Study Guide Exam 1
Study Guide Exam 1 206
Popular in American National Government
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Popular in Political Science
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Study Guide for Test 1 Exam 1: Wednesday, September 28 Topics 1-4 55 points 60 multiple choice questions Bring a Photo I.D., gray scantron, and No. 2 Pencil Vocab words are highlighted in yellow Chapter 1: The Basics of Democracy I. Key Concepts: Politics, Government, and Popular Sovereignty 1. Politics and Government Politics: i. “who gets what, when, and how” (Harold D Lasswell) ii. “authoritative allocation of values” iii. Process of making binding decisions about who gets what or whose values everyone is going to live by Process of conflict management and resolution: natural outcome of human interaction Government: institution who has the authority to make binding decisions for all society i. Seeks to manage conflict and make authoritative decisions Government is different than other institutions because of coercion (can extend power over everyone) 2. Popular Sovereignty Sovereignty: legitimate authority in a government to wield coercive power to authoritatively allocate values Governments categorized into 3 basic forms i. Autocracy: the power to make authoritative decisions and allocate resources is vested in one person ii. Oligarchy: power vested in small amount of citizens (Example: Militia Junta, group of generals) iii. Democracy: share power with all citizens “rule by the people” Popular sovereignty: idea that the highest political authority in a democracy is the will of the people Democracy primarily about process, how the decisions are made 3. Process and Substance A. Democracy as a Process o Means of democracy: institutions/rules that organize/operate the political system- create decision-making process that is slow and inefficient o Democratic decision making demands patience, tolerance of opposing viewpoints, and willingness to compromise o Americans hate the inefficiency, gridlock, and lots of conflict o A system based on popular sovereignty tends to be more equitable and just o Characteristics include: right to vote, publicly disagree with government decision making/other citizens, petition an elected representative, sue, form an organization with policy goals, engage in political campaign, and support a political party. B. Democratic Substance o Democratic process can produce an undemocratic outcome Example: denying rights to certain citizens Central problem of a democratic system: how to ensure popular sovereignty when people want to use their ability to authoritatively allocate values to limit the rights of others 4. Core Democratic Principles A. Majority Rule o Government decisions should reflect the will of the people and citizens hold the government accountable for their actions o Seek to exercise popular sovereignty through majority rule o Majority Rule: government follows the course of action preferred by the most people o Absolute Majority: 50% plus one of all members or all eligible voters o Simple Majority: 50% plus one of those participating or of those who vote o Plurality: largest percentage of a vote when no one has a majority o Majority rule must be balanced with minority rights o Minority rights: full rights of democratic citizenship held by a group that is smaller than the majority. The fundamental democratic rights cannot be taken away- even if the majority wants too. B. Political Freedom o Ingredients for political freedom: right to criticize government leaders/policies, right to propose new course of government action, right to form and join interest groups, right to discuss political issues free from government censorship, and the right to seek and hold public office. o Political freedoms = a lot of different wants, demands, and preferences o Do not respond to will of people because they fail to listen o Guarantee of individual liberty however there are limits You cannot become a skillful thief C. Political Equality o Giving all citizens the same opportunities to influence the process of deciding who gets what o Political equality: individual preferences are given equal weight When voting, each vote should count the same Equality under the law: the law is implied impartially, without regard for the identity or status of the individual involved Social equality: people should be free of class or social barriers and discrimination o Battle over racial equality reflects different views on race and different viewpoints on governments responsibility to deal with it o Economic Equality: each individual should receive the same amount of material goods, regardless of his/her contribution to society Equal distribution of wealth o Social and economic equality tied to political equality o People with wealth/status can participate in politics more easily than those with less, the government responds to the preferences of those who participate, so government benefits those with wealth/status o Equality of opportunity: every individual has the right to develop to the fullest extent of his/her abilities D. Conflicting Values: A Delicate Balancing Act o Democracy relies on majority rule, political freedom, and political equality o Achieving all three can be difficult II. Two Basic Forms of Democracy Can take different forms depending how popular sovereignty is put into practice Always different theories about the specific procedures, ideals, and assumptions associated with a democratic society Differences can be divided into 2 categories (Direct and Representative) 1. Direct Democracy Direct democracy: ordinary citizens are the principal political decision makers First practiced in Greek city-states (Athens) Used in United States Also evident in states that allow ballot initiatives and referendums Initiative: election in which ordinary citizens circulate a petition to put a proposed law on the ball for the voters to approve Referendum: an election in which a state legislature refers a proposed law to the voters for their approval Rare because inherent problems lead to instability and poor policy decision Requires citizens to understand government and policy and without that knowledge they can be misled or manipulated Vulnerable to tyranny of the majority or mob rule 2. Representative Democracy A system of government where ordinary citizens do not make government decisions themselves but choose public officials to make decisions for them Only tiny fraction of citizens help accomplish goals Based on popular sovereignty but achieved indirectly by the people’s representatives rather than the people themselves Liberal democracy: representative democracy (US or GB) that has a concern for individual liberty. The rule of law and a constitution constrain elected representatives and the will of the majority from using their power to take away the rights of minorities Embody the 3 basic principles of democracy Developed from GB, Switzerland, and the United States Relatively new form of government You can argue that the core principles of democracy were not embedded in representative democracy until the past half-century III. Representative Systems and Core Democratic Principles 1. Elections Creates job insecurity for major officeholders Central mechanism for achieving majority rule in representative democracies 2. Political Parties An organization that puts forth candidates for public office 3. Interest Groups Aggregate the interest of like-minded people and organize to press their common views on government decision makers Vie to influence public policy IV. Representative Democracy in the United States 1. Central Beliefs of Democracy in America Popular sovereignty anchored in the core belief that people are rational and capable of deciding what is good for them No elite group is assumed to be wise enough or unselfish enough to rule in the interest of all members of society A gap always occurs between the ideals and the operation of political institutions designed to embody them 2. Fallacies Associated with Democracy in America 1 fallacy: democracy promises the best policy decisions (it does not) Makes no promise to produce the most efficient, effective, or fair policy decisions Outcome is not usually what we want but is something we can live with 2ndfallacy: belief that democracy boils down to majority rule, majority always gets what it wants The majority is limited Majority rule does not outrank political freedom or equality 3 fallacy: social conflict is caused by the institutions of representative democracy and the people who occupy them Representative institutions reflect rather than cause social conflict “representative institutions do not steal our liberties from us, but rather they are the precious medium through which we secure those liberties” (Benjamin Barber) Insure peoples conflicting views are expressed and dealt with. They do not disappear but provide an arena and a set of ground rules where they can clash Representative democracy is first about process, in how decisions are made Outcomes secondary as long as they respect the core principles V. The Challenge in American Democracy 1. Diversity and Difference Vast diversity in the background and interest of Americans Challenge is how to handle this within a democratic framework 2. Dynamics Population and geographic growth have a profound effect on politics States do not grow at the same rate (number of reps in congress is based on state population) Population is becoming more diverse ethnically and economically Latinos passed up African Americas as the largest minority group The wealthiest 5% went from receiving less than 15% to 22% of the nation’s income The poorest 20% went from 5% to less than 4% of the nation’s income Women earn about 80% of what their male counterparts earn 3. Ideology and Partisanship Ideology: consistent set of values, attitudes, and beliefs about the appropriate role of government in society Helps people figure out what they do and do not support on issues they have little knowledge on Conservatives favor status quo and want social/political change to respect the laws and traditions of society. Oppose regulating individual economic choices and support individual moral choices Liberals believe that individual liberty is the most important 40% conservative, 40% moderate, 20% liberal Partisanship: psychological attachment to a political party A quarter republican, third democrat, and the remainder do not align with either 4. False Consensus Americans believe their views are shared by the majority of others False consensus: tendency of people to believe their views are normal or represent common sense and therefore are shared by most people Challenge because if government fails to adopt their position they will believe that the democratic process is broken VI. Meeting the Challenge 1. The Case for American Democracy Pluralistic: used to describe a society in which power is widely distributed among diverse groups and interest Everyone has some political resource (vote, free speech, etc.) 2. Major Criticisms for American Democracy Not nearly as pluralistic or inclusive as its supporters claim People believe that candidates/officeholders are more interested in manipulating public attitude Significant minorities are poorly served (unrepresented) Groups do not check and balance each other as they claim to do Elitist: society in which organized, influential minority interest dominate the political process VII. Making Sense of Politics: Political Science Political science: systematic study of government, political instructions, processes, and behavior The job of the political scientist is to explain the how and why of the authoritative allocation of values Understanding who votes and why can help form a better judgement of the political system 1. The Roots of Political Science o Roots in philosophy, law, history, and economics o Plato, Aristotle, Thomas Hobbes, John Locke, James Madison, and John Stuart Mill o Normative: theories or statements that seek to prescribe how things should be valued, what should be, what is good or just, and what is better or worse o Study of politics also focused on describing/explaining institutions, processes, attitudes, and behavior as they are rather than how they should be o Niccolo Machiavelli became a champion of realist political theory an approach that seeks to objectively record politics and how understand how it works in practice rather than in theory Just began to dominate Empirical: questions and debates that can be answered by careful observation. Systematic empirical observation is the foundation of science and the scientific method 2. The Scientific Method o Science: method of acquiring knowledge through the formulation of hypotheses that can be tested through empirical observation in order to make claims about how the world works and why o 4 steps: Asking a question Formulating a testable answer to that question Getting measures and data necessary for that test Conducting that test in a specific way Research question: statement of information/knowledge being sought. A research question assumes there is no known universally correct answer and that alternative answers need to be given fair consideration Generating good questions is as important as coming up with the answers “Why