Northern Democratic nominee, Stephen Douglas and Southern Democrat, John Breckenridge. The Republicans controlled Congress and the Executive Branch from 1860 to 1874. As a result of the 1860 electoral realignment, a new two-party system emerged, whereby, the Republican Party was "united on the basic realignment issues of slavery, secession, civil rights, and expansionist banking policies and tariffs" (p. 49). In turn, the new majority party enacted significant policy changes: slavery was abolished, blacks were enfranchised and were elected to public offices in the Northeast and Mid-Atlantic states. Also, the Homestead Acts granted blacks the opportunity to settle within the Western territories.

The 1898 Realignment A. The second critical election period, 1894-1896, pitted agrarian matters against industrial interests. 1. During the 1890s realignment, the Republican leadership supported proindustrial legislation such as increased railroad construction, high immigration quotas, protective tariffs, and the maintenance of the gold standard to d determine the value of U.S. currency. 2. The Democrats managed to eradicate the Gold-Democrats, led by President Grover Cleveland, from the party and coalesced in supporting the exchange of silver for gold, tariffs favoring free trade to assist cotton producers, and an isolationist foreign policy advocated by the Populist candidate, William Jennings Bryan. B. Between 1884 and 1894, excluding the heavily Democratic South, the regions of the United States were very competitive. C. However, in 1894 the Republican Party gained 6 percent of the vote in the Northeast, West, and North-Central States with the assistance of the Populist Party splitting the Democratic vote (Brady, 1988, p. 58). Furthermore, in the critical period of 1894-1896, the Republican Party gained votes in every region except the South (p. 61). 1. To support this claim, Brady cites the Republican acquisition of 5.5 percent of the swing vote compared to the Democratic loss of -7.6 percent in the East, Midwest, West, and North-Atlantic regions (p. 63).

The votes-to-seats ratio in the House indicates a 5 percent change in both the1894 and 1896 elections and an astonishing 80 percent committee membership turn-over between 1892 and1896 (pp. 69-71). The 1890s realignment led to 34 years of Republican dominance in national affairs. As a result, the pro-industrial policies: the Dingley Tariff of 1896, the gold standard, international military intervention resulting in the Spanish-American War, increased subsidies for railroads, and increased immigration quotas favored by the Republicans were implemented.

III.

The New Deal Realignment A. The third era of realignment occurred due to the Great Depression. 1. The critical election of 1932 provided the voters with a stark choice between the Democrats, who nominated Franklin Roosevelt as their presidential candidate and called upon the federal government to take an active role in assisting the states with debt relief and social programs, and the Republican incumbent, Herbert Hoover, who believed that any relief should come from state governments. 2. Despite the fact that 72 House Democrats resigned or chose not to run for reelection between 1931 and 1933, the Democrats captured 8.95 percent of the swing vote in virtually all House districts and in traditional Republican regions such as the Northeast and Midwest (Brady, 1988, pp. 89-91). a. The Democratic gain was around 10 percent nationally as a result of the “solid South” increasing its Democratic support from 86.7 percent to 90 percent (p. 95). b. Furthermore, during the New Deal realignment there was an unprecedented turn-over of House committee members. As Brady’s research indicates, all thirteen standing committees “found themselves with a majority of new members ... and 90% were FDR Democrats” (p. 105). B. The voting patterns suggest that the public overwhelmingly supported government intervention in the economy. In fact, the number of people voting was twice as high in 1932 than in the 1928 presidential election. C. The New Deal coalition of Southerners, urban workers, minorities, the unemployed, northern industrialists, and farmers accomplished an across-the-board realignment that would enable the Democratic Party to control the Senate, House, and Presidency for 14 years. D. As a result, the new majority utilized government management to pass: agricultural assistance bills, the McNary-Haugenism Act promoting domestic price supports, infrastructure projects (Tennessee Valley Authority, the Public Utilities Act), reciprocal trade agreements, the Fair Labor Act, and the extension of unemployment benefits.

IV.

The 2006 Mid-term Elections A. The results of the 2006 midterm election suggests the possibility of significant defections from the Republican Party.

Only 1 Republican incumbent in the New England states, Chris Shays, won reelection; while 5 Republican incumbents were defeated in the Senate. As a result, the Democrats regained control over both houses of Congress. 2. Public discontent with the Bush administration’s handling of the Iraq War led to anti-war Democrats gaining the support of weak-leaning Republicans and Independents. 3. Some senior Republicans in Congress, namely Chuck Hagel and Arlen Spector, in the Senate and Jim Flake and Ron Paul in the House, broke with the president over increased spending, further U.S. military involvement in the Middle East, and a variety of scandals attributed to the Bush administration and Republicans in Congress. 4. The Southwestern and upper Plains states became increasingly more Democratic. However, under the leadership of the first female Speaker of the House, Nancy Pelosi, and an unpopular leader of the Senate, Harry Reid, the Democrats have yet to find a national leader or salient issue, other than the Iraq War, on which to attract swing voters to the Democratic Party.

The 2008, 2012, 2016, and 2020 Presidential Elections A. The 2008 presidential election was the first election since 1952 to have neither an incumbent president nor former vice-president as a candidate. Subsequently, this scenario provided political excitement, established a new record for campaign spending, and redefined the modern presidential campaign. B. The 2012 presidential election was the first election in American history with an African-American candidate, Barack Obama, from one of the major parties, as well as the election of that candidate as the first African-American President. C. The 2016 presidential election was the first election in American history with a female candidate, Hillary Clinton, from one of the major parties. D. The 2020 presidential election was the first election in American history with an African-American/Asian/female candidate, Kamala Harris, from one of the major parties, as well as the election of that candidate as the first AfricanAmerican/Asian/female Vice President.

PROJECTS, EXERCISES, AND ACTIVITIES 1. Require the students to work for a political party and keep a journal of their experiences. As the semester nears its end, have the students present their findings either through a written paper or class presentation. 2. Assist students in creating questions for semi-structured interviews. Your students will be asking members of their community to tell them which political, social, and economic issues are most important to them. Only at the end of the interview, the student should ask the interviewees to identify which political party has the greatest appeal to them. After the students have collected several responses, they should compare the issues of importance

gathered by the community to the political platforms of all the political parties (including any smaller state parties). Ask your students to discuss or write about their findings. Which parties do they best of addressing the issues citizens are concerned about? What meaning do students make from the results of their investigation? What does this tell them about political party platforms and the public? What are the limits and problems with the informal study that they have conducted? How does this impact their findings? 3. Party loyalty is notoriously low in the United States. Ask students to identify candidates in an upcoming election or sitting representatives who express views that break significantly with the norms of their party. Once these individuals have been identified, challenge students to think of ways that a political party could enforce great discipline among their members in our current political system. Ask students to remain aware of the potential unintended consequences of their proposals for party discipline. 4. Discuss with students the extent to which they believe that the presidency of Donald Trump strengthened America’s military, political, and economic role in world politics. And discuss the extent to which the Republican Party has been complicit with President Trump’s actions and policies. 5. Research the dynamics at work that led to the defeat of Donald Trump for a second term by Joe Biden. Include both voter party identification and social groupings. In addition, focus on the impact of the novel coronavirus pandemic, the economic downturn that resulted from efforts to control the virus, and the racial conflict that erupted.

ADDITIONAL RESOURCES Supplemental Readings Aldrich, John A. 1995. Why Parties: The Origin and Transformation of Political Parties in America. Chicago: University of Chicago Press. Beck, Paul Allen and Majorie R. Hershey. 2004. Party Politics in America. Eleventh Edition. New York: Pearson Longman. Brady, David W. 1988. Critical Elections and Congressional Policy Making. Stanford: Stanford University Press. Burnham, Walter Dean. 1970. Critical Elections and the Mainsprings of American Politics. New York: Norton. Chambers, William Nisbet and Walter Dean Burnham (eds.). 1975. The American Party Systems: Stages of Political Development. Second Edition. New York: Oxford University Press. Gillespie, J. David. 1993. Politics at the Periphery: Third Parties in Two-Party America. Columbia, SC: University of South Carolina Press.

Hofstadter, Richard. 1969. The Idea of a Party System: The Rise of Legitimate Opposition in the United States, 178-1840. Berkeley: University of California Press. Key, V.O. Jr. 1949. Southern Politics. New York: Knopf. Polsby, Nelson W. 1983. Consequences of Party Reform. New York: Oxford University Press. Riordan, William. 1994. Plunkitt of Tammany Hall. Boston: Bedford Books. Schattsschneider, E.E. 1942. Party Government. New York: Holt, Rinehart, and Winston. Sundquist, James I. 1983. Dynamics of the Party System. Washington, DC: Brookings Institute. Wattenberg, Martin P. 1996. The Decline of American Parties, 1952-1994. Cambridge, MA: Harvard University Press. Websites Constitution Party The official website of the Constitution Party. The party proclaims itself as the champion of the true meaning and intent of the Constitution, especially with regard to restraining the Supreme Court’s power. Democrats This is the official website of the Democratic Party. It is an excellent source for background regarding history, platforms, key leaders, issue positions on contemporary topics, etc. The site is well developed with a plethora of interactive features that include access to video clips showcasing relevant news topics, election coverage, and key leaders’ addresses. The site also has a donor feature. Green Party The official Web page of the Green Party. It is an excellent comparative source because it provides links to other affiliated green parties from around the world. It also showcases the party’s stances on environmental issues, promotes grassroots democracy initiatives, social justice, and peace activities in foreign affairs. Libertarian Party This is the official website of the Libertarian Party. It provides the history, positions on current controversies, overall platform and organizational presence information for the party around the country. The site contains a blog, YouTube channel access point, and articles promoting the Libertarian ethos as well as a donor site. Reform Party National Committee This website provides information on the Reform Party. It shows its positions on current

controversies, overall platform, and leadership structure for the party. The site also has a donor feature. Republicans The official website of the Republican National Committee and also serves as the general site for the party organization, it provides videos and other sources projecting the general themes of the party as a whole. The site is well developed with numerous interactive features and access to video clips through its own YouTube channel. It portrays the major positions of the party across the full spectrum of policies including economics, social, and foreign affairs. The site also has a donor feature. New Democrat Coalition The New Democrat Coalition was formed within the U.S. House of Representatives by moderate Democrats as a counter to the more stridently liberal Democrats. Democratic Socialists of America The Democratic Socialists of America (DSA) is the largest socialist organization in the United States and whose members are increasingly being elected to office, including to the U.S. House of Representatives as well as the Senate.

Chapter 8 VOTING, CAMPAIGNS, AND ELECTIONS FOCUS QUESTIONS Q1

Why do so many Americans fail to vote even in important elections like those for Congress, governor, or president?

Compared to other industrialized nations, the United States has very low voter turnout. In the late 1700s, only white males who owned property were able to vote. Suffrage was expanded to all white males with the assistance of the Jacksonian Democrats in the late 1820s. During the nineteenth century, the number of eligible voters increased with passage of the Fifteenth Amendment in 1870 that extended the right to vote to black men. In turn, voter turnout was extremely high in the 1870s and 1880s reaching 80 percent in the 1876 election. The ratification of the Nineteenth Amendment doubled the size of the electorate, but voter turnout actually declined in the decade following the expansion of suffrage to women in 1920. Generally, low voter turnout is attributed to the American system of registering voters, which may be complicated and burdensome. Thus, voter turnout is suppressed by institutional factors (rules, procedures) that make the cost of voting high. Yet, there are other variables explaining lower turnout including access to information, levels of education, socio-economic factors, age, and decreasing social capital in American society.

How do those who do vote decide which of the parties and candidates to vote for?

Primarily, voters identify with a political party and vote for candidates who run under that party label. These voters behave as strong partisans and are referred to as the party base or party faithful. However, given the contemporary candidate-centered campaigns, voters are slowly becoming less attached to political parties and more apt to vote for a candidate based upon his or her image, personality traits, perceived competence and positions on a particular issue or set of issues. Voters may be divided into two groups: sophisticated and unsophisticated voters. Sophisticated voters are individuals who cast their vote based upon an understanding of the issues, knowledge of the political system and are able to differentiate the candidates’ stances on the salient issues. Conversely, unsophisticated voters tend to vote based upon their perceptions of the candidates, which is not buttressed upon political knowledge. Inevitably, most voters are unable to understand the details of every issue and must rely upon voting cues or heuristics that provide inexpensive yet reliable shortcuts to access political information. Some voting shortcuts include party identification, political endorsements, ideological schemas, polling data, campaign platforms, and the appearance of the candidates.

Who chooses to run for political office and how do they organize and structure their campaigns?

Candidates for public office are ambitious. Political parties are vital to the success of any candidate in a national election because of the need to raise money. Consequently, a viable candidate will coordinate his or her campaign with a political party and assemble a professional staff including policy advisors, campaign managers, media consultants, and pollsters. These individuals comprise the candidate’s campaign team.

How does the campaign for the presidency differ from campaigns for other offices that are less visible, powerful, and prestigious?

In order to run a successful presidential campaign, candidates must establish a national political organization at least two years before the actual election. This period of campaigning is called the invisible campaign because successful candidates must raise large amounts of money early and develop a strategy for winning. The presidential selection process of national primaries and caucuses requires a well-funded, wellorganized political campaign. The national primary system is becoming increasingly frontloaded, meaning that primaries and caucuses early in the campaign season will determine a front-runner and well-funded candidates have a decided advantage to advertise and get out the vote to receive the necessary support to continue campaigning for the party’s nomination. The candidate must be able to run a national campaign that involves facets of local elections (get out the vote drives, neighborhood canvassing, pressing the flesh) and simultaneously appeal to national audiences for funding and political endorsements. Winning primaries and caucuses increases support by attracting voters (the bandwagon effect) and by eliminating intra-party competitors to position the candidate to receive his or her party’s nomination in the national conventions held in late summer prior to the November general election. During the nationally televised conventions, both major parties have the opportunity to showcase their presidential nominees and party platforms.

Does money dominate presidential elections?

Money plays a huge role in presidential elections but does not assure victory. In a sense, funding allows you to enter and compete within an election. The influence money has on political campaigns prompted Congress to pass the Federal Elections and Campaign Act (FECA) in 1971 establishing limits on how much individuals could contribute to political campaigns and required the disclosure of large contributions. Moreover, the Federal Election Commission (FEC) was established to enforce and punish candidates who do not abide by these campaign laws. Yet, even with reforms and amendments to FECA restricting the amount individuals, political action committees (PACs), and other organizations may contribute to political campaigns, money dominates presidential elections. Soft money, issue advocacy advertisements, bundling, and free speech issues have prevented effective campaign finance reform. Moreover, as the 2016 election

demonstrates, personal income allows candidates a sizable advantage to self-finance campaigns that are not subject to the limits imposed by FECA.

CHAPTER OUTLINE I.

Voting and Nonvoting in American History Three aspects of American political behavior: voting, campaigns, and elections are presented in Chapter 8. As we shall see, there have been tremendous changes as to who participates in American politics. Yet, as avenues of political participation have been extended to the common man, women and minorities, this has not necessarily translated into greater political activity. A. Expanding the Franchise (1789-2020) 1. A democracy relies upon citizen participation in order to function. Yet, exactly who gets to participate in American politics has changed since the inception of our country. 2. To understand any democratic regime, one must ascertain who can vote and who cannot. In the United States, the right to vote, also termed suffrage, has been extended to groups who have historically been excluded from the political process. a. The first expansion of the American electorate occurred between the years 1810-1850 due to the commitment of the Jacksonian Democrats to grant the right to vote to all white males, regardless of property ownership. b. In the aftermath of the Civil War, suffrage was extended to black men through the ratification of the Fifteenth Amendment in 1870. c. The American electorate was expanded even further with the ratification of the Nineteenth Amendment in 1920 guaranteeing women the right to vote. d. Finally, the ratification of the Twenty-sixth Amendment in 1971 lowered the legal voting age from 21 to 18 years old. 3. It is significant to point out that gaining the right to vote does not translate into political activity. Thus, scholars of voting behavior and political pollsters identify voter turnout as the percentage of the voting-age population (VAP) that actually goes to the polls and votes on Election Day. B. Managing the Electorate (1880-2020) 1. The year prior to the start of the U.S. Civil War (the 1860 election) and those elections following Reconstruction saw high voter turnout. As a result of an expanding electorate, elites in the South sought ways to limit the influence of freed blacks while Northern elites limited the political activity of “new immigrants” (primarily, Eastern and Southern Europeans) who had become numerous in many urban areas.

With the realigning election of 1896, the industrial North was heavily associated with the Republican Party while the agrarian South was solidly Democratic. 3. Both regions sought to limit the political influence of the newly enfranchised groups: a. The South enacted Jim Crow laws such as literacy tests, grandfather clauses, poll taxes, and other de facto methods to prevent poor whites and blacks from voting. b. In the North, civil service examinations and other voter registration procedures were initiated to limit the influence of political parties and patronage. Yet, these laws also worked to suppress the number of “new” immigrants voting in elections. 4. As was discussed in the last chapter, the ratification of the Nineteenth Amendment doubled the size of the electorate, but voter turnout actually declined in the decade following the expansion of suffrage to women in 1920. What Might We Do to Increase Turnout? 1. American voter turnout is lower than many industrial nations even with universal suffrage (citizens ages 18 years of age or older may register to vote). 2. As political scientists concerned with studying voting behavior, it is necessary to explore why this is the case. 3. Reasons for lower voter turnout rates may be attributed to the following factors: a. Voter registration, or the process by which members of the voting-age population sign-up, or register to establish their right to cast a ballot on election day, is cumbersome. As a result, Congress passed the National Voter Registration Act of 1993, which permits people to register to vote while they are doing other common tasks like getting or renewing their driver’s license. b. Socio-economic status: Individuals with higher incomes are more apt to engage in political activities and tend to be more community oriented than individuals of lower socioeconomic status. c. Individuals who achieve a higher level of education are more likely to vote because: (1) Individuals who are more educated are better able to understand political issues and policy-making. (2) Individuals are able to predict the consequences of proposed policies, legislation and campaign platforms and initiatives. (3) Individuals who are highly educated tend to be more efficacious. In turn, they view voting as a way to influence government and as the primary avenue by which government must listen and respond to their needs. (4) 1972 turnout for those with less than 8 years of schooling was 47.4 percent while it was 78.8 percent for those with 4 or more years of college. Over the next few decades, turnout for the college

educated dropped 5 percent but it dropped 29 percent for the least educated to 18.3 percent by 2016. d. Finally, age influences voting rates. In general, the older an individual, the more likely he or she is to vote. However, in 2004 and 2008 the youth turnout saw an increase of 11 percent but it still lagged behind middleage voters by a factor of 20 percent. But in 2012, the youth vote fell 5 percent and then recovered slightly with a 2% increase in 2016. 4. Gender: Women tend to vote at a slightly higher rate than men (women cast 58 percent of all votes in 2016). 5. Race: White turnout increased in 2016 to 1972 levels and decreased among blacks by 6 percent in 2016 from 2012 levels. In 2016, white turnout was 64 percent, black turnout was also 56 percent, and Hispanic turnout was 33 percent. 6. For suggestions to increase voter turnout, see Lecture Sections, Behavioral Focus below. Two Decisions: Whether to Vote and for Whom to Vote 1. Party identification tends to be the strongest influence on individual political behavior. a. Partisanship is learned early in life and therefore would naturally be very influential in shaping political attitudes. b. Strong partisans: (1) Less likely to listen to opposing viewpoints and form opinion very early in the election cycle. (2) More likely to support a candidate of their chosen political party. (3) Tend to be very interested and active in (party) politics. c. Weak partisans: (1) More likely to listen to opposing viewpoints and usually wait to make a decision until later in the election cycle. (2) Less likely to vote along a purely party line (straight ticket). d. While purely Independent voters (i.e. no party affiliation) are only 10 percent of the electorate, there is a debate among political scholars as to how informed they are regarding political issues and candidates. However, true Independents are more likely not to vote if a candidate or party platform does not appeal to them. 2. Given the strong two-party system in American politics, it has been shown that each political party is associated with certain political positions (political traits) and individuals vote accordingly: a. Democrats are viewed as supportive of social programs, minority and women’s issues and more likely to respond to social strife and economic downturns through government intervention. b. Republicans are identified with national security and law and order issues, morality, and government intervention to uphold traditional moral values.

II.

Yet, there is some discrepancy as to whether individuals vote consistently based upon these differences (see: Converse’s non-attitudes) and to what extent voters are knowledgeable of the consequences associated with these differences. Candidate Attributes a. The public is largely attuned to a political candidate’s image or personal qualities known as a candidate’s political character. In fact, media consultants and campaign managers are paid handsomely to accentuate the positive aspects of a candidate while improving his or her shortcomings to an end of winning an election. b. In the age of instant communication, a viable candidate must be conscious of his or her public image. Even if voters are not knowledgeable of the issues or current events, they will judge the competency of the candidate on his or her perceived ability to be successful if elected to public office. c. Thus, candidates must overcome inconsistencies and past indiscretions to convince the voters that they are trustworthy, patriotic, intelligent, and otherwise competent to occupy the desired public office. The Result: Volatile Turnout and Polarization a. Within past elections, younger single women, the poor and individuals who are ages 18-24 have voted in smaller numbers than economically well-off, older, well educated, married individuals. b. Also, there is some evidence that negative campaigning actually depresses turnout. While this is debated within the literature (for instance, negative advertisements may actually provide information and therefore educate voters) the money spent on “attack ads” has increased. It may be concluded that going negative may be an effective campaign strategy but also may contribute to low voter turnout in the United States.

Congressional Campaigns: Ambition and Organization Individuals are motivated to campaign for political office by their own ambitions. In effect, to become a viable political candidate, one needs the support of a political party and a professional staff including policy advisors, campaign managers, media consultants and pollsters. These individuals comprise the candidate’s campaign team. A. The Incumbency Advantage Incumbency provides the greatest advantage to win a political campaign. Since the 1940s, more than 92 percent of House incumbents were re-elected. In the same period in the Senate, 78 percent of incumbents were re-elected. In general, Senatorial campaigns tend to be more competitive because political parties are highly selective of the candidates they choose to sponsor as compared to House races. 1. Name Recognition and Advertising

It is understood that to get elected the candidate must be known by the voters. However, it is also up to the voters to learn as much about the candidates as possible. b. Yet, research on voter sophistication (knowledge about specific candidates and political issues) suggests this is not the case. c. Once again, incumbent candidates enjoy many resources that challengers do not: (1) Travel allowances to return to their districts. (2) Franking privileges (free postage used for newsletters, mailers and other political information). (3) Access to institutional offices (legal affairs, research assistants, Senate/House services etc.). (4) Funds to staff district offices (5) Communication allowances. 2. Fundraising Opportunities a. Incumbents established networks of organizations and individuals who: (1) Have contributed to previous campaigns. (2) Provide networks of support while serving in office that would benefit them during elections. (3) Financial support from state and national political organizations that are more apt to support incumbents given their past successes. b. According to the Center for Responsive Politics, in the 2016 House elections incumbents held a 7:1 advantage over their challengers in campaign resources. Challengers and Their Challenges Quality challengers are those who have experience in elected office. An experienced challenger is four times more likely to beat an incumbent than an inexperienced challenger. Running for national office has become highly competitive and costly. Thus, any candidate must carefully consider the factors needed to win an election. 1. National influences a. These influences are two-fold: (1) The political and economic climate (2) The network or system created and maintained by the party including party committees, campaign consultants, political advisors and interest groups. b. As a result of the competitiveness seen in modern political campaigns, the support of national campaign committees is critical to any successful campaign. (1) Candidates must prove they can successfully raise money and disseminate a cogent campaign message. (2) National campaign committees will not support a candidate who does not have a chance to win. Instead, they will divert the funds to competitive districts. 2. Local Considerations

Candidates who have prior experience in local and state politics usually have resources including financial and electoral support from local organizations. b. Furthermore, voters should be familiar with these candidates. Running the Race 1. Campaign Organizations a. Campaign activities differ given the level of the office being sought. (1) Local campaigns use volunteers and foot soldiers to walk in parades, canvass neighborhoods and go door-to-door to advertise the candidate and mobilize voters. (2) National campaigns rely on the activities of local campaigns but must also employ professional campaign managers, pollsters, media, and political consultants. These consultants operate sophisticated organizations that provide the candidate with advice, technical support, and in-depth information on polling, support, and strategy. (3) Campaign data analysts utilize large databases (“Big Data”) that merge state voter files, census data, various consumer databases, and other sources of voter information. When properly constructed and analyzed these data can generate probability estimates to coordinate and focus campaign strategy and tactics. b. Also, hiring campaign consultants signals to Washington insiders, political pundits and special interest groups that the candidate is running a “viable” campaign and is in the race to win. 2. Crafting the Theme a. Even before entering the race, prospective candidates must test the waters to see how voters will respond to them as a person, as well as their campaign message and stances on the salient issues. Any candidate campaigning for a major office must appeal to a large segment of the polity to attract support, which translates into votes on Election Day. b. Campaigns will seek to accentuate the positives and suppress the weaknesses. c. Initially, baseline polling, focus groups, and traditional voting patterns will determine if the candidate has a chance to win. d. If so, campaign consultants will use micro targeting to analyze demographic, political and consumer data to formulate a plan (craft a theme or message) that will gain public support for the candidate. Consequently, the message will be designed based upon the particular characteristics and attitudes of the electorate. 3. Raising Money a. Money is the life-blood of any political campaign. b. A viable campaign must spend a tremendous amount of time raising money and otherwise attracting financial support from individuals and special interest groups.

III.

The need to raise such large sums of money has led to the creation of “permanent campaigns” including: (1) A full-time staff (2) Extensive fundraising activities (3) Professional polling (4) Media advertisements.

Running for the Presidency Campaigning for the Presidency has changed throughout our country’s history. In the 1800s and early 1900s, influential party members known as party bosses chose presidential candidates during state and national conventions. As we have read last chapter, reforms in nominating procedures provided candidates and voters significant power to select candidates through state primaries and caucuses. The 2008, 2012, and 2016 Presidential campaigns have further altered the nomination process whereby many states (Nevada, South Carolina, California, Illinois) have frontloaded their primaries in the early weeks of the nomination period (late January and early February), which has traditionally been reserved to states including Iowa and New Hampshire. In effect, the reasoning for this push to earlier primaries is two-fold: early primaries are more influential on whom the nominees will be; and an established nominee enables the party to allocate financial resources effectively and efficiently to increase the chances of that candidate’s victory in November. A. Early Organization and Fundraising 1. The invisible campaign or pre-campaign is the process where a candidate begins to cultivate support, build an organization and raise money to mount a successful campaign. 2. During this period, the candidate establishes an exploratory committee to formally submit the paperwork declaring his or her intention to run for the Presidency, which allows them to campaign, raise money and file for federal matching funds. B. The Nomination Campaign 1. Candidates begin to campaign for delegates in state primaries and caucuses. a. 12 states and the District of Columbia use caucuses to choose presidential candidates. A caucus is a face-to-face meeting in which rank and file party members discuss and vote on candidates to stand for election to offices under the party label in the general election. b. 37 states use the primary system to select presidential candidates. A primary is a preliminary election in which voters select candidates to stand under their party label in the general election. c. There are two types of primaries: (1) closed primaries only allow registered members of the party to vote. (2) open primaries permit all registered voters to participate. 2. Caucuses and primaries are occurring earlier in the nominating cycle prompting candidates to scramble for delegates and the necessary donations

to gain their respective party’s nomination. The crowding of presidential primaries and caucuses into early weeks of the nomination period is known as frontloading. Subsequently, through frontloading individual states have a significant influence on selecting presidential candidates; while candidates must campaign in these early primary states to attract voters and build financial support to achieve frontrunner status. 3. Per Article I, section 4, of the U.S. Constitution, states have the power to establish the time, manner and place of elections and therefore also determine the dates for caucuses, primaries and state conventions who nominate party candidates. 4. Political party delegates (as well as many minor political parties) meet in a national convention every four years prior to the general election to choose a presidential candidate and adopt a party platform. These national party conventions are largely scripted and use the national media exposure to advertise their candidates and party platforms to solidify support from the party faithful and attract undecided voters. Also, vice-presidential candidates are chosen during these conventions. The General Election Campaign 1. The general election is the final election occurring in the first Tuesday of November every four years by which voters indirectly select the president. 2. In fact, when individuals vote for a presidential candidate, they are actually choosing among electors who will then cast their vote for the candidate based upon the winner of the popular vote by state. Consequently, the public does not select the president directly; instead members of the Electoral College representing each state (equal to the state’s number of congressional seats: House plus the Senate) select the president. 3. The Framers constructed the Electoral College as a check on the election system. The exact composition of the Electoral College is enumerated in Article II, section 1 (see: Lecture Suggestions below for a more detailed description of the Electoral College). a. A candidate must receive 270 electoral votes to win the Presidency. b. Electors are selected by the various state parties. c. The electors cast their votes for president in their state capitals on the first Monday after the second Wednesday in December. d. After the electors cast their votes, if no candidate receives 270 or more, the House of Representatives is charged with deciding who is president (per the Twelfth Amendment to the U.S. Constitution). 4. Given the general election is designed as a “winner take all” system even the slightest majority allows a candidate to capture all of the state’s electoral votes. a. Thus, a successful campaign strategy is to campaign to get the necessary electoral votes and not to just accumulate popular votes. b. As a result of the winner takes all system, a candidate can win a majority of the popular vote and still lose the election by not attaining the

necessary 270 electoral votes needed to be elected president. This is exactly what occurred in the 1824, 1876, 1888, 2000, 2016 presidential elections. c. Given the competitiveness of the last 3 presidential elections, candidates spend a majority of their time campaigning in key states or battleground states that are competitive and hold substantial electoral votes to propel the candidate to victory. 5. Campaigns are generally organized as a hierarchy with the campaign chairman acting as a conduit between the candidate, the party, and other campaign committees to coordinate the necessary fundraising events and other campaign activities. a. Modern presidential campaigns also include a legion of media consultants, a lead pollster, technicians, speechwriters, and fundraisers. a. A campaign has a scheduling team that coordinates appearances at political events and uses an advance team who prepares the candidate. a. Each candidate employs media consultants, pollsters, opposition researchers, professional campaign consultants, policy experts, web administrator, and numerous support staffers to run the campaign offices. e. Each presidential campaign also operates a “ready response team” or a group within the campaign staff that is assigned to respond immediately to any charge or negative comment made by the opposition. Money and the Road to the White House 1. The need to raise such large sums of money has led to the creation of permanent campaigns: Politicians and political parties must carefully prevent any and all unexpected issues and opponents from emerging and gaining surprise victories. 2. Money plays a huge part in successful political campaigns. a. In response to the huge donations in the 1968 presidential election, the Federal Election Campaign Act was passed by Congress in 1971 to imposed rules for full reporting of campaign contributions and expenditures. b. In 1974 Congress created the Federal Election Commission (FEC) to oversee campaign spending and contributions. In addition, individual campaign contributions were limited to $1,000 per campaign cycle and established a presidential election fund to support public financing of presidential elections. c. Yet, there were challenges to these restrictions: d. In the case, Buckley v. Valeo (1976), the Supreme Court ruled that an absolute restriction on an individual or groups ability to spend money on campaigns is a violation of free speech. In turn, spending money on a campaign is equated to protected political speech per the First Amendment to the U.S. Constitution. e. In 1979, Congress passed an amendment to FECA allowing political parties to raise and spend money on party building activities that did not

technically support or endorse any particular candidate. These unrestricted funds are known as soft money. 3. In response to the soft money loophole, McCain-Feingold Act (2002), formerly known as the 2002 Bipartisan Campaign Contribution Reform Act (BCRA) was passed by Congress. The legislation: a. Restricted individual campaign contributions to $2,000 per election cycle, per candidate; $25,000 aggregate per party committee. b. Limited PAC contributions to $10,000 ($5,000 for a primary, $5,000 per election cycle per candidate). c. Mandated audio and visual “approval” of ads to track who sponsors the advertisement for accuracy and fairness. d. However, as a caveat to these contribution limits, the 2008 presidential contributions are adjusted based upon inflation (for example: individuals donations will be capped at $2,300). 4. But, BCRA placed no limits on independent “527” groups and was upheld by the Supreme Court in the 2003 case of McConnell v. F.E.C. 5. However, in the case of Citizens United v. F.E.C. (2010) the Supreme Court partially invalidated BRAC by holding that corporations could spend as much money as they wished to support or oppose candidates, parties, and issues in U.S. elections. 6. What is not regulated: a. Issue advocacy advertisement: political advertising that avoids endorsement of a candidate for office. b. 501/527 iii ads: non-profit ads (illegal to advertise 60 days prior to a general election/30 days prior to primary). c. State party expenditures and donations d. National Election Committees (DNCC, RNCC) for “party building activities” and “get out the vote,” i.e. voter registration drives. e. Personal finances: the candidate’s own money Where Does the Money Come from? 1. The majority of campaign contribution originates from private sources such as political parties, campaign committees, interest groups, individuals, unions, businesses, nonprofit organizations. These contributions are limited per the BCRA. 2. However, candidates for president may receive federal matching funds if: a. the candidate raise $100,000; $5,000 of which is raised in 20 different states in increments of $250. b. to retain eligibility for matching funds, the candidate must win 10 percent of the vote in two consecutive primaries and 20 percent of the vote in one primary. 3. Despite the appeal of federal matching funds, the majority of campaign donations come from private contributions. As with Barack Obama and Mitt Romney before them, both Hillary Clinton and Donald Trump did not even accept matching funds in the 2016 election.

By a month past their party national conventions, Clinton’s camp had raised $315 million while Trump’s raised $125 million, with additional money of $120 million and $35 million of outside sources for Clinton and Trump respectively.

IV.

Campaign and Election Reform Questions are increasingly voiced as to whether or not our election system is secure and fair. A. How big a problem is electoral fraud in the U.S.? Clearly, we do not want people voting illegally. And how should we respond to reports if Russian hackers or others break into our state voting systems? B. While the U.S. is a democratic society with a free market economy, to what extent should and can financial contributions in electioneering be regulated to avoid disproportionate influence on the outcome of elections? C. Is there a way to reform the state-by-state system of elections as mandated by the Constitution? Some states call for deeper reforms, while others call for regional contests. D. Should we discard the Electoral College in favor of direct, popular, election of the president? Given the difficulty of amending the Constitution, should states simply pass a law agreeing to award their electoral votes, not to the winner of the statewide popular vote, as is now done, but to the winner of the national popular vote?

Conclusion This process of selecting competing political candidates through public campaigns is indicative of the American political system. However, one must remember that the Framers of the Constitution sought to balance the impulses and passions attributed to public opinion with institutional stability. Ultimately, the choice of who serves in public office is based upon the will of the people, which is the bedrock of republican liberty. America’s universal suffrage allows individuals 18 years of age and older to cast a ballot expressing their political opinion by voting for a preferred candidate. Yet, the United States is well below other industrialized countries regarding the percentage of citizens who choose to vote. Many consider this lack of political activity as an indication that U.S. democracy is ineffective and does not represent the will of the people; instead, just those who vote. Others disagree. Nevertheless, efforts to increase voter participation by decreasing the “burdensome” voter registration process have been implemented by introducing the Motor Voter Bill in 1993. Yet, just because an individual is registered to vote does not indicate that he or she will actually go to the polls on Election Day. Given the low approval ratings Congress and the president currently receive by the public, we shall see if this further depresses voting or spurs more individuals to higher degrees of political participation.

LECTURE SUGGESTIONS

Behavioral Focus: Approaches to Understanding Voting Behavior I.

Three Schools of American Voting Behavior A. Columbia School: Stresses the role of group influences (sociological factors) on voting: 1. Relies on group identification (remember collective action from Chapter 6) 2. Individual preferences have little impact on voting 3. Political campaigns are unlikely to persuade voters to change their support or radically alter their choices of candidates. B. Rational Choice Theory: Individuals vote for those candidates who will maximize benefits; conversely, the cost of voting must be reduced. This is premised on a rational voter. 1. The voter evaluates a candidate based upon retrospective voting (one election cycle) to determine if he or she will maximize self-interests (the benefits). 2. Considers voting myopic or concerned with short-tem benefits 3. The probability of supporting a candidate is determined by the sum of subtracting the Benefits from the Costs. Therefore: a. If the sum is positive, the voter will support the candidate. b. If the sum is negative the candidate will not receive the individual’s vote. 4. The civic duty (social responsibility) of a citizen voting is considered a benefit. 5. However, rational choice theory states it is rational for a person to abstain from voting if the costs of voting outweigh the benefits of supporting any one candidate. C. University of Michigan School: Attitudes (psychological attachments) affect voting 1. Party identification significantly influences an individual’s vote. 2. Psychological attachments are formed early in life and thus party attachment and voting trends may be seen as long-term associations. 3. Yet, short-term factors (economic down turns or other crisis) may also influence voting

II.

How do Voters Make Up Their Minds? A Two types of voting: 1. Sophisticated voters: Individuals cast their vote based upon understanding the issues and knowing the candidate’s stance on the issues. In turn, they vote accordingly. 2. Unsophisticated voters: Individuals vote, not according to issues, but based upon their perceptions of the candidate. B. Information: Heuristics—voting cues; shortcuts to gain information on a candidate’s position or ideology. 1. Party identification 2. Ideology schema- an established ‘package’ of ideas re: candidate 3. Candidate Appearance 4. Endorsements (newspaper editorials, organizations, individuals) 5. Polling (issues)

6. III.

Issue knowledge

What are Some Ways to Improve Voting? A. If we premise that a democratic government relies upon citizen participation to be successful (as the book asserts, this is debatable) political scientists believe that voter turnout will be more likely to increase if the cost of voting is reduced. The following are some institutional changes or mechanisms that have led to increased voter turnout in other countries: 1. Compulsory Voting 2. Fines for Not Voting 3. Changing the day of voting 4. Multiple days for voting 5. Have all elections on one day per year 6. Accessibility of information 7. Increase the numbers of political parties 8. Easier voter registration B. Registering to vote has been accepted as the most significant impairment to increased levels of voting in the United States. Consequently, Congress reduced the burden of registering to vote by passing the National Voter Registration Act (Motor Voter Bill) of 1993 allowing people to register to vote when applying for a drivers license or official state identification card. C. So, what are other avenues to increase voter turnout in the United States?

Institutional Focus: The Electoral College I.

Do We Need the Electoral College? A. Supporters of the Electoral College argue that it should be kept—because it works. Even though it failed to elect a president in four elections—1800 (Thomas Jefferson), 1824 (John Quincy Adams), 1876 (Rutherford B. Hayes), 2000 (George W. Bush), and 2016 (Donald Trump)—Congress and the Supreme Court, in the 2000 election, were able to resolve the disputes peaceably. B. Critics of the Electoral College point out that the process is undemocratic, because it permits the candidates to win the presidency despite having not received a majority of the popular votes, and dangerous because if thrown into the House of Representatives the choice must be made from the three top candidates. From time to time, critics of the electoral system demand its abolition; instead, they advocate a system of direct elections for the position of president and vice-president.

II.

The Electoral College Process A. The Electoral College consists of 538 electors, who on the first Monday after the second Wednesday in December of a presidential election year (the next will be in 2008); officially elect the president and vice-president of the United States. Each state chooses in the November general election—in a manner determined by its legislature—a number of electors equal to the total of its senators and

III.

representatives in Congress (in Illinois it is 21 total; two Senators and Representatives from the 19 Congressional Districts). In Illinois, the political parties at large choose electors during state party conventions (i.e. Democratic\Republican). These individuals are usually party members who have demonstrated strong party loyalty and an understanding of party platforms. In the general election, the names of the electors are printed within brackets alongside the names of the candidates for president and vice-president. Example: Candidates for President: Jan Floss [John Kerry] Joe Finkey [George W. Bush] When voting, the individual checks the box of the elector whom he\she wishes to support. In doing so, the voter indirectly casts his\her vote for a presidential candidate. The results need to be reported to the state’s Board of Elections within two days. The Electoral College never meets as a whole; instead individual state electors meet in their state's capital. The votes are certified by the state's chief executive, the governor, and sent to Washington, DC, to be counted before a joint session of the newly elected Congress, who meets the first week of January. If no one candidate receives 270 votes, the House, voting by states (one vote a state), elects the president; and the Senate, voting as individuals (two votes per state), elects the vicepresident.

