AP REVIEW
UNITS I - VI
UNIT 1
CONSTITUTIONAL UNDERPINNINGS
5-15%
How is Political Power Distributed?
Elite politics view: minority groups dominate policy making
1. Marxist (Marx): government is influenced by economic elites; in the
U.S. capitalists dominate the economy and therefore government
2. Power Elite (C. Wright Mills): coalition of corporations, military, and
government dominate (Eisenhower’s “military industrial complex”)
3. Bureaucratic (Weber): government power is in the hands of a small
group of bureaucrats who translate law into policy
4. Pluralist: no single elite dominates politics; resources are too widely
spread out; too many institutions
– Many groups compete with each other for control over policy
– Policy, then, is the outcome of political haggling, compromise, and
shifting alliances among groups
• Hyperpluralism: “pluralism gone sour” there are so many groups
that have so much power, that government is weakened and unable
to act
Articles of Confederation Government
1. “firm league of friendship”
2. Deliberately weak central government:
• No power to tax
• No chief executive
• No national judiciary
• No power to regulate interstate or foreign commerce
• No national currency
• Required unanimity to amend
Shay’s Rebellion, 1786
– Reflected the need for a stronger national
government
Areas of Agreement:
• Scrap the Articles of Confederation
• Establish a republican government
• Devise a government with a balance of power,
but a stronger central government than under
the Articles
• Suffrage for property owners only
• Protect property rights: main purpose of
government
Areas of DisagreementCompromises
Representation among the states
• Large states favored representation based on
population (Virginia Plan)
• Small states favored equal representation
(New Jersey Plan)
• Connecticut (Great) Compromise: a bicameral
legislature with a popularly elected House
(based upon population) and a Senate (equal
representation) elected by state legislatures
Checks and balances:
• Each branch subject to constitutional checks by the other branches
• Examples: veto, veto override, appointment and confirmation,
treaty-making and ratification, defense funding and Commander-inChief
• Political independence within each branch: no branch is dependent
upon the other two for election (exception-federal judges)
• Staggering of terms within each branch: majority of voters can gain
control over one part of gov at one time, e.g. midterm
Congressional elections can serve as a check on executive
Federalism: constitutional division of power between the national
government and state governments. Both get their power from,
and are subordinate to, the Constitution.
Marbury vs. Madison, 1803
Point 1: Constitution is the
Judicial Review
supreme law of the land