do people vote the way they do?” Cleary defines objective of research and raises and important issue Thinking Analytically Hypothesis: “educated guess” testable and falsifiable, logically must be either true or false and can be empirically tested Variable: takes on different values (Example: income and political party variation differ from one person to another) Dependent Variable: something that is caused by another variable (Example: why you vote might depend on other factors) Independent variable: what we use for the explanation; movement from one value to another on the independent variable is expected to cause movement from one value to another on the dependent variable (casual relationship between variables) Operationalize: taking an abstract concept and turning it into something that is observable (Ex: civic participation, survey questions) Measurement: capturing and quantifying the values in a variable is called measurement (Ex: yardstick measures linear distance) Relationship: how the value of the dependent variable changes with a change in value of the independent variable (Ex: women vote more democratic than men) o Direct: high values of one variable are associated with high values in the other o Inverse: high values in one variable are associated with low values in another Strength of a relationship: correlation and slope determines how strong/weak a relationship is Correlation: measure of association between two variables. Ranges from -1.0 and +1.0 o -1.0 perfect inverse correlation (Independent goes up and dependent has symmetrical increase) 0 means there is no relationship o Slope of a regression line: process of estimating a relationship between 2 or more variables. Indicates how much given change in the value of x affects the value of y o Steep slope = small change in x and large change in y o Shallow slope = large change in x and smaller change in y Theories: potential explanations of how the world works People vote the way they do because they form psychological attachments to political parties at an early age Null Hypothesis: statement positing that there is no relationship between the variables being observed. It is the opposite of the research hypothesis Looking for evidence that the hypothesis is false The American Voter: people with stronger party identification rarely voted against their party and people with weak identification didn’t vote much at all 3. Thinking Analytically A. Question the question o Try and think of the question you are asking, then question the question o Don’t focus on personal preference or feelings B. Think Theoretically o Explanation of how the world works C. Question the Answer o How would I know if this question was wrong? 4. Theoretical Frameworks in Political Science Mistake to organize the subject matter around a single theoretical framework Politics has a lot of moving parts, 1 theory may explain well, unlikely to explain everything Dominant framework is rational choice theory A. Rational Choice Models of Politics o Borrow from economic theories that assume people do what they want out of self-interest o Utility: amount of enjoyment an individual receives from a given situation or outcome o People make choices based off what will satisfy them the most o An Economic Theory of Democracy: party/candidates needs to take stands on issues that will appeal to more voters Middle of the road politics B. Behavioral Models of Politics o Draw from psychology and sociology rather than economics o Michigan model is a behavioral model, we develop attachments because mom and dad did it that way o At the root is the assumption that humans behave not according to a self-interested cost-benefit calculation, but as a response to environmental stimulus o “standard social science model” because people respond in predictable ways C. Evolutionary and Biological Models o “evolutionary biology underlies all behavioral discisplines because Homo sapiens is an evolved species whose characteristics are the product of evolutionary history” (Gintis) o Humans are animals too so it makes sense to use theories that have worked in the animal world o Some of our attitude toward politics and government is partially inherited are shaped by evolutionary forces o Other research using brain imaging techniques found distinct differences In how Dem/Repub look at candidates o Liberals and conservatives react to the world differently Chapter 2: The Constitutional Framework I. The Concept of the Constitution Constitution: document or unwritten set of basic rules that provides the basic principles that determine the conduct of political affairs o Functions of the government: powers/responsibilities that reside in the public o Structure: institutions/mechanisms that constitute the framework of govt o Procedures: manner in which govt carries out powers/responsibilities Functions/structure/procedures determine type of government (dem, autocracy, etc.) Establishes a set of legal relationships between leaders and the led Heart of a nation’s political process Shapes the process by determining the rules for accessing and exercising political power II. Circumstances That Led to the Creation of the Constitution Historical: Declaration of Independence, Articles of Confederation, and various state constitutions Economic/Social that created dissatisfaction with previous forms 1. Historical Antecedents of the Constitution A. The Declaration of Independence Document written by Thomas Jefferson that lays the foundation of American constitutional theory. Jefferson justifies the struggle for independence with a republican theory of government based on the concepts of natural rights and popular sovereignty nd Established by 2 continental congress “all men are created equal” and enjoy “unalienable rights” “life, liberty, and the pursuit of happiness” Government derive their “just Powers from the Consent of the Governed” o Placed under “Organic Laws of the United States of America” the supreme court has rarely interpreted it to have binding force B. Articles of Confederation 1 constitution of US Drafted in June 1776 by committee of continental congress (before independence had been declared) Not sent to the states for approval until November 1777 Consisted of a unicameral legislature (1 house), no executive/judicial branch National government powers limited (raising army, entering into treaties/alliances, sending & receiving diplomatic representatives, interstate/foreign commerce, power to levy taxes, provide troops) C. State Constitutions as Models of Government In most states, government chosen by legislative, only 4 states has popular vote Terms of legislatives short (1 