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monogan uga

Description

School: University of Georgia
Department: History
Course: American Government
Professor: Anneliese james e. monogan
Term: Fall 2016
Tags:
Cost: 50
Name: Government Test 2 Study Guide
Description: This study guide covers everything from Mr. Monogan's lectures during weeks 7 - 11.
Uploaded: 10/23/2016
37 Pages 3 Views 5 Unlocks
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Government Test 2 Study Guide  


What are the basic process of turning a bill into law?



Study Guide for Second Midterm Exam, Fall 2016  

The second midterm exam is worth 25 points towards your final grade in the class.  The test will consist of 52 multiple choice questions, each worth a half point.  (Hence, you could earn a bonus point towards your final grade, for 26 points.) The  exam will be held during our regular lecture meeting on October 26, so you will  have 50 minutes to complete the exam.  

The exam will focus on everything covered since the first exam on September 21.  Please review all lecture and discussion section notes since that date. From Maltese, Pika, and Shively’s book, you will want to review Chapters 12-15. From Bullock and  Gaddie’s book, you will want to review Chapters 5, 6, 7, and 14. Recall that  approximately 10% of the test questions will be related to Georgia politics. Also, the  exam will be split across the four units so that approximately 13 questions will come from each unit. To prepare for the exam, be sure you can complete all of the  following objectives:  


What is the best type of representation?



Week 7: Congress  

• Debate how members of Congress and the General Assembly can best represent  constituents.

• Identify voting rules and organizational structure of Congress and the General  Assembly.

• Explain the basic process of turning a bill into law.  

Week 8: The Presidency  

• Outline the major duties of the president and the governor.  

• Name the constitutional provisions associated with the offices of the president and  the governor.  

• Demonstrate why gridlock may occur between an executive and a legislature.  

• List the cases when the president and Congress must interact. Describe how these  cases contrast with unilateral presidential action.  If you want to learn more check out uccs biochemistry

Week 9: The Bureaucracy  

• Explain how historical events influenced the bureaucracy’s independence and  professionalism.  

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Government Test 2 Study Guide  


What are the types of committees?



• Describe the principal-agent problem and apply it to understanding bureaucratic  governance.  

• Explain mechanisms elected officials use to control the bureaucracy.  

• Describe how Georgia’s education policy has developed over time and how elected  officials exert control over policy administration.  

Weeks 10-11: The Judiciary  

• Describe the structure of the federal judiciary and the Georgia state judiciary, as  well as the selection process for each.  

• Describe the state and federal appeals processes, including the U.S. Supreme  Court’s process of hearing an appeal.  

• Argue whether the U.S. Supreme Court should rule by ideology or precedent. Congress: Representative Pressures (WEEK 7)

Lesson Objectives 9/26/16:

∙ Debate how members of Congress can best represent constituents  We also discuss several other topics like ncs summer guide

Constitutional Prerogatives: Powers of Congress

∙ Designed to be the most powerful branch

∙ Primary lawmaking body

∙ Article 1, Section 8, lists enumerated (or expressed) powers  o Includes the authority to tax, borrow and coin money, operate  postal service, promote science and the arts, declare war, raise  and support armies and a navy, suppress insurrections, and build a capital city.  

∙ Also lists the necessary and proper (or “elastic”) clause, where the  broadest power is found.  

o Grants Congress the authority to make laws in the national  interest We also discuss several other topics like amath 301 uw

o Where congress today claims most of its powers  

Constitutional Prerogatives: Structure  

∙ Representation through a bicameral legislature

o Compromised of the House and Senate  

 Blend of popular government and federalism  

 House vs. Senate:

∙ House is intended to represent the people, so the  

number of seats each state gets in the House are  

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Government Test 2 Study Guide  

apportioned according to the size of the population of

the state. They serve 2 year terms  

∙ Senate: there are 2 senators per state to represent  

the state regardless of size. Originally picked by state

legislatures but after the 17th amendment, they are  

elected by the people. 1/3 of the chamber goes up  

for reelection every 2 years.  

o Connecticut Compromise between large and small states  ∙ House and Senate: contrast term lengths and percentage up for  reelection  

∙ Principal-agent problem: public representation  

What is the Best Type of Representation?  

∙ How does a member determine how best to represent constituents?  ∙ Edmund Burke proposed that sometimes members act like trustees  and other times like delegates  

o Trustees are representatives who make decisions using their own judgement about what is best for their constituents  

o Delegates are representatives who listen carefully to what their  constituents want and make decisions based on feedback from  constituents  

∙ Most members try to balance these visions of representation (the  politico model) Don't forget about the age old question of The use of systematic observation in order to acquire knowledge, is what?

∙ Descriptive representation and substantive representation  Redistricting  If you want to learn more check out pls 170 msu

∙ The number of districts in each state is based on population, with each  state getting at least one.  

o The number of seats a state gets is based on its population. The  population is determined every ten years by the national census o A state can gain or lose seats if its population grows or shrinks  relative to other states  

 If a state gains or loses seats, it must redraw its district  boundaries. Even if there is not a change in the number of  seats a state is allotted, a state can still redraw its districts  

∙ The total number of districts has been fixed at 435 since 1911 ∙ Most states redraw district lines every ten years even if they don’t lose  or gain seats  

Redistricting and “One Person, One Vote”

∙ Supreme Court put restrictions on the drawing of districts in the 1960s. They concluded that all House districts must be approximately equal in population.  

o Baker v. Carr (1962)  

o Wesberry v. Sanders (1964)  

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Government Test 2 Study Guide  

o Reynolds v. Sims (1964)  

∙ Prior to the Court’s decision, some districts had more constituents than other districts

∙ Districts must adhere to “one person, one vote” standard  ∙ Forced states to draw districts with equal populations  

Gerrymandering

∙ To gerrymander is to manipulate the boundaries of (an electoral  constituency) so as to favor one party or class. If you want to learn more check out genuine assent

∙ Politics easily intrudes into the drawing of districts  

∙ By redistricting, states can manipulate representation  

o It is up to states to redistrict and therefore which part is in  control of the state’s government has the ability to manipulate  representation and power in the state