1.
The power to determine
Constitutionality of an act
of government


2.
3.
Point 2: all legislative acts and acts
of government are inferior to the
Constitution and cannot come into
conflict with it
Point 3: judges are sworn to
enforce provisions of the
Constitution
Marshall claims for the Supreme
Court the power to declare acts of
Congress unconstitutional and
thereby establishes the power of
judicial review
Effects: citizens can challenge
constitutionality of laws in court
by initiating lawsuits (Gideon v.
Wainwright, 1963). Litigation has
become an important way of
making public policy
Federalist 51
Auxiliary precautions against tyranny-dividing government into separate
branches each with the power to check the power of the other
The system of federalism provides a secondary level of protection by
dividing the government into 2 levels, each that can check the other
In a large & diverse country like the US , the competing factions can help
prevent one special interest from dominating gov and prevent tyranny of
the majority (pluralism)
Constitutional Reform
5 basic ways to informally amend the Constitution:
1. Basic Legislation
– Congress, through the
4. Party Practices
passage of laws, has added
details to the skeletal
– Not mentioned in the
structure of the Constitution
Constitution
(Necessary and Proper
– Nomination of
Clause)
presidential
– Federal courts, presidential
candidates…
succession…
5. Custom/Tradition
2. Executive Action:
– Presidential cabinet,
– Executive agreements, use of
war powers…
legislative veto,
senatorial courtesy…
3. Court Decisions:
– Marbury v. Madison, Brown
v. Board, Texas v. Johnson…
Formal Amendment
I. Formal Amendment Process
4 Methods (2 proposals/2 ratification)
• Constitution can be
Proposal:
changed either formally or
1. 2/3 vote from both houses of
informally
Congress (all done this
• System reflects federalism
way). No presidential veto
possible.
2. Constitutional convention
called by Congress at the
request of 2/3 of states
– Never used: fear of
“runaway” convention
Ratification ( 2 methodsCongress decides which to
use)
1. ¾ of state legislatures
approve
– All but 1 done this way
2. Ratifying conventions in ¾
of the states
 Time limits for ratification:
7 years
Defined:
Ch. 3: Federalism
•
• Constitutional division of power between
the national and state governments, both
•
get their power from the Constitution
and are subordinate to it.
•
Reasons for:
• Allows unity, but not uniformity•
differences among states
• More suitable for geographically large
nation
• More suitable for heterogeneous people
Allows national gov to focus on
national affairs
Frees states from excessive intrusion
on state/local matters (exc: mandates)
Encourages experimentation (legalized
gambling, medical marijuana, etc.)
Keeps gov closer to people-multiple
points of access
Structure of Federalism
I. National Powers (3 types of
delegated powers):
Expressed (enumerated):
actually stated in the
Constitution
2. Implied: not stated, but
implicitly suggested
– Necessary and Proper
Clause (Elastic Clause)
3. Inherent: powers held by the
national government by virtue
of its sovereignty
II. State Powers (reserved):
1.
1.
2.
10th A. states that any powers not
granted to the national
government are reserved to the
states
Examples: establishing voting
requirements, running elections,
licensing professionals,
establishing public schools
III. National Supremacy
A. Supremacy Clause: Set up to
avoid conflicts b/w State
and Federal laws
 “This Constitution, and the Laws of
the United States which shall be
made in Pursuance thereof; and all
Treaties made, or which shall be
made, under the Authority of the
United States, shall be the supreme
Law of the Land. …and the Judges in
every State shall be bound thereby,
anything in the Constitution or Laws
of any state to the Contrary
notwithstanding.” –Article VI, Section
2
IV. Obligations of state governments
1.
2.
3.
Full faith and credit clause: each state
must honor the public acts, records, and
legal proceedings of other states (birth
certificates, marriages…)
Privileges and immunities clause: each
state must grant to citizens of other
states the same rights and privileges
that they grant their own citizens
Extradition: governors must return
suspects to states in which they
allegedly committed their crimes
McCulloch v. Maryland, 1819
1.
2.
3.
Need for a more flexible
interpretation of the Constitution
so that it would endure
Bank was “necessary and proper”
upheld implied powers
Power to tax involved power to
destroy, thus states could not tax
national gov, establishing national
supremacy
Sources National Strength
•
•
•
•
•
Elastic Clause
War powers
Commerce Clause
Power to tax and spend
Imposition of federal mandates
(some unfunded) on states
• Preemption of state laws by fed
courts if laws conflict with Const
or fed laws
State Sovereignty
• Anything that is not
prohibited by the
Constitution or preempted
by federal policy
• Police power
• State Constitutions allow for
greater participatory
democracy: initiatives,
referendums, recall
Historical Developments
1.
Dual Federalism [Up to
1940s]:
–
2.
State and national gov each
remained supreme within
their own spheres
Cooperative Federalism
(“marble cake” federalism)
[Since 1940s]:
–
Mixing of responsibilities
between state and national
3.
New Federalism (Nixon)
–
–
–
Shifting some authority back
to states (devolution)
Nixon, Reagan, Bush I, II,
Republicans
1995: U.S. v. Lopez
Grant Types:
A. Categorical
• For specific programs
(roads, airports, housing,
bilingual ed, etc.)
• Fed agrees to pay a portion
of the costs, states pay the
rest (also called formula
grants e.g. 80-20)
• States don’t have to accept,
but if they do, they must
comply with fed standards
B. Block
• Granted to support a
collection of general
programs (urban
development,
transportation, etc.)
• Allows for more state
leeway in spending the
money
• Associated with devolution
of power back to states
(104th/105th Republican
Congress)
Politics of Federal Grants
Democrats favor greater funding,
but with more “strings”
associated with categorical
grants
Republicans favor less funding, and
with fewer “strings” associated
with block grants
– Exception: NCLB 2002,
Republican support with lots
of strings
Welfare Reform Act of 1996
• AFDC changed to TANF
• No more federal guarantee of
welfare checks; ended
entitlement status
• Welfare block grants replaced
welfare categorical grants
• Even as a block grant, there were
federal strings:
– No fed funds to recipients
who have not worked within
2 years
– No fed funds to recipients
who have received fed money
more than 5 years
– States must spend at least
75% of what they had
previously spent on welfare
Federal Aid & Control: Mandates
Mandates: a federal order
imposed upon states
Most concern civil rights and
environmental protection
Examples:
1. Americans with Disabilities
Act
2. School de-segregation
3. Various environmental
acts, e.g. Clean Air Act,
Clean Water Act
4. IDEA
Purposes: to meet a goal of
the federal government
Impact upon the states:
1. Financial burden, esp with unfunded
mandates
– ADA imposed large costs on
states to make “reasonable
accommodations” for disabled
2. State complaints about fed heavyhandedness
– Clean Air Act 1990: if states do
not have own plan and payment
fed will impose their own
3. State complaints about fed blackmail
– Fed can withhold fed funds in
other programs
UNIT 2
POLITICAL BELIEFS AND BEHAVIORS
10-20%
Political Culture:
The widely shared beliefs, values and norms that citizens share about
government.
• Characteristics
1. Liberty
2. Equality
• Of opportunity more than equality of result
• Political equality more than economic equality
3. Democracy
4. Civic Duty
5. Individual Responsibility
Mistrust of government
• Distrust of Government has grown, esp. since the 1960s
(Vietnam, Watergate, inflation-70s, Clinton, Bush)
• Political Efficacy: the sense that one can both understand &
influence public policy (Internal) or that the government will
respond to the citizenry (External)
Measurements of Public
Opinion
1. By ELECTIONS
2. Straw (informal) polls
3. Scientific polls – Validity of polls must consider:
a) Definition of universe: population to be measured (must be representative)
b) Selection of sampling
•
Random means-each person in universe has same chance of being selected
•
Representative sample - National polls typically require ~1500-2000
respondents
•
Sampling error: +/- results (low margin of error)
c) writing the questions to avoid bias
o Uses of polls: Informs public, candidates, office-holders, and provides projections on
election night via exit polls
1. Can influence how politicians vote – due to duty to constituents and goal to get
re-elected
2. However, politicians want to avoid “flip-flopping,” “pandering,” and must
consider “party position” in voting as well
Political Socialization: process by which people
acquire their political beliefs.
1. Family: Strongest.
2. Schools: Impart basic values (civic duty,
patriotism)
3. Religion
•
Protestant - more conservative, esp
Evangelicals
•
Catholic - tend to be more liberal, more
accepted into mainstream
Greater degree of conservativism on social
issues (abortion, gay rights)
Jewish - Liberal influence, strong support of
Democratic Party
4. Race/Ethnicity
•Whites: more conservative, greater
support for Republicans
•Blacks: more liberal, strongest & most
loyal supporters of Democratic Party
•Hispanics
•Mexican-Americans and Puerto
Ricans more liberal and supportive of
Democrats
•Cubans more conservative and
supportive of Republicans
•Asians: won by Democrats in last 3
presidential elections
5. Income/Social Class:
• higher income more conservative &
supportive of Republicans
•
lower income more liberal & supportive of
Democrats
6.
•
•
•
•
•
•
•
•
Gender Gap
7. Geographic Region:
Women more likely than men to vote
• Solid South: traditionally
Democratic
Democratic, but increasingly
“Year of the Woman” 1992: many more
now Republican
women elected to Congress
• New England: traditionally
Emily’s List
Republican, but increasingly
“Soccer Moms” (1992 H. Clinton)
Democratic in recent years
“NASCAR Dads” (blue collar conservatives)
8. Mass media: liberal elite
“security moms” (2004)
Palin’s “Hockey Moms” (2008), “Mama
Grizzlies” (2010)
2012: Democrats charge the Republicans
with a “War on Women” regarding
reproductive rights/contraception
Ch. 8: Voter Turnout
A. Historical Qualifications for Suffrage
1. Religion (eliminated by state legislatures)
2. Property (eliminated by state legislatures)
3. Race (eliminated by 15th Amendment-1870)
• Methods used to disenfranchise:
• Literacy test, poll tax, grandfather clause, white primary
4. Sex (eliminated by 19th Amendment-1920)
5. Income (eliminated by 24th Amendment banning the poll tax-1964)
6. Literacy (eliminated by Voting Rights Act of 1965)
7. Minimum age of 21 (eliminated by 26th Amendment-1971)
B. Current Qualifications (set by states):
•
Citizenship
Felons
•
Residency
Registration (except ND)
Voter Turnout in U.S. compared to foreign nations
1. Voter turnout=number of those who voted/number of those ageeligible to vote.
2. V.A.P.
3. V.E.P. –
4. Presidential Elections US ~50%, Midterm Congressional ~30-40%,
Lower state/local about 10% *Decline since 1960 but rose slightly in
2008 56%
5. Comparable industrialized nations in West ~90%
Reasons for low Voter
Turnout
A. Institutional barriers
1. Registration: National Voter
Registration Act of 1993
(Motor Voter Bill)
2. “Ballot Fatigue”
3. Excessive number of elections.
4. YOUNG have lowest turnout
B. Political Reasons
1. Lack of political efficacy
2. Dissatisfaction with
candidates, parties, politics
3. Lack of strong 2-party
competition
4. Weakness of parties in
mobilizing voters
• 1890: Australian ballot-
Who participates in politics?
A. Characteristics of those likely to vote:
1. Greatest predictor of voting EDUCATIONAL ACHIEVEMENT.
2. INCOME
3. AGE
4. RACE/ETHNICITY
5. SEX
6. RELIGIOUS INVOLVEMENT
Factors affecting voter behavior:
A. Geography
1. Solid South:
2. Great Plains:
3. Rocky Mountain Region:
4. New England:
5. Far West:
6. Rust belt states: Ohio, Michigan, Wisconsin, Indiana – swing states (55 combined electoral
votes)
7. Sun belt states: from FL to CA; demographic changes as a result of Latino voters
B. Political Party ID: Strongest predictor of voting behavior
1. Straight ticket voting; decline in recent years, facilitated by party-column ballot
2. Split ticket voting; increase in recent years. Facilitated by office-bloc ballot.
3. Independents: rising number, tend to be young, college educated, above-average
incomes
C. Demographic Factors
1.
2.
3.
4.
Sex: Male v FemaleRace/Ethnicity: White v. Nonwhite
Social Class: Lower v. Upper
Religion: Protestant v. Catholic v. Jewish
D. Issues
1.
2.
Retrospective VotingProspective Voting:
E. Candidate Appeal: coattail effect of strong presidential candidate
F. Time
1.
2.
Critical (“realigning” elections): long-term change in political alignment, e.g.
1860, 1896, 1932
Midterm elections:
Ch. 10: Elections and
Campaigns
I. Congressional Elections:
Campaigns:
• Majority of campaign money
spent on media buys
• Two phases in elections:
1. Getting nominated2. Getting elected
1.
Elections are regularly scheduled
• House: every two years
• Senate: every two years 1/3 of
seats are up (continuous body)
2.
Fixed terms of office, no term
limits
3.
Winner-take-all/single-member
district system (House) (most
votes wins the seat)/”at-large”
(Senate)
Congressional elections
Factors affecting outcomes:
1.
•
2. Advantages of incumbents:
Incumbency: greatest influence
•
Franking privilege
~90% of congressmen who run
are reelected; ~80% of senators
•
Campaign staff already in place
•
Gerrymandered districts (“safe
seats”)
•
Committee service to district
•
Name recognition
•
Casework done for constituents
•
Pork barrel projects for district
(“earmarks”)
•
Money (incumbents outspent
challengers by 3:1 ratio)
Primary Elections
•
Part of the Progressive reform of the early 20th century
designed to weaken parties
•
Types:
1. Closed
•
•
Used in most states
Only registered party members can vote for partisan offices,
no crossing of party lines
2. Open:
•
Any voter may get ballot of any party they choose
3. Blanket:
•
Voters can “mix and match” their votes. In CA: top two
candidates proceed to the general election regardless of party
affiliation (effective 2012 – Prop 14) Similar to a run-off
election
III. Primary vs. General Elections
A. Caucuses:
Importance of IOWA
B. Primaries:
1. Other states use presidential primaries as method of
sending delegates to national convention. Use of
primaries has increased in the last 30 years.
2. “Beauty contest primary:”
3. Delegate selection primary:
4. Importance of NEW HAMPSHIRE:
5. Dems use “superdelegates”
C. Nominating System
National Convention:
1. Selection of presidential nominee:
2. Selection of VP nominee
• “balance the ticket”
• Development of party platform
• Reconciliation and unification of party by end of convention
D. Analysis of Nominating System:
Pro:
1. Highly participatory:
caucuses, primaries,
conventions
2. Testing ground-weeds out the
weaker candidates
Con:
1.
Low turnout rates
2.
Too lengthy
3.
Voters in primaries tend to be
better educated and more affluent
than those in general elections
4.
Delegates at caucuses and
convention tend to be
unrepresentative: more
ideological, more activist, more
education, less moderate, much
more wealthy
The Electoral College
1.
Each state has as many electoral votes as it has members of Congress
(minimum of 3)
2.
D.C. has 3 votes (23rd Amendment)
3.
538 electoral votes
4.
CA-largest at 55
5.
Each party develops a slate of electors prior to election
6.
Winner-take-all: Candidate with most popular votes (only a plurality is
needed) wins all of that state’s electoral votes.
7.
Concentration of campaigning in large, competitive states.
8.
270 to win
9.
If no candidate has majority:
Criticisms:
• President can be elected with only a
plurality, rather than a majority, of
popular votes, esp with presence of
strong 3rd party candidates
• Possibility of a minority president
(due to winner-take-all-distorts
margins of victory) (1824, 1876, 1888,
2000)
• “faithless electors”
• Small states proportionally
overrepresented, esp if election goes
to House
• Inhibits development of third parties
Alternatives:
• Direct election:
• District system
• Proportional system
• Keep electoral votes but
abolish the electors
themselves
Campaign Finance: FECA
Federal Election Campaign Acts, 1971-74: disclosure, subsidies, limitations
1.
Established Federal Elections Commission to regulate federal elections
2.
All candidates must disclose contributions and expenditures
3.
Pres candidates can receive federal subsidies – matching funds
4.
Contribution limitations:
•
Individuals: $1,000 per candidate, per election
•
PACs: $5,000 per candidate, per election, no overall cap; $15,000 to a national political
party. (Political Action Committees were created as a result of FECA’s finance reforms; PACs
are committees established by corporations, unions, and interest groups to raise money for
campaigns through voluntary contributions)
5.
CHALLENGED in Buckley v. Valeo (1976) – effect on FECA:
1. Court upheld limits on campaign contributions
2. Court struck down limits on congressional campaign spending. 1 st Amendment protects
spending as a form of expression. (limits on presidential races allowed because subsidized by
fed gov)
Campaign Finance: 2002 BCRA/McCain-Feingold
1.
BANS SOFT MONEY donations to national political parties. Soft money: undisclosed,
unlimited donations to parties for party building activities.
2.
Limits soft money donations to state political parties to $10,000; restricts use of these
donations to voter registration and get-out-the-vote drives.
3.
Doubled individuals’ “hard money” donations to $2,000, and indexes future increases
to inflation (now $2,500 for 2011-12 election cycle). Hard money: disclosed, limited
donations to candidates.
4.
No change on PAC limits.
5.
Unions and corporations banned from giving soft money to parties.
6.
Challenged by McConnell v. FEC, 2003: UPHELD BCRA
7.
Challenged by Citizens United v FEC, 2010: STRUCK DOWN provisions restricting
electioneering communications, independent expenditures
Analysis:
1. No subsidies for congressional campaigns, further
incumbency advantage
2. No limits on spending in congressional races
3. Citizens United overturned BCRA limits on corporate, union,
and individual independent expenditures: Creation of “Super
PACs”
4. Growth of 527 organizations: tax exempt groups that engage
in political activities can receive unlimited contributions and
spend them on voter mobilization efforts and issue advocacy
ads
5. Minor party pres candidates cannot receive subsidies
before the election unless their party earned at least 5%
of the popular vote in the previous election
6. Parties are weakened since pres election fund goes to
candidates themselves: rise of candidate-centered
campaigns rather than party-centered campaigns
7. Cost of campaigns has risen: more time spend
fundraising
FECA vs. BCRA: What did they
do?
FECA, 1974
• LIMITS on political contributions
• Individuals: $1,000
• PACs: $5,000
• NO limits on spending own
money
• DISCLOSURE of contributions &
expenditures above certain
levels ($100)
• SUBSIDIES of presidential
elections in the form of public
matching funds
• FEC created
BCRA, 2002 (McCainFeingold)
• BANNED SOFT MONEY (unlimited,
undisclosed contributions to national
parties)
• HARD MONEY increases and indexed to
inflation
• Individuals from $1,000 to $2,000
• No changes for PACs
• Increases for national, state, & local
party committees
• RESTRICTED “ELECTIONEERING
COMMUNICATIONS”
• Corporations & unions could not
engage in these 30 days prior to a
primary and 60 days before a general
FECA vs. BCRA: Court Challenges
FECA, 1974
• BUCKLEY V VALEO, 1976
• UPHELD: disclosure, limits
• STRUCK DOWN: spending
candidate’s own money,
limits on independent
expenditures, campaign
spending
BCRA, 2002
• MCCONNELL V FEC, 2003
• UPHELD: soft money ban,
increased limits on individuals
• CITIZENS UNITED V FEC, 2010
• REMOVED restrictions on
corporations and unions
spending on “electioneering
communications”
Effects:
FECA, 1974
BCRA, 2002
• Increase in PACs
• Rise of 527s
• Increased the amount of
money spent on elections
• Rise of SuperPACs (post
Citizens United)
• Increase in money spent on
independent expenditures
from corporations, unions
• Increase in soft money
spending
• Incumbent advantage
• Advantage for wealthy
• No limits on independent
expenditures from
individuals, PACs, 527s,
SuperPACs, parties
• Increase in cost of campaigns
• Incumbent advantage
Unit 3
PARTIES, INTEREST GROUPS & THE
MEDIA 10-20%
Decentralization/Weakening of Parties
I.
A.
B.
Parties are groups of people who seek to control
government through winning elections and holding
public office.
US parties have weakened
1.
2.
C.
D.
More independents
Weaker organizations since the 1960s
Federal system decentralizes power
Parties regulated by state and federal law
II. FUNCTIONS OF POLITICAL PARTIES
A.
Nominate candidates
Previously: party caucuses, nominating conventions, Now: primary
elections
Expansion of primaries means this role is seriously diminished
1.
2.

B.
C.
D.
Raise and spend campaign funds (less so now)
Register voters
Unify diverse interests
1.
F.
Party leaders no longer control nominations; more candidate-centered
politics than party-centered politics
Means parties must take more moderate positions
Provide patronage

Most government jobs filled by Civil Service
G.
Inform public: party platforms
H.
Agents of political socialization
I.
Linkage institution between people and government
RISE OF POLITICAL PARTIES
1.
Dangers of “factions” mentioned
by Madison in Federalist #10
1.
1796-1820: 1st party system-Federalists vs. Jeffersonian DemocraticRepublicans
1824-1856: Jacksonian Democrats v. Whigs
1860-1892: Republican dominance as the party against slavery and the party
that put the Union back together
1896-1928: 2nd period of Republican dominance with its coalition of big
business and the working classes against Democratic rural interests
1932-1964: Democratic dominance under FDR and the New Deal. FDRs grand
coalition included urban dwellers, labor unions, Catholics, Jews, the poor,
Southerners, Blacks, farmers
2.
3.
4.
5.
6. 1968-PRESENT: ERA OF DIVIDED
GOVERNMENT/DEALIGNMENT
a)
b)
c)
d)
Split-ticket voting (OFFICE-BLOC BALLOT)
Presidents of one party (typically Republican) with
Congresses of the other party (typically Democratic)
Era of party dealignment, as voters are increasingly
becoming independent (rejecting rather than changing
party). HOWEVER, Party I.D. is still the strongest
predictor of voting behavior
Nixon and Reagan built a coalition of disenchanted
white suburban middle class, Southern white
Protestants, big business
PARTY ORGANIZATIONS:
PARTIES ARE DECENTRALIZED ALONG FEDERAL LINES
1.
National level

National Convention. Highest Authority

National Committee. When convention not in session

National Chairperson

Congressional Campaign Committee (for House seats)

Senate Campaign Committee
2.
State Committee
3.
Local Committees: city, ward, precinct levels
4.
Neither DNC nor RNC can “punish” state/local committees if they
stray from the party line (decentralization)
V. NATIONAL CONVENTIONS

1.
Sets the number of delegates for each state and rules for how
those delegates shall be chosen
Progressive Era Reforms :






Direct primary elections
Nonpartisan elections at state and local level
Civil Service expansion – Pendleton Act (1883)
At State level, implementation of measures to increase direct
democracy: initiative, referendum, recall
17th Amendment
Hatch Act (1939): illegal for federal civil service workers to
engage in political campaigns or activities
REFORMS OF THE DEMOCRATIC PARTY SINCE 1970
(MCGOVERN-FRASER COMMISSION)

Prohibited unit rule at the convention (winner-take-all – Republicans
still use in some states)

Developed a “quota system” to ensure that the young, women, and
minorities were represented in party affairs (especially the national
convention)

Superdelegates give the “party regulars” a chance to do what is good
for the party, and not necessarily the people.

