Principles of Government: Definitions
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Government: The institution through which a society
makes and enforces its public policies
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Public policies: All the things a government decides to
do (ex: tax cuts, maintaining military, social programs,
road building). Also includes things government
decides NOT to do! EX: AIDS, Bin Laden in 1996,
Spanish-American War telephone tax*
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Politics: Who gets what, when, and how
More Definitions--Government
Power—the ability of actor A to make actor B comply
with actor A’s intentions
 Authority—the right to use power
Granted by: law, states, constitution
 Legitimacy—a characteristic that makes institutions
that grant authority have a legal right to do so.
 No government in the United States would be
considered legitimate if it was not democratic
Examples of legitimacy: Ratification of the
Constitution; Civil War was a test of legitimacy, states’
rights.
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Two Political Questions
Who governs?
 To what ends?
 These are two distinct questions, but they are related.
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1st Q: Whoever has power will use it to their
advantage, to get their policies into law and stifle
opposition. EX: LBJ and Great Society, Bush tax cuts
 2nd Q: Power-owners can also decide how much
control government has over your life—ex: taxation
used to be only on extremely rich, civil rights
legislation
 All governments combined in America spend 1/3 of
$8T GDP
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4 Characteristics of States
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State: A body of people, living in a defined
territory, organized politically, and having the
power to make and enforce law without the
consent of higher authority.
Population
 Territory
 Sovereignty—the exclusive right to control
your external and internal affairs
 Government
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Theories About the Origins of
the State
Force Theory
 Evolutionary Theory—primitive family
leads to a clan, clan leads to a tribe, tribe
gives up nomadic behavior
 Divine Right Theory—rule by the grace of
God, etc.
 Social Contract Theory
(Locke/Harrington/Hobbes/Rousseau)
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Purposes of Gov’t: Why have States?
Reasons can be found in Preamble of U.S. Constitution:
 To form a more perfect union
 To Establish Justice
 To Insure Domestic Tranquility (Fed #51 and
Madison, “If Men were angels…”
 To Provide for the Common Defense (US Military,
National Guard)
 To Promote the General Welfare (schools)
 To Secure the Blessings of Liberty (Life, Liberty,
PropertyHappiness)
 Also: police power, provide public goods, socialize
young into political culture (schools)
Classifying Governments by
the # who participate
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Democracy– rule by majority*
Consists of: equality in voting, effective participation,
free press/speech/citizen knowledge, citizens control
agenda, and inclusion of all
Sidepoint: Democracy was not universally agreed
upon, even at the 1787 Constitutional Convention!
Oligarchy--rule by the few
Monarchy/dictatorship—rule by one
Dictatorships can be authoritarian or totalitarian—
most modern are Totalitarian.
Flavors of Democracy
Can be direct, Aristotelian “Pure democracy” or indirect,
representative democracy).
 Pure Democracies rare, ex: Greek polis, NE “Town
Meeting”….late “devolution revolution”
 Impracticable in today’s world—population size, people are
emotional, not rational
 Representative democracy—government by popular consent by
which the people, who are sovereign, elect representatives to
carry out their wishes in government.
 Representative democracy mediates views—it is not designed
to do what you exactly want it to do!
 Communists/Dictators make “Democratic Centralism” claim—
they rule on behalf of the good of people, so they are
democratic. PRC and Cuba are classic examples.
 Lenin: Elections are survival strategy of bourgeoisie
 99.92% example in Iraq
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Basic Democratic Concepts
Fundamental Worth of the Individual—each person’s
worth and dignity must be recognized and respected
 Equality (of opportunity and before the law)—
everyone must be treated the same, although results
are not guaranteed
 Majority Rule/Minority Rights—Majority wins, but
cannot “stomp out” the minority views.
 Necessity of Compromise—two dissenting views must
cut “deals,” work together to get things accomplished.
Example: new Education bill, tax cut of 2001
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Classifying Democratic Governments
by Relations between
Executive and Legislative Branches
Definitions:
 Legislative Branch—makes the laws (Congress in the
U.S.)
