An Introduction to American Politics

An Introduction to American Politics

We the People

121212 edition

ESSENTIALS

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★ BENJAMIN GINSBERG THE JOHNS HOPKINS UNIVERSITY

★ THEODORE J. LOWI LATE OF CORNELL UNIVERSITY

★ MARGARET WEIR BROWN UNIVERSITY

★ CAROLINE J. TOLBERT UNIVERSITY OF LOWA

★ ANDREA L. CAMPBELL MASSACHUSETTS INSTITUTE OF TECHNOLOGY

★ ROBERT J. SPITZER SUNY CORTLAND

An Introduction to American Politics

We the People

n W. W. NORTON & COMPANY NEW YORK LONDON

121212 edition

ESSENTIALS

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W. W. Norton & Company has been independent since its founding in 1923, when William Warder Norton and Mary D. Herter Norton first published lectures delivered at the People’s Institute, the adult education division of New York City’s Cooper Union. The firm soon expanded its program beyond the Institute, publishing books by celebrated academics from America and abroad. By mid-century, the two major pillars of Norton’s publishing program—trade books and college texts—were firmly established. In the 1950s, the Norton family transferred control of the company to its employees, and today—with a staff of four hundred and a com- parable number of trade, college, and professional titles published each year—W. W. Norton & Company stands as the largest and oldest publishing house owned wholly by its employees.

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Permission to use copyrighted material is included in the cr edits section of this book, which begins on page A83.

The Library of Congress has cataloged the full edition as follows:

Library of Congress Cataloging-in-Publication Data Names: Ginsberg, Benjamin, author. Title: We the people : an introduction to American politics / Benjamin Ginsberg, The Johns Hopkins University, Theodore J. Lowi, Cornell University, Margaret Weir, Brown University, Caroline J. Tolbert, University of Iowa, Andrea L. Campbell, Massachusetts Institute of Technology. Description: Twelfth Edition. | New York : W.W. Norton & Company, [2018] | Includes bibliographical references and index. Identifiers: LCCN 2018046033 | ISBN 9780393644326 (hardcover) Subjects: LCSH: United States–Politics and government–Textbooks. Classification: LCC JK276 .G55 2018 | DDC 320.473–dc23 L C r ecord av ailable at https://lccn.loc. gov/2018046033

ISBN 978-0-393-66464-5

W. W. Norton & Company, Inc., 500 Fifth Avenue, New York, NY 10110 wwnorton.com

W. W. Norton & Company Ltd., 15 Carlisle Street, London W1D 3BS

1 2 3 4 5 6 7 8 9 0

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To: Teresa Spitzer Sandy, Cindy, and Alex Ginsberg David, Jackie, Eveline, and Ed Dowling Dave, Marcella, Logan, and Kennah Campbell

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ix

Preface xxi Acknowledgments xxiii

PART I FOUNDATIONS

1 ★ Introduction: The Citizen and Government 2

Government 5 Different Forms of Government Are Defined by Power

and Freedom 5 Limits on Governments Encouraged Freedom 6 Expansion of Participation in America Changed the

Political Balance 7 The Goal of Politics Is Having a Say in What Happens 7

Citizenship Is Based on Political Knowledge and Participation 8

Political Efficacy Means People Can Make a Difference 9

The Identity of Americans Has Changed over Time 10 Immigration and Increasing Ethnic Diversity Have

Long Caused Intense Debate 10 Who Are Americans Today? 12

America Is Built on the Ideas of Liberty, Equality, and Democracy 16 Liberty Means Freedom 16

AMERICA SIDE BY SIDE Global Diversity 17

Equality Means Treating People Fairly 18 Democracy Means That What the People Want Matters 19

Government Affects Our Lives Every Day 20 Trust in Government Has Declined 21

American Political Culture: What Do We Want? 23 WHO PARTICIPATES? Who Voted in 2016? 25

Key Terms 28 For Further Reading 29

Contents

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2 ★ The Founding and the Constitution 30

The First Founding: Ideals, Interests, and Conflicts 33 Narrow Interests and Political Conflicts Shaped the First

Founding 34 British Taxes Hurt Colonial Economic Interests 34 Political Strife Radicalized the Colonists 35 The Declaration of Independence Explained Why the Colonists

Wanted to Break with Great Britain 36 The Articles of Confederation Created America’s First National

Government 37

The Failure of the Articles of Confederation Made the “Second Founding” Necessary 38

The Annapolis Convention Was Key to Calling a National Convention 39

Shays’s Rebellion Showed How Weak the Government Was 39 The Constitutional Convention Didn’t Start Out to Write

a New Constitution 40

The Constitution Created Both Bold Powers and Sharp Limits on Power 43

The Legislative Branch Was Designed to Be the Most Powerful 44 The Executive Branch Created a Brand New Office 46 The Judicial Branch Was a Check on Too Much Democracy 47 National Unity and Power Set the New Constitution Apart

from the Old Articles 48 The Constitution Establishes the Process for Amendment 48 The Constitution Sets Forth Rules for Its Own Ratification 48 The Constitution Limits the National Government’s Power 48

Ratification of the Constitution Was Difficult 51 Federalists and Antifederalists Fought Bitterly over the Wisdom

of the New Constitution 52

AMERICA SIDE BY SIDE Comparing Systems of Government 55

Both Federalists and Antifederalists Contributed to the Success of the New System 56

Changing the Constitution 56 Amendments: Many Are Called; Few Are Chosen 56 The Amendment Process Reflects “Higher Law” 57

The Constitution: What Do We Want? 60 WHO PARTICIPATES? Who Gained the Right to Vote through

Amendments? 61

Key Terms 64 For Further Reading 65

CONTENTS

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3 ★ Federalism 66

Federalism Shapes American Politics 69 Federalism Comes from the Constitution 69

The Definition of Federalism Has Changed Radically over Time 73

Federalism under the “Traditional System” Gave Most Powers to the States 73

The Supreme Court Paved the Way for the End of the Early Federal System 75

FDR’s New Deal Remade the Government 77 Changing Court Interpretations of Federalism Helped the

New Deal While Preserving States’ Rights 78 Cooperative Federalism Pushes States to Achieve

National Goals 80 National Standards Have Been Advanced through

Federal Programs 81

AMERICA SIDE BY SIDE Cooperative Federalism: Competition or a Check on Power? 83

New Federalism Means More State Control 85 There Is No Simple Answer to Finding the Right National–State Balance 86

Federalism: What Do We Want? 90 WHO PARTICIPATES? Who Participates in State and Local Politics? 91

Key Terms 94 For Further Reading 95

4 ★ Civil Liberties and Civil Rights 96

The Origin of the Bill of Rights Lies in Those Who Opposed the Constitution 99

The Fourteenth Amendment Nationalized the Bill of Rights through Incorporation 101

The First Amendment Guarantees Freedom of Religion, Speech, and the Press 103

Freedom of Religion 103 The First Amendment and Freedom of Speech and of the

Press Ensure the Free Exchange of Ideas 105 Political Speech Is Consistently Protected 106 Symbolic Speech, Speech Plus, Assembly, and Petition Are Highly Protected 106 Freedom of the Press Is Broad 108 Some Speech Has Only Limited Protection 109

The Second Amendment Now Protects an Individual’s Right to Own a Gun 112

Rights of the Criminally Accused Are Based on Due Process of Law 113 The Fourth Amendment Protects against Unlawful Searches and Seizures 114 The Fifth Amendment Covers Court-Related Rights 115

CONTENTS

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The Sixth Amendment’s Right to Counsel Is Crucial for a Fair Trial 117

The Eighth Amendment Bars Cruel and Unusual Punishment 118

The Right to Privacy Means the Right to Be Left Alone 119

Civil Rights Are Protections by the Government 120 Plessy v. Ferguson Established “Separate but Equal” 121 Lawsuits to Fight for Equality Came after World War II 122 The Civil Rights Struggle Escalated after Brown v. Board

of Education 123 The Civil Rights Acts Made Equal Protection a Reality 125 Affirmative Action Attempts to Right Past Wrongs 128

The Civil Rights Struggle Was Extended to Other Disadvantaged Groups 130

Americans Have Fought Gender Discrimination 130 Latinos and Asian Americans Fight for Rights 132 Native Americans Have Sovereignty but Still Lack Rights 134

AMERICA SIDE BY SIDE Civil Liberties around the World 135

Disabled Americans Won a Great Victory in 1990 136 LGBTQ Americans 136

Civil Liberties and Civil Rights: What Do We Want? 137 WHO PARTICIPATES? Religious Affiliation and Freedom of Religion 139

Key Terms 142 For Further Reading 143

PART II POLITICS

5 ★ Public Opinion 144

Public Opinion Represents Attitudes about Politics 147 Americans Share Common Political Values 148 America’s Dominant Political Ideologies Are Liberalism

and Conservatism 149 Americans Exhibit Low Trust in Government 152

Political Socialization Shapes Public Opinion 152

Political Knowledge Is Important in Shaping Public Opinion 157

The Media and Government Mold Opinion 160 The Government Leads Public Opinion 160 Private Groups Also Shape Public Opinion 161 The News Media’s Message Affects Public Opinion 161 Government Policies Also Respond to Public Opinion 162

CONTENTS

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Measuring Public Opinion Is Crucial to Understanding What It Is 163 Public-Opinion Surveys Are Accurate If Done Properly 163

AMERICA SIDE BY SIDE Confidence in Democratic Institutions 164

Why Are Some Polls Wrong? 166

Public Opinion: What Do We Want? 169 WHO PARTICIPATES? Who Expresses Their Political Opinions? 171

