AP Government
Chapters 1 & 2 Lecture Notes
Background of the American System of Government
The US Constitution
Chapter 1
Power – the ability of a person to get another to act in accordance with his wishes.
Political power involves this ability within the confines of government – influencing
government action and behavior. You do not have to be an elected official or government
employee in order to wield political power.
Authority – the right to use power – views differ on who has the right to use power. Not all
authority is legitimate.
Formal authority is derived from gaining elective or appointed political office.
Three Meanings of Democracy:
1.
Democratic Centralism – where those in power ascertain the “true will and interests” of
the people. Found in China, Cuba, and other dictatorships.
2.
Participatory Democracy – Aristotelian democracy – “rule of the many” – the idea that
all citizens participate in the democratic process. The 4th century b.c. Greeks actually limited
participation in many ways. Today’s New England Town Meeting most approximates this ideal.
3.
Representative Democracy – power is gained through competitive elections for
government offices. There must be true competition (as opposed to fake or rigged elections) for
the system to work. This is known as a Republican form of government, and is referred to as
such in the US Constitution.
The Framers did not believe in direct democracy (participatory) for various reasons – time,
expertise, emotions, and a distrust of the abilities of the masses. Still, there are many problems
with our representative system, which we will discuss later.
Even representative systems can be very different – compare, for example, those of the US,
Britain, and Sweden.
Power Distribution in a Republican system (in short, it varies):
1.
Majoritarian politics – some issues are governed by public sentiment. Typically, they
are issues that affect the masses, are easy to understand, and people care deeply about them.
Very often, politicians are forced by political pressure to follow the public will on these issues.
2.
Elite politics – the theory that government is controlled by some identifiable group that
holds a disproportionate amount of political power. Marxists, for example, believe that
economic forces (like the military industrial complex or the capitalists) control government. C.
Wright Mills believes that key corporate, military, and political leaders control government.
3.
Pluralist politics – the belief that various competing elites compete for political power
and will, at different times and on different issues, wield larger or smaller shares of power and
ability to control government decisions.
**Read and analyze the Declaration of Independence.**
Chapter 2 – The Constitution
The American Revolution was about liberty (not equality, like the French Revolution). Certain
beliefs of the Framers led to the Revolution:
1.
Corruption of British politicians
2.
English “constitution” inadequate to protect colonial liberty
3.
Belief in higher law of natural rights (life, liberty, and property – “pursuit of
happiness”)
4.
Violation of inalienable rights (refer to Declaration of Independence)
Through revolution, the colonists sought to achieve:
1.
secure liberty
2.
government by consent of the governed
3.
a written constitution that granted powers directly
4.
legislative superiority (the people’s branch)
The Articles of Confederation was the first attempt at a new constitution, but it was fraught
with weaknesses:
1.
national government could not tax
2.
national government could not regulate commerce
3.
states were independent and sovereign
Sovereignty – the ability of a state to govern itself while holding final and absolute authority.
4.
states were equal in Congress – one vote each
5.
supermajorities (9/13) required to pass any measure in Congress
6.
delegates to Congress picked by states and paid by states
7.
no national monetary system
8.
no real military powers
9.
no national judiciary
10.
amendments to the Articles required unanimous approval (nearly impossible)
*The bottom line was that the Articles created a national government that was so weak it was
destined to fail.
Partially because of the shortcomings of the new national government and because of various
weaknesses in state governments (look at PA and MA constitutions), life in the States after the
revolution was defined by worries over government stability, the future of the States, etc.
In 1786, a small group of men led by George Washington called for a convention in Annapolis,
MD, to address some of these shortcomings, but it was not well attended.
This was followed by Shays’s Rebellion in MA, which highlighted the weaknesses (and even
potential for collapse) of the state governments as well as the weaknesses in the Articles that
prevented effective national aid.
Philadelphia Convention, 1787 – called for the purpose of amending the Articles of
Confederation and attended by delegations from 12 of the States (not RI). Included many of the
big names of the day (Washington, Madison, Franklin, Hamilton, etc.), but others were
noticeably absent (Jefferson, Sam and John Adams, Patrick Henry). Washington (as President)
and Madison (as the primary architect of the Constitution) were the most instrumental men in
attendance.
Although the delegates to the Philadelphia convention were authorized to revise the Articles
only, this convention became the Constitutional Convention of 1787. The framers determined
that the Articles were not worth saving, but also noted major problems with creating a new
government – most notably, how to create a strong national government yet not threaten liberty.
There were three primary plans for the new government:
1.
The Virginia Plan (favored the large states – wealth and population)
a.
strong national government
b.
three branches
c.
bicameral legislature
d.
executive chosen by legislature
e.
f.
g.
Council of Revision with veto power
national legislature supreme
one house elected directly by the people
2.
The New Jersey Plan (favored the small states – equality)
a.
sought to amend Articles, not replace
b.
unicameral legislature
c.
one vote per state
d.
enhanced national power but protected states
3.
The Connecticut Compromise (the Great Compromise) – without this, no US
Constitution (5 states for, 4 against, and 4 either split or absent)
a.
bicameral legislature
b.
House of Representatives based upon population and elected by the people
c.
Senate based upon equality (two per state) – selected by state legislatures
d.
reconciled the problem of large v. small state representation
Eventually, a new Constitution was completed and signed by all 12 states in attendance.
Why the Framers created a Republic:
1.
direct democracy was impractical (too large and populous a country)
2.
distrust of popular whims and passions
3.
distrust of the abilities of the common man
4.
representative government best to protect liberty
The new government was insulated from popular rule in many ways:
1.
Senators elected in state legislatures
2.
Electoral College system to choose President
3.
Bicameralism – voter majority in House but State majority in Senate
4.
Judicial Review – not stated, but inferred
5.
Stringent and insulated amendment process (historic result is very few amendments)
Two key principles embodied by the US Constitution:
1.
Separation of Powers – power is divided on a horizontal basis within the national
government into three branches (with the legislature further divided – bicameral)
2.
Federalism – power is divided vertically, with the national government supreme in the
areas where it has powers but the states supreme in all other areas
*These divisions of power were designed to protect liberty by preventing government from
acquiring too much power. The process is called Checks and Balances.
**Read and analyze the Federalist #10 and #51 – commentaries on the Constitution in favor of
ratification. Both of these were authored by Madison (others by Hamilton and Jay). Appendix
and pp. 32-33.**
Federalists (Washington, Madison, Hamilton) v. Anti-federalists (Jefferson, Henry):
Anti-federalists – believed that liberty would be most secure in small republics where
government was closer to the people. Believed strong national government would raise taxes
and annihilate state functions. They felt the Constitution needed more restrictions against the
national government (a bill of rights was necessary before they would consider ratification).
Federalists – believed liberty was more secure in large republics, where government was
more distant from the passions of the people and factions were larger yet weaker as a whole.
They believed a bill of rights was unnecessary or even dangerous (could be construed as a finite
list of rights). Further, they believed that the Constitution already limited the national
government sufficiently and that state bills of rights would serve any necessary purpose in this
arena. Plus, they felt that the national government would struggle to be tyrannical because of its
limited powers in our federal system.
The Constitution’s built-in protections:
1.
Habeas Corpus
2.
No bills of attainder
3.
No ex post facto laws
4.
Trial by jury
5.
Privileges and Immunities
6.
No religious tests
7.
Obligation of contracts
James Madison’s views on inclusion of a bill of rights, and his “solution” when the debate was
lost:
James Madison had another reason for opposing the inclusion of a bill of rights. He feared
that no list of rights could ever be complete, and that the government would thus be
invited to abridge the "forgotten" rights. To deal with this problem, Madison proposed
what became the Ninth Amendment, which declares that citizens have additional rights
beyond those enumerated. When introducing the amendment, Madison told Congress:
“This is one of the most plausible arguments that I have ever heard urged against the
admission of a bill of rights into this system; but, I conceive, that it may be guarded
against. I have attempted it, as the gentlemen may see.”
Many of the small state easily ratified, but narrow battles were waged in many of the large
states like PA, VA, and NY. Eventually, all 13 states ratified. Unanimity was seen as critical.
Why?
The Constitution addressed “slavery” in three ways:
1.
3/5 Compromise (House apportionment and taxation)
2.
1808 – no Congressional limits on importation until then
3.
Fugitive Slave Clause
Economic interests of the Framers (factored in, but not an overriding factor):
1.
no clear class divisions
2.
those who held government debt more in favor of the Constitution
3.
state economic considerations stronger than personal
4.
during ratification battles, economic interests were stronger
In favor: merchants, urbanites, western land owners, gov’t IOU’s, no slaves
Against: farmers, no gov’t IOU’s, slave owners
Today, some people believe that the Constitution’s Separation of Powers need reform. Current
problems include:
1.
Gridlock – inability of government to act swiftly and decisively
2.
Bureaucracy – many problems here
Proposed reforms include:
1.
Members of Congress can serve in Cabinet as well
2.
President can dissolve Congress
3.
Congress can call special Presidential elections
4.
Require Presidential\Congressional candidates to run as teams
5.
Single six-year term for President
6.
House members serve four-year terms
Others argue that these reforms would make the system less democratic and infringe upon
liberties. Ronald Reagan said government does too much, not too little. In fact, certain
counter-reforms include:
1.
Limit tax collections
2.
Require balanced budgets
3.
Give President line item veto (temporarily happened in 1996 but quickly declared
unconstitutional in Clinton v. NY – would require a Constitutional Amendment).
4.
Narrow the authority of the Federal Courts
AP Government – Chapter 3 & 4 Lecture Notes
Federalism and American Political Culture
Chapter 3
Federalism – a political system with local governmental units aside from the national unit.
These governments are empowered with the ability to make some final decisions and protected
in their existence by law (United States, Canada, Germany, India, Switzerland, Australia).
Many citizens in many countries would not want such a system – different habits, customs,
traditions, etc.
Unitary System – only the national government holds final authority, and local units
may not even exist (Britain, France, Italy).
In the US, states maintain final authority on certain issues. Still, the federal government is now
supreme in nearly all spheres where it can righteously claim power. The idea of dual
federalism, where the states and the national government would be supreme in their own
spheres and even compete for power at times, is often severely limited. However, a number or
recent court rulings have begun a possible swing back towards state sovereignty in areas where
the Federal government has overstepped its bounds.
Federalism – Good or Bad?
Positives: often strong, flexible, tends to preserve liberties
Negatives: often blocks “progress,” gridlock, fosters powerful local interest groups
Americans have traditionally supported Federalism – we are strong supporters of local
government. Still, someone who wants to see quick government policy changes (very often
liberal or “progressive” in nature) might likely support a more unitary system.
James Madison – Federalist #10 – Federalism, including a strong national government that was
somewhat removed from the people, was desirable to control the problem of factions. Minority
rights would actually be protected by competition for power, different groups coming to power
at different times and at different levels of government. Dominant majorities would be hard to
achieve.
**The most obvious effect of Federalism is to mobilize political activity. The number of
political contact points for the average citizen are greatly increased and the cost of participation
is greatly reduced (running for local office is far less expensive than running for national office).
The Founders – Why Federalism?
1.
2.
Protect personal liberty
Neither level of government could rule the other – people’s support would shift
There was no previous precedent for Federalism.
While the US Constitution clearly limited national powers, the 10th amendment was added as a
further protection. This amendment is called by some “the sleeping giant.” Why?
Still, certain Constitutional loopholes have allowed for the expansion of the powers of the
Federal government:
1.
The Necessary and Proper Clause (Elastic Clause) – allows the national government to
do anything “necessary and proper” to exercise its powers that are enumerated in the
Constitution.
2.
The Interstate Commerce Clause – the national government has the power to regulate
anything involved with interstate commerce.
Many events and viewpoints shaped Federalism over time.
1.
Hamilton – believed in national supremacy – a federalist
2.
Jefferson – states’ rights – people are the ultimate sovereign – antifederalist
3.
Madison – began as a federalist, but evolved to a Jeffersonian perspective
4.
John Marshall – US Supreme Court Chief Justice – espoused the Hamiltonian view
McCulloch v. Maryland – landmark Supreme Court decision that established the supremacy of
the national government – main architect of the decision was Marshall. Decided that the
national government could establish a bank in MD and MD could not tax said bank.
Nullification – issue decided eventually by the Civil War – states could not declare acts of
Congress unconstitutional.
Dual Federalism – a popular concept early, but virtually extinct today. Rebirth?
Grant-in-aid system – a way for the Federal government to compel compliance at the state
level with Federal objectives in areas where the Federal government lacks authority.
Compliance from the states is essentially “voluntary.”
Grants were initially very attractive to states:
1.
Apparently “free” money
2.
Large federal surpluses helped states meet needs
3.
Federal revenues continued to increase with income taxes
Beginning in the 1960’s, grants morphed from what states demanded to what Federal officials
deemed to be important. “Strings” were attached to the Federal money (state actions were
required to claim the grants). States often did not wish to enact the Federal mandates, but they
were “addicted” to the flow of grant money (examples – highway funds linked to speed limits
or DUI standards).
Intergovernmental Lobbies – state and local government groups that lobby in Washington,
D.C., for additional grant money for state and local projects. Typically, they seek more money
with fewer strings attached. By the 1980’s, Federal funds had stopped growing.
Unfunded Mandates – In the last few decades, especially recently, the Federal government has
issued mandates to the states that do not include funding to implement them (examples –
mandatory background checks on firearm purchasers, many provisions of No Child Left Behind,
Americans with Disabilities Act). Many unfunded mandates stem from court decisions.
Types of grants:
1.
Revenue Sharing (ended in 1986) – free flow of money, no matching funds required, no
strings attached.
2.
Categorical Grants – money for specific purposes only, matching funds often required
3.
Block Grants – general purpose money (very loosely categorized) with few strings
attached – states given great latitude on how to use such money
Ronald Reagan and subsequent conservatives have sought to change the focus of grant monies
to block grants – success has been very limited.
There are several reasons it is hard to shift from categorical to block grants:
1.
Politics – Congressmen, committees prefer to be able to “guide” state practices through
controlling spending.
2.
Interest groups – individual interest groups often have less of a vital interest in a multipurpose block grant.
3.
Agencies – many state and local bureaucratic agencies’ survival is tied to a single
categorical grant.
4.
Constituents – just giving money to the states does nothing to “impress” one’s
constituents.
Categorical grants still make up the vast majority (90% +\-) of Federal grants to states. Very
few new block grants (AFDC to TANF is an example) have been created.
Devolution – powers that have become Federal in nature devolving back to the states. Some
push for this, but not much progress yet. 10th amendment?
Chapter 4
Alexis de Tocqueville – Democracy in America – commentary on American political culture
and why we are the way we are:
1.
No feudal aristocracy
2.
Minimal taxes
3.
Few legal restrictions
4.
Vast territories
5.
Opportunity
6.
A nation of small farmers
Political Culture – a distinctive and patterned way of thinking about how political and
economic life ought to be carried out. American political culture is uniquely distinct in many
ways. This is one reason that most attempts to copy our governmental system have met with
failure.
Elements of most American’s political beliefs:
1.
Liberty
2.
Equality (of opportunity, not results)
3.
Democracy
4.
Civic Duty
5.
Individual Responsibility
If nearly universal, why so much political conflict? Inconsistent prioritization of beliefs, some
beliefs even conflict.
Our typical economic beliefs:
1.
Free enterprise with reasonable limitations
2.
Equal opportunity over equal results
3.
Economic individualism (less government control, safety)
Comparison – Sweden’s culture:
1.
Deferential to government authority and expertise
2.
Court challenges rare
3.
Seek “what is best” rather than satisfying “what we want”
4.
Equality is at least as important as liberty
5.
Value harmony and meeting obligations
6.
Equal pay and top income limits
7.
Government should guarantee basic standard of living (discuss “deserving poor”)
Several comparisons – US v. Europe in general:
1.
US lags in voting rates (reasons?)
2.
US excels in other types of political participation
3.
US has more confidence in government institutions
4.
US acknowledges flaws yet still proud of national identity
5.
US highly religious compared to most of Europe
6.
US religion affects political beliefs (rise of the Christian Coalition)
Sources of America’s political culture:
1.
Revolution over liberty, personal rights
2.
Adversarial culture (natural distrust of authority and belief that human nature is
depraved)
3.
Peaceful transitions of power – the Federalist-Jeffersonian transition in 1800 – showed
that power could change hands to rival parties and peace still be maintained
Before this, there was no guarantee that rival parties, liberty, and political change could all coexist. Many modern elections as examples – 1994, 2000.
4.
Widespread political participation allowed by the US Constitution
5.