year) Allowed recall of unpopular elected officials Similarity with articles: produced weak, ineffective governments (distrust of centralized power) Focused too much on limiting national power making them too weak New York developed strong governorship free of legislative dominance Massachusetts had a popularly elected house of representatives and “aristocratic” senate, popularly elected governor 2. Economic Conditions 1781 US in a depression Small farmers/few hired laborers experienced little effect while people in commerce/finance were hit hard Domestic rivalries worsened problems Debtors used the political processes to lighten their financial obligations “stay laws” postponed due dates of promissory notes Another law allowed the debtor to declare bankruptcy, pay off his obligation at less than face value, and begin on a new slate Cheap paper money fueled inflation Those who lent money to help the revolution had not been paid back Veterans of war affected, promised compensation 3. Group Rivalries and the Movement for a Convention Those aggravated: manufacturers, merchants, ship-owners, and creditors Lawyers, doctors, newspaper editors, and so on sympathized with their clients Came together and became Federalist: supported the adoption of the Constitution and favored a stronger national government Concentrated on the cities Most large landowners who ran agricultural operations dependent on slave labor; found common cause with merchants whose futures linked in commerce Wealthier, better educated, higher status occupations George Washington, Alexander Hamilton, and James Madison Opposing the Federalist were people who did not depend on trade for a livelihood Small subsistence farmers, small businessman, artisans, mechanics, and debtors (welcomed government assistance) Anti-Federalist: opposed stronger national government than what existed under the AoC and opposed ratification of the constitution Lower class obscure individuals Richard Lee, Patrick Henry, and George Clinton Fall 1786 meeting in Annapolis, Maryland discussed problems of interstate trade and the possibility of adopting a uniform system of commercial regulations Few delegates showed up, mainly Federalist Fall 1786 Shay’s Rebellion: armed revolt by farmers in western Massachusetts who were resisting state efforts to seize their property for failure to pay taxes/debts Threat to the nation III. The Constitutional Convention February 1787 meeting in Philadelphia to revise AoC All state except Rhode Island 1. The Founders Most delegates Federalist George Washington named presiding officer and delegates bound to secrecy Anti-Feds did not show up because: Did not want to dignify the convention with their presence (Ex: Patrick Henry “smelt a rat”) Thought attendance was unnecessary because the conventions legal mandate was limited to revising the AoC James Madston came up with the Virginia Plan 1 major proposal at the Constitutional Convention, basis of Constitution Known as Father of the Constitution James Wilson and Gouverneur Morris Advocated for strong federal government with powerful executive George Washington and Benjamin Franklin advocated for ratifying the Constitution 2. Agreement, Disagreement, and Compromise at the Convention Everyone agreed on the need for a stronger national government Virginia plan was bicameral (2 house legislature) Popularly elected lower house and upper house nominated by state legislatures Representation in each based on financial contribution or population of state Supported by populist states and opposed by small states New Jersey Plan Called for 1 house legislature with equal representation for each state Favored small states Connecticut Compromsie (Great Compromise) Called for a 2 house legislature with a House of Representatives appointed on the basis of population and a senate representing each state equally N. vs S. split on slavery issue South wanted slaves counted for representation but not for the purpose of taxation Count each slave as 3/5’s of a person Barred congress from outlawing slavery until 1808 3. The limited Role of Religion Religion played little role at the convention Viewed religion as belonging to the private rather than the public sphere Primary concern to protect individuals religious beliefs from the government, not base a government on a particular set of religious principles Article VI Section 3 “no religious test should ever be required as a qualification” 4. The Ratification Campaign Ratification could be secured with approval from 9 states Elected state conventions were to be the ratifying bodies Federalist political advantages: endorsements from Washington/Franklin and had a positive program to sell Anti-federalist had negative, defensive stand If new York, Virginia, Massachusetts, or Pennsylvania failed to ratify then the union of 9 or more states would be shaky The day after the convention adjourned Pennsylvania obtained and unofficial copy of the constitution and the day after that had it posted all over the state and it caused much opposition Pennsylvania legislature almost became Anti-Fed Caused federalist to push for a ratification convention but the anti- feds bolted from the chamber denying the chance to vote Federalist had them drug back inside and bolted the doors and were able to pass it IV. Constitutional Principles Document contains set of values and goals shared by the delegates at the constitutional convention Values best articulated by James Madison- along with Hamilton and John Jay in the Federalist Papers Series of 85 political essays with the intent of persuading New Yorkers to ratify the Constitution. They remain the single best source for understanding the justifications for the political institutions and processes the constitution established Madison cherished “liberty” the most and unchecked liberty could cause problems Madison also concerned about property rights, unequal distribution of property could cause problems Madison said societies divide into factions A number of citizens, whether amounting to the majority or minority of the whole, who are united and actuated by some common impulse of passion, or of interest, adverse to the right of other citizens, or to the permeant and aggregate interest of the community Most common cause is unequal distribution of property Madisonian dilemma: problem of limiting self-interested individuals who administer stronger governmental powers from using those powers to destroy the freedoms that the government is supposed to protect Thought rich would use power to exploit the poor and the poor to plunder the rich Those attached to religion would use the power to force their beliefs on