Key Terms 174 For Further Reading 175

6 ★ The Media 176

Media Have Always Mattered in a Democracy 179 Journalists Are News-Gathering Professionals 179 The Profit Motive Drives the News Business 180 More Media Outlets Are Owned by Fewer

Companies 180

The Media Today 182 Newspapers Still Set the Standard for News

Reporting 183 Broadcast Media Are Still Popular 184 Radio Has Adapted to Modern Habits 185 Digital Media Have Transformed Media Habits 186 Citizen Journalism Gives People News Power 189 Concerns about Online News 190

The Media Affect Power Relations in American Politics 191 The Media Influence Public Opinion through Agenda-Setting,

Framing, and Priming 191 Leaked Information Can Come from Government Officials

or Independent Sources 193 Adversarial Journalism Has Risen in Recent Years 194 Broadcast Media Are Regulated but Not Print Media 194

AMERICA SIDE BY SIDE The Internet and Global Democracy 196

The Media: What Do We Want? 197 WHO PARTICIPATES? Civic Engagement in the Digital Age 199

Key Terms 202 For Further Reading 203

CONTENTS

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7 ★ Political Parties, Participation, and Elections 204

Parties and Elections Have Been Vital to American Politics and Government 207

Political Parties Arose from the Electoral Process 207 Parties Recruit Candidates 208 Parties Organize Nominations 208 Parties Help Get Out the Vote 209 Parties Organize Power in Congress 210

America Is One of the Few Nations with a Two-Party System 210 Parties Have Internal Disagreements 217 Electoral Realignments Define Party Systems in American

History 217 American Third Parties Sometimes Change the Major Parties

and Election Outcomes 218 Group Affiliations Are Based on Voters’ Psychological Ties

to One of the Parties 220

Political Participation Takes Both Traditional and Digital Forms 220

Voting Is the Most Important Form of Traditional Participation 220 Digital Political Participation Is Surging 221 Voter Turnout in America Is Low 223 Why Do People Vote? 224

AMERICA SIDE BY SIDE Voter Turnout in Comparison 226

Voters Decide Based on Party, Issues, and Candidate 227 Party Loyalty Is Important 227 Issues Can Shape an Election 228 Candidate Characteristics Are More Important in the Media

Age 229

The Electoral Process Has Many Levels and Rules 229 The Electoral College Still Organizes Presidential Elections 231

The 2016 and 2018 Elections 232 The 2016 Elections 232 Understanding the 2016 Results 233 The 2018 Election: A Blue Wave Meets a Red Wall 235 The 2018 Election and America’s Future 236

Money Is Critical to Campaigns 237 Campaign Funds Come from Direct Appeals, the Rich, PACs, and

Parties 237

Political Parties, Elections, and Participation: What Do We Want? 240

WHO PARTICIPATES? Who Participated in the 2016 Presidential Election? 241

Key Terms 244 For Further Reading 245

CONTENTS

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8 ★ Interest Groups 246

Interest Groups Form to Advocate for Different Interests 249

What Interests Are Represented? 250

AMERICA SIDE BY SIDE Civil Society around the World 252

Some Interests Are Not Represented 253 Group Membership Has an Upper-Class Bias 253

The Organizational Components of Groups Include Money, Offices, and Members 254

The Internet Has Changed the Way Interest Groups Foster Participation 257

The Number of Groups Has Increased in Recent Decades 258 The Expansion of Government Has Spurred the Growth of Groups 259 Public Interest Groups Grew in the 1960s and ’70s 259

Interest Groups Use Different Strategies to Gain Influence 259 Direct Lobbying Combines Education, Persuasion, and Pressure 261 Cultivating Access Means Getting the Attention of Decision Makers 262 Using the Courts (Litigation) Can Be Highly Effective 263 Mobilizing Public Opinion Brings Wider Attention to an Issue 264 Groups Often Use Electoral Politics 266

Groups and Interests: What Do We Want? 267 WHO PARTICIPATES? How Much Do Major Groups Spend? 269

Key Terms 272 For Further Reading 273

PART III INSTITUTIONS

9 ★ Congress 274

Congress Represents the American People 277 The House and Senate Offer Differences

in Representation 277 Representation Can Be Sociological or Agency 278 The Electoral Connection Hinges on Incumbency 281 Direct Patronage Means Bringing Home the Bacon 286

The Organization of Congress Is Shaped by Party 288 Party Leadership in the House and the Senate Organizes Power 289 The Committee System Is the Core of Congress 289 The Staff System Is the Power behind the Power 291

CONTENTS

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AMERICA SIDE BY SIDE Women’s Parliamentary Representation Worldwide 292

Rules of Lawmaking Explain How a Bill Becomes a Law 293 The First Step Is Committee Deliberation 293 Debate Is Less Restricted in the Senate Than in the House 295 Conference Committees Reconcile House and Senate Versions

of Legislation 296 The President’s Veto Controls the Flow of Legislation 297

Several Factors Influence How Congress Decides 297 Constituents Matter 297 Interest Groups Influence Constituents and Congress 298 Party Leaders Rely on Party Discipline 299 Partisanship Has Thwarted the Ability of Congress to Decide 303

Much Congressional Energy Goes to Tasks Other Than Lawmaking 303

Congress Oversees How Legislation Is Implemented 304 Special Senate Powers Include Advice and Consent 305 Impeachment Is the Power to Remove Top Officials 305

Congress: What Do We Want? 306 WHO PARTICIPATES? Who Elects Congress? 307

Key Terms 310 For Further Reading 313

10 ★ The Presidency 314

Presidential Power Is Rooted in the Constitution 317 Expressed Powers Come Directly from the Words

of the Constitution 318 Implied Powers Derive from Expressed Powers 323 Delegated Powers Come from Congress 324 Modern Presidents Have Claimed Inherent Powers 324

AMERICA SIDE BY SIDE Executive Branches in Comparison 325

Institutional Resources of Presidential Power Are Numerous 327

The Cabinet Is Often Distant from the President 327 The White House Staff Constitutes the President’s Eyes and

Ears 327 The Executive Office of the President Is a Visible Sign of the

Modern Strong Presidency 328 The Vice Presidency Has Become More Important since the

1970s 329 The First Spouse Has Become Important to Policy 330

CONTENTS

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Party, Popular Mobilization, and Administration Make Presidents Stronger 331

Going Public Means Trying to Whip Up the People 332 The Administrative Strategy Increases Presidential Control 334 Presidential Power Has Limits 339

The Presidency: What Do We Want? 340 WHO PARTICIPATES? Who Voted for Donald Trump in 2016? 341

Key Terms 344 For Further Reading 345

11 ★ Bureaucracy 346

Bureaucracy Exists to Improve Efficiency 349 Bureaucrats Fulfill Important Roles 349 The Size of the Federal Service Has Actually

Declined 352 The Executive Branch Is Organized Hierarchically 352

Federal Bureaucracies Promote Welfare and Security 355

Federal Bureaucracies Promote Public Well-Being 356

AMERICA SIDE BY SIDE Bureaucracy in Comparison 357

Federal Agencies Provide for National Security 358 Federal Bureaucracies Help to Maintain a Strong National Economy 362

Several Forces Control Bureaucracy 363 The President as Chief Executive Can Direct Agencies 363 Congress Promotes Responsible Bureaucracy 365 Can the Bureaucracy Be Reformed? 366

Bureaucracy and Democracy: What Do We Want? 367 WHO PARTICIPATES? Waiting for a Veterans Affairs Health Care Appointment 369

Key Terms 372 For Further Reading 373

12 ★ The Federal Courts 374

The Legal System Settles Disputes 377 Court Cases Proceed under Criminal and Civil Law 377 Types of Courts Include Trial, Appellate, and Supreme 378

The Federal Courts Hear a Small Percentage of All Cases 381

The Lower Federal Courts Handle Most Cases 381 The Appellate Courts Hear 20 Percent of Lower-Court Cases 382 The Supreme Court Is the Court of Final Appeal 383 Judges Are Appointed by the President and Approved by the Senate 384

CONTENTS

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The Power of the Supreme Court Is Judicial Review 385 Judicial Review Covers Acts of Congress 386

AMERICA SIDE BY SIDE Term Limits for High Court Justices 387

Judicial Review Applies to Presidential Actions 388 Judicial Review Also Applies to State Actions 389

Most Cases Reach the Supreme Court by Appeal 390 The Solicitor General, Law Clerks, and Interest Groups Also

Influence the Flow of Cases 392 The Supreme Court’s Procedures Mean Cases May Take

Months or Years 394

Supreme Court Decisions Are Influenced by Activism and Ideology 397

The Federal Courts: What Do We Want? 400 WHO PARTICIPATES? Influencing the Supreme Court? 401

Key Terms 404 For Further Reading 405

PART IV POLICY

13 ★ Domestic Policy 406

The Tools for Making Policy Are Techniques of Control 409 Promotional Policies Get People to Do Things by Giving

Them Rewards 409 Regulatory Policies Are Rules Backed by Penalties 411 Redistributive Policies Affect Broad Classes of People 413 Should the Government Intervene in the Economy? 415

Social Policy and the Welfare System Buttress Equality 416 The History of the Government Welfare System Dates Only

to the 1930s 416 The Modern Welfare System Has Three Parts 417 Welfare Reform Has Dominated the Welfare Agenda in

Recent Years 421

The Cycle of Poverty Can Be Broken by Education, Health, and Housing Policies 423

Education Policies Provide Life Tools 423 Health Policies Mean Fewer Sick Days 425

AMERICA SIDE BY SIDE U.S. Healthcare: High Cost, Poor Outcomes 427

Housing Policies Provide Residential Stability 431

Social Policy Spending Benefits the Middle Class More Than the Poor 432

Senior Citizens Receive over a Third of All Federal Dollars 433 The Middle and Upper Classes Benefit from Social Policies 434