 Executive Branch—carries out the laws (The Presidency
and the 14 (15? 16?) Cabinet departments
 2 types:
 Presidential Gov’t—President and Cabinet not members
of Leg. Branch (US)
 Parliamentary Gov’t—PM and cabinet are part of Leg.
Branch (Britain)
Lack of gridlock in Parl. System, less stable though. Vote
of No Confidence can remove government.
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Classifying Governments by
Geographic Distribution of Power
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Unitary Government—All powers held by single, central
agency; Local Governments exist only for
administrative convenience
EX: Great Britain, 50 state governments in the U.S.,
France, Italy, Sweden
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Confederation—alliance of independent states;
government only has specifically delegated powers
(U.S. under the Articles, the Confederacy, CIS)
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Federal Government-Powers divided between central
government and state, local or regional governments,
and the existence of subnational governments is
specifically protected (US, Germany, India, Canada,
Switzerland, Australia
Federalism in the U.S.
50 state governments are UNITARY in form. Central
government is FEDERAL. Remember where
sovereignty is located.
 Dual Federalism—Most power to the states,
BASICALLY DEAD NOW. Commerce clause has been
broadly interpreted, Necessary and Proper Clause
gives Federal government more power as it is
stretched.
 New Deal Federalism—Most power to the federal
government
 “New Federalism”—return of “stolen powers” to states
(Republican initiative)
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How Power is Distributed in a Democracy:
Theories of “Who Governs”
Majoritarian politics: Leaders are constrained to
follow the people’s wishes closely, applies when
issues are clear. Doesn’t always explain
behavior.
 Elitist Theories: When one group has a
disproportionate share of power
 Pluralist Theories: Many elites/centers of
influence compete, no one dominates.
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4 Theories of Who Governs:
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#1: Marxist Theory (Karl Marx): government
reflects underlying economic forces.
Bourgeoisie v. Proletariat
(Factory owners/businessmen v. workers)
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#2: Elitist (C. Wright Mills): Corporate leaders,
military officers, and key political leaders
govern. Wealth is the basis of class power
Theories of Who Governs
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#3 Bureaucratic Model (Max Weber):
Bureaucracy: Civil, day-to-day administration of government.
Necessary because experts know what’s best and legislative
agencies cannot provide for all contingencies.
Criticized Marxist position for exclusively attributing government
to economic roles
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#4 Pluralist Model: No single elite has a monopoly on power.
The power shifts, depending on issues…military will have lots of
say on whether to build B-2 bomber, but no role on abortion
policy. Multiple access points to government exist (Presidency,
Congress, Bureaucracy)
Hyperpluralism: Pluralism “gone sour”—too much competition
stifles government, can get little done. Recent explosion of
interest groups
4 Kinds of Politics
Majoritarian Politics: Almost everybody benefits from a
policy and almost everyone pays. Revolve around
questions of public opinion, ideological debate, world
view, and party alliances…ex: Social Security
 Interest Group Politics: One small group bears the
cost, and other small group reaps the benefits… ex:
Affirmative Action
 Client Politics: One small group receives the benefits
of a policy, and everyone pays… ex: Farmer Aid
 Entrepreneurial Politics: Policies that benefit society as
a whole and charge a small, identifiable portion of the
population…often hinge on imaginary threats (Red
Scare, most entrepreneurial politicians use symbols,
buzz words like “pure food and water”)
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Majoritarian Politics
Majoritarian politics: distributed benefits,
distributed costs
 Gives benefits to large numbers
 Distributes costs to large numbers
 Involves appeals to large blocs of voters,
to find a majority
 Debate is conducted in ideological or cost
terms, e.g., military budgets.
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Interest Group Politics
Interest group politics: concentrated
benefits, concentrated costs
 Gives benefits to a relatively small and
identifiable group
 Costs are imposed on another small and
identifiable group.
 Debate is carried on by interest groups
with minimal involvement by the wider
public (e.g., labor unions versus
businesses).