others 2 ways to avoid: Remove the cause of the faction or control the effects Only way to remove the cause of the faction was to eliminate individual differences Republican form of government: the government operates with the consent of the governed through some type of representative issue Create a government that governs with the consent of the governed Limit a tyrannical majority from using the power of the government to infringe on personal liberty Representatives make decisions on behalf of the people 1. Written Constitution 1stnoticeable feature= written document (idea that constitution could be drafter was met with contempt In England) According to Wilson, primary purpose of C. was to secure individual liberty based on natural rights GB has unwritten C. 2. Representative Government This is one of the most important republican principles Operates with the consent of the governed without establishing a direct democracy Allows deliberation and refinement of public views by passing the views through a body of citizens whose knowledge of the public good superior than general pop. Effective rule over a much larger area than direct democracy does Makes it difficult for groups with diverse interest to band together into a majority 3. Fragmentation of Power Another way to protect liberty is to divide power among a number of different institutions (no single individual has absolute power) A. Separation of Powers o Idea that each branch of government is authorized to carry out separate part of the political process o Borrowed from French political philosopher, Charles Montesquieu (said liberty is associated with the dispersal of power and tyranny with its concentration) o Legislature makes laws, executive implements them, judiciary interprets them o Checks and balances: each branch of gov’t should assert and protect its own rights but must also cooperate with the other branches. Each branch is to serve as a limit on the others powers, balancing the overall distribution of power Result: fragmentation of political power o People that serve in one branch cannot serve in another o Separation of constituency: group of people served by an elected official or branch of government President selected by electoral college Senators chosen by state legislatures Members of House popularly elected Members of national courts nominated by president/confirmed by senate B. Federalism o Regional governments share power with a central or national government, each level of government has legal powers that are independent of the other. This division of power between the national and state governments attempts to balance power by giving independent sources of authority to each and allowing one level of government to serve as a check on the other Madison says it limits the threat of a faction o American government designed to be slow, conflict riddled, and produces broken compromises 4. Mixed Government Mixed government: idea that a government should represent both property and the number of people Originally only House was popularly elected, 17 th amendment in 1913 allowed senators too House represents interest of the Common people who owned no private property Senate had smaller, more prestigious membership-more aristocratic division V. Changing the American Constitution New groups arise that are dissatisfied with existing values Constitutional change is always political 1. Formal Amendments 2 distinct stages Proposal of the amendment 2/3 vote in both Houses of Congress National convention called by congress at the request of 2/3 of the states President can neither sign or veto the amendments Ratification of the amendment ¾ of the states Ratified by votes of state legislatures or conventions held in the states (7 year deadline on ratification) Movement to add amendment requiring a balanced federal budget Use to be an absence of a deadline for ratification causing problems Congressional pay hikes in 1990s, Michigan & New Jersey approved super old proposal (27 thamendment: election to intervene before congressional pay raise takes effect) Coleman v Miller: Congress has ultimate authority to decide whether a proposed amendment has a time limit and has been properly ratified st Anti-feds primarily responsible for 1 10 amendments, concerned with political freedom and equality Civil liberties: freedoms and protections against arbitrary governmental actions given to the people in a democratic society 13/14/15: race 19/23/24/26: voting rights of women, DOC, people who live in jurisdictions where a poll tax is levied, and citizens between the ages of 18-21 17/22: political participation and suffrage rights of all voters 17: direct election of senators 22: length of presidential terms 11/12/20/28: no imprint of group influence or political philosophy. Relate to changes brought by press in historical events 12: electoral college must cast separate ballots for president and VP 20: reduces time between election and inauguration of pres and VP 16: allows federal government to levy an income tax 2. Constitutional Change through Custom and Usage Custom and usage: constitutional change that occurs when the practices and institutions of government not specifically mentioned in the constitution change over time through use and evolution (Example: political parties) 3. Executive Interpretation Contains 3 types of powers: Enumerated, Implied, and Inherent Enumerated: specifically listed in the Constitution as belonging to the national govt o Congress: Power to declare war, raise an army/navy, coin money, regulate interstate commerce o President: Power to be commander and chief of arm, make treaties with advice/consent of Senate, see that laws are faithfully executed, receive public ambassadors) Implied: belonging to the national government that are suggested in the Constitutions “necessary and proper” clause Inherent powers: not listed or implied but rather have been claimed as essential to the functioning of government or a particular office o Federal courts issue fines Executive privilege: inherent power of pres to withhold confidential communications from congress and the courts disclosure would violate separation of powers or interfere with the president’s ability to discharge the powers and duties of the executive branch 5. Legislative Interpretation Each time congress enacts legislation it must interpret the constitution 6. Judicial Interpretation Judicial review: power to review decisions of the lower courts and determine the constitutionality of laws and actions of public officials Marbury v Madison Chapter 3: Federalism I. The Concept of Federalism in Context: Confederal, Unitary, and Federal Systems