CONTENTS

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The Working Poor Receive Fewer Benefits 434 Spending for the Nonworking Poor Is Declining 435 Minorities, Women, and Children Are Most Likely to Face Poverty 435

Domestic Policy: What Do We Want? 437 WHO PARTICIPATES? Growing Student Debt Burden 439

Key Terms 442 For Further Reading 443

14 ★ Foreign Policy 444

Foreign Policy Goals Are Related 447 Security Is Based on Military Strength 447 Economic Prosperity Helps All Nations 451 America Seeks a More Humane World 451

AMERICA SIDE BY SIDE Building Influence through International Connections 452

American Foreign Policy Is Shaped by Government and Nongovernment Actors 453

The President Leads Foreign Policy 454 The Bureaucracy Implements and Informs Policy Decisions 455 Congress’s Legal Authority Can Be Decisive 456 Interest Groups Pressure Foreign Policy Decision Makers 457

Tools of American Foreign Policy Include Diplomacy, Force, and Money 458 Diplomacy 459 The United Nations Is the World’s Congress 459 The International Monetary Structure Helps Provide Economic Stability 460 Economic Aid Has Two Sides 460 Collective Security Is Designed to Deter War 461 Military Force Is “Politics by Other Means” 462 Soft Power Uses Persuasion 463 Arbitration Resolves Disputes 463

Current Foreign Policy Issues Facing the United States 464 A Powerful China and a Resurgent Russia 464 Nuclear Proliferation in Iran and North Korea 466 Trade Policy 467 Global Environmental Policy 467

Foreign Policy and Democracy: What Do We Want? 468 WHO PARTICIPATES? Public Opinion on Security Issues 469

Key Terms 472 For Further Reading 473

CONTENTS

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Appendix

The Declaration of Independence A1

The Articles of Confederation A5

The Constitution of the United States of America A11

Amendments to the Constitution A21

The Federalist Papers A30

The Anti-Federalist Papers A38

Presidents and Vice Presidents A45

Endnotes A49 Answer Key A81 Credits A83 Glossary/Index A85

CONTENTS

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This book has been and continues to be dedicated to dev eloping a satisfactor y response to the question more and more Americans are asking: Why should we be engaged with go vernment and politics? Through the first 11 editions, we sought to answ er this question b y making the text dir ectly relevant to the liv es of the students who would be r eading it. As a r esult, we tried to make politics inter est- ing by demonstrating that students ’ interests are at stake and that they ther efore need to take a personal, ev en selfish, interest in the outcomes of go vernment. At the same time, we realized that students needed guidance in how to become politically engaged. Beyond providing students with a core of political knowledge, we needed to show them how they could apply that knowledge as participants in the political process. The “Who Participates?” and “What You Can Do” sections in each chapter help achieve that goal.

As events from the last several years have reminded us, “what government does” inevitably raises questions about political par ticipation and political equality . The size and composition of the electorate, for example, affect who is elected to public office and what policy dir ections the go vernment will pursue. H ence, the issue of v oter ID laws became impor tant in the 2016 election, with some arguing that these laws r e- duce voter fraud and others contending that they decr ease par ticipation by poor and minority voters. Charges of Russian meddling in the 2016 election have raised questions about the integrity of the voting process. Fierce debates about the policies of the Trump administration have heightened students’ interest in politics. O ther recent events have underscored how Americans from different backgrounds experience politics. Arguments about immigration became contentious during the 2016 election as the nation once again debated the question of who is entitled to be an American a nd have a voice in determin- ing what the government does. And charges that the police often use ex cessive violence against members of minority gr oups have raised questions about whether the go vern- ment treats all Americans equally. Reflecting all of these trends, this new Twelfth Edition shows more than any other book on the market (1) how students are connected to gov- ernment, (2) why students should think critically about go vernment and politics, and (3) how Americans from different backgrounds experience and shape politics. To help us explore these themes, P rofessor Andrea Campbell has joined us as the most r ecent in a group of distinguished coauthors. P rofessor Campbell’s scholarly work focuses on the ways in which government and politics affect the lives of ordinary citizens. Among her contributions are new chapter introductions that focus on stories of individuals and how government has affected them. Many Americans, particularly the young, can have difficulty seeing the role of go vernment in their ev eryday lives. Indeed, that ’s a chief explanation of low voter participation among younger citizens. The new chapter openers profile various individuals and illustrate their interactions with government, from a rock

Preface

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band that gets its controversial name approved by the Supreme Court (Chapter 4), to a young mother who realizes the tap water in her Flint, Michigan, home is poisoning her children after local officials switched the source (Chapter 11), to teenagers pr otesting the end of net neutrality and the internet as they hav e known it (Chapter 6). The goal of these stories is to show students in a vivid way how government and politics mean something to their daily lives.

Several other elements of the book also help show students why politics and govern- ment should matter to them. These include:

• A twenty-first-century perspective on demographic change moves beyond the book’s strong coverage of traditional civil rights content with expanded coverage of contemporary group politics.

• “Who Participates?” infographics at the end of every chapter show students how different groups of Americans participate in key aspects of politics and government. Each concludes with a “What You Can Do” section that provides students with specific, realistic steps they can take to act on what they’ve learned and get involved in politics.

• “America Side by Side” boxes in every chapter use data figures and tables to provide a comparative perspective. By comparing political institutions and behavior across countries, students gain a better understanding of how specific features of the American system shape politics.

• Up-to-date coverage, with more than 10 pages and numerous graphics on the 2016 and 2018 elections, including a five-page section devoted to analysis of these momentous elections in Chapter 8, as well as updated data, examples, and other information throughout the book.

• “What Do We Want” chapter conclusions step back and provide perspective on how the chapter content connects to fundamental questions about the American political system. The conclusions also reprise the important point made in the personal profiles that begin each chapter that government matters to the lives of individuals.

• This Twelfth Edition is accompanied by InQuizitive, Norton’s award-winning formative, adaptive online quizzing program. The InQuizitive course for We the People, Essentials Edition, guides students through questions organized around the text’s chapter learning objectives to ensure mastery of the core information and to help with assessment. More information and a demonstration are available at digital.wwnorton.com/wethepeople12ess.

We note with r egret the passing of Theodore Lowi as w ell as M argaret Weir’s decision to step do wn fr om the book. We miss them but continue to hear their v oices and to benefit from their wisdom in the pages of our book. We also continue to hope that our book will itself be accepted as a form of enlightened political action. This Twelfth Edition is another chance. It is an advancement toward our goal. We promise to keep trying.

PREFACE

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We are especially pleased to ackno wledge the many colleagues who had a dir ect and active role in criticism and preparation of the manuscript. Our thanks go to:

First Edition Reviewers

Sarah Binder, Brookings Institution Kathleen Gille, Office of Representative David

Bonior Rodney Hero, University of Colorado

at Boulder Robert Katzmann, Brookings Institution Kathleen Knight, University of Houston Robin Kolodny, Temple University Nancy Kral, Tomball College Robert C. Lieberman, Columbia University David A. Marcum, University of Wyoming Laura R. Winsky Mattei, State University

of New York at Buffalo Marilyn S. Mertens, Midwestern State

University Barbara Suhay, Henry Ford Community

College Carolyn Wong, Stanford University Julian Zelizer, State University of New York

at Albany

Second Edition Reviewers

Lydia Andrade, University of North Texas John Coleman, University of Wisconsin

at Madison Daphne Eastman, Odessa College Otto Feinstein, Wayne State University Elizabeth Flores, Delmar College James Gimpel, University of Maryland

at College Park Jill Glaathar, Southwest Missouri State

University Shaun Herness, University of Florida

William Lyons, University of Tennessee at Knoxville

Andrew Polsky, Hunter College, City University of New York

Grant Reeher, Syracuse University Richard Rich, Virginia Polytechnic Bartholomew Sparrow, University

of Texas at Austin

Third Edition Reviewers

Bruce R. Drury, Lamar University Andrew I. E. Ewoh, Prairie View A&M

University Amy Jasperson, University of Texas

at San Antonio Loch Johnson, University of Georgia Mark Kann, University of Southern California Robert L. Perry, University of Texas

of the Permian Basin Wayne Pryor, Brazosport College Elizabeth A. Rexford, Wharton County Junior

College Andrea Simpson, University of Washington Brian Smentkowski, Southeast Missouri State

University Nelson Wikstrom, Virginia Commonwealth

University

Fourth Edition Reviewers

M. E. Banks, Virginia Commonwealth University

Lynn Brink, North Lake College Mark Cichock, University of Texas

at Arlington

Acknowledgments

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xxiv

Del Fields, St. Petersburg College Nancy Kinney, Washtenaw Community

College William Klein, St. Petersburg College Dana Morales, Montgomery College Christopher Muste, Louisiana State University Larry Norris, South Plains College David Rankin, State University of New York

at Fredonia Paul Roesler, St. Charles Community College J. Philip Rogers, San Antonio College Greg Shaw, Illinois Wesleyan University Tracy Skopek, Stephen F. Austin State

University Don Smith, University of North Texas Terri Wright, Cal State, Fullerton

Fifth Edition Reviewers

Annie Benifield, Tomball College Denise Dutton, Southwest Missouri State

University Rick Kurtz, Central Michigan University Kelly McDaniel, Three Rivers Community

College Eric Plutzer, Pennsylvania State University Daniel Smith, Northwest Missouri State

University Dara Strolovitch, University of Minnesota Dennis Toombs, San Jacinto College–North Stacy Ulbig, Southwest Missouri State