No national religion, tremendous religious diversity
6.
Puritan heritage – our churches continue to promote civic responsibility
a.
work ethic (protestant work ethic)
b.
save money
c.
self reliance
d.
secular law
e.
try to “do good”
7.
Family – less rigidity than in many societies
8.
Lack of class consciousness (most believe themselves to be middle class)
Culture War – debate over what type of country we ought to live in
Orthodox – morality is more important than personal expression – fixed rules from God
– fundamental Protestants – generally conservatives
Progressive – personal freedom more important than tradition, traditional morals – rules
can change based upon circumstances of modern life – more mainline Protestants and those
without strong religious beliefs.
Mistrust of Government – since the 1960’s, many more Americans are distrustful of
government. Reasons include Watergate, Vietnam, and even the Iraq war. Most of this distrust
is directed at individual leaders, though – not our system of government.
Political Efficacy – a citizen’s capacity to both understand and influence political events.
Internal Efficacy – confidence in one’s own ability to understand and influence events –
remained steady over the last 50 years.
External Efficacy – belief that the government will respond to citizens needs and desires
– steadily declining since the 1960’s (government perceived as too big, bureaucratic to respond
to citizens’ desire for change).
Political Tolerance – free discussion of ideas and acceptance of legitimate rulers or rules with
ideas different from our own – is necessary for a republic to thrive. America has become more
tolerant over time. However, studies show that American tolerance is very high in the abstract
yet much lower in concrete situations.
Why are unpopular groups and ideas able to survive in America?
1.
Most people who do not agree with a group do not act on those beliefs
2.
Officeholders are more tolerant than the general public
3.
Activists (those who lead political causes) are often more tolerant as well
4.
Generally little consensus among the general public on whom to persecute
5.
Courts are insulated from public opinion enough to enforce protections
AP American Government
Unit #3 Lecture Notes
Public Opinion, Political Participation, and Political Parties
Chapters 5, 6, and 7
Lea
Chapter 5
Public Opinion v. Public Policy - Government does not always do what people want.
Examples include:
1. Unbalanced budgets
2. Busing
3. Failure to enact the ERA
4. Aid to Nicaraguan Contras
5. No congressional term limits
There are several reasons that public opinion and public policy do not always mirror one
another, including:
1.
Many constitutional checks on public opinion (Federalism, Separation of Powers,
Bicameralism)
2.
Many opinions conflict
3. Difficult to know true public opinion (opinion polls are often poor reflections of public
opinion – biased, poor questions, poor sampling, etc.)
4. Government listens more to elite views (politically active)
5. National media does not always reflect true public opinion
6. Public opinion is often volatile
7. Public is often ignorant
Several factors are typically involved in the formulation of Americans’ political attitudes.
Some of these include:
Family:
1. Party identification of family often adopted by children (effect sometimes lessens as child
grows up)
2. Much continuity between generations – kids often grow to believe same things as mother and
father
3. Declining ability to pass on political\party identification in recent decades
4. Younger voters exhibit less partisanship; more likely to be independent
5. Clear political ideologies passed on in some families
Religion:
1. Catholic families somewhat more liberal
2. Protestant families more conservative
3. Jewish families decidedly more liberal
4. Mormons, Jehova’s Witness exceptionally conservative
5. Black churches socially conservative (family values) yet favor liberal economic policy -politically liberal Democrats
6. Christian Coalition -- grassroots mobilization, very conservative
The gender gap:
1. Women were likely to be Republicans in 1950s
2. Women were likely to be Democrats since late 1960s
3. Change due to shift in party policy positions
Schooling and information:
1. College education has liberalizing effect – exposures, professors
2. Effect extends beyond end of college
3. Effect growing as more go to college
Cleavages in public opinion derive from several major sources:
Social class: less important in U.S. than in Europe – low degree of class consciousness here –
most consider themselves “middle class”
1. Occupation depends more on schooling, so upper-class exposed to liberalism
2. Non-economic issues now define liberal and conservative
Race and ethnicity:
1. Becoming more important even on nonracial matters
2. Blacks most consistently liberal group within Democratic Party; little cleavage among blacks
3.
Hispanic and Asian Americans less liberal
4.
Whites fairly evenly divided within the political spectrum – lean slightly conservative
Region:
1. Southerners and mountain westerners more conservative than northerners and west coasters
regarding military and civil rights issues, but difference fading among whites
2. Southerners more accommodating of business – generally anti-union
Prevailing Issues:
1.
Social Security
2.
Abortion, stem-cell research
3.
War in Iraq, War on Terror
4.
5.
Environment
Welfare
Political ideology: a coherent and consistent set of political beliefs about who ought to rule,
the principles rulers ought to obey, and what policies rulers ought to pursue. Most citizens are
moderates, yet many have strong liberal or conservative political beliefs.
Meaning of “liberal” v. “conservative:”
1. Early 1800s: liberal - support personal, economic liberty; conservative -restore power of state,
church, aristocracy
2. Roosevelt and New Deal: liberalism = activist government
3. Conservative reaction to activism (Goldwater): free markets, states' rights, individual choices
in economics
4. Today's meanings are imprecise and changing
a. Economic policy: liberals favor jobs for all, subsidized medical care and education, taxation
of rich
b. Civil rights: liberals prefer desegregation, strict enforcement of civil rights law
c. Public and political conduct: liberals tolerant of demonstrations, legalization of marijuana, etc.
Four popular labels in recent history:
1. Pure liberals: liberal on both economic and personal conduct issues
2. Pure conservatives: conservative on both economic and personal conduct issues
3. Libertarians: conservative on economic issues, liberal on personal conduct issues
5.
Populists: liberal on economic issues, conservative on personal conduct issues
Political elites defined: those who have a disproportionate amount of some valued resource
and thus often possess a disproportionate share of political power. Elites, or activists, display
greater ideological consistency than other Americans. They have more information than most
people, and their peers reinforce consistency (Hollywood, media, government, big business, big
labor, military brass, etc.).
The Traditional Middle Class v. the “New” Middle Class (liberal middle class)
1. the “New” class: those who are advantaged by the power, resources, and growth of
government (not business, as elites previously were)
2. Two explanations of well-off individuals who are liberals
a. Directly benefit from government
b. Liberal ideology infusing postgraduate education
3. Traditional middle class: four years of college, suburban, church- affiliated, pro-business,
conservative on social issues, Republican
4. Liberal middle class (or new class): postgraduate education, urban, critical of business, liberal
on social issues, Democrat
5. Emergence of new class creates strain in Democratic party
Chapter 6
Voter turnout in America v. in Europe – why do we have a lower turnout?
1. Problem: low turnout compared to Europeans
-But this compares registered voters to eligible adult populations.
2. Common explanation: voter apathy on election day
-But the real problem is low registration rates in America
3. Proposed solution: get-out-the-vote drives
-But this will not help those who are not registered
4. Apathy not the only cause of nonregistration
-Costs here versus no costs in European countries where registration is automatic – examples?
-Motor-voter law of 1993 took effect in 1995-increased registration throughout the country
Voting is not the only way of participating. In Europe, though, there is very little participation
in politics other than party affiliation and voting. In the US, citizens tend to participate in the
political process in many more ways:
1.
Voting
2.
Party membership
3.
Grassroots organization
4.
Campaigning
5.
Calling, writing to representatives
6.
Giving money
7.
Running for office
8.
Media
9.
Etc.
According to the US Constitution, control over who voted in Federal elections was generally
held by the States. Over time, this power has shifted from state to federal control. Initially,
states decided who could vote for which offices, which led to wide variations in federal election
participation. Congress has since reduced state prerogatives in this area.
1. 1842 law: House members elected by district
2. Suffrage to women (19th amendment)
3. Suffrage to blacks (15th amendment and Voting Rights Act of 1965)
4. Suffrage to eighteen- to twenty-year-olds (26th amendment)
5. Direct popular election of U.S. senators (17th amendment)
The history of Black voting rights and state prohibitions:
1. Blacks first voted heavily in the South during Reconstruction, but the Fifteenth Amendment
was gutted by the Supreme Court as not conferring a right to vote shortly thereafter.
2. Southern states then used evasive maneuvers:
(1) Literacy test
(2) Poll tax
(3) White primaries
(4) Grandfather clauses
(5) Intimidation of black voters
3. Major change with 1965 Voting Rights Act; black vote increases, federal poll watchers and
registrars authorized anywhere Black participation rate is below 50%.
The history of women's voting rights:
1. Several western states permitted women to vote by 1915
2. Nineteenth Amendment ratified 1920
3. No dramatic changes in outcomes of elections – “stand by your man” syndrome
The history of 18 year olds’ voting rights:
1. Voting Rights Act of 1970 – found unconstitutional with reference to voting in State
elections. Federal government had no right to compel states to allow 18 year olds to vote at the
state level.
2. Twenty-sixth Amendment ratified 1971 – 18 year olds can vote in ALL elections
3. Turnout was and remains low among this demographic; no particular party overwhelmingly
supported.
The Twenty-third Amendment was ratified 1961, giving District of Columbia residents the right
to vote in presidential elections. They still have no voting representation in Congress.
Overall, national standards now govern most aspects of voter eligibility.
elections, and this is typically done through local government.
States still run
Debate continues over whether there has truly been a decline in voter turnout over time in the
US. Two theories:
1. Real decline as popular interest and party competition and membership decreases
2. Apparent decline, induced in part by more honest ballot counts of today
(1) Parties once printed ballots – very slanted
(2) Ballots cast in secret today – not while being watched
(3) Parties controlled counting – fraud
(4) Australian ballot began to be adopted in 1910 – more fair, uniform, not developed by
parties
Most scholars see some real decline due to several causes, particularly registration difficulties.
Voting is the most common forms of political participation in the US, but 8 to 10 percent
misreport it. Typically, those with more information, education, and income are more likely to
participate at higher levels in the political process. Church-goers vote more, as do members of
higher socio-economic groups. Blacks participate less than whites overall, but at higher rates if
socio-economic status is controlled for. Men and women vote at the same rates. Types of
participants include:
1. Inactives – no political activity
2. Voting specialists – educate themselves at election time and vote
3. Campaigners – vote, but also willing to help campaign, spend money, etc.
4. Communalists – participate, but dislike partisanship – more into community issues and such.
5. Parochial participants – will not vote, but willing to call upon government for personal or
even community help
6. Complete activists – active in all areas
Most research agrees that there are several factors that decrease turnout today:
1. More youths, blacks, and other minorities in population, pushing down percent registered
2. Decreasing effectiveness of parties in mobilizing voters
3. Remaining impediments to registration
4. Voting compulsory in other nations
5. Possible feeling that elections do not matter
6. So many elections in the US
7. Democrats, Republicans fight over solutions, but little has worked.
Of historical note: Jesse Jackson in 1984 increased registration of southern whites even more
than southern blacks when he ran for President. Also, the extremely tight, well-funded, and
(considered by many) pivotal Election of 2004 caused participation rates to rise. Recent
foreign-language ballots (Spanish, Chinese, for ex.) increase rates as well.
Chapter 7
Political Party - a group that seeks to elect candidates to public office by supplying them with
a label (party identification). This label is the most important aspect of parties.
American parties have become weaker in recent decades. The party organizations are weaker
(machines have lost much control), Americans are becoming more independent voters (willing
to change parties or split their tickets), candidates for office are running more on personal (or
name, like Kennedy, Bush) rather than party recognition, and party control of Congress has
declined (politicians are more constituent oriented and independent on some issues).
Reasons for differences with European parties:
1. Federal system decentralizes power in U.S. – many political jobs (most early in our history)
are state or local
2. Parties closely regulated by state and federal laws
3. Candidates chosen through primaries, not by party leaders, in U.S.
4. President elected separately from Congress
5. Political culture - parties unimportant in life - Americans do not join or pay dues
The history of the American political parties:
-The Founding (to 1820s)
1. Founders' dislike of parties, viewing them as factions
2. Emergence of Republicans (Jefferson’s old anti-federalists, aka Democratic-Republicans) and
Federalists: Jefferson vs. Hamilton
-The Jacksonians (to Civil War)
1. Political participation a mass phenomenon
a. More voters to reach; by 1832, presidential electors controlled mostly by popular vote
b. Party built from bottom up – grassroots activism, popular influence
c. Beginning of national party conventions to allow local control
-The Civil War and sectionalism
1. Jacksonian system unable to survive slavery and sectionalism
2. New Republicans became dominant after Civil War
3. Most states one-party
a. Factions emerge in each party
b. South becomes almost purely Democratic
-The era of reform
1. Progressives push measures to reform parties, eventually reducing corruption and weakening
political parties
a. Primary elections
b. Nonpartisan elections at city and (sometimes) state level
c. No party-business alliances (corrupting)
d. Strict voter registration requirements
e. Civil service reform
f. Initiative and referendum
-The national party structure today
1. National convention is ultimate party power; nominates presidential candidate, sets party
platform
2. National committee composed of delegates from states manages affairs between conventions
3. Congressional campaign committees
4. National chairman manages daily work
Today, the Republican party has become much more bureaucratic (businesslike) in nature, with
a focus on fundraising and electing candidates. The Democratic party has become very
factionalized and is struggling in many areas. The DNC has begun to adopt many RNC tactics,
but feuding factions difficult to overcome. Republicans represent traditional middle class--more
conservative. Democrats represent new class--more liberal. Democrats hurt since traditional
middle class closer in opinions to most citizens.
National conventions – delegate selection and allocation
1. National committee sets time and place; issues call setting number of delegates for each state
2. Formulas used to allocate delegates different. Democrats shift formula away from South, to
North and West while Republicans shift formula from East to South and Southwest. Result:
Democrats move left, Republicans right. As delegates become more politically polarized, party
platforms do the same. Democrat formula rewards large states, Republican formula rewards
loyal states. Bottom line: Conventions today only ratify choices made in primaries by primary
voters.
Superdelegate – convention delegate used by Democrats – reward for someone in a very high
position of political power, like top elected officials.
State and local parties - The Political Machine (goals – smooth functioning, elect candidates)
1. Recruitment via tangible incentives (money, patronage jobs, political favors)
2. High degree of leadership control
3. Abuses of the system (gradually controlled by Progressive reforms)
4. Machines both self-serving and public-regarding
5. Old-style machines very rare today
The Hatch Act of 1939 – instrumental in curtailing much machine activity – prevented federal
civil service employees from taking active partisan roles in parties, elections, etc. They can
vote and contribute funds, but active campaigning, running for office, solicitation of funds, etc.
is forbidden.
Ideological parties are essentially the opposite of the machine.
1. Principle above all else - contentious and factionalized
2. Usually outside Democratic and Republican parties – known as third parties
The two-party system is a rarity among nations today. In the US, it is evenly balanced
nationally, but not locally. There are several reasons it has become such a permanent feature:
1. Electoral system -- winner-take-all and plurality system – extremely important
2. Opinions of voters -- two broad coalitions work, although times of bitter dissent
3. State laws have made it very difficult for third parties to get on the ballot
There are numerous types of minor parties in the US today:
1. Ideological parties - comprehensive, radical view; most enduring
Examples: Socialist, Communist, Libertarian
2. Single-issue parties - address one concern, avoid others
Examples: Prohibition, Right to Life
3. Economic protest parties - regional, protest economic conditions
Examples: Greenback, Populist
4. Factional parties - from split in a major party
Examples: Bull Moose, Dixiecrat (Segregationist), Reform
Over time, factional parties have had the greatest enduring influence and the largest election
influence.
Minor parties have very little chance of becoming major parties. They lack resources, visibility,
and media coverage, they struggle to win elections due to various rules, and if they become
popular, their ideas are typically absorbed by one of the major parties.
The Presidential Nomination Process: By tradition, the party “out of power" - the one not
holding the presidency - holds its convention first. The delegates at the convention today are
simply officially ratifying the candidate “nominated” by the people in the states’ primaries.
Convention delegates are often much more politically ideological than the average party voter
(Democrats are much more liberal and Republicans are much more conservative), so party
platforms (adopted at the convention by the delegates) may represent positions not readily
embraced by the rank and file.
Primaries are the most numerous (40+ states) means of candidate selection. Primary voters are
slightly more partisan than general election voters, but not tremendously so.
Caucuses are meetings of party followers who debate and select candidates. The most partisan
followers are attracted to caucuses.
Democrats have won more congressional elections than presidential contests over the past
century. Their presidential candidates are often out of step with average voters on social and
taxation issues, yet they have often selected good local (Congressional district) candidates.
Rank-and-file Democrats and Republicans differ on many political issues, but differences are
usually small. Delegates from the two parties differ widely on these same issues.