∙ Districts are frequently drawn in strange shapes to gain political  advantage  

Redistricting and Descriptive Presentation  

∙ Voting Rights Act of 1965 and the election of more minority candidates  ∙ Section 2: no dilution of minority vote (no packing or cracking)  ∙ Court scrutiny of congressional redistricting

∙ Court scrutiny of congressional redistricting

o Section 5 provision of preclearance  

o Shelby County vs. Holder (2013) and Section 4(b)  

∙ Federal examiners under section 6 (expired 2006)  

∙ Also a rise in the number of women elected, but Congress still does not demographically mirror the nation as a whole  

Partisan and Racial Redistricting

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Government Test 2 Study Guide  

Partisan Redistricting: Imagine  a rectangular state with nine  voters and three House seats. If  the district lines are drawn one  way, there is a mix of Republicans  and Democrats in each district. In  this scenario, Republicans have a  majority in each district and will  likely win all three seats. However, district boundaries could also be  drawn to give Democrats a  majority in at least one district. In  this second scenario, Democrats  

The Incumbency Advantage

Racial Gerrymandering: Imagine a  rectangular state with nine voters and  three House seats. If the district lines  are drawn one way, there is a mix of  Republicans and Democrats in each  district. In this scenario, Republicans  have a majority in each district and will  likely win all three seats. However,  district boundaries could also be drawn  to give Democrats a majority in at least  one district. In this second scenario,  Democrats would be expected to win  one of the three seats.

Right Panel: Racial Gerrymandering The same approaches have been used  to try to manipulate the voting power  and representation of minorities. In a  hypothetical state with six white voters  and three black voters, lines could be  drawn such that black voters do not  constitute a majority in any district. Or,  boundaries could be drawn to create at  least one “minority-majority” district,  where members of the minority group  constitute a majority of voters. Although this configuration may result in a black  candidate being elected from the  minority majority district, some scholars  have questioned whether this approach  ultimately improves the overall  

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Government Test 2 Study Guide  

∙ Members of Congress are reelected in very high numbers o Reelection rates are slightly lower in the Senate because  senators face challengers of higher quality (i.e., with more  experience)  

∙ What causes this advantage?

o Gerrymandering

 Gerrymandering suggests that districts were redrawn in  such a way to protect incumbents. In fact, back in the  

1960s and 1970s state legislatures controlled by  

Democrats engaged in partisan gerrymandering, putting  

many Republican voters in just a few districts. While at the  time this ensured many more “safe” Democratic districts,  the end result was the creation of several “very safe”  

Republican districts. Members from these districts are now  unlikely to face a Democratic challenger.

o Pork

 The idea that pork leads to the incumbency advantage  stems from the belief that especially since the 1960s when  congressional staffs increased in size, members have been  very good at getting things their constituents want  

(connect back to the pork-barrel model from earlier). By  

bringing benefits to the district, members are helping to  

ensure their reelection.

o Television access

 Television access increases the incumbency advantage  because it helps members of Congress get their name out  to their constituents. Even before television, many  

elections were won simply because voters recognized the  name of the incumbent on the ballot.  

Television/internet/the franking privilege all increase the  

likelihood that voters know their incumbent’s name and  

cast a vote in her favor.

o Campaign finance

 Campaign finance laws have enabled incumbents to amass large amounts of money even before officially kicking off  

their reelection bid. By establishing these large “war  

chests” potential challengers might be so fearful of losing  or not being able to raise enough money to compete that  

they self-select out of the race.

o National party efforts  

 The national parties have also improved their organizations and now do a better job of directing money to vulnerable  

incumbents.

Congress: Structure and Processes (WEEK 7) 6

Government Test 2 Study Guide  

Lesson Objectives 9/28/16:

∙ Identify voting rules and organizational structure of Congress ∙ Explain the basic process of turning a bill into a law  

Party Leaders  

∙ Party leaders solve coordination and unstable coalition problems by  enforcing party discipline  

o Party discipline is illustrated by the tendency for legislators of the same party to vote the same way on a given bill  

∙ Reed’s Rules provide procedural guidelines for party leaders  o Party leaders will often only allow legislation to get to the floor  that is liked by the party’s members

o Party whips make sure that party members are going to vote the  way the party wants them to  

∙ Party leaders are elected at the beginning of a Congress by the  members of each party:

o Speaker of the House

o Majority / Minority Leader  

o Majority / Minority Whip  

Committees

∙ Much of the detailed legislative work in Congress occurs in committees ∙ Each committee focuses on a particular area of policy (jurisdiction).  Sole purpose

∙ Allows for specialization and expertise in committees –so better public  policy

o Members want to be on committees that work in policy areas  that they know a lot about and that benefit their constituency  ∙ Also allows for self-selection for members, who may craft legislation,  find district benefits, or rise in prestige

o Members of congress request certain committee assignments  and the party (partisan model) decides who gets placed where o Loyal members are rewarded the most frequently.  

Types of Committees  

∙ Standing committees  

o Exist permanently

o Examples include the Senate Finance Committee and the House  Ways and Means Committee  

∙ Special / Select Committees  

o Formed for a specific purpose  

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Government Test 2 Study Guide  

o Ex: committee formed for the Benghazi hearings  

∙ Joint Committees

o Members of House and Senate, no legislative authority  o Because they have no legislative authority, they just frequently  issue reports about particular issues  

∙ Conference Committees  

o Members of House and Senate for resolving differences over a  bill

o The most common method of resolving these differences is the  “ping-pong” method where the bill is passes back and forth  between the chambers, resolving differences in the process  

Committee Membership

∙ Determining committee assignments is a highly political process o Party leaders determine committee assignments and therefore  more loyal members are rewarded  

∙ Chairs of committees and chairs of subcommittees are powerful o Agenda Setter: help to resolve unstable coalition issues  

The Legislative Process I

∙ Bill proposals: only legislators can introduce bills

o Often times the executive branch or interest groups will develop  ideas for legislation but a member of Congress must formally  introduce the bill to Congress

o Only members of House can propose a bill to the House of  Representatives and only a Senator can represent a bill to the  Senate