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Client Politics
Client politics: concentrated benefits, distributed
costs
 Relatively small group receives the benefits; that
group has an incentive to organize and build
coalitions (logrolling)
 Costs are distributed widely—so there is little
incentive for the opposition to mobilize (e.g.,
pork barrel projects)
 Beneficiaries become “clients” of the
government, because the policy serves their
needs
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Entrepreneurial Politics
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Entrepreneurial politics: distributed benefits,
concentrated costs
Gives benefits to large numbers
Costs are imposed on a small and identifiable
group.
Success often depends on the people who work
on behalf of unorganized majorities—policy
entrepreneurs (e.g. Ralph Nader).
Or a large number of voters or legislators
become disgruntled with another’s benefits or
sees the need for a new policy.
Legitimacy of client claims is important (e.g.,
Superfund).
Debunking Cynicism
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Surprisingly, politics is not always self-seeking
Alexis de Tocqueville commented on this
AFL-CIO supported civil rights in 1960s, without
personal or organizational gain
Parties, elections, interest groups, and the
media are key linkage institutions between
citizens and government
No single theory adequate; reliance on history
Government is still evolving and responds to
changing beliefs (more social security, also more
intervention—both parties give and take, are
moved by waves of change)
Early Political Thought
European enlightenment grows out of the
Scientific Revolution of the 16th and 17th
Centuries. Science creates confidence in
the power of reason, which could be
applied to human nature in the form of
natural laws. Every problem could be
solved through reason.
 2 prominent English thinkers of the 1600s:
Thomas Hobbes and John Locke
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Thomas Hobbes
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Wrote The Leviathan
Believed that people are naturally selfish and
greedy, self-centered.
Life in the state of nature is “solitary, poor,
nasty, brutish, and short.”
People fear violence and death, so they allocate
power to an absolute monarch which imposes
order and demands obedience
Innate human greed makes people unable to
govern themselves
John Locke
Wrote Two Treatises of Government
 Agreed with Hobbes that humans are basically selfcentered, but believed humans can be rational and
moral
 Locke argued that people have natural rights from the
state of nature—the right to life, liberty, and property
 To secure these rights, people form a government
through social contracts.
 The only valid or legitimate government is one that is
based on the consent of the governed
 If, for any reason, government breaks the contract by
neglect or violating rights, the people have the
opportunity to replace the government.
 Thomas Jefferson later argues people have an
“obligation” to eliminate oppressive regimes.
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Linkage Institutions
– There is a role of institutions (Executive, Legislative, Judicial) in
the enactment of policy
– There is also a role of the bureaucracy and courts in policy
implementation and interpretation
– But in both situations, policymakers must be aware of the
demands of citizens.
– Linkages between the policy process and citizens:
1. Political Parties
2. Interest Groups
3. Media
4. Elections
Political History
Political agenda has lengthened and government’s responsibilities have
increased throughout U.S. history
 Puzzling because the Constitution creates structures that make it difficult for
the federal government to act
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Until well into the twentieth century …
a) Few people cared about national politics.
b) Governors and mayors were more visible than presidents.
c) Federal government was small and predictable.
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For the first 150 years, the government grew slowly--restrained
Supreme Court defined government authority narrowly—Interstate
Commerce.
Popular opinion supported a limited governmental role.
Political system was designed to limit government.
Large government is now permanent, mostly because it is supported
by the people.
The Old System of U.S. Politics
1. Small agenda of political issues
2. Limited leadership circle, with movement activists
excluded
3. Small congressional staffs; stable congressional
coalitions that extended across many issues
4. Importance of state’s rights was generally accepted
5. Focus of policy debate was domestic
6. Debate was over the “legitimacy” of new issues
7. Presidency was less powerful and Congress protected
local constituencies
8. Only crisis forced government into bold action –
extraordinary powers were exercised only during the
crisis
Why Change??
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Two periods in U.S. politics changed the political
landscape
1. Early 1930s: Depression / New Deal
2. Mid-1960s: intellectual / political ferment;
LBJ election in 1964 – Great Society and War on
Poverty
3. The 1960s probably had the greater impact
because of the changes in leadership.