The Future of the Electoral College Reformers have sought to eliminate the Electoral College (especially after the 2000 and 2016 presidential elections) with little success. In fact, the cures may be worse than the perceived institutional deficiencies. Reforms include abolishing electoral votes and replacing them with aggregate popular voting for president, changing the current singlemember congressional districts to a proportional representative arrangement and awarding each Congressional district being awarded one electoral vote to be cast based upon the popular vote (or possibly cast based upon party line). Nevertheless, if the Electoral College is abolished and replaced with a system to elect a president determined by popular voting, political campaigns will be concentrated solely in the most populated areas of the Northeast, West and industrial Midwestern states. In effect, less populated states will be ignored which would bring the fears of many anti-Federalists and representatives of the smaller states during our country’s founding to fruition. Since the Electoral College is mandated in the Constitution, a constitutional amendment would be difficult to pass. However, a shortcut alternative to removing the Electoral College has been proposed in the form of a National Popular Vote Interstate Compact (NPVIC). Under the NPVIC, the states would simply pass a law agreeing to award their electoral votes to the winner of the national popular vote, but not to the winner of the statewide popular vote. If enough states make this change the selection of the president could be determined by popular vote without amending the Constitution.

PROJECTS, EXERCISES, AND ACTIVITIES 1.

As an assignment, have the students select (either randomly or purposively) a political campaign and address the following issues within a comprehensive research paper or presentation: a. The economic, social, and political context of the district or state race you are covering. b. Trace the activities and events of the campaigns through the campaign season. c. Describe the campaign organizations. d. Examine the fundraising efforts of the candidates. e. Explore media coverage of the race. f. What issues are the candidates stressing in the race? g. What role are the party organizations at different levels playing? h. Identify the various interest groups involved in the campaign? i. Who does the local media endorse and why? j. Watch any debates that you can on CSPAN. What is the candidate’s video style? k. Finally, develop an electronic relationship with a member of the campaign and a political reporter who is following the campaign to provide you with information about the campaign.

Invite a member of the state assembly, Congress or a candidate running for public office to speak to the class. Have the students ask questions following the presentation. Finally, have them write a paper on the presentation.

Wedge issues are issues that one political party uses to divide the voters in another party. As a class exercise or for a research paper, have the students identify relevant wedge issues (abortion, gun control, stem cell research, affirmative action etc.) and evaluate the effects these may have (or have had) on political campaigns, voter turnout, and lobbying activity. Also, identify which political party or candidate will benefit the most from the issue being introduced in the campaign. Finally, did an event prompt the candidates to respond to the particular issue? If so, investigate the changes in public opinion as a result of the event occurring. Does this help one party or candidate more than the other given a prior stance on the issue? If so, how has this issue resonated with the voters?

Before the students have read the chapter, ask them to conduct an interview with a parent, coworker, or other older adult who actively votes. Students should ask the voter to explain how they voted in a previous election and why they made those voting decisions. After you have lectured on American Voting Behavior, ask your students to break up into groups and discuss with one another the theory of voting behavior that most closely explains the answers they received from their interviewee. Draw the students back into a unified conversation and explore the three theories more.

Divide the students into two groups (perhaps more groups, depending on the size of the class) and ask one group to take a position in favor of frontloading and the other group a position opposed to frontloading. Give each group 20 minutes to discuss among themselves the pros and cons of the strategy behind frontloading in presidential primaries and caucuses and to develop an argument for their respective positions. A spokesperson for each rationale will then make the case in support of or opposition to frontloading with invited faculty members judging the effectiveness of each argument.

Ask the students to engage in research and speculation with regard to the role of corporations in political life. Specifically, have them undergo the following tasks: a. Research the American historic era known as the Gilded Age or the Age of the Robber Barons., especially with regard to the tug of war between corporate interests and the populist and progressive movements. Who won? Who lost? Were there any compromises? What kinds of structural changes were made, if any? b. Compare and contrast the role of big business in contemporary American politics with that of the Gilded Age or the Age of the Robber Barons. Are the situations the same? Different? What about the outcomes? Should any laws or political institutions be changed? Why or why not?

Create a debate setting where in two teams of students will debate the question of whether or not the coronavirus pandemic of 2020 negatively affected the political campaign of Donald Trump in the presidential election. a. The venue could be limited to the students’ own class or open to the larger community (either in-person or via Zoom). b. The issue at hand of the coronavirus could be interchanged with race relations o the downturn in the economy.

ADDITIONAL RESOURCES Supplemental Readings Asher, Benjamin,. 1992. Presidential Elections and American Politics. Fifth Edition. Pacific Grove: Brooks/Cole. Campbell, Angus, Philip E. Converse, Warren Miller, and Donald E. Stokes. 1960. The American Voter. New York: Wiley. Campbell, David E. 2006. Why We Vote: How Schools and Communities Shape Our Civic Life. Princeton: Princeton University Press.

Downs, Anthony. 1957. An Economic Theory of Democracy. Boston: Addison Wesley Longman. Dionne, E.J. and William Kristol (eds.). 2001. Bush v. Gore. Washington, DC: Brookings Institute. Fenno, Richard. 1978. Homestyle: House Members in Their Districts. Boston: Little Brown. Fiorina, Morris P. 1981. Retrospective Voting in American National Elections. New Haven: Yale University Press. Green, Donald P. and Alan S. Gerbec. 2004. Get Out the Vote: How to Increase Voter Turnout. Washington, DC: Brookings Institute. Hudson, William E. 2016. American Democracy in Peril: Eight Challenges to America's Future. Eighth Edition. Washington, D.C.: CQ Press. Kauffman, Karen and John R. Petrocik. 1991. “The Changing Politics of American Men: Understanding the Sources of the Gender Gap.” American Journal of Political Science 43: 864-887. Nelson, Michael (ed.). 2005. The Elections of 2004. Washington, DC. CQ Press. Panagopoulos, Costas and Aaron C. Weinschenk. 2016. A Citizen's Guide to U.S. Elections: Empowering Democracy in America. Routledge. Polsby, Nelson W. and Aaron Wildavsky. 2004. Presidential Elections: Strategies and Structures of American Politics. Eleventh Edition. Lanham: Rowman and Littlefield. Post, Robert C. 2014. Citizens Divided: Campaign Finance Reform and the Constitution. Cambridge: Harvard University Press. Rosenstone, Steven and John Mark Hansen 1993. Mobilization, Participation and Democracy in America. New York: Macmillan. Shafritz, Jay M. 1988. The Dorsey Dictionary of American Government and Politics. Chicago: Dorsey Press. Wattenberg, Martin P. 1991. The Rise of Candidate-Centered Politics: Presidential Elections of the 1980s. Cambridge: Harvard University Press. Websites CNN Politics

Good site for political news. It is geared specifically toward electoral politics. FEC Access this site for voting resources such as election results, campaign laws, and voter turnout statistics. Open Secrets This site is operated by the Center for Responsive Politics. Information on this site includes campaign donations by businesses, PACs, non-profit organizations, and individuals. Also included is information regarding campaign expenditures. Electoral College A good website for information regarding the Electoral College. Project Vote Smart This site has a plethora of information concerning political campaigns, candidates’ biographies, interest group ratings, and voting records. Fox News Politics This site provides political news that is geared specifically to electoral politics. JFK campaign commercial This is an interesting commercial done for JFK’s successful 1960 presidential campaign which utilizes music as a device to promote a candidate. Use this ad in contrast to later presidential campaign ads. McCain versus Obama This news clip discusses the debate between McCain and Obama over negative campaigning in the 2008 election in particular McCain’s portrayal of Obama as a celebrity rather than a true politician. Keep Up | Joe Biden for President 2020 This 2020 campaign ad for Joe Biden presents a strong contrast with those of Donald Trump. Donald Trump’s First TV Ad This 2016 TV presidential campaign ad paid for by Donald J. Trump for President suggested the strength of Donald Trump in facing dangers abroad and at home. Role Models This 2016 TV presidential campaign ad paid for by Hillary for America suggested the negative impact that Donald Trump’s crude words and behavior have on young children. Dear Donald

This 2016 TV presidential campaign ad paid for by Hillary for America attempted to speak to the fears that many Americans have expressed concerning a Trump presidency. Vote Matt Schultz This is an interesting example of a local TV campaign ad, use it in contrast to federal or state ads. Congressional Campaign Ad This is an excellent example of the local orientation to congressional campaigns, use this in contrast to presidential ones. FiveThirtyEight A political (and other topics) website under Nate Silver who uses statistical analysis to update political campaign efforts and provide post-election analyses.

Chapter 9 CONGRESS: LOCAL REPRESENTATION AND NATIONAL LAWMAKING FOCUS QUESTIONS Q1

What purposes were the Founders trying to serve by constructing and empowering the Congress as they did?

The Founders believed sovereignty ultimately resided in the will of the people. To this end, Congress was constructed as a bicameral legislature, which means that it is divided into two chambers: The lower chamber or House of Representatives, and the upper chamber or Senate. Specifically, the House of Representatives was intended to be comprised of representatives directly elected by the people (popular elections every two years), while members of the Senate were intended to be elected by state legislatures and serve 6-year terms. Senators would later be elected directly by the people per the Seventeenth Amendment to the U.S. Constitution. The design of the United States Congress is two-fold: First, establish a Senate that would check the popularly elected House; second, grant Congress the power to check the actions of the Executive by confirming presidential appointees, ratifying treatise, having the sole power to declare war, raise a standing army, and hold the power to tax. In effect, the Founders believed an elected Congress would protect against the likelihood of a despotic Executive seizing the federal government to advance self-interests contrary to the common good.

How does the committee system in Congress work to promote specialized knowledge and expertise among members?

Because modern lawmaking and public policy proposals involve a multitude of subjects that are complex and technical, the committee system allows members of Congress the opportunity to gain specialized knowledge and design meaningful legislation. The 19 House and 16 Senate committees with substantive jurisdictions are further divided into various subcommittees that entertain testimony from experts and specialists who assist lawmakers in formulating legislation. Consequently, this committee system allows members of Congress to hold committee hearings including representatives of special interest groups, who are very knowledgeable, and the federal bureaucrats who ultimately will be responsible for implementing the programs. Members are assigned to committees based on their personal knowledge, policy interest, and experience. Committee chairs are typically selected based upon seniority (consecutive years of service on the committee) that enables the individual to chair a platform to advance a particular policy or issue but also provides experience, stability, and knowledge within the institution.

What are the stages of consideration through which most legislation must pass to become a law?

The legislative process starts with the introduction of a proposal. Only members can introduce legislation. The bill is then assigned to a committee. In the House, the bill may be referred to a single committee, or to several committees. A committee or subcommittee then deliberates on the bill. First, public hearings are held to gain testimony from the public. The bill is then rewritten or “marked up.” The revised bill is then submitted to the full committee for a vote. A report is then made of the bill that summarizes the intent of the bill, the major provisions, and the cost of implementation. This report is then sent to the floor for debate and a vote. The report is assigned a spot on the legislative calendar for debate. In the Senate, the majority and minority leaders negotiate when certain bills will come to a vote. In the House, the Rules Committee sets the conditions for debate and amendments. Through the adoption of several types of rules, the House sets certain time limits for debate and whether amendments can be offered at all. The bill is debated on the floor and then read section by section for possible amendments. Then a final vote is taken. Bills have to be identical in both the House and Senate before they are sent to the president for approval. Usually a bill is introduced in both houses at the same time. Differences in the bills have to be resolved in conference committees made up of both Senate and House members. A final bill is then sent to the president for approval or veto.

What pressures operate on a member of Congress as he or she prepares to make an important legislative decision?

As elected public servants, members of Congress must be accessible and responsive to the public, yet are also expected to use their judgment, knowledge, and expertise to formulate sensible public policy. The influences on a member of Congress are numerous. Constituents, interest groups, lobbyists, the president, bureaucrats, and members of their own party often influence a member’s decision on how to vote given a specific piece of legislation. The time of the vote and the specific issue considered dictates who has the most influence on how a member of Congress may vote. For example, a representative may consider her constituents’ views more seriously in an e lection year when voting.

How serious has Congress been in its recent reform efforts?

Currently, public dissatisfaction with the Congress is at an all-time high. Opinion polling indicates the public’s approval of Congress’s performance is at an abysmal 21 percent. Many scholars point to the inefficiency, partisanship, and wasteful spending as reasons for the public’s distain for Congress. Yet, Congress seems to always be in a state of reform or transition. As the book indicates, there have been four eras of Congressional

reforms. First, early in the twentieth century, members of the House failed to support the monetary policies and tariffs advocated by the autocratic Speaker of the House, Republican Joseph Canon. Subsequently, the “excessive” power of the Speaker was temporarily limited. Second, Congress passed the Legislative Reorganization Act of 1946 reducing the number of standing committees, and thus committee chairs, while providing clerical support for the committees to undertake a more substantial role in the budgetary process. Third, the most effective reforms occurred after the 1970s when Congress passed “sunshine laws” opening committee deliberations and legislative debates to the public. These reforms were implemented shortly after the Freedom of Information Act of 1966 was passed by Congress allowing public access to government documents and made the legislative branch more responsive to the public. Fourth, with the Republican victory in the 1994 mid-term elections promising government reform, Congress passed the Congressional Accountability Act of 1995 stipulating public access to committee deliberations and voting records. Also, the legislation mandated Congress comply with workplace safety and employment practices. Finally, the legislation eliminated many Congressional caucuses and “perks” (banks, barber shops, private social security accounts). Subsequently, members of Congress can be held accountable for their actions and are not above the law of the land. Whether these reforms have been successful or not is in the eye of the beholder.

CHAPTER OUTLINE: The United States Congress I.

Origins and Powers of the Congress The origins of Congress came from the Founders’ experience in colonial legislatures and the existence of Parliament in colonial life. The philosophical and theoretical underpinnings of Congress are based upon the belief that sovereignty ultimately rests in the people. In turn, modern political philosophers, notably John Locke, believed popular sovereignty and legislative supremacy would protect against tyranny and facilitate human needs such as life, liberty, and happiness. Consequently, legislative supremacy is based upon popular sovereignty or the idea that all legitimate governmental authority comes from the people and can be reclaimed by them if government becomes neglectful or abusive. A. The Continental Congress 1. The Continental Congress a. The Continental Congress convened on September 5, 1774 to establish a governing body that could recommend actions to the 13 colonies. b. With the drafting of the Declaration of Independence in 1776 and the beginning of the Revolutionary War, Congress sought to delineate political power and authority. c. In 1777, the Articles of Confederation were drafted to distinguish national powers from state powers. 1) Article II established state sovereignty in domestic affairs

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The national government would hold power in times of war and in regard to foreign affairs. 3) There was no provision for a national judiciary or single executive. 4) The document could not compel state compliance. Congress and the Constitution a. The ratified Constitution strengthened the powers of the national government with respect to Congress. As nearly 50 percent of the Constitution deals with the role and powers delegated to Congress, the Framers believed lawmaking authority in government should be supreme over the executive and judicial powers. This is known as legislative supremacy. 1) Article I of the U.S. Constitution vested all legislative power in Congress. (a) Specifically, Article I, section 8: 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.” (b) May overturn a presidential veto by a 2/3rds vote in both Houses (c) Sole power to declare war (d) Establish federal courts (“constitute tribunals inferior to the Supreme Court”) (e) The power to collect taxes, to coin and borrow money (f) To regulate interstate commerce (g) To establish a post office and provide for infrastructure (h) To define and punish felonies and crimes (i) To exercise legislative powers over military establishments, territories and the sea of government (the District of Columbia) (j) To declare war and the power to raise an army, navy and equip state militias. 2) It is important to note the Senate has the exclusive power to try impeachments, advise, and consent on treatise negotiated by members of the executive branch and confirm presidential appointees. 3) Per Article I, section 7, of the U.S. Constitution, “all Bills for raising Revenue” originate in the House of Representatives. The House also has the sole power to impeach public officials.

Membership and Service in the Congress The qualifications for members of Congress are constitutional prescribed in Article I, section 2. A member of the House must be 25 years old, have been a citizen of the United States for a minimum of 7 years and live in the state he or she represents. The qualifications for a Senator mandate he or she be at least 30 years old, have been a citizen

of the U.S. for 9 years and be a resident of the state from which he or she is elected. A. Member Characteristics 1. Professional and Educational Background a. Members of Congress come from the nation’s economic, social, and educational elite. b. Congress has long been dominated by members who come from a business or legal background. 1) 75 percent have graduate degrees with most having either Law degrees (JD) or Business degrees (MBA). 2) Nearly all hold college degrees. 3) One-third of the Senators are millionaires. 2. Gender and Race a. Women comprise about 26 percent of the Congress (historically the highest number of women to serve at one time): 1) 117 women serve in the House 2) 24 women serve in the Senate b. Race 1) The Senate has 2 African-American member, 5 Hispanic members, and 2 Asian American member. 2) The House has 57 African American, 46 Latino, 15 Asian/Pacific Island and 5 Native American members. 3. Religious Affiliation a. 55 percent of the members are Protestant b. 31 percent of the members are Catholic c. 6 percent are Jewish d. 3 percent Mormon e. The remaining members are Muslims, Hindus, and Buddhists. 4. Most members who attain national public office have served in state or local government. 5. The latter half of the twentieth century has spawned the “professional politician” who has served in Congress for over 20 years. a. In the Senate: Robert Byrd (D-WV, 50 years now deceased), Jay Rockefeller (D-WV), Carl Levin (D-MI), John Warner (R-VA). b. The House: Teddy Kennedy (D-MA, now deceased), John Dingell (D-MI), John Conyers (D-MI) to name a few c. Currently, members of Congress receive salaries of $174,000 per year. b. Furthermore, members serving for more than five years receive a pension and lifetime health benefits. B. Tenure, Incumbency, and Reelection 1. Between 1946 and 2020, 95 percent of House incumbents and 93 percent of Senate incumbents who ran for reelection were victorious. 2. Only twice since 1980 – in 1994 and 2010 -- have more members of Congress been defeated for reelection than retired voluntarily. 3. The 2006 election proved to favor Democratic challengers. Reelection rates in

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the Senate fell to 79 percent, while 94 percent of the House incumbents were retained. Nevertheless, in the 2016 election, both House and Senate reelection rates returned to normal with 97 percent of House incumbents and 90 percent of Senate incumbents able to retain their seats. However, as the figures suggest, incumbent candidates hold a sizable advantage in elections.

How Congress Has Organized To Do Its Work In 1789, the First Congress began with 65 members in the House and 26 Senators. The bicameral structure of Congress provides for a procedurally efficient House based upon strict rules with a deliberative Senate characterized by loose rules and procedures. In turn, the primary organizational features of Congress include political parties, committees and legislative rules and procedures. A. The Role of Political Parties 1. As discussed in the previous chapter, political parties sponsor candidates for public office and advance platforms to attract support from voters. 2. Once elected, members of Congress are expected to “follow through” on their campaign promises. 3. Leaders of both political parties have tremendous influence in shaping legislation. a. The majority party leaders in Congress decide who will chair and comprise specific committees, control floor debates and influence the voting of its members. b. The minority party leadership unites party members to oppose and derail legislation proposed by the majority party. c. However, despite majority or minority party status, congressional leaders collect and distribute information to their members, schedule floor business, insure members on the floor cast votes, and coordinate with members in the other chamber and the president. Congressional leaders are involved in every facet of proposed legislation. 4. The House of Representatives may be characterized as purposive and structured, operating according to strict rules and procedures. It is organized as a hierarchy with the Speaker being the most powerful member a. The Speaker of the House is the presiding officer in the chamber. 1) The position is a constitutional office enumerated in Article I, section 2. Also, the Speaker is third in line to the presidency per the Presidential Succession Act of 1947. 2) The Speaker, minority leader and whips of both parties are selected prior to the convening Congress by a vote of all House members. (a) Leaders are chosen based upon straight party-line voting during party caucuses. (b) Voting is conducted through secret ballot. 3) The Speaker sets the agenda for the House:

(a) Determines where bills originate (b) Assigns committee chairs and membership (c) Schedules voting and determines the length of debate b. The House has undergone changes since 1791. 1) Members of the House dominated politics during the late 1700s. 2) In the 1824 election, Speaker Henry Clay brokered a deal among Democrats to select John Quincy Adams president to the dismay of fellow Democrat, Andrew Jackson. 3) The post-Civil War House was primarily dominated by Northern, radical Republicans who promoted reconstruction policies in the defeated Southern states. 4) At the end of the nineteenth century, the Speaker of the House began to become increasingly powerful. (a) Thomas Reed (R-ME), who became Speaker in 1889, determined committee chairs while micromanaging floor debates and bill referrals. (b) Joseph Cannon (R-IL) was elected Speaker in 1903 and continued Reed’s legacy. He punished party members who did not support Republican sponsored economic, tariff and social legislation by stripping them of committee chairs and assignments. (c) As a result of “Czar” Canon’s iron rule as Speaker, House rules were changed eliminating the Speaker’s ability to appoint committee and decreasing the Speakers influence in the Rules Committee. 5) In 1975 the House initiated reforms weakening the power of committee chairs and established subcommittees to assist in the bourgeoning workload. Moreover, committee chairs were not selected strictly based upon seniority. 6) In 1995, Speaker Newt Gingrich presided over the first Republican controlled House in over 40 years. He reestablished the hierarchical structure of the early 1900s and reduced the number of committees and subcommittees. Furthermore, committee chairs were selected based upon party loyalty and ideology rather than seniority. Also, the majority party stripped funding for caucuses. 7) With the sizable Democratic gains in the 2006 midterm election, the first female Speaker, Nancy Pelosi (D-CA), promised to reform the House. These reforms or any substantial legislation has yet to come to fruition. The Senate is characterized as informal, collegial, and egalitarian to facilitate deliberation a. The chamber operates under unanimous consent in which the Senate sets aside its standard rules for a negotiated agreement on the order and conduct of business on the floor. This plays roughly the same role as rules

or special orders in the House. In turn, a single member may impede the progress of any bill. b. Each Senator may employ a filibuster or the use of unlimited debate to stall or block passage of legislation. c. However, 60 members of the Senate may vote for cloture ending debate and any filibuster. d. In 2013 the majority Democrats approved the most important rules change in decades by declaring that filibusters would be out of order on executive and judicial nominees, though not on Supreme Court nominees and not on legislation. e. In 2017 the majority Republicans approved a change that further limited the filibuster to use regarding only legislation. f. One of the few duties enumerated to the vice-president is to preside over the Senate and vote in cases of a tie. g. The organization of the Senate consists of: 1) President Pro-Tempore (a) A constitutional office. (b) Traditionally the most senior Senator from the majority party (c) Fourth-in-line to the presidency 2) Majority Leader-Leader of the majority party 3) Assistant Majority Leader (Majority Whip) (a) Assists the majority leader (b) Rounds up votes (c) Manages assistant/deputy whips 4) Minority Leader-Leader of the minority party 5) Assistant Minority Leader (Minority Whip) (a) Assists Minority Leader (b) Manages votes and deputy whips The Development of the Committee System In 1820, Congress formed permanent standing committees to address the increasing workload. Committees may be characterized by the following: 1. The Division of Labor a. Proposed legislation is expedited among committees and its members based upon the specific policy or issue. This allows the committee to gather detailed information through testimony and use this expertise to c craft viable legislation. b. Committees have been very influential in the success or failure of a bill. 2. Fixed Jurisdictions a. Standing committees in the Senate and House have increased the power of committee chairs who hold appropriate jurisdiction prior to a floor vote. b. Moreover, committee chairs are vital to the success of proposed legislation.

Specialization and Seniority a. The committee system has produced “fiefdoms” whereby specific members become very territorial given their knowledge and expertise of a given policy area. In turn, committee practices or norms are apparent within the committee system: 1) Specialization norm that encourages congresspersons to specialize and develop expertise in the subject matter covered by their committee assignments. 2) Reciprocity norm promising that if members respect the views and expertise of members of other committees, their committee expertise will be respected as well. 3) Seniority norm holds that members of congressional committees with the longest continuous service on the committee will serve as chair and mentor to junior members. Types of committees a. Standing committees are committees with fixed and permanent and fixed jurisdictions. There are currently 16 Senate and 19 House standing committees. b. Select committees are temporary committees that are formed to deal with a specific subject or problem. c. Conference committees are composed of members of both houses. They resolve differences in bills from the two chambers. d. Joint committees are composed of members of both houses. They are designed to oversee a particular area of importance. e. Standing committees consist of authorizing and appropriations committees that develop legislation and allocate specific funding to each government program or activity, respectively. These committees exist in both chambers. Committee and Subcommittee Chairs In the early 1950s, committee chairs set the agenda, appointed subcommittee chairs and controlled the resources (budget, staff). The Legislative Reorganization Act of 1970 placed limits upon the committee chairs. Furthermore, the 1973 Subcommittee Bill of Rights established more subcommittees and provided funding for subcommittee staffing. a. This legislation established specific, published rules for committee proceedings. b. Provided funding for subcommittees to hire staff and defined areas of jurisdiction for these subcommittees. c. In 1995, the new Republican majority returned power to committee chairs. The included: 1) The appointment of subcommittee chairs. 2) Controlling the subcommittee budget. 3) Approving the majority party subcommittee staff. 4) Term-limited committee chairs to a maximum of six years.

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The committee system in the 110th Congress has largely been defined by seniority and expertise. The Democrats campaigned on changing the “tone” of Washington but have not been able to enact any meaningful institutional changes. The Staff Structure a. Each member has a small staff (average 20) that assists the representative. Every House member receives a member’s representational allowance (MRA) to pay for staffing and office supplies and equipment. Allowances are around $1.5 million. b. Senators receive personally allowances based upon the size of their states. Personal accounts provide between $2.5 million to $3.7 million for the Senator to hire staff and pay for office equipment, mailings, and travel expenses. c. Staff roles range from handling office correspondence and advising members to drafting legislation and arranging meeting and hearings. Staff size was reduced after the 1995 Republican victory. d. Committees and sub-committees have their own staff. e. Congress funds three non-partisan agencies that provide research support to the committees and members of Congress: 1) The Congressional Research Service (CRS) supplies research support for committees and members. 2) The General Accounting Office (GAO), renamed the Government Accountability Office in 2004, analyzes and investigates government activities. 3) The Congressional Budget Office (CBO) analyzes budget concerns.

The Legislative Process A. All bills must be sponsored (introduced) by a member of Congress. Currently, proposed legislation may have unlimited co-sponsors or other members of Congress who wish to see the bill become a law. It is important to note that less than 5 percent of the proposed legislation is actually signed into law. 1. Introducing legislation and committee deliberations a. A member of Congress must introduce a bill (The president may only recommend or persuade members to support/oppose legislation). b. The bill is referred to a committee or multiple committees depending upon the nature of the legislation (Farm issue will be referred to the Agricultural Committee). The Speaker has tremendous influence in assigning legislation to committees. 1) Committee assignment in the House is either by joint, split, or multiple referral. 2) Although very rare, a discharge petition, which requires the signatures of an absolute majority of House members, may be used to remove a bill from any committee (except Appropriations and Ways and Means).

3) 4)

Also, the bill may be referred to various subcommittees. Public hearings and testimony from interested parties and executive agencies occur. 5) Proposed legislation encounters a series of “veto points” of potential failure that may consist of leadership opposition, failure in subcommittee or committee deliberation, floor refusal to support, rejection in the conference committee, or a presidential veto. 6) The committee votes based upon the information provided. Most legislation “dies” (a veto point, wherein the legislation is not approved by a majority vote) in committee. 7) If the bill is approved in committee, it then goes to “markup” whereby the bill is rewritten and earmarks or funding for pet projects are added to gain support for the upcoming floor vote. 8) Report of bill to the floor (a) If approved, the committee makes recommendation to the full House. (b) The modified bill is then presented to the Rules Committee that determines the rules (open or closed) of debate. c. Simultaneously, a similar bill is introduced in the Senate. The proposed legislation follows the same progression as the House with a few exceptions: 1) Amendments may be added at any time in the Senate (even during floor debate and do not have to be germane to the bill’s subject matter. This is known a s attaching a rider to a bill. 2) If the recommendation is positive, the bill then goes to the floor of the Senate where it may encounter a filibuster. To break a filibuster, 60 Senators must vote for cloture ending debate. An extraordinary majority of 60 is required to end a filibuster. Both chambers of Congress vote to pass the bill. a. The House debates as the Committee of the Whole, which is simply the members who happen to be on the floor at the time. A minimum of 100 members, or quorum, must be present for the Committee of the Whole to conduct House business. The Committee of the Whole 1) Debates, votes on amendments and finalizes the bill. 2) Committee of the Whole dissolves and the bill goes to the full House. The bill is read in its final form by the House clerk 3) Floor debate in the House is usually limited to one hour with members able to speak for a maximum of 5 minutes (once again, this depends on the rules determined by members of the House Rules Committee). b. In the Senate, every member has the opportunity to deliberate the bill’s merits and weaknesses as this chamber operates under unanimous consent.

If both chambers approve the legislation, the bill is referred to conference committee to reconcile the different versions into one, final bill that will be presented to the president. The bill is presented to the president in its final form. The president has 10 days to: a. Sign the bill and it becomes law. b. Veto or reject the bill. c. Pocket veto a bill. This occurs if Congress adjourns before the 10 days the president has to sign or veto the legislation. In effect, the bill is killed without presidential action. If the president vetoes the bill, it is returned to both chambers unsigned. Congress may override a presidential veto by a two-thirds majority vote in support of the legislation. Consequently, the bill becomes law without the president’s signature.

Congressional Decision Making Members of Congress must be aware of the needs of their constituents, their staff, colleagues, interest groups, and members of the Executive Branch, specifically the president. A. Consequently, Congressional decision-making is influenced by numerous political and non-political actors. The time of the vote and the specific issue considered dictates who has the most influence on how a member of Congress may vote: 1. Constituents 2. Staff, colleagues, and party leaders 3. Interest groups and lobbyists 4. The president and the bureaucracy

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Public Disaffection and Congressional Reform A. Congress has reformed how it does business several times during the twentieth century. 1. In 1910–1911, the Speaker of the House was weakened and committees gained in power. After World War II, the Legislative Reorganization Act of 1946 reduced the number of standing committees and provided them with permanent staffs. 2. The Legislative Reorganization Act of 1970 increased public scrutiny and decision-making capability in management and budgeting. 3. House Republicans in 1995 passed the Congressional Accountability Act. This act made committee voting records public, extended labor and workplace safety laws to Congress, and opened public committee meetings to the media. 4. In 2007, the Democratic-controlled Congress assured the public that pork barrel spending and lobbyist influence would be limited. Moreover, the new leadership assured that ethic reforms would be enacted and enforced. This has yet to transpire. As a result, Congress’s approval rating remains very low. B. Members of Congress have competing parties influencing their decisions.

There are three primary representational styles: a. The trustee uses his or her best judgment to promote the common good by “filtering” the views of the constituency. b. The politico balances constituent concerns with his or her best judgment. c. The delegate “mirrors” or directly represents the constituent concerns and votes accordingly. As Richard Fenno illustrates in his seminal work, Homestyle, politicians consciously design campaign strategies to appeal to their respective constituencies.

LECTURE SUGGESTIONS Behavioral Focus: I.

Three Theories Explaining How Members of Congress Behave Members of Congress must balance the role of legislators advancing the needs of their constituents with what is necessary to provide for the common good. To complicate matters even more, members of Congress must be reelected (this is paramount to members of the House as they are up for reelection every two years). In turn, Congressional scholars have developed three theories explaining legislative behavior: The Attitudinal model, Organizational approach, and the Representational view. A. The Attitudinal Model asserts political ideology influences the behaviors of members of Congress. 1. Members of the House vote based upon their constituent’s ideology (middlevoter). a. This enables a greater probability of the representatives being reelected. b. Members of Congress are often placed on a liberal/conservative spectrum based upon their policy positions during debates and when voting. 2. Senators tend to be more independent from the views of their constituency but still demonstrate ideological voting patterns. a. The conservative Southern Democrats that dominated the Senate in the 1950s and 1960s have largely disappeared. b. Conversely, liberal Republicans Senators in the Northeast have also vanished with the defeat of Lincoln Chafee (R-RI) by Democrat Sheldon Whitehouse in the 2007 midterm election. c. Nevertheless, Senators still demonstrate ideological leanings during debates and when voting. B. Organizational Theory downplays the attitudinalist view asserting ideology plays a dominant role in explaining legislative behavior. Conversely, proponents of the Organizational Theory believe members of Congress take “cues” from: 1. Leaders of their political party. 2. Other members of Congress who share their ideological views.

a. Blue Dog Democrats: moderate to conservative Democrats b. Republican Study Committee: Conservative Republicans 3. Senior members of a standing committee 4. Other Congressional members from a similar geographical region of the country. 5. Senior Congressional members of the state delegation. Finally, the Representational View maintains a legislator’s voting record will be supportive of his or her constituency. 1. In effect, a member of Congress is apt to “mirror” the ideological stance of the electorate and act as delegate if public opinion clearly indicates strong support or opposition for a particular piece of legislation. 2. To further strengthen the ideological identity with his or her constituency, the member of Congress is likely to engage in teledemocracy, such as televised town hall meetings, satellite press conferences, cable news appearances posted to YouTube, and blogs to stay in touch with constituents. 3. Also, a member of Congress may consistently support a single issue; therefore representing the views of a specific special interest group. 4. In his book, Constituencies and Leaders in Congress, John Jackson’s research indicate a strong correlation between roll call votes in the Senate and constituency concerns.

Institutional Focus: How a Bill Becomes a Law I. How Does a Bill Become a Law? A. All bills must be sponsored (introduced) by a member of Congress. Currently, proposed legislation may have unlimited co-sponsors or other members of Congress who wish to see the bill become a law. It is important to note that less than 5 percent of the proposed legislation is actually signed into law. 1. Introducing legislation and committee deliberations a. A member of Congress must introduce a bill (the president may only recommend or persuade members to support/oppose legislation). b. The bill is assigned to a committee or multiple committees depending upon the nature of the legislation (e.g. farm issues will be referred to the Agricultural Committee). The Speaker has tremendous influence in assigning legislation to committees. 1) Committee assignment in the House is either by joint, split, or multiple referral. 2) Although very rare, a discharge petition, which requires the signatures of an absolute majority of House members, may be used to remove a bill from any committee (except Appropriations and Ways and Means). 3) Also, the bill may be referred to various subcommittees. 4) Public hearings and testimony from interested parties and executive agencies occur.

Proposed legislation also encounters a series of “veto points” of potential failure. 6) The committee votes based upon the information provided. Most legislation “dies” (is not approved by a majority vote, one of the veto points) in committee. 7) If the bill is approved in committee, it then goes to “markup” whereby the bill is rewritten and earmarks or funding for pet projects are added to gain support for the upcoming floor vote. 8) Report of bill to the floor (a) If approved, the committee makes recommendation to the full House. (b) The modified bill is then presented to the Rules Committee that determines the rules (open or closed) of debate. c. Simultaneously, a similar bill is introduced in the Senate. The proposed legislation follows the same progression as the House with a few exceptions: 1) Amendments may be added at any time in the Senate (even during floor debate and do not have to be germane to the bill’s subject matter. This is known as attaching a rider to a bill. 2) If the recommendation is positive, the bill then goes to the floor of the Senate where it may encounter a filibuster. To break a filibuster, 60 Senators must vote for cloture ending debate. An extraordinary majority of 60 is required to end a filibuster. Both chambers of Congress vote to pass the bill. a. The House debates as the Committee of the Whole, which is simply the members who happen to be on the floor at the time. A minimum of 100 members, or quorum, must be present for the Committee of the Whole to conduct House business. The Committee of the Whole 1) Debates, votes on amendments and finalizes the bill. 2) Committee of the Whole dissolves and the bill goes to the full House. The bill is read in its final form by the House clerk 3) Floor debate in the House is usually limited to one hour with members able to speak for a maximum of 5 minutes (once again, this depends on the rules determined by members of the House Rules Committee). b. In the Senate, every member has the opportunity to deliberate the bill’s merits and weaknesses as this chamber operates under unanimous consent. If both chambers approve the legislation, the bill is referred to conference committee to reconcile the different versions into one, final bill that will be presented to the president. The bill is presented to the president in its final form. The president has 10 days to: a. Sign the bill and it becomes law.

b. c.

Veto or reject the bill. Pocket veto a bill. This occurs if Congress adjourns before the 10 days the president has to sign or veto the legislation. In effect, the bill is killed without presidential action. If the president vetoes the bill (another “veto point”), it is returned to both chambers unsigned. Congress may override a presidential veto by a twothirds majority vote in support of the legislation. Consequently, the bill becomes law without the president’s signature.

Institutional Focus: Congress I.

Requirement to Become a Member of Congress A. There are very few Constitutional requirements for members of Congress. 1. House of Representatives: a. A member must be 25 years old. b. A member must be a U.S. citizen for 7 years. c. A member must be a resident of the state in which the district lies. d. It is interesting that a representative does not have to live within the district he or she represents. 2. Senate a. A member must be 30 years old. b. A member must be a U.S. citizen for 9 years. c. A member must be a resident of the state he or she represents. B. Per Article VI of the U.S. Constitution, Senator and Representative are “bound by Oath or Affirmation, to support the Constitution but no religious Test shall ever be required as a Qualification to any Office or Public Trust under the United States.”

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The Institutional Design of Congress The Constitution created a bicameral Congress meaning the legislature is divided into two chambers: A. Senate (Upper chamber of Congress) 1. Structure: a. 100 members b. Serve 6-year terms c. Senators were removed from the immediate influence of constituents because they were elected by state legislatures (this was changed via ratification of the Seventeenth Amendment in 1913 allowing for the direct election of Senators). d. 16 Standing Committees 1) Senators serve on multiple sub-committees and committees 2) No senator may chair more than one committee 3) Committee chairman are selected by secret ballot in party caucus 2.

Character: deliberative

Few rules exist to limit debate “As the cool and deliberate sense of the community ought…ultimately prevail over the views of its rulers” (Federalist #63, Rossiter, p. 352). 1) Loosely organized: (a) Debate and amendments do not have to be germane to proposed legislation (b) Amendments may be presented at any time during debate 2) Egalitarian-operates under unanimous consent 3) Filibuster: unlimited debate to stall, impede or kill legislation 4) May stop debate by invoking cloture: 16 Senators must petition for and 60 votes needed to stop or limit debate. b. In the Senate, a rider or an amended portion of the legislation may be attached to a bill that is used as a strategy to: 1) Attract support from other Senators and/or the president 2) Assure the president (who opposes the measure) will veto the bill 3) Get money for a state project or pet project that normally would not receive any support 3. Leadership: a. Majority Party: 1) President Pro-Tempore: Traditionally the most senior Senator 2) Majority Leader: Leader of the majority party 3) Assistant Majority Leader (Majority Whip) (a) Assists the majority leader (b) Rounds up votes (c) Manages assistant/deputy whips 4) Conference Chairman: Runs the meeting of the majority party (caucus) b. Minority Party 1) Minority Leader: Leader of the minority party 2) Assistant Minority Leader (Minority Whip) (a) Assists Minority Leader (b) Manages votes and deputy whips 3) Conference Chairman: Runs meeting and party caucuses c. Vice-President 1) Presides over the Senate 2) Breaks ties in chamber voting 4. Enumerated Powers a. To try impeachments: two-thirds of Senators needed to convict b. Approve treaties made by the president by a two-thirds majority vote c. Confirm presidential appointees by a simple majority House of Representatives (lower chamber of Congress) 1. Structure: a. 435 members b. Serve 2-year terms

Designed to represent the will of the people who directly elect representatives d. 19 Standing committees 1) No member may serve as chair of more than one committee 2) Committee chairs are selected via secret ballot in party caucus 3) Committees consist of at least 20 members and have 4 subcommittees 4) All committee deliberations are to be held in full public view (Rules committee can determine if testimony should be conducted in private). Character: Purposive and Structured Self-government is a reflection of human nature: Government is to be administered by “men [ruling] over men” (Federalist #51, Rossiter, p. 290) a. Debate is dictated through formal rules and procedures 1) Closed rules (a) Establishes strict time limit on debate (b) Limits or forbids amendments 2) Open rule: Permits a bill to be amended during floor debate 3) Amendments must be germane to the bill 4) Bills may be referred to several committees. This is called multiple referral. b. Centralized power in the Speaker of the House is used to: 1) Determine where bills originate 2) Assign committee chairs and membership 3) Committees cannot be bypassed in the lawmaking procedure and are vital to the success of legislation 4) Schedule voting and determining length of debate (usually limited to 1 hour unless Rules Committee decides differently) Leadership: a. Majority Party: 1) Speaker of the House who is selected by majority party 2) Majority Leader: Leader of the majority party 3) Majority Whip (a) Assists the majority leader (b) Rounds up votes (c) Manages assistant/deputy whips 4) Caucus Chairman-Runs the meeting of the majority party (caucus) 5) Committee Chairs of House Ways and Mean (appropriations) and Rules (decides length and terms of floor debate) are very powerful. b. Minority Party 1) Minority Leader: Leader of the minority party 2) Minority Whip (a) Assists Minority Leader (b) Manages votes

(c) Heads the group of deputy whips 3) Conference Chairman: Runs meetings and party caucuses 4. Powers of the House a. Originate Revenue Bills: The power to tax (also, based upon income per Amendment XVI, ratified in 1913). b. Impeachment: The formal power to charge “civil officers” of the national government with “Treason, Bribery or Other High Crimes and Misdemeanors The committee system in both chamber of Congress, while not mentioned in the Constitution, is vital to the function of Congress as a legislative body. The division of labor allows members of Congress to specialize in particular policy areas and defer to the expertise of other members to design and enact legislation. 1. Types of committees a. Standing committees are committees with fixed and permanent jurisdictions. These are most important and vital given the workload: 1) Senate: 16 2) House: 19 b. Select committees are temporary committees that are formed to deal with a specific subject or problem. c. Conference committees are composed of members of both chambers. They resolve differences in bills between the two houses. d. Joint committees are composed of members of both houses. They are designed to oversee a particular area of importance. 2. Standing committees consist of authorizing and appropriations committees. These exist in both houses. Also, the subcommittee system, established in the early 1970s, allows for increased policy specialization. 3. The tenets of the Congressional committees system: a. Specialization: Each member is expected to specialize in a subject area and serve on the appropriate committee. b. Reciprocity is another norm, i.e., members of one committee defer to other committees and the specialization of its members. c. Seniority usually determines committee chair assignments. Finally, both chamber s of Congress share powers per Article I, section 8, of the U.S. Constitution: 1. Legislative oversight of the Executive Branch 2. May overturn a presidential veto by a two-thirds vote in both Houses 3. Sole power to provide for a militia and declare war 4. Establish federal courts (“constitute tribunals inferior to the Supreme Court”) 5. The power to collect taxes, to coin and borrow money 6. To regulate interstate commerce 7. To establish a post office and provide for infrastructure 8. To define and punish felonies and crimes 9. To exercise legislative powers over military establishments, territories and the seat of government (The District of Columbia)

10. 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” a. This is known as the “necessary and proper clause” and “elastic clause” b. According to many legal scholars, this is one of the most contentious portions of the U.S. Constitution.