∙ Bills referred to proper committee based on jurisdiction and party goals ∙ Committee action

o Most bills not acted on in committee

o Committees may mark up bills for the floor

∙ House uses special rules to bring bills to the floor

o Open rules, closed rules, and restricted rules

∙ Senate uses unanimous consent agreements to bring bills to floor—this empowers individuals

The Legislative Process II  

∙ Floor debate: capped in House, unlimited in Senate

o Senate filibusters be stopped with a 3/5 cloture vote  

o There is little actual debate in the House/Senate floor. Most is  done beforehand the speaker is simply reading a script

∙ Roll calls in both chambers

∙ Resolving differences between House and Senate bills

∙ Enrolled bills sent to president, who faces a 10-day window to: 8

Government Test 2 Study Guide  

o Sign, veto, pocket veto, or “pocket sign” the bill

∙ House and Senate can override veto with a 2/3 vote of each chamber ∙ Separation of powers creates bias against action (“institutional  friction”)  

Senate Distinctiveness

∙ Unlimited debate is allowed (unique)  

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Government Test 2 Study Guide  

o Filibuster: when a senator holds the floor and speaks for a long  time to stall for time

o Cloture: invoked in order to end a filibuster

∙ Committees less powerful

o No germaneness rule

∙ Parties less powerful

o Individual rights trump collective action in Senate  

Other Internal Features

∙ Caucuses, staff, and research services also play a role in Congress o Caucuses are another way in which members of Congress can  organize themselves. Caucuses can be based on ideology,  economic interests, social values, demographics, etc.

 Ex: black caucus in House of Cards  

∙ Caucuses are a way for members to group themselves for business  ∙ CBO and CRS provide independent information for members  o The Congressional Budget Office (CBO) is the congressional  agency charged with reviewing congressional budgets and other  legislative initiatives with budgetary implications.

o The Congressional Research Service (CRS) provides policy and  legal analysis to committees and members of Congress.

Presidential Duties (WEEK 8)

Lesson Objectives 10/3/16

∙ Name the constitutional provisions associated with the office of the  president

∙ Outline the president’s major duties

Constitutional Bases of Presidential Power I  

∙ Election of the president is not direct

o Founders wanted the president to be elected indirectly through  the Electoral College. Representation in the Electoral College  mirrors the voting weights given to the states in Congress. Each  state has as many electoral votes to select the president as it  has senators and representatives.  

o The Electoral College is indirect because it acts as a layer  between the voters and the choice for president. A good way to  explain the Electoral College is by using election returns from the 2000 presidential election. The fact that the candidate who won  the popular vote did not win the presidency makes the  

indirectness of the electoral college quite clear. Also can be  useful to note that most states use a winner-take-all system in  awarding electoral votes. However, Nebraska and Maine  

currently award their electoral votes proportionally.

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Government Test 2 Study Guide  

∙ Part of the checks and balances system

o Checks on the president include the approval of the House to  raise money and declare war and of the Senate to make  

appointments and treaties. The president can also be impeached by Congress.  

o Executor of the laws

o Appointments to the federal judiciary  

o Perhaps the biggest “check” on the legislative branch is that the  president signs and/or vetoes laws. He is also responsible for  executing the laws.

∙ Primary role in the military and foreign policy

o The president is the commander in chief of the armed forces. The Constitution also gives the president the authority to make  treaties (though they must be ratified by the Senate) and receive ambassadors of other countries.

∙ 22nd amendment: 2 terms

Constitutional Bases of Presidential Power II

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Government Test 2 Study Guide  

Constitutional Bases of Presidential Power III

The Vice President  

∙ The constitution and the vice president  

o The Constitution allows for a vice president to take the  

president’s place should he die or be incapacitated. (Mention  Lyndon Johnson being sworn into office on the plane after  

Kennedy was assassinated.) The Constitution originally ordered  that the vice president was the person who came in second in  the election for the presidency. This meant that in our nation’s  earliest beginnings presidents and vice presidents often did not  share political parties. A great example is John Adams and  Thomas Jefferson.

∙ 12th and 25th amendments

o The twelfth amendment changed the procedure for choosing the  vice president. The vice president now runs with the president.  The amendment also says that the vice president must come  from a different state than the president. In practice, presidents  

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Government Test 2 Study Guide  

often try to find a vice president from a different region of the  country to broaden the appeal of the ticket.

∙ Duties and responsibilities today

o Little in the way of formal responsibilities  

o Assumption of the presidency

o Key advisor

o Breaks ties in the senate (has power over the senate)  

In Comparison: Executive Forms  

∙ Founders purposely chose a system different than Britain’s  o Great Britain today is a parliamentary democracy  

 the monarch has no real political power and the executive  is elected by the legislature and government is responsible  to the legislature

 A presidential system, like in the U.S., is a form of  

democracy in which the executive is elected independently and the government is not responsible to the legislature.  

The president’s power comes from the people and not from Congress.

 A mixed presidential system is a form of democracy in  

which the executive is elected independently and shares  

responsibility for the government with the legislature.

o Different veto and proposal powers  

 In some countries presidents have the sole power to  

propose laws. This is contrary to the U.S. where a president cannot propose laws, but needs a member of Congress to  

introduce legislation for him. In other countries a president  has the power to issue a partial veto, known as a line-item  veto, which strikes down specific parts of legislation passed by the legislature. The U.S. Congress approved the line

item veto in 1996 when Bill Clinton was president, but the  Supreme Court ruled that it was unconstitutional

o State governors  

 Governors in the 50 states are all elected directly by the  voters and act in some type of separation of powers  

system. The explicit powers of the governors vary from  

state to state. For example, all but six governors have a  

line-item veto and a majority of governors have sole power to propose the state’s budget.