1986 Fairness Commission: lowered the threshold requirement from
20% to 15% for candidates to receive proportional delegates.
INTEREST GROUPS
1.
2.
Defined: a group with common interest that seeks to influence
government
Madison (Federalist 10): dilemma of wanting liberty and order.

Political factions were inevitable, but their effects must be
controlled. A geographically large republic is more likely to be
able to cure the “mischief of faction.”

Pluralism: growth of interest groups prevents the concentration
of excessive power in the hands of few, and thus enhances
democracy

Weakness of political parties: when parties are
unable to get things done, interest groups have filled
the power vacuum
TACTICS OF INTEREST GROUPS
1.
2.
media
Grassroots mobilization: Building support among the public for social
change or to prevent change. May be leveraged into change at the
legislature, in the courts, in the economic system, or other areas of society.
It is developing awareness of an issue among large numbers of people in
order to support an action.
3.
4.
5.
6.
7.
8.
9.
10.
Boycotting
Litigation
Use of amicus curiae briefs
Campaign contributions
Endorsement of candidates
Issuing “report cards” to rate candidates/congressmen
Initiative, referendum, and recall at state and local levels
Lobbying
LOBBYING
I. Defined: Attempting to influence government. Interest
group lobbying is generally most effective on narrow,
technical issues that are not well-publicized.
A. Iron triangle: informal coalition of interest
groups/congressional committee/federal agency that
seeks to influence public policy.
B. These are sometimes known as issue networks, policy
networks, subgovernments
IFunctions of lobbyists:
1.
2.
3.
4.
Influence government
Provide information to
government
Testify at hearings
Help write legislation
Regulation of Lobbying:
1.
1946 Federal Regulation of Lobbying
Act:

Required registration and disclosure, but
was full of loopholes
1.
Lobbying Disclosure Act of 1995:

Tightened up registration and disclosure
requirements
1.
Restrictions on gifts, meals, and expense
paid travel that members of Congress
may receive from lobbyists
2.
Former agency employee must wait two
years before lobbying that agency
THE CASE FOR LOBBYISTS:
1.
2.
3.
4.
They provide useful information to the government
They provide a means of representation on the basis of
interest rather than geography. A “linking mechanism”
between the people and government. A “third house of
Congress.”
1st Amendment protection (assemble and petition)
Madison in Federalist 10: the “remedy” of curing evils of
faction by eliminating their causes is worse than the
disease. Potential loss of liberty is worse than the abuses of
lobbyists.
PAC STRATEGIES
A.
Campaign Contributions (Factors Affecting Who Gets PAC Money)
1.
Incumbents
2.
Those who share a similar philosophy
3.
Those who are likely to grant access
4.
Those in positions of special influence, e.g. party leaders, committee chairs,
important committee seats
5.
PAC money makes up a higher % of congressional campaign funds than
presidential campaign funds.
B.
Independent expenditures, issue advocacy ads
C.
“bundling”
D.
527 groups:
1. Not regulated by the FEC
2. Not subject to contribution limits as PACs; many are run by interest
groups to get around limits/regulations
Who has PACs?
1.
2.
3.
Corporations: ~50% of all
PACs. Largest growth in
these since 1970s.
Labor unions
Leadership PACs: formed by
congressional leaders
Dangers of PACs:
1.
Ethical concerns: does a contribution
“buy” anything?
2.
Drives up the cost of campaigning;
more time spent by Congress on
fundraising
3.
Over-representation of those
wealthy enough to have PAC
representation
4.
Under-representation of those who
lack it
5.
Further incumbency advantage
IN DEFENSE OF PACS
1.
2.
3.
4.
Provide a means of participation and representation for the
average person (linkage institution)
1st Amendment right to petition the government
No conclusive evidence that PACs change congressional votes.
Diversify political funding. With over 4,600 PACs, many
interests are represented.
CH. 12: THE MEDIA
WHO ARE THE MASS MEDIA?
I.
A.
B.
“Old” Media:
newspapers and news
magazines
TV: Decline of 3 major
networks with cable TV
II. The “new media”
A.
Examples: Cable TV, the Internet:
A.
blogs, YouTube, CNN, FNC, The O’Reilly
Factor, The Daily Show, The Colbert Report,
Rush Limbaugh, talk radio…
B.
Characteristics:

More interactive

More emphasis on entertainment
“infotainment”

Emotional

Opinionated
EFFECTS OF THE MEDIA ON POLITICS
I.
Roles of media:
A.
B.
C.
1.
Gatekeeper: influence which subjects are of national
importance, i.e. help to set national agenda
Scorekeeper: Emphasis on horse race element of elections
at expense of issues.
Watchdog:
Media are a primary linking mechanism between public and
government
2. Selective attention:
3. Selective perception:
1. Past: people-parties-government
2. Now: people-media-government
White House manipulation of media (electronic throne)
Photo ops
2. Sound bites
3. Spin control
4. Staged events
5. Trial balloons
6. “going public” when president takes case directly to the people
Emphasis on sensationalism and scandal: “feeding frenzy”
Far less coverage of SCOTUS than of Congress and president
Media most influential In primary elections
1.
UNIT 4: INSTITUTIONS 35-45%
CONGRESS
Bicameralism: 2-house legislature
A. House of Reps






Designed to be closer and
more responsive to people
Members elected directly by
people
Elected from smaller, singlemember districts
Two-year terms
Entire body elected every
two-years
Revenue (tax) bills must
originate in the House
B. Senate





Designed to be more
removed from the people
Members originally elected
by state legislatures (now by
the people – 17th Amend.)
Elected on an at-large basis
Elected for six-year terms
Only 1/3 Senate up for
reelection every two years
(continuous body); more
stability and continuity
Do Members Represent Voters?
A.



B.


C.

Representational voting (acting as a delegate for constituents)
Difficult to gauge constituent opinion
Most constituents are not aware of issues
Diversity of interests
Organizational voting
Members vote to please colleagues
Cues from: party, committee, ideology

Members can use reciprocity (exchange of favors) and logrolling
(exchange of votes)
Attitudinal Voting (trustee role)
Act according to own convictions and ideology
The Incumbency Advantage
I. Scope of Advantage:
1.
2.
Reelection rate in House
>90% (96% in 2008)
Reelection rate in Senate
>80% (90% in 2008)
II. Advantages:
1.
2.
3.
4.
5.
6.
Franking privilege
Staffers
Patronage
Name recognition
Casework
Money, esp from PACs
Special Incumbency Advantage: Reapportionment
and Gerrymandering
To understand gerrymandering, you must understand
reapportionment: the redistribution of 435 seats in the
House on the basis of population changes in states
1. Number of reps per state determined by population
2. Census Bureau conducts decennial census every 10
years
3. Census Bureau will show population changes in states,
which must then be reflected in state representation in
the House




States that gain population, gain seats
States that lose population, lose seats
Size of the House fixed at 435
Gerrymandering
1.
2.
•
3.
•
•
Redistricting must be done if a state has a change in the number of
seats. State legislatures re-draw congressional districts.
Gerrymandering: when the district is drawn to the advantage of the
party controlling state legislature
Each district is supposed to have the same number of people and
drawn in one contiguous piece
The party in power in the State Legislature can get a majority of seats in
the House in two ways:
“Cracking:” drawing the district lines in such away as to disperse the
opposing party throughout the state and dilute the party’s strength
“Packing:” drawing the district in lines in such a ways as to concentrate
the opposing party in a few districts, thus preserving a majority of seats
for itself.
Effects of Gerrymandering
Effects:
1.
2.
3.
The party in power STAYS
in power
“safe” seats are created
for incumbents
“majority-minority”
districts created by racial
gerrymandering
Supreme Court redistricting
requirements:
1.
2.
3.
4.
5.
Districts must be as near equal in
population as possible
District lines must be contiguous
Racial gerrymandering is
prohibited (Shaw v. Reno, 1993).
Race may not be the primary
factor in drawing district lines
(Miller v. Johnson, 1995)
Cannot dilute racial minority
voting strength
“communities of interest” may
be kept intact
Supreme Court Rulings
1.
Baker v. Carr, 1962
• The Court found that the reapportionment of federal
districts was justiciable
• “one man, one vote” principle applied to state
legislative districts to correct
overrepresentation (malapportionment) of rural
areas
2. Wesberry v. Sanders, 1964
• Court held that sections of states may not be over- or
under-represented saying that one person’s vote must be
equal to another’s
• Result of over-representation of rural districts
• “one person, one vote” ruling applied for House districts
Leadership in the House:
A.
•
•
•
•
•
•
The Speaker of the House
Presides over the House
Appoints select and conference committees
Appoints Rules Committee members and its chairman
Assigns bills to committees
Influences agenda of the House
media access
B.
Majority/Minority Leader
1.
Partisan positions chosen by party members
2.
Floor leaders and legislative strategists
C.
Majority/Minority Whip
1.
Assistant floor leaders; Inform party leaders on “mood” of House
2.
Keep nose count on important votes; persuade party members to vote with
party
3.
Liaison between party leadership and rank and file members
Leadership in the Senate:
The VP is the President of the Senate
1.
•
•
He may only vote to break a tie, and cannot speak or debate on the floor
He may recognize members, and put questions to a vote
The president pro tempore of the Senate serves in the absence of the VP
2.
•
The president pro tem is elected by the Senate and is a leading member of the
majority party
Majority Leader
3.
•
True leader in the Senate and of majority party
•
Recognized first for all debates
•
With power to filibuster, this gives Majority Leader strong influence on bills
•
Influences committee assignments
•
Influences senate agenda, along with Minority Leader
•
Media coverage
4. Minority Leader and Party Whips:

same as House
Strength of Party Structures
Party Unity
1.
2.
3.
Best predictor of congressional
voting: party unity scores are
strong.
Party polarization
American voters tend to be
more moderate while
congressional Dems and Reps
more ideological
Party Caucuses
1.
2.
3.
4.
Rivals to party in policy
formulation
Weakening of parties,
decentralization of Congressrise in caucuses
Particular interests meet to
promote policy goals
CBC, Blue Dog, Hispanic,
Prayer, Pro-Choice, African
Trade…
Organization of Congress:
Congressional Committees
A.
Real work of Congress is done in committees and subcommittees, not on the floor
of the House or Senate
B.
Before bill goes to floor, first goes through committee
Unless House votes to “discharge” it onto the floor for consideration if committee
refuses to “report out” (Senate committees cannot prevent bills from reaching
floor).

C.



Functions:
Analyze legislation
Conduct investigations of executive branch on as-needed basis
Conduct oversight of executive branch agencies on an on-going basis
Selection of members:
D.
1.
2.
3.
4.
Importance of getting on the right committee, i.e. one in which a member can best
serve his/her constituents, and thus increase chances of reelection
Members are assigned by either the Committee on Committees (R) OR Steering
and Policy Committee (D)
Whichever party has a majority in house has majority on committee
Chair is of majority party, ranking member is of minority party
Selection of Committee Chair
1.