University

Sixth Edition Reviewers

Janet Adamski, University of Mary Hardin–Baylor

Greg Andrews, St. Petersburg College Louis Bolce, Baruch College Darin Combs, Tulsa Community College Sean Conroy, University of New Orleans Paul Cooke, Cy Fair College Vida Davoudi, Kingwood College Robert DiClerico, West Virginia University Corey Ditslear, University of North Texas Kathy Dolan, University of Wisconsin,

Milwaukee Randy Glean, Midwestern State University Nancy Kral, Tomball College Mark Logas, Valencia Community College

Scott MacDougall, Diablo Valley College David Mann, College of Charleston Christopher Muste, University of Montana Richard Pacelle, Georgia Southern University Sarah Poggione, Florida International

University Richard Rich, Virginia Tech Thomas Schmeling, Rhode Island College Scott Spitzer, California State

University–Fullerton Robert Wood, University of North Dakota

Seventh Edition Reviewers

Molly Andolina, DePaul University Nancy Bednar, Antelope Valley College Paul Blakelock, Kingwood College Amy Brandon, San Jacinto College Jim Cauthen, John Jay College Kevin Davis, North Central Texas College Louis DeSipio, University of California–Irvine Brandon Franke, Blinn College Steve Garrison, Midwestern State University Joseph Howard, University of Central Arkansas Aaron Knight, Houston Community

College Paul Labedz, Valencia Community College Elise Langan, John Jay College Mark Logas, Valencia Community College Eric Miller, Blinn College Anthony O’Regan, Los Angeles Valley College David Putz, Kingwood College Chis Soper, Pepperdine University Kevin Wagner, Florida Atlantic University Laura Wood, Tarrant County College

Eighth Edition Reviewers

Brian Arbour, John Jay College, CUNY Ellen Baik, University of Texas–Pan

American David Birch, Lone Star College–Tomball Bill Carroll, Sam Houston State University Ed Chervenak, University of New Orleans Gary Church, Mountain View College Adrian Stefan Clark, Del Mar College Annie Cole, Los Angeles City College Greg Combs, University of Texas at Dallas Cassandra Cookson, Lee College Brian Cravens, Blinn College

ACKNOWLEDGMENTS

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xxv

John Crosby, California State University–Chico

Scott Crosby, Valencia Community College Courtenay Daum, Colorado State

University, Fort Collins Peter Doas, University of Texas–Pan American John Domino, Sam Houston State University Doug Dow, University of Texas–Dallas Jeremy Duff, Midwestern State University Heather Evans, Sam Houston State University Hyacinth Ezeamii, Albany State University Bob Fitrakis, Columbus State Community

College Brian Fletcher, Truckee Meadows

Community College Paul Foote, Eastern Kentucky University Frank Garrahan, Austin Community College Jimmy Gleason, Purdue University Steven Greene, North Carolina State

University Jeannie Grussendorf, Georgia State University M. Ahad Hayaud-Din, Brookhaven College Alexander Hogan, Lone Star College–CyFair Glen Hunt, Austin Community College Mark Jendrysik, University of North Dakota Krista Jenkins, Fairleigh Dickinson

University Carlos Juárez, Hawaii Pacific University Melinda Kovács, Sam Houston State

University Boyd Lanier, Lamar University Jeff Lazarus, Georgia State University Jeffrey Lee, Blinn College Alan Lehmann, Blinn College Julie Lester, Macon State College Steven Lichtman, Shippensburg University Fred Lokken, Truckee Meadows

Community College Shari MacLachlan, Palm Beach

Community College Guy Martin, Winston-Salem State University Fred Monardi, College of Southern Nevada Vincent Moscardelli, University of

Connecticut Jason Mycoff, University of Delaware Sugumaran Narayanan, Midwestern State

University Anthony Nownes, University of Tennessee,

Knoxville Elizabeth Oldmixon, University of North Texas

John Osterman, San Jacinto College–Central Mark Peplowski, College of Southern Nevada Maria Victoria Perez-Rios, John Jay

College, CUNY Sara Rinfret, University of Wisconsin, Green

Bay Andre Robinson, Pulaski Technical College Susan Roomberg, University of Texas at San

Antonio Ryan Rynbrandt, Collin County Community

College Mario Salas, Northwest Vista College Michael Sanchez, San Antonio College Mary Schander, Pasadena City College Laura Schneider, Grand Valley State

University Subash Shah, Winston-Salem

State University Mark Shomaker, Blinn College Roy Slater, St. Petersburg College Debra St. John, Collin College Eric Whitaker, Western Washington

University Clay Wiegand, Cisco College Walter Wilson, University of Texas at

San Antonio Kevan Yenerall, Clarion University Rogerio Zapata, South Texas College

Ninth Edition Reviewers Amy Acord, Lone Star College–CyFair Milan Andrejevich, Ivy Tech Community

College Steve Anthony, Georgia State University Phillip Ardoin, Appalachian State

University Gregory Arey, Cape Fear Community College Joan Babcock, Northwest Vista College Evelyn Ballard, Houston Community College Robert Ballinger, South Texas College Mary Barnes-Tilley, Blinn College Robert Bartels, Evangel University Nancy Bednar, Antelope Valley College Annie Benifield, Lone Star College–Tomball Donna Bennett, Trinity Valley Community

College Amy Brandon, El Paso Community College Mark Brewer, The University of Maine Gary Brown, Lone Star College–Montgomery

ACKNOWLEDGMENTS

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xxvi

Joe Campbell, Johnson County Community College

Dewey Clayton, University of Louisville Jeff Colbert, Elon University Amanda Cook-Fesperman, Illinois Valley

Community College Kevin Corder, Western Michigan University Kevin Davis, North Central Texas College Paul Davis, Truckee Meadows Community

College Terri Davis, Lamar University Jennifer De Maio, California State

University, Northridge Christopher Durso, Valencia College Ryan Emenaker, College of the Redwoods Leslie Feldman, Hofstra University Glen Findley, Odessa College Michael Gattis, Gulf Coast State College Donna Godwin, Trinity Valley Community

College Precious Hall, Truckee Meadows

Community College Sally Hansen, Daytona State College Tiffany Harper, Collin College Todd Hartman, Appalachian State University Virginia Haysley, Lone Star College–Tomball David Head, John Tyler Community College Rick Henderson, Texas State University–San

Marcos Richard Herrera, Arizona State University Thaddaus Hill, Blinn College Steven Holmes, Bakersfield College Kevin Holton, South Texas College Robin Jacobson, University of Puget Sound Joseph Jozwiak, Texas A & M–Corpus Christi Casey Klofstad, University of Miami Samuel Lingrosso, Los Angeles Valley College Mark Logas, Valencia College Christopher Marshall, South Texas College Larry McElvain, South Texas College Elizabeth McLane, Wharton County Junior

College Eddie Meaders, University of North Texas Rob Mellen, Mississippi State University Jalal Nejad, Northwest Vista College Adam Newmark, Appalachian State University Stephen Nicholson, University of

California, Merced Cissie Owen, Lamar University Suzanne Preston, St. Petersburg College David Putz, Lone Star College–Kingwood

Auksuole Rubavichute, Mountain View College

Ronnee Schreiber, San Diego State University Ronald Schurin, University of Connecticut Jason Seitz, Georgia Perimeter College Jennifer Seitz, Georgia Perimeter College Shannon Sinegal,The University of New

Orleans John Sides, George Washington University Thomas Sowers, Lamar University Jim Startin, University of Texas at San Antonio Robert Sterken, University of Texas at Tyler Bobby Summers, Harper College John Theis, Lone Star College–Kingwood John Todd, University of North Texas Delaina Toothman, The University of Maine David Trussell, Cisco College Ronald Vardy, University of Houston Linda Veazey, Midwestern State University John Vento, Antelope Valley Community

College Clif Wilkinson, Georgia College John Wood, Rose State College Michael Young, Trinity Valley Community

College Tyler Young, Collin College

Tenth Edition Reviewers

Stephen P. Amberg, University of Texas at San Antonio

Juan F. Arzola, College of the Sequoias Thomas J. Baldino, Wilkes University Christina Bejarano, University of Kansas Paul T. Bellinger, Jr., University of Missouri Melanie J. Blumberg, California University of

Pennsylvania Matthew T. Bradley, Indiana University

Kokomo Jeffrey W. Christiansen, Seminole State

College McKinzie Craig, Marietta College Christopher Cronin, Methodist University Jenna Duke, Lehigh Carbon Community

College Francisco Durand, University of Texas at San

Antonio Carrie Eaves, Elon University Paul M. Flor, El Camino College Compton

Center Adam Fuller, Youngstown State University

ACKNOWLEDGMENTS

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xxvii

Christi Gramling, Charleston Southern University

Sally Hansen, Daytona State College Mary Jane Hatton, Hawai’i Pacific University David Helpap, University of

Wisconsin–Green Bay Theresa L. Hutchins, Georgia Highlands College Cryshanna A. Jackson Leftwich, Youngstown

State University Ashlyn Kuersten, Western Michigan University Kara Lindaman, Winona State University Timothy Lynch, University of

Wisconsin–Milwaukee Larry McElvain, South Texas College Corinna R. McKoy, Ventura College Eddie L. Meaders, University of North Texas Don D. Mirjanian, College of Southern

Nevada R. Shea Mize, Georgia Highlands College Nicholas Morgan, Collin College Matthew Murray, Dutchess Community

College Harold “Trey” Orndorff III, Daytona State

College Randall Parish, University of North Georgia Michelle Pautz, University of Dayton Michael Pickering, University of New Orleans Donald Ranish, Antelope Valley College Glenn W. Richardson, Jr., Kutztown

University of Pennsylvania Jason Robles, Colorado State University Ionas Aurelian Rus, University of Cincinnati–