AP American Government
Unit IV – Chapters 8, 9, and 10
Elections, Campaigns, Interest Groups, and the Media
Lea
Chapter 8
Presidential versus congressional campaigns:
1. Presidential races are more competitive than House races
a. Presidential winner rarely gets more than 55 percent of vote
b. Most House incumbents are reelected (over 90 percent)
2. Fewer people vote in congressional midterm elections
a. Unless it coincides with a presidential election
b. Gives greater importance to partisan voters – why?
3. Congressional incumbents can serve their constituents
a. Credit for government grants, programs, etc., can be claimed by Congress member
b. President can't (power is not local) and must communicate by mass media
4. Congressional candidates can campaign against Washington
a. President is held accountable
b. But local candidates suffer when their party's economic policies fail
5. Power of presidential coattails has declined
a. Congressional elections have become largely independent of presidential election
b. Reduces meaning (and importance) of party
Running for president – getting mentioned, nominated, elected (differences):
1. Getting mentioned as being presidential caliber
a. Using reporters, trips, speeches
b. Sponsoring legislation, governor of large state
c. Senators often run, rarely win
2. Setting aside time to run
a. Reagan: six years; Mondale: four years
b. May have to resign from office first (Dole in 1996 v. Kerry in 2004)
3. Money
a. Individuals can give $2,000, PACs can give $5,000 in each election to each candidate
b. Candidates must raise $5,000 in twenty states in individual contributions of $250 or less to
qualify for matching grants to pay for primary
4. Organization
a. A large (paid) staff
b. Volunteers
c. Advisers on issues: position papers
5. Strategy and themes
a. Incumbents defend their record; challengers attack incumbents
b. Setting the tone (positive or negative)
c. Developing a theme: "trust,” “confidence," etc.
d. Judging the timing (early momentum vs. reserving resources for later)
e. Choosing a target voter: who's the audience?
Primary versus general campaigns:
1. What works in a general election may not work in a primary
a. Different voters, workers, media attention
b. Must mobilize activists with money and motivation to win nomination
2. Iowa caucuses
a. Held in February of presidential election year
b. Candidates must do well or be disadvantaged in media attention, contributor interest
c. Winners tend to be most liberal Democrat, most conservative Republican
3. The balancing act
a. Being conservative or liberal enough to get nominated
b. Move to center to get elected
c. Apparent contradiction means neither candidate is appealing
d. Primary voters can be more extreme ideologically than average voters
Media Effects on Primaries v. General Elections – Television, debates, and direct mail:
1. Paid advertising (spots)
a. Probably less effect on general than primary elections
b. Most voters rely on many sources for information
2. News broadcasts (“visuals")
a. Cost little
b. May have greater credibility with voters
c. Rely on having television camera crew around
d. May actually be less informative than spots
3. Debates
a. Usually an advantage only to the challenger (attack the incumbent)
4. Risk of slips of the tongue on visuals and debates (Bush\Gore, Bush\Kerry)
a. Forces candidates to rely on stock speeches--campaign themes
b. Sell yourself as much or more than ideas
5. The computer
a. Allows candidates to address specific voters via direct mail
b. Has completely changed the flow of election information
Funding Elections – How Important is Money? In 2004, both Bush and Gore waived federal
matching funds for the election. This allowed them to raise in excess of $200 million each and
avoid election spending caps.
1.
Presidential Primaries – part private, part public funds (public matching funds can be
waived to avoid spending limits). Private funds include individual ($2,000 maximum per
election) and PAC ($5,000 maximum per election) donations. Public matching funds (dollar for
dollar) are available only for candidates who raise at least $5,000 in at least 20 states in small
contributions ($250 or less each).
2.
Presidential General Elections – historically, the federal government has picked up the
entire tab, but George W. Bush (2000 and 2004) and John Kerry both turned down this federal
money and used only private funds to avoid spending limits (Congress would have appropriated
about $70 million in 2004 to each candidate).
3.
Third parties – only receive federal presidential campaign funds if they receive 5% or
more of the vote nationally. Higher percentages receive higher funding.
4.
Congressional Elections – no public funding – all private (individuals, PAC’s, and
parties). Campaign finance limits apply.
5.
Conventions – Congress pays for the parties nominating conventions.
2002 Bipartisan Campaign Finance Reform Act – set new campaign limits of $2,000 per
election from individuals and $5,000 per election from PAC’s. A primary is a separate election.
Political Action Committees (PAC’s) – after Watergate, 1974 campaign finance law changes
created PAC’s as part of the solution (making it legal again for corporations, unions, and other
associations to donate). PAC’s have proliferated tremendously.
The Federal Election Commission (FEC) was also created at this time. Election law violation
are investigated by this agency.
The rise of “527’s” – The 2002 campaign finance reforms limited corporations, unions, and
associations from “electioneering” (ads that support or even mention candidates) within 30 days
of a primary or 60 days of a general election. PAC’s could still function in this capacity, but
money counted toward their spending limits. Upon challenge, the US Supreme Court upheld
the constitutionality (free speech was in question) of the act. This caused the rise of 527's (so
named for a loophole in the IRS code) which would serve the same purpose. These
organizations were prominent in 2004.
Soft Money – unlimited and undisclosed contributions to political parties, typically from
corporations, unions, etc. The 2002 reforms eliminated soft money. All money to political
parties must be hard money (accounted for and limited). Bundling is still allowed, where a
corporation, business, union, etc. can take many smaller contributions and “bundle” them
together into one larger contribution to a candidate.
Effects of reforms:
1. Goal was to expose and publicize fundraising, but…
2. …has greatly increased power of PACs and thus of special interests
3. …has shifted control of money away from parties to candidates
a. Limits influence of parties
4. …has given advantage to wealthy challengers
a. Can just write out a check for campaign expenses (Corzine of NJ - 2000)
5. …has given advantage to ideological candidates
a. Direct mail appeals to special interest groups on issues like abortion, gun control, school
prayer, etc.
6. …has penalized candidates who start campaigning late, who don't have war chests
7. …has helped incumbents and hurt challengers
a. PACs more likely to support an incumbent
Presidential elections receive federal funding unless candidates opt out. Congressional
elections are privately funded. The Supreme Court has ruled that funding limits on candidates
not receiving federal funds are unconstitutional. Candidates privately funded may currently
spend all they want.
Money and winning – Studies show that money makes a difference in congressional races.
Challengers must spend to be recognized, and big spending challengers do better, as do big
spending incumbents.
Advantages of Incumbency -- One estimate calculates incumbency as providing an automatic
9 percent vote advantage. Advantages of incumbency include fundraising (PAC’s give most to
incumbents), services to constituency, franked mailings, name recognition, and free publicity
through legislation and investigations. Congress won't agree to additional election reforms
since incumbents have the advantage. Additionally:
1. The “constitutional right to campaign" involved
2. Public financing of congressional races would give incumbents even more of an advantage
3. Abolishing PAC money might allow fat cats to reemerge as a major force
4. Shorter campaigns might help incumbents
If most voters (a plurality, actually) are Democrats, why don't Democrats always win?
1. Democrats are less wedded to their party
2. GOP does better among independents
3. Republicans have higher turnout
Prospective v. Retrospective voting (prospective is used by relatively few voters):
Prospective1. Those voters know the issues and vote accordingly
2. Most common among activists and special interest groups
Retrospective- (voting practiced by most voters, so decides most elections)
1. Judge the incumbent's performance and vote accordingly
2. Have things gotten better or worse, especially economically?
3. Usually helps incumbent unless economy has gotten worse
4. Other issues can also be important (Iraq War, terrorism, etc.)
The Phenomenon of Midterm Elections: voters traditionally turn against President’s party.
Bush in ’02 actually saw midterm gains in Congress – rather rare.
Campaigns make more of a difference in elections than many people believe:
1. They reawaken voters' partisan loyalties
2. They let voters see how candidates handle pressure
3. They let voters judge candidates' characters
4. Campaigns tend to emphasize themes over details
To win elections, candidates must find a wining coalition. Certain groups of voters can be very
loyal, but the candidate must also look at the importance of various groups (i.e., number of
voters and turnout).
Traditional Democratic coalition:
1. Blacks most loyal
2. Jews slipping somewhat
3. Hispanics somewhat mixed
4. Catholics, southerners, unionists departing the coalition lately
Traditional Republican coalition:
1. Party of business and professional people
2. Very loyal, defecting only in 1964
3. Usually wins vote of poor due to retired, elderly voters
Party Realignments: sharp, lasting shift in the popular coalition supporting one or both parties.
This can happen when there is a change in issues that distinguish the parties or when a major
party disappears and new party emerges. Historical realignments include:
1. 1800: Jeffersonians defeated Federalists
2. 1828: Jacksonian Democrats came to power
3. 1860: Whigs collapsed; Republicans won
4. 1896: Republicans defeated Bryan
5. 1932: FDR Democrats came to power
Clearest cases of issue-related realignment:
1. 1860: slavery
2. 1896: economics
3. 1932: depression
1980 – Reagan – not necessarily a realignment, but has a realignment occurred in the South?
Strong national support for Republicans, but still often Democratic locally. Defining issue also
lacking. Possibly more of a “de-alignment” – from Democrat to Republican.
Party powers have declined in general over the last century:
1. Fewer people identify with either party
2. Increase in ticket splitting
The effects of elections on policy:
1. Argument: public policy remains more or less the same no matter which official or party is in
office
2. Comparison: Great Britain, with parliamentary system and strong parties, often sees marked
changes
3. Reply: evidence indicates that many American elections do make great differences in policy,
though constitutional system generally moderates the pace of change
Chapter 9
Why interest groups are common in America (nearly 3\4 est. in D.C. post 1960):
1. Many kinds of cleavages in the country
2. Constitution makes for many access points to government
3. Political parties are weak, so interests work directly on government
Institutional interests: individuals or organizations representing other organizations, such as
those that represent businesses, unions, etc. They push the “bread and butter” issues that are of
concern to their clients. These groups are numerous and well-financed (AMA, trial lawyers,
small business, etc.).
Membership interests: groups of many types (social, business, professional, veterans',
charitable, religious, political, civic, etc.) whose lobbyists represent the views of individual
members (NAACP, AARP, NRA, N.O.W., etc.). Americans join these types of groups more
frequently than citizens of other nations (we are just as likely to join business interests, less
likely to join unions). Most sympathizers do not join civil groups, though, because benefits flow
to nonmembers, too.
Incentives to join:
1. Solidary incentives-pleasure, companionship (League of Women Voters, Rotary, ParentTeacher Association, American Legion)
2. Material incentives-money, things, services (farm organizations, AARP)
3. Purposive incentives-goal/purpose of the organization itself (National Rifle Association)
Ideological interest groups attract people who are passionate about a particular issue. They
seek to benefit the group through legislative success (NRA, AARP). Public interests seek to
benefit the public at large (Nader, many conservationists).
The activities of interest groups:
A. Supplying credible information to politicians
1. Single most important tactic
2. Detailed, current information at a premium
3. Most effective on narrow, technical issues
4. Rating systems for politicians, their votes
B. Public support
1. Insider strategy previously most common--face-to-face contact between lobbyist and member
or Hill staff
2. Increasing use of outsider strategy-grassroots mobilization
C. Money and PACs
1. Money is least effective way to influence politicians – despite popular misconception, vote
buying is very rare – politicians can take money and still decide how to vote (personal ideology,
with constituents). Money can buy access, though.
2. Campaign finance reform law of 1973 had two effects
a. Restricted amount interests can give to candidates
b. Made it legal for corporations and unions to create PACs
Political Action Committees (PACs):
1. Almost any organization can create a PAC
a. Over half of PACs sponsored by corporations, one-tenth unions, and remainder varied unions and business/professional organizations give the most
b. Recent increase in ideological PACs; one-third liberal, two-thirds conservative - ideological
PACs raise more but spend less due to cost of raising money
c. Incumbents get most PAC money – most contributions are small
-Labor PACs almost exclusively give to Democrats
-Business PACs split money between Democrats and Republicans
-Democrats get most PAC money
Chapter 10
Journalism in American political history – a progression over time:
A. The party press
1. Parties created, subsidized, and controlled various newspapers.
2. Possible because circulation small, subscriptions expensive
3. Newspapers circulated among political and business elites
B. The popular press
1. Changes in society and technology made possible self-supporting, mass readership daily
newspapers
a. High-speed press
b. Telegraph
c. Associated Press, 1848; objective reporting
d. Urbanization concentrated population to support paper, advertisers
e. Government Printing Office established 1860-end of subsidies
C. Electronic journalism
1. Radio arrives in 1920s, television in 1940s
2. Politicians could address voters directly but people could easily ignore
3. Fewer politicians could be covered by these media than by newspapers
a. President routinely covered
b. Others must use bold tactics
Most cities now do not have competing newspapers. Television and radio, on the other hand,
are intensely competitive. Internet news is available nationally.
The national media consists of:
1. Wire services (AP, UPI)
2. National magazines
3. Television network evening news broadcasts
4. Cable News - CNN, FOX
5. Newspapers with national readerships
6. In recent national elections, internet has been key
Significance of the national media:
1. Washington officials follow it closely
2. National reporters and editors distinctive from local press
a. Better paid
b. From more prestigious universities
a. More liberal outlook (local news often more conservative)
b. Do investigative or interpretive stories
Roles played by the media in politics (important):
1. Gatekeeper: what subjects become national political issues, for how long
2. Scorekeeper: track political reputations and candidacies (the “horse race”)
3. Watchdog: investigate personalities and expose scandals
Newspapers are almost entirely free from government regulation. The first amendment has
been very narrowly interpreted so as to protect a free press. There is no prior restraint, and any
suit or prosecution for libel, obscenity, or incitement is narrowly very narrowly defined.
Radio and television are licensed and regulated. Regulations include:
1. Equal-time rule (can’t sell ad time only to one candidate)
2. Right-of-reply rule (if attacked by a candidate)
3. Political-editorializing rule (reply if broadcaster editorializes against)
4. Fairness doctrine (a right to reply if a show presented only one side of an issue) -abolished in
1987; still voluntarily followed by many broadcasters, and may be reinstated in the future by
law.
Confidentiality of sources:
1. Reporters want right to keep sources confidential
2. Most states and federal government disagree
3. Supreme Court allows government to compel reporters to divulge information in court if it
bears on a crime
Campaigning through television media:
1. Equal time rule applies - equal access for all candidates
2. Rates no higher than cheapest commercial rate
3. Debates formerly had to include all candidates
-Reagan-Carter debate sponsored by LWV as news event
-Now stations and networks can sponsor debates limited to major candidates
4. Efficiency in reaching voters varies
-Works well only when market and district overlap
-More Senate than House candidates buy television time – why?
The effects of the media on elections vary, but many political scientists believe that the effects
are weaker than what people might perceive. Citizens often tune out completely or don’t pay
much attention until right before an election. While the argument can clearly be made that the
national media has a very liberal bias, this is often countered by local media, which often has a
conservative bias.
Major media effects are on how politics is conducted, candidates perceived (TV news coverage
can affect Presidential popularity), policy formulated. Conventions are scheduled to
accommodate television, candidates win party nomination via media exposure, and (very
importantly) issues are established by media attention. Media influences the political agenda.
Are news stories slanted?
1. Most people believe media, especially television, where they get most news
2. Percentage increasing among those who think media is biased
3. Press itself thinks it is unbiased
4. Liberal bias of journalists, especially national media
Types of news stories:
1. Routine stories: public events, regularly covered
-Reported similarly by all media; opinions of journalists have least effect
2. Feature stories: public but not routinely covered so requires reporter initiative
-Selection involves perception of what is important
-Liberal and conservative papers do different stories
-Increasing in number; reflect views of press more than experts or public
3. Insider stories: investigative reporting or leaks
B. Reasons for negative reporting (people say they don’t like it, but they tune in)
1. Adversarial press since Vietnam, Watergate, Iran-contra
-Press and politicians distrust each other
-Media are eager to embarrass officials
-Competition for awards, etc., among journalists
People now often believe media slant coverage, have too much influence, and abuse their
constitutional protections. Public confidence in big business is down, and now media are big
business. Drive for market share forces media to use theme of corruption, and that often caused
cynicism among citizens.