Another way of classifying government is based on how sovereignty is divided between a central (national government) and regional (state) govt This identifies 3 distinct types of political systems: confederal, unitary, and federal 1. Confederation Political system in which the central government receives no direct grant of power from the people and can exercise only power granted to it by the regional governments Weak central government has power to foreign policy or issues confronting the entire collection of states National government has no power the citizens of sovereign states Right of a component government to withdraw from the larger union and a requirement that all members of union consent to any change in the division of power Example: US under AoC and United Nations 2. Unitary Government Political system in which the power is concentrated in the national government and the regional governments can exercise only those powers granted to them by the central government Central government retains the most extensive and important powers and it can take/reduce any powers it grants to lower political units Example: state government and its local governments, France, GB 3. Federalism Political system in which regional governments share power with a central/national government, but each level of government has legal powers that are independent of the other. This division of power between the national and state governments attempts to balance power by giving independent sources of authority to each and allowing one level of government to serve as a check on the other In US, neither the national or individual state is dependent on the other for political power 4 distinct features: Each level of government is granted power directly by the C. Each level possesses and exercises some powers that are legally independent of the other Both levels of government must participate in any decision to change the division of powers between them Component parts are not free to leave the union II. Why Federalism? Primary institutional feature of C. and innovative Fragmentation of power 1. Advantages of Federalism A. Dispersal of Power o State governments accountable to their own citizens o Partners with national government rather than subordinate B. Accommodation of Diverse Interests o Local interest and political priorities are respected/represented o States can respond to the wishes of their citizens C. Policy Experimentation o Variation in laws and public policy major advantage o State governments “laboratories of democracy” 2. Disadvantages of Federalism A. Factions o Smaller political units tend to be more politically, socially, and economically more alike than the larger nation they are apart of o Example: Southern whites enacting Jim Crow laws against African Americans B. Complexity and Inefficiency o Big variation in state laws C. Accountability o Variation makes it harder for the citizen to hold government accountable o Who gets the blame when something goes wrong, state or national? III. Division of Powers in the American Federal System Written C. to divide power with specific grants of authority 1. The Powers of the National Government Article 1 Section 8: powers given to congress Levy/collect taxes, borrow $, regulate interstate commerce, coin $, declare war, raise/support army Powers given to national government called enumerated powers (they make it clear that their power is limited) Elastic cause: “to make all laws which shall be necessary and proper….” Madison favored implied powers McCulloch v. Maryland: 1819 court case involving a dispute over whether the central government had the power to create a national bank Formulated by Secretary of Treasurery, Alexander Hamilton Argued it was “necessary and proper” Washington sided with Hamilton Later Supreme Court ruled that necessary meant “appropriate” (AH) Supreme court has: National government power to license the operation of boats on NY state waters (Gibbons v. Ogden 1824) Passenger vessels are considered interstate commerce no matter what Regulate what farmers can feed chickens ( Wickard v. Filburn 1942) Affects the interstate market for wheat Prohibit private acts of racial discrimination (Heart of Atlanta Motel v. United States 1964 and Katzenbach v. McClung 1964) Workers interfere with the rights of minorities to travel and engage in interstate commerce United States v. Morrison (2000) Fed government did not have power to provide civil remedy for sexual assault Hamilton and Madison disagreed on what the national government could tax and spend $ on 2. The Powers, Rights, and Obligations of State Governments A. State Powers o Receive no specific grant of powers from the C. o Fed argued that all powers not granted to national govt belonged to the states (10 amendment) o General source of political authority for states comes from their own constitutions o Police power: authority of the states to pass laws for the health, safety, and morals of their citizens o Concurrent powers: powers listed in the constitution as belonging to both the national and state governments B. States’ Rights o C. guarantees to states that government will provide: Protect from invasion/insurrection National defense Invasion of any state is invasion of US o Also says states are a republican form of government o Equal representation in senate o All states equal after admission o States have right to decide how or whether the C. is to be changed (3/4 of states must agree to any changes in C.) C. Obligation of States o Full faith and credit: provision in C. that requires states to honor the civil obligations (wills, birth certificates, and other public docs) generated by other states. States not required to recognize marriages under “full faith and credit” o Interstate rendition: obligation of states to return people accused of a crime to the state from which they fled D. Addition of New States o New states can’t be formed by dividing/combining existing states without their consent o Typical procedure for adding new states: Congress forms an incorporated territory Residents of territory petition congress for admission as a state Congress passes a resolution called an enabling act, authorizing the residents to draft a state constitution and hold a referendum to approve it. Resolution must be approved by the president When proposed state constitution is approved by majority vote of both House and signed by President, territory becomes a state Admission of Hawaii was delayed due to suspicion of Polynesian culture 3. Refereeing Power Conflicts C. makes some provisions for settling conflicts between state and federal operations “supreme law of the