Blue Ash Robert Sahr, Oregon State University Kelly B. Shaw, Iowa State University Captain Michael Slattery, Campbell University Michael Smith, Sam Houston State University Maryam T. Stevenson, University of

Indianapolis Elizabeth Trentanelli, Gulf Coast State

College Ronald W. Vardy, University of Houston Timothy Weaver, University of Louisville Christina Wolbrecht, University of Notre

Dame

Eleventh Edition Reviewers

Maria J. Albo, University of North Georgia Andrea Aleman, University of Texas at San

Antonio

Juan Arzola, College of the Sequoias Ross K. Baker, Rutgers University Lauren Balasco, Pittsburg State University Daniel Birdsong, University of Dayton Phil Branyon, University of North Georgia Camille D. Burge, Villanova University Matthew DeSantis, Guilford Technical

Community College Sheryl Edwards, University of

Michigan–Dearborn Lauren Elliott-Dorans, University of

Toledo Heather Evans, Sam Houston State

University William Feagin, Jr., Wharton County Junior

College Glen Findley, Odessa College Heather Frederick, Slipper Rock University Jason Ghibesi, Ocean County College Patrick Gilbert, Lone Star–Tomball Rebecca Herzog, American River College Steven Horn, Everett Community College Demetra Kasimis, California State

University, Long Beach Eric T. Kasper, University of Wisconsin–Eau

Claire Jill Kirkham, Brigham Young University–

Idaho Mary Linder, Grayson County College Johnson Louie, California State University,

Stanislaus Phil McCall, Portland State University Patrick Novotny, Georgia Southern

University Carolyn Myers, Southwestern Illinois

College–Belleville Gerhard Peters, Citrus College Michael A. Powell, Frederick Community

College Robert Proctor, Santa Rosa Junior College Allen K. Settle, California Polytechnic State

University Laurie Sprankle, Community College of

Allegheny County Ryan Lee Teten, University of Louisiana

at Lafayette Justin Vaughn, Boise State University John Vento, Antelope Valley College Aaron Weinschenk, University of

Wisconsin–Green Bay Tyler Young, Collin College

ACKNOWLEDGMENTS

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xxviii

Twelfth Edition Reviewers

Craig Albert, Augusta University Alexa Bankert, University of Georgia Nathan Barrick, University of South Florida Jeff Birdsong, Northeastern Oklahoma A&M

College Sara Butler, College of the Desert Cory Colby, Lone Star College Anthony Daniels, University of Toledo Dennis Falcon, Cerritos College Kathleen Ferraiolo, James Madison University Patrick Gilbert, Lone Star College, Tomball Matthew Green, Catholic University

of America Matt Guardino, Providence College Barbara Headrick, Minnesota State University,

Moorhead Justin Hoggard, Three Rivers Community

College John Patrick Ifedi, Howard University Cryshanna Jackson Leftwich, Youngstown

State University Douglas Kriner, Boston University Thom Kuehls, Weber State University

Jennifer Lawless, American University LaDella Levy, College of Southern Nevada Timothy Lim, California State University, Los

Angeles Sam Lingrosso, Los Angeles Valley College Mandy May, College of Southern Maryland Suzanne Mettler, Cornell University Michael Miller, Barnard College Joseph Njoroge, Abraham Baldwin

Agricultural College Michael Petri, Santa Ana College Christopher Poulios, Nassau Community

College Andrew Rudalevige, Bowdoin College Amanda Sanford, Louisiana Tech University Elizabeth Saunders, George Washington

University Kathleen Searles, Louisiana State University Matthew Snyder, Delgado Community College Steven Sylvester, Utah Valley University Linda Trautman, Ohio University Lancaster Donald Williams, Western New England

University Peter Yacobucci, Buffalo State College

We are also grateful to M elissa Michelson, of M enlo College, who contributed to the “ Who Participates?” infographics for this edition; H olley H ansen, of O klahoma State University, who contributed to the “America Side by Side” boxes.

Perhaps abo ve all, w e thank those at W. W. N orton. F or its first five editions, editor Steve Dunn helped us shape the book in countless ways. Lisa McKay contrib- uted smart ideas and a keen editorial eye to the Tenth Edition. Ann Shin carried on the Norton tradition of splendid editorial wor k on the S ixth through Ninth and Eleventh Editions. Peter Lesser br ought intelligence and dedication to the dev elopment of this Twelfth E dition. For our I nQuizitive course and other instr uctor r esources, Spencer Richardson-Jones has been an energetic and visionar y editor. Ashley H orna, Michael Jaoui, Tricia Vuong, and Anna Olcott also kept the production of the Eleventh Edition and its accompanying resources coherent and in focus. Lynne Cannon copyedited the manuscript, and our superb project editor Christine D’Antonio devoted countless hours to keeping on top of myriad details. We thank Elyse Rieder for finding new photos and our photo editor Stephanie Romeo for managing the image program. Finally, we thank Roby Harrington, the head of Norton’s college department.

Benjamin Ginsberg Caroline J. Tolbert Andrea L. Campbell

October 2018

ACKNOWLEDGMENTS

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An Introduction to American Politics

We the People

121212 edition

ESSENTIALS

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010101 chapter

Introduction: The Citizen and Government WHAT GOVERNMENT DOES AND WHY IT MATTERS Meet two of the nation’s youngest elected officials. Saira Blair became the young-

est member of West Virginia’s House of Delegates when she won election as

an 18-year-old college freshman. The day after her victory party in November

2014, she was back in class at West Virginia University. In May 2017, Prairie

View A&M senior Kendric D. Jones similarly achieved electoral victory, becom-

ing the youngest city council member in the state of Texas. What got Blair

and Jones involved in politics? Both had sources of political inspiration. Blair

followed in the footsteps of her father, a West Virginia state senator, who she

had accompanied to political events since childhood. Jones was inspired by

the long history of activism at Prairie View, which was founded in 1876 during

Reconstruction by some of the first African American members of the Texas

state legislature. A further spur to action was President Obama’s call in his

2017 farewell address to “grab a clipboard, get some signatures, and run for

office yourself.” Both also had strong commitments to issues. Blair believes

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3

Introduction: The Citizen and Government

While Americans share a belief in the values of liberty, equality, and democracy, debates rage about how to live up to those values. To advocate for their beliefs, Republican Saira Blair (left) and Democrat Kendric Jones (right)—both college students—ran for office and won. What is the citizen’s role in America’s democratic system?

in limited government, lower taxes, and Second Amendment gun rights. Jones

has a long history of working in the community, serving in student government,

and founding a mentoring program for middle-school boys.

Both Blair and Jones also believe deeply in political participation, espe-

cially that of young people. As Jones said, “The students of Prairie View A&M

University’s voices have not been heard. Since I have been here, the city has

been stagnant and has not made any progression—outside of the university.

I feel as though a young, innovative mind can push this city forward.” After

participating in a mock government program in high school, Blair saw that

young people were just as capable as lawmakers decades older: “When I saw

how capable the students were of creating . . . legislation and really getting

work done, it really made me realize that we really didn’t need to wait.”1

Blair and Jones’s experiences show that citizens are at the center of

democratic government. They ran for office because they care about public

issues and want to have a hand in shaping policy outcomes. What are you

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passionate about? How does government affect your everyday life and that

of your family, friends, and community? And how are differences in political

views resolved in politics? Americans hold certain values dear, including lib-

erty, equality, and democracy. In fact, if you asked Blair and Jones, they would

almost certainly agree that these are critical values to uphold. However, Blair

and Jones might emphasize one more than the other. And they might have

major disagreements about what those values mean and what the government

should do to shape and uphold them. What are your values? Do you see them

reflected in government today? What do you want government to do?

★ Define government and forms of government (pp. 5–7)

★ Describe the role of the citizen in politics (pp. 8–9)

★ Show how the social composition of the American population has changed over time (pp. 10–16)

★ Analyze whether the U.S. system of government upholds American political values (pp. 16–20)

★ Explore Americans’ attitudes toward government (pp. 20–23)

CHAPTER GOALS

4 CHAPTER 1 INTRODUcT ION : THe c I T I zeN AND GOVeRNMeNT

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Government Government refers to the formal in- stitutions and pr ocedures thr ough which a territor y and its people ar e ruled. To govern is to rule. A govern-

ment may be as simple as a to wn meeting in which community members make policy and determine budgets together or as complex as the vast establishments found in many large countries today, with their extensive procedures, laws, and bureaucracies. In the history of civilization, governments have not been difficult to establish. There have been thousands of them. The hard part is establishing a govern- ment that lasts. Even more difficult is developing a stable government that promotes liberty, equality, and democracy.

DIFFERENT FORMS OF GOVERNMENT ARE DEFINED BY POWER AND FREEDOM

Governments vary in their structure, in their size, and in the way they operate. Two questions are of special importance in determining how governments differ: Who governs? And how much government control is permitted?

In some nations, government power is held by a single individual, such as a king or dictator, or by a small group of powerful individuals, such as militar y leaders or wealthy landowners. Such a system of government normally pays little attention to popular preferences; it tends to hold power by violence or the threat of violence and is referred to as an authoritarian system, meaning that the government recognizes no formal limit but may nev ertheless be restrained by the power of other social insti – tutions. A system of government in which the degree of control is even greater is a totalitarian system, where the government recognizes no formal limits on its power and seeks to absorb or eliminate other social institutions that might challenge it. Nazi Germany under A dolf Hitler and the S oviet Union under J oseph Stalin are classic examples of totalitarian rule.