Administrative Resources  

∙ White House staff

∙ Executive office of the President  

o An intermediate layer between the White House staff and the  federal bureaucracy

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 The White House Staff is the closest layer to the president.  The Staff organizes the president’s schedule and plots  

political, legislative, and international strategies. The staff  serves at the pleasure of the president. The Chief of Staff  

controls access to the president and is also the head of the  EOP (Executive Office of the President).

o Advises the president on policy

o Implements policy and provides congress with information o OMB (Office of Management and Budget) is part of the EOP  (Executive Office of the President)  

Individual Presidents and Scope of the Executive

∙ George Washington started the cabinet system and emphasized  implied powers

o Washington insisted that there were powers of the presidency  that were not explicit in the Constitution. While many of the  powers Washington said were inherent would not be  

controversial (such as the power to conduct diplomatic relations  with foreign countries or the “federalization” of state militias to  keep the peace), the idea that the list of executive powers in the  Constitution is not exhaustive still persists today.

∙ 19th-century presidents made the office more partisan, populist &  powerful

o Andrew Jackson served from 1829–37 and justified most of his  actions as following the people’s will. In fact, he often pitted  himself against Congress, saying that he was looking out for the  people and that the presidency was not subordinate to the  legislative branch.

o Jackson also created the spoils system. Under the spoils system,  loyal partisans who support the president during his campaign  are rewarded with jobs in the government after a successful  election. This system allowed Jackson (and other presidents for  the next 50 years) to reward loyal party members with positions  in the bureaucracy.

o Martin Van Buren won the presidency in 1836 (he was Jackson’s  vice president during his second term) and continued to use the  spoils system to build the party system. Not only did this allow  Van Buren to control the bureaucracy, but it also led to voters  feeling favorably toward the party in office. This party loyalty  among voters increased the party’s success at the polls in future  elections by mobilizing voters.

∙ Theodore Roosevelt, Woodrow Wilson & Franklin Roosevelt all  expanded the office:

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Government Test 2 Study Guide  

o Increased national power relative to the states in the economy  and the welfare state

o Increased presidential power relative to Congress in world affairs o Increased the size of bureaucracy

The Partisan Presidency

∙ The president today is seen as the head of the party in elections and in policy making

o Presidents can help members of their party get reelected at the  national and state level by helping them mobilize voters, raise  money, and create a permanent party organization.

∙ The president’s popularity shapes the party’s success in congressional  and state elections

o The president also has the ability to set the policy agenda for the national government during and immediately following the  campaign. For example, major themes in the 2008 presidential  campaign were the economy and health care. Upon winning the  presidency, Obama continued to talk about stimulating the  economy and reforming health care, which led to major shifts in  both of these policy areas.

o Divided government is considered present when the president is  from a different party than the majority in Congress. Presidents  find it much more difficult to get legislative priorities passed  under divided government.

o It is much easier for a president to get his agenda pushed  through Congress when government is unified. A unified  

government is when the president shares the same party as the  majority in Congress. Obama’s first two years in office were  during a time of unified government, leading to one of the most  productive congresses ever.

∙ The president’s initiatives shape the policy agenda for government

The Framers’ Wishes with a Unitary Executive  

∙ Respond decisively to crises (collective action)

∙ Federalists argued that the country needed a strong executive who  would respond decisively to crises (domestic and foreign) and enforce  the laws uniformly and fairly.

∙ Coordination issues:

o Enforces laws and uniformly and fairly  

o Coerce conflicting groups to cooperate  

Gridlock and Congressional Relations (WEEK 8) Lesson Objectives 10/5/16:

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Government Test 2 Study Guide  

∙ Demonstrate why gridlock may occur between an executive and a  legislature

∙ List the cases in which the president and congress must interact.  Describe how these cases contrast with unilateral presidential action.  

Presidential Vetoes

∙ This graph shows that during periods of divided government, more  vetoes are used by the president. However, the long term trend shows  that vetoes are being used less and less frequently

∙ What explains the variation in the number of vetoes a president  issues?

o Veto threats  

 Some presidents don’t have to formally veto legislation  because the mere threat of a veto is enough to convince  

congress to modify the legislation to the President’s liking   A veto threat is a public statement issued by the president  declaring that if Congress passes a particular bill that the  

president dislikes it will ultimately be vetoed

∙ This is a costly strategy for presidents, as a veto  

threat can take away some of their bargaining later.  

They’re essentially laying all their cards on the table

o Presidents are much more likely to veto legislation under divided  government  

o Partisan control of congress

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∙ Gridlock: arises when the two chambers of Congress and the president  cannot agree on new legislation

o The status quo is key to whether new laws will pass

The Spatial Model of Politics

∙ Policies can be represented

in left-right space.

∙ Where is a legislator's  

most preferred policy?

∙ Black's Median Voter  

Theorem states that a  

majority rule voting system 

will select the outcome  

most preferred by  

the median voter 

∙ If Congress passed the  

House median's  

preference:

o When would the  

president sign?

o When would the  

president veto?

∙ This gets more  

complicated when we  

remember the Senate may

have totally different  

preferences.

The Populist Presidency

∙ Presidents can “go public” and communicate directly with the  American people  

o Usually done through a public conference, radio broadcast, or  televised speech

∙ Used to mobilize voters and put pressure on Congress

o The goal of going public is to influence public opinion and  convince Americans to contact their member of Congress and  ask them to support the President’s idea

 This often thought of as “going above the heads of  

Congress”  

∙ Polling to measure public opinion

o Modern presidents also take their own private polls to measure  public opinion about their standing and their potential success  with legislative initiatives  

∙ What would the framers have thought of the notion of “going public?”  How does this affect the separation of powers system?  