Power of chairperson is substantial over:
Setting agenda
Hiring staff
Membership on subcommittees
Jurisdiction on subcommittees
2.
Chairs are selected by secret ballot in party caucuses or conferences (of party leaders) at
beginning of term
3.
Ranking member: most senior member of minority party on committee
4.
Generally seniority system is followed-person of the majority party with most seniority
on that committee is chosen chair.
5.
Advantages of seniority system:
Experience
Stability
Expertise
Reduces infighting among rivals for chair
1.
2.
3.
4.
Important Standing Committees: permanent committees of
Congress. They have legislative, investigative, and oversight powers.
Types of standing committees:
A.
1.
2.
3.
authorizing: allow for creation of federal programs
appropriations: provide funding for federal programs
revenue and budget: raise money for federal programs
House Standing Committees (21)
A.
1.
Rules: most powerful of all. Sets legislative calendar
and establishes rules for debate and amendments.
•
•
2.
3.
Ways and Means: deals with tax bills
Appropriations: deals with spending bills
Authorization bill allows for money to be spent, and appropriation
bill provides the actual funding for the program

“earmarks:” special projects set aside by members to benefit
home districts or states.
Budget: created by Budget Impoundment & Control Act (1974) to
examine President’s budget and draft a concurrent resolution to
reconcile fiscal policy with the budget

4.
Sets legislative calendar (“traffic cop” of House)
Issues rules for debate and amendment (open rule allows former,
closed rule does not)
C. Senate Standing Committees (17)
1.
2.
3.
4.
5.
Finance Committee: deals with tax bills
Appropriations: deals with spending bills
Budget: counterpart to House Budget Committee
Foreign Relations: Senate has larger role in foreign
affairs than House because of treaty ratification and
ambassador confirmation provisions in Constitution
Judiciary: Screens judicial nominees. Careful scrutiny
given because of the power of the modern judiciary and
the fact that judges have life terms.
Other Committees
A. Conference Committees
1.
2.
Temporary committees
comprised of members from
both Houses
Develop compromise
language on a bill when
House and Senate versions
differ (about 10% of the
time)
B. Other types:
1.
2.
Select: appointed by a
house for a limited,
temporary purpose, e.g.
to study an issue or to
conduct an investigation
Joint: composed of
members from both
houses for similar
temporary purposes
How a Bill Becomes a Law
A. Bill Introduction
1.
Less than 10% actually pass

2.
Ideas for most bills originate in the
executive branch

3.
Bills can be introduced in either house,
except for revenue (tax) bills (House
only)
4.
intent of the Founders: to create a
cautious and deliberate process.
5.
Passage of a bill requires only a simple
majority.
Public bills:
– Measures that apply to the nation as a
whole
Private bills:
– Measures that apply to certain people or
places

Joint resolutions:
– Deal with unusual or temporary matters;
similar to bills and have the force of law
– Used to propose amendments to the
Constitution and to annex land

Concurrent resolutions:
– Matters in which both houses must act
together, but do not need presidential
signature
Committee and Subcommittee Action
1.
After the 1st reading, a bill is referred to the “correct” committee
2.
Committee Actions:
Pass. A bill is “reported out” to full house for consideration
Kill.
Amend (“mark-up” session). Earmarks are placed at committee level by
individual members
Pigeonhole: postponed indefinitely; most frequent fate of a bill.




3.
Discharge petition can be used when a bill is bottled up in committee
4.
Importance of Rules Committee (House only)
•
“traffic cop” function: sets legislative calendar
•
Issues open rule that allows amendments to a bill or closed rule that
prohibits such amendments (especially on tax bills)
•
Establishes rules on floor debate
•
Committee of the Whole used by House to act more informally, more
quickly, and with smaller quorum (only 100).
Floor Action
1.
Senate only allows filibusters.
2.
Filibusters and cloture (3/5) votes becoming more common:
Even threat of filibuster is effective.
Can be curtailed by “double-tracking”


3.
Senate only allows nongermane amendments (“riders”).
“Christmas tree” bills can result.
4.
Senate allows any member to place a hold on a bill or
presidential nomination.
F. Presidential Action
1.
2.
3.


4.
Sign the bill in full
Veto the bill in full. Can be overridden by a 2/3 vote in both houses
Ignore the bill:
After 10 days, the bill automatically becomes law
If within that 10 day period, Congress adjourns (not recess), the bill is pocketvetoed
Congress gave the president a line item veto in the mid-90s, but struck down in
Clinton v. NY, 1998 as violation of separation of powers. Would have enabled the
president to legislate. Most governors have power of line item veto.
The Structure and Powers of Congress
I.
A.
Delegated Powers to the National Government (Expressed, Implied,
Inherent)
Expressed/enumerated: actually stated in the Constitution (Article I,
Section 8)
1.
2.
3.
4.
5.
6.
7.
8.
Levy taxes (revenue bills must originate in the House)
Coin money, Borrow money, Spend money for common defense and
public welfare
Regulate foreign, interstate, and Indian commerce. This clause has
been tested frequently in the Courts due to its broad interpretation
by Congress.
Establish naturalization, standards for weights and measures,
bankruptcy laws, post offices
Grant copyrights and patents
Create inferior federal courts
Define and punish piracy, counterfeiters
Declare war; raise and support an army/navy
Powers of Congress
B. Implied:
1.
2.
3.
4.
Suggested, but not
actually stated in the
Constitution
Basis: Necessary and
Proper (Elastic) Clause
Strict vs. Liberal
Constructionist
approaches
Examples: national bank
(McCulloch v. MD), CIA,
air force…
C. Inherent:
1.
2.
Powers the national
government has because
it is a sovereign
government
Examples: regulating
immigration, acquiring
territory, granting
diplomatic recognition
Powers of Congress
D. Institutional Powers
Those that relate to system of checks and
balances
1. Senate ratifies treaties with 2/3 vote
2. Senate approves presidential appointments
with majority vote
3. House votes for impeachment (majority
vote); Senate tries impeachment (2/3 vote
to convict).
4. House elects President if not electoral
majority; Senate elects VP
5. Proposal of constitutional amendments
with 2/3 vote of both Houses
6. Each can seat, unseat, and punish (censure)
its own members
E. Powers Denied to Congress:
1.
Passing ex post facto laws:
2.
Passing bills of attainder
3.
Suspending habeas corpus
UNIT 4: INSTITUTIONS
THE EXECUTIVE: PRESIDENT & THE
BUREAUCRACY
Constitutional Roles-Chief Executive:
Powers:
1. “take care” clause of Article II requires that the president enforces laws, treaties,
and court decisions. This clause has also been used to justify:
2. Issues executive orders to carry out laws-do not need Congressional approval
Checks:
• Congress passes the laws and has the “power of the purse”
• Senate can reject appointments and treaties
• Impeachment (House) and removal (Senate)
• Supreme Court can strike down executive orders
CHIEF JURIST:
Powers:
1. Appoints federal judges
2. Issues pardons and amnesty
Checks:
• Senate can reject judicial appointments
• Senators can place “holds” on appointments
• Senators can filibuster nominations
Commander-in-Chief
Chief Diplomat
Power:
1. head of the armed forces
Checks:
• Congress appropriates funds for
the military
• Congress declares war
• War Powers Act of 1973
1.
Sets overall foreign policy
2.
Appoints and receives ambassadors
3.
Negotiates both treaties and executive
agreements
4.
Gives diplomatic recognition to foreign
governments
Powers:
Checks:
•
Congress appropriates funds for foreign
affairs
•
Senate can reject ambassadors and treaties
Non-constitutional Roles:
A. Head of Political Party
1.
2.
Selects the party’s
chairman of the national
committee and VP
nominee
Political patronage
B. Chief Economist
1.
Proposes the federal
budget (though
Congress can alter it)
Growth of Presidential Power
1.
Originally Congress, not President, was to be dominant
2.
Non-constitutional sources of presidential power
Unity of office (1 person as opposed to 535 member Congress)
Growing complexity of society: with a highly industrial and technological society,
people have demanded that the federal government play a larger role in areas of
public concern, e.g. pollution, labor issues, air travel safety. The executive
branch has thus grown to meet those public demands.
Congressional delegation of authority to the executive branch:
•
Congress writes broadly-worded legislation and lets executive agencies “fill in
the holes” (discretionary authority)
•
Congress often bows to presidential demands in time of economic or foreign
crisis
a)
b)
c)
d)
Development of mass media and the president’s “electronic throne”
e)
Emergence of U.S. as the great superpower after WWII. Development of the
Cold War placed the U.S. into a virtual non-stop crisis situation after 1945 –
assumption of great powers by the president to deal with various foreign
crises.
IV: Overview and Powers of the Presidency

A. Qualifications:

B. Terms of Office:
1.
2.


Four years
Maximum of two elected terms.
Passage of 22nd A. due to Republican Congress’ concern over future FDRs.
C. Succession
1.
If office of presidency is vacant due to death, resignation, or impeachment and
removal, the VP becomes President. If VP dies before his inauguration as
President, the line of succession is as follows: Speaker, Pres Pro Tem, Sec of
State, Treasury, Defense, and then the other Cabinet sec in order of creation of
offices. (Presidential Succession Act of 1947).
2.
If the President is disabled, the 25th Amendment applies:
President informs Congress of disability and the VP becomes Acting President.
If the President is unable to inform Congress, the VP and a majority of Cabinet
secretaries can go to Congress and receive approval for the VP to become
Acting President


3.
Appointments to the White House Office (e.g. Chief of Staff) do
not require Senate consent. Officials are less subject to testifying
before Congress since they have a greater degree of executive
privilege protection. Presidents typically seek people who will be
loyal-fewer divided loyalties as compared to Cabinet positions
B. The Executive Office of the President
Appointments to the EOP require Senate consent.
1. OMB: prepares the annual budget and reviews federal programs.
2. NSC:
3. CEA:
4. OPM:
The Cabinet
A.
definition: the head of the Cabinet departments and 5 others who hold
“Cabinet rank” (OMB Director, CIA Director, WH Counsel, UN Ambassador, US
Trade Rep, head of SBA)
B.
Each of these is appointed by the President with Senate consent
Cabinet officials are constitutionally banned from also being members of
Congress.
The Cabinet meets irregularly. Only at the call of the President.
Cabinet officials are more interested in defending/enlarging their own
departments than they are in meeting together to create public policy.
Arguments against enlarging Cabinet:
1)
2)
3)


Divided loyalties of Cabinet officials: are the Secretaries most loyal to
President? To the Congress (which funds departments)? To client groups
(which depend on departments)? To employees of departments (Secretaries
deal with daily)?
President’s goals often conflict with Cabinet department’s goals
The Office of the President
A.
1.
2.
a)
b)
White House Office/White House Staff (no Senate consent)
Immediate staff of President: office space in West Wing = proximity to
President. Rule of propinquity: power is wielded by people who are in
the room where decisions are made.
Organization:
Circular method allows for greater access and more information, but
at the expense of efficiency.
Pyramid method allows for greater efficiency, but at the expense of
access and information.
The Power to Persuade
Checks that weaken the President:
A.
B.
Constitutional checks:
•
Congress and courts
Informal checks:

Congressional leaders, Cabinet, bureaucrats, political parties,
interest groups, media, Senate’s use of holds and filibusters on
nominations, divided government, multilateral world
Congress vs. the President
Sources of Conflict:
A.
Separation of powers and checks and balances – there is
supposed to be conflict.
B.
Each represents different constituencies

Congress: state/local interests (“all politics is local”)

President: national interests
C.
Different times of election: difficult for either to gain
excessive power for any great length of time.
D.
Partisanship
E.
Unity of office (President) vs. diffusion of power (Congress)
F.
“two presidencies” thesis: congress more cooperative on
foreign policy and national security issues, but less so in
domestic and economic issues
Sources of influence on Congress:
A.
B.
C.
D.
E.
F.
G.
Use of media. Media focuses more on a single person than on
535 people. President can easily go directly to the people with his
case.
“Mandate from the people” after winning election by a large
margin.
Patronage
Chief of party role: convincing members of Congress to act in
interests of “party unity.”
Personal lobbying of members of Congress.
Veto, or its threat.
Presence of a national emergency.
Roles of the President
Constitutional Roles:
A.
Chief legislator.
Powers:

Proposes legislation

Signs laws. Sometimes uses “signing statements”

Vetoes legislation (no line item veto as ruled by SCOTUS [Clinton v. NY, 1998] –
separation of powers)

Makes a State of the Union Address to Congress
Checks:

Congress need not pass suggested legislation

Congress can override veto with 2/3 majority in both houses
The Power to Say No: The Imperial Presidency
A.