PROJECTS, EXERCISES, AND ACTIVITIES 1.

As a class exercise, conduct a “mock” Congress including a president and members of Congress (members of the Supreme Court may also be used). This can be done in classes of 20-536 students. Have students campaign for president, speaker of the House, vicepresident, leadership positions (majority/minority leaders, whips etc.), (sub)committee chairs. Those students who do not campaign for the aforementioned positions will initially act as voters who will elect individuals to the presidency, vice-president, speaker of the House, and leadership positions based upon campaign speeches presented to the class. Afterwards, each member of the class can act as a representative or senator. Depending on the class size, design and number of class sessions (meetings), you can have each discussion section represent a specific committee and have separate floor debates during lectures (if you have two large rooms for the Senate and House). This exercise should concentrate on the legislative process and the various stages of how a bill becomes law (subsequently, the Supreme Court is not foremost in the process). It is generally best to have the students “design” the substance of the legislation with TAs and the professor having a qualified veto over suggestions. Consult the website, http://clerk.house.gov/legislative/legprocess.aspx, or the book, Canon’s Rules of Order for parliamentary procedures.

First, have each student select a candidate for or current member of Congress (if possible, the student can select a presidential candidate). Next, go to the website www.opensecrets.org and type in the individual’s name. Identify the interest groups, ideological PACs, individuals and businesses that have contributed to the candidate or member of Congress. Research the voting record of that member by going to www.rollcall.com. Finally, is there a correlation between the member’s votes and the contributors interests? If so, identify the associations. Have the students present their findings via a class presentation or research paper.

Access the website www.cagw.org. This site is run by the watchdog group, Citizens Against Government Waste. Second, browse the website for subject matter that interests you. I recommend clicking on the “Pig Book” link as this will give you a plethora of pork legislation organized by year. Choose one or two spending (appropriation) bills associated with the subject you chose. Next, search the website https://www.congress.gov for your

representative in Congress or a member of the House of Representatives you wish to research. Type in the key words or House Bill (examples are HB 1234 or HR 4321) for the spending bill(s) found at The Citizens against Government Waste website. Finally, write (type) a 2-3 page paper addressing the following questions: 1. 2. 3. 4.

What were the justifications (arguments) for the spending project(s)? Did the bill pass or was it voted down (make sure to indicate if it was tabled in subcommittee, voted down in committee or on a floor vote and/or was amended)? Did your chosen Representative vote for or against the bill(s)? If you were a member of the House of Representatives would you have supported the legislation? Why or why not?

Break the class into groups and give each group an assignment based on the following directions: 1.

Discuss among yourselves how the theory of separation of powers explains the political arrangement of Congress. Compare and contrast the basic approaches to understanding the dynamics of representation. Let’s suppose you’re a newly elected member of the House of Representatives. Furthermore, let’s assume that the district is a marginal district and unemployment is high. Now answer the following questions: a) What kind of committee and subcommittee assignment would you prefer, and why? b) To what degree would your desire for re-election in a marginal district motivate your behavior, and what kind of activities would you pursue? c) What is the formal process for getting a bill through Congress to deal with unemployment in your district? Report back to the class and discuss the different considerations of each group.

ADDITIONAL RESOURCES Supplemental Readings Barone, Michael and Grant Ujifusa. (published every two years). Almanac of American Politics. Washington, DC: National Journal. Caro, Robert. 2002. Master of the Senate: The Years of Lyndon Baines Johnson. New York: Knopf. Davidson, Roger H. and Walter J. Oleszek. 2005. Congress and Its Members. Ninth Edition. Washington DC: CQ Press.

Deering, Christopher J. and Steven S. Smith. 1997. Committees in Congress. Third Edition. Washington, DC: CQ Press. Fenno, Richard F. Jr. 1973. Congressmen in Committees. Boston: Little, Brown. Fenno, Richard F. Jr. 1978. Homestyle: House Members in Their Districts. Boston: Little, Brown. Fiorina, Morris P. 1989. Congress: Keystone of the Washington Establishment. Second Edition. New Haven: Yale University Press. Herrnson, Paul S. 2004. Congressional Elections: Campaigning at Home and in Washington. Fourth Edition. Washington, DC: CQ Press. Kingdon, John W. 1973. Congressmen’s Voting Decisions. New York: Harper and Row. Mann, Thomas E. and Norman J. Ornstein. 1993. Renewing Congress. Washington, DC: Brookings Institute and American Enterprise Institute. Malbin, Michael J. 1980. Unelected Representatives. New York; Basic Books. Mayhew, David R. 2000. America’s Congress. New Haven: Yale University Press. Oleszek, Walter J. 2007. Congressional Procedures and the Policy Making Process. Seventh Edition. Washington, DC: CQ Press. Parker, Glenn R. 1986. Homeward Bound: Explaining Changes in Congressional Behavior. Pittsburgh: University of Pittsburgh Press. Rosenthal, Cindy Simon. 2002. Women Transforming Congress. Norman: University of Oklahoma Press. Rossiter, Clinton. 1961. The Federalist Papers. New York: Mentor. Sinclair, Barbara. 2000. Unorthodox Lawmaking: New Legislative Processes in the U.S. Congress. Second Edition. Washington, DC: CQ Press. Websites House of Representatives Website for the House of Representatives Roll Call

This website is an excellent source for information on Congressional voting and legislation. A subscription is required. Usually, a university or college library has a subscription which will allow students to access the site. This is an electronic publication. Senate Website for the U.S. Senate CONGRESS.GOV This site is managed by the Library of Congress and may be accessed to research current Congressional activity. The site provides current legislation, amendments, voting records, committee deliberations, and listings of sponsors and co-sponsors. Archived materials are also available. Congressional Oversight Example This is an interesting piece showcasing the Congress’s role as an oversight mechanism by looking at its conduct in investigating salmonella poisoning. Congressional Legislating Example This is a video covering senatorial voting over the military’s, “Don’t Ask, Don’t Tell” policy over gay service. It is an excellent example of senatorial procedures regarding the importance of the cloture mechanism in holding off filibusters. Congressional Campaign Ad This is an excellent example of the local orientation to congressional campaigns, use this in contrast to presidential ones. Senate Vote on Repeal of Obamacare This clip from the Senate vote on repeal of Obamacare reveals the Senate’s reaction to Republican Sen. John McCain's “no” vote on repealing Obamacare.

Chapter 10 THE PRESIDENT: GOVERNING IN UNCERTAIN TIMES FOCUS QUESTIONS Q1 the

What historical examples of executive power did the Founders consider as they shaped American presidency?

The Founders, notably James Madison, researched regimes throughout history to an end of forming a stable and just government. They were guided by the history of ancient Greece and Rome, their experience under British colonial rule, the colonial governments and early covenants and compacts, and state legislatures and the weaknesses of the Articles of Confederation. The events leading up to the Constitutional Convention prompted the Framers to consult the writings of political philosophers, including Aristotle, Montesquieu, Locke, Blackstone, and Machiavelli, which are referenced throughout the writings of the Federalist and Anti-Federalist Papers. While the Founders differed on the degree and structure of executive power, all agreed that a central national authority was needed to preserve the fledgling republic.

How did the Founders limit the powers that they placed with the president?

The president is limited by Congress’s power of the purse and legislative oversight. Consequently, Congress may delegate authority to the president to achieve a desired goal. In fact, the structure of the Constitution provides some checks on the institutional powers of the office by Congress. The president is constitutionality mandated to report on the state of the nation (although not publicly, Woodrow Wilson started this). Furthermore, the presidential veto may be overridden by a two-thirds vote in Congress, the Senate must confirm treaties and appointees, Congress may impeach and convict public officials of high crimes and misdemeanors, and only Congress can declare war. Finally, the courts may limit executive power through their interpretation of the legality of executive orders and regulations.

What forces account for the growth of executive power over the course of American political history?

Energy, dispatch, and leadership characterized the Founders conception of the Executive. Therefore, many Framers of the Constitution expected the president’s power to expand in times of war or insurrection and decrease in eras of domestic tranquility. References to the Spartan kings in the Federalist Papers signify the historical research conducted by the Founders that suggests a conception of the wartime leader that combined with benevolence. Almost immediately, it was apparent that the president had a tremendous advantage as commander in chief to deploy the military without

Congressional approval (as seen in the Jefferson, Polk, Lincoln, McKinley, Truman, Johnson, Reagan, Obama, and Trump administrations). By and large, twentiethcentury presidents have expanded presidential authority through inherent powers associated with the office to protect national sovereignty and defend the nation, and thus serve the national common good. Yet, Congress has also been complicit in granting authority to the president in times of crisis. In effect, even during times of peace, presidents have used their position to enact reforms (Teddy Roosevelt and the Progressives) and expand the influence of the office into economic and domestic concerns (Franklin Roosevelt’s attempt to pack the Supreme Court and the Brownlow Commission reforms leading to the creation of the executive office of the president [EOP] in 1939). Nevertheless, the growth of executive power has revolved around crisis, including World Wars I and II, the Great Depression, the Korean Conflict, the Vietnam War, the two Gulf wars, and the war in Afghanistan. Q4

Why does the president have an easier time in shaping and implementing foreign policy than he does domestic policy?

In general, the president is seen as the leader on foreign policy issues. In fact, this was the crux of the Pacificus/Helvidius debate in 1793 concerning George Washington’s unilateral proclamation of U.S. neutrality in the war between Britain and France. Since the beginning of our country, the public has rallied around the president concerning foreign policy decisions given his executive powers as commander in chief as well as chief diplomat and trade negotiator. Aaron Wildavsky presents a persuasive thesis of “two Presidencies,” which illustrates the difficulty executives encounter in facilitating many different approaches to domestic policies compared to limited “us versus them” (“friend/foe”) dichotomy associated with foreign policy issues. Yet, when foreign policy decisions are mishandled or fail, the public holds the president accountable, which is not necessarily the case in domestic matters.

Should we be concerned that White House staff members have replaced members of the cabinet as the president’s closest advisers?

Cabinet secretaries have historically been political appointees that are chosen for a variety of reasons, the least of which is loyalty to the president. The first presidential administration of George Washington was comprised of Hamilton and Jefferson who were political adversaries. So, it should come as no surprise that presidents have assembled a trusted group of individuals to advise and counsel them on decisions. In effect, these are the people whom the president trusts and who have served him in previous capacities whether in business or as loyal friends. Moreover, cabinet secretaries must be confirmed by the Senate, which prompts political considerations. While cabinet secretaries and members of the White House staff serve at the president’s pleasure, there are legitimate concerns as to what extent that the staff seeks to serve and protect the president rather than to advance the public interest.

CHAPTER OUTLINE: The President of the United States I.

Historical Origins of Executive Power While persuading the citizens of New York to ratify the Constitution, Alexander Hamilton, writing in Federalist #70, stressed the need for an “energetic president” to uphold the principles of republican government against “assaults of ambition, of faction, and of anarchy.” Thus, a single executive would be responsible for repelling foreign aggressors, securing domestic tranquility, ensuring the administration of federal laws, and protecting private property. While the actions of the president may extend into every facet of society, the Framers also believed in the need to “partition power among the several departments of government,” referred to as parchment barriers, to protect each agency from the encroachments of the others (see: Federalist #51). This adherence to a separation of powers between government agencies reflects the need for each department to have enumerated powers and a will of its own. Conversely, each branch of government should also have powers to check the “will” of the other two branches. Subsequently, Article II of the United States Constitution decrees executive power in the president. The enumerated presidential powers are few in number compared to those of the legislative branch. The president acts as commander and chief of the military, serves as administrative head of the United States, negotiates treaties, may grant pardons for individuals who have committed offenses against the United States, holds the power to veto Congressional legislation and convene Congress, may appoint various officials, and is required to inform Congress on the state of the nation. However, there is substantial debate among Constitutional scholars as to how to interpret the power of the Chief Executive and to what extent presidential powers should be augmented in times of crisis. The unitary executive theory advocating the president holds the authority and is the sole judge, particularly in wartime, of what is required to protect the nation and its people and is hotly debated given the current War on Terror. A. Historical Precedents The premier advocate of legislative supremacy, John Locke, believed the executive should hold absolute power in foreign affairs and extra constitutional powers in times of crisis. Commonly known as the “Lockean prerogative,” this theory stipulates that any autonomous nation needs an executive characterized by energy and based on initiative to protect and preserve national sovereignty. 1. Historical Precedents: Crown Governors a. In the English colonies, royal governors represented the will of the king. 1) These governors wielded broad powers 2) They held the power to call or dissolve local legislatures, appoint councils, serve on colonial courts, and otherwise advance the needs of the Crown. b. As the colonies grew, the legislatures challenged the absolute power of the royal governors. 2. Historical Precedents: State Governors

II.

In early colonial compacts, covenants, and constitutions power resided in the legislatures. 1) They elected state governors who normally served a one-year term. 2) Governors did not run for reelection. b. The powers varied given the territory; however, the governors resembled a prime minister more than our modern conception of an American president. 1) Unable to veto legislation 2) Make appointments in conjunction with the legislature Executive Power in the Articles a. The Articles of Confederation did not establish an independent executive. b. All powers in foreign affairs were given to Congress c. Congress elected (selected) an executive yearly, which was rotated among the 13 states. d. It was apparent that the Articles needed to be amended to provide for a strong and independent executive or president with powers to act quickly in times of crisis.

The Constitutional Bases of Presidential Authority The qualifications to become president stipulate a person must be at least 35 years of age, reside in the United States for 14 years and be a natural-born citizen. Yet, the selection, term of office and specific powers of the Executive were hotly debated among the delegates to the Constitutional Convention. A. Alternative Conceptions of the Presidency 1. The question arose as to the independence of the office: Was this Executive magistrate simply subservient to the will of the Legislature or would the office have a will of its own? 2. The Madisonian/Morris wing of the Federalists advocated an elected president with enumerated powers that would provide a check on the actions of the Legislature. 3. In late July, a compromise was made among the many different ideas proposed regarding the selection process. In effect, the president was to be selected through an institution called the Electoral College where each state would have the same number of votes as its Congressional delegation (Representatives plus Senators). a. This appeased those who believed the president should not be subject to popular election or appointment by the Legislature; instead, the states would select the president and not Congress. b. If no candidate gained a majority, the decision would then be thrown into the House with every state having one vote. This appeased the small states that saw the Electoral College as favoring the larger states. B. Executive Authority in the Constitution Article II of the U.S. Constitution states “the Executive power shall be vested in the President of the United States of America.” However, the office holds both

enumerated and implied powers. The president acts as commander and chief of the military, serves as administrative head of the United States, negotiates treaties, may grant pardons for individuals who have committed offenses against the United States, holds the power to veto Congressional legislation and convene Congress, may appoint various officials, and is required to inform Congress on the state of the nation. 1. The Pardon Power a. Article II, section 2, gives the president the right to grant reprieves and pardons. 1) A reprieve is a temporary postponement of the effect of a judicial decision to give the executive time to consider a request for a pardon. 2) A pardon makes the recipient a new person in the eyes of the law as if no offense had ever been committed. 2. The Power to Propose and the Power to Veto a. Article II, section 3, allows the president to propose legislation and veto acts of Congress. 1) The president is therefore a party to legislative activity in Congress. 2) The president has veto power or the right to disapprove of legislation proposed by Congress. The act can still become law if both houses again pass the bill by a two-thirds vote. 3. The “Take Care” Clause a. Article II, section 3, states the president “shall take Care that the Laws be faithfully executed.” 1) This places the power to make sure laws are enforced in the Executive branch. 2) Also, this section of the Constitution provides the president extraconstitutional powers in times of extraordinary circumstances. 4. The Appointment Power a. Article II, section 2, empowers the president, with the advice and consent of the Senate, to appoint ambassadors, judges, public ministers, consuls and executive officials. b. It is important to note that Congress, specifically the Senate, plays an important role in confirming presidential appointees. 5. Treaty Making and Foreign Affairs a. Article II, section 2, states the president “shall receive ambassadors and other public ministers [from foreign nations].” b. Article II, section 2, also provides the president treaty making power or agreements between nations. It is important to distinguish formal treatise, which need Senate confirmation, from executive agreements that do not need Congressional approval. 6. Commander in Chief a. Article II, section 2, provides that “the President shall be commander in chief of the Army and Navy of the United States.”

III.

The president has the sole power to command a standing army in times of war or insurrection. c. Yet, Congress is empowered: 1) To declare war 2) To raise and support armies and navies. d. Individual presidents have used their power as commander of the military to redefine presidential leadership in times of crisis. Constitutional Limitations Presidents have traditionally argued that Executive power should be understood as broad, flexible and, at times, secretive. Consequently, presidents have claimed executive privilege or the right of presidents and their advisers to keep their conversations and communications confidential. 1. Congress and the Courts a. Congress checks the Executive branch by controlling the budget. b. Congress also oversees the Executive Branch by conducting legislative hearings and investigations. c. The courts interpret laws, executive orders, and bureaucratic regulations. The Supreme Court has upheld executive privilege except when it is used to conceal criminal activity. d. In general, the courts act as umpires mediating the powers of Congress and the president. 2. The Impeachment Process a. Congress checks the actions of the president and other public officials via the power of impeachment or the process of removing national government officials from office. b. Article I, section 2, places “the sole power of Impeachment” in the House of Representatives; while Article I, section 3, states “the Senate shall have the sole Power to try all impeachments” and that “When the President of the United States is tried, the Chief Justice shall preside.” c. With a two-thirds vote in the Senate, the president can be removed from office. Only two presidents have been impeached (Andrew Johnson and Bill Clinton) and neither was convicted and removed from office.

The Growth of Presidential Power The Executive Branch is defined by energy, dispatch and administration. However, the system of checks and balances requires the president to share many powers with Congress. If one looks at this historically, the Founders were concerned that the Executive Branch would attempt to expand its power resulting in an autocratic, despotic and tyrannical rule. This is history’s lesson. With the exception of Polk and Lincoln (I would also add Jefferson), nineteenth-century presidents respected the constitutional limitations of the office. Yet, numerous events in the twentieth century have led presidents to expand the office’s constitutional powers. A. The Early Pattern: Presidential-Congressional Relations

George Washington initially consulted with Congress regarding treaties with Native Americans. a. In effect, there are few explicit constitutional rules on the interactions between the president and Congress. b. An advocate of a strong executive, Alexander Hamilton developed numerous bills dealing with domestic and economic policies as Washington’s Treasury Secretary. As a result, Hamilton seemed to bridge the gap between Congressional allies and the administration. Nevertheless, governance in the nineteenth century was largely dominated by Congress. The Jeffersonian Legacy: Congressional Dominance, 1800–1900 1. Thomas Jefferson was elected president in 1801 (by the House of Representatives due to a tie in the Electoral College) as a result of the declining Federalist faction. 2. Jefferson and the “Democrats” believed lawmaking authority rested in Congress. 3. Yet, Jefferson expanded the role of president as Commander in Chief by deploying the U.S. Army and Navy to Tripoli without Congressional authorization. 4. Three presidents, Polk, Lincoln, and McKinley, would further expand the power of president as Commander in Chief prior to 1900. 5. Nevertheless, Congress continued to control both foreign and domestic policy. The Modern Presidency, 1901-Present 1. The Industrial Revolution, two world wars and the Great Depression propelled the United States into a significant economic and military power. As a result, the office of the president as an institution changed to respond to these changes. a. Teddy Roosevelt and the Progressives expanded the role of the federal government to promote social and economic reforms. b. The Executive Office of the Presidency (EOP) was created in 1939 on the recommendation of the Brownlow Commission, which provided additional agencies to the Executive Branch. c. FDR’s use of the federal government to provide jobs and economic reforms changed the size and scope of presidential involvement in every facet of society. 2. Harry Truman, John Kennedy, Lyndon Johnson, Richard Nixon, Ronald Reagan, and George W. Bush have furthered presidential dominance in foreign affairs while also using the office to shape domestic policy. Where Was the Expanded Authority Found? 1. The expansion of presidential authority, specifically in the case of national security, is based upon inherent powers that are not specified in the Constitution but are necessary for all autonomous nations to protect national sovereignty allowing a president to take all action required to defend the nation and protect its interests.

IV.

Presidents including Lincoln, FDR, Johnson, and Bush (43) have equated inherent powers with self-defense, prompting them to use whatever actions are necessary to defend the nation. Since the Supreme Court upheld the constitutionality of FDR’s National Recover Act in 1937, the president continues to take a very active role in determining economic policies. As a result, discretionary powers have been transferred to the president. This allows the president to administer programs and take more responsibility for the budget and economy. The War on Terror has prompted many legal scholars to question to what extent President George Bush could justify his actions (wiretapping, imprisoning enemy combatants, use of National Guard troops overseas) via inherent powers. The Supreme Court ruled in 2006 (Hamdan v. Rumsfeld) that the president may not convene military commissions that contravene Congress’s own exercise of war powers to the contrary.

The Range of Presidential Responsibilities The president plays an important role in domestic and foreign affairs. Consequently, the office entails that a president serve the public interests in many different capacities. A. The Domestic Policy Presidency A president can successfully advance proposed legislation if he “hits the ground running” in the first 100 days (known as the honeymoon period) due to his new status as a national leader. Yet, Congressional members may have their own agenda that prompts a prudent president to use his position as a national party leader to streamline and consolidate support for specific policies. A president winning reelection may seem to have a mandate to further his favored programs and continue sponsoring legislation. However, this is usually not the case as most presidents usually lose party members in Congress during the midterm elections, which would indicate a decline in party dominance. In addition, presidents have already used all of their good ideas in the first term and likely made some new political enemies. 1. The president has several roles in formulating domestic policy a. First, the president is the national leader, which makes him accountable to the people despite their political affiliation. In turn, the president represents the office of the presidency. b. Second, the president is chief executive assuring the various governmental agencies are adequately staffed and working. 1) While the presidential controls 2.9 million federal workers they are protected by a merit-based civil service system (and by labor unions). 2) Also, presidential appointees and civil servants have often been at odds over the direction and purpose of departments.

Federal regulatory agencies are set up to be nonpartisan and are usually beyond direct presidential influence. c. Third, the president is chief legislature given the creation of the Bureau of the Budget in 1921 allowing him the authority to submit budgets and be involved in policy development. 1) The president is expected to submit a budget and a legislative program annually. 2) Political scientist Paul Light has found that presidents enjoy more success early on in their terms. d. While the president is the national leader he is also the leader of his party and has significant influence over the national party chair and can influence the substance of the party platform. 1) Even though he or she is the party leader, practical political matters may force the president to negotiate compromises that may alienate some party members. 2) Getting his program through Congress is difficult even when the president’s party is in control given the regional considerations and constituency concerns affecting individual members of Congress. The Foreign Policy Presidency Arguably, the office of the president is the most influential governmental position in foreign policy areas and vital to their implementation and success. Therefore, the president serves numerous roles in foreign policy 1. First, the Constitution empowers the president as Commander in Chief of the U.S. armed forces. Therefore, he may deploy troops and determine military strategy. This duty has been recognized as an executive responsibility but suggests Congressional involvement. a. Given Congress has the sole power to declare war, the Executive and Legislative Branches may be seen as co-equal institutions given the role of the armed services. Yet, debates over the president’s constitutional right to initiate hostilities and designate the scope and duration of military deployments has led to Congress to enact the War Powers Resolution of 1973. This piece of legislation sought to increase Congress’s influence in military matters with little success. b. As a result of the terrorist attacks on September 11, 2001, President George W. Bush received Congressional and United Nations support to invade Iraq preemptively. With this use of force, the president has claimed the necessity for the president to possess war powers including the constitutional authority to: 1) Hold enemy combatants, including U.S. citizens, without the benefit of a trial for the duration of the conflict. 2) Unilaterally suspend habeas corpus. 3) Establish military tribunals to try the enemy combatants without the possibility of legal representation.

Expand surveillance activities including domestic wiretapping and monitoring Internet communications. 5) Recent Supreme Court rulings have determined certain measures used by the Bush administration are unconstitutional. c. After assuming the presidency in 2008 in the midst of the ongoing War on Terror, President Barack Obama rejected the activist Bush approach and worked toward reducing the military commitments in Afghanistan and Iraq, while relying on air power, Special Forces teams, and allies to meet the challenge of the Islamic State. d. The new Trump administration has continued the Obama approach of limited military application to select targets, including in Syria. The president also acts as the nation’s chief diplomat. The president nominates ambassadors and receives foreign dignitaries. While the president must receive the Senate’s support to confirm these public officials and ratify treaties, the president may circumvent Congress using executive agreements instead of formal treaties. The president and his trade team also act as the chief trade negotiator(s). The United States has pursued as two-track trade policy: a. One is to seek bilateral agreements with countries we have a trade deficit with such as China, Taiwan and Japan. b. Another track focuses on multilateral agreements, such as NAFTA or GATT, that attempt to lower regional or global trade barriers.

The Presidential Establishment Since George Washington’s administration, the president has assembled individuals to advise and counsel him when needed. In turn, American presidents assemble a cabinet or secretaries of all the executive departments. Currently, there are 15 cabinet departments who are headed by cabinet secretaries and staffed by career civil servants. The president also assembles a White House staff that is headed by a chief and staff whose duty is to advise the president on day-to-day matters. As the book suggests, many presidents have largely depended upon the advice and counsel of their staff rather than the political appointees who comprise cabinet positions. A. The Executive Office of the President 1. The Executive Office of the President (EOP) was originally formed in 1939 to provide the president with staff support. The EOP originally consisted of six administrative assistance and three advisory boards. 2. Currently, the EOP consists of nearly 1,700 professionals. 3. The EOP includes the White House staff, which houses the Office of Management and Budget (OMB) and the National Security Council (NSC). 4. Each president is free to assemble his staff as he pleases. Yet, there tends to be two dominant structures: a. A hierarchical structure led by a chief of staff as was the case in the Eisenhower and Nixon administrations.

A second design known as the “spoke and wheel model” as used by George W. Bush and was successfully managed by President Reagan who relied upon three individuals (what was referred to as a “troika”) instead of a single chief of staff. 5. The White House staff’s sole responsibility is to promote the president’s agenda. The president relies heavily on the advice and information provided by the White House staff. 6. Originally called the Bureau of the Budget when it was created in 1921, the Office of Management of Budget was moved to the EOP in 1939 and renamed in 1970. The OMB is responsible for assisting the president in preparing the annual budget ensuring that the legislative and departmental priorities match the executive agenda while monitoring the implementation of programs to determine cost effectiveness. 7. The National Security Council (NSC) was established in 1947 to advise the president on national security issues. The NSC consists of the president, vicepresident, and the secretaries of defense and state, the chairman of the Joint Chiefs of Staff, and the directors of the CIA and the Arms Control and Disarmament Agency. The Cabinet 1. The Constitution provides the president the authority to request in writing the opinions of the principal officers in the executive departments. Publius addresses the necessity for an executive council in Federalist #46 as well. 2. Currently, there are 15 cabinet departments headed by a single secretary who is appointed by the president and confirmed by the Senate. 3. Cabinet officials are not generally trusted political advisors; instead, they are political appointees who share allegiances to: a. The Senate who confirms them. b. Congressional leaders who approves their budgets. c. Career bureaucrats within their department who have their own agendas. d. Special interests or private constituencies whose interests do not always coincide with the president’s agenda. 4. As a result, cabinet secretaries are characterized more as political appointees, bureaucrats or reformers rather than political advisors. 5. On average, cabinet secretaries serve an average of 2.5 years indicating a good deal of turnover in these positions. It is evident the president uses the various specialties of serving cabinet secretaries to further his political ends. The Vice President 1. The Constitution enumerates a single duty for the vice-president, namely presiding over the Senate and voting in cases of ties. 2. Yet, the Twenty-fifth Amendment to the Constitution has buttressed the role of the vice-president. As of 1967, in cases where the president is unable to perform his duties due to incapacity, death, or removal from office, the vicepresident becomes

VI.

president. Yet, vice-presidents often play an important role in supplying information, monitoring the progress of legislation in the Senate, and attending ceremonial events in the absence of the president. Politically, being elected vice-president places the individual in line to succeed the sitting president after he serves two terms.

Presidential Reform Today Demands on the modern presidency are many, shortcomings are evident, and talk of reform is effectively continuous. Presidents may learn a number of lessons their predecessors regarding what reforms to the presidency appear more pressing. A. Presidents must recognize and acknowledge that they are one participant, though a leading participant, in a system of shared powers and legal limits. B. Presidents should adhere to the traditional understandings of political process and law in regard to signing statements. C. Presidents must keep in mind that the Founders believed that no question was more critical to a free society. How the nation goes to war is dangerously murky. D. It is critical that presidents should think clearly about the roles of the vice president, cabinet, and White House staff. Presidents have massive responsibilities and need a lot of help in fulfilling them.

LECTURE SUGGESTIONS Behavioral/Historical Focus I.

Differences in the Approach to Studying the American Chief Executive The office of the president is unique. The Founders’ conception(s) of an elected monarch constrained by a written constitution has been replicated in many fledgling contemporary democracies. Presidential scholars research the role and powers of the Presidency in two distinct approaches: The president as a political actor or the Presidency as an institution. A. President as Political Actor 1. This approach is focused upon studying the individual president. 2. Moreover, this approach relies upon exploring the historical legacy of the individual president. 3. This political actor perspective grew out of Richard Neustadt’s research, comparing one president to another via: a. Leadership styles b. Management styles c. Decision-making d. Political persuasion or rhetoric. 4. This approach was favored in the literature until 1975. 5. Scholarship exploring the president as a political actor provides a descriptive account of individual presidents and is favored by political historians.

Researching the president as a political actor has become increasingly popular given the advent of political psychology which uses formal and cognitive models to explore decision-making, leadership qualities and stimulus/response schemas. 7. Yet, given the idiosyncratic nature of this approach, there tends to be limitations to the research that leads to unanswered questions. 8. Nevertheless, new studies of the stark differences in how George W. Bush and Barack Obama approached similar foreign policy issues provide consider data for future presidents as to consider as they face unanticipated challenges. The Presidency as an Institution 1. This approach emphasizes research on how the institution (as well as the other co-equal branches of government) affect the actions of individual presidents. 2. Consequently, there are institutional regularities that prompt all presidents to conduct themselves or act in a similar manner. 3. Institutional scholars identify political, social, economic, and political variables that limit the latitude of individual presidents. 4. Three patterns (similarities) have been identified by institutional scholars: a. Except for Bill Clinton, the longer the president remains in power, the lower his approval (favorable) rating. b. When a president gives a major news conference (addresses the nation), the public opinion polls indicate an increase in popularity for the president. c. A president who focuses on a relatively small group of legislative initiatives (the Arrow Approach) is more successful than one who attempts to micromanage several policy initiatives (Shotgun Approach). 5. This approach does combine some individual qualities within an institutional framework by investigating the relationship of the individual president with: a. Bureaucratic agencies b. Cabinet secretaries c. White House staff d. Congressional leaders e. Supreme Court Justices. Regardless of the approach, both can be helpful in determining ideological positions of the specific presidents, as well as the role of the Presidency as an institution that shapes foreign and domestic policies.

Theory/Philosophical Focus: Federalist #51 I.

Introduction A. In Federalist #51, Madison counters the anti-Federalist’s arguments against the proposed Constitution. 1. Madison examines the design (structure) of government

B. II.

A government relies upon people, through a representative structure, to interpret their own Constitution. b. “The people, every faction, over themselves.” c. Stability will be achieved through elections that will be proactive (forward looking) to policy decisions. 2. Thus, public opinion will act as a restraint on republicanism: “the exercise of the consent” whereby “self-interest promote[s] common interest.” An institutional framework is necessary to assure the stability of the regime.

Parchment Barriers (Separation of Powers) A. Madison establishes three principles for the institutional design of the national government 1. First General Principle: a. Each department shall have a “will of its own” 1) Executive: the power of enforcement (the sword) 2) Legislature based on bicameralism (2 Houses): (a) Senate: deliberation (b) House: will of the people. 3) Judiciary: neither the will nor the sword—reason! b. Therefore, you cannot have one branch appoint another. c. There is a necessity for checks and balances, which is discussed later. 2. Second General Principle: a. There should be as little dependence on state offices and officials as possible. b. The national government and state legislatures will operate in different spheres of government. 1) States will concern themselves with domestic affairs in times of peace. 2) The National government will deal with issue of defense and protect interstate and international trade. 3. Third General Principle: a. Each department must have power of self-defense (checks and balances). 1) “Ambition must counteract ambition.” 2) Therefore, government must desire liberty with the personal characteristics “of the higher sort of men” (pride, honor, status, service, responsibility) = regard for the common good. B. Consequently, a mixture of an informed citizenry and parchment barriers will lead to and sustain good government! In turn, the following components are necessary to achieve this desired end: 1. A limited government 2. Include men of good character 3. Federalism: shared powers 4. Stresses the importance of distinguishing between:

C. D.

III.

a. “real” public opinion: based upon reason b. “other” opinions: based upon passions and desires. Madison recognizes that only in a free government may we think for ourselves. Thus, we must bring a multiplicity of sects (factions) together to join private and public interests to promote the public interest (common good).

Conclusion Madison recognizes factions and believes that an informed citizenry and a specifically designed government will support freedom and uphold moral standards and cultural mores. Education will instill habits that will provide for a virtuous citizenry. In turn, adherence to Madison’s three general principles would increase the probability of a stable republic.

PROJECTS, EXERCISES, AND ACTIVITIES 1.

This is a three-part project: Part I Have the students compare and contrast the leadership styles of the two presidents prior to Joe Biden: Barack Obama and Donald Trump. Identify the major accomplishments of each president and research what strategies and techniques were used to successfully obtain congressional and public support. Part II Have the students compare and contrast the campaign styles of Donald Trump and Joe Biden during the 2020 presidential campaign to discern if any differences are likely to exist in the leadership style of Biden in contrast with the leadership styles of Obama and Trump. Part III Finally, have the students present their findings in class or by writing a research paper.

First, go to the website http://www.gpo.gov/fdsys/browse/collection.action?collectionCode=CPD to access the Compilation of Presidential Documents. The website is published by the Office of the Federal Register and contains statements, messages and other presidential materials released by the White House during the preceding week. Next, pick one year, then choose one month of the year and look at the table of contents for each week. Finally, write (type) a 2-3 page paper addressing the following questions: a. b. c.

How do the activities listed illustrate the many roles that the president plays? Given the information you found on the website, provide examples for each presidential power (Remember: What are the powers of the president?). What issue(s) seem to dominate the president’s attention? In your opinion, what

may be some reasons for the president to address these issues? 3.

As a written assignment, have the students examine the concurrent powers enumerated in the Constitution to the Legislative and Executive Branches (Articles I and II, respectively), specifically dealing with foreign affairs and war powers. Next, research the Founders’ arguments concerning the aforementioned powers (a great source is the primary documents in Morton Frisch’s book, The Pacificus-Helvidius Debates of 17931794), pitting two different views of where authority should reside. Evaluate the arguments. After the research is completed, divide the students into groups—one advocating legislative supremacy (Madison/Jefferson) and the other as a proponent of the Hamiltonian model advocating the necessity of Executive prerogative—and have a debate. Finally, which view has recently dominated foreign policy matters? Did this change as a result of the Iraq War? Why or why not?

Republicans have generally resisted efforts of the national government to regulate the medical profession and efforts to extend healthcare delivery that extends greater benefit to the poor. On the other hand Democrats have generally supported government programs that provide healthcare services to the poor and the elderly. Research the politics surrounding the passage of the Affordable Care Act (Obamacare) in 2010 during the Obama administration. With the election of Donald Trump to the presidency in 2016, the Republicans held control of the White House and both houses of Congress. Yet, they were unsuccessful in repealing and replacing Obamacare in 2017. Why? Compare and contrast the politics in 2010 with the politics in 2017.

ADDITIONAL RESOURCES Supplemental Readings Ambrose, Stephen E. 1987, 1989, 1991. Nixon. Vols. I, II, and II. New York: Harper and Row. Brinkley, Alan and Davis Dyer (eds.). 2004. The American Presidency. Boston: Houghton Mifflin Co. Corwin, Edward S. 1985. The President: Office and Powers. Fifth Edition. New York: New York University Press. Ellis, Richard J. 1999. Founding the American Presidency. Lanham: Rowman & Littlefield. Frisch, Morton J (Ed.). 2007. The Pacificus-Helvidius Debates of 1793-1794. Indianapolis: Liberty Fund.

Jacobson, Gary C. 2008. A Divider, Not a Uniter: George W. Bush and the American People. New York: Longman. Jones, Charles O. 1998. Passage to the Presidency. Washington, DC: Brookings Institute. Kane, Joseph Nathan. 1999. Presidential Fact Book. New York: Random House. McDonald, Forrest. 1994. The American Presidency: An Intellectual History. Lawrence: University Press of Kansas. Milkis, Sidney M and Michael Nelson. 2008. The American Presidency: Origins and Development. Fifth Edition. Washington, DC: CQ Press. Nelson, Michael. 2000. The Presidency and the Political System. Sixth Edition. Washington, DC: CQ Press. Neustadt, Richard E. 1976. Presidential Power: The Politics of Leadership. New York: Wiley. Neustadt, Richard E. 1990. Presidential Power and the Modern Presidency: The Politics of Leadership from Roosevelt to Reagan. New York: Free Press. Nichols, David K. 1994. The Myth of the Modern Presidency. University Park: Pennsylvania University Press. Polsby, Nelson and Aaron Wildausky. 2000. Presidential Elections. Tenth Edition. New York: Chatham House. Rossiter, Clinton. 1961. The Federalist Papers. New York: Mentor. Sabato, Larry. 2008. The Sixth Year Itch: The Rise and Fall of the George W. Bush Presidency. New York: Longman. Websites POTUS: President of the United States This site provides election results and information on past presidents and candidates for the presidency. Audio and visual materials, speeches, and transcripts are also accessible. Center for the Study of the Presidency & Congress The Center for the Study of the Presidency & Congress (CSPC) is a non-partisan, non-profit organization founded in 1965. The site provides a plethora of information on past successes and failures of the presidency and the ramifications for the future. Presidential leadership and institutional aspects are presented as well.

The White House This is the official website for the office of the President of the United States. This provides information about the office of the president, vice-president, and cabinet officials. This provides access to White House releases and the president’s schedule. CNN 2020 Election This website contains coverage of the 2020 presidential election. FOX New 2020 Election This website contains coverage of the 2020 presidential election.

Chapter 11 BUREAUCRACY: REDESIGNING GOVERNMENT FOR THE TWENTY-FIRST CENTURY FOCUS QUESTIONS Q1

What is bureaucracy, and what role does it play in government?

A bureaucracy is a hierarchical organization in which offices have specified missions and employees are assigned responsibilities based on merit, knowledge, and experience. The agencies comprising the federal bureaucracy have specific duties, termed “missions,” and hire individuals who are assigned specific tasks. The bureaucracy is often termed the “Fourth Branch” of government. While federal agencies serve Congress, the courts, and the president, their ultimate responsibility is to provide for the needs of the people.