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Appointments

∙ With the “advice and consent” of the Senate  

o Controversy over what this means in the Constitution:  

 Senators think it means their preferences should be  

listened to, whereas Presidents suggest it simply means  

they have to listen to the Senate before making their  

choice  

∙ Positions in executive agencies, ambassadorships, and courts o The president usually gets what he wants in top positions in  executive agencies and courts  

o Ambassadorships are often given as rewards to people who help  the president get elected  

∙ Looks for people who share philosophy  

Executive Orders, Agreements, and Signing Statements  ∙ Executive orders can be used for major policy changes. o It is an official means by which the president can instruct federal agencies on how to execute laws passed by Congress.  

o Historically they were used to implement the laws passed by  Congress.

o Avoid waiting for legislation

 Examples: Lincoln’s emancipation proclamation, FDR’s  

Japanese internment during WWII

o They can’t violate U.S. law, but congressional legislation can  overturn an executive order.  

o Courts have generally upheld the president’s right to issue them  ∙ Executive agreements to avoid the Senate  

o Executive agreements are between the U.S. and one or more  foreign countries  

 Because they aren’t a treaty, they don’t need Senate  

approval

∙ Signing statements explain how the president interprets a law  o Signing statements are written by the president and are attached to a bill to outline the president’s interpretation of the legislation. o Meant as a way to communicate to federal agencies and the  courts how the law should be interpreted.

Investigations, Impeachments, and Electoral Pressures ∙ Checks on the President

o Courts can declare actions of the president unconstitutional  o Veto override

o Presidents can be impeached

 By vote of the Senate  

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 Formally charged with “treason, bribery, or other high  

Crimes and Misdemeanors”  

o Elections and public opinion  

Administrative Resources  

∙ White house staff

o The closest layer to the president

o Organizes the president’s schedule and plots political, legislative, and international strategies  

∙ Executive Office of the President

o An intermediate layer between the White House staff and the  federal bureaucracy

o Advises the president on policy

o Implements policy and provides Congress with information o OMB is part of the EOP  

Federal Bureaucracy (WEEK 9)

Pgs. 482 – 504  

∙ Distinct features of the U.S. Bureaucracy  

∙ Hamilton vs. Jefferson

Lesson Objectives 10/10/16

∙ Explain how historical events influences the bureaucracy’s  independence and professionalism  

What is the Federal Bureaucracy?  

∙ Bureaucracy refers to the agencies that implement policy o Civilian and military bureaucracy  

o The government bureaucracy refers to the agencies and offices  devoted to carrying out the tasks of the government consistent  with the law  

∙ Bureaucrats are those who work for the government, but are not  elected 

o All bureaucrats are agents. Congress and the president are  principals. Having two principals can present problems in that  bureaucracies have competing missions. This can make it  

difficult to keep both happy and pursue coherent policies

 Ex: 2 parents as principals  

o Implement policies Congress and the president decide upon  

Structure of the Federal Bureaucracy  

∙ Cabinet department (most dependent on the President)  o Department of state, department of the interior

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∙ Independent agencies

o Part of the executive; not housed within particular department o Each has a specific mission and often exercises authority  delegated from Congress to make and enforce regulations. o Examples: Central Intelligence Agency (CIA), Environmental  Protection Agency (EPA), National Aeronautics and Space Agency  (NASA)

o A few agencies are part of the legislative branch including the  Government Accountability Office (GAO), Library of Congress,  Government Printing Office

∙ Independent regulatory commissions  

o Federal Aviation Administration  

o Special group of agencies designed to allow experts, not  politicians, to oversee and regulate a sector of the economy,  usually to protect consumers from unfair business practices, but  also to protect the businesses in that sector.

o Interstate Commerce Commission (1887); abolished by Congress  in 1995.

o Office of Personnel Management (OPM) created in 1978 o 20th century: Commissions emerge to regulate economy or other  areas of public policy.

∙ Government Corporations  

o Amtrak

o British & Dutch governments were first to establish organizations that mixed public and private sources.  

o East India Company is an example of a 17th-century “corporation” o Today, they are business enterprises wholly or partly owned by  the government that Congress created to perform a public  purpose or provide a market-oriented service, but designed to  meet their costs by generating revenues through operations. o AMTRAK, U.S. Postal Service, Federal Deposit Insurance  Corporation

∙ Hybrid Organizations  

o Quasi-governmental organizations (Smithsonian)  

o Quasi-non-governmental organizations (Red Cross)  

o Government-sponsored enterprises (Fannie Mae)  

o Federally funded research and development centers (RAND  corporation)  

o Share some of the attributes of public- and private-sector  bureaucracies.

o Example: The Smithsonian Institution

 Is government owned and financially supported, and it is  administered by employees working for the federal  

government, but has many qualities of a private  

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organization, with a governing board of regents, an  

endowment, and substantial profits.

Development of the Executive Bureaucracy: Growth in Size  ∙ Increased nationalization led to the bureaucracy’s growth o Increase in government activity produced the increase in the size of bureaucracy.

∙ Spikes in the size are correlated with reform and new programs  o Early 1900s and the economy/military

 Federal Trade Commission and Federal Reserve  

Commission were created in the early 1900s to help  

regulate the economy.

o 1930s and the New Deal

 Agencies, such as the Social Security Administration, were  created to help implement New Deal programs.

o 1960s/1970s and the Great Society

 Large expansion of the welfare state in the 1960s led to  creation of agencies such as Health and Human Services to administer these programs.

o The role of war  

 As the U.S. emerged as a superpower after World War II, a  larger military was necessary. This led to a larger  

Department of Defense and State Department.

Executive Branch Employment 21

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Development of the Executive Bureaucracy: Spoils System  ∙ To the victorious party go the spoils  

o The spoils system does not have a great reputation. It has been  viewed as corrupt and not in keeping with efficient administration of government. However, appointing loyalists to executive  positions can minimize agency loss for a president.

o Civil service reform was established to create a professional class of public servants who would not be beholden to a particular  president or party.  