B.

C.
•
D.
•
•
CAUSES:
economic growth necessitated a strong executive branch.
Congress itself delegated strong powers to the executive branch,
especially in the area of foreign policy
Areas of abuse cited by Schlesinger:
Constitutional conflict of Congress’ power to declare war vs.
President’s power as Commander-in-Chief
Use of executive agreements rather than treaties.
The former does not require Senate ratification as does the
latter.
Executive privilege.
Def: the right of President to not divulge conversations between
himself and his advisers.
In U.S. v. Nixon (1974), the Supreme Court stated that
Presidents are in fact entitled to executive privilege most of the
time, but not in criminal cases.
E. Impoundment.
1. Def: the refusal of the president to spend money that has been
appropriated by Congress
2. Without a line item veto, Presidents must either sign an entire bill or veto
it. As a result, Presidents may be unhappy with funding amounts for
certain parts of a bill, and want to withhold such funding.
3. Passage of Budget and Impoundment Control Act of 1974:
4. If President impounds funds temporarily (deferral), either house can
override.
5. If president impounds funds permanently (rescission), the act is
automatically voided unless both house of Congress approve within
45 days.
6. Establishment of CBO as a check on OMB.
7. Congress given three additional months to consider the President’s
proposed budget.
8. Establishment of Budget Committees in each house.
President’s Program. Congress Responds to the Imperial Presidency: a
reassertion of congressional authority in mid-1970s.
War Powers: passage of the War Powers Resolution of 1973.
A.
President can send troops overseas to an area where hostilities are
imminent without a congressional war declaration only under these
circumstances:
1.
Must notify Congress within 48 hours.
2.
Must withdraw the troops after 60 days (can be extended by 30
days if safety of troops requires it)
3.
Must consult with Congress if troops are to engage in combat.
4.
Congress can pass a resolution, not subject to presidential veto, to
withdraw troops
SENATE CONFIRMATION OF APPOINTMENTS
1. Senatorial courtesy a long-established practice: before President
makes an appointment within a state, he will consult with the two
senators of that state for approval
2. Much closer scrutiny given by Senate to recent appointments
3. Controversy over recess appointments
4. “rule of fitness” seems no longer sufficient, now its policy preferences
5. Long confirmation delays (holds)
Legislative Veto
1. In the past: Congress passed a law, then the relevant executive
agency issued regulations to enforce the law, then Congress could
analyze those regulations and veto them if it so desired.
2. A way to force the bureaucracy to conform to congressional intent
3. In INS v. Chada (1983) the Supreme Court declared the legislative
veto to be an unconstitutional violation of separation of powers.
4. 1996: Congressional Review Act allows Congress to repeal
regulations with approval of President. Congress can still use
legislative veto if agency does not challenge its use, or can use other
powers (funding) to exert influence over agencies.
Review: Structure of the American Bureaucracy
Executive Branch Agencies:
1.
White House Office: president’s closest assistants, can be hired and fired at will
2.
Executive Office of the President: agencies that report directly to the President, top
positions appointed by president and approved by Senate, can be fired at
president’s discretion

main agencies: OMB, DNI, CEA, OPM, US Trade Rep
3.
The Cabinet: not in Constitution (authority in Article II, Section 2), heads of 15
executive departments, appointed by President and confirmed by Senate, can be
fired at president’s discretion
4.
Independent executive agencies:

organized much like Cabinet departments, but lack Cabinet status (ex. NASA,
SSA)

President appoints members and confirmed by Senate, agency heads serve
fixed terms and can only be removed for cause
5.
Government corporations

Created by Congress to carry out various business operations. Directors
appointed by President, confirmed by Senate, serve fixed terms.

Ex: USPS, FDIC, TVA
6. Independent Regulatory Commissions
1.
2.




3.
4.
5.
Created by Congress to regulate important aspects of the nation’s
economy.
Generally, the decisions of these are beyond presidential control, though
commissioners are appointed by the President with Senate consent
Commissioners serve long terms (5-14 years)
Only a bare majority can belong to the same party
Terms are staggered
Commissioners can be fired by the President only for causes that
Congress has specified.
Have quasi-legislative power: rules and regulations (published in the
Federal Register) have the force of law (“policy implementation”)
Have quasi-judicial power: can settle disputes in their fields
Some important regulatory commissions: Federal Reserve Board, FCC,
FEC, NLRB, SEC, FTC
II. The Growth of the Bureaucracy
A.

B.




Early controversies:
Presidential appointments were to be confirmed by the
Senate, but only removable by the president alone.
Congress has the power to fund and investigate.
Development of the civil service system
Up to late 19th century, spoils system used to fill federal jobs
Pendleton Act (1883) created a civil service (exam-based)
merit system to fill government jobs. Civil Service
Commission (now OPM) administered exams.
Today, over 90% of federal employees are civil service
workers
Under 10% of top-level federal jobs are still filled by
presidential appointment (political appointees).
III. The Federal Bureaucracy Today
A.
1.
2.
B.
1.
2.
3.
Size:
There are about 3mn. Civilian federal employees
Number has been fairly constant since 1950.

Result of more efficiency?

Or, result of more federal money being transferred to state and local
governments to administer federal programs?
Power of the bureaucracy:
Discretionary authority: agencies have the power to choose various courses of
action when Congress writes broadly-worded laws that allow for bureaucratic
interpretation.
Primary areas of delegation:
1)
Subsidies
2)
Grant-in-aid programs
3)
Enforcement of regulation
Other areas: helping draft legislation, advice to the WH, settling disputes
Reasons for growth of power:
C.
1.
National growth, technology, international crises, once created-hard to kill
IV. Influences of Bureaucratic Behavior
A.
1.
2.
3.
B.
C.
D.
1.
2.
3.
Recruitment and retention
Most bureaucrats are appointed by civil service exam (merit-based,
administered by OPM)
As system decentralizes agencies hire as needed. The “excepted
service” employs more than half federal workers still using OPM
standards
Legal exceptions: presidential appointees, Schedule C appointments,
NEA jobs
The buddy system: name-request jobs can circumvent process
Firing a bureaucrat: most cannot be fired with the exception of the SES.
Agency’s Point of View
Many bureaucrats have a “loyal” or “agency” point of view
System assures continuity and expertise in policies and procedures
among many bureaucrats
Agency managers must cultivate support of subordinates
Influences…
E. Demographic Attributes
1.
2.
3.
Low and mid-level bureaucrats are fairly
representative of American people on
basis of race, sex, religion…
Upper-level bureaucrats are not: mostly
middle-aged, white males with college
degrees from advantaged backgrounds
Surveys show bureaucrats tend to be
more liberal than general public,
especially those who work in “activist”
agencies (EPA, FTC…) than those who
work in “traditional” agencies (Justice,
Defense, Treasury…)
F. Constraints

Legal:
1.
Administrative Procedure Act (1946)
2.
Freedom of Information Act (1966)
3.
Hatch Act (1939)
4.
National Environmental Policy Act (1969):
impact reports
5.
Privacy Act (1974)
6.
Open Meeting Law (1976)
7.
Affirmative action hiring guidelines

Organizational:
4.
Only 10% live in D.C.
1.
Size of agencies make action difficult
5.
~30% work in a defense agency
2.
Red tape
6.
Less than 15% work in a welfare agency
3.
Lack of monetary incentives to take action
7.
Most are white collar workers
V. Controlling the Bureaucracy: Presidential
Influences
A. Powers
1.
2.
3.
4.
5.
6.
7.
To appoint top-level
bureaucrats
to fire top-level bureaucrats
To propose reorganization of
executive branch
To propose agency budgets
Appointment of SES
personnel
“central clearance”
OMB oversight
B. Checks
1.
2.
3.
4.
5.
Senate confirmation for toplevel appointees
President cannot fire vast
majority of bureaucrats
Reorganization must go
through Congress
Agency budgets must go
through Congress
SES has had little impact on
accountability
Congressional Influences
A. Powers
1.
2.
3.
4.
5.
6.
Appropriations of agency
budgets
Standing committee
oversight, investigations,
hearings
GAO
Reorganization
Appointment confirmation
Sunset laws
B. Limits
Congress may not want to
check power of the
bureaucracy:
 Members profit politically
from the existence of federal
programs within their
states/districts
 Easier for Congress to pass
broadly-worded legislation
and have experts in
bureaucracy fill in the holes
Other Influences
A. Interest Groups
1.
2.
3.
4.