How have the size and role of the federal bureaucracy changed over the course of American political history?

Initially, the national bureaucracy consisted of three departments: War, State, and Treasury, plus the Attorney General and Post Office. The role of the bureaucracy changed during the later portion of the nineteenth century to simultaneously promote improvements to infrastructure and regulate economic activity. With the advent of the Progressive Movement in the early twentieth century, the bureaucracy, and the federal government in general, was used to enact social reforms. The largest increase in the scope and size of the federal bureaucracy occurred as a result of the Great Depression. Given the high unemployment rates, bank failures, and home and farm foreclosures, FDR’s New Deal Programs used the federal bureaucracy to sponsor programs to stimulate the economy. Because of the terrorist attacks on 9/11, the Department of Homeland Security was added to the federal bureaucracy in 2002. Since its founding, the civilian workforce of the federal bureaucracy has expanded from 2,000 to 2,800,000 or an expansion of 140,000%.

What should the government do to foster economic growth in the United States?

By the late nineteenth century, industrialization increasingly led to the aggrandizement of wealth in fewer hands and a slowdown in economic growth. The development of corporate trusts and monopolies, particularly in banking, railroads, steel, and oil, were undermining the efficiency of the market economy in terms of both production and distribution, and thus increasing unemployment and poverty. To maintain the foundation of a market economy, demand grew for government regulations. Congress turned to a new type of bureaucratic entity: Economic regulatory agencies, such as the Interstate Commerce Commission (ICC), chartered in 1887 to regulate the railroads in order to prevent them charging exceedingly high prices for farmers attempting to get

their produce to market. Congress would later create other institutions, such as the Federal Reserve Board, to regulate the money supply as means to reduce the business cycle in an effort to decrease unemployment and reduce high interest rates to stimulate economic growth. Q4

Why is the federal bureaucracy less flexible, dynamic, and innovative than most large corporate bureaucracies?

The federal bureaucracy should not be compared to a private corporation for a number of reasons. First, the goals of the various agencies tend to be influenced more by political considerations than by profit-maximization. Second, because Cabinet Secretaries are political appointees and serve in this capacity for an average of 2.5 years and are appointed by an elected, term-limited president, it is difficult to compare them to a CEO or CFO who is hired to “manage” persons to a predetermined goal. Within the federal bureaucracy, the “boss” is always changing based upon the will of the voters. Furthermore, political constraints and contextual goals limit the efficiency and effectiveness of the agencies. Another reason for the difference is that agencies and those civil servants tend to hide behind rules instead of looking for innovation. This is the antithesis of a large corporation who must constantly monitor changing public trends to sell a product. Finally, the successes of specific policies are hard to determine given the extended amount of time needed to measure the effectiveness of social and economic reforms.

How do the president, Congress, and courts exercise control over the bureaucracy?

The president appoints Cabinet secretaries and agency commissioners with the approval of the Senate. While the president presides over the federal bureaucracy and can remove officials and rearrange the agencies, Congress, specifically the House, appropriates funding and has legislative oversight over the 15 cabinet departments, public corporations, regulatory agencies and commissions. Also, Congress and the Government Accounting Office often conduct performance revues to determine the effectiveness of the agencies’ policies. The administrative courts often are called upon to decide disputed between parties who have been adversely affected by a specific policy or claim entitlement.

CHAPTER OUTLINE: BUREACRACY I.

What Is a Bureaucracy? This federal bureaucracy is accountable to Congress, the courts and the president. This has led to a struggle for influence over the bureaucracy. Critics of the modern bureaucracy believe it is too large, too powerful, too formal, and too rigid. In the wake of 9/11, Hurricane Katrina, and a burgeoning federal budget, many scholars have questioned the appropriate size, scope, and role of the federal bureaucracy.

II.

A bureaucracy is a hierarchical organization in which offices have specific missions and employees are assigned specific responsibilities based on merit, knowledge, and experience. 1. Initially, federal government employees were awarded political jobs and contracts based upon partisanship or party politics rather than merit or expertise. This is known as patronage. a. This practice became less prominent in the later part of the nineteenth century. b. The assassination of president James Garfield on July 2, 1881 by Charles Guiteau, a disgruntled political supporter who felt slighted because he was not given a consul position in Paris, led to reforms in government hiring practices. 1) In 1883, Congress passed the Pendleton Act establishing a civil service system whereby rules were established governing the hiring, advancement, pay, and discipline of civilian employees. 2) In turn, the federal government attempted to limit the role of patronage in government hiring practices 2. The principles of employee skills and bureaucratic tasks were correlated with standardized pay scales with the passage of the Classification Act in 1923. 3. In 1949 Congress applied these standard pay scales to all civilian federal job positions whereby employees were classified into 18 government service rankings (GC1-GS 18) that standardized pay scales for each employee based upon rank. Recent presidential candidates have campaigned on reforming the federal bureaucracy. 1. Clinton-Gore sought to “Reinvent Government.” 2. George Bush exempted certain employees from the constraints and protections of the civil service system. Also, Bush pushed to eliminate certain departments in favor of outsourcing the duties to the private sector. In turn, the challenge to the bureaucracy and scholars of public administration is how to balance efficiency and fairness with political responsiveness and accountability.

The Growth of the American Bureaucracy The number of federal employees has steadily increased. In 1801, there were 2,290 federal employees. Currently, there are 2.7 million federal workers. Yet, this number accounts for a smaller proportion of the national workforce than in the 1950s. A. The Initial Establishment 1. The first Congress established three cabinet positions—the Departments of War, State and Treasury—each headed by a secretary and in charge of providing basic services of defense, foreign relations, justice, mail, currency, and finance. 2. Through the Jefferson administration the size of the government remained small, primarily due to Jefferson’s anti-bureaucratic nature.

With the election of Andrew Jackson in 1828, government jobs were largely dispersed, based upon patronage and partisanship instead of merit and performance: “To the Winner Goes the Spoils [of war]”! Government as Promoter of Economic Activity 1. In 1861, there were 36,000 employees of the federal bureaucracy. President Abraham Lincoln used the federal government to promote economic growth and opportunity. a. The Department of Agriculture was created in 1862. b. Lincoln used the federal government to sponsor land grant colleges, build railroads, subsidize industrial development, and provided cheap land in the growing Midwestern territories. 2. At the end of the nineteenth century, the various Republican administrations augmented the federal workforce to employ 250,000 individuals. 3. Yet, the emergence of national corporations, trusts, and monopolies during this period provided the impetus for the emerging Progressive Movement in national politics. Government Regulation in Economic Activity 1. As industrialization began to create monopolies over everyday goods such as sugar, cooking oil, and flour, citizens began to call for the government to intervene in the economy. a. Congress responded by creating the first regulatory agency 1) The Interstate Commerce Commission (ICC) was established in 1887 to develop, implement, and adjudicate “fair” and “reasonable” freight rates for railroads. 2) However, the railroad owners soon dominated this agency and used it to serve the industry rather than for the intended regulatory purposes. b. Once established, government regulatory agencies became more numerous. 1) The Federal Reserve Board was formed in 1913 in charge of regulating monetary policy and overseeing the nation’s banking system. 2) The Consumer Product Safety Commission monitored the quality and safety of consumer goods. 2. In the twentieth century, independent regulatory agencies became commonplace in order to regulate specific economic and social sectors and were staffed by non-partisan experts. Government as Distributor of Wealth and Opportunity 1. The Great Depression prompted many Americans to alter their preconceived beliefs that government should not attempt to redistribute wealth. Given the bank failures, high unemployment, farm foreclosures, and business bankruptcies, the newly elected president, Franklin Roosevelt, expanded the use of the federal bureaucracy to establish:

III.

The Social Security administration mandating governmental retirement programs. b. The Federal Deposit Insurance Corporation guaranteeing bank deposits. 2. President Lyndon Johnson expanded the role of the bureaucracy with his extension of social programs under the Great Society initiatives. These included: a. Medicare and Medicaid providing health benefits to the poor and elderly. b. The establishment of the Department of Health, Education, and Welfare, the Departments of Housing and Urban Renewal, and the Department of Transportation. 3. The election of Ronald Reagan changed the ascension of the bureaucracy in redistributing wealth and providing benefits. Reagan viewed the federal government as overbearing and the bureaucracy “fraught with waste, fraud, and abuse.” a. Reagan assembled his Cabinet to represent this ideological view: 1) James Watt was appointed to head the Department of the Interior. 2) David Stockman was in charge of slashing the federal budget at the Office of Management and Budget. b. Bill Clinton campaigned on reforming the federal bureaucracy, and government in general, to make it more responsive to the people. Yet, unlike his Democratic predecessors, Clinton believed a smaller bureaucracy would be more reactive and efficient; in turn, he streamlined many bureaucratic procedures and systems. c. President Bush expanded the federal bureaucracy by creating The Department of Homeland Security as a response to the terrorist attacks on September 11, 2001. Who Are the Bureaucrats? 1. Bureaucrats are permanent employees of the federal government who are hired to perform specific tasks. 2. The leaders of the various federal agencies are appointed by the president but the vast majority of these bureaucrats make working for the federal government a career. 3. There are a total of 4.2 million federal workers. a. The federal government employs 2.7 civilians b. There are about 1.5 military personnel. 4. The 50 state governments employ about 5 million people 5. Furthermore, the various local governments and municipalities employ 13.7 million individuals. 6. Consequently, 1 in 6 adults in the United States work for government.

The Structure of the National Bureaucracy The modern federal bureaucracy is structured in 15 separate, multilayered hierarchies with the president able to replace, alter, or otherwise rearrange the personnel working

within these departments. The federal bureaucracy is complex and large with employees performing a wide array of services. A. Cabinet Departments 1. Cabinet-level departments developed in three waves. a. The first wave of cabinet departments was implemented to serve necessary basic government tasks (Attorney General, Secretaries of War and State). b. The second wave served clientele groups (Agriculture, Veterans Affairs, and Labor). c. The final wave added five more that were characteristic of social and service departments (Transportation, Energy, Homeland Security). 2. The president appoints department secretaries who must be confirmed by the Senate, but the president may fire them at will. 3. However, the staff is hired and fired as any other employee in the private sector (albeit they must pass the civil service examination). B. Regulatory Commissions and Agencies 1. Regulatory Commissions are headed by bipartisan boards charged with developing, implementing, and adjudicating policy in their areas of responsibility. 2. There are 12 independent regulatory commissions. 3. The boards are bipartisan and the commissioners are appointed for extended, overlapping terms. a. However, they can be dismissed for “inefficiency, neglect of duty, or malfeasance.” b. The commissions monitor things like interest rates, determine product safety, and regulate the airwaves. 4. In theory, regulatory agencies are designed to be highly specialized with technically proficient employees who are experts in the field. However, there are political considerations when staffing the agencies. C. Government Corporations, Boards, and Commissions 1. Congress has also created institutions to accomplish specialized task per the recommendations from various constituencies. 2. Advisory boards and commissions allow more people access to government. 3. Also, public corporations are able to borrow money, which allows these institutions to act in a more independent manner because they are less reliant on Congressional funding. IV.

Policy Implementation and Its Pitfalls In the nineteenth century, the spoils system or an arrangement based on patronage was prominent between 1830 and 1880 in which strong political parties struggled for control of Congress and the presidency with the winner taking the bureaucracy and its jobs as a prize. With the advent of the Progressive Movement the federal bureaucracy favored management to politics because programs could be implemented more efficiently to an

effective end. Thus, policy-making should be characterized as non-partisan, professional and scientific. This is the goal. However, it is difficult to separate policy from politics. A. The Process of Policy Implementation The Administrative Procedures Act (APA) of 1946 remains the single most important attempt by Congress to define the nature and process of bureaucratic decisionmaking. Through this legislation, Congress sought to establish processes and standards for rational bureaucratic rule-making and administrative adjudication that would suppress political considerations. 1. Rule-Making a. The bureaucracy establishes the criteria for how services and benefits will be administered. This is characteristic of bureaucratic rule making authority or a process of defining rules or standards that apply uniformly to classes of individuals, events, or activities. b. This process allows administrators to deliberate the merits of the policy initiative to an end of providing a standard that is both fair and effective. c. However, in the Supreme Court case of S.E.C. v. Cheney (1947), the Court realized that informed discretion of an agency was necessary to make and apply rules. 2. Administrative adjudication a. When there is a dispute between parties and agencies, administrative law judges (ALJs) hold hearings to resolve the problem. 1) Administrative adjudication is guided by procedures designed to allow resolution of complex issues based on the application of specific facts rather than general rules. 2) ALJs are courts of law guided by procedures and do follow due process rules. 3) Often, their rulings establish new policies. Consequently, the courts have a quasi-legislative function. b. In 2016, administrative law judges reviewed 86,000 cases dealing with Medicare services. As decided, the claimants won 50 percent of the cases. Subsequently, administrative adjudication is quite common. B. Policy Design and the Limitations on Implementation Implementation is the processes of making a program or policy actually work day-today in the real world. However, implementing these programs has proven difficult because agencies often have conflicting goals, turf battles between rival agencies occur and it takes many years to determine if the specific policy is “successful.” 1. Politics and Program Requirements a. While policy initiatives are designed to serve a desired end or achieve specific goals, political concerns often intervene. b. As James Q. Wilson’s research demonstrates, secondary goals and political constraints have a substantial effect on how policies are implemented. 1) Administrators tend to limit risk at the expense of innovation and creativity.

2) Also, managers focus more on process rather than outcome. Imprecise and Contradictory Goals a. Agencies serve many different masters who have diverse goals. b. Sometimes agencies are given tasks that are inconsistent and make implementation difficult and expensive. Fragmentation and Faulty Coordination Responsibility for creating and monitoring federal programs is fragmented among numerous agencies, sub-committees and committees in Congress, which often negatively affects its implementation. Imprecise Measure of Success Because it is likely to take many years to judge the effectiveness of any public policy, it is difficult to assess the success or failure of the initiative. Furthermore, this time frame makes identifying causation very difficult. Proxy administration The federal government establishes rule and procedures but may not actually implement the programs. In fact, state and local governments act as “proxies” for the federal agencies administer many programs. Hence, problems with coordination and accountability arise. This is one explanation for the poor response by every level of government to the destruction left by Hurricane Katrina in 2005.

Bureaucratic Autonomy and Accountability With the growth of the federal bureaucracy’s influence in almost every facet of society, federal agencies must be held accountable and be subordinate to the people. Yet, to be effective, agencies and federal organizations must have autonomy in order to accomplish their goals. Thus, scholars of public administration point to the delicate balance between bureaucratic accountability and agency autonomy. A. Sources of Bureaucratic Autonomy 1. There are two sources of bureaucratic autonomy a. Internal sources of influence arise from the nature or character of the agency 1) Expertise including the education and technical experience of those employed in the agency. 2) The organization of the agency determines how tasks are assigned, the focus of the plan and how best to implement the policy. b. External sources include: 1) Constituency influences challenging the autonomy of the agency. These include the members of the “iron triangle” including Congressional committees, agency representatives, and special interest groups. 2) Environmental factors prompting the need for the initiatives. 3) Financial considerations including funding for the policy’s successful implementation. B. Controlling the Bureaucracy

Bureaucratic agencies are accountable to the president, Congress, and the courts. Ultimately, bureaucratic agencies are accountable to the people. 1. Executive Control The president oversees the bureaucracy by his power of appointment, altering administrative procedures, reorganizing departments, using the OMB to centralize decision-making over personnel, programs, and budgeting. 2. Congressional control a. Congress is responsible for funding the agencies and overseeing their actions. b. The literature identifies two approaches to Congressional oversight: 1) Police patrol is characterized by committees conducting “spot” performance reviews. 2) Fire alarm oversight occurs when Congress reviews proposed regulations prior to implementation. c. Congressional committees rely upon specialized agencies to assist them in oversight duties: 1) Congressional Budget Office (CBO) 2) Government Accountability Office (GAO) 3) Congressional Research Services (CRS) 3. Judicial control Courts enforce legal constraints upon the bureaucracy through court orders, assessment of awards or damages, and establishing standards. 4. Citizen participation and oversight a. The Administrative Procedures Act of 1946 mandates citizens are provided access and opportunities to participate and monitor agency programs. b. As a result of citizen involvement and watchdog groups, advisory committees have been instrumental in passing the 1973 Sunshine Laws and the 1966 Freedom of Information Act providing greater public participation in agency rule making. c. Federal agencies have also attempted to facilitate citizen input into departmental policymaking and other undertakings through the construction of thousands of Internet sites that host outreach efforts through blogs, Facebook pages, YouTube channels, and Twitter feeds.

LECTURE SUGGESTIONS Institutional Focus: The fiscal year 2019 Budget Request for the Federal Government (source: https://www.gpo.gov/fdsys/pkg/BUDGET-2019-BUD/pdf/BUDGET-2019-BUD.pdf) I.

The Budget Process A. The process for passing the federal budget is complicated and involves a great deal of debate, bargaining and compromise. B. The process may be broken down in four stages:

1. 2.

II.

The president submits the budget to Congress by the first Monday in February. Congress begins reviewing the budget proposal. a. The budget is separated into 11 appropriations bills b. The House and Senate Budget Committees formulate the budget resolutions, usually in early May. c. Both chambers vote on the budget resolutions in mid to late May. d. In June, the budget conference committee reconciles differences in the bills. e. Floor votes on the reconciled resolutions. f. In July, the proposed budget is sent to the various committees based upon jurisdiction. 1) House and Senate Authorization Committees (budget reconciliation) 2) House and Senate Appropriations Committee (budget allocations) g. House and Senate authorizing committees refer recommendations to House and Senate Budget Committees. h. Reconciled bills (authorization and appropriations) go to a floor vote in both the House and Senate. The floor votes on the 11 bills separately. i. Budget reconciliation (authorization) conference committee is formed. j. Budget appropriation (budget allocations) conference committee is formed. k. Both chambers vote on appropriation bills from the different conference committees in September. l. The president may sign or veto the 11 appropriation bills m. The budget-reconciliation conference committee (Authorization) submits a final bill (the budget that will be presented to the president) for floor votes in both chambers. n. The approved bill (final budget) is presented to the president for approval or veto. The various agencies, federal departments and the appropriate laws are reviewed by the General Accounting Office (GAO) and Congressional Budget Office (CBO). Audits of agency spending are conducted by the Congressional Budget Office (CBO).

The 2019 Budget Request A. Funding for Cabinet Departments 1. Agriculture 2. Commerce 3. Defense 4. Education 5. Energy 6. Health and Human Services 7. Homeland Security

19.0B 9.9B 597.1B 59.9B 29.2B 69.5B 46.0B

III.

8. Housing and Urban Development 39.2B 9. Interior 11.2B 10. Justice 28.0B 11. Labor 9.4B 12. State with international assistance 28.3B 13. Transportation 15.6B 14. Treasury 12.3B 15. Veterans Affairs 83.1B Other agencies 1. Corporation for National and Community Service 1.15B 2. Environmental Protection Agency 5.4B 3. Army Corps of Engineers 4.8B 4. Aeronautics and Space Administration 5. National Intelligence classified 6. Social Security Administration 8.8B Totals 1. Receipts 3.4T 2. Outlays 4.4T 3. Deficit 9.84B

Conclusion It is important to note that the fiscal year for the annual budget begins on October 1 and ends September 30. In the early summer, the president is mandated to send any revisions (such as emergency spending) to Congress prior to the House and Senate Appropriation Committees’ final vote on the 11 separate appropriations bills. As is evident by the amount of money involved and the complex process, formulating the annual budget is vital to the country’s interest and constitutes one of the most important votes any member of Congress casts.

PROJECTS, EXERCISES, AND ACTIVITIES 1.

As a group exercise, divide the students into 15 groups with each group representing a single federal agency. Next, have the students access the website. Research the agency’s mission, staffing, and personnel, the structure, budget, culture, and relevant policy issues implemented in the past four years. If possible, compare and contrast the agencies activity under the direction of two different cabinet secretaries or U.S. presidents. Also, be certain to identify the Congressional committees that hold congressional oversight and what duties they serve. Finally, has the agency been effective or is it in need of reform? Why or why not?

Access the website for the publication Cities at Risk: Catastrophe, Recovery and Renewal in New York and New Orleans, published by the (formerly) Milano New School for Management and Public Policy at

http://static1.squarespace.com/static/53ee4f0be4b015b9c3690d84/t/5415a2c0e4b0d14 e82398bd7/1410704064887/CitiesatRisk_Report.pdf. As an individual, class, or group project investigate the various recommendations of the authors for rebuilding New Orleans in the aftermath of Hurricane Katrina. What propositions seem financially feasible? What is the role of the various levels of government (local, state and federal) and the bureaucratic agencies according to the readings? What preventive measures can and should be taken to improve government response, with special attention given to the Department of Homeland Security, FEMA, and various state agencies to assure this bureaucratic debacle is not repeated. 3.

Give your students a monthly budget that falls below or near the official poverty level for a family of four. Ask your students to create a realistic budget for a month. They should choose actual apartments, grocery stores and transportation options available in their communities. Once students have composed their budget, charge them with identifying public assistance options available to their mock family. They should collect forms, place calls, and provide the most accurate picture possible of what benefits are available and how those benefits are dispersed. After students report their results, engage the entire class in a discussion of the merits, drawbacks, and oversights of the state and federal bureaucracy.

ADDITIONAL RESOURCES Supplemental Readings Downs, Anthony. 1967. Inside Bureaucracy. Boston: Little, Brown. Goodsell, Charles T. 2003. The Case for Bureaucracy: A Public Administration Polemic. Fourth Edition. Washington, DC: CQ Press .Johnston, Ronald L. and Gary Libecap. 1994. The Federal Civil Service System and the Problem of Bureaucracy. Chicago: University of Chicago Press. Halperin, Morton H. 1974. Bureaucratic Politics and Foreign Policy. Washington, DC: CQ Press. Howard, Philip K. 1994. The Death of Common Sense. New York: Random House. Kettl, Donald F and James W. Fesler. 2005. The Politics of the Administrative Process. Third Edition. Washington, DC: CQ Press. Khademian, Anne. 2002. Working with Culture: The Way the Job Gets Done in Public Programs. Washington, DC: CQ Press. Meier, Kenneth. 2000. Politics and Bureaucracy: Policymaking in the Fourth Branch of

Government. Fourth Edition. Fort Worth: Harcourt Brace. Osborne, David and Peter Plastrik. 1997. Banishing Bureaucracy: The Five Strategies for Reinventing Government. Reading, MA: Addison-Wesley. Riley, Dennis D. 1987. Controlling the Federal Bureaucracy. Philadelphia: Temple University Press. Wilson, James Q. 1989. Bureaucracy: What Government Agencies Do and Why They Do It. New York: Basic Books. Websites CBO This link is the website for the Congressional Budget Office that provides objective and nonpartisan analyses to aid in economic and budgetary decisions. This is a great site to access for questions regarding the federal budget. USA.gov The site provides links to various federal, state and local agencies. It is a good reference site to pass on to students interested in working for the federal government. National Archives This website is sponsored by NARA, an independent federal agency in charge of filing and providing federal records, historical documents, speeches, and government photos. The public may access this information per the Freedom of Information Act of 1966. The White House The official website for the White House, which provides information concerning the various departments, agencies, commissions, and government corporations that are within the vastness of the executive branch. OMB This is the site for the Office of Management and Budget which sets budget priorities and provides legislative clearance for the federal budget. It is good to utilize this site in juxtaposition to the CBO for executive-legislative relations analysis relative to the federal government. It contains access to videos, live streams, and a blog where announcements, speeches, and analyses are contained to provide numerous points of information for both yourself and your students relative to bureaucratic politics. GAO This is the main Web page for the Congress’ Government Accountability Office, which conducts investigations that assist the Congress in conducting oversight on federal agencies. It contains

videos of congressional committee oversight hearings across the panoply of executive and judicial bureaucratic topics. U.S. Government Watchdog Agencies This website contains a list of U.S. Government watchdog agencies prepared by the Washington and Lee University Library in Lexington, Virginia. Committee for a Responsible Federal Budget The Committee for a Responsible Federal Budget is a bipartisan, non-profit organization committed to educating the public about issues that have significant fiscal policy impact.

Chapter 12 THE FEDERAL COURTS: ACTIVISM VERSUS RESTRAINT FOCUS QUESTIONS Q1

What are the main differences between the civil code tradition and the common law tradition?

Common law is based upon the previous rulings of judges while civil law is the collection of clear statutes that lay out key legal principles and commands in plain language that citizens can understand and obey. The job of the civil law judge is to apply these codes to legal problems. However, in the common law tradition, judges base their rulings upon the facts of the case and use legal precedents or past rulings to dispose of current court cases. Following stare decisis, which means “let the decision stand,” the legal system is arguably more stable due to the continuity precedent provides.

How did the theory and practice of judicial review arise in the United States?

While judicial review is not enumerated in the U.S. Constitution, Alexander Hamilton suggests that the role of the new national court should include the power of intermediary between the people and the legislature to ensure the power of the latter did not become too great. The theoretical underpinning of a judiciary with the power of reason to determine the constitutionality of Congressional acts was put into practice under the leadership of John Marshall in 1803. In the Supreme Court case of Marbury v. Madison, Chief Justice John Marshall invalidated portions of the Judiciary Act of 1789, and in doing so, defined the power of the Court as an institution that would determine the constitutionality of Congressional acts. In effect, Marshall’s opinion declared it was the role of the Court “to say what the law is.”

What is the place of the Supreme Court in the judicial system of the United States?

Article III, section 1, of the Constitution enumerated the establishment of the Supreme Court. Yet, the structure of inferior courts is left to the discretion of Congress. The federal court system is designed in a hierarchical fashion. At the bottom are the district courts, then the courts of appeal. The Supreme Court is the superior court and has the power over “all Cases, in law and equity, arising under this Constitution, the Laws of the United States, and Treaties made, or which shall be made under their Authority.” The Supreme Court has both original and appellate jurisdictions. Some 99 percent of those cases heard by the Court are through the appeals process. The Court is not compelled to hear cases, as are

lower courts. Most cases reach the Court through a writ of certiorari. Four Justices must agree to hear the case. After hearing arguments from both sides, the Justices meet in conference to decide the merits of the arguments in correlation with the Constitution. In addition, within conference, the Justices determine who will write the opinions. Traditionally, the most senior Justice writes the majority, minority, unanimous, concurring or dissenting opinion. However, this depends upon the particular Court and Chief Justice (for example, William Howard Taft assigned opinions based upon the Justices’ knowledge and expertise). The majority opinion is known as the opinion of the Court and may reverse or affirm a lower court’s ruling. In addition, the Court may remand the case to the lower court, with suggestions, for further consideration. Q4

How have the climate and tone surrounding the process of nomination and confirmation to judicial posts changed since the mid-1950s?

In general, nominations and confirmations of judicial appointees have become more contentious because of ideological polarization among members of Congress. As the Supreme Court is a powerful political institution, public policy is furthered or defeated through the rulings of the Court. Interest groups including the American Bar Association (ABA) and the Justice Department have been very influential in the nomination and confirmation process. The ABA accumulates a large amount of information on the nominees and ranks them. Interest groups who have a political interest in a nominee’s success or failure in the confirmation process try to influence the member of the Judiciary Committee through demonstrations, lobbying, or letter campaigns in order to persuade the members to oppose or support a specific nominee. As a result, demographic characteristics have also evolved during this time with a significant increase in minorities and women among judicial appointees.

Is judicial activism necessary because some issues are just too difficult for the political branches of the government to confront?

The Warren Court has been identified as the most activist Supreme Court. However, scholars have suggested certain Justices in the Burger and Rehnquist Courts have also been “guilty” of activism albeit to uphold property rights and advance state rights issues. The danger of judicial activism is the propensity of unelected judges to place their own opinions and preferences in the place of democratically elected legislators. Yet, it is often difficult to ascertain what motivates or influences individual Justices’ opinions. Interestingly, legal scholars, including Keith Whittington, Cornell Clayton, Howard Gillman, and Lawrence Baum, point to the relationships among the three branches of government whereby the Court protects the legitimacy of institutions and popularly elected officials from unpopular decisions while also ruling to please a particular audience or constituency.

CHAPTER OUTLINE: THE FEDERAL COURTS I.

The Federal Courts The power of courts in the United States has increased remarkably since the inception of the present system of government in 1789. Comparatively, American courts and judges are more powerful than their counterparts in other countries primarily due to our adherence to a written Constitution, which is the foundation of U.S. democracy. Law is defined as authoritative rules enacted by government and enforced by the community. The hierarchy of U.S. law is based upon the source from which it flows. The Constitution represents the most fundamental law in the United States. Next, legislation or codified laws are subordinate to the laws of the Constitution. Finally, executive orders (decrees) and rules enacted by regulatory agencies are subordinate to the Constitution. Courts provide a venue for disagreements between parties to be resolved civilly without a digression into a state of nature.

II.

The Common Law Origins of the American Legal System Two legal systems have influenced American adjudication: The civil code tradition of ancient Rome and the common law tradition found in the English legal system. A. The civil code is the legal tradition that envisions a complete and fully articulated legal system based on clear statutes which lay out legal principles and commands in plain language that citizens can understand and obey. 1. This type of legal system originated in the Roman Empire. 2. In the fourth century, the Roman Emperor Justinian established a detailed set of laws known as Justinian’s Code. 3. This legal code formed the basis for ecclesiastical law of the Roman Catholic Church. 4. The civil code also influenced the Napoleonic Code that may be seen in the legal systems of France, Thailand, Cambodia, Spain, Germany, and Egypt. B. The legal system of the United States is based upon common law or judge made law developed over time as judges consider particular legal disputes and then future judges cite earlier decisions in resolving similar issues. 1. The common law tradition involves an incremental accumulation of court decisions that determines precedent or judicial decisions that serve as a guide for deciding later cases of a similar nature. Consequently, the principle of stare decisis, meaning “let the decision stand” is the practice of using precedents to decide similar cases. 2. While judges decide court cases based upon precedent, the power of American courts is largely undefined in the U.S. Constitution. Yet, the basis of American jurisprudence can be seen in the common law tradition of England and the early colonial courts.

b. c.

III.

The common law tradition developed over an extended period of time and preserves the rights of individuals against government power. Common law refers to the proclamation made by the king’s judges that were germane to the entire country. The role of the courts to establish acts of Parliament (in America, the Legislature) “null, void or unenforceable” is known as judicial review. The role of the courts to determine the rightness or wrongness of an action or behavior substantially decreased the power of the monarch. The impetus for judicial review is identified with Bonhams’ Case in 1610, in which Sir Edmund Coke, Chief Justice of the King’s Bench, declared the King “could not adjudicate any case.”

The Criminal Law and the Civil Law A. Criminal law prohibits certain actions and assigns penalties for those who engage in prohibited activities. 1. Murder, rape, and burglary are examples of actions violating criminal law. 2. In these aforementioned situations, the government (state) accuses (charges) the individual (accused/defendant) of violating the agreed upon rules (laws) of the community (polis). In turn, violations of criminal law result in fines (including court ordered restitution), imprisonment, or death (in 38 states in America). B. Civil law deals with interactions between individuals or organizations. 1. Examples include contractual disputes, marriage, and family law and buying and selling property. 2. Violations of civil law often result in monetary recompense. C. The text provides a good illustration of the differences between civil and criminal law via the OJ Simpson saga in the middle 1990s. 1. Simpson was acquitted (found not guilty) of criminal charges (two counts of murder brought by the state of California) because a jury of his “peers” determined the prosecution (lawyers for the state of California) did not provide evidence proving “beyond a reasonable doubt” (the legal threshold for a guilty verdict [decision]) that he murdered his wife, Nicole, and Ronald Goldman. 2. However, after being found not guilty of two counts of first-degree murder, Simpson was charged and convicted of “wrongful death” in a civil trial brought by the families of Ron Goldman and Nicole Simpson. The threshold for a guilty verdict in civil cases is much lower than criminal cases. The penalty imposed on Simpson was monetarily based upon damages incurred that were to be paid to the families of the deceased, Nicole and Ron. Incidentally, OJ Simpson has not paid the families!

IV.

Cases and the Law A. The American legal system is set in motion when two parties are in disagreement. The court acts as the governmental institution in charge of determining the outcome of the dispute. There are four conditions for a case: 1. The Adversary Process a. There are two sides to the dispute b. Both parties have standing or eligibility to come before a court based upon actual harm. 2. Justiciability means that an issue or dispute is appropriate for or subject to judicial resolution. 3. Ripeness addresses questions of timeliness (statute of limitations) and intent (was a party harmed in any way or is there an imminent threat posed to the party or the public based upon the charges brought forward). Consequently, did this action constitute a violation of the law? 4. Disposition: Can the court resolve or otherwise rectify the differences between the parties and dispose of the issue.

The Birth of the American Legal System In Article III of the U.S. Constitution the federal judiciary is established with the following statement: “The judicial powers of the United States, shall be vested in one Supreme Court, and in such inferior courts as the Congress from time to time ordain and establish.” Hence, the judicial power is enumerated to the Supreme Court; however, the structure of the federal court system was left to the discretion of Congress. It is important to note that the exact powers and design is not mentioned in the governing document. Yet, the powers of a federal judiciary were explained, albeit theoretically, in Federalist Papers 78-83 (see Lecture Suggestion, Theoretical Focus below). Writing as Publius, Hamilton believed “the courts would act as an intermediate body between the people and the legislature to keep the latter in limits assigned to their authority.” The creation of the federal court system incorporated all three branches of government. The president appointed Justices, the Senate confirmed the appointees, and Congress gave the authority and structure to the “inferior” (lower) federal courts. Nonetheless, it took an active judiciary to define its role and powers in the New Republic. A. The Judiciary Act of 1789 and the Early Courts 1. The Judiciary Act of 1789 established the structure and basis for the federal court system. Enacted by the First Congress, the Act: a. Designed the Supreme Court to include six Justices. 1) Two Justices were to sit on one of three circuit courts. 2) Circuits represented geographic areas and held appellate jurisdiction. b. Created a two-tiered federal court system.

Section 25 of the act allowed federal courts to review state decisions and legislation for compatibility with federal statutes. d. Established district courts. Each state would have at least one district court, which was essentially a trial court with federal jurisdiction. The Marshall Court, 1801-1835 1. The Federalist, John Marshall, served as Chief Justice for 34 years. 2. An ardent nationalist, Marshall was responsible for determining the Court’s role and powers in national government through the decision in Marbury v. Madison (1803) thereby establishing the role of the Court as determining the constitutionality of congressional acts. This case established SCOTUS’s power of judicial review. 3. The Marshal Court established an expansive interpretation of national supremacy in McCulloch v. Maryland (1819) upholding the “necessary and proper” clause (Article I, section 8, of the U.S. Constitution). In turn, state law is subordinate to federal law per Article VI of the U.S. Constitution. Judicial Review 1. Judicial review a. Judicial review is the power of any federal court to hold any law or official act based on law to be unenforceable because it is in conflict with the Constitution. b. This power is used sparingly, but provides a check on the actions of Congress and the president. 2. Judicial Review of Congressional Legislation a. The Supreme Court has only determined (“struck down”) 177 acts of Congress as unconstitutional. b. The vast majority of these rulings have come after 1960. 3. Judicial Review of State Legislation a. James Madison believed the federal courts were necessary to “review” state laws before they were to take effect. Known as the “universal negative,” this idea was rejected by the delegates to the Constitutional Convention of 1787. b. Yet, the Supreme Court has declared almost 1,300 state laws unconstitutional since 1790. With the rise of New Federalism in the 1970s and 1980s, the Supreme Court has been more reluctant to overturn state laws. However, SCOTUS’s respect for States’ Rights depends upon the issue in dispute. 4. Judicial Review of Lower Court Actions a. About 66 percent of those cases reviewed by the Supreme Court involve invalidating the rulings of lower federal courts (district courts, appellate courts). b. In turn, SCOTUS uses its power of judicial review in discretionary cases quite frequently.

VI.

The Supreme Court and the Evolution of Individual Rights With the appointment of Roger Taney as Chief Justice, after John Marshall’s death in 1835, the focus of the Supreme Court changed from an institution promoting property rights to one advancing the broader concerns of the community (except for the Dred Scott decision in 1857). After the Civil War, the Republican-controlled Congress and a series of Republican presidents radically changed the structure of the federal court system (Justices did not ride circuits, numerous federal judges appointed were politically motivated to support high tariffs and back “hard currency”) and advocated laissez-faire economic policies. In the 1905 Lochner case, the Supreme Court determined the right to contract was implicit in the due process clause of the Fourteenth Amendment to the U.S. Constitution. However, the Great Depression and FDR’s appointment of New Deal Democrats to the Court in the 1930s began to change the nature and role of the Court to take a more active role in regulating the economy. The advent of the Warren Court in the mid1950s and the Burger Court of the 1970s shifted the Court’s focus to address issues of individual rights and civil liberties. Yet, the pendulum seems to be swinging back to favor a Court whose focus in on protecting property rights and limiting individual freedoms given SCOTUS rulings upholding Congress’s partial birth abortion ban, freedom of speech issues, and rulings against mandating integration in public schools under the leadership of Chief Justice John Roberts. A. The Taney Court and States’ Rights 1. The Taney Court ushered in a new era for the Supreme Court. a. Less emphasis was placed on advancing property rights and federal supremacy. b. Under Chief Justice Taney, SCOTUS advanced the rights of the community. 2. In the 1837 decision, Charles River Bridge v. Warren Bridge, the Court limited the expansive property rights precedents decided in the Marshall Court. SCOTUS concluded that any ambiguity within a contract (in this case a lack of protection for a monopoly) should be interpreted to benefit the public interest, asserting the legality of competitors to build a bridge that would provide for the needs of the community. 3. However, the Taney Court is better known for its ruling in the 1857 case, Dred Scott v. Sandford, determining blacks could not be citizens and slaves were property even if they fled to free territories or states that passed laws making slavery illegal. This ruling was the final nail in over 57,000 coffins as any attempt to halt an inevitable civil war among the “free” Northern states and the agrarian Southern states was unlikely. B. Laissez-faire and Property Rights 1. The post-Civil War Reconstruction era reinvigorated rights of corporate property and national supremacy.

The Supreme Court followed suit by declaring that most governmental intervention in the economy violated substantial due process per the newly ratified Fourteenth Amendment. In the 1886 case, Santa Clara County v. Southern Pacific Railroad, the Supreme Court ruled that the word “persons” in the Fourteenth Amendment applied to corporations, as well as, individuals. 3. Throughout the rest of the nineteenth century and into the early twentieth century, the Supreme Court strengthened property rights while abandoning any protections for individual rights, which freed black slaves desperately needed. Nine Old Men and the Switch in Time 1. When Franklin Roosevelt was elected president in 1932, Republican appointees dominated the Supreme Court (The Four Horseman of the Apocalypse: Butler, Van Devanter, Sutherland, McReynolds). These Justices upheld property rights and bitterly opposed government involvement in economic issues. 2. In 1935, SCOTUS struck down the cornerstone of Roosevelt’s New Deal Programs, The National Industrial Recovery Act and the Agricultural Assistance Act. 3. In retribution for their opposition, Roosevelt threatened to change the composition of the Court to include Justices that were more “compliant.” This was FDR’s Court packing plan. This did not come to fruition as the Court ruled it unconstitutional. 4. After 1937, the Court rarely intervened (struck down) in cases of federal economic regulation. Wickard v. Filburn (1942) extended Article I, section 8: The Commerce Clause, allowing the federal government to regulate those economic activities within a state (intrastate commerce) if they have a substantive impact on interstate commerce. This extended the federal government’s commerce power. The Expansion of Individual Rights and Liberties 1. The Court under Earl Warren began an activist phase in the Court’s history. Individual rights were expanded in the areas of criminal law, free speech, civil rights, and due process. 2. Warren Burger replaced Earl Warren in 1969. Southern democrats and republicans thought that this conservative jurist would overturn several of the Warren Court cases. This did not happen. In fact, in some areas of law, like criminal law, rights were expanded. Modern Judicial Conservatism Ascendant 1. Increasingly, the Court has been more conservative. Several Warren and Burger era court cases have been modified to be supportive of States’ Rights. An example is the abortion case of Webster v. Reproductive Health Services, which modified Roe v. Wade. 2. In addition, the Rehnquist Court ruling in Bush v. Gore (2000) signified one of the most unusual political circumstances in American political

history in the Supreme Court played a significant role in determining the winner of the 2000 presidential election. The pendulum seems to be swinging back and forth with a court under the leadership of Chief Justice John Roberts and justices evincing an even ideological split with the outcome of many cases determined by Justice Kennedy’s vote, as the court has focused on protecting property rights and limiting certain individual freedoms. SCOTUS’s rulings have upheld Congress’s partial birth abortion ban, restricted freedom of speech, and ruled against mandating integration in public schools. More recently, the court struck down legislation that limited corporate campaign donations (McCutcheon v. FEC) and gay persons’ rights regarding marriage equality (Obergefeld v. Hodges) and upheld the expansion of healthcare availability to more Americans (King v. Burwell).