Government constraints on journalists do exist. Reporters must strike a balance between
expression of views and retaining sources. Government can also rely upon:
1. Numerous press officers in legislative and executive branches
2. Press releases--canned news
3. Leaks and background stories to favorites
4. Bypass national press to local
5. Presidential rewards and punishments for reporters based on their stories
AP Government – Chapter 11-12 Lecture Notes
Legislative and Executive Branches
Chapter 11
Contrasts between a parliament and a congress:
1. Parliamentary candidates are selected by party
a. Become a candidate by persuading party to place your name on ballot
b. Members of Parliament select prime minister and other leaders
c. Party members vote together on most issues
d. Renomination depends on remaining loyal to party
e. Principal work is debate over national issues
f. Little actual power (individually), low pay
2. Congressional candidates run in a primary election, with little party control
a. Vote is for the candidate, not the party
b. Result is a body of relatively independent representatives
c. Members do not choose president
d. Principal work is representation of constituency and action
e. Party discipline is limited
f. Great deal of power, high pay
The evolution of Congress:
A. Intent of the Framers
1. To oppose concentration of power in a single institution
2. To balance large and small states: bicameralism
3. Expected Congress to be the dominant institution
B. General characteristics of subsequent evolution
1. Congress generally dominant over presidency until twentieth century
a. Exceptions: brief periods of presidential activism
The Senate:
A. Escaped many of the tensions encountered by the House, because:
1. A smaller chamber
2. In 1800s, balanced between slave and free states
B. Popular election of senators in 1913-Seventeenth Amendment
C. Filibuster restricted by Rule 22 (1917) – cloture
Characteristics of a Congressman:
A. Sex and race
1. The House has become less male and less white
2. Senate -- slower to change
B. Incumbency
1. Membership in Congress became a career: low turnover by 1960s
2. 1992 and 1994 brought many new members due to:
a. Redistricting after 1990 census
b. Anti-incumbency attitude of voters
c. Republican victory in 1994
3. Incumbents still with great electoral advantage
a. Most House districts safe, not marginal
C. Party
1. Democrats were beneficiaries of incumbency, 1933-1992
2. Gap between votes and seats: Republican vote higher than number of seats won:
a. Republicans run best in high-turnout districts, Democrats in low-turnout ones
b. Gap closed in 1994
c. Democrats often field better candidates whose positions are closer to those of district voters,
able to build winning district-level coalitions
3. Electoral convulsions, as in 1994
a. Voters opposed incumbents due to budget deficits, various policies, legislative-executive
bickering, scandal
b. Other factors were 1990 redistricting and southern shift to voting Republican
Getting elected to Congress:
**Each state has two senators, but House representation based on population
A. Determining fair representation
1. Now elected from single-member districts (House)
2. Problem of drawing district boundaries (both of the following are illegal)
a. Malapportionment: deliberately creating disparity in number of people in each district
b. Gerrymandering: drawing boundaries to ensure party victory
3. Congress decides size of House (fixed currently at 435 by law)
4. Congress reapportions representatives every ten years
5. 1964 Supreme Court decision requires districts to be drawn to ensure "one person, one vote"
(no malapportionment)
6. Majority-minority districts remain problematic question
a. Districts drawn to make it easier to elect minority representatives
b. Shaw v. Reno: Supreme Court states race can be a factor in congressional redistricting only if
there is a “compelling state interest" - standard yet to be defined
c. Liberal white members of Congress represent black interests as strongly as black members
(What about J.C. Watts?)
B. Winning the primary
1. Candidate needs to win the party primary to appear on the ballot in the general election
2. Primaries reduce influence of political party (people choose, not party leaders)
3. Incumbents almost always win: sophomore surge due to use of office to run personal
campaign
4. Candidates run personalized campaigns--offers them independence from party in Congress
5. Way people get elected has two consequences
a. Legislators closely tied to local concerns
b. Party leaders have little influence
6. Affects how policy is made: office geared to help people, gain pork for district
C. Members must decide how much to be delegates (do what district wants) versus trustees (use
independent judgment)
The organization of Congress:
A. Party organization of the Senate
1. President pro tempore presides; member with most seniority in majority party
2. Leaders are the majority leader and the minority leader - elected by their respective party
members
3. Party whips - keep leaders informed, round up votes, count noses
4. Each party has a policy committee--schedule Senate business, setting schedule and
prioritizing bills
5. Committee assignments (important – most work happens here!)
a. Democratic Steering Committee
b. Republican Committee on Committees
c. Emphasizes ideological and regional balance
d. Other factors: popularity, effectiveness on television, favors owed
B. Party structure in the House--House rules give leadership more power
1. Speaker of the House is leader of majority party; presides over House
a. Decides whom to recognize to speak on the floor
b. Rules on germaneness of motions
c. Decides to which committee bills go
d. Influences which bills are brought up for a vote
e. Appoints members of special and select committees
f . Has some patronage power
2. Majority leader (floor leader) and minority leader
3. Party whips – same as Senate
C. The strength of party structure
1. Now less party-centered, less leader-oriented, more hospitable to freshmen
D. Party unity
1. Problems in measuring party votes
2. Party-line voting and cohesion more evident in 1990s than past
3. Splits often reflect deep ideological differences between parties or party leaders
4. Why is there party voting, given party has so little electoral influence?
a. Ideological differences important
b. Cues given by and taken from fellow party members
c. Rewards from party leaders
E. Caucuses: rivals to parties in policy formulation
1. 1995, public funds denied caucuses--had to raise own money
2. Types of caucuses
a. intra-party
b. Personal interest
c. National constituency
d. Regional constituency
e. State or district constituency
f. Industry constituency
The organization of Congress: committees and their functions (important!)
A. Legislative (standing) committees - most important organizational feature of Congress
1. Consider bills or legislative proposals
Most bills sent to committees are never heard of again. One estimate calculates that only 6
percent of the bills introduced in Congress are ever reported by a committee for floor action.
Most bills die in committee. Only about 4 percent ever become law.
2. Maintain oversight of executive agencies
3. Conduct investigations
B. Types of committees
1. Standing committees--basically permanent bodies with specified legislative responsibilities
2. Select committees--groups appointed for a limited purpose and limited duration
3. Joint committees--those on which both representatives and senators serve
a. Conference committees -- joint committee appointed to resolve differences in Senate and
House versions of the same piece of legislation before final passage
C. Committee practices
1. Number of committees has varied; 1995 - significant cuts
2. Majority party has majority of seats on the committees
3. Each member usually serves on two standing committees but ...
a. …House members serve on one exclusive committee
b. …Senators receive two major and one minor committee assignments
4. Chairs are elected, but usually the most senior member of the committee is elected by the
majority party, though seniority weakened in 1995
5. More amendments proposed and adopted (especially in the Senate)
a.
Additions, changes, and deletions
b.
Pork
c.
Poison pill
The organization of Congress: staffs and specialized offices
A. Tasks of staff members
1. Constituency service-major task of staff
2. Legislative functions-devising proposals, negotiating agreements, organizing hearings,
meeting with lobbyists and administrators
B. Growth and impact of staff
1. Larger staff generates more legislative work
2. Members of Congress can no longer keep up with increased legislative work and so must rely
on staff
3. Results in a more individualistic Congress-less collegial, less deliberative
How a bill becomes law:
A. Bills travel through Congress at different speeds
1. Bills to spend money or to tax or regulate businesses move slowly
2. Bills with a clear, appealing idea move fast
3. Complexity of legislative process helps a bill's opponents
B. Introducing a bill
1. Introduced by a member of Congress
2. Congress initiates most legislation
3. Presidentially drafted legislation is shaped by Congress
4. Resolutions
a. Simple Resolution-passed by one house affecting that house
b. Concurrent Resolution-passed by both houses affecting both
c. Joint Resolution
(1) Essentially a law-passed by both houses, signed by president
(2) If used to propose constitutional amendment-two-thirds vote in both houses, but President's
signature unnecessary
C. Bill is referred to a committee for consideration by either Speaker or presiding officer
1. Revenue bills must originate in the House
2. Most bills die in committee
3. Multiple referrals limited after 1995
4. Mark-up - bills are revised by committees
5. Committee reports a bill out to the House or Senate
a. If bill is not reported out, the House can use the discharge petition
b. If bill is not reported out, the Senate can pass a discharge motion
c. These are routinely unsuccessful.
6. Bill must be placed on a calendar to come before either house
7. House Rules Committee sets the rules for consideration
a. Closed rule: sets time limit on debate and restricts amendments
b. Open rule: permits amendments from the floor
c. Restrictive rule: permits only some amendments
d. Use of closed and restrictive rules growing
e. Rules can be bypassed in the House-move to suspend rules; Calendar Wednesday
D. Floor debate-the House:
1. Committee of the Whole-procedural device for expediting House consideration of bills but
cannot pass bills
2. Committee sponsor of bill organizes the discussion
3. House usually passes the sponsoring committee's version of the bill
E. Floor debate-the Senate:
1. No rule limiting germaneness
2. Committee hearing process can be bypassed by a senator with a rider
3. Debate can be limited only by a cloture vote.
a. Three-fifths of Senate must vote in favor of ending filibuster
4. Both filibusters and cloture votes becoming more common
a. Easier now to stage filibuster
b. Roll calls are replacing long speeches
c. Filibuster can be curtailed by double-tracking: disputed bill is shelved temporarily so Senate
can continue other business
F. Methods of voting
1. To investigate voting behavior, one must know how a legislator voted on amendments as
well as on the bill itself
2. Procedures for voting in the House
a. Voice vote
b. Division (standing) vote
c. Teller vote
d. Roll-call vote
3. Senate voting is the same except no teller vote
4. Differences in Senate and House versions of a bill
a. If minor, last house to act merely sends bill to the other house, which accepts the changes
b. If major, a conference committee is appointed
(1) Decisions are by a majority of each delegation; Senate version favored @ 60% of time
(2) Conference reports back to each house for acceptance or rejection
(3) Report can only be accepted or rejected-not amended
(4) Report accepted, usually
5. Bill, in final form, goes to the President
a. President may sign it
b. If president vetoes, it returns to house of origin
(1) Either house may override President by vote of two-thirds of those present
(2) If both override, bill becomes law without President's signature (historically, in @ 4% of
veto situations)
How members of Congress vote:
A. Representational view
1. Assumes that members vote to please their constituents, to get reelected
2. Constituents must have a clear opinion of the issue; the vote must attract attention
(majoritarian issues)
a. Very strong correlation on civil rights and social welfare bills
b. Very weak correlation on foreign policy
c. No clear opinion in the constituency on most issues
B. Organizational view
1. Assumes members of Congress vote to please colleagues, to gain status and prestige
2. Organizational cues
a. Party
b. Ideology
c. Party members on sponsoring committees
3. Party and other organizations do not have clear position on all issues
C. Attitudinal view
1. Assumes that personal ideology affects a legislator's vote
2. House members tend, more than senators, to have opinions similar to those of the average
voter they represent
3. Liberal senators tend to be more liberal than the average voter, vice-versa for conservatives
Reforming Congress:
A. Numerous proposals to reform Congress
B. Representative or direct democracy?
1. Framers: representatives refine, not reflect, public opinion
2. Today: many think representatives should mirror majority public opinion
3. Move toward direct democracy would have consequences
C. Proper guardians of the public weal?
1. Madison (to prevent rule by factions)
a. National laws should transcend local interest
b. Legislators should make reasonable compromises on behalf of entire polity's needs
c. Legislators should not be captured by special interests
2. Problem is that many special-interest groups represent professions and public-interest groups
D. A decisive Congress or a deliberative one?
1. Framers designed Congress to balance competing views and thus act slowly
2. Today, complaints of policy gridlock
3. But if Congress moves too quickly it may not move wisely
E. Imposing term limits
1. Anti-Federalists distrusted strong national government; favored annual elections and term
limits
2. Today, 95 percent of House incumbents reelected, but 80 percent of public supports term
limits
3. Twenty-two states in 1994 had passed term-limit proposals
4. Effects of term limits vary depending on type of proposal
a. Lifetime limits produce amateur legislators who are less prone to compromise
b. Limiting continuous sequence leads to office-hopping and push for public attention
c. 1995, Congress failed to approve resolutions for a constitutional amendment on term limits
(duhhh!)
d. Supreme Court ruled states cannot constitutionally impose term limits on Congress
F. Reducing power and perks
1. Gifts banned in 1995 (extremely small exceptions); concerns remain
2. Regulating franking
3. Place Congress under law and not exempt itself from laws
a. Congressional Accountability Act of 1995--Congress obliged itself to obey eleven major
employment laws
4. Trim pork to avoid wasteful projects
a. Main cause of deficit is entitlement programs, not pork
b. Members supposed to advocate interests of district
c. Price of citizen-oriented Congress is pork
5. Downsize staff as well
a. But staff size same as 1980s
b. Cutting staff makes Congress more dependent on executive
Ethics and Congress:
A. Separation of powers and corruption
1. Fragmentation of power increases number of officials with opportunity to sell influence
a. Example: senatorial courtesy rule offers opportunity for office seeker to influence a senator
2. Forms of influence
a. Money
b. Exchange of favors
B. New ethics rules (104th Congress) – limiting the spoils of office:
1. Honoraria: House bans, Senators may designate charity
2. Campaign funds: ban retaining of surplus
3. Lobbying - former members banned for one year
4. Gifts: $250 House limit, $100 Senate
5. Lobbyist payments banned for travel, legal defense funds, charitable donations
C. Problems with ethics rules
1. Rules assume money is the only source of corruption
2. Neglect political alliances and personal friendships that are part of legislative bargaining
3. The Framers were more concerned to ensure liberty (through checks and balances) than
morality
D. Congressional Accountability Act of 1995 – bipartisan effort to allow Congress to comply
with a variety of national laws without executive branch enforcement (mixing the separation of
powers) by creating the Office of Compliance to handle oversight and employee grievances
***Throughout most of American history (with brief exceptions), Congress has been the
dominant branch of the federal government – that changed during the FDR era, when the
executive became entrenched as the dominant branch. There have been numerous attempts by
Congress to reassert its authority since the 1970’s. Know these!!
1. Reaction to Vietnam, Watergate, and divided government
2. War Powers Act of 1973
3. Congressional Budget and Impoundment Reform Act of 1974
4. Legislative veto included in more laws
Chapter 12
Presidents v. prime ministers:
A. Characteristics of parliaments
1. Parliamentary system twice as common
2. Chief executive chosen by legislature
3. Cabinet ministers chosen from among members of parliament
4. Prime minister remains in power as long as his/her party or coalition maintains a majority in
the legislature
B. Differences (affected by our Separation of Powers)
1. Presidents are often outsiders (divided government); prime ministers are always insiders,
chosen by party members in parliament
2. Members of Congress cannot simultaneously serve in a president's cabinet; members of
parliament are eligible to serve in the prime minister's cabinet
3. Presidents have no guaranteed majority in the legislature; prime ministers always have a
majority
4. Presidents and legislature often work at cross-purposes
a. Even when one party controls both branches (Bush, 2005, Harriett Miers for Supreme Court)
b. A consequence of separation of powers, which fosters conflict between the branches
c. Historically, only Roosevelt and Johnson had highly constructive relations with Congress
C. Divided government common in U.S. but Americans dislike it for creating gridlock
1. But divided government passes as many important laws, conducts as many investigations,
and ratifies as many treaties as a unified government
2. Unclear whether gridlock is always bad; it is a necessary consequence of representative
democracy
The evolution of the presidency:
A. Delegates feared both anarchy and monarchy
1. Idea of a plural executive
2. Idea of an executive checked by a council
B. Concerns of the Founders
1. Fear of military power of president who could overpower states
2. Fear of presidential corruption by Senate
3. Fear of presidential bribery to ensure reelection
4. Concerned to balance power of legislative and executive branches
C. The electoral college
1. Each state to choose own method of selecting electors
2. Electors to meet in own capital to vote for president and vice president
The actual election of the president and vice president does not occur until January 6, when the
sitting vice president, in the presence of both houses of Congress, opens the ballots of the
electors. Although usually a formality, some electors have deviated from the way they were
supposed to vote (faithless elector).
3. If no majority, House would decide
D. The president's term of office
1. Precedent of George Washington: historical tradition of two terms
2. Twenty-second Amendment in 1951 limits to two terms (6 to 10 years)
3. Problem of establishing the legitimacy of the office (Washington)
4. Provision for orderly transfer of power (Jefferson, 1800)
E. The first presidents
1. Office legitimated by men active in independence and Founding politics
2. Minimal activism of early government contributed to lessening fear of the presidency
3. Appointed people of stature in the community (rule of fitness)
4. Relations with Congress were reserved; few vetoes; no advice
F. The Jacksonians
1. Jackson believed in a strong and independent president
2. Vigorous use of veto for policy reasons; none overridden
G. The reemergence of Congress
1. With brief exceptions the next hundred years was a period of congressional dominance
2. Intensely divided public opinion-partisanship, slavery, sectionalism
3. Only Lincoln expanded presidential power
a. Asserted “implied powers” as commander in chief
b. Justified by emergency conditions created by Civil War
The Supreme Court rejected Lincoln's emergency powers rationale for exercising power beyond
the president's constitutional authority. In Ex Parte Milligan (1866), the Court declared that “the
Constitution of the United States is a law for rulers and people, equally in war and in peace.”