In contrast, a democracy is a political system that permits citiz ens to play a significant part in the governmental process, where they are vested with the power to r ule themselv es, usually thr ough the election of key public officials. Under such a system, constitutional government is the norm, in that formal and effective limits are placed on the powers of the government. At times, an author- itarian government might bend to popular wishes, and democratic go vernments do not automatically follo w the wishes of the majority . The point, however, is that these contrasting systems of go vernment ar e based on v ery different assumptions and practices.

Americans have the good for tune to liv e in a nation in which limits ar e placed on what governments can do and how they can do it. By one measure, just 40 per- cent of the global population (those living in 86 countries) enjoy sufficient levels of political and personal freedom to be classified as living in a constitutional democracy.2 And constitutional democracies w ere unheard of befor e the modern era. P rior to

Define government and forms of government

5GOVeRNMeNT

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the eighteenth and nineteenth centuries, go vernments seldom sought (and rar ely received) the support of their ordinary subjects.3

Beginning in the sev enteenth centur y, in a handful of Western nations, two important changes began to take place in the character and conduct of go vern- ment. F irst, go vernments began to ackno wledge formal limits on their po wer. Second, a small number of governments began to provide the ordinary citizen with a formal v oice in public affairs—through the v ote. Obviously, the desirability of limits on go vernment and the expansion of popular influence were at the hear t of the Ameri can Revolution in 1776. “N o taxation without r epresentation” was hotly debated from the beginning of the R evolution through the adoption of the modern Constitution in 1789. But even before the Revolution, a tradition of limi- ting government and expanding citiz en participation in the political pr ocess had developed throughout western Europe. Thus, to understand how the relationship between rulers and the ruled was transformed, we must broaden our focus to take into account events in Europe as well as in America. We will divide the transforma- tion into its two separate parts. The first is the effort to put limits on government. The second is the effort to expand the influence of the people through access to government and politics.

LIMITS ON GOVERNMENTS ENCOURAGED FREEDOM

The key force behind the imposition of limits on government power was a new social class, the bourgeoisie. Bourgeoisie is a F rench wor d for “ freeman of the city,” or bourg. Being part of the bourgeoisie later became associated with being “middle class” and with involvement in commerce or industry. In order to gain a share of control of government, joining or even displacing the kings, aristocrats, and gentry who had dominated government for centuries, the bourgeoisie sought to change existing institutions—especially parliaments—into instruments of real political participation. Parliaments had existed for centuries but w ere generally controlled b y the aristocrats. The bourgeoisie embraced parliaments as means by which they could ex ert the w eight of their superior numbers and gr ow- ing economic adv antage against their aristocratic rivals. At the same time, the bourgeoisie sought to r estrain the capacity of go vernments to thr eaten these economic and political inter ests b y placing formal or constitutional limits on governmental power.

Although motivated primarily by the need to pr otect and defend their o wn in- terests, the bourgeoisie adv anced many of the principles that became the central underpinnings of individual liber ty for all citiz ens—freedom of speech, fr eedom of assembly, freedom of conscience, and freedom from arbitrary search and seizure. It is important to note here that the bourgeoisie generally did not favor democracy as we know it. They were advocates of electoral and representative institutions, but they favored property r equirements and other r estrictions so as to limit political participation to the middle and upper classes. Yet once these institutions of politics and the protection of the right to engage in politics were established, it was difficult to limit them to the bourgeoisie.

6 CHAPTER 1 INTRODUcT ION : THe c I T I zeN AND GOVeRNMeNT

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EXPANSION OF PARTICIPATION IN AMERICA CHANGED THE POLITICAL BALANCE

In America, the expansion of participation to ever-larger segments of society, seen mostly in the expansion of voting rights, occurred because competing segments of the bour- geoisie sought to gain political advantage by reaching out and mobilizing the support of working- and lower-class groups that craved the opportunity to take part in politics. To be sure, excluded groups often agitated for greater participation. But seldom was such agitation, by itself, enough to secure the right to participate. Usually, expansion of voting rights resulted from a combination of pressure from below and help from above.

This pattern of suffrage expansion by gr oups hoping to deriv e some political advantage has been typical in American history. After the Civil War, one of the chief reasons that the Republican Party moved to enfranchise newly freed slaves was to use the support of the former slav es to maintain R epublican control over the defeated southern states. S imilarly, in the early tw entieth century, upper-middle-class Pro- gressives advocated women’s suffrage because they believed that women were likely to support the reforms espoused by the Progressive movement.

THE GOAL OF POLITICS IS HAVING A SAY IN WHAT HAPPENS

Expansion of participation means that more and more people have a legal right to take part in politics. Politics is an impor tant term. In its broadest sense, it refers to conflicts over the character, membership, and policies of any organization to which people belong. As Harold Lasswell, a famous political scientist, once put it, politics is the str uggle over “who gets what, when, ho w.”4 Although politics is a phenom – enon that can be found in any organization, our concern in this book is narrower. Here, politics will be used to refer only to conflicts and struggles over the leadership, structure, and policies of governments. The goal of politics, as we define it, is to have a share or a say in the composition of the government’s leadership, how the govern- ment is organized, or what its policies are going to be. Having a share is called power or influence.

Participation in politics can take many forms, including blogging and posting opinion pieces online, v oting, sending emails to go vernment officials, lobbying legis lators on behalf of particular programs, and participating in protest marches and even violent demonstrations. A system of government in which the populace selects representatives, who play a significant role in governmental decision mak- ing, is usually called a representative democracy, or republic. A system that permits citizens to vote directly on laws and policies is often called a direct democracy. At the national level, America is a representative democracy in which citizens select government officials but do not vote on legislation. Some states and cities, how- ever, have provisions for dir ect legislation through ballot initiativ e and popular referendum. In 2017, for example, v oters in Maine approved by statewide vote to expand Medicaid under the Affordable Care Act after the governor had vetoed expansion multiple times.5

7GOVeRNMeNT

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Citizenship Is Based on Political Knowledge and Participation

Citizen par ticipation is the hallmar k of the democratic form of go vern- ment. “G overnment b y the people ” depends on liv ely citiz en inv olve-

ment in public discussion, debate, and activity designed to impr ove the w elfare of one’s community. The very legitimacy of democratic government depends on political par ticipation, which takes a v ariety of forms, fr om the conv entional— voting, contacting elected officials, working on campaigns, making political dona – tions, attending political meetings—to the unconv entional—protesting, boycott- ing, and signing petitions.

One key ingredient for political par ticipation is political knowledge and informa- tion. Democracy functions best when citizens are informed and have the knowledge needed to participate in political debate. Indeed, our definition of citizenship derives from the ideal put forth by the ancient Greeks: enlightened political engagement.6

Citizens need political knowledge, which includes knowing the rules and strate- gies that govern political institutions and the principles on which they are based, to figure out how best to act in their own interests. For example, during the debate in 2017 about whether to repeal the Obama health care reform, one-third of Americans

Protests are a form of direct action citizens can take to influence policy outcomes. The Black Lives Matter movement used peaceful protests and marches to educate fellow citizens and lawmakers on the impact of police brutality on the African American community.

Describe the role of the citizen in politics

8 CHAPTER 1 INTRODUcT ION : THe c I T I zeN AND GOVeRNMeNT

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did not know that “Obamacare” and the “Affordable Care Act” are the same thing.7 That meant that some Americans who had enrolled in “Obamacare” did not realize their access to health insurance would be affected if the ACA were repealed. Citizens need knowledge in order to assess their interests and to know when to act on them.

Effective participation requires knowledge. (It should come as no surprise, then, that people who have less knowledge of politics vote at lower rates than those with more kno wledge.) Kno wledge is the first prerequisite for achieving an incr eased sense of political efficacy.

As mor e and mor e of our social, wor kplace, and educational activities hav e migrated online, so too hav e opportunities for political kno wledge and par ticipa- tion, creating a ne w concept of “ digital citizenship.” Digital citizenship is the abil – ity to par ticipate in society online, and it is incr easingly impor tant in politics. A 2015 survey found that o ver the previous year, 65 percent of Americans had used the internet—including visiting local, state, or federal go vernment w ebsites—to find data or information about government.8 Digital citizens are more likely to be interested in politics and to discuss politics with friends, family, and coworkers than individuals who do not use online political information. They are also more likely to vote and participate in other ways in elections. I ndividuals without internet access or the skills to par ticipate in politics and the economy online ar e being left further behind. Exclusion from par ticipation online is r eferred to as the “ digital divide.” Lower-income and less educated Americans, racial and ethnic minorities, those living in rural areas, and the elderly are all less likely to have internet access.

POLITICAL EFFICACY MEANS PEOPLE CAN MAKE A DIFFERENCE

Another important trend in American views about government has been a declining sense of political efficacy, the belief that ordinary citizens can affect what government does. In 2015, 74 percent of Americans said that elected officials do not care what people like them think; in 1960, only 25 per cent felt so shut out of go vernment.9 Accompanying this sense that or dinary people cannot be hear d is a gr owing belief that government is not run for the benefit of all the people. In 2015, 76 percent of the public disagreed with the idea that the “government is really run for the benefit of all the people.”10 These views are widely shared across the age spectrum.

This widely felt loss of political efficacy is bad news for American democracy. Why bother to participate if you believe it makes no difference? Yet the belief that you can be effective is the first step needed to influence government. Research shows that the relationship between efficacy and participation is two-way: a feeling that one can make a difference leads to participation, but in addition, joining in can increase one’s feeling of efficacy. Not every effort of ordinary citizens to influence government will succeed, but without any such efforts, government decisions will be made b y a smaller and smaller circle of powerful people. Such loss of br oad popular influence over govern- ment actions undermines the key feature of American democracy: government by the people. Most people do not want to be politically activ e every day of their liv es, but it is essential to American political ideals that all citizens be informed and able to act.