VII. The Structure of the Federal Judicial System Article III, section 2, enumerated the structure and powers of the federal judiciary. The federal court system is organized in three layers. The district courts are the trial courts where the majority of federal cases originate. Intermediate or Appeals Courts are in the middle. These courts hear federal criminal and civil cases, cases where the U.S. government is a party, and civil cases involving citizens of different states. Finally, the Supreme Court is the superior court. Moreover, federal judges are appointed by the president and confirmed by the Senate. The judges have life tenure; yet may be impeached and removed from office if their actions are deemed to be improper or illegal. A. The Lower Federal Courts The lower courts of the federal system are the 94 U.S. District Courts and 13 Appellate Courts. 1. District Courts There are 94 district courts with at least one in each state, the District of Columbia and American territories. One judge decides most cases, but a panel of three judges reviews some cases. There are 674 federal court judges including 300 retired judges who continue to hear cases. In 2006, these courts decided 260,000 civil cases and 69,000 criminal cases. 2. Special Courts Special courts include the U.S. Tax Court, the Court of Military Appeals, Administrative courts, The U.S. Court of Veteran Appeals and bankruptcy courts. Each court has legislative judges, bankruptcy judges and magistrate judges who assist in pretrial motions and decide minor civil and criminal cases. B. Courts of Appeals 1. As stated earlier, originally Courts of Appeals were comprised of 2 judges and one Supreme Court Justice. This was known as riding ©2021 Taylor & Francis

circuits. This organization was changed in 1891 primarily to decrease the influence of the Southern Democrats who dominated 5 circuits. Consequently, the Southern circuits were reduced to 3. 2. Currently, there are 13 Appellate Courts (12 circuits and 1 appeals court for the federal circuit that hears specific: tax, patent, and international trade cases) to review disputed cases from the district courts. These courts heard approximately 50,506 cases in 2016. 3. Every court of appeals has 6 to 28 judgeships (with the Ninth Circuit being the largest) producing a total of 179 federal appellate judges. Normally, cases are decided by a three-judge panel, however in important cases judges sit “en banc” with all members participating. 4. Appeals are made based strictly upon rulings made and procedures followed in trial courts. Judges on the appellate courts correct errors in district court proceedings. There are no jurors, witnesses or crossexaminations. The proceedings involve judges and lawyers. Appeals are based upon the rulings made and procedures followed. No new facts are admitted into evidence. Thus, when judges interpret laws they modify existing laws; in turn, judges decide and make public policy. Finally, appellate judges establish a great deal of precedent for subsequent court cases. The U.S. Supreme Court 1. The U.S. Supreme Court is the highest court in the American judicial system. 2. In 2016, 6,305 parties petitioned the Supreme Court for review. The Supreme Court decided 61 cases. 3. The Court has both original and appellate jurisdictions. a. Original jurisdiction of the Supreme Court as enumerated in Article III, section 2, of the Constitution. Original jurisdiction extends to cases affecting Ambassadors, between American citizens and foreign states or individuals, controversies between 2 states, in cases where the United States is a party and disputes between citizens of two different states. b. Appellate jurisdiction derives from the Court’s responsibility to review the decisions appealed from the lower courts. 4. The vast majority of cases come by way of a writ of certiorari (“cert” requests) or a formal request that the Court review a case. 5. The Court also has complete discretion over its docket through the Rule of Four in which four justices must decide to accept the case. 6. The Supreme Court convenes its annual term beginning the first Monday in October and ends its term in May. a. Arguments are heard Monday through Wednesday; with justices meeting in conference Thursday and occasionally Friday. b. Each case receives one hour for oral arguments, which gives lawyers for both sides the opportunity to present legal arguments

before the Court (30 minutes each) with the Justices often interrupting to ask questions. Prior to oral arguments, the Justices read legal briefs or written arguments prepared by lawyers in a case outlining their view of the relevant law and the decision that should be rendered based on the law. Cases accepted to be reviewed attract attention from other interested parties. These parties often prepare Amicus Curiae briefs or arguments filed with the court by parties interested in a case but not directly involved in it as a contending party. Amicus curiae is a Latin term meaning, “friend of the court.” The Supreme Court’s written decision is called an opinion. 1) Different strategies and motivations influence the decision of the Court (see Suggested Lectures, Behavioral Focus below). 2) Majority Opinions constitute the decision of the Court. 3) The Justices are also free to express disagreement in Dissenting Opinions or accept the ruling of the Court but disagree with the Majority Opinion and write a Concurring Opinion. 4) After deliberations, The Supreme Court can: (a) Affirm or agree to uphold the lower court’s decision. (b) Reverse or overturn the decision of the lower court. (c) Remand or send the case back to the lower court for further consideration.

VIII. Judicial Nomination and Appointment Federal judges are nominated by the president and confirmed by the Senate. Once confirmed, judges hold their position for life “during good behavior.” However, they can be impeached and convicted as any other public officer. A. Backgrounds of Members of the Federal Judiciary Nominees have been overwhelmingly white and male. Successful Justices have had extensive experience in legal matters with the vast majority previously working within the federal legal system or other legal professions. B. The Nomination Process 1. District court judgeships are subject to senatorial courtesy or the expectation that the president will affirm federal district court judgeship appointments with senators of his party from the state in which the judge will serve. 2. Nominees are evaluated by the American Bar Association (ABA) as well as the Justice Department. 3. After the president nominates the candidates, the ABA ranks them. C. The Confirmation Process

3. 4. 5. 6.

IX.

Next, nominees are questioned by the Senate Judiciary Committee. This is known as the confirmation hearing in which nominees for federal judicial positions appear before the Senate Judiciary Committee to respond to questions from the members. The committee can either recommend or vote to oppose the nomination. a. Confirmation hearings can be intense affairs. 1) Nominees are careful not to expose ideological preferences. 2) Senators often suggest preferred policy positions or issues that may come before the Court to “test” the nominee and expose his or her biases. b. The candidate may be questioned for several days. If approved by the committee, it goes to a floor vote. 37 of the 162 Supreme Court nominees have not been confirmed. Since 1900, only 6 of 66 nominations have failed. In general, Senators take their voting cues from the recommendation of those on the Senate Judiciary Committee and vote according to the nominee’s qualifications. Yet, there are certain Senators who vote based upon ideological preferences. In addition, the demographic characteristics of the federal judiciary have changed dramatically in recent decades with a significant increase in minorities and women appointees.

The Disputed Role of the Federal Judiciary A. Limits on Judicial Activism The courts lack access to both the purse of the Legislative branch and the sword of the Executive. There are many limits upon the judiciary from other institutions and through public opinion. 1. Presidential Influence Changing the makeup of the courts is a successful limitation. Presidents can also refuse to enforce decisions of the courts. a. Andrew Jackson did not enforce the protection of Indian tribes in 1832. b. Dwight Eisenhower did not support the Court after the 1954 Brown v. Board of Education decision in which the Supreme Court declared the racial segregation of public schools unconstitutional. 2. Legislative Reaction and Court Curbing a. The legislature controls the budgets, the number of federal judges, their salaries, and the appellate jurisdiction, and it can propose constitutional amendments. b. It also has the power to create and abolish federal courts. However, Congress cannot abolish the Supreme Court! 3. Public Sentiment

The Supreme Court is the most popular branch of the federal government with a 78 percent job approval rating based upon several public opinion polls. In general, the Court’s decisions represent public sentiment. Occasionally, the Court rules contrary to public opinion as in the 1989 case, Texas v. Johnson, which dealt with the constitutionality of flag burning. While the public overwhelmingly opposes this action, the Supreme Court has consistently ruled it is a protected form of political speech. Yet, as Robert McCloskey asserts, the Supreme Court has seldom, if ever flatly and for very long resisted an unmistakable wave of public sentiment. It is, after all, a political institution.

Judicial Reform Today A. Politicization of the Judicial Nomination Process With divided government, political considerations overrode merit considerations for selecting judges. B. Life-Time Judicial Tenure Lifetime tenure for federal judges does not assure their independence from social and political pressure. C. Low Judicial Salaries I has become increasingly difficult in attracting top legal scholars and lawyers when salaries are much higher in the private sector.

LECTURE SUGGESTIONS Behavioral Focus: Approaches to Studying Judicial Behavior I.

Introduction There are various approaches to studying the role of the American courts. A. Inherent to academia, competing paradigms have set out to explain judicial behavior. B. American jurisprudence has been strengthened by the role political science has played in addressing the role ideological differences, institutional design, historical events, and political actors influence judicial behavior.

II.

Approaches to Understanding Judicial Behavior A. Legal Model (Classical Reasoning Model): 1. The legal model relies on precedent and fixed rules for adjudication. 2. The classical reasoning model states court rulings should be based upon objective facts, legal precedents and decided by an impartial jury or judge. 3. Judges should follow a formula when deciding any case:

a. b.

Rules of law (R) + precedent (P) = decision (D) This is known as mechanical jurisprudence whereby court cases are decided in an objective manner promoting clear precedents and following standardized rules. Consequently, judges must consider precedents in deciding future cases. 4. The Legal Model is characterized by established rules and procedures: a. Objectivity in judges’ decisions. b. Legal restraint: Judges should not attempt to make policy. c. Precedent dictates the outcome of similar cases. Legal Realism: 1. Legal realism is the antithesis of the Legal Model: Turns the Legal Model “on its head.” 2. Legal realists recognize informal norms (non-trial negotiations), psychological predispositions of legal actors, sociological factors (nonlegal arguments allowed in testimony) and “contested” truths affect court proceedings and the dispensation of trials in the United States. 3. In this tradition, law is relative to a specific court case. a. Justice becomes subjective to the needs of society or parties involved in the particular case. b. Legal precedents are subordinate to the concerns of the litigants and beliefs and values of the judges. 4. The conclusion (decision) drives what facts and procedures will be allowed in the course of the trial. 5. Thus, the formula may be seen as: a. Decision = facts + rules of law + precedent 1) Stare decisis is downplayed or ignored. 2) The outcome determines the procedures and rules. 6. Legal realism may be characterized by: a. Judicial subjectivity b. Judicial activism: Courts are active in policy-making. c. Idiosyncratic reasons determining judicial rulings. Critical Legal Studies (an offshoot of Legal realism) 1. The legacy of legal realism may be attributed to the advent of European post-modernist theory, critical theory, deconstructionist philosophy, post-Marxist politics and the social movements of the 1960s and 1970s. These counter-culture movements provided an opportunity for political liberals and radicals to address economic and social inequalities within the law. Subsequently, the critical legal studies (CLS) movement originated at a meeting at the University of Wisconsin-Madison in 1977. 2. CLS set out to use the law “as a tool to overturn the hierarchical structure of domination” which is inherent to the power relationships in a capitalistic society (https://www.law.cornell.edu/wex/critical_legal_theory). 3. Proponents of CLS:

View the law as perpetuating the current system that is based upon power relationships and dominated by males. b. Therefore, the legal system is inherently unfair and biased to elites. c. Subsequently, one should not look for justice in the current legal structure as these power relationships are perpetuated through laws schools, which indoctrinate law students to further these oppressive and biased procedures and beliefs. d. So, proponents of CLS suggest changing the legal system (through various strategies) to make it more responsive to everyone. The Attitudinal Model 1. The Attitudinal Model is developed from the tradition of legal realism. 2. Attitudinalists take into account the psychological, sociological, and ideological policy preferences of the judges when deciding cases. 3. In turn, judges are political actors who interject political ideology into decisions: Judicial activism! These subjective decisions are influenced by: a. Ideology b. Public opinion c. Political Socialization 4. Leading proponents of the Attitudinal Model are Harold Spaeth and Jeffrey Segal who have developed the Supreme Court Attitudinal Model (SCAM) to predict how a judge will “vote” on a given case. a. SCAM uses ordinal measurements to compile aggregate votes of each justice, based upon ideological constructs (liberal and conservative), to determine if they applied their personal policy preferences when deciding court cases. b. SCAM has successfully predicted 74 percent of the Supreme Court decisions since the late 1970s. The Strategic Model 1. The Strategic Model extends the Legal Realist’s argument that public opinion, institutional legitimacy, and the aspirations of justices as political actors must be considered to accurately study the behaviors of Supreme Court justices. 2. The Strategic Model advocates judicial behavior is largely subjective. 3. In turn, judges may be appealing to audiences or constituency when ruling on a case. 4. Judges may act to legitimize the role and power of the institution through their rulings. 5. Judges use the facts of a case to further a desirable end, position themselves for future legal battles; therefore, they may not “vote” according to their ideal preference, but make compromises when deciding cases. Historical Institutionalism

II.

Historical institutionalists emphasize the role political regimes, as well as the organizations and political actors who comprise the governing institutions, play in the legal system. Institutional approaches allow one to escape the metaphorical black box applied to the procedures and interactions of the Supreme Court to explore to what extent historical events, other branches of government, and political parties affect judicial behavior. Legal scholars and political scientists have examined the interrelation of the three branches of government and their effect on the role and disposition of cases by the Supreme Court. So, to understand judicial behavior, specifically the behavior of Supreme Court Justices, one must consider: a. Historical or external events. b. Relations with other institutions (Congress, president, bureaucracy, polity) c. Judges are political actors who bring ideology into their decisions. d. The role the Constitution, federalism, separation of powers, political actors (e.g. the Solicitor General) and the general character of the regime must be considered when exploring what cases are accepted by the Supreme Court and how these cases are decided.

Implications for Further Scholarship on Judicial Behavior A. Empirical and qualitative research methodologies exploring the similarities and differences between courts in America and other countries will only strengthen scholarship on judicial behavior and the judiciary. B. Thus, comparative approaches to studying courts have become more prominent in academic journals.

Theoretical Focus: Federalist #78 I.

Introduction A. In Federalist Papers # 78-83, Publius deals with three facets of the proposed Judicial Branch: 1. The mode of appointing federal judges. 2. The tenure by which they “hold their places” (office). 3. The partition of the judicial authority among different courts and the other branches of the national government. B. Hamilton is careful not to address the life-tenure of federal judges along with the mode of appointment because it suggests that the judiciary may be seen as anti-republican. Why? 1. The people do not elect members of the judiciary 2. The president (executive) appoints members (and the executive is indirectly elected by the people via the electoral college)

3. Senators are elected via the state legislature(s) and are also indirectly elected. Therefore, Hamilton is careful not to “flood” the debate with aristocratic characteristics so to attempt to persuade those won’t listen (the AntiFederalists). So, what is the duty of the judicial branch and how do we control an “independent” and “un-elected” judiciary?

II.

Mode of Appointment Referring to Federalist Papers #76-77, Alexander Hamilton states that appointing federal judges should be considered the same as other appointed federal officials: A. Executive nomination B. Senate confirmation C. Hamilton proposes the same process for the judges who will comprise the federal judiciary.

III.

Tenure: Life Terms A. The tenure of federal judges should hold their offices during “good behavior” etc. and if not, they can be impeached and tried for their “high crimes and misdemeanors.” B. Publius then has to counter the anti-Federalist concern that an un-elected, life-tenure national judiciary will not compose a tyrannical element or not succumb to despotism. C. Hamilton believes the duration of life terms ensures impartiality because the judiciary does not control the purse (money) or the sword (military). The judiciary “is the least dangerous branch.” The anti-Federalist believed a federal judiciary would threaten the sovereignty of the state courts.

IV.

Judicial Review A. Publius never mentions “judicial review.” In fact, Hamilton refers to Federalist #22 by quelling fears that the judiciary will not be active in foreign policy issues. B. Moreover, he points to the lack of judicial power as a shortcoming of the Articles: “Crowns the defects of the [Articles of] Confederation.” C. Hamilton expounds the need for the judiciary to declare acts of the legislature “void when they conflict with the Constitution” because if there is no final arbitrator then “we must affirm (grant) that the deputy (Legislative Branch) is greater than his principle (the Constitution).” 1. Thus, the rule of law is paramount and the role of the national judiciary is to decide this i.e. judicial review! 2. Consequently, the judicial branch power (will) is to determine what law is and it provides a check on the constitutionality of the other two branches. 3. In turn, reason is the power of the judiciary branch according to Hamilton.

4. Consequently, men of reason are to make judgments, what he calls “moral imperatives.

PROJECTS, EXERCISES, AND ACTIVITIES 1.

Research concerning administrative courts is minimal. If possible, have students research administrative law judges and their role in deciding cases concerning bureaucratic policies. Moreover, how do these judges and the decisions actually formulate public policy? In your opinion, is this a proper function of courts? What problems does this pose to a democracy based upon a written Constitution? Does this violate the separation of powers? Why or why not?

Have a federal prosecutor or judge speak to the class and discuss the legal environment and duties he or she performs. Specifically, does the academic literature capture the reality of the American judicial system? In addition, how do political actors and non-political actors (law enforcement) influence court decisions?

Have the students sit in on an actual court case at a local courthouse, state court or federal district court. Have them observe the interaction between the parties and report their findings to the class. http://www.restorativejuveniledetention.org/uploads/1/0/6/5/106502445/minne sota_restorative_justice_initiative.pdf 4.

Ask students to review the pdf document of the Minnesota Restorative Justice Initiative: A Model Experience program (http://www.restorativejuveniledetention.org/uploads/1/0/6/5/106502445/minn esota_restorative_justice_initiative.pdf). Once they have summarized the key points of the restorative justice system, pose additional questions: a. b. c.

What are the merits and drawbacks of restorative justice? Could this model be implemented in federal cases? If so, how? If not, why not? Consider a prominent court case in your local area, describe how restorative justice might work in this scenario.

Organize a class debate on the topic of the Supreme Court and partisanship regarding its court decisions. a.

Divide the class in half and assign one half to argue in support of the contention that the court is partisan in its decisions and the other half to argue in support of the contention that that the court is not partisan in its decisions.

Give the class two weeks to do their research before the scheduled debate. Invite other faculty members and/or local legal experts (judges, attorneys) to serve as judges as to which side presents the best argument for its position.

In 1991, President George H. W. Bush nominated Clarence Thomas for the Supreme Court. Although contentious hearings were held by the Senate Judiciary Committee, Thomas was confirmed by the full-house of the Senate. Twenty-seven years later, the Senate Judiciary Committee again held contentious hearings on Brett Kavanaugh, who was nominated by President Donald Trump for the Supreme Court. And, he, too, was confirmed by the full-house of the Senate. Ask the students to do research into the nature of the hearings of Thomas and Kavanaugh: • •

What were the similarities and differences in the issues regarding the two nominees brought up by the hearings? Compare and contrast the political context under which the hearings were held.

ADDITIONAL RESOURCES Supplemental Readings Baum, Lawrence. 2006. Judges and Their Audiences: A Perspective on Judicial Behavior. Princeton: Princeton University Press. Clayton, Cornell W. and Howard Gillman (eds.). 1999. Supreme Court Decision-Making: New Institutionalist Approaches. Chicago: University of Chicago Press. Ely, John Hart. 1980. Democracy and Distrust. Cambridge, MA: Harvard University Press. Epp, Charles R. 1998. The Rights Revolution: Lawyers, Activists, and Supreme Courts in Comparative Perspective. Chicago: University of Chicago Press. Fowler, Michael Ross. 1998. With Justice For All? The Nature of the American Legal System. Englewood Cliffs: Prentice Hall. Gillman, Howard and Cornell Clayton (eds.). 1999. The Supreme Court in American Politics. Lawrence: University Press of Kansas. Hall, Kermit. 1992. The Oxford Companion to the Supreme Court of the United States. New York: Oxford Press.

Hammond, Thomas H., Chris W. Bonneau, and Reginald S. Sheehan. 2005. Strategic Behavior and Policy Choice on the U.S. Supreme Court. Stanford: Stanford University Press. Hansford, Thomas G. and James F. Spriggs II. 2006. The Politics of Precedent on the U.S. Supreme Court. Princeton: Princeton University Press. Hirschl, Ran. 2004. Towards Juristocracy: The Origins and Consequences of the New Constitutionalism. Cambridge, MA: Harvard University Press. Kahn, Ronald and Ken I. Kersch (eds). 2006. The Supreme Court and American Political Development. Lawrence: University Press of Kansas. McCloskey, Robert G., and Sanford Levinson. 2016. The American Supreme Court, Sixth Edition. Chicago: University of Chicago Press. Maveety, Nancy. 2001. Pioneers of Judicial Behavior. Ann Arbor: University of Michigan Press. O’Brien, David M. 1999. Storm Center: The Supreme Court and American Politics. Fifth Edition. New York: Norton. Rabkin, Jeremy. 1989. Judicial Compulsions. New York: Basic Books. Rehnquist, William. 1998. All the Laws But One. New York: Vintage Books. Rosenberg, Gerald N. 1995. The Hollow Hope: Can Courts Bring about Social Change? Chicago: University of Chicago Press. Russell, Peter H. 2005. Recognizing Aboriginal Title: The Mabo Case and Indigenous Resistance to English-Settler Colonialism. Toronto: University of Toronto Press. Schwartz, Bernard. 1993. A History of the Supreme Court. New York: Oxford University Press. Skocpol, Theda. 1995. “Why I Am an Historical Institutionalist.” Polity 28: 103-106. Segal, Jeffrey A and Harold J. Spaeth. 1993. The Supreme Court and the Attitudinal Model. New York: Cambridge University Press. Smith, Rogers. 1988. “Political Jurisprudence, the New Institutionalism and the Frontier of Public Law.” American Political Science Review 82: 89-108. Stumpf, Harry P. 1998. American Judicial Politics. Englewood Cliffs: Prentice Hall. ©2021 Taylor & Francis

Tuschnet, Mark V. 2001. Thurgood Marshall: His Speeches, Writings, Arguments, Opinions, and Reminiscences. Chicago: Lawrence Hill Books. Websites Common Law This site offers publications addressing legal history, philosophy, and theory. Writings from prominent legal scholars are also featured. Cornell Law This website is a great source for information on Supreme Court cases. Federal Judicial Center This website is sponsored by the Federal Judicial Center. U.S. Courts This site provides information on the structure of the federal court system, current judges, and Supreme Court justices and is a good source for any questions regarding American jurisprudence. This site also provides access to videos covering various topics related to the federal judiciary, like constitutional interpretation, international law, and retrospectives on seminal justices as well as Supreme Court cases. U.S. Supreme Court This site is the main Web page for the U.S. Supreme Court containing its docket, briefs, arguments, judicial calendar, general information, decisions, and a photo gallery. It is a good general reference and one you want to highlight to students doing background research on the Court PBS Supreme Court Series This site provides access to a series of videos from a PBS program on the Supreme Court that discusses the evolution of the court from the 1930s through the present day. It is an excellent set of narratives with which to discuss the employment of judicial review in the context of judicial philosophy as well as in the specific instances of seminal cases.

Chapter 13 CIVIL LIBERTIES: ORDERED LIBERTIES IN AMERICA FOCUS QUESTIONS Q1

How do civil liberties differ from civil rights?

Civil liberties and civil rights are mutually compatible but simultaneously adversarial. Civil liberties are those areas of social life that Americans believe should be free from government intrusion. These include freedom of speech, press, and religion. Civil rights are those areas of social life, such as the right to vote and the right to be free from racial discrimination that Americans believe government should actively defend. At times, civil liberties are at odds with civil rights. For example, the government may adhere to affirmative action programs that attempt to further equality by favoring racial minorities to the disadvantage of another group; in turn, limiting the freedom of an employer to hire whom he or she wishes. On occasion, civil rights legislation impedes civil liberties.

Do our commitments to free speech and a free press conflict with our sense that flag burning should be prohibited or that pornography should be regulated?

Free speech is vital to the success of the United States. The First Amendment protecting the freedom of speech, press, and assembly allows Americans to express political opinions and associate with others without the fear of government reprisal. Yet, the courts have occasionally limited these freedoms to promote the greater good. The Supreme Court is reluctant to suppress speech and applies strict scrutiny when doing so. Consequently, the Court has ruled there must be an imminent, clear and present danger resulting from the speech for it to be unprotected. However, sometimes a speech-related activity, such as flag burning, of which a vast majority of the public finds objectionable, is protected because of the larger constitutional issue of free speech involved. While many Americans deplore the burning of the American flag as a form of political protest, the Supreme Court has ruled that it is protected political speech because to suppress this action may lead to further infringements on speech (the slippery slope argument). The Court has ruled that obscenity is not protected speech because it has no literary, artistic, or political value, and it only appeals to prurient interests. Nonetheless, what is obscene is largely in the eye of the beholder.

Does our commitment to separation of church and state mean that no trace of religious sentiment or symbolism should emanate from government?

Our Constitution is explicit that government shall make no law respecting an establishment of religion. In turn, Americans believe in the separation of church and state. Even so, there are sharp disagreements as to what degree religion and government

should be separated. One position is for strict separation in which the government plays no role in religion and religion plays no role in government. Another view asserts government may not favor one religion over another but that government may provide general support to all religions. A third position proposes that government should actively promote religion to buttress traditional moral values; though, no one religion should be favored over others. The American public generally favors the second approach to address the relationship between church and state. The Supreme Court has also found that the concept of the separation of church and state does not preclude all accommodations between government and religion. Specifically, the Court has established the Lemon test that any support must be secular (nondenominational) in purpose, cannot advance or impede religion, and must not involve “excessive entanglements” of the state with religion. For the vast majority of Americans, this has been an acceptable standard; yet, atheists view the confluence of government and religion as establishing religion, which violates the First Amendment “establishment clause.” Q4

Should someone accused of a serious crime go free if police commit a procedural error during the investigation or during the arrest and questioning?

In the American legal system, there is a presumption of innocence when one is charged with violating a law. In turn, the Bill of Rights provides Constitutional protections for individuals charged of a crime. These include the Fourth Amendment protecting persons from unreasonable search and seizure. The Fifth Amendment requires indictment by grand jury for the prosecution of a person accused of a crime, prohibits the government from trying a person twice for the same offense, protects the right of silence, prohibits the government from taking life, liberty, or property without due process and declares that private property may not be taken without just compensation. The Sixth Amendment mandates an individual receive a speedy and public jury trial for crimes; protects right to have legal counsel for defense; protects the right to be informed of accusation, to confront witnesses. The Seventh Amendment protects the right to a jury trial in civil cases involving more than twenty dollars. The Eighth Amendment prohibits the government from setting excessive bail or fines and inflicting cruel and unusual punishment. In turn, to guarantee these freedoms, procedures are designed for law enforcement to follow in order to obtain evidence within the Constitutional limits. The courts have declared that evidence obtained illegally is not admissible under the exclusionary rule. In Gideon, the Supreme Court established the right to counsel for individuals accused of crimes in state courts via the Fourteenth Amendment. It can be argued that acquittal based upon technicalities resulting from procedural errors during questioning or throughout the investigation is the exception and not the rule. Yet, there is obvious frustration when these events occur. Once again, the Bill of Rights provides due process to all Americans, which serves the greater good. Occasionally, mistakes will occur and this provides an opportunity to improve upon investigation techniques.

If we value civil liberties so highly, why do we keep so many people in prison?

The United States has the highest incarceration rate in the world and places 1 in every 50 Americans in some element of the correctional system. This is somewhat of a paradox for a society so committed to individual liberties. However, American political culture tends to promote law and order with an “eye-for-an-eye” mentality toward crime and punishment. This is part of the larger dilemma of liberty versus order that stands as a persistent part of the American character lying just below the surface of many perennial U.S. political debates.

CHAPTER OUTLINE: CIVIL LIBERTIES, CIVIL RIGHTS, AND MAJORITY RULE One of the greatest legacies of post-World War II world governance is the United Nations’ passage of the Universal Declaration of Human Rights in 1948. This document signifies the intent of governments to promote individual freedom and provide security that are fundamental to the survival of every human being. Thus, human rights or the fundamental rights to freedom and security that belong to every human being includes freedom of opportunity, religious liberties, freedom of speech, protections against unlawful detention or violence, freedom to associate with others, and freedom of choice. Yet, exactly how to guarantee these civil liberties is an arduous task. In America, we uphold these “truths to be selfevident, that all men are created equal, that they are endowed by their Creator with certain unalienable rights, that among them are Life, Liberty and the pursuit of Happiness.” In effect, a commitment to uphold fundamental human rights, as stated in the Declaration of Independence, provides the foundation for American democracy. The belief in freedom, equality, and security is delineated through civil rights and civil liberties. Civil liberties are those areas of social life Americans believe should be free from government intrusion. These include freedom of speech, press, and religion. Civil rights are those areas of social life, like the right to vote and the right to be free from racial discrimination, which Americans believe government should actively defend. While civil liberties buttress civil rights at one level, at another, they conflict. The challenge becomes how to reconcile, or at least find an acceptable balance, between freedom (liberty) and protection (order). I.

Civil Liberties and the Bill of Rights As the book discussed in Chapter 2, individuals immigrated to North America to seek economic, social, and religious freedoms. Subsequently, early colonial charters and constitutions sought to explicitly define personal liberties. Early examples include the Massachusetts Body of Liberties (1641), the New York Charter of Liberties (1683), and the Pennsylvania Charter of Privileges (1701). Moreover, as England began to take a more active interest in the fortunes the colonies offered the Crown, many colonists believed colonial rule threatened personal liberty and private property. The Intolerable Acts of 1774 confirmed the fear of early Americans that they were subject to arbitrary rule by a monarch. In response to the repressive policies initiated by King George and a majority of the members in Parliament, the colonists began to write new state constitutions to protect individual liberties and limit the power of government. A. The Origin of the Bill of Rights

The inclusion of the Bill of Rights in the Constitution can be credited to the public’s view that government should not infringe upon individual rights. a. There was a group of anti-Federalists who were concerned the new Constitution would constrain religious freedoms and other rights and powers under the state constitutions. b. While Federalists also believed government should be limited and liberties should be protected, they were concerned that enumerating rights may lead to some being excluded and lead to government infringing on these freedoms. This is known as the “reserved powers theory” credited to the Federalist, James Wilson. c. To appease the anti-Federalists and thus ensure ratification of the Constitution, the Federalists promised to produce a Bill of Rights as one of the first orders of business of the new Congress. 2. In 1788, James Madison began to draft amendments to the proposed Constitution based upon the state constitutions and over 200 amendments submitted by the 13 states. 3. Initially, 17 amendments were discussed with the House and Senate deciding to submit 12 amendments to the states for ratification. 4. Two of the 12 did not receive the approval of three-fourths of the state legislatures needed for ratification (incidentally, one of these amendments was finally ratified in 1992 and became the Twenty-seventh Amendment). 5. The first ten amendments to the U.S. Constitution, the Bill of Rights, were ratified and went into effect on December 5, 1791. a. The first eight amendments guarantee individual liberties like speech and religion. b. The Ninth Amendment provides that rights not enumerated were not lost by the people (this appeased Federalists such as James Wilson). c. The Tenth Amendment provides that powers not delegated to the national government were retained by the people or the states. 6. In 1833, the case Barron v. Baltimore held that the Bill of Rights applied to the federal government and not the states. In one of his final rulings as Chief Justice of the Supreme Court, John Marshall held that individuals whose rights were violated by state and local governments had to appeal to state constitutions, judges and juries. Freedom of Expression: Speech and the Press Freedom of expression, including a free press, speech, and the ability to petition public officials and assemble, is vital to the idea of popular government. Consequently, certain activities must be protected to allow a representative democracy to flourish. While the Supreme Court applies a strict standard to determine free speech issues, not all speech is protected. 1. Freedom of Speech a. In the case, Schenck v. United States (1919), the Court upheld the conviction of a socialist who distributed publications stating his opposition to the war. Writing the opinion of the Court, Oliver Wendell

Holmes stated the right to free speech is not absolute. Speech can be limited if the words present a “clear and present danger” (speech inciting violent actions or public disruptions). b. The next case concerning the question of what constitutes protected speech was Gitlow v. New York (1925) in which the defendant was accused of advocating the overthrow of American democracy. 1) The Court accepted the defendant’s incorporation argument that many of the protections in the Bill of Rights, originally meant to apply only against the national government, applied to the states as well once they were “incorporated” into the Fourteenth Amendment’s guarantees of “due process” and “equal protection of the laws.” 2) The Court ruled against the defendant based upon an interpretation of Holmes’ clear and present danger threshold by establishing a test of “bad tendency” that prohibited speech if it might produce social or political turmoil in the future. c. Yet, two years after Gitlow, Justice Holmes, along with Louis Brandeis, argued that the “bad tendency” standard was illegitimate in Whitney v. California (1927). Writing in dissent of the Court’s opinion supporting the state, Brandeis stated that the actions of the defendant did not constitute an “imminent” threat and therefore should be considered protected speech. d. In the 1969 case, Brandenburg v. Ohio, the Court overturned Whitney in favor of the “imminent danger” threshold for limiting speech as proposed by Brandeis forty years previously. e. In the 1989 case, Texas v. Johnson, The Court determined an activity such as flag burning was protected speech. The Court reasoned that speech cannot be suppressed just because society finds the speech or act offensive or disagreeable. 1) This constitutes a rare instance where the Court acts in a countermajoritarian manner given the public’s overwhelming opposition to flag burning as protected speech. 2) The Court established that symbolic speech or speech-related acts, such as picketing or flag burning, are protected under the First Amendment because they convey political opinions and ideas. Unprotected Speech: The Cross Burning and Obscenity Examples a. In the 2003 Supreme Court case, Virginia v. Black, Justice Sandra Day O’Connor, writing for the Court, determined that the traditionally intimidating tactic of burning crosses instilled fear in blacks and was not considered protected speech. b. Another form of unprotected speech is obscenity, or sexually explicit material, either spoken, written or visual, that lacks serious literary, artistic, political, or scientific value.

Originally, the test for obscene material was based upon its corrupting power or the depraved nature of the material. 2) The modern legal standard began in Roth v. United States (1957) but was codified in Miller v. California (1973), in which materials were obscene if an average person, using contemporary community standards, finds that the object, taken as a whole, appeals to prurient interests, depicts or describes sexual conduct in a patently offensive way, and lacks serious literary, artistic, political, or scientific value. 3) Consequently, it is easier to identify obscene materials than it is to provide an acceptable and clear standard to judge what is obscene or not. Thus, substantial disagreements arise as to what constitutes obscenity. Freedom of the Press The power of the press, commonly referred to as the mass media, is its ability to disseminate information to large numbers of people. This begs the question: Does government have a greater responsibility to regulate information based upon the size of the audience? a. No Prior Restraint versus Freedom to Publish 1) There are two views of freedom of the press: (a) Prior restraint or prohibiting dissemination until permission is granted. (b) Almost complete prohibition against prior restraint. 2) In Near v. Minnesota (1931), the Court established an almost complete prohibition against prior restraint by any level of government. 3) The case New York Times v. Sullivan strengthened protection for the press when ruling public officials had to prove either “actual malice” or reckless disregard for the truth” in order to be awarded damages in a libel case. b. Restrictions on Press Freedom: National Security and Fair Trial 1) Freedom of the press has been limited. Two exceptions to the right of freedom of the press involve national security and fair trial issues. (a) The 1973 (New York Times Co v. United States) the Pentagon Papers case involved the publication of illegally obtained documents regarding the Vietnam War. The courts ruled against “prior restraint” much to the chagrin of those in the Nixon administration. (b) The Iraq War spawned numerous requests from the Bush administration for the courts to impose prior restraint due to the sensitive nature of war strategies, surveillance issues, and banking records that must be kept confidential if they are expected to succeed. The media countered these arguments

with its responsibility to inform the public of what their government is doing. In general, the courts are reluctant to invoke prior restraint. 2) The media’s coverage of spectacular court trials has posed a dilemma for the courts: (a) Respect the individual who may be adversely affected by the media coverage because it may interfere with that person receiving a fair trial. (b) Or, allow cameras and the press in the courtroom. (c) However, courts have sided with the First Amendment and have allowed media coverage of court proceedings. Freedom of Religion Religious freedom was the impetus for many early immigrants coming to America. The freedom to practice a chosen religion is of importance to many Americans. Early colonists, as well as a majority of Americans today, adhere to the Judeo-Christian teachings and indicate affiliations to Christian denominations. Subsequently, Christianity has had a tremendous influence on our values, legal system, and approach to governing. Yet, our Constitution is explicit that government shall make no law respecting an establishment of religion. In turn, Americans believe in the separation of church and state. Even so, there are sharp disagreements as to what degree religion and government should be separated. One position is for strict separation in which the government plays no role in religion and religion plays no role in government. Another view asserts government may not favor one religion over another but that government may provide general support to all religions. A third position proposes that government should actively promote religion to buttress traditional moral values; though, no one religion should be favored over others. 1. The Establishment Clause a. The establishment clause of the First Amendment states that “Congress shall make no law respecting an establishment of religion.” b. This clearly indicates that there will be no national religion of the United States. But what is less clear is to what extent government may use tax dollars to support or cooperate with religious organizations. c. The Supreme Court case, Lemon v. Kurtzman (1971) established a test for state support for religion. Known as the Lemon test, any support must be secular (nondenominational) in purpose, cannot advance or impede religion, and must not involve “excessive entanglements” of the state with religion. d. The debate concerning teaching Intelligent Design (ID) in public schools and the public display of religious symbols has provided mixed rulings from federal courts and the Supreme Court, respectively. 1) The federal district court decided against proponents of the Dover, PA, public school board who mandated teaching ID (the belief that nature is not random and therefore a “creator” has intervened in

some capacity) in biology classes instead of evolutionary theory (proposing an incremental development of human beings determined by natural selection). Federal Judge, John E. Jones III, ruled that ID was religion and not science and therefore had no place in public school science courses and constituted a violation of the First Amendment, specifically the establishment clause. 2) In 2005, the Supreme Court ruled in two cases that the placement of religious items determined their constitutionality. (a) In a Kentucky case, the Ten Commandments were hung on two courthouse walls. The Court ruled this unconstitutional because it endorsed one religion. (b) But, the Court determined a monument with the Ten Commandments inscribed on it when placed among other statutes with no religious endorsements was Constitutional because it did not endorse one religion over another. The Free Exercise Clause a. The free exercise clause protects a wide range of religious observances and practices from government (state) interference. b. The First Amendment States Congress may not establish a religion but also may not “prohibit” the “free exercise” of religion. c. While the Supreme Court has upheld the right to believe and assert specific religious principles, it has differentiated actions from beliefs. 1) In Reynolds v. U.S. (1879) it ruled that the Mormon practice of polygamy (plural marriage) was not protected by the Constitution. 2) However, Congress passed the Religious Freedom Restoration Act in 1993, which was struck down by the Supreme Court in 1997 because the legislation was deemed overly protective of religious activity and was outside the role of government. 3) In 1997, President Clinton established guidelines through administrative rules allowing federal workers the right to express and reflect religious views at work. 4) In Burwell v. Hobby Lobby (2014) the Court held that the First Amendment exempted on religious preference grounds for-profit corporations from the contraceptive mandate under Obamacare. 5) Thus, the courts are reluctant to restrict religious practices. Prayer in the Schools a. Separation of church and state has been contested over prayer in public schools. 1) In 1962, the Supreme Court declared that mandatory school prayer was unconstitutional. 2) In 1982, the Supreme Court ruled that a Louisiana statute authorizing daily voluntary prayer was unconstitutional.

II.

In 1994, the Ninth Circuit ruled that high school graduation prayers were unconstitutional even if a majority of students approved them. President Clinton established guidelines for how schools should deal with religious issues, concluding student-initiated religious activities should be subject to the opportunities and limitations as other non-academic social and political activities. In effect, as long as students are not coerced to pray or observe a moment of silence and school officials are not involved, it is permitted. The election of George W. Bush, a self-proclaimed born-again Christian, narrowed the gap between religion and government. 1) Bush included provisions in the “No Child Left Behind Act” of 2001 requiring that schools be open to voluntary religious activity. 2) Furthermore, his funding for NGOs (some of which are affiliated with religious organizations) and support for “faith-based initiatives” have increased funding for services provided in religious settings.