Lobbying
Revolving door
Client groups
Iron triangles/issue
networks/policy networks
(subgovernments):
Congressional committee,
relevant agency, related
interest groups. (Hugh Heclo)
B. Media
1.
2.
3.
Scrutiny of agency
behavior
Use of “whistle blowers”
Releasing “leaks” from
government officials.
UNIT 4: INSTITUTIONS
THE JUDICIARY: FEDERAL COURT
SYSTEM
Evolution of the Federal Courts
A.
•
•
•
•
•
Founders’ view:
Federalist 78 (Hamilton) argued that the Courts were the least dangerous
branch, although the federal judiciary has evolved towards judicial activism
Marshall Court claimed the supremacy of the federal government and the
Court’s power of judicial review
Marbury vs. Madison, 1803 established the power of judicial review
McCulloch vs. Maryland, 1819 declared the supremacy of federal law over
state law and upheld the concept of implied powers
Gibbons v. Ogden, 1824 confirmed the supremacy of the federal government
in its ability to regulate commerce
II. The Structure of the Federal Courts
• Only the Supreme Court is created by the Constitution (Article
III)
A. Congress created 2 types of lower federal courts:
Constitutional and Legislative
1. Constitutional courts (“regular”)
• Article III creates the Supreme Court and also gives Congress
the power to create “inferior” (lower) federal courts.
• Judges in these courts hold life terms.
• Three levels of constitutional courts:
District Courts, Courts of Appeals (Circuit Courts), and the
Supreme Court
1) The District Courts
1.
2.
3.
4.
5.
6.
7.
Federal trial courts in which 90% of
the federal cases are heard
There are 94 district courts
Cases are tried by a judge and a jury
Use grand juries to issue
indictments, but a petit jury decides
outcome
Jurisdiction: original
May try civil, criminal, or
constitutional cases
Decisions may be appealed to
Circuit Courts of Appeals
2) The Circuit Courts of Appeals
1.
2.
3.
4.
5.
6.
Created by Congress in 1891 to
relieve the Supreme Court’s
docket of appeals from district
courts
12 courts of appeals
A Supreme Court justice
assigned to each of the
appellate courts
Cases are usually heard by a
panel of 3 judges, except when
all judges of a Circuit Court
hear a case “en banc”
Jurisdiction: appellate
Decisions may be appealed to
the Supreme Court
Types of Federal Courts
2. Legislative (“special”) courts, also called Article I courts:
•
Created to carry out the enumerated powers of Congress
•
Judges in these courts hold fixed terms of office
– Examples: U.S. Court of Appeals for the Armed Forces, U.S. Court of Appeals
for Veterans Claims, U.S. Court of Federal Claims, U.S. Tax Court, and
territorial courts
B. Selecting Judges
1.
2.
3.
4.
Appointed by the president with
the “advice and consent” of the
Senate.
Article III states they shall hold
their offices “during good
behavior” (for life)
They can be impeached and
removed by Congress (rare)
Compensation: set by Congress,
cannot be lowered during
judges’ terms of office.
C. Factors Affecting Selection of Federal
Judges
1.
2.
3.
Senatorial Courtesy
Senate Judiciary Committee
Senate: majority vote needed to
confirm nominees
4. Political party
5. Diversity: gender and race
6. Age: life terms means judges will
often outlast the presidents that
appointed them. Presidential
influence continues then, even after
they leave office
7. Ideology: the “litmus test”
Presidents try to appoint people of
similar philosophy.
8. ABA consideration (used by Judiciary
Committee)
9. Nominees “paper trail”
10. Number of judges: Congress can
increase or decrease the number of
courts and judges.
D. Federal Attorneys
1.
–
–
2.
–
–
–
3.
–
–
–
–
Attorney General:
Appointed by president with Senate consent
Head of Justice Dept.
Solicitor General:
Appointed by president with Senate consent
Represents U.S. government in Supreme Court
Decides which cases the federal government will appeal to the
Supreme Court
U.S. Attorneys
At least one for each District Court (94)
Prosecutes federal criminal cases before the District Courts and Courts
of Appeals; represents US gov in civil cases
Appointed by the president for 4-year terms. Key patronage positions
Senatorial courtesy applies
III. Jurisdiction of the Federal Courts
• Dual system of courts: federal and state courts, reflective of federalism
1. Jurisdiction is the authority of a court to hear a case
2. Federal courts hear cases based on:
• Subject matter (federal-question cases):
 Interpretation & application of Constitution, federal
statute or treaty
 Question of admiralty law
•
Parties involved (diversity cases):
 U.S. or its officers
 Ambassadors, consuls of foreign gov
 States suing another State, resident of another State,
a foreign gov or its subjects
 Citizen of one State suing another State’s citizen
 A U.S. citizen suing a foreign gov or its subjects
3. All cases not heard by the federal courts are heard in States’ courts
Types of Jurisdiction
1.
2.
3.
4.
5.
Exclusive Jurisdiction:
• Case can only be heard in a federal court
Concurrent Jurisdiction:
• Case may be heard in either federal or State court
Original Jurisdiction:
• The court where the case is first heard
• District courts only have original jurisdiction
Appellate Jurisdiction:
• A court that hears the case on appeal from a lower court
• The appellate court can uphold, overrule, or modify the decision
from the lower court
• Courts of Appeals only have appellate jurisdiction
Supreme Court can exercise both original and appellate jurisdiction
IV. Getting to Court
A.
Only those with standing may challenge a law or government action.
(Only one who has sustained “injury” may bring a case to court)
B. Types of law:
1) Statutory: deals with written statutes (laws)
2) Common:
– Based on a system of unwritten law
– Unwritten laws are based on precedents.
– Judges rely on the principle of stare decisis
3) Criminal: violations of the criminal code
4) Civil: concerns disputes (torts) between two parties, rather than against
society
–
Writ of mandamus, injunctions, class action lawsuits, breach of contract, slander
V. The Supreme Court
1.
A. Background
8 associate justices, 1 Chief Justice
– Set by Congress
2. Key powers:
•
Judicial review (Marbury)
•
Power to interpret broadly-worded
laws of Congress and the
Constitution
•
Power to overrule earlier S.C.
decisions
B. Jurisdiction
1. Original, in cases involving:
–
–
States
Ambassadors
2. Appellate, in cases from
–
–
–
Courts of Appeals
State supreme courts
Cases from appellate
jurisdiction are far more
numerous than from original
jurisdiction
C. How Cases Reach the Supreme Court
1.
2.
3.
4.
5.
SCOTUS controls its own docket
Thousands of requests are made,
relatively few are granted
Rule of 4: In order for the Court to
hear a case, 4 justices must agree to
do so.
Cases are appealed from the lower
federal courts or highest state
(supreme) court. A party files a
petition for a writ of certiorari,
which are screened by clerks and
reviewed by justices on the rule of
4
When justices accept a case, they
can ask for more information and
oral arguments, or decide case
based on attorneys’ briefs. Some
decisions are rendered with a per
curiam opinion.
6. Types of Opinions:
 Unanimous
 Majority opinion is the Court’s decision
 Creates a precedent for future cases (stare decisis)
 Dissenting opinion
 May be used in the future to create new precedent
 Concurring opinions are those that agree with the
majority, but add points to it
VI. The Power of the Federal Courts
• A. The Power to Make Policy:
1. By interpretation
2. By extending the reach of existing law
3. By designing remedies
Measures of power:
1. Judicial review
2. not following stare decisis (precedent)
3. Determining political questions (Baker v Carr, 1962)
4. Kinds of remedies imposed
•
A.
1.
2.
Only in the US do judges play such a large role in policy-making through
the power of judicial review: the right to determine the constitutionality
of acts of government
Two views of interpreting the Constitution:
Judicial activism: liberal constructionist philosophy that the courts
should look at underlying principles of the Constitution and should take
an active role in solving society’s problems.
Judicial restraint: strict constructionist philosophy that the courts should
follow the original intent of the Founders – should only judge and apply
those rules that are stated or clearly implied by the wording of the
Constitution. Philosophy that the courts should allow the states and the
other two branches of the federal government to solve social, economic,
and political problems.
–
–
–
•
Federal courts should act only in those situations where there are clear
constitutional questions. They should otherwise defer to elected lawmakers.
Courts should merely interpret the law rather than make law.
Suggests that courts should follow original intent of Founders: decide cases on
basis of what the Founders wanted. (Originalism)
Does NOT mean political liberals are liberal constructionists and political
conservatives are strict constructionists.
Historical Developments
1.
2.
3.
–
–
–
–
4.
5.
–
–
–
6.
20th Century (before 1937): liberals complained about the conservative Court being too
activist when it struck down reform-minded laws (minimum wage, banning child labor…)
FDR’s “court packing” attempt (1937) forced the Court to accept New Deal legislation
Now, conservatives complained about the liberal Court being too activist, especially the
Warren Court (1954-69).
Rights of the accused (Miranda v AZ, 1966)
Civil Rights (Brown v Board, 1954)
Civil Liberties (Engel v. Vitale, 1962)
Political Issues (Baker v. Carr, 1962)
The Burger Court (1969-86) was less activist than the Warren Court, but still upset
conservatives with decisions like Roe v. Wade, 1973 and UC Regents v. Bakke, 1978
Full circle: Rehnquist Court (1986-2005) was accused by liberals of being too activist when
it overturned liberal precedents:
US v. Lopez, 1995
Bush v. Gore, 2000
U.S. v. Oakland Cannabis Buyers Cooperative, 2001
Similar views about Roberts Court (2005-present): DC v. Heller, 2008
1.
2.
3.
4.
5.
6.
7.
•
•
•
•
•
•
Checks on Judicial Power
Courts can make decisions, but cannot enforce them. State and local
governments may not carry it out.
Presidential appointment of judges
Stare decisis
Existing laws
The Constitution
Public opinion
Congress:
Senate confirmation of judges
Impeachment and removal
Increasing the number of judges and courts
Passing Constitutional amendments-Court cannot strike down something as
unconstitutional if it’s in the Constitution.
Legislation
Determining jurisdiction of the courts
UNIT 5:
PUBLIC POLICY
10-20%
Policy-Making Process
A.
B.
C.
D.
E.
F.
Setting the agenda
Identifying policy problems: Publicized demands for government action
Formulating policy proposals: through political channels by policyplanning organizations, interest groups, government bureaucracies, state
legislatures, and the president and Congress.
Legitimizing public policy: actions of government officials, both elected
and appointed in all branches and at all levels. This includes executive
orders, budgets, laws and appropriations, rules and regulations, and
decisions and interpretations that have the effect of setting policy
directions.
Implementing public policy: through the activities of public bureaucracies
Evaluating public policy: by government agencies, by outside
consultants, by interest groups, by the mass media, and by the public.
Economic Policy
1.
2.
3.
4.
Deficit Spending: spending more money than gov collects
Gov must borrow to cover the deficit by selling Treasury
bonds or other forms of gov debt to Americans and
foreigners
National debt: combined amount of all deficits
Interest on the national debt: 3rd highest item in the
national budget
Economic Theories:
A. Monetarism (Milton Friedman)
1.
2.
The money supply (monetary
policy) is the most important for
determining the health of the
nation
The Fed can tighten up money
supply (through adjusting interest
rates) to reduce inflation, or it can
loosen money supply to stimulate
the economy
B. Keynesianism (John Maynard Keynes)
1.
2.
•
•
New Deal influenced by Keynes
Government could manipulate the
economic health of the economy through
its level of spending:
When demand is too low, gov spends
When demand is too high, gov should
increase taxes
C. Planning (John Kenneth Galbraith)
1.
2.
The free market is too
unpredictable to ensure
economic efficiency; thus the
gov should control it
Wage and price controls
D. Supply-side economics (Arthur
Laffer)
1.
2.
•
•
E. Reaganomics
Less government interference 1. Combination of monetarism, supply-side
and lower taxes
tax cuts, and domestic budget cutting
cuts in taxes will produce
2. Increased military strength and spending
business investment that will
compensate for the loss of tax Four major policy objectives:
(1) reduce the growth of government spending,
revenue
(2) reduce the marginal tax rates on income from
Tax rates will be lower, but
both labor and capital,
business will boom,
(3) reduce regulation,
unemployment will decline,
(4) reduce inflation by controlling the growth of
incomes will go up, and more
the money supply.
money will go to the Treasury • These major policy changes were expected to
increase saving and investment, increase
Most associated with Reagan
economic growth, balance the budget, restore
healthy financial markets, and reduce inflation
and interest rates.
Economic Policy Making
Fragmented-not under President’s full control:
A. CEA (Alan Krueger)
▫
Part of EOP
▫
Responsible for forecasting economic trends
▫
Prepares annual economic report for the president; gives him objective
economic advice
B. OMB (Director (Acting): Jeffrey Zients)
▫
Largest component of EOP
▫
Assists the president in the preparation of the federal budget
▫
Implements and enforces president’s policies across the Executive Branch
C.
Secretary of the Treasury (Jack Lew)
▫
▫
▫
Part of the president’s cabinet
Promoting economic prosperity and financial security, recommends tax changes
Advises president on economic and financial issues
D.
▫
▫
▫
▫
▫
E.
▫
▫
The Fed (Federal Reserve Board) (Bank for banks)
Board of Governors (7) appointed by President, confirmed by Senate,
14 year terms, cannot be reappointed, may not be removed for
policy decisions
Fed Reserve Chair (Bernanke) appointed by President, confirmed by
Senate, 4 year terms, can be reappointed (reconfirmed 2010)
Sets monetary policy (regulation of the money supply by the
Federal Reserve Board) by controlling the amount of money and
bank deposits and sets interest rates
Supervises and regulates banks and financial institutions
Independent regulatory commission
Congress sets nation’s fiscal policy:
Taxing and spending; budget matters
Fiscal policy is conducted by Congress and the President
The Budget
A. The Executive Branch
1.
2.
3.
Agencies prepare their estimates
of budget needs and present them
to the OMB. Amount requested is
typically based on the amount
granted the previous year
OMB reviews requests and makes
recommendations to the President
President reviews OMB
recommendations and submits
budget to Congress (February)
B. Congress
1.
2.
3.
4.
5.
CBO provides an independent analysis
of the President’s budget (a check on
OMB)
Budget committees in House and
Senate study proposal and submits a
budget resolution to its house,
Appropriations committees in both
House and Senate set spending
ceilings, House Ways and Means
considers budget’s tax proposals,
Senate Finance studies fiscal impact of
budget
Input and lobbying from agencies
Majority vote in both houses
Gov Accountability Office (GAO),
watchdog agency that ensures money
is spent as prescribed by law
C. Political Influences
D. Presidential Action
1.
2.
3.
4.
1.
Political party differences
Interest group/PAC influence
Iron triangles
Public opinion
2.
President signs or vetoes entire
spending and taxing bills (no
line item veto)
Congress can override a veto
with 2/3 vote in both houses.
Sources of Federal
Revenue
Historically: tariffs and excise taxes
•
passage of 16th Amendment in 1913
created income tax
Presently: individual income taxes
(progressive structure) make up 45% of
all federal revenue
•
Social insurance (FICA payroll taxesregressive structure): 36%
•
Corporate taxes: 12%
•
Excise taxes: 3%
•
Other: 4%
Federal Spending
1.
2.
3.
4.
5.
Federal spending is over $3tn
Transfer payments (direct benefit
payments to individuals, Social
Security, Medicare, Medicaid…):
54%
(nondiscretionary/mandatory)
National defense: 26%
(discretionary)
Net interest: 9%
(nondiscretionary/mandatory)
Nondefense discretionary: 11%
Types of Taxes (Bases and Structures)
There are 3 types of taxes in the US
1. Proportional Tax: (flat tax) the same % of tax on
everyone, regardless of income
2. Progressive Tax: (income tax) a higher % is paid by
those that make higher incomes
3. Regressive Tax: (sales tax) % of income paid in taxes
decreases as income increases
2-Types of federal spending:
1.
▫
▫
▫
▫
▫
2.
▫
▫
▫
Mandatory Spending:
2/3 of federal budget
Spending authorized by law without annual Congressional
approval, some have built in COLA
Social Security, Medicare, Medicaid, food stamps, retirement
benefits for federal workers & veterans, unemployment insurance
Entitlement Programs (“uncontrollables”):
Federal money that is
▫
1) provided to those that meet established eligibility
requirements, and
▫
2) is automatically spent each year without congressional
review
Discretionary Spending
1/3 of budget
Spending must receive annual Congressional authorization
National Defense, education, the environment, public parks,
scientific research, housing, transportation, disaster relief, student
loans, law enforcement, etc.
Reducing Spending
1.
1985 Gramm-Rudman-Hollings Act (1985)
▫
2.
3.
4.
Established maximum deficit amounts, if statutory limits went above, the President was
required to issue a sequester order to reduce all non-exempt spending to a uniform
percentage
1990: BEA replaced Gramm. Congress and Bush 41 agreed on 1) caps on
discretionary spending, and 2) a pay-as-you-go (paygo) proposal that would allow
Congress to increase spending only if that increase was offset by higher taxes and/or
cuts.
Failure of Congress to pass Balanced Budget Amendment
Reduction of deficits under Clinton and development of surpluses led to political
disputes over what to do with them. Republicans favored tax cuts, Democrats
wanted to apply them to Social Security.
Social Welfare Policy
Social Security (1935)
1.
2.
3.
•
•
•
•
•
•
Financed by FICA payroll tax 6.2% of first $113,500 of earnings; not
means tested
Demographic changes: in 1935 there were 16 people working for every
recipient; today there are just 3, by 2020 only 2. PLUS, increasing life
expectancy rates.
Proposed changes:
Increasing age from 65-67, then 70
Adopting means testing
Increase wage cap (from $113,500 [2013] to $150,000)
Reduce benefits
Privatize part of SS
Raise payroll taxes (from 6.2% to 6.7%)
Healthcare
1.
2.
•
•
•
3.
Most people have private health care paid for by insurance
Problems:
Rising costs
Uninsured (working poor and unemployed cannot afford)
Lack of flexibility and choice with HMOs
Fed gov passed Medicare (age criteria) (elderly and disabled) and Medicaid
(means tested) (poor) in 1965
•
Medicare financed by payroll tax of 1.45%(not capped), not means tested
provisions: A) hospital insurance, B) medical insurance, D) prescription-drug coverage
(passed during W’s 1st term) Ruled by SCOTUS as Constitutional in 2012
based on Congress’ power to tax.
Affordable Care Act, 2010
Some provisions:
•
Health insurance exchange operated by states
•
Tax credits for middle & low income families to subsidize costs
•
Expansion of Medicaid through states
•
Extends coverage for youth – up to 26 stay on parent’s plans
Welfare (AFDC to TANF)
• Means tested program
• Transfer program
• AFDC abolished in 1996 and replaced with TANF:
1. Funded by federal block grants and matching state funds (federalism)
2. Limited payments to no more than 5 years
3. Recipients must work within 2 years of applying
4. Required food stamp recipients to work
5. Welfare rolls declined by 60% between 1996-2004
Education Policy
1.
2.
•
•
•
•
•
▫
▫
▫
▫
federalism: largely run by state and local gov (10th Amendment) but fed gov
provides funds through categorical grants (with strings) to states
Important legislation:
Head Start: 1964, for disadvantaged preschool-aged children
ESEA, 1965: funding for disadvantaged children
Title IX, 1972: banned sex discrimination in federally funded education
programs
IDEA, 1975: makes funds available to states that adopt the minimum
policies regarding special education
NCLB, 2001: tied federal funds to criteria
Adopt subject matter standards and test all students (grade 3-8)
Identify low-performing schools based on those tests and require
improvement plans
Allow parents is such schools that do not improve to transfer
ALL students must be proficient in state standards by 2014
Social Welfare Subsidies:
Not means tested: Social Security, Medicare,
Unemployment Insurance
Means tested: TANF, Medicaid, Food Stamps,
Supplemental Security Income
Foreign Policy
A.
B.
Foreign policy powers are shared by the President and Congress.
President, though, is primarily responsible for foreign policy and has extensive
support in the executive branch:
•
Secretary of State: Cabinet official responsible for foreign policy
•
Other cabinet officials: since foreign policy affects domestic policy, Commerce,
Treasury, Defense, Agriculture also have a role
•
NSC: coordinates executive agencies that affect national security
▫
Members: President, VP, DNI, Sec State, Sec Def, CIA head, NSA, Chair Joint Chiefs,
AG
▫
NSA has emerged as key player, who sometimes has more influence than Sec
State
•
Homeland Security: coordinates anti-terrorism efforts
•
State Dept. and Foreign Service: day-to-day management of foreign policy
•
NSA: cryptology and surveillance organization
•
CIA
Constitutional (Formal) Powers
A. President
1.
2.
3.
commander-in-chief of armed
forces
Appoints ambassadors
Makes treaties
B. Congress
1.
2.
3.
How can the President assert authority?
INFORMAL powers
1.
2.
3.
Can send troops abroad
without congressional
declaration of war
Use of executive agreements
Recess appointments
4.
5.
Must authorize and appropriate funds
for forces
Appointments confirmed by Senate
(simple majority)
Must ratify treaties by 2/3
supermajority of Senate
Sole power to regulate commerce
Sole power to declare war
Generally, Congress defers to the president on
foreign policy, while Congress holds more
power to check the president’s domestic
policy agenda
Environmental Policy
•
Environmental policy is affected by federalism:
centralization/decentralization tension b/w national and state gov.
(Latter have incentive to reduce regulations for fear that businesses
will relocate to other states, while former may want a uniform policy).
•
Key issue: to what extent and cost should the environment be
protected.
•
Competing interests:
▫
Public wants a clean environment
▫
Business is concerned about cost and extent of regulation
▫
Workers are concerned that excessive regulation may lead to job
losses
Key Environmental Legislation
1.
2.
3.
4.
5.
6.
7.
NEPA (National Environmental Policy Act) of 1969: required EIRs
before major construction projects began.
Air Quality Act of 1967; Clean Air Acts (from 1960s-90s):
established emissions standards for cars and factories.
Clean Water Acts (1970s-80s)
EPA, 1970
Endangered Species Act, 1973
CAFÉ standards established in 1975: set standards for average
m.p.g. of manufacturer’s cars
Superfund, 1980: clean up toxic waste dumps
UNIT 6
CIVIL RIGHTS AND CIVIL LIBERTIES
5-15%
Civil Liberties and Civil Rights
Sources of Protection
1.
2.
3.
4.
5.
The Constitution
• No ex post facto laws or bills of attainder, habeas corpus
Bill of Rights, and subsequent amendments
– Guarantee of rights and liberties
Legislation
– Civil Rights Acts of 1964 and 1968, Voting Rights Act of 1965
Court decisions
– Brown v. Board, Roe v. Wade
State constitutions
Limits of Government
Nature of Civil Liberties:
1. Not absolute: they may be exercised so
long as they do not infringe on the
rights of others
2. Balancing test: courts balance
individual rights and liberties with
society’s need for order and stability
Federalism
1) Bill of Rights were intended as restrictions on the national
government, not the States (Barron v. Baltimore, 1833)
2) 14th Amendment modified the Constitution
• Due Process Clause means that no State can deny to any person basic
rights and liberties. This clause bans states from denying life, liberty, or
property without due process of law. Freedom of speech, for example, is a
“liberty,” therefore states cannot deny freedom of speech without due
process of law.
• Protections set out in the Bill of Rights are also covered by the 14th
Amendment and so apply against States (“process of incorporation”)
• The “selective incorporation” view would apply only some of these
provisions, and would do so on a gradual, case-by-case basis over time.
• Gitlow v. NY, 1922
3) Selective Incorporation
Subsequent cases nationalized the following parts of the BOR on a selective
incorporation basis:

Assembly (1st)

Petition (1st)

Religion (1st)

Right to bear arms (2nd) (McDonald v. Chicago, 2010)

Search and seizure protections (4th)

Self-incrimination (5th)

Double jeopardy (5th)

Right to counsel (implied by 5th – Miranda; stated in 6th)

Right to bring witnesses (6th)

Right to confront witnesses (6th)

Protection against cruel and unusual punishment (8th)
Which rights must states uphold? The Palko test (Palko v. CT, 1937) tells us
that any right that is so important that liberty would not exist without it
must be upheld by states.
All provisions of the BOR except Amendments 3, 7, and 10 as well as the
grand jury requirement of the 5th have been nationalized
4) 9th Amendment
•
•
•
•
•
•
Declares there are rights beyond those expressed in the Constitution (the
“enumerated” rights)
Examples of “other” rights protected by the 9th Amendment:
Privacy (Griswold v CT, 1965)
Travel
Freedom of Association-Boy Scouts of America v. Dale, 2000
Homosexual conduct (Lawrence v. TX, 2003: using the right of privacy, this
decision struck down a TX law that banned sodomy.
The 1st Amendment: Free Expression
Guaranteed by the 1st and 14th Amendments for spoken, written, and
other forms of communication to ensure open public debate of ideas,
especially unpopular views

Bad tendency doctrine
1.
◦
State legislatures, not the courts, should generally determine when speech
should be limited
Clear and present danger doctrine.
2.
◦
Schenck v. U.S., 1919. Case involved a man who was urging others to avoid
the draft during WWI. Upheld, however: Speech can be suppressed only if
there is an imminent threat to society (fire in a crowded theater).
Preferred position doctrine.
3.
◦
Free speech is of utmost importance and should thus occupy a “preferred
position” above other values; gov should virtually never restrict it.
Non-protected speech
1.
2.
3.
4.
5.
◦
Libel and slander (NY Times v. Sullivan, 1968)
Obscenity (Miller v. CA, 1973)
“fighting words:” speech that leads to violence
can be restricted.
Commercial speech is subjected to more
regulation than political speech
Sedition:
Smith Act, 1940: banned advocacy of overthrowing
the government (upheld: Dennis v. U.S., 1951)
SCOTUS narrowed the definition even further when it
stated that sedition was prohibited only when:
◦


There is imminent danger of an overthrow, and
People are actually urged to do something rather than
merely believe something (Yates v. U.S., 1957)
Protected Speech
Prior Restraint: Blocking speech before it is given (or published)
1.
◦
Presumed by courts to be unconstitutional
◦
In the Pentagon Papers case, the court refused to impose prior restraint:
2.
Clarity: Speech restrictions cannot be written in too vague a manner, they must
be clear to the average person
3.
Least-restrictive means: Laws cannot restrict speech if there are other means to
handle the problem.
4.
Centrality of political speech: given special protection because of its importance
in a democracy
◦
McCain-Feingold 2002 (BCRA) placed restrictions on electioneering
communications
◦
Essentially overturned by Citizens United v. FEC, 2010, which removed
restrictions on corporations and unions to give money to campaigns, “political
expression” protected by 1st and 14th A.
Symbolic speech
5.
◦
Between speech and action. Generally protected.
◦
U.S. v. O’Brien, 1968:
Texas v. Johnson, 1989 Snyder v. Phelps, 2010
◦
Tinker v. Des Moines, 1969:
U.S. v. Eichman, 1990
Freedom of the Press
1.
Right of access: Generally granted to the press
2.
“sunshine laws” require agencies to open their meetings to the public and
press
3.
Freedom of Information Act (1966) allows public access to government files.
4.
Electronic FOIA (1996) requires agencies to put files online.
5.
Executive privilege
◦
U.S. v. Nixon, 1974:
6.
Shield laws:
7.
Defamation: NY Times v. Sullivan
8.
Obscenity: Miller set 3-part test:
9.
1)
Community standards must be violated
2)
State obscenity laws must be violated
3)
Material must lack serious literary, artistic, or political value.
Student press: Hazelwood v. Kuhlmeier, 1988
Freedom of Assembly and Petition
Freedom of Petition
1.
Right to petition the gov for redress of
grievances
2.
Constitutional justification for lobbying
3.
Also provides constitutional basis for
freedom of association (2 types):