land” idea that the US Constitution, laws passed by congress, and treaties made by federal govt. are supreme, and state constitutions and laws are subordinate to them Constitution superior to both national and state laws, ultimate umpire in the federal system is the Supreme Court IV. The Evolution of Federalism Growth of activities at all levels of the political system Increase in expenditures because of the expanded role of the federal govt. Govt. spending at all levels has risen, proportion for federal govt. has increased but proportion for state govt. has decreased Events to Explain this: World War I and its aftermath, Great Depression and New Deal response, and the buildup and aftermath of World War II Federal govt. could better respond to Great Depression rather than state govt. because it had better resources Ratchet effect: government activity spikes in response to a crisis and disappears once crisis is finished. Never returns all the way back down though. Roads, schools, utilities, and more are built/maintained as a result of combined federal, state, and local policies 1. Dual Federalism Dual Federalism: idea that the national and state govt. are sovereign with separate and distinct jurisdictions Central govt: national defense, coining money, regulating interstate and foreign commerce States: “police power”, public safety, managing education, health, and welfare Andrew Jackson resurfaced the Anti-Federalist states’ rights platform Appointed Roger Taney as supreme court justice (author of the dual federalism doctrine) Nullification: act of declaring a national law null and void within a states’ borders South Carolina threated to succeed, Jackson threatened to use fedthal troops End of 19 century , country was in period of economic growth (Gilded Age) fueled by capitalism 2. Cooperative Federalism: Cooperative Federalism: idea that the distinction between state and national responsibilities is unclear and that the different levels of govt. share responsibilities in many areas Overlap in state/national responsibilities Great Depression Toward end of 19 century grants shifted from land to cash and came in the form of continuing appropriations Grants-in-aid: form of national subsidy to the states designed to help them pay for policies and programs that are the responsibility of states rather than the national govt. th Became more common in early 20 century Jumped from $5 million in 1912 to $34 million in 1920 Most of the funds went to education, highways, and agricultural extension programs. Congress also provided money for maternal and child healthcare Roosevelt decided to funnel the money to the state and local govt. World War II slowed grant-in-aid programs During Eisenhower admin. Grant-in-aid money increased to counter the centralization of domestic programs in Washington 1960s/70s major surge in grant-in-aid programs LBJ’s Great Society Initiative: 2 dozen programs enacted Programs concentrated on the problems of large metropolitan areas and covered a broad range of policy issues Some grants went directly to private groups, bypassing state & local govts. Federal assistance in health programs has increased dramatically State policy makers favor General revenue sharing: type of federal grant that returns money to state and local govt. with no requirements as to how it is spent Federal policy makers favor Categorical Grants: type of federal grant that provides money for a specific policy activity and details how the programs are to be carried out Block grants: type of federal grant that provides funds for a general policy area but offers state and local govts. Discretion in designing the specific programs Grant-in-aid programs produced major problems of coordination and control for all government levels Programs controlled by different groups operating under their own regulations 2 drawbacks to cooperative federalism: Expense Tendency to concentrate power in the hands of the federal govt. Grants-in-aid require matching fund, states must put of part of the money for a project which fed govt. matches Crossover sanction: conditions placed on grant money that have nothing to do with the original purpose of the grant 3. New Federalism New Federalism: movement to take power away from the federal govt. and return it to the states Term first used by President Richard Nixon in response to Great Society programs. Nixon had mixed success His main policy was revenue sharing, popular with state/local govts. First president to attempt systematic reversal of cooperative federalism was Ronald Reagan Pushed to make federalism more state-centered (ran into problems) Cutting regulations/federal grants did not cut the federal budget Shifted policy power and responsibility to the states, devolution Federal spending on grants and aid rose significantly Regan supporters realized there was advantages to federal regulation and they started to oppose the effort to turn regulatory power to the states Picked up again with Clinton Administration 1996 welfare reform law that ended Aid to families with Dependent children and allowed states to design their own welfare program Pritz v. United States: 1997: govt. could not force local law enforcement agencies to perform criminal background checks Alden v. Maine 1999: could not use federal law to sue a state in state court N.F. represented a rethinking of which govt. level should bear primarily responsibility for a policy area and which level should pay the programs Never managed to get state and federal govts. to agree on division of responsibilities Welfare went from federal to state Bad because each state would have a different welfare plan If people leave one state for another states program it good for the state they left because it reduces their welfare cost, bad for state they entered because of higher taxes Unfunded mandates: federal mandates for which the federal govt. does not pay any associated cost Bush No Child Left Behind, shifted education power for state to national Ad hoc federalism: process of adopting a state or nation centered view of federalism on the basis of political convenience New federalism stumbled because most everyone Republican Preemption: congress expressively giving national laws precedence over state and local laws Hallmark in several Bush policies No Child Left Behind Real ID Act: federal requirements on ID’s and driver license At the end, government turned away from new federalism 4. Federalism and the Future of State-Federal Relations National govt. could not move forward on key domestic issues allowing state policymakers to assert their independence States began enacting their own immigration laws, environmental