The Rights of Criminal Defendants In the American legal system, there is a presumption of innocence when one is charged with violating a law. In turn, the Bill of Rights provides Constitutional protections for individuals charged of a crime. These include the Fourth Amendment protecting persons from unreasonable search and seizure. The Fifth Amendment requires indictment by grand jury for the prosecution of a person accused of a crime, prohibits the government from trying a person twice for the same offense, protects the right of silence, prohibits the government from taking life, liberty, or property without due process. The Sixth Amendment mandates that individuals receive a speedy and public jury trial for crimes; protects right to have legal counsel for defense; protects the right to be informed of accusation and to confront witnesses. The Seventh Amendment protects the right to a jury trial in civil cases involving more than twenty dollars. The Eighth Amendment prohibits the government from setting excessive bail or fines and inflicting cruel and unusual punishment. A. Searches, Seizures and the Exclusionary Rule 1. The Fourth Amendment guarantees that citizens will not be subject to unreasonable searches and seizures. A search must be authorized by a warrant (usually from a judge) based upon probable cause. a. To assure proper procedures are followed, American courts have enforced the exclusionary rule holding that evidence illegally obtained is not immiscible in trials. 1) This was developed in the case, Weeks v. U.S. (1914) which applied the rule at the federal level. 2) The exclusionary rule applied to the states through the decision in Mapp v. Ohio (1961).

In 1984, the Supreme Court created a “good faith” exception to the exclusionary rule. The Court ruled that if evidence would have been discovered inevitably, the materials are admissible. This is known as an “inevitable discovery” exception. These exceptions have eroded some of the strength of the exclusionary rule. b. Furthermore, the 2005 case, Hudson v. Michigan, extended police powers by loosening the “knock and announce” rule that requires law enforcement to announce their presence and provide reasonable time for the occupants to respond. In this case, the police did not knock and waited only a few seconds before entering the house of the suspect. The Supreme Court ruled the police acting properly and essentially reversed a staple of the common law tradition by dismissing the need for the knock and announce rule. Right to Counsel 1. The Sixth Amendment asserts a person accused of a crime must be provided a speedy and public trial, have the right to legal counsel and be informed of the charges and confront witnesses. 2. The right of criminal defendants in state courts to be provided legal counsel was established in the 1963 case, Gideon v. Wainwright. Gideon was accused of breaking and entering a pool hall in Panama City, FL, and found guilty but was not provided legal counsel after requesting it be provided to him. He appealed the judgment claiming his due process was violated per the Fourteenth Amendment because a lay person could not possibly mount a viable defense given the complexities of the American legal system. Gideon won the case and established precedent forall states to provide public defendants. Self-Incrimination 1. The Fifth Amendment provides that citizens cannot be compelled to testify against themselves. a. The case, Miranda v. Arizona (1966), established that once individuals are taken into custody, they must be informed of their constitutional rights in writing and verbally and that anything said by the accused can be used as evidence in a court of law. b. Recent rulings have extended this decision to include that defendants understand their rights by providing them in a language the defendant understands. 2. Civil libertarians are concerned the rights of accused persons have been disregarded given the Bush administration’s use of secret prisons, denying legal counsel to suspects in the War on Terror, and the instances of torture in Abu Garaib (although technically these are enemy combatants and do not receive Constitutional protection). Cruel and Unusual Punishment 1. The Eighth Amendment prohibits cruel and unusual punishment.

2. 3.

III.

In the 1960s, the NAACP challenged the Constitutionality of the death penalty using the Eighth Amendment as they claimed the death penalty constitutes cruel and unusual punishment because it had been used disproportionately against minorities. b. As a result, the Supreme Court determined the death penalty was unconstitutional in the 1972 case, Furman v. Georgia, because procedures for implementation were often arbitrary. c. In the 1978 case, Gregg v. Georgia, the Supreme Court allowed the state of Georgia to enact the death penalty after it revised the procedures. The Court has upheld the Constitutionality of the death penalty given the federal guidelines now adopted by the 38 states who allow the procedure. The role of the Court since the 1990s has been to determine if the severely mentally challenged or minors may be put to death if found guilty of a capital crime. a. In Atkins v. Virginia (2002), the Court ruled the execution of a severely mentally challenged individual (who had an IQ below 70) violated the Eighth Amendment. b. In the 2005 case, Roper v. Simmons, the Court reversed a prior ruling and determined that individuals who are under the age of 18 could not be executed for crimes committed subsequent to this age.

Civil Liberties, Prisons, and the Death Penalty The United States has a strong commitment to civil liberties but juxtapose against that it also has a strong commitment to the principles of law and order. Thus, the United States has the highest incarceration rate in the world with 458 per 100,000 prisoners. Also, the United States is the fifth highest exerciser of the death penalty, which alternatively has been abandoned by much of the rest of the world with the exception of many dictatorships. The United States has 6.7 million people in its correctional system (1 in every 31 Americans) meaning that 1 in every 18 men or 1 in every 89 women, 1 in every 11 blacks, 1 in every 27 Hispanics, and 1 in every 45 whites is in some aspect of the corrections system. The cost of this system is quite high numbering $47 billion per year for prisons alone. A final interesting note is that while crime, cost, and incarceration rates increased in the 1970s and 1980s, l crime statistics have been on the decline since the 1980s even though costs and incarceration rates have not.

LECTURE SUGGESTIONS Current Events Focus: The Patriot Act; Security versus Liberty I.

The Patriot Act: In the aftermath of the terrorist attacks on September 11, 2001, President George Bush signed into law the USA Patriot Act (aka Patriot Act) on October 26, 2001 and the amended Patriot Act II in 2005 and 2006. The Acts provide the Executive Branch extra

constitutional powers including enhanced surveillance authority, expanding the power of the FBI to monitor personal health, financial, and personal communications and provides intelligence agencies access to financial records in order to track large transfers of money that may be going to terrorist organizations. Furthermore, the Patriot Act seeks to improve communication between federal, state, and local law enforcement agencies to prevent further terrorist attacks. However, political conservatives and liberals alike have criticized the Patriot Act’s expansive powers that sacrifice individual freedoms, which provide the basis for American democracy, for the sake of greater security that is needed to maintain a stable and sovereign society. II.

Two Views of the Patriot Act: A. Security First! Proponents of the Patriot Act point to its effectiveness to protect the United States from future attacks. Although rarely used, the so-called “public safety exemption” has been a necessary tool in preempting immediate terrorist acts against public safety. Even opponents cannot dispute the fact that we have not been attacked since its inception. In that time, U.S. intelligence agencies and law enforcement have cooperated with international agencies from a number of other countries to disrupt, capture or kill terrorist cells. In short, there is every indication that the aforementioned provisions in the Patriot Act have worked to protect our country. B. What About Freedom? Opponents of the Patriot Act identify the expanded authority given to the president but are more concerned with its larger effect on the expanded secrecy provided to unelected (appointed) officials, specifically the Attorney General and Secretary of Homeland Security. In turn, opponents point to the Act’s intrusion on the separation of powers, given the shift from legislative superiority to executive prerogative. Moreover, the Patriot Act establishes military tribunals that may try “enemy combatants” without Constitutional protections including the right to be represented by legal counsel.

III.

The Legacy of the Patriot Act (2001) and Patriot Act II (2005) A. Changes in the Appointment of Federal Judgeships Previously, under the federal code (Title 28, section 546), if a district U.S. attorney vacancy occurred, it would be filled with a temporary appointee chosen by the Attorney general for a maximum of 120 days. After 120 days if no appointment was made, the law prior to the Patriot Act gave the power to appoint an interim U.S. attorney to the federal district court, whose appointee would serve until the president finally got his own nominee confirmed. However, the judiciary does not have the constitutional authority to appoint Executive officers. The Executive who nominates and the Senate who confirms the nominee share this role. In turn, if any entity of the federal judiciary were to appoint a federal judge there would be no check on that appointment per the Constitution. The Patriot Act “remedied this anomaly” by eliminating both the role of the district courts and the 120-day limit on the Attorney General's interim appointments. The interim appointee can now serve

until the Senate finally confirms the president's nominee. (Source: McCarthy, “The Pot Calling the Kettle ‘Interim’,” National Review Online, January 17, 2007). B. However, the House and Senate (by a 94-2 majority) determined this provision in the Patriot Act would likely produce “permanent temporary appointees” and therefore invalidated this provision of the Patriot Act (Sarasohn, David, “POWERS SURGE A Government that Gets a New Power Will Use It,” The Oregonian, March 28, 2007). C. Violates the Fourth Amendment Critics point to expansive powers given to law enforcement through "sneak and peek" provisions that permits law enforcement agencies to “perform a search but delay notification for a period of up to three months,” which violates the Fourth Amendment protection against unreasonable search and seizures. (Source: Stravelli, Gloria, “Panel Discusses Pros and Cons of Patriot Act: Federal Law has had Major Impact on Local Law Enforcement,” Atlanticville, October 3, 2003). D. The Court has ruled section 213 of the Patriot Act does not provide a blank check for law enforcement or any other government entity to demand information and obtain personal financial records without a court order (Source: https://www.justice.gov/archive/ll/subs/add_myths.htm#:~:text=In%20all%20cases%2C%20sec tion%20213,order%2C%20in%20extremely%20narrow%20circumstances). E. Further scrutiny of the Patriot Act and its security authorizations and possible misuses by intelligence organizations occurred in 2013 when Edward Snowden released secret documents that the National Security Agency compiled detailing the scope of domestic and international surveillance the agency had conducted for its foreign counterintelligence purposes. Institutional Focus: The Bill of Rights I.

Introduction The Bill of Right includes the first ten Amendments to the U.S. Constitution plus the Civil War Amendments, specifically, the Thirteenth, Fourteenth, and Fifteenth Amendments. An easy way to remember what comprises the Bill of Rights is to categorize them by purpose.

II.

The Original Bill of Rights A. Freedom of Expression is protected by way of the First Amendment, prohibiting the government from establishing a religion; protects freedom of religious expression, freedom of speech and press, the right of assembly, and the right to petition the government. B. Amendments addressing Arms and Troops include: 1. The Second Amendment protects the right to bear arms. 2. The Third Amendment prohibiting the government from quartering (house, feed) troops in citizens' homes in peacetime. C. Rights of Accused Persons include:

The Fourth Amendment protecting persons from unreasonable search and seizure. 2. The Fifth Amendment: a. Requires indictment by grand jury for the prosecution of a person accused of a crime. b. Prohibits the government from trying a person twice for the same offense (commonly termed, double jeopardy). c. Protects the right of silence (an individual cannot be required to be a witness against oneself). d. Prohibits the government from taking life, liberty, or property without due process. e. Prohibits the government from taking private property for public use without fair compensation (eminent domain). 3. The Sixth Amendment protects the right of individuals to receive a speedy and public jury trial for crimes; ensures the right to have legal counsel for defense; protects the right to be informed of accusation and confront witnesses. 4. The Seventh Amendment protects the right to a jury trial in civil cases involving more than twenty dollars. 5. The Eighth Amendment prohibits the government from setting excessive bail or fines and inflicting cruel and unusual punishment. Rights of People and States include: 1. The Ninth Amendment protects other, unspecified rights (rights not enumerated in the Constitution). 2. The Tenth Amendment reserves to the states those powers neither granted to the federal government nor prohibited to the states. Restrictions and Duties of State Governments 1. The Thirteen Amendment prohibits slavery in every state of the Union. 2. The Fourteenth Amendment applies due process (equal protection under the law) to the states and obligates the state governments to protect citizens from illegal acts perpetrated by a government entity or individual (This overturns Barron v. Baltimore). 3. The Fifteenth Amendment prohibits states from preventing men from voting based upon “race, color or previous condition of servitude.”

PROJECTS, EXERCISES, AND ACTIVITIES 1.

As an assignment, have the students volunteer their time and work for an organization that is active in advancing and protecting civil liberties. The student could choose from any of a variety of organizations such as the ACLU, Right to Life, Planned Parenthood, League of Women Voters, Christian Coalition, etc. These organizations have regional, state, and district offices throughout the United States. If this is logistically impossible, have the students research one or two of the groups and present their findings to the class or via a research paper.

Sexual harassment is prevalent through cultures around the world. In the U.S. the problem of sexual harassment coupled with sexual assault appeared to be somewhat abating until the #MeToo movement emerged. Legal definitions of the crime have changed over time, impacting reporting. One place where this problem is being addressed is on college campuses. Access your campus’s website and compare the college’s sexual harassment policy with other colleges’ sexual harassment policies (you can simply search “sexual harassment” through Google). Many of these will be in the university policy statements. Compare three or four statements on sexual harassment. In your opinion, what should be done to reduce sexual harassment on your campus? Be specific.

By now your students have had a chance to study the structure of the federal government and have familiarized themselves, to some degree, with their state institutions. Engage students in an exploration of the value of privacy in the United States. Engage them in a search for language that supports the right to privacy in our founding documents and in arguments made by rights organizations like the ACLU. Students should access their college or university library to find important court cases that support the right to privacy. Use this research to buttress a discussion of privacy in 2021. Consider the following questions: a)

b) c)

How important is it that privacy does not appear explicitly in our Bill of Rights? Are there elements of the Constitution that support the idea of privacy as a right? What current challenges to privacy do Americans face? Is the National Security Agency a threat to or a defense of privacy rights? Based on your research, what outcome would you predict for recent challenges to privacy?

The incorporation doctrine holds that select aspects of the Bill of Rights of the U.S. Constitution may be (and now have been) incorporated by U.S. Supreme Court decisions into the provisions of the Constitution’s Fourteenth Amendment by invoking the amendment’s due process clause to protect an individual’s rights against the overreach of state laws. For a review of the incorporation doctrine, visit the Legal Information Institute at the Cornell Law School at https://www.law.cornell.edu/wex/incorporation_doctrine. Now, select a particular right listed in one of the amendments that has been incorporated against the states. Next, select a particular state and conduct research to find out how that state’s laws may have changed after the Court’s ruling. Did the ruling seem to make a difference? Why or why not?

Consider conducting a class debate between two groups of students debating the following question:

“Are efforts to contain the novel coronavirus (COVID-19) pandemic that has been ravaging the U.S. throughout most of 2020 and on into 2021 justified in curtailing civil liberties?” Background: Efforts to contain the virus have included mandatory lockdowns, social distancing, and wearing of masks. Some religious sects and congregations believe violate their First Amendment freedom of religion has been unacceptably violated. Other individuals believe their First Amendment rights of freedom of assembly and free speech have been unacceptably violated. Several lawsuits have been filed and dealt with by state and federal courts, including the U.S. Supreme Court. Preparation for debate: As they prepare for the debate, students will want to research the findings of various court cases. To this end, the Free Speech Center at Middle Tennessee State University provides an up-to-date review of court cases (https://mtsu.edu/firstamendment/post/613/covid-19-and-the-first-amendment-a-running-report-oct-28). Venue: The debate may be held in person, in-class or in another venue for the university community or even the larger city-wide community or streamed live via Zoom.

ADDITIONAL RESOURCES Supplemental Readings Abraham, Henry J. and Barbara A. Perry. 1998. Freedom and the Court. Seventh Edition. New York: Oxford University Press. Amar, Akhil Reed. 1997. The Constitution and Criminal Procedure: First Principles. New Haven: Yale University Press. Berns, Walter. 1976. The First Amendment and the Future of American Democracy. New York: Basic Books. Carter, Stephen L. 1993. The Culture of Disbelief: How American Law and Politics Trivialized Religious Devotion. New York: Basic Books. Downs, Donald A. 2005. Restoring Free Speech and Liberty on Campus. Cambridge, UK: Cambridge University Press. Epstein, Lee and Thomas J Walker. 2004. Constitutional Law for a Changing America. Fifth Edition. Washington, DC: CQ Press. Fish, Stanley. 1994. There’s No Such Thing as Free Speech and It’s A Good Thing, Too. New York: Oxford University Press.

Garrow, David. 1994. Liberty and Sexuality: The Right of Privacy and the Making of Roe v. Wade. New York: Macmillan. Greenwald, Glenn. 2015. No Place to Hide: Edward Snowden, the NSA, and the U.S. Surveillance State. New York: Macmillan-Picador. Jackson, Robert. 1953. “The Task of Maintaining Our Liberties: The Role of the Judiciary.” American Bar Association Journal 39: 962. Kersch, Ken I. 2004. Constructing Civil Liberties: Discontinuities in the Development of American Constitutional Law. New York: Cambridge University Press. Levy, Leonard W. 1985. Legacy of Suppression: Freedom of Speech and Press in Early American History. New York: Oxford University Press. Lewis, Anthony. 1964. Gideon’s Trumpet. New York: Random House. Mansbridge, Jane. 1986. Why We Lost the ERA. Chicago: University of Chicago Press. Prejean, Sister Helen. 1993. Dead Man Walking: An Eyewitness Account of the Death Penalty in the United States. New York: Random House. Schroedel, Jean Reith. 2002. Is the Fetus A Person? A Comparison of Policies across the Fifty States. Ithaca: Cornell University Press. Websites ACLU This is the official website of the American Civil Liberties Union. This organization is dedicated to protecting and upholding civil liberties and protecting civil rights. The site contains a blog as well as video and audio sources covering topical areas in civil liberties debates. ACLJ The American Center for Law and Justice is a politically conservative, Christian-based social activism organization that defends the rights of Christians who claim that their rights are violated by government overreach. SPLC The Southern Poverty Law Center is a nonprofit legal advocacy organization specializing in civil rights and public interest litigation. Brady Campaign to Prevent Gun Violence

This is the website for the Brady Campaign to Prevent Gun Violence. Named after Jim Brady, the White House Press Secretary to Ronald Reagan, who was severely wounded during an assassination attempt on President Reagan’s life, the organization is dedicated to dramatically reducing gun deaths and injuries. Find Law This site provides access to Supreme Court decisions, as well as, dissenting and concurring opinions. These are important for doing research on civil liberties and civil rights cases as they have been manifested on the docket of the U.S. Supreme Court over the decades. NAACP This is the official website for the National Association for the Advancement of Colored People. This organization was instrumental in advancing civil rights for African Americans. NRA This is the website for the National Rifle Association. This group is dedicated to the protection of the Second Amendment to the U.S. Constitution, gun safety, and opposed to gun control legislation. Legal Information Institute The Legal Information Institute (LII) is a non-profit, public service of Cornell Law School that provides no-cost access to current American and international legal research sources online.

Chapter 14 CIVIL RIGHTS: WHERE LIBERTY AND EQUALITY COLLIDE FOCUS QUESTIONS Q1

Where does the energy that drives social movements come from?

Scholars have developed four approaches in explaining the origins and nature of social movements. These theoretical approaches are social strain, resource mobilization, political process and social-psychological. The approaches are not mutually exclusive and predicated upon societal discontent within the existing current order. The Social Strain Model points to processes like industrialization, urbanization, and depression, creating tension and uncertainty among individuals from which social movements arise. The Resource Mobilization Theory suggests that since social strain is always present the key to movement success or failure is the kind and quality of resources that the aroused group can put toward pursuing their rights. The Political Process Model builds on the resource mobilization model by pointing out that the receptivity of the political system to the demands of an aggrieved group is critical to the success of a social movement. Next, the Social-Psychological Theory expands upon the resource mobilization and political process models to consider what roles, shared values, norms, and principles have in determining the ways movements form and gain new members.

What common theme or “frame” did the social movements of the 1960s and 1970s use to press their demands upon American society?

The civil rights, anti-Vietnam War, and second-wave women’s movements promoted the need for equal rights legislation. Consequently, these issues have led to further policies extending protection and providing services for the disabled, ballot measures advocating recognition of gay rights and court rulings regarding reproductive issues.

What role did the Supreme Court play in first limiting and then expanding civil rights for blacks?

After passage and ratification of the Fourteenth Amendment which guaranteed the rights of citizenship including equal protection and due process to the freedmen, the Supreme Court began to restrict the application of these civil rights to the AfricanAmerican population. They did this by applying the two clauses in an economic fashion like in the protection of corporations during the height of laissez-faire political economic decision-making in the late nineteenth and early twentieth centuries. Specifically, the courts in Plessy v. Ferguson (1896) actually restricted black civil rights by justifying the “separate but equal” principle as constitutional. This had the impact of maintaining and even expanding the system of racial segregation practiced in a de jure fashion in the

South and as a de facto measure in the North. Throughout the first half of the twentieth century this decision was “chipped away at” by the agitations played out in a series of court challenges by the NAACP, Urban League, and other civil rights organizations. Ultimately, in the Brown v. Board of Education of Topeka, Kansas decisions in 1954 and 1955; the high court declared that the “separate but equal” principle was by definition and practice unequal. Thus, the system of racial segregation was deemed anathema to the American and a long process of striking it down and moving beyond it was begun. Q4

Does affirmative action to assist minorities and women inevitably mean reverse discrimination against white men?

Affirmative action programs were designed to rectify past discriminatory practices that limited the wealth and opportunity of minorities. In turn, employment, contractual, and education preferences have been given to racial, ethnic, and gender groups. As a reaction to these programs, some argue that this amounts to reverse discrimination, which disadvantages white males. In the case of Regents of the University of California v. Bakke (1978), the Supreme Court ruled that affirmative action policies are constitutional only if they are temporary and if the government does not create a system of quotas. In addition, race and gender may be factors considered in admission and hiring practices, but cannot be the sole criterion. Yet, in the case of Fisher v. University of Texas (2016) the court upheld the use of race as a college admissions factor. The #MeToo movement may exacerbate resolutions to sexual harassment issues.

What were the similarities and differences between the movements for racial and gender equality?

Both the civil rights and women’s rights movements that began with avocation for abolition of slavery for blacks and the expansion of the national franchise for women in the nineteenth century, developed in a fuller sense to encompass broader equal treatment across all areas of society, polity, and economy in the twentieth century. These efforts by both African-Americans and women continue into the present day. They are united in that there is a general promotion of civil rights in a contest against discrimination but different in their stress and application; one concentrates on racial disparity and the other on differential gender treatments. Both are highly organized and have a certain cyclical structure as to their impacts on society with the two movements coalescing in their greatest level of societal influence as well as movement activism in the 1960s and 1970s. Both have had some set-backs in the years after the 1970s in terms of a conservative backlash that has limited the success of more recent efforts like the failure of ERA for women and the decline in affirmative action that has limited the ability of blacks to compete equally with whites. However, both have attained significant and continued victories in the sense that the Roe v. Wade (1973) decision has stood the test of time so far as has the Civil Rights Amendment and the Voting Rights Act (1964, 1965) in empowering African Americans as an electoral force, particularly in

the Democratic Party. Efforts by the women’s movement have has some additional help relative to those activities in the black rights movement because most of the women have been a part of the status quo of white middle class power in this country which has given them a director route to the halls of power relative to their black contemporaries.

CHAPTER OUTLINE Civil liberties and civil rights are the two brightest constellations in the U.S. constitutional firmament and both have grown brighter over the more than two hundred years of U.S. national history. They are not, however, equally bright, and their relative glow has waxed and waned over the course of our national history. Civil liberties call for the state to remove itself from the activities of the masses as individual rights of freedom are guaranteed by the Constitution, principally in the Bill of Rights. Meanwhile, civil rights are calls for state intervention to ensure social justice and equality on the behalf of individuals and groups within a society that has often practiced segregation and discrimination. This has led to a certain paradoxical situation in which the old battle between liberty and order has had to play itself out against a background of limited versus big government. I. What are Social Movements? A. From the beginning of the American republic, popular uprisings were considered natural occurrences. Thomas Jefferson said that such events are actually healthy for government. (Remember the tenets of the Declaration of Independence). B. A social movement is a collective enterprise to change the organizational design or characteristic operating procedures of a society in order to produce changes in the way the society distributes opportunities or rewards. C. While there are several theories regarding the origins and nature of social movements, they tend to operate accordingly: 1. General Process of Social Movements (Formula): a. Framing: Address a grievance and establish an identity b. Organization: Based on principles and leadership c. Tactics: 1) Political activism: within the political framework or 2) Discursive politics: outside political arena; get people talking 2. General theories regarding the origins and nature of social movements a. Social Strain Theory suggests that processes like industrialization, urbanization, and depression create tension and uncertainty among individuals from which social movements rise. b. Resource Mobilization Theory suggests that since social strain is always present the key to movement success or failure is the kind and quality of resources that the aroused group can put toward pursuing their rights. c. Political Process Theory builds on the resource mobilization model by pointing out that the receptivity of the political system to the demands of an aggrieved group is critical to the success of a social movement. .

II.

Social-Psychological Theory builds on the resource mobilization and political process models to consider what roles, shared values, norms, and principles have in determining the ways movements rise and spread. Movement Tactics and the Ambiguity of Violence 1. Social movements involve some demonstration or protest by a marginalized group. Protests may take many forms from sit-ins, boycotts, and marches to violence and riots. 2. The choice of what tactics social movements use to achieve a desired end depends upon: a. the costs involved to publicize a particular concern, issue or policy. b. the predicted benefits of using a particular strategy to advance a principle or idea. c. the public’s reaction to the use of the desired tactic to achieve the goal. c. In turn, if the benefits outweigh the cost, the particular avenue to promote your position on a policy, issue, or idea will be employed. 3. However, timing and leadership are also important elements of any successful social movement. Two political scientists, Francis Piven and Richard Cloward, assert that given the public’s political attention span is short and political events are fluid, social movements operate within a time “window” and therefore must strike when the moment is ripe to do so. a. Therefore, social movements must act quickly within this time-period. b. Furthermore, leaders of social movements often seek benefits for themselves and are concerned with creating formal institutions to secure incremental gains to plan for future political battles.

Social Movements in American Politics A. Political historians and students of social movements contend that surges in movement activity and similarities between movements occur simultaneously due to a central organizing principle of a movement period or frame. Examples include: 1. The intertwined interests of the women’s movement, the abolitionists and international labor movement to fight for equal rights illustrates the common goal of the movements. 2. The civil rights movement, gender equality movement (second wave women’s movement) and anti-Vietnam War movement in the mid-late 1960s and 1970s also coalesced to achieve equal rights. 3. Therefore, a frame can be seen as the organizing theme within a period of time that defines the period and provides the glue bringing the various movements together. a. Often social movements are not entirely successful and the issue(s) become co-opted by political parties and government agencies: 1) the Republican Party and the abolitionists in the mid-1800s 2) worker safety issues and the Progressives 3) the liberal wing of the Democratic Party and civil rights organizations in the 1960s.

The Women’s Rights Movement (see: Lecture Suggestions for a more comprehensive account of events leading to the ratification of the Nineteenth Amendment). 1. At the beginning of the nineteenth century the place of women in American society was defined by the legal concept of coverture whereby women had no right to property, custody of children after a divorce and legal standing in a court of law. In turn, coverture entailed legal guardianship of women by men. 2. During the nineteenth century into the 1970s, coverture underpinned the socialization of men and women to occupy separate spheres of society: men for the workplace and women for the home. The makeup of the women’s rights movements diverged primarily between difference feminists and equality feminists. a. Difference feminists accepted broad gender differences and called for incremental changes with regard to equality between men and women. b. Equality feminists demanded full equality with men in society, the economy, and politics. 3. Beginning with the Seneca Falls Declaration, competing women’s groups sought to expand the political rights and economic and social standing of women in America. 4. Leaders of the women’s movement, including Susan B. Anthony, Elizabeth Caddie Stanton, and Lucy Stone fought for women’s suffrage (the right to vote). 5. The culmination of their efforts resulted in the ratification of the Nineteenth Amendment in 1920 extending political equality to women. 6. Yet, just because women had the right to vote, this did not translate into political participation. In fact, the women’s movement lost much of its focus once suffrage was achieved. 7. In the 1960s the women’s movement reemerged to concentrate on the lack of social and economic opportunities available to women. a. In 1967 the National Organization for Women (NOW) called for women to be extended full participation in all facets of society. b. During the organizations first national convention, the delegates produced the Women’s Bill of Rights calling for: 1) an equal rights amendment (ERA) to be added to the U.S. Constitution. 2) legal control over reproductive issues. 3) equal standing in legal issues concerning property and custodial duties. c. The Equal Rights Amendment was approved by the House and Senate but produced a counter-movement led by conservative women’s groups, religious organizations and political groups, including President Ronald Reagan, who opposed to the measure. d. In 1982, The ERA fell three states short of the 38 states legislatures needed to ratify.

8. However, the modern women’s movement had several successes including: a. Congress’s passage of Title IX of the Education Act of 1972 forbade discrimination based on gender in any education program receiving federal funds. b. The landmark Supreme Court case, Roe v. Wade (1973), guaranteeing a woman’s right to privacy including the right to choose abortion as a medical procedure, and a recent Supreme Court case in 2016 that struck down Texas abortion restrictions as an “undue burden” on women’s rights to choose abortion. c. Laws designed to combat sexual harassment in the workplace. d. Equality in compensation (wages) laws. Consequently, reform movements advocating changes to governing institutions and social practices have used a variety of strategies and protest tactics to affect policy-makers through informing, educating and subsequently, changing public opinion to force the hand of elected representatives to respond to issues concerning civil rights, women’s suffrage and legal reforms. III.

Civil Rights and the Civil War Amendments A. The Civil War Amendments The Thirteenth, Fourteenth, and Fifteenth Amendments and the Civil Rights Act of 1875 came about due to the outcome of the American Civil War. 1. The Thirteenth Amendment: Freedom The Thirteenth Amendment was ratified in 1865 and made slavery illegal in every American state and territory. 2. The Fourteenth Amendment: Equality The Fourteenth Amendment went into effect July 28, 1868 and provided Constitutional protection for the freed slaves; specifically, they were entitled to equal protection under the law (although the Amendment does not refer to freed slaves). Also, the Amendment provides protection from states that could no longer abridge the privileges and immunities of its citizens, and stipulated life, liberty or property could not be taken without “due process” of law. 3. The Fifteenth Amendment: Voting The Fifteenth Amendment enfranchised freed slaves in the hope that they would use the vote to defend their rights and liberties at the ballot box. Unfortunately, this was short-lived given the de facto segregation used by the states to suppress voting. 4. Early Supreme Court Interpretations a. In the era immediately after ratification, the Supreme Court interpreted the Civil War Amendments very narrowly. 1) In the Slaughterhouse Cases (1873), a group of white men claimed that the creation of a monopoly by the state of Louisiana denied them equal protection of the laws per the Fourteenth Amendment. In a close ruling, the Court ruled state governments would be

allowed to define the domestic rights of its inhabitants, including blacks, as narrowly as possible and the federal government would not interfere. This characterized the “dual federalism” existing during the Industrial Revolution. 2) The first test to the Civil Rights Act of 1875, which made discrimination illegal in the states, occurred in a series of cases in 1883 known as the Civil Rights Cases. (a) In one of the bleakest hours of American jurisprudence, the Supreme Court ruled by an 8-1 decision that the Civil Rights Act of 1875 was unconstitutional. (b) The 1883 ruling determined that only state actions were included and the Act did not prohibit discrimination by private individuals. (c) Basically, 22 years after the beginning of the American Civil War, the federal government excused itself from combating racial discrimination. 5. Legal Discrimination: Plessy v. Ferguson a. The Supreme Court upheld racial segregation in the 1890 case, Plessy v. Ferguson, which provided a test case to begin the long journey to gain racial parity through the federal court system. 1) The case involved a Louisiana state law that called for separate but equal accommodations for individual of different races on trains operating within the boundaries of the state (intrastate routes). 2) The plaintiff, who happened to be of mixed races, charged this law was a violation of the equal protection clause of the Fourteenth Amendment. 3) The Court found that since whites were separated from blacks and v ice versa, accommodations were made for both races and there was no indication of discrimination and therefore did not violate the Fourteenth Amendment. 4) This majority opinion stated that if blacks were seen as inferior it was because that was their perception and not instituted by the state, railroad, or any one person. In turn, discrimination was in the eye of the beholder. b. Justice Harlan dissented and argued that the separation creates a “badge of inferiority” for blacks. Harlan argued that the Constitution is colorblind. The Modern Civil Rights Movement The long load to integration has not always been one of smooth sailing. As Yale political scientist David Mayhew recently reminded us; the American civil rights revolution “was part of a global process of overturning white supremacy and colonialism that occurred simultaneously throughout the world following World War II.” 1. Desegregation: The Coming of Brown v. Board of Education

Segregation in the public schools provided an excellent platform for civil rights leaders to challenge the legality of segregation polices after the turn of the century. a. In 1927, the Supreme Court upheld the state of Mississippi’s decision to not allow a Chinese student to attend a white school. b. In 1935, another test case was underway as a black man named Lloyd Gaines was denied admission to the all-white University of Missouri Law School. The case, Missouri ex rel. Gaines v. Canada (1938), allowed the NAACP to challenge the separate but equal clause with an almost certain ruling against Gaines, which is what happened. However, the case had some unintended results. 1) Because there was no black law school, the Court ordered the state to either build a law school allowing blacks, or pay for Gaines’ outof-state tuition if no school was to be available in the state of Missouri. 2) More importantly, the Court signaled its intention to be the institution that would re-examine the separate but equal doctrine. c. Thus, in 1950, the Court ruled that the University of Texas Law School’s construction of a black law school was inferior to the white law schools and, therefore, violated the “equal part” of the separate but equal doctrine. A similar case was heard in Oklahoma. These rulings directly attacked the “equal” portion of the doctrine. Consequently, the question arose: Could separate in fact be equal? d. Earl Warren ascended to lead the Court after the death of Chief Justice Fred Vinson. By all accounts, Warren was an opponent of segregation and planned to use Harlan’s dissent in Plessy as precedent to overturn the separate but equal doctrine in the 1954 case, Brown v. Board of Education. Warren wrote the Court’s unanimous ruling that separate but equal had a detrimental effect on children and therefore “the [children] plaintiffs . . . had been deprived of the equal protection of the laws guaranteed by the 14th Amendment.” It is worth noting that Thurgood Marshall was the lawyer for the plaintiffs in Brown. He would later be the first black Supreme Court Justice. The Civil Rights Acts: 1964, 1965, and 1968 a. Under the leadership of President Lyndon Baines Johnson, the Civil Rights Act of 1964 was passed over the objection of many white Southerners who were members of Johnson’s political party. b. The Act prohibited: 1) Racial discrimination in any program receiving federal assistance (Title VI). 2) Racial discrimination by labor unions in businesses with over 100 employees (Title VII). 3) Permitted the U.S. attorney general to represent citizens attempting to desegregate state facilities.

In 1968, Congress passed a law prohibiting racial discrimination in the sale or rental of housing. 3. The Elementary and Secondary Education Act (ESEA) of 1965 a Congress passed the Elementary and Secondary Education Act (ESEA) in 1965, providing federal assistance to school districts with low-income students. b. As a result, the number of black children attending schools with whites in the South rose from 1.2 percent in 1964 to 91.3 percent eight years later. 4. The Voting Rights Act of 1965 a. Jim Crow laws were very successful at limiting the political participation of blacks in the Northern states and all but excluded black enfranchisement in the South. b. Jim Crow is the generic name for all the laws and practices that enforced segregation of the races in the American South and elsewhere from the end of the nineteenth century to the middle of the twentieth century. c. The 1965 Voting Rights Act prohibited de facto segregation strategies such as literacy tests, grandfather clauses, white primaries and poll taxes that kept minorities from voting in primaries or elections. Affirmative Action Affirmative action policies are designed to make up for the effects of past discrimination by giving preferences today to specified racial, ethnic, and sexual groups. While the government has demonstrated its ability to promote policies aimed at ending discriminatory practices, opponents of affirmative action programs view preferential treatment as reverse discrimination. Affirmative Action in the Workplace Proponents of affirmative action programs support policies aimed at ensuring equality of opportunity via establishing separate hiring practices as necessary because of the past discriminatory practices used to deny blacks opportunity and wealth. 1. The Civil Rights Act of 1964 was designed to address direct discrimination or unfair treatment by one person against another and prohibited quotas or reserved slots for hiring goals that may result in reverse discrimination against whites. 2. Further rulings, such as United Steelworkers of America v. Weber (1979) and Fullilove v. Klutznick (1980), acknowledged certain affirmative action policies were acceptable if they are voluntary and temporary. 3. Throughout much of the 1980s, “set-asides” and preferences in hiring were largely seen as assisting affirmative action policies; while quotas continued to be illegal. Affirmative Action in Schools Claims of reverse discrimination emerged with cases challenged the Constitutionality of affirmative action programs. 1. In the 1978 case, Regents of the University of California v. Bakke the Court ruled against Allan Bakke, who was denied admission to medical school even

though his scores were higher than those of minority applicants who were admitted. The Court agreed that Bakke’s Fourteenth Amendment rights had been violated but also upheld the practice that race could be considered (albeit along with other criteria) in the admission process. 2. Yet, beginning in 1985, public dissatisfaction with affirmative action policies began to be seen in federal court rulings. a. In 1995, the Court ruled the University of Maryland’s program to set aside a certain number of scholarships for minorities or construction projects for minority-owned companies were invalid. b. However, the biggest defeat for affirmative action programs came about in the 2003 Grutter v. Bollinger case involving the University of Michigan’s use of a system in determining who would be admitted to law school. The Supreme Court upheld affirmative action but struck down the specific point system used by Michigan to admit undergraduates into law school. Writing for the Court, Justice O’Connor upheld the Bakke ruling that race can be a factor but ruled that points were used in “a mechanical way” suggesting “firm quotas” that are unconstitutional. 3. 2005 and 2006 the Court moved to the ideological right with the addition of John Roberts and Samuel Alito and the retirement of moderate Justice, Sandra Day O’Connor. a. The Roberts Court signaled its opposition to voluntary integration policies in public schools by ruling 5-4 that the Seattle and Louisville public schools “failed to provide the necessary support for the proposition that there is no other way than individual racial classifications to avoid racial isolation in their school districts.” b. Yet, by 2016, in the case of Fisher v. University of Texas the court upheld the use of race as a college admissions factor, reaffirming the court’s opinion in Regents of the University of California v. Bakke (1978) that affirmative action policies are constitutional in limited circumstances. The Women’s Rights Movement Social change, the evolution of the American society from rural to urban, from the dependence on strong backs to the need for strong minds, opened the door to enhanced rights for women. 1. Organization and Protest a. The women’s movement in the United States began at the Seneca Falls Convention in 1848 producing a manifesto for change entitled, “Declaration of Sentiments,” and a political alliance between Susan B. Anthony and Elizabeth Cady Stanton as well as Lucretia Mott, Luch Stone, and Sojourner Truth. Social activism by these ladies and their supporters brought about some initial legislative reforms granting women some property rights and after the Civil War the women’s movement pushed followed a strategy of court challenges that was largely ineffective in the short term. However, by the 1890s, the women’s movement began to have some success in advancing female suffrage through the efforts of

Anthony and Stanton’s National Woman Suffrage Association (NWSA) and Stone’s American Woman Suffrage Association (AWSA). The two organizations merged in 1890 as the National American Woman Suffrage Association (NAWSA) thus projecting a unified front in the pursuit of their cause with other women’s organizations like Francis Willard’s Women’s Christian Temperance Union, Jane Adams Settlement House Movement, Consumers’ Leagues, and the general Federation of Women’s Clubs tying all their efforts to the suffragist cause. By the end of the 1910’s fully half of all the states have expanded the franchise to women and ratification of the Nineteenth Amendment in 1920 granted women the national right to vote. In the 1960s, women’s secondary involvement in the anti-war movement and civil rights movements led them to strike out on their own and advance a broader cause of specifically women’s rights in an otherwise patriarchic based American society. Books like Betty Friedan’s The Feminine Mystique and the creation of the National Organization for Women (NOW) actively promoted the equal treatment of women in the American economy, polity, and society. Equal and Personal a. Control: NOW through its 1967 Women’s Bill of Rights promoted the ERA (Equal Rights Amendment) passed in 1972 but ultimately not ratified after running out of time in 1983 and abortion rights with the National Abortion Rights Action League (NARAL) formed in 1969. In 1973 the Roe decision struck down abortion laws as being in violation of the Constitution’s “right to privacy.” b. Counter-mobilization, Conflict, and Stalemate: Offsetting the liberal initiatives of the Women’s Movement was a conservative counterreaction against the ERA and later abortion led by Phyllis Schafly’s STOP ERA and Eagle Forum as well as activism promoted by Beverly LeHaye’s Concerned Women of American (CWA) The election of Ronald Reagan in 1980 saw the tide of popular opinion move against the ERA and it died in 1982 three states short of ratification. However, the modern women’s movement had several successes including: a. Congress’s passage of Title IX of the Education Act of 1972 forbade discrimination based on gender in any education program receiving federal funds. b. Again, the landmark Supreme Court case, Roe v. Wade (1973), guaranteeing a woman’s right to privacy including the right to choose abortion as a medical procedure, as well as in 2016 when the Supreme Court struck down Texas abortion restrictions as an “undue burden” on women’s rights to choose abortion. c. And, laws designed to combat sexual harassment in the workplace as well as equality in compensation (wages) laws. d. Consequently, reform movements advocating changes to governing institutions and social practices have used a variety of strategies and

protest tactics to affect policy-makers through informing, educating and subsequently, changing public opinion to force the hand of elected representatives to respond to issues concerning civil rights, women’s suffrage and legal reforms.

PROJECTS, EXERCISES, AND ACTIVITIES 1.