4. President mostly an opposing force to Congress until New Deal (FDR)
5. Popular conception of president as center of government contradicts reality; Congress often
policy leader
The powers of the president:
A. Formal powers found in Article II
1. Not a large number of explicit powers
2. Potential for power found in ambiguous clauses of the Constitution--e.g., power as
commander in chief, duty to “take care that laws be faithfully executed” – partial means for
current expansion
B. Greatest source of power lies in politics and public opinion
1. Increase in broad statutory (by law) authority, especially since 1930s
2. Expectation of presidential leadership from the public
The office of the president:
A. The White House Office
1. Contains the president's closest assistants
2. Three ways of structuring, often used in combination
a. Pyramid
b. Circular
c. Ad hoc
3. Staff typically worked on the campaign; a few are experts
B. Executive Office of the President
1. Composed of agencies (bureaucracy) that report directly to the president
2. Appointments must receive Senate confirmation (majority only)
C. The Cabinet
1. Not explicitly mentioned in Constitution
2. President can appoint fewer than one percent of employees in most departments
3. Secretaries become preoccupied and defensive about their own departments
a. “gone native”
D. Independent agencies, commissions, and judgeships
1. President appoints members of agencies that have a quasi-independent status (such as the
FED or the SEC)
2. In general, independent agency heads can be removed only “for cause” and serve fixed
terms; executive agency heads serve at the president's pleasure, though their appointments must
be confirmed by the Senate
3. Judges can be removed only by impeachment
Presidential character during the last half-century:
A. Eisenhower--orderly
B. Kennedy-improviser
C. Johnson-deal maker
D. Nixon-mistrustful
E. Ford-genial
F. Carter-outsider, micromanager
G. Reagan-communicator
H. Bush-hands-on manager
I. Clinton-focus on details
J. Bush-delegates extensively
The presidential power to persuade:
A. The three audiences
1. Fellow politicians and leaders in Washington, D.C. - reputation very important
2. Party activists and officials outside Washington
3. The various publics
B. Popularity and influence
1. Presidents try to transform popularity into congressional support for their programs – high
approval ratings often equal more support
2.Members of Congress believe it is politically risky to challenge a popular president
C. The decline in popularity
1. Popularity highest immediately after an election
2. Declines by midterm
3. Crises, particularly with decisive response, often improve popularity
The power to say no (many opportunities):
A. Veto of legislation
1. Veto often sends a message to Congress
2. Pocket veto (only before Congress adjourns at the end of its second session)
3. Congress rarely overrides vetoes (2\3 supermajority of both houses required); no line-item
veto (aka “enhanced recision”) in constitution
4. 1996 law permitted enhanced recisions, though its constitutionality was uncertain (later found
unconstitutional in Clinton v. NY)
B. Executive privilege
1. Confidential communications between president and advisers
2. Justification
a. Separation of powers
b. Need for candid advice
3. U.S. v. Nixon (1973) rejected claim of absolute executive privilege
C. Impoundment of funds
1. Defined: presidential refusal to spend funds appropriated by Congress
2. Countered by Congressional Budget and Impoundment Reform Act (1974)
a. Requires president to notify Congress of funds he does not intend to spend
b. Congress must agree in 45 days to delete item
c. Requires president to notify Congress of delays in spending
d. Congress may pass a resolution requiring the immediate release of funds
The President's program:
The preparation of a presidential program was not institutionalized until the administration of
Franklin Roosevelt. When Eisenhower assumed office, he failed to submit a program in the
belief that initiating legislation was a congressional responsibility. Congress finally requested
the president to forward his policies for action.
1. President can try to have a policy on everything (Carter)
2. President can concentrate on a small number of initiatives (Reagan)
3. Constraints
a. Public and congressional reaction may be adverse (Clinton Health Care)
b. Limited time and attention span of the president (Bush I, Ford)
c. Unexpected crises (Bush II)
Presidential succession:
A. Only fifteen of forty-three presidents have served two terms
B. The vice president
1. Eight vice presidents have succeeded to office on president's death
2. Rarely are vice presidents elected president
a. Unless they first took over for a president who died
b. Only five instances otherwise: Adams, Jefferson, Van Buren, Nixon, Bush (Sr.) – and only
three after the early founders
Both John Adams and Thomas Jefferson were vice presidents prior to the adoption of the
Twelfth Amendment, which provided for the election of a single ticket to the top executive
offices (president and vice president). Adams and Jefferson, therefore, had no official party
connection to the president.
3. “A rather empty job”
a. Vice president presides over Senate and votes in case of tie
b. Leadership powers in Senate are weak
C. Problems of succession
1. What if president falls ill?
a. Examples: Garfield, Wilson, Eisenhower, Reagan
2. If vice president steps up, who becomes new vice president?
a. Succession Act (1886): designated secretary of state as next in line
b. Amended in 1947 to designate Speaker of the House
3. Twenty-fifth Amendment (1967) resolved both issues
a. Allows vice president to serve as acting president if president is disabled – first example –
Reagan’s surgery
(1) Decided by president, by vice president and cabinet, or by two-thirds vote of Congress
b. Requires vice president who ascends to office on death or resignation of president to name a
vice president – Agnew, Nixon, and Ford ex.
(1) Must be confirmed by majority vote of both houses
D. Impeachment
1. Judges, not presidents, most frequent objects of impeachment
2. Indictment by the House, conviction by the Senate
a. Examples: Andrew Johnson, Richard Nixon (preempted by resignation), Bill Clinton – both
Johnson and Clinton found not guilty by the Senate
How powerful is the president?
A. Both president and Congress are more constrained today
B. Reasons for constraints
1. Complexity of issues
2. Scrutiny of the media
3. Greater number and power of interest groups
C. World’s most powerful person? Arguably……
AP American Government
Chapter 13-14 Lecture Notes
The Judiciary and the Federal Bureaucracy
Chapter 13 – The Bureaucracy
The American Bureaucracy:
A. Constitutional system and traditions make bureaucracy distinctive
1. Oversight shared by President and Congress
2. Federal agencies share functions with state and local governments
3. Adversarial culture leads to closer scrutiny; court challenges more likely
B. Scope of bureaucracy
1. Little public (government) ownership of industry in the United States
2. High degree of regulation in the United States of private industries
The Federal Bureaucracy Today:
A. Direct and indirect growth
1. Modest increase in number of government employees
2. Significant indirect increase in number of employees through use of private contractors, state
and local government employees
B. Growth in discretionary authority
1. Delegation of undefined authority by Congress greatly increased
2. Primary areas of delegation
a. Subsidies to groups
b. Grant-in-aid programs
c. Enforcement of regulations
C. Factors explaining behavior of bureaucrats
1. Recruitment and retention
a. Still some presidential patronage - presidential appointments, non-career executive
assignments
(1) Pendleton Act (1883): transferred basis of government jobs from patronage to merit
(2) Merit system protects president from pressure and protects patronage appointees from new
presidents (blanketing in)
b. The buddy system
(1) Name-request job: filled by a person whom an agency has already identified. Job description
may be tailored for person. Circumvents usual search process - also encourages issue networks
based on shared policy views
c. Firing a bureaucrat
(1) Most bureaucrats cannot be fired, although there are informal methods of discipline
d. The “Agency point of view”
(1) Agencies are dominated by lifetime bureaucrats who have worked for no other agency
2. Personal attributes--social class, education, political beliefs
a. Allegations of critics:
(1) Higher civil servants are elitist
(2) Officials are ideologically biased
b. Surveys of bureaucrats show that they
(1) Are somewhat more liberal than the average
(2) But they do not take extreme positions
c. Correlation between type of agency and attitudes of employees
(1) Activist agency bureaucrats more liberal (FTC, EPA, FDA)
(2) Traditional agency bureaucrats less liberal (Agriculture, Commerce, Treasury)
d. Do bureaucrats sabotage their political bosses?
(1) Most bureaucrats try to carry out policy, even those they disagree with
(2) Whistleblower Protection Act (1989)
3. Culture and careers
a. Each agency has its own culture
b. Jobs within an agency can be career enhancing or not
c. Strong agency culture motivates employees, but it makes agencies resistant to change
4. Constraints much greater on government agencies than on private bureaucracies
a. Hiring, firing, pay, procedures, etc., established by law, not by market
b. General constraints (often due to demands for fairness, openness)
(1) Administrative Procedure Act (1946){public notice, hearings}
(2) Freedom of Information Act (1966){few exceptions}
(3) National Environmental Policy Act (1969){required Environmental Impact Statements}
(4) Privacy Act (1974){confidentiality for private citizens}
(5) Open Meeting Law (1976){public access – few exceptions}
(6) Several agencies often assigned to a single policy
c. Effects of constraints
(1) Government moves slowly, acts inconsistently
(2) Easier to block action than take action
(3) Fear of decision making by lower-ranking employees
(4) Red tape
5. Agency allies
a. Agencies often seek alliances with congressional committees or interest groups
(1) Iron triangle-client politics
b. Far less common today-politics has become too complicated
(1) More interest groups, more congressional subcommittees
(2) Far more competing forces than ever given access by courts
c. Issue networks: groups that regularly debate government policy on certain issues – often
partisan and contentious
Congressional oversight of the bureaucracy:
A. Forms of congressional supervision
1. Creation of agency by Congress
2. Statutory requirements of agency
3. Authorization of money, either permanent, fixed number of years, or annual
4. Appropriation of money allows spending
B. The Appropriations Committee and legislative committees
1. Appropriations Committee most powerful
a. Most expenditure recommendations are approved by House
b. Tends to recommend amount lower than agency request
c. Has power to influence an agency's policies through “marking up” an agency's budget
2. Legislative committees are important when
a. A law is first passed
b. An agency is first created
c. An agency is subject to annual authorization
C. The legislative veto
1. Declared unconstitutional by Supreme Court in Chadha (1983)
2. Weakens traditional legislative oversight but Congress continues creating such vetoes
3. Their constitutionality is still uncertain; debate about the legislative veto continues
Bureaucratic pathologies:
1. Red tape--complex and sometimes conflicting rules
2. Conflict--agencies work at cross-purposes
3. Duplication--two or more agencies seem to do the same thing
4. Imperialism--tendency of agencies to grow, irrespective of benefits and costs of programs
5. Waste--spending more than is necessary to buy some product or service
Reforming the Bureaucracy:
A. Numerous attempts to make bureaucracy work better for less money
2. National Performance Review (NPR) in 1993 designed to reinvent government (Clinton)
Chapter 14 – Judicial Branch
I. Introduction
A. Only in the United States do judges play so large a role in policy-making
The policy-making potential of the federal judiciary is enormous. Woodrow Wilson once
described the Supreme Court as a constitutional convention in continuous session.
1. Judicial review: right of federal courts to rule on the constitutionality of laws and executive
acts (all levels of courts can exercise judicial review)
a. Chief judicial weapon in system of checks and balances
2. In Britain, Parliament is supreme
3. In most countries, judicial review means little
a. Exceptions: Australia, Canada, Germany, India, and a few others
B. Debate is over how the Constitution should be interpreted
1. Strict construction: judges are bound by wording of Constitution
2. Activist: judges should look to underlying principles of Constitution
3. Not entirely a matter of liberal versus conservative
a. A judge can be both conservative and activist, or liberal and strict constructionist
b. Today: most activists tend to be liberal, most strict constructionists tend to be conservative
The development of the federal courts:
A. Founders' view
1. Most Founders probably expected judicial review but not playing so large a role in policymaking (less activism)
2. Traditional view: judges find and apply existing law
3. Activist judges would later respond that judges make law
4. Hamilton: courts least dangerous branch (some believe opposite today)
a.
McCulloch v. Maryland (1819): federal law declared supreme over state law
B. The Court and Slavery
1. Dominant issue up to Civil War (Dred Scott v. Sanford, 1857)
C. Government and the economy: Civil War to 1936
1. Dominant issue of the period: under what circumstances could the economy be regulated by
state or federal governments
2. The Court interprets the Fourteenth and Fifteenth amendments narrowly as applied to blacksupheld segregation, excluded blacks from voting in many states
D. Government and political liberty: 1936 to the present
1. Court establishes tradition of deferring to the legislature in economic cases
2. Court shifts attention to personal liberties and is active in defining rights
3. Court-packing plan (FDR)
4. In the 1990s, some rulings in favor of state's rights
The structure of the federal courts:
A. Two kinds of federal courts
1. Constitutional courts-exercise judicial powers found in Article III
a. Judges serve during good behavior
b. Salaries not reduced while in office
c. Examples: District Courts (94), Courts of Appeals (12 circuits)
2. Legislative courts (Tax Court, Military Appeals, etc.)
a. Created by Congress for specialized purposes
b. Judges have fixed terms
c. Can be removed; no salary protection
B. Selecting judges--all are nominated by president and confirmed by the Senate
1. Senatorial courtesy: judges “must” be approved by that state's senators (primarily the senior
senator), particularly for district courts
2. The litmus test (position per key issues)
a. Concern: this may downplay professional qualifications
b. Greatest impact on Supreme Court-no tradition of senatorial courtesy
The jurisdiction of the federal courts:
A. Dual court system
1. One state (most court cases heard here), one federal
2. Federal cases listed in Article III and Eleventh Amendment of Constitution
a. Federal-question cases: involving U.S. Constitution, federal law, treaties
b. Diversity cases: involving different states, or citizens of different states
3. Some cases can be tried in either court
a. Example: if both federal and state laws have been broken (dual sovereignty)
b. justified: each government has right to enact laws and neither can block prosecution out of
sympathy for the accused
4. State cases sometimes can be appealed to Supreme Court
B. Route to the Supreme Court
1. Most federal cases begin in district courts
a. Most are straightforward, do not lead to new public policy
2. Supreme Court picks the cases it wants to hear on appeal
a.
Uses writ of certiorari (cert)
b.
Requires agreement of four justices to hear case (grant cert)
c. Usually deals with significant federal or constitutional question
(1) Conflicting decisions by circuit courts
(2) Highest state court issues a ruling involving constitutional interpretation
d. Only 3 to 4 percent of appeals are granted certiorari
e. Others are left to lower courts
f. Results in diversity of constitutional interpretation among circuits
Other avenues exist for taking an appeal to the Supreme Court aside from the writ of certiorari.
A “writ of certification" can be used when a U.S. Court of Appeals requests instructions from
the Supreme Court on a point of law never before decided. A "writ of appeal” is available, in
simple terms, when the constitutionality of a government action is in question or when a
decision from a three-judge district court is appealed.
Getting to court:
A. Deterrents
1. Court rejects over 96 percent of applications for certiorari
2. Costs of appeal are high
a. But these can be lowered by
(1) In forma pauperis: plaintiff indigent, with costs paid by government
(2) Indigent defendant in a criminal trial: legal counsel provided by government
(3) Payment by interest groups (ACLU, NAACP, etc.)
3. Standing: guidelines
a. Must be controversy between adversaries
b. Personal harm must be demonstrated
c. Being taxpayer not ordinarily entitlement for suit challenging federal government action
d. Sovereign immunity
B. Class-action suits
1. Brought on behalf of all similarly situated
2. Financial incentives (for attorneys) to bring these suits
The Supreme Court in action:
A. Oral arguments by lawyers after briefs submitted
1. Each side has one half-hour, but justices can interrupt with questions
2. Amicus curiae briefs submitted if parties agree or Supreme Court grants permission (with
court’s permission – usually granted)
3. Many sources of influence on justices, e.g., law journals, public opinion
B. Conference procedures
1. Role of chief justice: speaking first, voting last
2. Selection of opinion writer (chief or senior in majority)
3. Concurring and dissenting opinions
4. Per Curiam opinion (brief and unsigned)
C. Voting patterns of the Court
1. Rehnquist Court deeply divided in the 1990s, 2000s
a. Liberals-Stevens, Ginsburg, Breyer
b. Conservatives-Rehnquist, Scalia, Thomas
c. Swing vote-Kennedy, Souter, O'Connor
2. Still, unity often prevails -- +\-40% percent of opinions are unanimous
3. Roberts Court – will it move to the right?
a.
Roberts replaces solid conservative as chief
b.
Alito nomination (to replace swing vote)
c.