∙ Jackson rewarded supporters with jobs in the bureaucracy o Patronage

∙ Led to growth, but also interfered with implementation  

Development of the Executive Bureaucracy: Civil Service  ∙ Pendleton Act of 1883  

o Made it illegal to require people to pay dues to political parties in  order to get national government jobs  

o Instituted the idea that parts of the bureaucracy are no subject  to political appointment and are classified by the skill and  education levels required  

o Most bureaucrats are civil servants

o Jobs are protected from patronage and they cannot be fired for  political reasons  

∙ Break up the role of party bosses  

Development of the Executive Bureaucracy: Modern Reforms  ∙ Bureaucracy is widely seen as inefficient  

o Bureaucrats are a popular target for politicians. People do not  like dealing with rules and regulations. Congress and presidents  often complain about “bloated” bureaucracies, but they are the  ones who create them

∙ It can be difficult to reform the bureaucracy

o Politicians support reform in principle, but avoid actual reforms   Attempts by Bush and Obama denied by Congress  

o Shrinking the bureaucracy could hurt constituents  

o Despite complaints, reform is difficult. Hard to find majorities for  alternative to current bureaucracy

o Specific cuts will affect projects and workers that certain  members of Congress care about, thus the fight to keep them  

Bureaus and the Principal-Agent Problem (WEEK 9)  Lesson Objectives 10/12/16

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∙ Describe the principle agent-problem and apply it to understand  bureaucratic governance  

∙ Explain mechanisms elected officials use to control the bureaucracy  

The Principal-Agent Problem

∙ Principals hire agents to do some task for them

o Car mechanic and car owner

o Doctor and patient  

o In all cases the principal hires an agent to preform specialized  work that the principal does not have the time or expertise to do  for him or herself

∙ Principal cannot be sure agent is acting faithfully

o Information asymmetry exists between principal and agent   Delegation to agents can increase efficiency – it would take a long time to make all of one’s own clothes, grow and  

cook all food, and sew all clothing. Yet it is difficult to know  ex ante if the agent is repairing the car properly or cooking the food to the proper temperature  

Principals and Agents in the Federal Bureaucracy  

∙ Elected officials (Congress and the President) are principals;  bureaucrats are agents  

∙ Two primary principal-agent problems in bureaucracy  

o Agencies tend to drift from their defined missions

o Conflicting motivations of bureaucrats and elected officials  Bureaucratic Drift and Coalitional Drift  

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∙ Bureaucrats have preferences that may differ from those of elected  officials. Mandates given to agencies can be vague, which allows  expert bureaucrats some flexibility to solve problems. This flexibility or  

discretion can be abused by bureaucrats who wish to substitute their  own preferences for that of elected officials  

∙ Changes in the preferences of elected officials present difficulties for  bureaucrats  

o Many do not wish to conform to the expectations of new officials. They may prefer the old way of doing things or prefer to honor  the original statute and no the newly elected officials. Civil  service employment protection makes drift less costly to  

bureaucrats  

∙ Bureaucratic drift happens when bureaucrats in the agencies  responsible for implementing government policies “drift” away from  the policy preferences of Congress or the president and implement  programs in ways closer to their own policy preferences. Coalitional  drift happens when the policy preferences of Congress or the president shift (perhaps after new politicians are elected), creating a mismatch  between the agency’s previous mandate and the priorities of its new  principals.

Motivations of Bureaucrats  

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∙ Bureaucrats want autonomy and resources

∙ Build coalitions to help bring about policy change

o They have tastes and preferences about how agencies should  operate  

∙ Possess information and expertise  

o Bureaucrats often have more expert information about  specialized policy areas than do members of Congress or the  President. This information asymmetry can help them get the  kinds of policies they prefer implemented  

Political Influences on the Bureaucracy  

∙ Presidents appoint the top positions at almost all executive branch  agencies

o Since all top positions (e.g., cabinet secretaries) are confirmed by the Senate, the president cannot always be assured his first  choice will get through the confirmation process. This is  

especially true when the Senate is controlled by a different party  than the president’s.

o More difficult to get appointments through under divided  government

 There might be tension between the president’s new  

appointee and the professional bureaucrats already  

working in the agency

∙ Congress appropriates money for the bureaucracy  

o Congress authorizes money for the bureaucracy and often does  so through a system of “incremental budgeting.” This system  leads to an understanding between Congress and the agencies  that budgets from year to year will mostly be the same with  small incremental increases. Here you can mention again how  this leads bureaucracies to become budget maximizers.

Political Oversight of the Bureaucracy  

∙ Fire-alarm oversight

o Fire-alarm oversight relies on interest groups and citizens to  inform Congress when agencies are misbehaving. Each of the  Acts listed below constitute a system of fire-alarm oversight.

 Administrative Procedures Act (APA) of 1946 established  guidelines

∙ Make all processes used to decide rules and  

regulations transparent and public.

∙ Publish regulations in a timely manner  

∙ Publish proposed regulations and allow public  

hearings

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∙ Use trial-like procedures to adjudicate disputes

∙ Report to Congress regularly on the results of  

regulations

 Freedom of Information Act of 1966 requires disclosure of  information

∙ Does not require that information vital to national  

security be released  

 Sunshine Act of 1976 requires open meetings

∙ Police-patrol oversight

o Congress routinely inspects agencies.

o Police-patrol oversight occurs when congressmen actively  monitor agencies through routine inspection.

Bureaucratic Capture  

∙ Agencies can also be influence by organizations/corporations ∙ Bureaucratic capture occurs when regulatory agencies are beholden to  the organizations or interests they are supposed to regulate. ∙ Often these are the very industries they are trying to regulate  o Bureaucracies can also spend money irresponsibly. Part of this is  institutional, as typically the next year’s budget is based on the  last one. This gives the agencies an incentive to spend all of their money (to get at least as much the next year).