Affirmative action programs have produced heated debates among legal scholars, politicians and voters. Have the students research the history of affirmative action programs in the United States. What was the original intent of affirmative action policies? Does the national conversation and public perception of affirmative action differ what from the policies say and do? If so, how so? What court cases, areas of legislation, organizations and federal agencies have been instrumental in promoting and opposing affirmative action policies? Have the students present their findings to the class and submit a research paper. This topic is sure to facilitate strong emotional debates among the students. Finally, what can be done to mediate the differences between proponents of affirmative action programs and opponents who see this policy as “reverse discrimination”?

One of the biggest threats to human rights is slavery and human trafficking (most of which supports the “legal” sex trade). Many students are surprised slavery still exists. Currently, Sudan, Mauritania, Benin, Cambodia, and the Baltic republics are “hotspots” for slavery and human trafficking. While governments continue to deny the practice exists, the websites created by the Coalition against Slavery in Mauritania and Sudan has a tremendous amount of information to the contrary. Have the students access the websites: www.religioustolerance.org/sla_sud.htm and www.antislavery.org/ to explore modern slavery and human trafficking and answer the following questions: First, who supports modern slavery and how do they justify their actions? Second, what are the countries participating in human trafficking? Third, who is being enslaved and for what reasons? Fourth, what can be done to stop such practices? Fifth, what is the United States doing to stop these practices? Finally, in your opinion, what else should be done?

Ask students to trace the history of the Disability Rights movement. Investigate disability rights organizations (http://www.ndrn.org/en/). What are the contemporary issues facing disabled persons? Students may consider several questions: a. How are disability rights issues portrayed to the public? b. Are issues facing the disabled community considered to be civil rights issues in public opinion?

Select two articles from the Guardian (https://www.theguardian.com/world/metoomovement) regarding the #MeToo movement’s attempts to bring awareness to sexual

harassment in the entertainment industry and politics. Now, read an article from the Atlantic (https://www.theatlantic.com/entertainment/archive/2018/01/beyond-metoocan-times-up-effect-real-change/549482/) on the follow-up movement “Times Up.” Finally, consider the following questions: a. How effective to you believe these movements will be in combatting sexual harassment? What kinds of obstacles are they encountering? b. To what extent do you believe Congress will assist in addressing the concerns of these movements?

ADDITIONAL RESOURCES Supplemental Readings Bergmann, Barbara. 1996. In Defense of Affirmative Action. New York: Basic Books Bumiller, Kristin. 1988. The Civil Rights Society: The Social Construction of Victims. Baltimore: Johns Hopkins University Press. Kluger, Richard. 1977. Simple Justice. New York: Random House. Kull, Andrew. 1992. The Color-Blind Constitution. Cambridge, MA: Harvard University Press. Rosenberg, Gerald N. 1993. The Hollow Hope: Can Courts Bring about Social Change? Chicago: University of Chicago Press. Thernstrom, Stephan and Abigail Thernstrom. 1997. America in Black and White. New York: Simon and Schuster. Tushnet, Mark V. 2006. The NAACP’s Legal Strategy Against Segregated Education: 1925-1950. Chapel Hill: University of North Carolina Press. Wasby, Stephen L. 1995. Race Relations Litigation in an Age of Complexity. Charlottesville, VA: University of Virginia Press. Wilhoit, Francis M. 1973. The Politics of Massive Resistance. New York: Braziller. Websites Anti-Defamation League This is the website for the Anti-Defamation League it agitates against anti-Semitism and promotes social justice in a broad manner.

American Arab Anti-Discrimination Committee This is the website for the American Arab Anti-Discrimination Committee which focuses on battling discriminatory practices against Arab Americans. The site contains some video links to related news regarding the treatment of Arabs and Arab Americans. Find Law This site provides access to Supreme Court decisions, as well as, dissenting and concurring opinions. These are important for doing research on civil liberties and civil rights cases as they have been manifested on the docket of the U.S. Supreme Court over the decades. NOW The official website for the National Organization for Women. It contains a number of articles relating to issues of women’s rights. National LGBTQ Task Force This is the website for the National LGBTQ Task Force. The organization seeks to promote political, social, and economic equality for gay men and women. DOJ Civil Rights Division This site has a link for the Civil Rights Division of the Department of Justice, which will provide information on current events, the history of federal law enforcement’s role in protecting civil rights, the Department of Justice’s mission statement and other governmental information. National Council on Disability The National Council on Disability (NCD) is an independent federal agency that advises by the president, Congress, and other federal agencies on current and emerging issues affecting the lives of people with disabilities. National Disability Rights Network The NDRN’s mission is to promote the integrity and capacity of the for the federally mandated Protection and Advocacy (P&A) Systems and the Client Assistance Programs CAP national network to advocate for the enactment and vigorous enforcement of laws protecting civil and human rights of people with disabilities.

Chapter 15 GOVERNMENT, THE ECONOMY, AND DOMESTIC POLICY FOCUS QUESTIONS Q1

How has the role of government in relation to the economy changed over the course of American political history?

Initially, the national government displayed a laissez-faire approach to economic policy. In the late 1700s and early 1800s, the government conducted foreign affairs, sold land, delivered the mail and maintained a military. It wasn’t until Congress established the Interstate Commerce Commission (ICC) in 1887 to regulate shipping rates and monitor the business practices of the railroad companies that the national government signaled their intent to intervene in economic matters. Soon after, Congress passed the Sherman Antitrust Act (1890) declaring monopolies illegal, the Clayton Act (1914) regulating business mergers, and established the Federal Reserve in 1913 to regulate banks and monetary policy. However, the Great Depression fundamentally changed the relationship between government and the economy. In response to Hoover’s inability to confront the rampant unemployment and the increasing number of land foreclosures and bankruptcies, the voters elected Franklin Roosevelt president in 1932. The new Democrats in Congress and FDR’s responses were unprecedented given their intervention in regulating the economy. Consequently, the power of executive agencies was expanded through the creation of the National Industrial Recovery Act and the Agricultural Assistance Act as part of FDR’s New Deal legislation. Since the mid-1930s, the federal government has been instrumental in monitoring economic trends and responding by implementing monetary, fiscal, and regulatory policies.

What roles do fiscal, monetary and regulatory policy play in economic policy-making?

The president and Congress employ three main “tools” to regulate economic activity and implement public policy. These apparatuses include fiscal policy, monetary policy, and regulatory policy. Fiscal policy deals with managing revenues (taxing) and expenditures (spending), through annual budgets. Consequently, if revenues are greater than expenditure then the government is credited as running a surplus. Yet, if spending is greater than tax revenues, the government is said to be running a deficit. In addition, the government implements policies affecting the supply of money and interest rates. This is known as monetary policy. Monetary policy is primarily the responsibility of the Federal Reserve Board (The Fed), an independent regulatory agency. A third tool of government is

regulatory policy referring to legislation and bureaucratic rules that affect the performance of individual businesses and the economy, in general. However, economists and policy-makers differ as to how government should use these tools to predict economic trends and formulate economic policies. Q3

What are the key institutions of economic management at the national level, and what are their respective roles?

Following the national crises of the Great Depression and the two world wars, the role of economic policy-making has shifted from Congress to the Executive Branch. In turn, five agencies are included within the executive office of the president to monitor economic trends and formulate policy. The five agencies are the Treasury Department, the Federal Reserve Board (Fed), the Office of Management of Budget (OMB), the Council of Economic Advisors (CEA) and the National Economic Council (NEC). Established in 1789, the Treasury Department’s duties include collecting revenue, paying bills, borrowing money, selling securities to cover budget deficits, and acts as a steward between the U.S. government and international agencies including the International Monetary Fund. The Federal Reserve Board or Fed was created in 1913 to manage the supply of money and regulate the banking industry. The Federal Reserve System is comprised of seven members who make up a Board of Governors and serve 14-year terms. The Fed manages the nation’s money supply by establishing reserve requirements that define the portion of a financial institution’s total deposits that must be held in cash and discount rates or the interest rate that the Fed charges banks for loans. In addition, the Federal Reserve System also includes the Federal Open Market Committee (FOMC) and the 12 Federal Reserve Banks. The FOMC buys and sells U.S. government securities. The Budget and Accounting Act of 1921 created the Bureau of the Budget in the Treasury Department that began the process of consolidating economic and budgetary information, expertise, and influence in the Executive Branch. The BOB was later moved to the newly established executive office of the president in 1939. The BOB was renamed the Office of Budget and Management (OMB) in 1970 by Richard Nixon. The OMB prepares the annual budget, analyzes legislation for its impact on the budget and provides technical analysis and expertise. The Employment Act of 1946 created the Council of Economic Advisors (CEA). The CEA is comprised of a three-person board that prepares the president’s annual economic report and provides advice on the state of the economy. The CEA members are appointed by the president and confirmed by the Senate. Finally, the National Council of Economic Council (NEC) was created via executive order in 1993 to facilitate economic information needed by the president and coordinates policy decisions with the president’s stated policy goals.

What roles do the president and Congress play in producing the federal budget each year?

The Executive and Legislative branches are instrumental in formulating and approving the annual federal budget. The process for passing the federal budget is complicated and involves a great deal of debate, bargaining, and compromise. The process may be broken down in four stages. First, the president submits the budget to Congress by the first

Monday in February. Second, the OMB and CBO review the budget. Next, Congress begins reviewing the budget proposal in February. The budget is separated into 13 appropriations bills (2020). The House and Senate Budget Committees formulate the budget resolutions, usually in April and early May. Both chambers vote on the budget resolutions by mid-May. In June, the budget conference committee reconciles differences in the bills. Afterwards, both chambers have floor votes on the reconciled resolutions. By late June, the proposed budget is sent to the various committees based upon jurisdiction and the bills are reconciled to bring the budget in line with spending ceilings. By June 30, the House completes all 11 appropriations bills. Finally, the approved bill (final budget) is presented to the president for approval or veto. If all parties agree, the budget is approved. The fiscal year begins October 1 and ends September 30. Q5

What problems afflict the social security program and what reforms have been proposed?

Simply, the problem with social programs is that they are financially costly. Federal social programs including Social Security and Medicare, called “entitlements,” account for 80 percent of federal expenditures. While entitlement programs, such as Medicare, have provided millions with affordable health coverage, the cost of providing these services is immense. Moreover, in the case of Social Security, the current formula is fundamentally flawed because the ratio of those contributing to those receiving the services is becoming imbalanced. In turn, there is less money coming in (taxes) than going out (expenditures). Thus, Social Security is slowly becoming insolvent. Secondly, because workers’ pay for these programs once they join the workforce, they expect to receive these benefits once they retire (i.e. they are entitled to them). So, given declining birth rates and thus less money being paid into the Treasury to support these programs, due to the increasing number of baby boomers retiring, by 2017 it was expected that for every one person retiring there will be, numerically, over one person receiving benefits. In turn, Social Security will be running a deficit, as fewer people will be paying into the program than taking out. To complicate an already bleak scenario, the surpluses of the past have been spent on other programs and therefore the money contributed is no longer available. Further problems exist as politicians are not addressing the inevitable deficits (because they want to win reelection), the cost of medical treatments and pharmaceuticals have risen, and politicians refuse to raise taxes to fund the programs (once again, because they want to be reelected). Various reforms have been proposed. These include raising the age of retirement (this was done in 2002), raising taxes to fund Social Security and Medicare, increasing the income cap on payroll taxes (this is unlikely as it is political suicide), increasing the number of years needed to work before receiving full benefits, supplementing Social Security with other revenues, establishing a pay-as-you-go system (this has been embraced by a few policy-makers) and privatizing social security. Nonetheless, politicians have largely sacrificed any meaningful reform opting instead to ignore the looming crisis for political reasons (i.e. reelection).

CHAPTER OUTLINE: GOVERNMENT AND THE ECONOMY The role and scope of government involvement in regulating the economy has change over time. I.

History of Economic Management Initially, the national government displayed a laissez fair approach to economic policy. In the late 1700s and early 1800s, the government conducted foreign affairs, sold land, delivered the mail, and maintained a military. It wasn’t until Congress established the Interstate Commerce Commission (ICC) in 1887 to regulate shipping rates and monitor the business practices of the railroad companies that the national government signaled their intent to intervene in economic matters. Soon after, Congress passed the Sherman Antitrust Act (1890) declaring monopolies illegal, the Clayton Act (1914) regulating business mergers, and established the Federal Reserve in 1913 to regulate banks and monetary policy. However, the Great Depression fundamentally changed the relationship between government and the economy. In response to Hoover’s inability to confront the rampant unemployment, and the increasing number of land foreclosures and bankruptcies, the voters elected Franklin Roosevelt president in 1932. The new Democrats in Congress and FDR’s responses were unprecedented given their intervention in regulating the economy. Consequently, the power of executive agencies was expanded through the creation of the National Industrial Recovery Act and the Agricultural Assistance Act as part of FDR’s New Deal legislation. Since the mid-1930s, the federal government has been instrumental in monitoring economic trends and responding by implementing monetary, fiscal, and regulatory policies. A. Building the Economic Infrastructure The early colonial governments were established under charters from England. In turn, these entities were an extension of the Crown and served in economic capacities including selling land, licensing businesses, and improving the infrastructure. After gaining independence from Great Britain, the first Secretary of the Treasury, Alexander Hamilton, was adamant that the national government pay back the debts incurred to fund the Revolutionary War. To this end, Hamilton and other Federalists implemented tariffs on imported goods and established the First Bank of the United States that could lend money to fund business endeavors. B. The Rise of Economic Regulation 1. The post-Civil War Union faced many problems, one of which was how to transport commodities made in the North to the Southern states that were in dire need of supplies. At the completion of the war, the vast majority of railroad routes and telegraph lines ran East/West and not North/South. 2. Also, Northern industrialists, who expanded their businesses due to the Civil War, formed corporations or a form of business organization that allowed a group of investors to act as a single person and limit their individual liability to the assets of the corporate entity.

Another change after the Civil War was the emergence of monopolies in which a single person or corporation had exclusive control of a market. Monopolies existed in various sectors of the economy including whisky, shipping, banking, oil production and insurance. 4. As one would expect, the first corporate monopolies were railroads. Consequently, due to the complaints from farmers who relied on the railroads to transport their produce, Congress passed the Interstate Commerce Commission (ICC) in 1887 to regulate the industry. This act of Congress is significant because it indicated the national government’s intention to intervene in economic matters. 5. Soon after, Congress passed the Sherman Antitrust Act (1890) declaring monopolies illegal, the Clayton Act (1914) regulating business mergers, and established the Federal Reserve in 1913 to regulate banks and monetary policy. The growth of the Welfare State and Macroeconomic Regulation 1. The Great Depression changed the views of many Americans concerning the role of government in relation to the economy. At the height of the Depression: a. 25 percent of the American working-age population was unemployed. b. The Gross National Product was cut in half between 1929 and 1933. c. Over 4,000 banks and many factories closed. 2. The election of Franklin Roosevelt to the Presidency in 1932 prompted expansive governmental intervention in economic and social matters. The new Congressional Democrats and Roosevelt initiated a number of New Deal programs intended to pull the country out of the economic recession. a. The Public Works Administration (PWA) was designed to employ people for large construction projects. b. The Civilian Works Administration (CWA) and the Works Progress Administration (WPA) hired a number of the unemployed to construct buildings. c. The Civilian Conservation Corps (CCC) employed people to work on public lands and build state and federal parks. d. The National Industrial Recovery Act (NIRA) placed quotas on the production of certain commodities to keep prices, high benefiting farmers. 3. Prior to the Depression, most Americans believed in the Protestant work ethic that with a little hard work and a moderate lifestyle, anyone could lead a good and productive life. Conversely, those individuals who were poor were morally deficient and most likely lazy: It was their own fault that they are poor! 4. A major consequence of the Great Depression is many Americans realized larger economic issues led to unemployment and poverty. 5. In 1946, Congress passed the Employment Act to “promote maximum employment, production and purchasing power” and established the Council of Economic Advisors in the executive office of the president, which

established the federal government and the president at the lead of formulating economic policy. II.

Perspectives on Modern Economic Management The president and Congress employ three main “tools” to regulate economic activity and implement public policy. These apparatuses include: fiscal policy, monetary policy, and regulatory policy. Fiscal policy deals with managing revenues (taxing) and expenditures (spending), whereby if the former is greater than the latter then the government is credited be running a surplus. If the latter is greater than the former, the government is said to be running a deficit. In addition, the government implements policies affecting the supply of money and interest rates. This is known as monetary policy. A third tool of government is regulatory policy referring to legislation and bureaucratic rules that affect the performance of individual businesses and the economy in general. However, economists and policy-makers differ as to how government should use these tools to buttress an optimal economy. A. Traditional Conservatism Traditional conservatives advocate a laissez-faire approach in economic matters including lowering taxes, limited government regulation and balanced budgets. In a nutshell, traditional conservatives advocate government should not spend more money than it gains from taxes and tariffs. Moreover, by keeping taxes low, the unemployment will decrease because businesses will have more money to expand and hire more workers. B. Keynesianism The twentieth-century economist, John Maynard Keynes, rejected the laissez-faire approach of the traditional conservatives. Instead, Keynesianism advocates countercyclical spending by government. At first blush, Keynesian economics seems counter -intuitive. This theory advocates that government spending should increase in economic hard times and decrease during more prosperous times. The government was to increase spending in hard times to supplement the lack of private demand, thereby boosting the economy. Once out of the recession, Keynesian economics theory states government spending should be curtailed. C. Supply-side Economics Advocates of supply side economic policy argue that lower taxes and limited government regulation improve the business climate, encourage new investment and expand output. Basically, this economic paradigm states that more people working will lead to more consumption. In turn, businesses are able to expand and hire more workers who pay taxes and the cost of government programs will decrease. Finally, deficits will indicate government spending should be reduced. D. Monetarism Monetarists advocate that by manipulating the supply of money the economy can be managed. A proponent of modern monetarism, Milton Friedman viewed this approach as superior to the others because monetarism can respond immediately to changes in the economy where fiscal approaches cannot. E. The New Economy

Mixing fiscal, monetary and regulatory policies have been illustrative of the economic policies under Presidents Clinton and Bush (43). The basic idea of the New Economy is to reduce deficits to lower interest rates and increase investment. Once these deficits are eliminated, the surplus can be used for tax cuts, reduce the national debt, or provide necessary job training programs or money for improving public education. Unfortunately, government deficits have increased due to the War on Terror, which has limited the government’s options. Nonetheless, there is substantial evidence that the economy has expanded at unprecedented rates since the 1990s, then the Great Recession of 2008-2009, and economic growth begun again in 2018. III.

Institutions of Economic Policy-Making Primarily due to the Great Depression, a growth in international trade agreements, and military emergencies in the twentieth century, economic policy-making has shifted from Congress to the executive branch. In turn, five agencies are included within the executive office of the president concerned with economic policy-making. The five agencies are the Treasury Department, the Federal Reserve Board (Fed), the Office of Management of Budget (OMB), the Council of Economic Advisors (CEA) and the National Economic Council (NEC). A. The Treasury Department Established in 1789, the Treasury Department’s duties include collecting revenue, paying bills, borrowing money, selling securities to cover budget deficits, and acting as a steward between the U.S. government and international agencies including the International Monetary Fund. B. Federal Reserve Board 1. The Fed was created in 1913 to manage the supply of money and regulate the banking industry. The Federal Reserve System is comprised of seven members who make up a Board of Governors and serve 14-year terms. Two members of the Board of Governors serve as the Chair and Vice-Chair and are appointed by the president and confirmed by the Senate. They serve 4-year terms. 2. The Fed manages the nation’s money supply by establishing: a. Reserve requirements that define the portion of a financial institution’s total deposits that must be held in cash. b. Discount rates or the interest rate that the Fed charges banks for loans. 3. Also, the Federal Reserve Board, the Federal Reserve System also includes the Federal Open Market Committee (FOMC) and the 12 Federal Reserve Banks. The FOMC buys and sells U.S. government securities. C. Office of Management and Budget The Budget and Accounting Act of 1921 created the Bureau of the Budget in the Treasury Department that began the process of consolidating economic and budgetary information, expertise, and influence in the Executive Branch. The BOB was later moved to the newly established executive office of the president in 1939. The BOB was renamed the Office of Budget and Management in 1970 by Richard

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Nixon. The OMB prepares the annual budget, analyzes legislation for its impact on the budget and provides technical analysis and expertise. Council of Economic Advisors The Employment Act of 1946 created the Council of Economic Advisors (CEA). The CEA is comprised of a three-person board that prepares the president’s annual economic report and provides advice on the state of the economy. The CEA members are appointed by the president and confirmed by the Senate. National Economic Council Created by executive order in 1993, the National Council of Economic Council (NEC) consolidates economic information needed by the president and coordinates policy decisions with the president’s stated policy goals.

Fiscal Decision-Making: Budgets, Taxes and Spending The budget for the 2007 fiscal year was $2.27 trillion. In turn, the annual budget reflects the government’s programs, obligations, and responsibilities. The budget enumerates expenditures and revenues. Concerning revenues, the budget establishes how much money is to be raised, through what kind of taxes and fees, and on whom they will be enacted. Regarding expenditures, the budget reflects how the revenue will be spent, on what and whether more money is needed to fund the programs. A. Budget Preparations The federal budget is prepared in two major phases: 1. The process begins in the Executive Branch. a. The president prepares the budget for submission to Congress with the help of the OMB and other executive branch departments. b. The process begins with consultations between the executive agencies, the OMB, and the president. c. The OMB analyzes the input and requests of the agency and those of the president. 1) The OMB conducts hearings and estimates economic conditions. 2) The OMB and the president work closely to set guidelines for agencies to follow. 3) The OMB may force revisions of an agency’s budget. d. When the budget is finalized it is sent to Congress. 2. In Congress, the budget is debated by members a. The Congressional Budget Office (CBO) is charged with analyzing the budget and provides recommendations. The CBO is required to report to the House and Senate Budget Committees. b. The various standing committees (in 2017 there was 13) submit their revenue and expenditure projections to their respective budget committees. c. A concurrent resolution is created that sets overall expenditure levels and estimates revenue levels. d. The House Appropriations Committee formulates 11 separate appropriation bills.

e. f.

Each appropriation bill is voted on separately. If these bills breach the concurrent resolution, a process called reconciliation takes place to bring budgetary totals in line with spending limits (ceilings).

Taxing 1. Initially, the Constitution prohibited the national government from imposing income or property taxes. Yet, the Constitution did allow impost and excise taxes. Imposts are taxes on imports while excises are taxes on the sale of specific goods like liquor and tobacco. However, the ratification of the Sixteenth Amendment in 1913 permitted the federal government to tax income. 2. Between 1789 and 1815, import fees generated 90 percent of the federal revenue. 3. After 1815, import fees still provided a majority of the federal revenue; however, the cost of the Civil War prompted a temporary income tax. a. This was discontinued after the war ended. b. In 1894, the Supreme Court declared the federal income tax unconstitutional. 4. By 1910, taxes on alcohol and tobacco provided 50 percent of the federal revenue. 5. The ratification of the Sixteenth Amendment in 1913 imposed a direct income tax of 1 percent on incomes over $3,000 annually (the average income was $621). 6. Leading up to America’s involvement in World War I, the federal income increased from 15 percent in 1916 to 77 percent in 1981. 7. Between the world wars, income and excise taxes provided about 40 percent of the federal revenue with tariffs providing the rest. 8. In 1942, Congress passed the Revenue Act establishing a progressive income tax. a. In 1944, taxes ranged from 23 percent on the first $2,000 earned to 94 percent on incomes exceeding $200,000 a year. b. In the latter half of the twentieth century, federal revenue came from four principal sources: 1) Personal income tax 2) Corporate income tax 3) Payroll taxes for Social Security and Medicare 4) Excise taxes 9. Currently, the personal income tax accounts for 80 percent of federal revenues. 10. Ronald Reagan was elected president based upon the promise to reduce taxes in order to “grow” the economy. a. In 1981, Congress passed the Economic Recovery Tax Act reducing the income tax by 25 percent over three years.

Furthermore, the Tax Reform Act of 1986 collapsed tax rates into 3 categories reducing taxes on the upper bracket and removed over 6 million low-income taxpayers from the rolls. 11. Under the Clinton administration, taxes were raised on the upper incomebracket. 12. The Bush administration-initiated tax cuts, child tax credits, and lowered personal income taxes. 13. The Obama administration increased personal income and capital gains tax rates. 14. Then the new Trump administration initiated a major tax reform program that cut the corporate income tax rate and individual income tax rates. 15. In general, there are three types of taxes: a. A flat tax is a tax that takes the same proportion of income from the wealthy as from the poor. b. A progressive tax like the American income tax that takes a higher proportion from the wealthy than the poor. c. A regressive tax such as a payroll tax that takes a higher proportion from low earners than from high earners. Spending 1. In the 1800s, federal revenues were modest and spending was as well. a. Unbelievable by today’s standards, federal government expenditures (spending) did not increase between 1800 and 1860! b. However, the Civil War changed this. In 1870, federal expenditures were $7.76 per person (up from $2.00 per person in 1860). 2. Because of the federal government’s intervention in the economy, the implementation of social programs and land management programs, federal spending has increased dramatically in the twentieth century. a. Yet, prior to 2002, defense spending had decreased. b. The increase in spending has been attributed to the bourgeoning social welfare and entitlement programs such as Social Security and Medicare. In 1960, 30 percent of federal spending went to fund mandatory or entitlement programs. Currently, about 80 percent of federal spending is allocated to fund entitlement programs.

Domestic Social Programs and Their Challengers Domestic social programs include programs and funding for retirement, healthcare, education, of which all Americans are entitled. Social welfare programs include Social Security and Medicare. These programs are called social insurance programs in which prior payments into the program establish eligibility to draw money out once meeting program requirements. Funding for these programs come from payroll taxes (FICA). Another type includes Medicare, food stamps, and public housing assistance. These are called means-tested programs in which eligibility is established by low income and limited assets. These programs distribute goods and services to those individuals who are in the lower-income bracket.

Social Security 1. Social Security was enacted in 1935 in response to the detrimental effects of the Great Depression providing the elderly financial security upon retirement. 2. Social Security continues to be one of the most popular and largest federal entitlement programs. 3. When the first monthly payments were distributed in 1940, there were 42 workers paying in for every (1) retiree receiving benefits. a. By 1945, there ration had declined to 20:1. b. In 1955, it was 9:1. c. In 1975, the ratio plummeted to 3:1. d. In 2035, the predicted ratio is said to be 2:1. 4. The future of the program is in great jeopardy because: a. The current surplus is being spent by the Treasury on other government programs. b. Congress has opposed raising taxes because it is politically unpopular. c. Politicians are hesitant to reform Social Security due to the possibility that retirees will not support their bids for reelection. 5. However, there are numerous ideas on how to reform, or “shore up,” Social Security. These include: a. Raising the retirement age. b. Reducing benefits. c. Raising taxes. d. Allowing younger workers to invest money or place it into private retirement accounts. e. Raising the income cap on payroll taxes. f. Increasing the number of years needed to work before receiving full benefits. g. Supplement Social Security with other revenues. h. Establishing a pay-as-you-go system. Medicare and Medicaid 1. Medicare and Medicaid were established in 1965 as part of President Lyndon Johnson’s “Great Society” social welfare program. 2. The cost of providing healthcare has risen dramatically since the 1980s because: a. People are living longer. b. The research costs of developing new technologies and pharmaceuticals have been passed on to consumers. c. The 28 million Americans who were uninsured in 2017 have still demanded medical services, which has strained the budgets of many hospitals. 3. In 2016, Americans spent $10,348 per person or a total of $3.3 trillion on healthcare. 4. Medicare is an entitlement program open to all persons age 65 or older.

Medicare has become a very expensive entitlement program. Currently, the program serves about 58 million beneficiaries at a cost of $672 billion annually. b. Like Social Security, it is currently running a surplus today but is quickly moving toward a deficit. c. It is projected that Medicare will account for 15 percent of GDP by 2050! d. In 2003, Bush signed the new prescription drug benefit program that took effect in 2006. By 2009, 41 million seniors were enrolled in the program. The program cost $80 billion in 2016 and is expected to rise to $115 billion by 2020. 5. Medicaid, on the other hand, is a means-tested program run jointly by the federal and state governments to cover the health needs of the poor. a. In 2017, it served about 74 million people at a cost of more than $600 billion, $350 billion of which were federal funds. b. State governments, who are constitutionally forbidden to accrue deficits, have been especially hard hit by the high cost of providing medical services. c. The National Association of Governors and National Conference of State Legislatures are active in reducing healthcare costs. d. The Affordable Care Act (Obamacare) expanded the Medicaid system as one of the two principal means of increasing health insurance possession within the population. The other method is through mandating coverage and providing access to state-run cooperatives that provide managed access to insurance at a subsidized cost to the recipients. The Federal Role in Education 1. Throughout most of American history education has traditionally been the responsibility of state and local governments, and in many ways, it remains so today. a. After World War II, the federal government provided the GI Bill to encourage returning service personnel to pursue advanced education. b. In 1965, the Johnson administration enacted the Elementary and Secondary Education Act as one of its anti-poverty, civil rights, and Great Society initiatives. c. The American education system’s success and achievements are mediocre, at best. This has attracted attention from presidential candidates. When campaigning in 2000, Republican candidate George W. Bush advocated reforming the educational system. d. As President, George W. Bush initiated the “No Child Left Behind” program, that was enacted into law in 2001, requires annual testing of students in grades 3 through 8, an end to social promotions, upgrading teacher skills, and new services and options to parents of students in failing schools. a. The results are mixed: 1) Federal spending on elementary and secondary education

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doubled to about $40 billion in 2003. 2) Congress only provided 66 percent of the funding yet mandates that states follow strict guideline; in turn, 16 states have decided to abandon the program. This has led to further state budget deficits. 3) Over 25 percent of the country’s school systems have “failed” given the requirements and standards of the new Act. b. Critics have stated that local autonomy and flexibility is needed to curtail costs as the federal government has mandated these reforms be implemented and the standards adhered to, but only partially funds the program. In his 2009 stimulus program, President Obama included large, if only temporary, increases in federal funding of public schools i. States also competed for $4 billion in new “Race to the Top” funds intended to spur school improvement. ii. In 2015, No Child Left Behind was amended with limited funding. Though stimulus funding was expected to fall in 2011 and cease thereafter, states also competed for $4 billion in

The Dilemma of Deficits and Debt While many state governments are constitutionally forbidden to run deficits, the federal government is not. A budget deficit occurs when the government spends more money than it receives. Conversely, a budget surplus occurs when the government brings in more revenue than it spends. The accumulation of annual deficits across the years is known as the national debt. The concept of national debt has been a political issue since the beginning of U.S. government. Alexander Hamilton supported a modest debt while Thomas Jefferson called for all debts to be paid within twenty years. Jefferson believed it was immoral for one generation to burden the next. From 1800 to 1930, there were 90 years in which the federal government was in surplus while only 40 years were in deficit. Yet, from 1931 through 1998, the federal budget had a surplus in only 8 years and was in deficit 60 times. Between 1970 and 1997, the federal budget was in deficit every year. The years between 1998 and 2001 ran a budget surplus. However, due to a slowing economy, tax cuts, and the economic ramifications of the events on 9/11, these surpluses have been transformed into deficits. The height of budget deficits occurred in 2004 at a rate of $413 billion. In 2006, the budget deficit decreased to $248 billion and to $161 billion in 2007, before rebounding to $459 billion in 2008. The economic crisis that began in late 2008 drove the budget deficit to 1.4 trillion dollars. The 2010 and 2011 deficits were a slightly smaller $1.3 trillion. It declined to $1.1 trillion in 2012, to $439 billion in 2015, and was $603 billion in 2017. The myopic (short-term) vision of today’s policy-makers have prompted some scholars and economists to use the word “crisis” to describe the economic conditions facing future generations. A. Consequences of Economic Planning

The government can use monetary, fiscal, and regulatory policies to promote economic growth. However, there are tremendous differences on how this should be accomplished. 1. Growth a. History has shown that growth appears to have been around 4.5 percent. This means that the size of the economy doubled every 16 years. b. By 1930, the America was considered the most advanced country in the world. c. With the beginning of World War II, the economy grew rapidly which continued into the 1950s and 1960s. d. Nevertheless, foreign competition, high inflation, and rising unemployment began to suppress economic growth in the early 1970s. e. Many economists have suggested contemporary industrial economies cannot exceed a 2.5 percent growth rate without straining the labor market and igniting inflation. f. Yet, the global economy and more international markets should keep inflation low and allow for more growth. g. The exact growth rate desired by policy-makers is important because it will determine how much wealth is generated by the economy. 2. Fairness a. It is well established that American economic policy affects the performance of the national and international economy. With this in mind, it is reasonable to inquire into the fairness of these economic policies. 1) Taxing and spending policies have influenced the distribution of wealth and income within American society that has primarily benefited the upper and middle classes. In fact, growth has occurred in all economic levels other than the lower classes. 2) However, income distribution by race has also remained steady. Black and Hispanic income rates have amounted to 60 percent of that of whites. Yet, Asians and Pacific Islanders have an average income which exceeds that of white families.

LECTURE SUGGESTIONS Institutional/Current Events Focus: Maintaining the Safety Net for Seniors; Social Security I.

Background Established in 1935, Social Security provides lifetime monthly benefits to retired workers, disabled citizens, their spouses, and minor children. Initially, social security was considered a social needs program intended only to provide retirement for employees in the private sector, due to the impact of the Great Depression on the job market in 1929. The law was subsequently changed in 1939 by extending coverage to widows, and in a

few cases widowers, whose spouses died. Moreover, compensation to dependents of public and private employees who died or retired was also provided in the same year. Eleven years later, Social Security benefits were extended to those individuals who were self-employed, farm workers, members of the military, clergy, and state and local employees. In 1954, The Social Security Act of 1935 was amended further to provide disability insurance to those individuals who could prove loss of earnings due to a physical disability. The enactment of Medicare, which provided medical insurance to citizens ages 65 years and over, further augmented Social Security’s benefits under LBJ’s Great Society social programs. Finally, in 1972, amendments to the original 1935 Social Security Act guarantees cost-of-living-allocations based upon rates of inflation to all citizens 65 years of age and older. Recently, the retirement age was raised to 67 years. Consequently, Social Security is now the largest federal entitlement program that guarantees payments and provides medical benefits based upon contributions (taxes) from the incomes of those individuals currently employed. II.

Cause for Concern A. The Congress and the President overwhelmingly supported the Social Security Act of 1935 to provide greater security for workers. Ultimately, the growth of the entitlement program, as well as, other federal expenditures, illustrates how shortterm political decisions have unintended long-term effects. It is commonly accepted among presidential historians that the 1934 mid-term election provided a clear mandate for FDR and the Democratic Party to extend government funded work programs to provide relief to the 25 percent of Americans who were unemployed. B. However, an interesting political phenomenon has occurred which threatens the avuncular governmental programs: The quantity of retirees will begin to outnumber those individuals who are contributing to governmental entitlement programs, such as social security, producing what Jürgen Habermas termed a legitimation crisis. C. Based upon the scholarship of Talcott Parsons and John Maynard Keynes, the modern welfare state relies upon substantial inputs (taxes from those working) to fund the retirement programs, in this case Social Security. D. However, individuals belonging to the “Baby Boomer” generation are beginning to retire at a much higher rate than those individuals who are currently working and subsidizing social security. 1. Thus, the “input” (revenue) required cannot sustain the “output” (expenditures for retirees) necessary to fund social security and thus the retirement system’s (institutional mechanism) utility is abridged. 2. Furthermore, because the federal retirement system is largely underfunded, workers who are contributing to the system perceive Social Security as a failed program and are therefore not relying on the service for their retirement. 3. Consequently, retirement opportunities are being determined by other sectors of society, which has led to the aforementioned legitimacy crisis further perpetuating a negative perception of government’s ability to provide for Americans’ social needs.

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Policy Options (Premised on the foundation that these two entitlement programs should continue to be funded and implemented by the federal government) Political leaders are limited in their responses because they seek to appease both contributors (workers) and benefactors (retirees) to gain reelection. Hence, politicians are confronted with limited options to solve social security’s inadequacies. Yet, several reforms have been proposed including raising taxes to adjust for the input/output deficits, cutting benefits to retirees, or borrowing money to subsidize Social Security. A. Strengthening Social Security 1. There are specific ideas on how to reform, or “shore-up,” Social Security. These include: a. Raising the retirement age b. Reducing benefits c. Raising taxes d. Allowing younger workers to invest money or place it into private retirement accounts. e. Raising the income cap on payroll taxes. f. Increasing the number of years needed to work before receiving full benefits. g. Supplementing Social Security with other revenues. h. Establishing pay-as-you-go system. 2. Also, there are proposals that combine or modify the aforementioned reforms to buttress Social Security. B. Nevertheless, politicians have chosen to advance short-term gains (reelection) while ignoring the long-term problems associated with entitlement programs by borrowing money and subsidizing social security through deficit spending.

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Conclusion In turn, Social Security is slowly becoming insolvent. This has promoted concern as the legitimacy of our government is at stake because many younger workers do not believe they will receive any Social Security benefits despite the payroll tax being deducted from their paychecks for many years. Simply, workers pay for these programs once they join the workforce and expect to receive these benefits once they retire (i.e. they are entitled to them). Yet, given the declining birth rates and thus less money being paid into the Treasury to support these programs coupled with the increasing number of baby boomers retiring, it is projected that by 2033, Social Security will be running a deficit, as fewer people will be “paying into the program” (contributing) than “taking out” (receiving benefits). To complicate an already bleak scenario, the surpluses of the past have been spent on other programs and therefore the money contributed is no longer available. Further problems exist as politicians are not addressing the inevitable deficits, the fact that the cost of medical treatments and pharmaceuticals have risen, and politicians refuse to raise taxes to fund the program.

PROJECTS, EXERCISES, AND ACTIVITIES

As a research assignment, have the students explore historical arguments for and against the creation of Social Security. What were the original concerns of this program? What was the original purpose of this program? Once the students have gathered this information, ask them to explore the contemporary arguments for and against reforming the program. Is Social Security failing or have the expectations of the program changed? What are the proposed reforms to Social Security? Which ones are feasible and what would be the potential unintended consequences? Is reforming Social Security important? If so, why? If not, why not?

Ask students to read Brian Glenn’s The American Welfare State: A Practical Guide, which contains easily accessible, introductory chapters on the variety of state and national programs contained within each of the following areas of assistance: income assistance, housing assistance, nutrition assistance, and medical assistance. Organize the students into four groups to present on the following aspects of each of these assistance programs: a. What was the social or economic problem that the welfare program or series of programs was designed to address? What were and are now their social and/or economic objectives? Have they changed over time, or remained constant? b. How did the program come into existence? Who was involved in designing the program and its policies? Congress? The states? Other government agencies? The private sector, interest groups, or business? c. Governments garner compliance with laws and policies by persuasion, exchange, and/or coercion. To achieve their objectives, to what extent do these programs rely on individual or group incentives? Taxation? Other methods? d. How effective have the programs been in meeting their objectives? What variables would you use to measure their effectiveness?

Organize the students into groups to analyze current public policy proposals concerning: 1. Horizontal policy issues (policies affecting everyone) a. Energy b. Social Security c. Healthcare (Medicare and Medicaid) d. Defense e. Education f. Economic g. Law enforcement h. Environment 2. Vertical policy issues (affecting certain segments of society) a. Gun control b. Drug policy c. Gay rights d. Abortion e. Subsidies to specific industries and corporations f. Tort reform

g. Animal rights 4.

As a class exercise or for a research paper, have the students compare and contrast a regional trade agreement to a world (global) trade agreement. First, who negotiates these treaties? Second, what are the benefits of each type of agreement? Third, what are some ways regional and global treaties conflict and make it more difficult for global agreements, such as the Kyoto Protocol, to be ratified by industrial countries?

An important part of understanding legislation and court decisions is grasping the unintended outcomes of public policy choices. In a recent court case in Massachusetts, a federal judge ordered the state to fund a state inmates sexual reassignment surgery (http://www.bostonglobe.com/metro/2012/09/04/federal-judge-rules-state-mustprovide-sex-reassignment-surgery-for-michelle-kosilek-who-was-convicted-murdering-hiswife-man/oLBFbviLomMd7KT0VDcuNO/story.html). Ask your students to posit the various impacts that this decision may have as it ripples through the system. What are the intended outcomes? What are the potential unintended outcomes?

Consider the tax reform act of 2017 that was initiated by President Trump and passed by the Republican Congress with regard to the following types of government tools to buttress an optimal economy: 1. 2. 3. 4.

Traditional Conservatism, Keynesianism Supply-side Economics Monetarism

What was the intended objective of the tax reform act? Which one of these policy or regulatory tools best describes the logic behind the act? Do you believe this was a wise move? Why or why not?