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The Identity of Americans Has Changed over Time

While American democracy aims to give the people a v oice in go vern- ment, the meaning of “we the people” has changed o ver time. Who are Americans? Ov er the course of

Ameri can histor y, politicians, r eligious leaders, pr ominent scholars, and or dinary Americans hav e puzzled o ver and fought about the answ er to this fundamental question. It is not surprising that such a simple question could pr ovoke so much conflict: the American population has increased over eighty-fold, from 3.9 million in 1790, the year of the first official census, to 327 million in 2018.11 As the American population has grown, it has become more diverse in nearly every dimen- sion imaginable.12

At the time of the F ounding, when the U nited S tates consisted of 13 states arrayed along the Eastern seaboard, 81 percent of Americans counted by the census traced their roots to Europe, mostly England and northern Europe; nearly one in five were of African origin, the vast majority of whom were slaves.13 There was also an unknown number of Native Americans, not counted b y the census because the government did not consider them Americans.14

Fast-forward to 1900. The country, now stretched out across the continent, had a sharply altered racial and ethnic composition. Waves of immigrants, mainly from Europe, had boosted the population to 76 million. The black population stood at 12 per cent. R esidents who traced their origins to Latin America or Asia each accounted for less than 1 per cent of the entir e population.15 Although principally of European origin, the American population had become much more ethnically diverse as immigrants, first from G ermany, then fr om Ireland, and finally from southern and eastern Europe, made their way to the United States. The foreign-born population of the United States reached its height at 14.7 percent in 1910.16

IMMIGRATION AND INCREASING ETHNIC DIVERSITY HAVE LONG CAUSED INTENSE DEBATE

As the population gr ew mor e div erse, anxiety about Americans ’ ethnic identity mounted, and much as today, politicians and scholars argued about whether the country could absorb such large numbers of immigrants. The debate encompassed such issues as whether immigrants’ political and social values were compatible with American democracy, whether they would learn E nglish, and what diseases they might bring into the United States.

Immigrants’ religious affiliations also aroused concern. The first immigrants to the United States were overwhelmingly Protestant, many of them fleeing religious persecution. The arrival of G ermans and I rish in the mid -1800s meant incr easing numbers of Catholics, and the large -scale immigration of the early tw entieth cen- tury threatened to reduce the percentage of Protestants significantly: many eastern

Show how the social composition of the American population has changed over time

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European immigrants pouring into the countr y were Jewish, while the southern Europeans were mostly Catholic. A more religiously diverse country challenged the implicit Protestantism embedded in many aspects of American public life.

After World War I, Congress responded to the fears swirling around immigration with new laws that sharply limited the number of immigrants who could enter the country each year. Congress also established a new National Origins Quota System based on the nation’s population in 1890 before the wave of immigrants from eastern and southern E urope arrived.17 The new system set up a hierar chy of admissions: northern E uropean countries r eceived gener ous quotas for ne w immigrants, whereas eastern and southern E uropean countries were granted v ery small quotas. These restrictions ratcheted down the numbers of immigrants so that b y 1970 the foreign-born population in the United States reached an all-time low of 5 percent.

Official efforts to use racial and ethnic criteria to restrict the American population were not new. The very first census, as we have seen, did not count N ative Ameri- cans; in fact, Native Americans were not granted the right to vote until 1924. Most people of African descent w ere not officially citizens until 1868, when the F our- teenth Amendment to the Constitution conferred citizenship on the freed slaves.

In 1790 the federal go vernment had sought to limit the nonwhite population with a law stipulating that only fr ee whites could become naturaliz ed citizens. Not until 1870 did Congr ess lift the ban on the naturalization of nonwhites. R estric- tions applied to Asians as well. The Chinese Exclusion Act of 1882 outlawed the entry of Chinese laborers to the United States, and additional barriers enacted after World War I meant that vir tually no Asians enter ed the countr y as immigrants until 1943, when China became our ally in World War II and these provisions were

In the 1900s many immigrants entered the United States through New York’s Ellis Island, where they were checked for disease before being admitted.

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lifted. People of Hispanic origin do not fit simply into the American system of racial classification. In 1930, for example, the census counted people of Mexican origin as nonwhite, but it r eversed this decision a decade later . Not until 1970 did the cen – sus officially begin counting persons of Hispanic origin, noting that they could be any race. 18 As this histor y suggests, American citiz enship has always been tied to “whiteness” even as the meaning of “white” shifted over time.

WHO ARE AMERICANS TODAY?

Race and Ethnicity B y 2000 immigration had pr ofoundly transformed the nation’s racial and ethnic pr ofile once again. The primary cause was Congr ess’s decision in 1965 to lift the tight immigration r estrictions of the 1920s, a decision that r esulted, among other things, in the gr owth of the Latino population (see Figure 1.1). Census figures for 2016 sho w that the total H ispanic proportion of the population, who can be of any race, is now 17.8 percent, while the black, or African American, population is 12.7 percent of the total population. Asians make up 5.4 per cent of the population. N on-Hispanic white Americans account for 61 percent of the population—their lowest share ever. Moreover, about 3.2 percent of the population now identifies itself as of “two or mor e races.”19 Although it is only a small per centage of the population, the multiracial categor y points toward a future in which the lines separating the traditional labels of racial identification may be blurring.

In 2016, 13.5 per cent of the population was born outside the U nited States, a figure comparable to the rates of for eign-born at the turn of the pr evious cen- tury. About half of the foreign-born population came from Latin America and the Caribbean, with just o ver one -third fr om Central America (including M exico). Those born in Asia constituted the next largest group, making up 31 per cent of for eign-born r esidents. B y 2016 just 10.9 per cent of those born outside the United States came fr om Europe.20 These figures represent only legally authoriz ed immigrants, while estimates put the number of undocumented immigrants at 11.4 million, the majority of whom are from Mexico and Central America.21

Religion The new patterns of immigration combined with a number of other factors to alter the r eligious affiliations of Americans. In 1900, 80 per cent of the population was Protestant; b y 2016 only 44 per cent of Americans identi- fied themselves as Protestants.22 Catholics made up 20 per cent of the population, and Jews accounted for 2 percent. A small Muslim population had also grown, to nearly 1 percent of the population. One of the most important changes in religious affiliation during the latter half of the twentieth centur y was the per centage of people who professed no organized religion. In 2016, 23 percent of the population was not affiliated with an organized church. These changes suggest an important shift in American r eligious identity: although the U nited States thinks of itself as a “Judeo-Christian” nation—and indeed was 95 per cent Protestant, Catholic, or Jewish from 1900 to 1968—by 2016 the numbers had fallen to under 70 percent of the adult population.23

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Age As America grew and its population expanded and div ersified, the country’s age profile shifted with it. In 1900 only 4 percent of the population was over 65. As life expectancy increased, the number of older Americans grew with it: by 2016 nearly 15.2 percent of the population was over 65. The number of children under the age of 18 also changed; in 1900 this gr oup comprised 40.5 per cent of the American population; by 2016 it had fallen to 22.8 per cent of the population. 24 An aging

FIGURE 1.1

Immigration by Continent of Origin* Where did most immigrants come from at the start of the twentieth century? How does that compare with immigration in the twenty-first century?

*Less than 1 percent not shown.

SOURCE: Department of Homeland Security 2016 Yearbook of Immigration Statistics Table 2, November 2017, www.dhs.gov/immigration-statistics/yearbook/2016 (accessed 2/16/18). Figure shows those who have obtained “lawful permanent resident status” by continent of origin.

10

0 1900s 1910s 1920s 1930s 1940s 1950s 1960s 1970s 1980s 1990s 2000s 2010s

20

30

40

50

60

70

80

90

100%

PERCENTAGE OF IMMIGRANTS*

EuropeAsiaAmericas

AfricaOceaniaNot speci�ed

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population poses challenges to the U nited States. As the elderly population grows and the working-age population shrinks, ques- tions arise about how we will fund programs for the elderly such as Social Security.

Geography Ov er the nation ’s histor y, Americans hav e changed in other ways as well, moving from mostly rural settings and small to wns to large urban ar eas. B efore 1920 less than half the population liv ed in urban ar eas; today 82 per cent of Ameri – cans do.25 Critics charge that the American political system, cr eated when America was a largely rural society, underrepresents urban areas. The constitutional provision allocat – ing each state two senators, for example, overrepresents sparsely populated rural states and underr epresents urban states, wher e the population is far mor e concentrated. The American population has also shifted regionally. In the past 50 years, especially, many Americans hav e left the Northeast and Midwest and moved to the South and Southwest. As congressional seats have been reapportioned to reflect the population shift, many problems that par ticularly plague the Midwest and Northeast, such as the decline of manufacturing jobs, receive less attention in national politics.

Socioeconomic Status Americans hav e fallen into div erse economic gr oups throughout American histor y. For much of American histor y most people w ere relatively poor working people, many of them farmers. A small wealthy elite, how- ever, grew larger in the 1890s, in a period called “ the gilded age.” By 1928 nearly 25 percent of the total annual income went to the top 1 percent of earners; the top 10 percent took home 46 per cent of total annual income. After the N ew Deal in the 1930s, a large middle class took shape, and the share going to those at the top dropped sharply. By 1976 the top 1 percent took home only 9 percent of the national annual income. S ince then, ho wever, economic inequality has once again wide- ned as a tiny gr oup of super-rich has emerged. By 2015 the top 1 per cent earned 20.3 per cent of annual income, and the top 10 per cent took home almost 50 percent of the total national income.26 At the same time, the incomes of the broad middle class hav e largely stagnated (see F igure 1.2).27 And 12.7 per cent of the population r emains belo w the official poverty line. As the middle class has

Immigration remains a controversial issue in the United States. While many believe we should do more to protect our borders, others call for comprehensive immigration reform, including an easier pathway to citizenship.