Future (five justices at or near 70, Stevens nearly 90)
The power of the federal courts:
A. The power to make policy
1. By interpretation of constitution or law
2. By extending reach of existing law
3. By designing remedies (how far do judges go?)
a. Stare decisis – “let the decision stand” (follow precedent)
C. Views of judicial activism
1. Supporters
a. Courts should correct injustices when other branches or state governments refuse to do so
(civil rights movement often in court)
b. Courts are last resort
2. Critics
a. Judges lack expertise
b. Courts not accountable; judges not elected
D. Legislation and the courts
1. Laws and the Constitution are filled with vague language
a. Gives courts opportunity to design remedies
Checks on judicial power:
A. Judges are not immune to politics or public opinion
1. Effects will vary from case to case
2. Decisions can be ignored (school prayer, school desegregation)
B. Congress and the courts
1. Confirmation and impeachment proceedings gradually alter composition of courts
2. Changing the number of judges, giving president more or less appointment opportunities
The number of justices sitting on the Supreme Court is determined by Congress. The current
number of nine justices was established in 1869. However, the membership of the Court has
ranged from five to ten justices.
3. Revising legislation declared unconstitutional
4. Altering jurisdiction of the courts and restricting remedies
5. Constitutional amendment
Six constitutional amendments (16, 19, 22, 23, 24, 26) arguably have been adopted specifically
to alter decisions by the Supreme Court.
AP American Government
Chapter 15-17 Lecture Outline
Public Policy, Policy Agendas, Economic Policy, and Welfare Policy
Chapter 15
Public Policy – The rules and laws that government implements to deal with the issues before it
that affect the public. These issues can include economics, morality, law enforcement, military
issues, and myriad others.
Setting a policy agenda:
A. Most important decision affecting policy-making -- what belongs on the political agenda
1. Legitimacy of political issues affected by
a. Shared political values
b. Custom and tradition
c. Impact of events
d. Political elites
The Role of Government:
A. The legitimate scope of government action always gets larger (historically) due to changes in
public's attitudes, impact of events. May also be enlarged without public demand, even when
conditions improving.
1. Various groups: a motivating force in adding new issues to government agenda
a. Organized (corporations, interest groups) or disorganized (urban minorities)
b. Often react to sense of relative deprivation - people feeling they are worse off than they
expected to be
2. Institutions a second force adding new issues
a. Courts
(1) Decisions that force action by other branches: school desegregation, abortion
b. Bureaucracy
(1) Size (must justify own existence) and expertise
c. Senate
(1) More activists than ever
(2) Source of presidential candidates with new ideas
d. Media
(1) Help place issues on political agenda, publicize those placed there by others
3. Political agenda can change because of:
a. Changes in popular attitudes, which result in gradual revision of the agenda
b. Critical events, spurring rapid changes in attitudes (9-11)
c. Elite attitudes and governmental actions
Making a policy decision:
A. Nature of issue
1. Affects the kind of groups that become politically active
2. Affects intensity of political conflict
B. Costs and benefits of proposed policy a way to understand how issue affects political power
1. Cost: any burden, monetary or not
2. Benefit: any satisfaction, monetary or not
3. Legitimacy of beneficiaries often central to debate
4. Politics a process of settling disputes over who benefits/pays and who ought to benefit/pay
5. People prefer programs that provide benefits to them at low cost
Majoritarian politics: distributed benefits, distributed costs (social security)
A. Gives benefits to large numbers, distributes costs to large numbers
B. Involves appeals to large blocs of voters to find a majority
Interest-group politics: concentrated benefits, concentrated costs (labor unions versus
businesses)
A. Gives benefits to relatively small and identifiable group, costs to small and identifiable group
B. Debate carried on by interest groups
Client politics: concentrated benefits, distributed costs (pork barrel projects)
A. Relatively small group benefits; group has incentive to organize
B. Costs distributed widely, so little incentive for opposition to mobilize
Entrepreneurial politics: distributed benefits, concentrated costs (Superfund)
A. Gives benefits to large numbers, costs imposed on small and identifiable group
B. Success often depends on people who work on behalf of unorganized majorities - policy
entrepreneurs (Ralph Nader)
Business regulation – different ways policy change is driven:
A. Wealth and power
1. One view: economic power dominates political power
a.
Wealth can buy political power
b. Politicians and business people with similar backgrounds and ideologies - politicians must
defer to business to keep economy healthy
2. Another view: political power a threat to a market economy
a. Policy response (majoritarian issue) - Sherman Antitrust Act (1890) did not define trade
illegalities or provide an enforcement agency (weak)
Many corporations and banks secretly assisted in the drafting of Sherman Act because the weak
laws that were passed appeased public demands for business regulation without hindering
corporate behavior significantly.
3. Antitrust legislation strengthened in the twentieth century (issues driven by interest group
politics)
a. Federal Trade Commission created in 1914; Clayton Act (1914) made certain practices illegal
b. Enforcement determined primarily by ideology and personal convictions of the current
presidential administration
c. 1935: labor unions seek government protection - business opposed - Unions win
(1) Wagner Act creates National Labor Relations Board (NLRB)
d. 1947: Taft-Hartley Act a victory for management
e. 1959: Landrum-Griffin Act another victory for management
f. Occupational Safety and Health Act of 1970 (OSHA)
B. Client politics
1. Agency capture likely when benefits focused and costs dispersed - agency created to serve a
group's needs (often dependent upon said group)
2 Licensing of attorneys, commercial fishermen, etc.
a. Restricts entry into occupation or profession
(1) Allows members to charge higher prices
b. People not generally opposed
(1) Believe regulations protect them
(2) Costs are not obvious
3. Regulation of milk industry, sugar production, hunting guides, cosmetologists
a. Prevents price competition and keeps price up (public unaware)
C. Entrepreneurial politics - relies on policy entrepreneurs to galvanize public opinion, mobilize
congressional support:
1. 1906: Pure Food and Drug Act protected consumer
2. 1960s and 1970s: large number of consumer and environmental protection statutes passed
(Clean Air Act)
3. Policy entrepreneur usually associated with such measures (Ralph Nader)
a. Often assisted by crisis or scandal
b. Debate becomes moralistic and extreme
Deregulation:
A. Idea has taken hold in 80’s and 90’s
B. Though often popular, often difficult to achieve (bureaucracy entrenched, recipients
addicted)
C. Varied results in areas that have been deregulated (airlines, telephone companies, etc.)
D. Efforts underway in other industries (tobacco, sugar, milk, etc.) – progress often very slow
Chapter 16- Economic Policy
“It’s the economy, stupid!”
Economic health:
A. Disputes about economic well-being tend to produce majoritarian politics
1. Voters see connections between nation as a whole and their own situations
2. Voting behavior and economic conditions are not always correlated at national and individual
levels
a. People understand what government can and cannot be held accountable for (sometimes)
b. People see economic conditions having indirect effects on them even when they are doing
well
B. What politicians try to do
1. Elected officials tempted to take short-term view of the economy
2. Government will not always do whatever is economically necessary to win the election
a. Government does not know how to consistently produce desirable outcomes
b. Attempting to cure one economic problem often occurs at cost to another (low interest rates
and\or high employment can breed inflation)
3. Ideology plays large role in determining policy
a. Democrats tend to want to reduce unemployment
b. Republicans tend to want to reduce inflation
Economic theories and political needs:
A. Monetarism -- asserts that inflation occurs when there is too much money chasing too few
goods (Milton Friedman)
1. Advocates increase in money supply about equal to economic growth and then let free market
operate (interest rates, reserve ratios, buy\sell government securities)
B. Keynesianism -- government should create right level of demand (tax and spending policy)
1. Assumes that health of economy depends on what fraction of their incomes people save or
spend
2. When demand is too low, government should spend more than it collects in taxes
3. When demand is too high, government should increase taxes or cut expenditures
C. Planning -- free market too undependable to ensure economic efficiency; therefore
government should plan parts of a country's economy (socialismàcommunism)
1. Wage-price controls
2. Industrial policy--government directs industrial investments
D. Supply-side tax cuts -- need for less government interference and lower taxes
1. Lower taxes would create incentives for investment
2. Greater productivity would produce more tax revenue
E. Reaganomics
1. Combination of monetarism, supply-side tax cuts, and domestic budget cutting
2. Goals not consistent
a. Reduction in size of federal government
b. Stimulate economic growth
c. Increase in military strength
3. Effects
a. Rate of growth of spending slowed (but not spending itself)
b. Military spending increased
c. Money supply controlled - cut inflation but allowed interest rates to rise
d. Personal income taxes cut; Social Security taxes increased
e. Large deficits incurred, dramatically increasing size of national debt
f. Stimulated economy - unemployment decreased, business activity increased
Economic policy making:
A. Fragmented - not under president's full control
B. Players within the executive branch include:
1. Council of Economic Advisers (CEA)--members chosen are sympathetic to president's view
of economics and are professional economists
a. Forecasts economic trends, analyzes issues
b. Prepares annual economic report that president sends to Congress
2. Office of Management and Budget (OMB)
a. Prepares estimates of amounts to be spent by federal government agencies; negotiates
department budgets
b. Ensures that agencies' legislative proposals are compatible with president's program
3. Secretary of the Treasury--reflects point of view of financial community (not always a Pres.
favorite)
a. Provides estimates of government's revenues
b. Represents nation with bankers and other nations
4. The Federal Reserve Board (The Fed) – a quasi-independent regulatory agency
a. Members appointed by president, confirmed by Senate; serve a nonrenewable fourteen-year
term; removable for cause
b. Somewhat independent of both president and Congress
c. Regulates supply and price of money (monetary policy)
C. Congress most important in economic policy making
1. Approves all taxes and almost all expenditures
2. Consents to wage and price controls
3. Can alter Fed policy by threatening to reduce its powers
4. But also internally fragmented, with numerous committees setting fiscal policy
Spending money:
A. Sources of conflict reflected in inconsistencies in public opinion
B. Politicians have incentive to make two kinds of appeals
1. Keep spending down and cut deficit
2. Support favorite programs of voters
The budget:
1. No federal budget before 1921
2. No unified presidential budget until 1930s
3. Congressional committees continued to respond independently
Congressional Budget Act of 1974 - procedures:
1. President submits budget
2. House and Senate budget committees analyze budget with Cong. Budget Office
3. Budget resolution sets budget ceilings
4. Congress considers appropriations bills
5. Congress adopts second budget resolution that reconciles budget ceiling with total resulting
from individual appropriations bills
a. Weakness: first resolution frequently ignored
b. Reagan secured large cuts in 1981, but then unsuccessful in final budget
Gramm-Rudman-Hollings Balanced Budget Act (1985) called for:
1. A target cap on the deficit each year, leading to a balanced budget
2. A spending plan within those targets
3. If a lack of agreement on a spending plan exists, automatic across-the-board percentage
budget cuts (a sequester)
4. No “teeth” – Congress simply overrides with an annual exemption
"Read my lips - no new taxes!" - Bush in 1988 campaign – but taxes increased
Difficulties in reducing spending:
1. Interest group pressure to increase funds for programs
2. Much of budget is expenditures representing past commitments that cannot be altered
(contracts, Social Security benefits, national debts): uncontrollable spending
3. Performance of economy unpredictable
4. Majoritarian politics – citizens ask for more (please rebuild New Orleans!)
Levying taxes:
A. Tax policy reflects blend of majoritarian and client politics
1. "What is a 'fair' tax law?" (majoritarian)
a. Tax burden is kept low
(1) Americans do pay less than citizens of most other democratic nations
b. Requires everyone to pay something
2. “How much is in it for me?" (client)
a. Requires the better-off to pay more
(1) Progressiveness is a matter of dispute: hard to calculate
(2) Many loopholes: example of client politics
3. Client politics (special interests) makes tax reform difficult
B. The income tax in America
1. Most revenue derived from tariffs until 1913 and ratification of Sixteenth Amendment
2. Taxes then varied with war (high), peace (low)
a. High marginal rates offset by many loopholes - compromise
b. Constituencies (client groups) organized around loopholes
3. Tax bills before 1986 dealt more with deductions than with rates
4. 1986: lower rates with smaller deductions, upsetting the old compromise
Chapter 17 – Social Welfare Policy
Welfare politics in the United States - two types of policies:
A. Benefit most citizens, no means test (Social Security) - majoritarian politics
B. Benefit a few citizens, means tested (TANF, old AFDC) - client politics
C. Different types of policies and politics have different standards of political legitimacy
Social welfare in the United States:
A. Who deserves to benefit? Opposing views:
1. Insistence it be only those who cannot help themselves
2. Slow, steady change in distinguishing between deserving and undeserving
3. Alternative view: determine each person's fair share of national income; government
redistributes money
4. Preference to give services, not money, to help deserving poor
B. Late arrival of welfare policy (during the Great Depression)
1. Behind twenty-two European nations
2. Contrast with Britain in 1908
C. States and private enterprises play a role in administering programs
1. 1930s, Supreme Court rules federal government can make social policy
a. Opponents argued against federal involvement since states already providing welfare
b. But state authorities lobbied for federal involvement to help states
Majoritarian welfare policies - Social Security and Medicare:
A. Social Security Act of 1935
1. Great Depression of 1929 - local relief overwhelmed
2. Elections of 1932 - Democrats, FDR swept in
a. Legal, political roadblocks - was direct welfare unconstitutional?
3. Cabinet Committee's two-part plan
a. Insurance for unemployed and elderly - workers contribute and benefit
b. Assistance for dependent children, the blind, and the elderly
c. Federally funded, state-administered program
(1) Everybody eligible for insurance program
(2) Means test for assistance program
B. Medicare Act of 1965
1. Medical benefits omitted in 1935: done to ensure passage of Social Security Act
2. For thirty years, policy entrepreneurs sought a national health-care plan that would secure a
congressional majority
3. 1964 elections: Democrats' big majority altered Ways and Means (chief roadblock)
4. Broadened by Ways and Means to include Medicaid for poor; pay doctors' bills for elderly
5. Passed both houses with partisan vote--Democratic support, Republican opposition
C. Client welfare politics: Aid to Families with Dependent Children (now TANF)
1. Part of Social Security Act (1935)
2. Initially, federal aid to state programs, with states establishing own rules
3. Program less accepted over the years
a. States constrained by increasing federal regulations
b. Programs added (example, food stamps)
c. Public opinion opposed - recipients “undeserving"
Two kinds of welfare programs:
A. Majoritarian politics: almost everybody pays and benefits
1. Social Security Act, Medicare Act are examples
B. Client politics: everybody pays, relatively few people benefit
1. AFDC (today TANF) program
Majoritarian politics and the welfare debate:
1. Programs with widely distributed benefits and costs
a. Beneficiaries must believe they will come out ahead
b. Political elites must believe in legitimacy of program
2. Social Security and Medicare appeared almost “free”
a. Benefits and taxes were initially small
b. Many payers, few beneficiaries (but the shape of the pyramid is changing)
c. Medicare costs were underestimated (grossly)
3. Debate over legitimacy: Social Security (1935)
a. Constitution did not authorize federal welfare (conservatives)
b. But benefits were not really a federal expenditure, given workers' contributions (liberals)
4. Three things changed politics of Social Security and Medicare
a. Retirement benefits raised to point that tax increases needed
b. Older people began to live longer so there were more people to support
c. Cost of health care shot up
Toward new welfare politics – today’s political debates:
A. Majoritarian welfare programs: Who will pay? How much?
B. Client-oriented welfare programs: Who should benefit? How should they be served?
C. Costs
1. Problem: indexing of Social Security payments to inflation
a. Made increases automatic
2. Bipartisan commission (1983) raised Social Security taxes, age at which people become
eligible
3. Medicare was tougher
a. Politically impossible to raise taxes or cut benefits enough to make a difference
b. Approach: price controls in 1983
(1) Regulations and restrictions on what doctors and hospitals can charge
(2) Flat fee for each treatment
(3) Some hospitals cut services in response
c. Medicare Catastrophic Coverage Act of 1988
(1) Designed to protect elderly against costs of catastrophic illness
(2) Costs to be paid by elderly, especially more affluent elderly
(3) Beneficiaries revolted, and act was repealed
4. Clinton and Dole recommend a bipartisan commission to review Medicare crisis
5. Social Security advisory commission (1996) without clear recommendations for reform
6. Promise of reform by President Bush, Republican Congress (personal accounts, etc.) – no
results so far
7. Rising costs complicate majoritarian politics further and further
8. Conundrum – people want the benefits (free ride) – don’t want to pay (taxes, premiums)
D. Legitimacy of beneficiaries
1. Parental Responsibility and Work Opportunity Reconciliation Act of 1996
a. States allowed to run program without tight federal regulations
b. Limits of length of benefits, so recipient must work
c. Legal aliens denied food stamps
d. Illegal aliens denied Temporary Assistance to Needy Families (replaces AFDC)
E. The homeless
1. Disagreement over number of and proper response to homeless
2. Adopted policy satisfies neither liberals nor conservatives
3. Federal government supports state and local programs
F. Immigrants
1. 90 percent of all immigrants in six states
2. Public perceives immigration as harming American workers
a. But immigrants willing to do work Americans refuse
3. Research findings about economic effects of immigrants are mixed
a. Decline in earnings of low-skilled workers uncertain
b. Immigrants pay more in taxes than received in government services also questionable
4. Current debate – how should illegal immigrants be treated?
a.