ADDITIONAL RESOURCES Supplemental Readings Bauer, Raymond A. et al. 1963. American Business and Public Policy. New York: Atherton. Birnbaum, Jeffrey H. and Alan S. Murray. 1987. Showdown at Gucci Gulch. New York: Random House. Cohen, Jeffrey E. 1997. Politics and Economic Policy in the United States. New York: Houghton Mifflin.

Derthick, Martha and Paul J. Quirk. 1985. The Politics of Deregulation. Washington, DC: CQ Press. Glenn, Brian J. 2014. The American Welfare State: A Practical Guide. New York: Routledge. Greider, William. 1987. Secrets of the Temple: How the Federal Reserve Runs the Country. New York: Simon and Schuster. Habermas, Jürgen. 1975. Legitimation Crisis. Boston: Beacon Press. Monsma, Stephen V. 2004. Putting Faith in Partnerships: Welfare-to-Work in Four Cities. Ann Arbor: University of Michigan Press. Moynihan, Daniel Patrick. 1986. Family and Nation. New York: HBJ. Parson, Talcott. 1967. On the Concept of Political Power. New York: Free Press. Pierson, Paul. 2004. Politics in Time. Oxford: Princeton University Press. Stein, Herbert and Murray Floss. 1999. The New Illustrated Guide to the American Economy. Third Edition. Washington, DC: American Enterprise Institute. Stockman, David A. 1987. The Triumph of Politics: Why the Reagan Revolution Failed. New York: Avon Books (Macmillan). Wildavsky, Aaron. 1992. The New Politics of the Budgetary Process. Second Edition. New York: HarperCollins. Websites Federal Reserve System This website provides information about the Federal Reserve System, a regulatory agency in charge of monetary policy. Internal Revenue Service This is the website for the Internal Revenue Service. Access this site for any questions regarding tax law or policies. Tax Foundation This is the website for the nonpartisan research group, Tax Foundation, which educates citizens about tax policy. Social Security Administration

This site is the main Web page for the Social Security Administration that provides basic information on benefits, social security taxes, contact information, and major announcements relative to retirement issues. TANF This is a site sponsored by the Center on Budget and Policy Priorities that provides an overview of the Temporary Assistance to Needy Families program that replaced AFDC in the wake of the 1996 Welfare Reform Act. It is a good place for basic information as well as some analytical inquiry into the often divisive issue of social welfare. U.S. Department of Education This is the main Web page for the U.S. Department of Education providing information on federal grants, initiatives, and mandates regarding public education at all levels. It is a fine site to send students interested in a career in education to for information on this area of domestic policy. U.S. Department of Health and Human Services This site provides access to information on social programs administered, funded, or partially administered/funded by the U.S. government. It is a great resource site to recommend for students doing studies into these areas of social policy. U.S. Department of Labor This site is the main Web page for the Department of Labor containing access to information on the state of the U.S. economy and federal initiatives in the area of jobs and unemployment. U.S. Department of Commerce This is the main Web page for the U.S. Department of Commerce which provides information on the state of the economy and federal initiatives in the area of business and entrepreneurship. U.S. Department of the Treasury This site is for the U.S. Department of the Treasury and is an invaluable resource for information on the American domestic and international economies. Federal Emergency Management Agency When a disaster that has occurred in the United States overwhelms the resources of local and state authorities, FEMA coordinates their responses, including the provision of federal aid and financial resources.

Chapter 16 AMERICA’S PLACE IN A DANGEROUS WORLD FOCUS QUESTIONS Q1

Is it fair to say that the United States has been an expansionist power throughout its history?

One must remember that the early colonists immigrated to America to escape religious persecution, and/or pursue economic opportunities. Once arriving in North America, the opportunity to explore “the new world” and secure land for cultivation motivated many to move westward. After gaining independence from Great Britain, the concept of manifest destiny or the idea that the United States had the right to expand to the Pacific Ocean to the benefit of economic gain and military security is largely seen as an inherent power of the federal government. There are numerous examples of American expansionist policies. First, President Jefferson’s purchase of the Louisiana Territory from Napoleon for $15 million doubled the size of the United States. In addition, the federal government aided the republic of Texas in seceding from Mexico in 1836. After Texas was admitted into the Union, the United States went to war with Mexico to gain lands in what we know identify as the American Southwest. After the Civil War, the United States began to insert itself into international politics. Given the numerous revolutions in Latin and South America from Spanish rule, the United States began to recognize these new countries (Columbia, Mexico, Chile, Argentina, Brazil, and Peru) as sovereign nations. In 1823, President James Monroe proclaimed the Monroe Doctrine stating that the United States would view further colonization of the Western Hemisphere by European powers as hostile acts. In effect, these early examples of American expansionism have led to further international involvement in the nineteenth and twentieth centuries and explain America’s current status as an economic and military superpower.

What were our post-World War II political, economic and military strategies in relation to Western Europe, the Soviet Union, and Japan?

At the end of World War II, cities in Germany, Japan, Italy, and Northern Africa lay in ruins. This illustrated the Allies’ military capabilities but also provided an opportunity for the Western democracies to form international institutions that would embody democratic principles and advocate free market values. In turn, the United States would be the leader in facilitating global rebuilding. To this end, the United States instituted the Marshall Plan providing $15 billion in financial assistance to rebuild Europe between 1947 and 1953. To facilitate an international dialogue, the United Nations (UN) was formed in 1945 allowing all the nations of the world membership in order to “maintain international peace and security.” Furthermore, delegates to the Bretton Woods Conference of 1944 sought to

encourage international trade and development. Three components were necessary to accomplish this global economic structure: The International Monetary Fund (IMF), the World Bank, and the General Agreement on Tariffs and Trade (GATT). However, the United States had to build military alliances given the Soviet Union’s expansionist policies and ideological opposition to American capitalism. To this end, the United States designed the North Atlantic Treaty Organization (NATO) or a collective security pact formed in 1949 between the United States and 11 other Western democracies to oppose further Soviet expansion in Europe. President Harry Truman developed a policy known as the Truman Doctrine stating that the United States would actively support anticommunist forces globally in their battle against communism. In turn, the United States adhered to the idea of containment to limit Soviet power by supporting anti-communist forces and strengthening U.S. allies on the periphery of the Soviet empire. By pursuing a policy of containment, Western democracies believed that denying communism the opportunity to grow and expand would eventually lead to its decay and collapse. Q3

How does the United States wield its overwhelming economic and military power in the world today?

After World War II, the United States became a major economic and military superpower. Yet, the economies of Europe, Japan, and China now threaten America’s economic and military hegemony. During the past decade-and-a-half the United States has been occupied with fighting terrorist organizations. After the September 11, 2001, terrorist attacks the Bush administration advocated using military and economic power to promote American ideals and interests. Consequently, the Bush Doctrine radically changed American foreign policy, contending that doctrines of multilateralism, containment, and deterrence will not work against the twenty-first-century dangers of terrorism, rogue states, and weapons of mass destruction; in turn, the United States has the right to take preemptive action, if necessary, to defend itself against any terrorist threat. However, this proved to be a tough sell to the global community and the American public. The Obama election repudiated Bush’s neoconservative doctrines. Obama drew down over 90 percent of the troops fighting in Iraq and Afghanistan to approximately 10,000 troops deployed in north Africa, Iraq, Syria, and Afghanistan. The Obama administration evinced a deep reluctance to engage the military in new conflicts, preferring diplomatic solutions to those of force. Nevertheless, terrorist organizations continued to grow in power and reach in the Middle East and other countries, which presented the American military with a tremendous challenge to fight an enemy that is not a recognized state or regime. Inheriting an apparently diminishing War on Terror after the Bush and Obama years, the Trump Administration pursued an America First approach of withdrawal from global alliances and a national security strategy that protects the American homeland, promotes American prosperity, preserves peace through strength, and advances American influence in the world.

What responsibilities, if any, do the wealthy nations of the world have to the poorer nations?

The United States of America occupies a unique role in the new world order as the only major military superpower. Yet, other interrelated issues must be addresses including income, energy, and population. Developed nations account for 20 percent of the world’s population yet consume 66 percent of the world’s goods and services. Developing countries want to increase wealth in order to begin to consume more. This presents a dilemma as these developing countries must accept Western businesses to facilitate economic growth usually at the expense of their cultural practices. Depending on the country, this economic assistance is usually well received. Second, the developed countries use the vast majority of oil but have been forced to seek alternative energy sources. Subsequently, this may help developing countries that have sources of energy (for example Nigeria and countries in South America). Yet, the rift between developed nations and developing countries concerns population growth in the undeveloped nations. Developed countries view the world’s increasing population as alarming while developing nations counter that most resources are still being consumed by the developed world.

In light of our cultural, economic and military resources, what place should the United States seek to create for itself in the world of the twenty-first century?

Since 9/11, the United States stands as the only remaining military superpower. Yet, Americans are concerned that attention to foreign affairs has overshadowed domestic concerns. Currently, no other nation rivals the United States’ economic and military power. European and Asia countries have made remarkable strides to improve infrastructure and provide a much higher standard of living than ever before to their citizens. However, this has come with great assistance from Western democracies. Moreover, developing countries have benefited from foreign aid. For example, the United States contributes over 25 percent of all aid to Africa. Currently, the U.S. military involvement in Iraq and Afghanistan has stretched the military budget and the patience of the American public. Therefore, questions abound. Can or should the United States decline the role of “world policeman” and reduce military spending to concentrate its efforts on domestic or economic pursuits? On the other hand, should the United States continue to act as the guarantor of democracy, free trade and human rights throughout the world? These questions were relevant to the 2016 presidential election and the new administration of President Trump who questioned the relevance of longstanding alliances with western nations, desired to strengthen U.S. borders against undocumented immigration, and increased American military might to allow the country to act more unilaterally in global affairs.

CHAPTER OUTLINE: AMERICA IN THE WORLD The geographical location of the United States of America has provided a natural defense against foreign aggression. However, the tragic events of September 11, 2001 indicate

otherwise. Apparent after these attacks was that America’s enemies were not nation-states as was the case during the wars of the eighteenth, nineteenth and twentieth centuries. Furthermore, a diffuse, stateless, yet organized terrorist group who sought to indicate its dissatisfaction with Western values using American -owned commercial airlines as weapons forced policy-makers to reevaluate the United States’ foreign policy goals and instilled unprecedented fear within the American public. The twenty-first century poses great challenges to the United States, specifically what should be accomplished through foreign policy and how to achieve this. There are two ways a nation can pursue its interests in the world. Realists advocate that a nation should focus its attention and resources on protecting and expanding its national security and prosperity while others do the same. Idealists say that a nation such as the United States should promote its ideals of freedom, democracy, and opportunity in the world because we are most secure when others are safe, free, and prosperous. Realists depend on our hard power assets such as military and economic power. Idealists advocate soft power assets such as attractive values, culture, prosperity, and generosity. While idealists and realists agree on the importance of both hard and soft power, they weight them differently. Two avenues are suggested to gain compliance. First, Neo-liberalism attempts to gain concessions from other countries through economic cooperation and relations. Conversely, proponents of Liberal theory believe compliance can be achieved using economics to reward and punish countries. I.

The United States in the Old World Order In the seventeenth century, the major global powers of Europe included Great Britain, the Netherlands, France, Portugal, and Spain. Each country established colonial rule to gain a military advantage over the other countries, but colonization also provided raw materials and markets for commerce and global trading. A. Early Experience and Precedents 1. Wars were fought to control colonies throughout the world. 2. In the American colonies, the French, British and Spanish competed to control North America since the first landing at Jamestown, Virginia, in 1607. 3. It is important to note that American independence would not have been possible without these conflicts as the American colonists received financial and military support from France in their war with England. 4. After the colonists gained their independence from England, the French Revolution occurred and Europe was thrown into war: Britain supporting the monarchy versus the French who were democrats. 5. Prudently, President George Washington unilaterally proclaimed America’s neutrality in the European wars. This allowed the new republic to stay out of European politics and concentrate on domestic concerns. 6. America did benefit from these conflicts because they weakened the European powers. a. President Jefferson’s purchase of the Louisiana Territory from Napoleon for $15 million doubled the size of the United States.

c. d. e. f.

In 1812, President James Madison asked Congress to declare war against Great Britain due to its repeated violations of American commercial rights. With the defeat of Napoleon in 1814, England directed its attention toward America. Yet, the War of 1812, although fought in America, pitted Britain against France. Both nations desired to keep America from helping the other. The British sent 4,000 troops to land at Maryland and they proceeded to destroy the newly constructed capital in Washington, DC. The Treaty of Ghent ended the second war of English aggression and catapulted General Andrew Jackson, who won the Battle of New Orleans, to national fame. The long period of war in Europe and America drove the political powers in Europe to develop a “Concert of Europe” that would maintain the balance of power. Although the United States did not have a part in this meeting, American representatives began to insist the United States flex its international muscle. Given the numerous revolutions in Latin and South America from Spanish rule, the United States began to recognize these new countries (Columbia, Mexico, Chile, Argentina, Brazil, and Peru) as sovereign nations. On December 2, 1823, President James Monroe proclaimed the Monroe Doctrine stating that the United States would view further colonization of the Western Hemisphere by European powers as hostile acts. This formal declaration: 1) Guided American foreign policy throughout the nineteenth and twentieth centuries. 2) Established the United States as a regional and international power. While the Monroe Doctrine dealt with European influence in all of the Western Hemisphere, manifest destiny or the idea that the United States had the right to expand to the Pacific Ocean to the benefit of economic gain and military security dominated the American psyche. 1) The idea of manifest destiny led to the battle for independence in Texas. 2) This led to the Mexican-American War. 3) Furthermore, advances in communications and transportation after the Civil War propelled the United States to become the economic equal of global superpowers such as England and France. The Industrial revolution in the late nineteenth century produced dramatic changes to the American economy: 1) Manufacturing replaced agriculture as the dominant sector in the economy. 2) As a result, commercial enterprise began to seek more global markets.

The most significant change was the United States’ use of military power to secure economic interests in Chile, Peru, Cuba, and the Philippines and acquire territories including Hawaii and Samoa. l. On account of increasing international interests, the United States called for an Open Door Policy advocating countries such as China should remain open to free trade rather than remain under the control of Great Britain. In effect, America saw a market and wanted commercial access. m. This challenged traditional powers like Britain who called for “spheres of influence.” n. Yet, President Woodrow Wilson’s failed attempt to rally public opinion to support a League of Nations in the early 1920s indicated America’s reluctance to become an international leader. As a result, the United States returned to isolationism. However, this would be short-lived as a new global menace was emerging in the Weimar republic in post-war Germany. World War II and World Power Status At the end of World War II, cities in Germany, Japan, Italy, and Northern Africa lay in ruins. This illustrated the Allies military capabilities but also provided an opportunity for the Western democracies to form international institutions that would embody democratic principles and advocate free market values. In turn, the United States would be the leader in facilitating global rebuilding. However, one of America’s allies in World War II, The USSR, sought to promote communism, which is opposed to the Western democracies’ values of capitalism, individualism. Consequently, the end of World War II produced a new war, a cold war, between former allies. 1. Containment of the Soviet Menace a. The period following the end of World War II and lasting until the mid1980s is described as the cold war era characterized by an atmosphere of continuous hostility short of actual warfare that existed between the United States and the Soviet Union. b. U.S. foreign policy incorporated a bipolar approach whereby policymakers sought to strengthen friendships and weaken enemies. 1) The United States’ postwar foreign policy vision was greatly influenced by the former ambassador to Moscow, George Kennan, who asserted in the 1947 article in Foreign Affairs magazine that the United States must adopt a policy of containment against Soviet expansionism. 2) This idea of containment was a long-term goal to limit Soviet power by strategic deterrence that strengthened U.S. allies on the periphery of the Soviet empire. 3) Almost immediately, this foreign policy was implemented by: (a) The Marshall Plan that provided $15 billion in financial assistance to rebuild Europe between 1947 and 1953.

(b)

President Truman developed a policy known as the Truman Doctrine stating that the United States would actively support anticommunist forces globally in their battle against communism. (c) By pursuing a policy of containment, Western democracies believed that denying communism the opportunity to grow and expand would eventually lead to its decay and collapse. Cold War Security: NATO, the Warsaw Pact, and Deterrence a. The first part of America’s foreign policy was to build alliances. To this end, the United States designed the North Atlantic Treaty Organization (NATO) or a collective security pact formed in 1949 between the United States and 11 other Western democracies to oppose further Soviet expansion in Europe. b. The Soviets responded by forming an alliance of their own among Eastern European regimes, known as the Warsaw Pact. c. Each side adhered to a strategy of deterrence or the military doctrine seeking to amass sufficient power to prevent, or deter, an opponent from resorting to force. d. The collapse of the Soviet Empire in the late 1980s redefined NATO’s role in the world. NATO’s membership became more inclusive by: 1) Accepting former countries of the Soviet empire (Poland, Hungary, Latvia, Slovakia). 2) Developing a more flexible military structure to deal with trouble in and around Europe. United Nations: International Order versus Terrorism a. In 1945, the United Nations (UN) was formed allowing all the nations of the world membership in order to “maintain international peace and security.” 1) Located in New York City, the UN provides a forum for discussing a full range of international issues and has major peacekeeping responsibilities. 2) The UN’s principal components are the General Assembly and the Security Council that provides permanent seats to China, Russia, Great Britain, France, and the United States who hold veto power during Security Council votes. b. The UN’s effectiveness in providing refugee relief and international peacekeeping strategies has been overshadowed by mismanagement and corruption: 1) Iraqi oil-for-food program. 2) Sexual exploitation of African girls by UN peacekeepers. 3) The inability to stop genocide in Rwanda and Darfur. c. UN Secretary General, Ban Ki-moon, has promised to enact U.S. led reforms, but the complicated relationships among the permanent members has been strained by Russia’s new nationalism and the United

II.

States’ military policies in Iraq and Afghanistan. In turn, reforming the UN will continue to be very difficult. IMF, World Bank, and GATT a. At the end of World War II, the delegates to the Bretton Woods Conference of 1944 sought to encourage international trade and development. Three components were necessary to accomplish this global economic structure: 1) The International Monetary Fund (IMF) was designed to monitor the system of fixed currency exchange rates and now seeks to assist nations in managing debt. 2) The World Bank provides capital to finance reconstruction and development. Initially, this organization concentrated on rebuilding Europe but now focuses on the plight of developing countries. 3) The General Agreement on Tariffs and Trade (GATT) were a series of international treaties, (the first completed in 1947, the most recent in 1994), designed to rationalize and reduce tariff and non-tariff barriers to international trade. In January 1995, the World Trade Organization (WTO) replaced GATT. b. These three organizations, plus the Marshall Plan and strategic alliances have served the interests of the United States. Yet, the War on Terror has strained these alliances.

The United States in the New World Order The collapse of the Soviet Union prompted the United States to sit at the head of the international table as the sole superpower. However, events in the twenty-first century have challenged American hegemony. The 9/11 attacks exposed American vulnerabilities. Second, the emergence of economic powers including China, India and the European Union compete with the United States to gain access to expanding international markets. In turn, other countries are now poised to challenge America’s economic and military power. A. The Global Economy In the early 1950s, the United States became an economic and military superpower. 1. Post-World War II Economic Dominance a. The American economy grew 50 percent during World War II. b. In 1945, the U.S. economy accounted for more than 60 percent of the value of manufactured goods produced in the world. c. The United States implemented the Marshall Plan that combined economic expansion with the strategy of containment. Hence, the United States was able to mold global economic order via IMF, World Bank, and GATT. d. Yet, America’s role in the international economy receded during the 1960s and 1970s, which sparked concern among policy-makers whether

this signaled a controlled return to a more natural position within the world economy or an uncontrolled slide to marginality. e. The economic boom beginning in the mid-1990s signaled confidence in the American economy. The Growth of a Multipolar World Economy a. In the last quarter of the twentieth century three super economies emerged in Europe, North America, and Asia. b. Each economy faced a decision whether to become a closed market or engage in trade negotiations with other countries, in turn, forming trading blocs. c. It is important to note that trading blocs form among nations with similar political, cultural, and economic structures. 1) The European Community (EC), including Western European countries, was formed in 1957 during the Treaty of Rome. 2) Also, the European Free Trade Association (EFTA) was formed to further the economic interests of Northern European countries. 3) In 1991, the EC and EFTA formed the European Union (EC) and established a common market and currency among 27 countries and accounts for $13 trillion in economic activity per year. 4) A second major trading bloc is the North American Free Trade Agreement (NAFTA), which includes Mexico, Canada, and the United States. 5) In 2004, the new Central American Trade Pact (CATP) was signed and work continues among 34 countries of the Western Hemisphere on the Free Trade of the Americas (FTAA) initiative. 6) The third trading bloc comprises East Asian countries such as China, Hong Kong, Singapore, South Korea, Indonesia, Taiwan, and Japan. 7) Former developing countries such as Vietnam and Thailand have become active in forming trading blocs which are illustrated by the 10 nation Association of Southeastern Asian Nations (ASEAN) that will go into effect in 2010. d. However, two problems stand in the way of continued global trade liberalization: 1) Countries including Japan and China have succeeded to this point by exporting aggressively while keeping domestic markets closed (a form of economic protectionism). 2) There are important human rights, labor, and environmental issues that must be considered. Global Competition and U.S. Competitiveness a. Prior to World War II, the American economy was dominated by American businesses (i.e. self-contained). b. With the move towards globalism, cooperation, and business ownership has become complex.

Global competition, defined as the competition of producers for sales within their own market and in each other’s markets, has increased competitiveness, profits and consumer choices. The Role of U.S. Military Power: Hegemony or Empire Realists argue that the United States should exercise its economic and military power to advance its own interests. Idealists assert U.S. power should be used to advance peace, prosperity, and human rights. Thus, the debate concerns how the United States should use its position in the and to what end this serves? The Scope of U.S. Military Power 1. Currently, the United States enjoys a military predominance unequalled in world history. 2. The U.S. military, while not the largest, is certainly the most technologically advanced. a. The U.S. military expenditures buy both quantity and quality concerning weaponry. b Also, the United States is the only nation in the world with a global basing structure, air and sealift capacity to deploy large amounts of military equipment or troops and the telecommunication technology to integrate and coordinate air, sea, and ground forces anywhere in the world. 3. However, the cost of weapon systems, fighter jets, and ships along with current troop deployments in Iraq and Afghanistan amounting to over 150,000, while recruiting remains stagnant has led many to question augmented defense expenditures. Military Hegemony and the Bush Doctrine 1. The collapse of the Soviet Union and the end of the cold war initially provided a “peace dividend” of reduced military spending and increased domestic spending. However, the events of 9/11 changed this. 2. In response to these tragic events, President George W. Bush established the Bush Doctrine signaling a radically new direction for American foreign policy. The Bush Doctrine held that, since the classic Cold War Doctrines of multilateralism, containment, and deterrence will not work against the twentyfirst-century dangers of terrorism, rogue states, and weapons of mass destruction, the United States had the right to take preemptive action, if necessary, to defend itself against such threats. a. This view of America’s role in the new world order involved unilateralism and preemptive action to protect national security and promote American supremacy in the global community. b. Critics of the Bush Doctrine point to its overreliance on military power, disregard for the use of international organizations, neglecting diplomacy and the use of military preemption. Global Stance under Barack Obama 1. With eight years of fighting in Afghanistan and five years in Iraq, the American public tired of the fighting and elected a new administration in a bid to end both wars.

III.

President Barack H. Obama preferred political diplomacy to military force to resolve disputes within and among nations. In addition, Obama sought out opportunities to build political coalitions to gain the support of allies to jointly resolve regional disputes. a. The Obama administration ended the Iraq War in 2011 and the War in Afghanistan in 2014, while leaving U.S. military personnel in both countries for training of government troops. b. In the interim between the ability of the Iraqi and Afghanistani governments’ ability to defend themselves and the renewed uprising and swift accumulation of territory by powerful insurgents and their ability to engage in terrorism throughout southeast Asia, the Middle east, the Levant, north Africa, and Europe forced the Obama administration to reinforce and increase once again U.S. military presence in these regions. c. The resurgence of the Russian military with its annexation of Crimea and presence in Syria as well as Chinese territorial claims in the Pacific for apparent military ends have posed new challenges to the West and the Obama administration and its successor. Donald Trump’s National Security Strategy 1. The 2016 presidential election resulted in the instauration of a new and unconventional administration with Donald Trump at the helm. 2. President Donald J. Trump preferred an “America First” approach to domestic and foreign policy that evinced an emphasis on border protection to prevent illegal immigration and challenged the continuance of inherited military alliances and international trade and diplomatic arrangements perceived as unfair to the United States. a. The Trump administration based its National Security Strategy on the following four pillars: i. Protection of the American people, the homeland, and the American way of life ii. Promotion of American prosperity iii. Preservation of peace through strength iv. Advancement of American influence

The Burden of the Old Order on the New Income plays a key role in constraining energy and population. A. Energy 1. Energy powers the economic engines of the world. Yet, questions including who has it, who gets it, and at what price are paramount to the United States as the largest consumer of energy. 2. While sources of energy have been readily available, since the 1970s oil production has shifted from Western run companies to Middle-Eastern countries. Consequently, the United States has relied on foreign oil markets, specifically the oil producing nations comprising the Organization of Petroleum Exporting Countries (OPEC). OPEC is the commodity cartel of mostly Middle

IV.

Eastern oil-producing nations. OPEC exercises more control than any other organization on both the volume and price of oil in the international economy. 3. In the years 1973-1974 and 1979-1980, it became apparent how dependent Americans were on foreign oil as the price of a barrel of crude went from $3 per barrel to $40. 4. Dramatic changes in oil prices forced nations to deal with higher energy prices. In 2005, the average price for a barrel of oil was $50. In 2008, the price per barrel rose to $100. In 2020 prices seemed to stabilize at about $60 a barrel. 5. OPEC supplies 30 percent of the world’s oil and sits on 72 percent of the world’s known oil reserves. 6. Increased demand from populous countries such as India and China has only contributed to higher prices. 7. Alternatives to traditional fuels continue to be explored. These include coal, natural gas, nuclear power, ethanol (corn-based fuel), and other renewable energy sources like thermal and hydroelectric power. 8. Estimates suggest that more than 75 percent of world energy and 80 percent of U.S. energy in 2040 will be from oil, coal, and natural gas. World Population 1. The world’s population is growing at an astounding rate. Moreover, improvements in food production and healthcare have led to longer life spans. 2. The current global population is 7.8 billion with a projected population of 9.7 billion by the year 2050. 3. After economic growth, population growth separates developed nations from developing nations. Each has different perspectives: a. Developed nations see the world’s population as too large. b. Developing nations view developed nations as consuming the world’s resources and, therefore population is not the problem.

What Should America Be in the World? The United States is the leading military and economic power today. The integration of the world economy, the rise of global terror, threats to the environment, and population growth increasingly present the United States with complex and difficult choices in both domestic and foreign policy. Militarily, the U.S. involvement in Iraq and Afghanistan has stretched the military budget and the patience of the American public, with many Americans concerned that attention to foreign affairs has overshadowed domestic concerns. Questions abound: Can or should the United States decline the role of “world policeman” and reduce military spending to concentrate its efforts on domestic or economic pursuits? European and Asian countries have made remarkable strides to improve infrastructure and provide a much higher standard of living than ever before to their citizens. On the other hand, should the United States continue to act as the guarantor of democracy, free trade, and human rights throughout the world?

LECTURE SUGGESTIONS Current Events/American Political Development (APD) Focus: The Bush Doctrine I.

Background With the end of the Cold War, economic power has challenged the primacy of military power. Thus, the world is economically multipolar and increasingly militarily multipolar, as China and Russia have heavily invested in their military establishments. The Gulf War of 1990-1991, provided the first test to the United States’ military hegemony. President George Herbert Walker Bush (41) assembled a coalition of countries to oust Saddam Hussein from Kuwait. However, his son, President George W. Bush (43), had a decidedly different approach to conducting foreign affairs. Specifically, the Bush Doctrine of 2002 rejected the tenets of the Cold War Doctrine of containment, multilateralism, and deterrence; instead, foreign policy is premised upon unilateralism, preemption, and military supremacy.

II.

The Rise of the Bush Doctrine A. At the end of the Gulf War, neoconservatives specifically Paul Wolfowitz, Dick Cheney, William Kristol, and Richard Perle, views the United States’ decision not to intervene in the Iraqi uprising in Southern Iraq as a missed opportunity to remove Saddam Hussein from power. B. In response, Under Secretary of Defense, Paul Wolfowitz, drafts a new “military and political strategy” to address the global changes in a post-cold war era. In the 1992 document, Defense Planning Guidance, he advocates the need for the United States to act unilaterally and preemptively to prevent the proliferation of weapons of mass destruction. C. In 1995, Saddam Hussein’s son-in-law who heads the Iraqi Weapons of Mass Destruction program defects and informs the United States and UN weapons inspectors of Iraq’s production of biological and chemical weapons. It is important to note that chemical weapons were used on the Kurds in 1988, which prompted the United Nations to enact sanctions and send weapons inspectors into Iraq. D. In 1998, neoconservatives form The Project for as New American Century to promote stronger and more aggressive U.S. leadership in global affairs via “military strength and moral clarity.” The aforementioned neoconservatives plus Donald Rumsfeld, Richard Armitage, and John Bolton submit a letter to President Clinton advocating a more decisive approach to Iraq. Specifically, they believe the current policy is “dangerously inadequate” and Saddam Hussein must be removed from power. E. In October 1988, the UN inspectors are removed from Iraq because Hussein has, once again, violated conditions of the UN Security Council resolutions. Between December 16 and 19, 1998 the U.S. and British launch attacks against Iraqi military targets. The mission is called, Operation Desert Fox. F. In January 20, 2001, George W. Bush becomes president and assembles a cabinet dominated by neoconservatives but also includes “pragmatic realists” such as

Secretary of State, Colin Powell, and National Security Advisor, Condoleezza Rice, who advocate continuing sanctions against Iraq. The neoconservative approach to foreign affairs becomes evident after the September 11, 2001 attacks when Bush addresses the nation and asserts that the United States government “makes no distinction between the terrorists who committed these acts and those who harbor them.” Two days later at a Pentagon briefing, Wolfowitz proclaims, “I think one has to say it’s not just simply a matter of capturing people and holding them accountable, but removing the sanctuaries, removing the support systems, ending states who sponsor terrorism. And that’s why it has to be a broad and sustained campaign” which prompts realists to question the administration’s intention to expand a war on terror to a war on states (specifically, Iraq) In a meeting at Camp David on September 15, Bush convenes his advisors and Cabinet Secretaries to discuss the military response to the 9/11 attacks. The decision to attack Al Qaeda and the Taliban in Afghanistan is supported by the Cabinet (Secretary of Defense, Donald Rumsfeld, abstained from voting). In January 2002, George Bush addresses the nation in the annual State of the Union Speech and identifies Iran, Iraq, and North Korea as an “Axis of Evil.” Within the speech, Bush presents the idea of rogue states colluding with terrorists that threatens the free world. In June 2002, Bush is the commencement speaker at West Point and outlines a “major shift in national security strategy from containment to preemption.” Bush also advocates the aim of America is to continue military hegemony. This refers to the 1992 document, Defense Planning Guidance, written by the current Assistant Secretary of Defense, Paul Wolfowitz. The Bush administration is fractured between pragmatic realists (Powell, Rice) and neoconservatives (Rumsfeld, Wolfowitz). On August 5, 2002 Colin Powell advises the president should not attempt to act unilaterally as European countries including Germany and Russia are concerned action in the Middle East may escalate tensions. Many former Cabinet officials from the Bush (41) administration share Powell’s concerns. In the August 15 edition of the Wall Street Journal, former National Security Advisor, Brent Scowcroft, warns the current approach to Iraq is “moving too quickly” and the president should allow more time for diplomacy and inspections to proceed. Soon after this editorial, Vice-President Dick Cheney, while addressing a Veterans of Foreign Affairs group in Nashville, advocates a long-term strategy of regime change that would transform the Middle East and “advance the Israeli-Palestine peace talks.” On September 17, 2002, the Bush administration formally submits its National Security Strategy maintaining a radical change in foreign policy. This document incorporates tenets of the 2002 Defense Planning Guide composed by Wolfowitz, including a reliance on preemption when dealing with rogue states, the need for American military hegemony and the use of military power to ensure economic supremacy and provide for national security.

(Source: http://www.pbs.org/wgbh/pages/frontline/shows/iraq/etc/cron.html) III.

The End of the Bush Doctrine With the nation weary of more than a decade of war, the administration of newly-elected Barack Obama ushered in an approach to foreign and military affairs that was distinctly different from the Bush doctrine. Obama emphasized leadership through diplomacy to solve complex problems through rather than overly emphasizing reliance on force. In times of war abroad, he insisted that foreign governments play a larger role of engaging the enemy directly instead of relying solely on U.S. military presence. In addition, Obama also sought engagement through diplomacy to resolve, or at least redress, historical animosities with other countries that were no longer of any relevance to the well-being of either side. In response, Trump initiated the extraction of U.S. troops from Afghanistan.

Institutional Focus: The War Powers Resolution I.

Background A. Primarily due to the perception that Executive powers must be curtailed, Congress passed the War Powers Resolution in 1973 over a presidential veto by Richard Nixon. Consequently, this legislation placed restrictions on the president’s ability to use military force. B. Opponents of the resolution contend the president, as Commander in Chief, must possess the right to respond immediately to international threats and attacks on U.S. territories, embassies or allies. Consequently, opponents of the resolution believe this legislation may impede the presidential powers of dispatch, energy, and resolve.

II.

The 1973 War Powers Resolution A. The president is mandated to do the following when deploying military troops without the prior approval of Congress: 1. Section 4 states, the president must report in writing to Congress within 48 hours after deploying troops where hostilities have occurred or are imminent. 2. Section 5 asserts if Congress does not declare war, offer specific statutory authorization or vote to continue troop deployment within 60 days, the president has an additional 30 days to withdraw the troops. (Therefore, the president may have “boots on the ground” for a total of 90 days without a formal declaration from Congress). 3. If Congress passes a concurrent resolution (which the president cannot veto) mandating the removal of the troops, the president must comply. 4. Finally, if Congress does not authorize the continued deployment of American troops (barring they are not prevented from doing so because of foreign attack or insurrection) the president must withdraw the troops. B. The War Powers Resolution has had very little effect on the actions of the presidents. 1. In fact, no president has acknowledged the resolution’s constitutionality.

Also, Congress is reluctant to challenge the president because they can only discontinue funding the operation. This would be seen as a political maneuver with drastic results. Consequently, many constituents would find this troubling, as the troops would be placed in severe and imminent danger.

PROJECTS, EXERCISES, AND ACTIVITIES 1.

In Robert Wright’s book, Nonzero: The Logic of Human Destiny, the author proposes that the history of human evolution is largely indicative of cooperation. Consequently, human societies have become more advanced through non-zero games where both sides benefit from interactions (this contrasts with a zero-sum game in which one side gains at the expense of another’s loss). In turn, globalization is natural. Moreover, Wright posits that world governance may be achieved by cooperative strategies among countries. This is a great thesis as it addresses human nature and is sure to spur class discussions exploring if this is utopian or practical. If so, how can this be achieved?

As a classroom exercise or assignment, have the students compare the Bush Doctrine of unilateralism with the Cold War Doctrine of multilateralism. What are the differences between the two approaches to foreign policy? Is one schema superior to the other given the new world order attributed to twenty-first-century globalism? (See: Suggested Lecture: Bush Doctrine.)

As a classroom exercise or assignment, have the students compare and contrast the Bush Doctrine of unilateralism, Obama’s preference for diplomacy and collation building, and Trump’s promotion of ”America First” and withdrawal from an active role in international politics. Consider the following questions: a) b)

What are the differences between the two approaches to military engagement and foreign policy? Is one schema superior to the other given the growing and destabilizing presence of terrorism throughout the world?

U.S. presidencies have implemented emphasized conflicting approaches to foreign policy according to diverse political to support regime change, to influence the domestic policies of foreign leaders, and to encourage favorable trade conditions. Now that your students are well acquainted with American democracy and the fundamental principles of what allows a government to successfully operate, ask them to consider our relationship with one of our nearest global neighbors. Break students into groups and have them investigate American foreign policy initiative toward Mexico. Ask students to posit what kinds of foreign policy initiatives could strengthen Mexican democracy or impact the ongoing drug war? How might these

initiatives, if successful, impact Mexico-American trade relations? How might it affect other cross-national issues like human trafficking, drug trafficking, immigration, etc.? 5.

President Trump’s National Security Strategy argued that its four pillars would again make America strong enough, economically and militarily, to be secure at home and to lead abroad. And yet, President Trump also emphasized the need to withdraw from a postWorld War II globalist vision. Discuss the following questions: a) b)

Were these two positions compatible? Why or why not? Now, compare and contrast Trump’s approach to military and foreign affairs with the Bush Doctrine of unilateralism and Obama’s preference for diplomacy and collation building. In what ways did the three presidential administrations defer in their approaches? How were they similar?

ADDITIONAL RESOURCES Supplemental Readings Allison, Graham T. 1971. Essence of Decision: Explaining the Cuban Missile Crisis. Boston: Little, Brown. Axelrod, Robert. 1981. The Evolution of Cooperation. New York: Basic Books. Barber, Benjamin. 1995. Jihad v McWorld. New York: Times Books. Barnett, Thomas P.M. 2004. The Pentagon’s New Map: War and Peace in the 21st Century. New York: Berkeley Books. Chirot, Daniel and Clark McCauley. 2006. Why Not Kill Them All? The Logic and Prevention of Mass Political Murder. Princeton: Princeton University Press. De Waal, Frans. 1998. Chimpanzee Politics. Revised Edition. Baltimore: Johns Hopkins University Press. Friedman, Thomas L. 1999. The Lexus and the Olive Tree: Understanding Globalization. New York: Farrar, Strauss and Giroux. Frisch, Morton J. 2007. The Pacificus-Helvidius Debates of 1793-1874. Baltimore: Liberty Fund. Hudson, William E. 2017. American Democracy in Peril: Eight Challenges to America’s Future. 8th Edition. Los Angeles: CQ Press.

Huntington, Samuel P. 1996. The Clash of Civilizations and the Remaking of World Order. New York: Simon and Schuster. Juergensmeyer, Mark. 2003. Terror in the Mind of God: The Global Rise of Religious Violence. Berkeley: University of California Press. Kant, Emmanuel. 1795. Perpetual Peace. New York: Great Books Foundation. Lord, Carnes. 2003. The Modern Prince: What Leaders Need to Know Now. New Haven: Yale University Press. Machiavelli, Niccolò. 1935. The Prince. New York: Mentor Books. Pape, Robert A. 2006. Dying to Win: The Strategic Logic of Suicide Terrorism. New York: Random House. Rosen, Stephen Peter. 2005. War and Human Nature. Princeton: Princeton University Press. Silverstein, Gordon. 1996. Imbalance of Powers: Constitutional Interpretation and the Making of American Foreign Policy. New York: Basic Books. Stern, Jessica. 2003. Terror In the Name of God: Why Religious Militants Kill. New York: Harper Collins. Wright, Robert. 2000. Nonzero: The Logic of Human Destiny. New York: Vintage Books. Wriston, Walter B. 1992. The Twilight of Sovereignty: How the Information Revolution is Transforming the World. New York: Charles Scribner’s Sons. Websites Council on Foreign Relations This is the website for the Council on Foreign Relations, which provides non-partisan analysis of international affairs. CIA This is the official website of the Central Intelligence Agency. Access this site before traveling to another country! The CIA provides valuable information concerning other countries’ laws, customs, and provides travel warnings that are useful to those individuals traveling internationally. NATO The official website of the North Atlantic Treaty Organization (NATO) a cold war left-over that provides collective security for its member-states in which the United States is a leading actor.

U.S. Department of State This link provides access to the website of the United States Department of State. The Web page provides information on the agency, locations of U.S. embassies, and information about other countries. United Nations The official website of the United Nations providing up-to-date information on world affair as it relates to the global governance procedures of this international organization. U.S. Department of Defense This site provides access to the entire component sister services of the U.S. military, the Army, Navy, Air Force, and Marine Corps as well as the Coast and National Guards. It has video clips and is updated with defense oriented news on a daily basis. In particular, it has up-to-date briefings on the ongoing wars in Afghanistan and Iraq. It is a good source to guide students to for basic information for research purposes as well as those who may be considering enlisting or pursuing a commission in our armed forces. U.S. Department of Homeland Security The Department of Homeland Security (DHS) is the third largest Cabinet department and is charged with securing the country by providing border security. U.S. Immigration and Customs Enforcement A unit of DHS, ICE enforces more than 400 federal statutes, and focuses on preventing terrorism and combating the illegal movement of people and trade.