Individual members of Congress more powerful
now.
The “New System”
1. Large policy agenda
2. End of the debate over the legitimacy of government action, except
in regard to the First Amendment
3. Diffusion and decentralization of congressional power
4. Multiplication of interest groups
5. Debate over “managing” rather than “ruling” (examples, Social
Security, civil rights, budget deficits, Medicare)
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Old – new systems, the essential differences:
1. Hard to start a new program (old) vs. hard to change existing
programs (new)
2. Power somewhat centralized (old) vs. power decentralized (new)
Results of “New System”
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Preoccupation with rights (not responsibilities); assumption that affected
groups have a right to participate in policy formation
Effects of rights on government functions—citizens must be informed
More “red tape”—government efficiency/effectiveness limited (Rosenbloom)
Debate about equality of opportunity versus equality of results.
More decentralized/fragmented government --more ideas surface
Competing ideas and divided public opinion make change difficult.
Difficult for gov’t to satisfy the public’s expectations—what is “the public?”
Courts have changed their interpretation of the Constitution--Bill of Rights
has been extended to the states by the doctrine of incorporation and
citizens can use federal courts to alter state policies; there is now easier
access to the federal courts
Business is now regulated
Broad discretion is granted to administrative agencies—experts make policy
under the radar
New standard for enacting program: Previously, examined a new program to
see if it was a legitimate government activity. Changed, so now test is
whether the program will be effective.
Wide distribution of political resources--# of interest groups has grown
TV and mass protests – information disseminated more widely/rapidly
Political candidates must present a wider, mass appeal
Answering the Enduring Questions
Why has the federal government become bigger and more
complicated?
1. Public opinion and Supreme Court interpretations of the Constitution
have both changed, and no longer restrain the growth of
government.
2. Still, checks-and-balances has limited growth, in comparison with
many other parliamentary systems.
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What would our national government be like if it were based on a
parliamentary system?
1. Quick adoption of broad new policies, as favored by temporary
majorities
2. More national power, less local authority, over education, police,
and land-use policies
3. Fewer chances for small groups of citizens to block change.
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Consequences of an Activist Government
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A. Costs and benefits of programs need to be assessed
individually.
B. General political consequences of enlarged scope of activity:
1. Bureaucratization of all organizations—more time is spent managing
the organization than creating the programs.
2. Rise of competing policies and agencies results in diffused
accountability and control, and more paperwork.
3. Less control by the electorate because parties and turnout have less
impact on government programs than do interest groups and
lobbies
4. As government is held responsible for more, there is a greater risk
of government failure and a consequent decline in public
confidence.
Terms the Author Uses in Ch. 1
(Without telling you what the heck he’s talking about)
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4 parts of Federal Government: Presidency, Congress,
Bureaucracy, and Judiciary
Imperialist Presidency—President’s power has grown,
making him like a King, can act independently
Obstructionist Congress—Congress’s minority party
tries like heck to frustrate the majority and block new
initiatives
“Captured” Regulatory Agencies—special interests
“buy” people and cause agencies to be lax in law
enforcement
Policy “Gridlock”: Occurs when Congress and/or the
Presidency are deadlocked on issues, usually caused
by competing political interests
Ch. 1 Learning Objectives
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After reading and reviewing the material in this chapter the student should be able
to do each of the following:
List the two basic questions to be asked about government in the United States (or
any other nation) and show that they are distinct questions.
Explain what is meant by power, and by political power in particular. Relate the
latter to authority, legitimacy, and democracy.
Distinguish among the three concepts of democracy mentioned in the chapter,
explaining in which of three senses the textbook refers to United States government
as democratic.
Differentiate between majoritarian politics and elitist politics, explaining the four
major theories on the latter.
Explain how political change tends to make political scientists cautious in stating how
politics works or what values dominate it.
Identify the key factors associated with the growth of government.
Describe the restraints on the growth of government.
Discuss the consequences of activist government.
Assess the influence of the political structure and of ideas on the process of serving
some goals rather than others.