Political association (parties, interest
groups, and PACs)

Personal association (private clubs) Boy
Scouts v. Dale, 2000
1.
Limited by the Hatch Act for federal
employees
2.
Limited by restrictions on campaign
contributions, but Court struck down
limits on spending in Buckley v. Valeo
and on contributions in Citizens United v.
FEC
Freedom of Assembly
 Government may regulate the
time, place, and manner of
assemblies
 Rules must be specific,
neutral, and equitably
enforced
 Applies to public, not private,
places
Freedom of Religion
Protected by the 1st and 14th Amendments:
1. Prohibits an establishment of religion (Establishment Clause)
2. Any arbitrary interference by the government in the “free
exercise of religion” (Free Exercise Clause)
The Establishment Clause. Basic meaning:
Government may not establish an official religion.
Separation of church & state.
Equal Access Act of 1984
Release Time
– Any public school that receives
federal funds must allow student
1. Zorach v. Clauson, 1952
religious groups to meet in school
Prayers and the Bible
as other clubs
•
Engel v. Vitale, 1962
– Westside Community Schools v.
•
Abbington v. Schempp, 1963
Mergens, 1990
Aid to Parochial Schools
•
Epperson v. Arkansas, 1968
– States give aid to private schools for
•
Stone v. Graham, 1980
secular purposes
•
Wallace v. Jaffree, 1985
– Reasoning:
•
Lee v. Weisman, 1992
1. Schools enroll large numbers of
students
•
Santa Fe School District v. Doe,
2000
2. Double burden of parents
financially
3. Schools devote time to secular
subjects
(Zelman v. Simmons-Harris, 2002)
The Lemon Test
1. Court uses to determine the legitimacy of aid (Lemon v.
Kurtzman, 1971)
1.
2.
3.
Purpose must be secular
It may neither advance nor inhibit religion
It must avoid “excessive entanglement of government and
religion”
Other Establishment Clause Cases:
1.
2.
Seasonal displays cannot endorse Christian doctrine, but can include
religious objects if non-religious objects are featured
Prayer in Congress (Marsh v. Chambers)
Free Exercise Clause
1.
2.
3.
Guarantees each person the right to believe whatever they choose in
matters of religion
Does not give the right to violate laws, offend public morals, or threaten
the health, safety, or welfare of the community
Distinction between belief and action
Religious Practices that have
been restricted:
Religious practices that have
been permitted:
1. Reynolds v. U.S., 1879
2. Jacobson v. Massachusetts,
1905 (vaccination laws)
3. Welsh v. U.S., 1970 (draft)
4. U.S. v. Lee, 1982
5. Oregon v. Smith, 1990
1. West VA Board of Ed v.
Barnette, 1943
2. Wisconsin v. Yoder, 1972
3. Church of Lukumi Babalu
Aye v. Hialeah, 1993
Due Process of Law
I. Meaning of Due Process
1. 2 Clauses:
–
–
5th protects against
violations from the Federal
Government. Government
cannot deprive any person
of “life, liberty, or property,
without due process of law.”
14th protects against
violations from the States
and their local governments
2. The government must act
fairly and in accordance
with established rules.
Substantive vs. Procedural Due Process
1. Substantive DP: the
substance and content of
the laws themselves must
be fair (the “what”) Pierce
v. Society of Sisters, 1925
2. Procedural DP: the
procedures followed in
upholding the laws must
be fairly and consistently
carried out (the “how”)
Rochin v. CA, 1952
4th Amendment: Searches and Seizures
A. Police have no right to search
for or seize evidence or people
unless they have a proper
warrant obtained with
probable cause
B. Arrests (“seizures”)

Police can arrest a person in a
public place without a warrant
with probable cause to believe
the person has or is about to
commit a crime
Illinois v. Wardlow, 2000
C. Searches :
1. Automobile Exception
 Michigan v. Sitz, 1990
◦ DUI checkpoints
 California v. Acevedo, 1991
 Wyoming v. Houghton, 1999

Wiretapping: only legal if a
warrant has been issued
◦ FISA Court
◦ Patriot Act 2002
SEARCH CASES:
 Florida v. J.L., 2000
◦ Anonymous tip
 Minnesota v. Carter, 1999
◦ Evidence in plain view
 California v. Greenwood, 1988
◦ No reasonable expectation of
privacy
 Michigan v. Tyler, 1978
◦ Emergency situation

D. Exclusionary Rule
Evidence gained illegally cannot
be used against a person in
court
CASES:
 Weeks v. U.S., 1914 (Federal
Gov.)
 Mapp v. Ohio, 1961 (State
Gov.)
Exceptions:
 “Inevitable discovery” (Nix v.
Williams, 1984
 “good faith rule” (U.S. v. Leon,
1984 and Arizona v. Evans,
1995)
 “honest mistakes” (Maryland
v. Garrison, 1987)
1.
Critics claim that it lets
criminals “off the hook” on
technicalities. They ask
why society should pay for
the misconduct of a few
police officers.
5th Amendment
I. Grand Jury
• In federal cases, the
Constitution provides for a
grand jury
2. Double Jeopardy
• The 5th Amendment
guarantees against being
charged twice for the same
crime
•
The 5th also guarantees against selfincrimination
•
A person may not be forced to testify
against themselves or their spouse
The Miranda Rule states that police must
inform a person of their rights before being
questioned (Miranda v. Arizona, 1966)
•
Eminent Domain

States MAY impose limits on property rights:
◦ States may exercise police powers to
protect public health, safety, welfare, and
morals
◦ States may exercise right of eminent
domain:
 Kelo v. City of New London, 2005
The 6th Amendment
1. Speedy and Public Trial
• Right of a public trial
belongs to the defendant
3. Right to Counsel
•
2. Trial by Jury
• Guaranteed in criminal
cases (though most cases
are disposed of by plea
bargaining)
•
•
Right to be told the charges, to confront
witnesses against them, to compel
witnesses to testify, and to have assistance
of counsel
Gideon v. Wainwright, 1963
Escobedo v. Illinois, 1964
The 8th
Amendment
I. Bail and Preventative Detention
• Bail or fine must be reasonable in
relation to the seriousness of the
crime
• A person should not be jailed
until guilt is established
• 1984 Preventative Detention
Congressional Law
2. Cruel and Unusual
Punishment: Capital Punishment
•
•
•
•
•
•
•
•
Furman v. Georgia, 1972
Gregg v. Georgia, 1976
Coker v. Georgia, 1977 (crimes involving
death of victim)
Roberts v. Louisiana, 1977 (consider
mitigating circumstances)
Atkins v.Virginia, 2002
Ring v. Arizona, 2002 (only decided by jury,
not by judge)
Roper v. Simmons, 2005
Miller v. Alabama, 2011 & Jackson v. Hobbs,
2011 (are mandatory life-without-parole
sentences for all children 17 or younger
convicted of homicide
unconstitutional?)
Struggle for Equal Rights: Blacks
A.
B.
C.
D.
E.
F.
G.
Dred Scott decision, 1857, denied the right of Scott to sue-slaves were not
citizens.
Civil War Amendments: 13, 14, 15-to protect blacks against state
governments
Jim Crow laws; Plessy v. Ferguson, 1896 “separate but equal”
Barriers to de jure segregation: use of the courts-Brown v. Board, 1954
Civil disobedience in 1950s-60s, violent demonstrations 1960s
Civil Rights Act of 1964:
◦
Title II bans discrimination in places of public accommodation on the
basis of race, color, national origin, or religion. Based upon Congress’
power to regulate interstate commerce.
◦
Title VII: prohibits employment discrimination (sex & race), required
federal contractors to adopt affirmative action, enforced by EEOC
Civil Rights Act of 1968 (Fair Housing Act)
H. Voting Rights Act of 1965
15th A. banned voting discrimination, but states found ways: white
primary, poll tax, literacy tests, grandfather clause. Remedies:
1.
Banned literacy tests
2.
Allowed federal officials to register voters and ensure they could
vote, to count ballots
3.
Amendments require states to include ballots in other languages
4.
States with a history of voting discrimination must clear w/
Justice any changes in voting practices (“preclearance”)
5.
Resulted in huge increases in black turnout, black elected
officials, and voter power
Struggle for Equal Rights: Women


◦
◦
◦
◦

◦
◦

NOW, Emily’s List and other women’s groups
Legislation:
Equal Pay Act of 1963, Lilly Ledbetter Fair Pay Act of 2009
Civil Rights Act of 1964, Title VII
ERA’s failure
Title IX of Education Act of 1972
Cases: (“Reasonableness” [heightened scrutiny]Test)
Reed v. Reed, 1971
Roe v. Wade, 1973
Electoral Success: 1992-Year of the Woman: many women elected to
Congress
Equal Protection Under the Law
A.
B.
Discrimination
◦
Classification/treating groups differently usually on ethnic or racial
lines
◦
Some is inevitable (age requirements, income tax)
◦
Issue: are such differences “reasonable”
◦
14th Amendment (1868) Equal Protection Clause bans the states
from unreasonable discrimination
Court tests:
1. Rational basis test: discrimination is constitutional if it has a
reasonable relationship to a broader purpose of gov

Cannot be used if a case involves a suspect class, an almostsuspect class, or a fundamental right
2. strict scrutiny: Suspect classifications test

Suspect class: a class that has historically suffered unequal
treatment on the basis of race or national origin

Discrimination is subject to strict scrutiny: there must be a
compelling purpose for the discrimination to be constitutional
Affirmative Action
◦
◦
3.
◦
◦
◦
Strict Scrutiny cases:

UC Regents v. Bakke, 1978,

Gratz v. Bollinger, 2003,

Grutter v. Bollinger, 2003;

CA Prop 209

Fisher v. University of Texas, 2012
Racial gerrymandering banned:

Shaw v. Reno; Miller v. Johnson
Reasonableness Test (“heightened scrutiny”):
For quasi-suspect class: sex
Not quite as high as for race
Discriminatory laws must be reasonable, not arbitrary, and
bear some relation to gov. objective
4. Fundamental Rights Test
 Those which are explicitly stated in the Constitution, and implied, such as:
travel, political association, privacy
Abortion cases:
◦ Roe v. Wade, 1973: based on right to privacy implied in the Bill of
Rights (Griswold v. CT, 1965)
◦ Webster v. Reproductive Health Services, 1989
◦ Planned Parenthood v. Casey, 1992
◦ Gonzales v. Carhart, 2007
Voting:
◦ Bush v. Gore, 2000
Same-sex marriage:
◦ Nine states allow it (MA, CT, IA, VT, NH, ME, MD, NY, WA), and D.C.
◦ DOMA (1996); Obama (2011) DOJ will no longer defend (14th)
◦ Hollingsworth v. Perry, 2012
Gay rights:
◦ Lawrence v. TX, 2003
◦ Repeal of Don’t Ask, Don’t Tell
Struggle for Equal Rights-Other Groups
For Hispanics:
A. Bilingualism (Lau v. Nichols,
1974)

States must now provide
bilingual ballots for areas
with a high concentration of
non-English speakers

Immigration

Electoral politics: shift in
voting to Democrats from
2008 and 2012 (71%)
B. For Asians:
 Immigration restriction in the past
 Internment, Korematsu v. U.S.
1944
 “reverse discrimination” in college
admissions
C. Age/Disability:
 Age Discrimination in Employment
Act, 1967: bans age discrimination
for jobs unless related to
performance
 ADA, 1990: bans job and access to
facilities discrimination if
“reasonable accommodation” can
be made
Citizenship
C. Aliens
1.
Types:
A. Methods of Acquisition:

Resident
1. Birth

Nonresident

Illegal

Refugee
2.
Rights mostly the same as citizens with
some exceptions:

Suffrage, serving on juries, holding certain
jobs (teachers, police officers),
unconditionally staying in U.S
Jus soli
Jus sanguinis
2. Naturalization
B. Methods of losing:
1. Expatriation
2. Denaturalization
D. Simpson-Mazzoli Bill of 1986:
Provisions for illegal aliens:

Amnesty for those here before 1982

Fines for employers who knowingly hire
illegal workers

Certain number of aliens allowed to enter
each year as temporary farm workers