∙ Agencies may care more about the industries than the principals they  work for  

o They can simply be corrupt  

Interest Groups and Bureaus  

∙ Interest groups lobby agencies

o Influence those writing administrative laws

o Complain when their interests are threatened  

∙ An iron triangle

o Includes interest groups, congressional committees, and  bureaucratic agencies e

o Relationships in the iron triangle might lead to biased regulatory  decisions  

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Bureaucrats as Lawmakers

∙ Administrative law is made within the executive bureaucracy  o Administrative law is the body of law created by executive  agencies with the purpose of refining general law passed in  legislation

o Laws are often more-vague under unified government because  Congress and the executive are on the same page  

∙ Regulations are reviewed by the Office of Management and Budget  (OMB)  

∙ Chevron v. Natural Resources Defense Council (1984)  

o Established legal standard for upholding an agency’s authority to write law in a specific area  

o The court ruled that agency had broad discretion to set  standards when the statute in question was vague  

The Structure of the Federal Judiciary  

Lesson Objectives 10/17/16

∙ Describe the structure of the federal judiciary and the appointment  process

Constitutional Basis

∙ Article III establishes supreme court  

o It’s quite short for an article

o Leaves more of federal judicial systems to be set up by Congress  27

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∙ Checked by Congress and the president  

o President appoints

o Senate gives “advice and consent”  

 Confirmation

 Senatorial courtesy  

o Congress funds the courts  

Federal Court Structure  

∙ Judiciary Act of 1789 created lower courts  

o The Constitution only created the Supreme Court, but it granted  congress the power to establish lower courts. Congress did  exactly this in the Judiciary Act of 1789

o District courts are the lowest level

o Circuit courts of appeal above them leading to the Supreme  Court  

 All cases that reach this point can originate in either state  or federal courts  

 Supreme Court can overrule other decisions made by lower courts  

o There are two special courts with national jurisdiction: the US  court of Federal Claims deals with civil cases in which the  

national government is a party. The US court of International  Trade deals with cases involving matters of trade and customs  o Amendments expanded this structure  

 94 federal district courts  

 Organized into 13 circuits  

 Each circuit has a court of appeal

Boundaries of US Courts of Appeals and US District Courts  28

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∙ Note that the number of judges in a district or court of appeals varies  

Establishing Judicial Power  

∙ Little in the Constitution regarding judicial checks on other branches o Closest clause: Article III, Section 2 extends judicial power to all  cases “arising under this Constitution”  

 Very little is explicitly written about the courts in Article III  ∙ Power established over time

o The federal courts’ greatest powers (judicial review and  supremacy) were established over time

 Judicial review is the power to determine if a law or an act  of government conforms to the Constitution  

o Judicial review suggested by Hamilton in Federalist 78

o Supremacy of federal courts  

Marbury v. Madison (1803)  

∙ Summary of the case 

∙ Judiciary Act of 1789 also allowed federal officials to ask a court for a  writ of mandamus

o “Mandamus ("We command") is a judicial remedy in the form of  an order from a superior court, to any government subordinate  court, corporation, or public authority—to do (or forbear from  doing) some specific act which that body is obliged under law to  do (or refrain from doing)—and which is in the nature of public  duty, and in certain cases one of a statutory duty. It cannot be  

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issued to compel an authority to do something against statutory  provision.”

∙ Midnight appointments  

∙ Court in a vulnerable position  

o A ruling for Marbury would likely be ignored

o A ruling against Marbury would confirm subordinate status  ∙ Clever opinion written by Marshall established the procedure of judicial review

∙ Jefferson (a Democratic-Republican) had called the judiciary (which was now filled with Federalists thanks to John Adams) a “hospital of  decayed politicians” and had asked Congress to repeal the Judiciary  Act.

∙ In Marshall’s decision he called out the Democratic-Republicans for not  giving Marbury his commission and violating the legal rights of  appointees while also ruling that the Supreme Court did not have the  authority to settle the matter. According to the Constitution, the  Judiciary Act’s provision that the Supreme Court had original  jurisdiction to settle the matter was unconstitutional.

∙ Marshall’s decision was politically brilliant. He claimed a major power  for the court—judicial review—while issuing a decision that pleased  both President Jefferson and the majority in Congress.

Politics of Judicial Appointments  

∙ Appointments have become more contentious and confirmations have  slowed down

o Use Robert Bork’s nomination as an example. Nominated by  Reagan for the Supreme Court. There was heated debate in the  Senate (use Senator Ted Kennedy’s speech on the Senate floor as an example) and strong resistance from interest groups. The final vote in the Senate was 58 against and 42 for.

∙ The more ideological the nominee, the more contentious ∙ Judicial appointments area way for presidents to leave a legacy  

Supremacy of Federal Courts and Federal Law

∙ Marshall also asserted federal court supremacy over state law and  courts  

o Article VI says the laws of the US and the Constitution are the  “supreme law of the land” (supremacy clause)  

o McCulloch v. Maryland (1813)  

 A state cannot tax the national bank

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 The SC ruled that the Constitution allows Congress the  

authority to establish a bank in Maryland and protects the  bank from being taxed by the state  

o Gibbons v. Ogden (1824)  

 Congress can regulate interstate commerce  

 The SC struck down a New York monopoly over steamboat  ferry services and ruled that other steamboat ferry  

companies in New Jersey licensed by Congress could not  

be prevented from competing with companies licensed in  

New York  

∙ Supreme Court as “Court of Last Resort”:  

o Resolves conflicts between the states and national government,  different branches, and parties or candidates  

State Courts and the Electoral Connection

∙ Separate hierarchy from federal courts

o States have their own hierarchy of courts with the court of last  resort (usually a state supreme court) above the others

o At the bottom of the pyramid are trial courts and in the middle  are state appellate courts  

∙ Many states elect judges and prosecutors  

o Georgia elects judges in nonpartisan elections  

Judicial Decision Making (WEEKS 10-11)

Lesson Objectives 10/19/16

∙ Describe the appeals process, including the Supreme Court’s process  of hearing an appeal

∙ Argue whether the Supreme Court should rule by ideology or precedent

The Appeals Procedure in the State and Federal Systems  ∙ When courts have original jurisdiction, it means that the case starts  and ends there

∙ When courts have appellate jurisdiction it means that the cases are  brought there on appeal by either the plaintiff or the defendant after  

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being decided in a lower-level court

The Path of a Supreme Court Case

∙ Deciding what cases to hear  

o The “rule of four” and writ of certiorari  

 The “rule of four” simply means that for the Supreme Court

to take a case, four of the nine justices must want to hear  

it

∙ One of the only places in American democracy that  

we have an institution that favors the minority  

 A writ of certiorari is an order by the Supreme Court  

directing an inferior court to deliver the records of a case  

to be reviewed, which effectively means the justices of the  

Court have decided to hear the case  

o The Supreme Court only hears cases for which it has jurisdiction.  This includes all cases involving federal law, cases between  

states, and cases that deal with clear federal constitutional  

issues  

o Court receives about 8,000 petitions a year and takes fewer than 80 cases  

o The justices decide which cases they hear  

∙ Often pick cases where lower court decisions are at odds

∙ Lower court ruling stands if the Supreme Court doesn’t take the case  ∙ Once a case is granted “cert”, the two sides submit briefs

o Others also submit briefs as amicus curiae  

 Amicus curiae (“friend of the court”) means anyone can  

submit a brief as a friend of the court. These briefs provide  

their opinions on how the case should be decided  

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∙ They can come from interest groups, government  

departments, legislators, citizens.  