policy State governments relied heavily on federal aid Reinvestment Act, sent billions to state/local Under Obama, fed. Govt. has pursued healthcare, education, and financial reforms National Federation of Independent Business v. Sebelius (upheld Obamacare) Chapter 4: Civil Liberties I. The Concept of Civil Liberties Civil liberties: freedoms and protections against arbitrary governmental actions given to the people in a democratic society Core democratic principles of political freedom: basic guarantee that individual citizens are free to make their own choices and select goals and means to achieve them Not absolute, govts impose restrictions 1. Liberty and Authority After 9/11 govt. authority took precedence over induvial liberty Patriot Act allowed government to spy on citizens Can secretly search your house and records Do we pick liberty or authority? Need the best mix of liberty and authority Govt. must enforce social order, w/o civil liberties are meaningless Democracy does not require complete social orders II. Restrictions on the Government Assumption that citizens should have as much freedom as possible 1. The Bill of Rights People concerned there was no protection of rights in constitution Became central issue raised by opponents in ratifying the constitution Absence nearly sank the constitution James Madison introduced the amendments to the House of Reps 2. Restrictions on State Violations of Civil Liberties Originally interpreted to only apply to federal govt. not state Early on made sense because states were way ahead of proving basic civil liberties (All state C. had a Bill of Rights) Barron v. Baltimore 1833: confirmed that BoR applied only to national govt. Important Question especially in the South where the denied civil liberties to African Americans Incorporation doctrine: idea that specific protections provided in the US BoR are binding on the states through the “due process” clause of 14 Amendment Gitlow v. New York 1925: ruled that freedoms of speech and th press are fundamental rights that the 14 amendment prevents states from limiting these freedoms Today: most limitations on govt. in BoR apply to the states as well District of Columbia v. Heller 2008: struck down Washington DC, ban on the possession of handguns and for the first time held that the 2 ndamendment protects and individuals right to possess a firearm for lawful purposes such as self-defense McDonald v. Chicago 2010: ruled that the 2 ndamendment right of an individual to “keep and bear arms” applies to the stats as well as federal govt. III. Freedom of Religion In reality, Puritans want to impose their religious beliefs on others Established churches did not survive the Revolutionary period Some founders wanted all churches to be state religions of equal standing supported by taxation (Madison, Jefferson, George Mason) Establishment clause: clause in the first amendment of the C. that states that government cannot establish a religion Free exercise of religion: first amendment guarantee that individuals are free to choose religious beliefs and practice them as they see fit or not to practice any religion at all Prohibition against the Establishment of Religion Everson v. Board of Education: 1947 case, court ruled for the 1 st time directly articulated the principle of separation of church and state, transportation expenditures to parochial schools did not support any religious activity but rather assisted families and were therefore allowable Separation of church and state: idea that neither national nor state govt. may pass laws that support 1 religion or all religions or give preference to one religion over others Engel v. Vitale (1962): school could not sanction prayer Abington Township v. Schempp 1963: prohibiting states from Bible reading or recitation of the Lord’s Prayer in schools Stone v. Graham 1980: ruled that posting the 10 commandments in schools was unconstitutional Court consistently rules that if a pubic authority approves anything with religious content then it is favoring a particular belief system As long as an activity for a religious school has secular purpose, congress cant support it Free Exercise of Religion Reynolds v. United States (1879): reasoned that Mormons had the right to believe that God allows men to have as many wives as possible, but Mormons had no right to implement this belief because it violated social duty and order Court ruled that Jehovah’s Witnesses had the right to pass out tracts in residential areas but within the right of individual privacy IV. Freedom of Expression General Approaches Treat this freedom as an absolute st Absolutist approach: view of the 1 amendment that states that the founders wanted it to be interpreted literally so that congress should make “no laws” about the expression of views Preferred freedom doctrine: idea that the rights provided by the 1 amendment are fundamental and as such the courts have a greater obligation to protect those rights than others Balancing test: view of freedom of expression that states the obligation to protect rights much be balanced with the impact on society of the action in question Specific Tests Difficult to balance freedom of expression with society’s need for order and authority “Clear and present danger test”: approach to determining whether an action should be protected under the 1 st amendment that considers “whether the words are used in such circumstances and are of such a nature as to create a clear and present danger that they will bring about substantive evils that congress has a right to prevent.” Scheck v. United States 1919: articulated the “clear and present danger test” Bad tendency rule: approach to determining whether an action should be protected under the First Amendment that considers whether the action would have a tendency to produce a negative consequence. (Pierce v United States) Dennis v. United States: if evil was bad enough then the bad tendency test should be employed Texas v. Johnson: 1989 case in which the Supreme Court ruled that burning the American flag was a form of expression that had constitutional protection Brandenburg v Ohio: 1969 case that upheld KKK members’ rights to controversial speech, which supported lawbreaking in the abstract, because it contained no incitement to commit “imminent or specific” crime, establishing the imminent lawless action test Imminent lawless action test: speech is protected if it contains no incitement to commit an “imminent or specific” crime. This test replaced the old “clear and present danger” test and protects a broader range of speech. Virginia v.
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