Some favor benefits, amnesty, and fast-track to citizenship
b.
Others favor deportation, strict work visas, holding employers responsible
AP American Government
Chapters 18-19 Lecture Outlines
Civil Liberties, the Bill of Rights, and Americans’ Civil Rights
The politics of civil liberties:
A. The objectives of the Framers
1. Limited federal powers
2. Constitution: a list of “do's,” not “do nots” for gov’t.
3. Bill of Rights: specific “do nots" for gov’t.
a. Not intended to affect states (changed by 14th Am.)
Politics, culture, and civil liberties:
A. Rights in conflict: Bill of Rights contains competing rights
1. Sheppard case (free press versus fair trial)
2. New York Times and Pentagon Papers (common defense versus free press)
3. Kunz anti-Jewish speeches (free speech versus public order)
B. Policy entrepreneurs - most successful during crises, especially war, by arousing people
(entrepreneurial politics) – each of the following is arguably a violation of civil liberties
1. Sedition Act of 1798, during French Revolution
2. Espionage and Sedition Acts of World War I
3. Smith Act of World War II
4. Internal Control Act of 1950, Korean War, Senator Joseph McCarthy
5. Communist Control Act of 1954, Korean War, Senator Joseph McCarthy
6. 1968 law on inciting riots - ghetto riots, Vietnam
Supreme Court Interpretations of 1st Am. Over Time:
A. Speech and national security
1. Original Blackstone view: press free of prior restraint
2. Sedition Act of 1798 followed Blackstone view
3. By 1917-1918, Congress defines limits of expression
a. Treason, insurrection, forcible resistance
b. Upheld in Schenck (1919) via “clear and present danger" test
c. Holmes dissents in later applications of test
4. Fourteenth Amendment “due process” originally did not allow Bill of Rights to be applied to
states
a. States pass sedition and anti-obscenity laws
b. Gitlow (1925) elicits “fundamental personal rights" protected from infringement by states,
because of Fourteenth Amendment due-process clause
5. Supreme Court moves toward more free expression after WWI
a. But Communists convicted under Smith Act under “gravity of evil”
b. By 1957: to be punished, speaker must use words “calculated to incite” overthrow
c. By 1969 (Brandenburg): speech calling for illegal acts is protected, if acts are not “imminent”
d. 1977: American Nazi march in Skokie, Illinois, held lawful
e. Hate speech permissible but not hate crime
B. Four kinds of speech not fully protected
1. Libel: written statement defaming another by false statement
a. Defamatory oral statement: slander
b. Variable jury awards
c. Public figures must also show actual malice
The Supreme Court permits each state to establish libel standards for private persons. Most
states use “negligence” in place of the "actual malice" standard for public figures. Negligence
means that a person had "doubts" about the truth of a statement that defamed another.
2. Obscenity
a. Many decisions; no lasting definition
3. Symbolic speech
a. Acts that convey a political message (flag burning, draft card burning)
b. Not generally protected
c. Exception is flag burning: restriction of free speech to ban this symbolic speech – why
different from draft card burning?
4. False advertising
Corporations and Speech:
A. Corporations usually have same rights as individuals
1. More restrictions on commercial speech
a. Regulation must be narrowly tailored and serve public interest
b. Yet ads have some constitutional protection
2. Young people may have fewer rights
a. Hazelwood (1988): school newspaper can be restricted
Church and state:
The free exercise and establishment clauses occasionally conflict with one another -- obeying
one clause can require transgressing the other.
A. The free exercise clause
1. Relatively clear meaning: no state interference, similar to speech
a. Law may not impose special burdens on religion
b. But no religious exemptions from laws binding all other citizens (some exceptions – Amish
exempted from compulsory school attendance in PA)
c. Some cases difficult to settle
(1) Conscientious objection to war, military service
(2) Refusal to work Saturdays (Seventh-Day Adventists)
(3) Refusal to send children to public school beyond eighth grade (Amish)
B. The establishment clause
1. Jefferson's view: “wall of separation"
2. Congress at the time: simply “no national religion"
3. Ambiguous phrasing of First Amendment requires Court interpretation
The ambiguity of the establishment clause largely stems from one word: “respecting." The
clause does not simply forbid the government from establishing a state religion. Rather, it
forbids the government from passing any law “respecting" an establishment of religion. The
word “respecting" suggests that any law concerning religion falls within the scope of the
establishment clause.
4. Supreme Court interpretation: no governmental involvement, even if non-preferential
a. Later struck: school prayer, “creationism," in-school released time, benediction at graduation
b. But allowed: some kinds of aid to parochial schools
c. Three-part test for constitutional aid
(1) Secular purpose
(2) Primary effect neither advances nor inhibits religion
(3) No excessive government entanglement with religion
Crime and due process:
A. The exclusionary rule
1. Most nations let all evidence into trial, later punishing any police misconduct
2. United States excludes improperly obtained evidence from trial
a. Exclusionary rule: 1961 - adopted in Mapp v. Ohio
b. Implements Fourth and Fifth Amendments
Evidence obtained in violation of the exclusionary rule is not automatically barred from trial.
While such evidence cannot be used to convict, it can enter the trial to impeach the credibility
of the defendant if he or she takes the stand.
B. Search and seizure
1. When can reasonable searches of individuals be made?
a. With a proper search warrant with probable cause
b. Incident to an arrest
c. With permission
2. What can police search incident to a lawful arrest?
a. The individual being arrested
b. Things in plain view
c. Things under the immediate control of the individual
3. What of an arrest while driving?
a. Answer changes almost yearly
b. Court attempts to protect a “reasonable expectation of privacy”
4. Testing for drugs
a. Government drug testing now in courts; private testing acceptable
(1) Supreme Court: some testing is permissible without a search warrant
(2) Law enforcement and railroad employees involved in accidents
(3) Random sobriety checks on drivers
(4) Key: concern for public safety or national security
C. Confessions and self-incrimination
1. Constitutional ban originally against torture, etc.
2. Extension of rights in 1960’s
a. Escobedo – first steps toward Miranda
b. Miranda case--Miranda rules to prevent involuntary confession
Miranda warnings must be given if two conditions are satisfied. First, a person must be
detained. Neither a formal arrest nor custody is required. A person is “detained” if unable to
“come and go” as he or she pleases. Second, a person must be questioned. Statements made
without police questioning are admissible in court despite the absence of Miranda warnings.
D. Relaxing the exclusionary rule
1. Various positions:
a. Any evidence should be admissible
b. Rule has become too technical to deter police misconduct
c. Rule is a vital safeguard to citizens
2. Supreme Court moves toward allowing exceptions:
a. Limited coverage--police with greater freedom to question juveniles
b. “Good-faith Exception”
c. “Overriding considerations of public safely”
d. “Inevitable Discovery”
Chapter 19 – Civil Rights in America
What is a civil rights issue?
1. Group is denied access to facilities, opportunities, or services available to other groups
a. Usually along ethnic or racial lines (or sex)
2. Issue is whether differences in treatment are reasonable
a. Some differences are: ex., progressive taxes
b. Some are not: ex., classification by race (strict scrutiny)
The black predicament (1950-60’s):
A. Perceived benefits of granting black rights not widely shared
1. Concentrated in small, easily organized populations-interest group politics
2. Blacks at disadvantage in interest group politics since not able to vote in many areas
B. Majoritarian politics worked against blacks
1. Lynchings shocked whites, but little was done
2. General public opinion was opposed to black rights
C. Progress depended on
1. Finding more white allies or
2. Shifting policy-making arenas
D. Civil rights movement did both
1. Broadened base by publicizing denial of essential, widely accepted liberties
2. Moved legal struggle from Congress to the federal courts
Civil Rights via the courts:
A. Ambiguities in the Fourteenth Amendment
1. Broad interpretation: Constitution colorblind
2. Narrow interpretation: equal legal rights
3. Supreme Court adopted narrow view in Plessy v. Ferguson
B. “Separate but equal”
1. NAACP campaign relied upon courts-didn't require broad coalitions
a. Declare unconstitutional laws creating obviously unequal schools
b. Then not so obviously unequal schools
c. Then separate schools inherently unequal
2. Brown v. Board of Education (1954)
a. Implementation of the decision
(1) Class-action suit (all black students covered)
(2) All deliberate speed met great resistance (Southern Manifesto)
(3) Collapse of resistance in 1970s due to numerous political changes
b. The rationale behind Brown
(1) Segregation detrimental, creating sense of inferiority in black students
(2) Relied on social science approach since 14th Am. not necessarily intended to abolish
segregated schools
(3) Court sought a unanimous opinion
c. Desegregation versus integration
(1) De jure or de facto segregation?
(2) 1968 rejection of “freedom of choice" plan
(3) Charlotte-Mecklenburg (1971) set guidelines for school segregation cases
(a) Proof of intent to discriminate shown by schools
(b) One-race school creates presumption of intent
(c) Remedies can include quotas, busing, redrawn district lines
(d) Every school not required to reflect system racial composition
(4) Busing
(5) 1992 decision allows busing to end if segregation caused by shifting housing patterns
Civil rights legislation in Congress:
A. Mobilization of opinion by dramatic events to get on agenda
1.
Sit-ins and freedom rides
2.
Martin Luther King, Jr., Rosa Parks-Montgomery bus boycott
3.
From nonviolence to “long, hot summers" of racial violence (1964-1968)
B. Mixed results
1. Agenda-setting success
2. Coalition-building setbacks since demonstrations, riots seen as law-breaking
C. Legislative politics
1. Opponents' defensive positions
a. Senate Judiciary Committee controlled by southern Democrats
b. House Rules Committee controlled by Howard Smith (Virginia)
c. Senate filibuster threat
d. President Kennedy reluctant to submit strong civil rights legislation
2. Four developments broke deadlock
a. Public opinion change
b. Violent white reactions of segregationists receives media focus (Mississippi)
c. Kennedy assassination (LBJ takes over)
d. 1964 Democratic landslide allows northern Democrats to prevail in Congress
3. Five bills pass, 1957-1968
a. 1957,1960,1965: voting rights laws
b. 1968: housing discrimination law
c. 1964 civil rights bill: the high point--employment, accommodations, voting, schools
4. Effects since 1964
a. Mood of Congress shifted: pro-civil rights
b. Dramatic rise in black voting, change in white elite opinion
Women and equal rights:
A. Court review of gender-based classifications
1. Reasonableness standard (vs. strict scrutiny)
2. Court chooses a blend--more than reasonable but not strict scrutiny -- Court now requires the
government to demonstrate an “important interest” to justify policies that discriminate on the
basis of sex
Some gender-based differences prohibited by courts:
a. Age of adulthood
b. Drinking age
c. Arbitrary employee height-weight requirements
d. Mandatory pregnancy leaves
e. Little League exclusion
f. Business and professional associations
g. Unequal retirement benefits
Some gender-based differences allowed by courts:
a. All-boy/all-girl public schools
b. Widows' property tax exemption
c. Delayed promotions in Navy
d. Statutory rape
V.M.I. (Virginia Military Institute) case came close to imposing strict scrutiny test (“important
interest” failed).
Various Issues:
A. The draft
1. Rostker v. Goldberg (1981). Congress may require men but not women to register for the
draft
2. Secretary of defense in 1993 allows women in air and sea combat
B. The ERA
1. Prompt ratification appeared likely in 1972
2. In trouble by 1974-1975
3. Stalled by 1978 at 35 states of 38 needed
4. Dead by 1982, despite congressional extension
5. Controversies symbolized conflict over cultural values
a. Draft issue - women in combat – helped kill it
b. Workplace protection for women eroded
C. Abortion (one of today’s biggest political issues)
1. Decided by states until 1973
2. 1973: Roe v. Wade
a. Struck down Texas ban on abortion and all similar state laws
b. Woman's freedom to choose protected by 1st Am. (“right to privacy”) – applied to all states
via 14th Am. (equal protection clause)
(1) First trimester: no regulations
(2) Second trimester: no ban but regulations to protect health of woman
(3) Third trimester: abortion ban possible
c. Critics claimed life begins at conception
(1) Fetus is a person entitled to equal protection guaranteed by 14th Am.
d. Supporters said no one can say when life begins
e. “Pro-life” versus “pro-choice"
f. Constitutional amendments to overturn Roe did not pass Congress
g. Hyde amendment (1976): no federal funds for abortion except when woman's life endangered
(1) Constitutionality upheld in 1980
3. 1973-1989: Supreme Court withstood attacks on Roe v. Wade
4. Webster (1989): Court upheld Missouri law restricting abortions
5. Casey decision (1992) does not overturn Roe but permits more restrictions: 24-hour wait,
parental consent, pamphlets
6. New conservative addition to Court cause for alarm (pro-choice) or hope (pro-life)
Women and the economy:
A. After ERA defeat, a split in women's movement grew
1. Press for equal rights as ultimate objective, or ...
2. …Make economic status the higher priority
a. Government-funded day care
b. Enforcement of child support from divorced spouse
c. Pregnancy leave
d. Comparable worth
(1) Pay by ranking of job's intrinsic difficulty
(2) Utilized in several places for government employees (problematic – various issues)
The affirmative action debate:
A. Equality of results
1. Racism and sexism overcome only by taking them into account in designing remedies
2. Equal rights not enough; people need benefits
3. Affirmative action should be used in hiring
B. Equality of opportunities
1. Reverse discrimination to use race or sex as basis for preferential treatment
2. Laws should be color-blind and sex-neutral
3. Government should only eliminate barriers
C. Issue fought in courts
1. No clear direction in Court decisions
2. Court is deeply divided (could change with new Justices)
3. Law is complex and confusing
a. Bakke: numerical minority quotas not permissible, but race could be considered
a.
But Court ruled otherwise in later cases
b.
Recent U. of Michigan rulings – mixed signals
4. Emerging standards for quotas and preference systems
a. Must be compelling justification--quota system subjected to strict scrutiny
b. Must correct an actual pattern of discrimination
c. Must identify actual practices that discriminate
d. Federal quotas will be given deference
e. Voluntary preference systems may be easier to justify
5. Compensatory action (helping minorities catch up) versus preferential treatment (giving
minorities preference, quotas)
a. Public supports former but not latter
Gays and the Supreme Court:
A. “Don't ask, don't tell” military policy
B. Current issues – hate crimes (also for racial issues), gay marriage
1. Impact of “equal protection” and “full faith and credit”
AP American Government
Chapter 20-21 Lecture Outline
American Foreign and Military Policy
Chapter 20
Kinds of foreign policy:
A. Majoritarian politics
1. Widespread benefits, impose widespread costs
2. Examples
a. War
b. Military alliances
c. Nuclear test ban or strategic arms limitation treaties
d. Response to Berlin blockade by Soviets
e. Cuban missile crisis
f. Diplomatic recognition of, trade policy with, China
g. Dealing with the “Axis of Evil” – (Iraq)
B. Interest group politics
1. Identifiable groups pitted against one another for costs, benefits
2. Ex: tariffs on Japanese steel, textile policy, outsourcing
C. Client politics
1. Benefits to identifiable group, no apparent costs to a distinct group
2. Ex: Israel Policies, US Contractors in Iraq (Haliburton)
D. Who has power?
1. Majoritarian politics: president dominates, public opinion supports but does not guide the
president
2. Interest group or client politics: larger congressional role
The constitutional and legal context:
A. Constitution creates “invitation to struggle" between branches
1. President commander in chief but Congress appropriates money
2. President appoints ambassadors but Senate confirms
3. President negotiates treaties but Senate ratifies
4. But Americans think president is in charge and history confirms
B. Presidents relatively strong in foreign affairs
1. More success in Congress on foreign than on domestic affairs
2. President may be stronger than Framers intended regarding military deployment and
diplomacy – numerous ex. (over 200 in US history):
(1) 1801: Jefferson sends Navy to Barbary
(2) 1845: Polk sends troops to Mexico
(3) 1861: Lincoln blockades south’s ports, declares martial law
(4) 1940: FDR sends destroyers to Britain
(5) 1950: Truman sends troops to Korea
(6) 1960s: Kennedy, Johnson send forces to Vietnam
(7) 1983: Reagan sends troops to Grenada
(8) 1987: Reagan sends Navy to protect tankers in Persian Gulf
(9) 1989: Bush orders invasion of Panama
(10) 1990: Bush sends forces into Saudi Arabia
(11) 1990’s: Clinton – Somalia, Bosnia, Kosovo
(12) 2002: Bush – Afghanistan, Iraq
3. Presidents comparatively weak in foreign affairs by standards of other nations
a. Other heads of state find U.S. presidents unable to act – ex.