∙ Oral arguments allow each side to make its case before the Court o Allow each side 30 minutes to present its case to the justices  o If the US government is a party in the case, the solicitor general  represents the US  

∙ Justices meet in a private conference  

o Discuss case and opinion writing after oral arguments are all  heard (can take months)  

o Justices discuss the briefs and the arguments. This is where they  will decide how they want to decide the case and who will write  the opinion  

∙ Final result: majority opinion, dissenting opinion, and concurring  opinion  

o If the chief justice is in the majority, he or she gets to assign the  opinion writing to herself or himself or to an associate justice of  the majority  

o If the chief justice is not in the majority, the senior justice in the  majority gets to assign the opinion  

o Any justice in the majority can write a concurring opinion, which  agrees with the decision of the majority but offers alternate legal  reasoning  

o Any justice in the minority can write a dissenting opinion in  opposition to the majority  

Common Law and Legal Precedent  

∙ The US operates largely under a common law system

o A civil law system is one in which authoritative documents  determine how the law is to be interpreted. Under this system,  legal codes and statutes (and not judges) inform future decisions

o A common law system is one in which the judiciary has the  authority to determine how the law is to be interpreted. Under  this system, legal precedent established by judges informs future decisions  

o Higher-level courts set legal precedents

o Stare decisis  

 “to stand by the things that have been settled”

o Overturning of precedent  

 Two examples of the SC overturning its own precedent are  Betts v. Brady (1942), which was overturned by Gideon v.  

Wainright (1962) and Bowers v. Hardwick (1986), which  

was overturned by Lawrence v. Texas (2003)

∙ Gideon v. Wainright overturned a precedent that said

state level court did not have to pay a lawyer to  

represent poor defendants  

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∙ Lawrence v. Texas overturned a precedent that said  

that state laws banning sodomy between consenting  

adults was constitutional  

o Common law is also used in Britain  

∙ Many other countries have a civil law system  

Supreme Court Justices’ Ideology  

∙ Legal model: a model of judicial decision making that assumes judges  will decide cases according to the law

∙ Attitudinal model: a model of judicial decision making that assumes  judges will decide cases according to their ideological preferences (or  attitudes)

∙ Strategic model: a model of judicial decision making that assumes  judges are rational actors who will strategically try to get as close to  their preferences as possible by building winning coalitions  

Restraint vs. Activism

∙ Judges are often uncomfortable stepping into the political arena. Even  if judges know that their actions affect public policy, they do not like to  consider themselves a part of the political process. They insist they do  not make public policy.

∙ Strict constructivism is the legal philosophy that judges should use the  intentions of those writing the law or the Constitution as guides for how to interpret the law. These judges are said to exercise judicial restraint  and not enter into the policy-making process

∙ Categorizes judges based on their philosophical approach to the law o Judicial restraint: deference to other branches

o Judicial activism: scrutinize other branches

 When judicial rulings go beyond interpreting the law in  order to promote a judge’s personal or political agenda.  

The implication is that these judges intrude in the process  of policy making.

∙ Judiciary is the least political branch, but is still deeply political o Today activism can be seen by both liberal and conservative  justices  

Minority Rights vs. Majority Rule

∙ Minority groups historically have turned to the courts to help overturn  discriminatory laws

o Fighting of Jim Crow in the south  

o Courts can protect minorities. They can define which rights and  liberties need to be protected, the conditions under which they  should be protected, and how to trade off rights and liberties  against each other  

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∙ Courts can protect rights and liberties

∙ Often courts follow public opinion

When studying, use these objectives as your guide. Here are a few examples  of questions from past semesters’ exams and the objectives, they are based  on:  

1. Representative Jones is about to vote on a bill banning nuclear weapon  tests off our waters. Rep. Jones personally believes in the ban. However, polls from his district in addition to many calls from passionate constituents show  that his district is heavily against the ban. Therefore, Rep. Jones feels it is his  duty to vote against the bill. He is acting like a ______

(a) Corrupt politician.  

(b) Trustee.

 (c) Delegate.  

(d) Strict conservative.

 (e) Federalist.  

Answer: (c).Objective: Debate how members of Congress and the General  Assembly can best represent constituents.  

2. Which is an agreement between the United States and one or more foreign  countries concluded solely with presidential approval?

(a) Treaty.

(b) International law.  

(c) Executive agreement.  

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(d) Administrative law.  

(e) International accord.  

Answer: (c).Objective: List the cases when the president and Congress must  interact. Describe how these cases contrast with unilateral presidential  action.  

3. In Georgia, the Governor appoints the members of the to oversee  education policy for K-12 public schools in the State of Georgia.  

(a) State Board of Education.

 (b) Secretary of State.

(c) Board of Governors.

(d) House Education Committee.

(e) Senate Education Committee.  

Answer: (a).Objective: Describe how Georgia’s education policy has  developed over time and how elected officials exert control over policy  administration.  

4. Which is an opinion written by a member of the Supreme Court offering legal reasons why the Court’s majority erred in its resolution of a case?  

(a) Majority opinion.  

(b) Dissenting opinion.  

(c) Concurring opinion.  

(d) Advisory opinion.  

(e) Ancillary opinion.  

Answer: (b).Objective: Describe the state and federal appeals processes,  including the U.S. Supreme Court’s process of hearing an appeal.  

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