(1) Wilson, FDR unable to ally with Britain before World War I, World War II
(2) Wilson unable to lead United States into League of Nations
(3) Reagan criticized on commitments to El Salvador, Lebanon
(4) Congressional debate on Bush's waging of Gulf War
(5) Massive congressional criticism of Bush II’s handling of Iraq
C. Evaluating the power of the president
1. Depends on one's agreement/disagreement with policies
2. Supreme Court gives federal government wide powers
3. Supreme Court reluctant to intervene in Congress-president disputes
a. Nixon's enlarging of Vietnam War
b. Lincoln's illegal measures during Civil War
The Supreme Court did void President Lincoln's violations of constitutional power but waited
until after the Civil War was concluded to do so. In Ex Parte Milligan (1866), the Court held
that “no doctrine involving more pernicious consequences, was ever invented by the wit of men
than that the [Constitution's] provisions can be suspended during any of the great exigencies of
government.”
c. Carter's handling of Iranian assets
d. FDR's “relocation” of 100,000 Japanese Americans
e. Johnson, Nixon and Vietnam War
f. Bush II in Iraq
4. One of few Supreme Court limitations on president's wartime powers: Truman steel mill
seizure (1952) - illegal
D. Checks on presidential power: political rather than constitutional
1. Congress: control of purse strings
2. Congress also limits the president's ability to give military or economic aid to other countries
3. The War Powers Act of 1973 (Nixon vetoed, Congress overrode)
a. Provisions
(1) All commitments reported within forty-eight hours
(2) Only sixty-day commitment of troops without declaration of war or specific statutory
authorization
b. No president has acknowledged constitutionality
c. Supreme Court action
(1) Struck the legislative veto (which the act is)
d. Impact of act doubtful even if upheld
(1) Brief conflicts not likely to be affected; Congress does not challenge successful operation
(exception – dems. in 2003?)
(2) Even extended hostilities financed by Congress: Vietnam, Lebanon, Bosnia, Iraq
4. Intelligence oversight
a. House and Senate intelligence committees must be fully informed; including covert
operations
b. No authority to disapprove covert action
The machinery of foreign policy:
A. Consequences of major power status for United States
1. President more involved in foreign affairs
2. More agencies shape foreign policy
B. Foreign policy agencies not well coordinated (even post-9-11)
C. Secretary of state unable to coordinate
1. Job too big for one person
2. Most agencies owe no political or bureaucratic loyalty to the secretary
D. National Security Council (NSC) created to coordinate
1. Chaired by president and includes vice president, secretaries of state and defense, director of
CIA, chair of joint Chiefs, attorney general
2. National security adviser heads NSC
3. Goal of staff is to present various perspectives, facilitate presidential decision making, and
implement presidential decisions
4. Grown in influence since JFK
a. Downgraded by Reagan
b. Still, NSC appointees precipitated Iran-contra scandal
5. NSC often rivals secretary of state (ex., Rice v. Powell)
6. Failures of coordination still evident
E. Consequences of multi-centered decision-making machinery
1. Rivalries within and between executive, legislative branches
2. Agency positions influenced by agency interests
3. Agency rivalry, territorialism
4. Inability to “complete the puzzle” re. security issues (9-11)
F. Department of Homeland Security (Cabinet level)
1. Part of 9-11 response by Bush
2. Still see failures to coordinate a cohesive security picture
Foreign policy and public opinion:
A. Foreign policy shaped by public and elite opinion
1. Before World War II, public opposed United States involvement in world affairs
2. World War II shifted popular opinion because:
a. Universally popular war
b. War successful
c. U.S. emerged as world's dominant power
3. Support for active involvement persisted until Vietnam
a. Yet support for internationalism highly general (waning?)
b. Public opinion now volatile (ex., Iraq)
B. Backing the president
1. Public's tendency is to support president in crises
a. Strong support, rally round the flag (ex., Sept. 11, 2001)
b. Boost in popularity immediately after crisis – as long as Pres. acts decisively
2. Yet presidents shun risky international ventures (exception: Bush in Iraq)
a. Support wanes if crisis not resolved quickly (Iraq, Vietnam)
3. Lesson: fight popular crusade or short and victorious wars
C. Mass versus elite opinion
1. Mass opinion
a. Generally less well informed
b. Generally supportive of president, etc.
c. Apt to judge undertakings by their success
d. Conservative, less internationalist
2. Elite opinion
a. Well informed
b. Judge policy success on philosophical grounds
c. More liberal and internationalist
Differences among foreign policy elites:
A. Foreign policy elites divided
B. How a worldview shapes foreign policy
1. Definition of worldview: comprehensive mental picture of world issues facing United States
and appropriate or inappropriate ways of responding
C. Four common worldviews
1. Isolationism
a. Opposes getting involved in wars
b. Adopted after World War I since war accomplished little
2. Containment (anti-appeasement)
a. Reaction to appeasement of Hitler in Munich
b. Pearl Harbor ended isolationism in U.S.
c. Postwar policy to resist Soviet expansionism
3. Disengagement (Vietnam, Iraq)
a. Reaction to military defeat and political disaster of Vietnam (isolationism mixed with
internationalism)
4. Human Rights (allows for reconciliation of disengagement view with political pressures to
support military action – typically democrats during the Clinton presidency – note the political
influences on military policy positions)
D. View of elites about Vietnam still affects foreign policy views today
1. Many lean towards disengagement – particularly liberals
The modern era:
A. 1985: fundamental shift in U.S.-Soviet relations when Gorbachev comes to power
1. Soviet empire crumbling, Gorbachev needed to rebuild economy
B. Anti-appeasement types welcomed fall of iron curtain (on April 1, 1991, the Warsaw Pact -the Soviet-led military alliance -- formally disbanded)
1. Former Soviet Union is still dangerous and unpredictable today -- economic reasons, Putin’s
power consolidations
2. Policy position
a. Maintain U.S. military strength (generally conservative)
C. Disengagement (generally liberal)
1. More optimistic
a. Changes (reduced Soviet threat) are fundamental and irreversible
b. Europe is safe
(1) No longer need for troops
(2) Ballistic missile arsenal can be cut
2. Military cuts are desirable – “peace dividend”
D. Growing role of the United Nations
1. UN has history of settling conflicts but U.S. and USSR rarely provided forces
2. Since USSR collapse, UN no longer dominated by cold war conflict
a. UN peacekeeping missions more numerous
b. U.S. involvement has also increased
c. Latest events – separation of U.S.\UN goals (weakening of the UN?)
3. Some American leaders welcome US military cooperation with UN
4. Other leaders oppose U.S. forces being directed by an international organization
5. Liberals with disengagement worldview favor UN cooperation, conservatives with antiappeasement worldview oppose UN
E. Wildcards
1. The War on Terror
2. The Bush Doctrine – “defensive first strikes”
3. A new era? New worldview?
American Military Policy
Inconsistent image of American military:
A. Majoritarian view
1. Everyone is protected, every taxpayer pays
2. Size and purpose of military reflects
a. International situation
b. Public opinion
B. Client politics view: Peace is frustrated by military-industrial complex (defense officials and
defense contractors)
1. Beneficiaries are generals, defense contractors, and members of Congress, but everyone pays
2. Military budget reflects lobbying skills of Pentagon, not realities of threat
The structure of defense decision making:
A. National Security Act of 1947
1. Department of Defense
a. Secretary of Defense (civilian), as are secretaries of army, navy, air force
b. Joint Chiefs of Staff (military)
2. Reasons for separate uniformed services
a. Fear that unified military will become too powerful
b. Desire of services to preserve their autonomy
c. Interservice rivalries intended by Congress, so Congress would receive maximum
information and have the most opportunity to influence decisions
B. 1986 defense-reorganization plan--Goldwater-Nichols Act
1. Joint Chiefs of Staff (JCS)
a. Composed of uniformed head of each service, with the chair and vice chair appointed by
president and confirmed by Senate
b. Does not have command authority over troops, but plays key role in defense planning
c. Chairman is principal military adviser to president
2. The services
a. Each service headed by: civilian secretary responsible for purchasing and public affairs and
by...
b. Senior military officer, oversees discipline and training, represents service on JCS
3. The chain of command
a. President to secretary of defense to general officers
The defense budget:
A. Total spending--majoritarian politics
1. Small peacetime military until 1950
a. Did not disarm after Korea due to Soviet threat
b. Military system designed to repel Soviet invasion of Europe and small-scale invasions-containment (anti-appeasement)
2. Changes in spending reflect public opinion
3. Demise of U.S.S.R. produced debate
a. Liberals: sharp defense cuts; U.S. collect peace dividend
b. Conservatives: some cuts but retain well-funded military since world still dangerous
B. Allocating defense dollars--interest group politics shapes allocation among services
1. Support for each service
a. Joint Chiefs tend to allocate to each service about equally
b. Congressional committees reinforce their tendency
2. Congressional influence
a. Variation over the years
(1) Detailed decisions before World War II
(2) Retreat from activism during World War II
(3) Assertive again, but pro-military after World War II
(4) Late 1960s onward, close scrutiny of new weapons
(a) philosophical debate on Strategic Defense Initiative (SDI) and mutual assured-destruction
(MAD)
b. Congress follows a two-step process on new measures
(1) Ideological debate on merits of proposal
(2) Pursuit of constituency interest if approved
Where defense money is spent:
A. Personnel
1. From draft to all-volunteer force in 1973
2. Volunteer force: depends on sufficient candidates
3. Military with decreasing number of personnel
4. Politically, less controversy about numbers of recruits than about who will be a recruit
a. Women and combat
b. Gays and Clinton’s “don’t ask, don't tell” compromise
5. Since 9-11, Iraq – number of volunteers again an issue
B. Big-ticket hardware
1. Main reasons for cost overruns:
a. Unpredictability of cost of new items
b. Contractor incentives to underestimate at first
c. Military chiefs want best weapons money can buy--gold plating
d. Sole sourcing of weapons without competitive bids
C. Small-ticket items
1. Seemingly outrageous prices come from allocation of overhead
2. Others result from gold-plating phenomenon
D. Readiness
1. This area the favorite for short-term budget cutting (generally liberals)
a. Other cuts would hurt constituents
b. Cuts here show up quickly in money saved
2. Military bases
a. Previously client politics
b. 1988 Congressional Commission on Base Realignment and Closure
(1). Extensive base closures in early 90’s, late 90’s, and early 00’s
Congress versus the executive:
A. Defense policy an area for power struggles
1. Until World War II, Congress involved in details of defense policy
2. Passive role by Congress during and after World War II
3. Micro-management (at least attempted) by Congress since Vietnam
4. Intense Executive\Legislative conflicts as Iraq situation deteriorates
Chapter 21 – Environmental Policy
Environmental policy -- reasons for controversy:
1. Creates both winners and losers
a. Losers may not want to pay costs
b. Example: auto emissions control, factory polluters
2. Scientific uncertainty
a. Example: greenhouse effect and global warming
3. Takes the form of entrepreneurial politics
a. Encourages emotional appeals
b. May lead to distorted priorities
(1) Example: possibility cancer caused by pesticides receives a higher profile than does
pollution-causing runoff from farms and towns
Shaping environmental policy in America:
A. Environmental policy is shaped by unique features of American politics
1. More adversarial than in Europe
a. Rules are often uniform nationally (ex., auto emissions)
b. Many regulators (bureaucratic agencies) and rules, strict deadlines, and expensive
technologies required
c. Government and business often conflict
d. Example: Clean Air Act of 1963 (smog, autos, factories)
(1) Amended several times in Congress (1970, 77, 90)
(2) Still revised “as needed” (when we are unwilling….)
e. In England, rules are flexible and regional
(1) Compliance voluntary: does not rely on formal enforcement
(2) Government and business cooperate
(3) Yet policies are effective
2. Depends heavily on states
a. Standards are left to states, subject to federal control
(1) EPA steps in if states do not meet Clean Air Act req’s
b. Federalism (state\fed) reinforces adversarial politics
c. Separation of powers provides many points of access (E\L\J)
Entrepreneurial politics -- pollution from factories:
A. Gave rise to environmental movement in 1960s
The importance of the environment was highlighted when President Bush proposed elevating
the EPA to the Department of Environmental Affairs in 1990. This proposal was an early goal
of the Clinton administration as well (never happened).
B. Resulted in tough new pollution standards for factories and power plants
1. Congressional efforts led by Muskie
2. Spurred on by Ralph Nader (policy entrepreneur)
3. Produced Clean Air Act of 1970 (strengthened)
4. EPA created
5. Endangered Species Act
a. Protections extended to business, farm, etc. practices
6. Public sentiment stifled industry lobbies
C. Exxon Valdez spill renewed public outcry in early 1990s
Majoritarian politics:
A. Clean Air Act imposed tough restrictions on cars
1. States were required to restrict public use of cars
a. If auto emissions controls were insufficient--L.A., Denver, New York, etc.--then car pools,
gas rationing, parking bans
b. Efforts failed: opposition too great
c. Congress and EPA backed down, postponing deadlines
2. Consumers, auto industry, and unions objected to standards
a. Loss of horsepower caused by catalytic converters
b. Loss of competitiveness feared by car industry
c. Loss of jobs feared by unions
3. Clean Air Act was weakened in 1977 but revived in 1990 with tougher standards
B. Public will support tough laws
1. When someone else pays
2. If costs are hidden (e.g., more expensive cars)
a. Gas taxes – willing to pay if they see benefits (roads, bridges, etc.) – less so if money is for
pollution prevention
3. But not if they have to change habits (e.g., car pools)
C. National Environmental Protection Act of 1969 (NEPA)
1. Environmental Impact Statements (EIS) required of Federal agencies for any action with
strong environmental impact
(a) Used heavily by environmentalists to inhibit activities of Federal agencies
Interest group politics:
A. Source of acid rain
1. Burning of high-sulfur coal in Midwestern factories
2. Winds carry sulfuric acid eastward, rains bring acid to earth
(a) Regional battles -- East v. Midwest, Canada v. the US
(b) Midwestern businesses deny blame and costs
Note that the debate on acid rain has avoided discussion of nuclear power as an alternative fuel
source to coal. Public opposition seems to preclude nuclear energy; no order for a new nuclear
power plant has been placed in the United States since 1978. Update! Several new nuclear
plants are being planned as of 2006, including at least one and possibly two in SC.
Radical Environmentalism:
One of the more radical new (relatively) environmental interest groups is called “Earth First!”.
They practice a form of environmental sabotage (eco-terrorism) called “monkey wrenching.”
The tactic involves destroying logging equipment (by cutting hydraulic hoses or by pouring
Drano into radiators) and "spiking" trees with nails to damage the blades of saws (an “S” is
spray-painted on such trees as a warning).
Agricultural issues – environmental effects:
A. Issue: control of use and runoff of pesticides
1. Farmers have mostly resisted policy entrepreneurs, with DDT an exception
B. EPA efforts to evaluate safety of all pesticides
1. Given mandate by Congress in 1972
2. Program has not succeeded
a. Too many pesticides to evaluate
(1) Many have only long-term effects needing extended study
(2) Expensive and time-consuming to evaluate
b. Benefits of pesticides may outweigh harm
3. Political complications
a. Farmers are well represented in Congress
b. Subsidies often encourage overproduction
(1) Overproduction encourages overuse of pesticides
c. Damage is hard to see and dramatize
4. EPA budget is kept small
5. Few pesticides have been removed from market (DDT, 1972)
C. Timber industry
1. Issue: clear-cutting of forests
2. Congress has supported loggers
a. Forest Service forced to sell lumber at below-market prices
b. Subsidizes industry
3. Endangered species (spotted owl) has become issue for policy entrepreneurs
Bottom Line: Even though environmental policy is difficult to formulate and implement, there
has been limited success over past several decades. Environment has improved overall, but
problems still exist.
Whew!! Done!!