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frayed around the edges, the numbers of poor and near poor have swelled to nearly one-third of the population.28

Population and Politics The shifting contours of the American people have regu- larly raised challenging questions about our politics and go verning arrangements. Population growth has spurr ed politically charged debates about ho w the popula – tion should be appor tioned among congressional districts and how they should be drawn. These conflicts have major implications for the representation of different regions of the country—for the balance of representation between urban and rural areas. The representation of various demographic and political gr oups may also be affected, as there is substantial evidence of growing geographic sorting of citizens by education, income, marriage rates, and party voting.29 In addition, immigration and the cultural and religious changes it entails pr ovoked heated debates 100 y ears ago and still do today. The different languages and customs that immigrants bring to the

FIGURE 1.2

Income in the United States This figure shows that while the income of most Americans has risen only slightly since 1975, the income of the richest Americans (the top 5 percent) has increased dramatically. What are some of the ways that this shift might matter for American politics? Does the growing economic gap between the richest groups and most other Americans conflict with the political value of equality?

*Dollar values are given in constant 2016 dollars, which are adjusted for inflation so that we can compare a person’s income in 1975 with a person’s income today.

SOURCE: U.S. Census Bureau, “Income and Poverty in the United States: 2016,” Table A-2, www.census.gov/ content/dam/Census/library/publications/2017/demo/P60-259.pdf (accessed 4/16/18).

Lowest fifth

Fourth fifth

Second fifth

Highest fifth

Third fifth

Top 5 percent

HOUSEHOLD INCOME (IN DOLLARS)*

1975 1980 1985 1990 1995 2015201020052000

$400,000

350,000

300,000

250,000

200,000

150,000

100,000

50,000

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United States trigger fears among some that the countr y is changing in ways that may undermine American v alues and alter fundamental identities. Yet a changing population has been one of the constants of American history.

America Is Built on the Ideas of Liberty, Equality, and Democracy

A fe w fundamental v alues underlie the American system. These values are reflected in such Founding docu – ments as the D eclaration of I nde- pendence, the Constitution, and

the Bill of Rights. The three v alues on which the American system of go vern- ment is based are liberty, equality, and democracy. Most Americans find it easy to affirm all three values in principle. I n practice, however, matters are not always so clear. Americans, moreover, are sometimes willing to subordinate liberty to security and have frequently tolerated significant departures from the principles of equality and democracy.

LIBERTY MEANS FREEDOM

No idea is mor e central to American values than liber ty. The Declaration of Independence defined three inalienable rights: “Life, Liber ty and the pursuit of Happiness.” The preamble to the Constitution likewise identified the need to secure “the Blessings of Liberty” as one of the key r easons for which the Constitution was drawn up. For Americans, liberty means freedom from government control as well as economic freedom. Both are closely linked to the idea of limited government, meaning that powers are defined and limited by a constitution.

The Constitution’s first 10 amendments, known collectively as the Bill of Rights, above all preserve individual personal liber ties and rights. In fact, liberty has come to mean many of the fr eedoms guaranteed in the Bill of Rights: freedom of speech and writing, the right to assemble fr eely, and the right to practice r eligious beliefs without interference from the government. Over the course of American history, the scope of personal liber ties has expanded as laws hav e become more tolerant and as individuals have successfully used the courts to challenge restrictions on their indi- vidual freedoms. Far fewer restrictions exist today on the press, political speech, and individual moral behavior than in the early y ears of the nation. E ven so, conflicts persist over how personal liber ties should be extended and when personal liber ties violate community norms.

In addition to personal freedom, the American concept of liber ty means economic freedom. Since the Founding, economic freedom has been linked to capitalism, free markets, and the pr otection of priv ate property. Free competition, the unfetter ed movement of goods, and the right to enjoy the fruits of one’s labor are all essential aspects of economic freedom and American capitalism.30 In the first century of the Republic, support for capitalism often meant support for the doctrine of laissez-faire

Analyze whether the U.S. system of government upholds American political values

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Global Diversity How does the racial and ethnic diversity of the United States compare to that of other countries around the world, and why are some countries more diverse than others?

As a “nation of immigrants,” the United States is more diverse than many Western countries, but some former colonies are even more diverse than the United States. Many countries in sub-Saharan Africa were colonized by empires whose governments often drew borders that encompassed multiple ethnic groups in the region. State- building and nationalism are new to these regions, meaning that local identities often remain stronger than national ones.

In contrast, many western european and Asian countries have histories of past conflict and strong state-building efforts, resulting

in less diversity either by eliminating rival groups or forcibly assimilating them. Japan’s geographic isolation has created a racially homogeneous society, which was reinforced by the government’s use of isolationism as a means to consolidate power.a Modern policies limiting immigration continue these historic trends. france has historically pursued both political and cultural assimilation, using its schools to socialize its citizens into a com- mon identity. Recent immigration, however, has highlighted potential problems with this policy.b

How might the degree of diversity shape political values in specific countries? What types of values and policies would we expect to see in countries with a high degree of diversity versus those with less diversity?

Most diverse

No data available

RACIAL AND ETHNIC DIVERSITY

Most homogeneous

aBenedict Anderson, Imagined Communities: Reflections on the Origin and Spread of Nationalism (London: Verso, 2006), 94–99. bJohn R. Bowen, Why the French Don’t Like Headscarves: Islam, the State, and Public Space (Princeton, NJ: Princeton University Press, 2007).

SOURCE: Alberto Alesina, Arnaud Devleeschauwer, William Easterly, Sergio Kurlat, and Romain Wacziarg, “Fractionalization,” Journal of Economic Growth, 8 (2003): 155–94.

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(literally, “let do” in French), an economic system in which the means of pr oduc- tion and distribution ar e privately owned and operated for pr ofit with minimal or no government interference. Laissez-faire capitalism allowed very little r oom for the national government to regulate trade or restrict the use of private property, even in the public interest. Americans still strongly support capitalism and economic liberty, but they now also endorse some r estrictions on economic fr eedoms to protect the public. Today, federal and state go vernments deploy a wide array of r egulations in the name of public protection. These include health and safety laws, environmental rules, and workplace regulations.

Not surprisingly, fierce disagreements often erupt over what the proper scope of government regulation should be. What some people regard as protecting the pub- lic, others see as an infringement of their o wn freedom to run their businesses and use their property as they see fit.

EQUALITY MEANS TREATING PEOPLE FAIRLY

The Declaration of I ndependence declares as its first “self-evident” truth that “ all men ar e cr eated equal.” As central as it is to the American political cr eed, how- ever, equality has been a less well-defined ideal than liberty because people interpret “equality” in different ways. Most Americans share the ideal of equality of opportunity wherein all people should have the freedom to use whatever talents and wealth they have to reach their fullest potential. Yet it is hard for Americans to r each an agree- ment on what constitutes equality of oppor tunity. Must a group’s past inequalities

Economic freedom lies at the heart of many conflicts in American life. While supporters of the Tea Party movement protest against economic regulation and higher taxes and support smaller government, many Americans feel it is the government’s responsibility to regulate economic activity to benefit the majority of Americans.

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be remedied in order to ensure equal opportunity in the present? Should inequalities in the legal, political, and economic spheres be given the same weight? In contrast to liberty, which requires limits on the role of government, equality implies an obliga- tion of the government to the people.31

Americans do make clear distinctions betw een political equality and social or economic equality . Political equality r efers to the right to par ticipate in poli – tics equally, based on the principle of “one person, one vote.” Beginning from a very restricted definition of political community, which originally included only propertied white men, the United States has moved much closer to an ideal of political equality. Broad support for this ideal has helped expand the American political community and extend the right to par ticipate to all. Although consi- derable conflict remains over whether the political system makes it har der for some people to par ticipate and easier for others, and about whether the r ole of money in politics has drowned out the public voice, Americans agree that all citizens should hav e an equal oppor tunity to par ticipate and that go vernment should enforce that right.

In part because Americans believe that individuals are free to work as hard as they choose, they have always been less concerned about social or economic inequality . Many Americans r egard economic differences as the consequence of individual choices, vir tues, or failur es. Because of this, Americans tend to be less suppor tive than most Europeans of government action to ensure economic equality. Since the recession of 2008, ho wever, income inequality has risen on the political agenda. In 2015 two-thirds of Americans said the distribution of w ealth and money is not fair and should be mor e evenly distributed; in 2017, 63 per cent of Americans said upper-income people pay too little in tax es, and 67 per cent said corporations pay too little.32

DEMOCRACY MEANS THAT WHAT THE PEOPLE WANT MATTERS

The essence of democracy is the participation of the people in choosing their r ulers and the people ’s ability to influence what those rulers do . I n a democracy, political po wer ultimately comes fr om the people. The principle of democracy in which political authority r ests ultimately in the hands of the people is kno wn as popular sovereignty. In the U nited States, popular so ver- eignty and political equality make politicians accountable to the people. I deally, democracy envisions an engaged citiz enry pr epared to ex ercise its po wer o ver rulers. As w e noted earlier , the U nited S tates is a r epresentative democracy , meaning that the people do not rule directly but instead exercise power through elected representatives. Forms of participation in a democracy vary greatly, but voting is a key element of the r epresentative democracy that the American Founders established.

American democracy r ests on the principle of majority rule with minority rights, the democratic principle that a government follows the preferences of the major- ity of voters but protects the inter ests of the minority . Majority rule means that

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the wishes of the majority determine what government does. The House of Representatives—a large body elected dir ectly b y the people—was designed in particular to ensure majority rule. But the Founders feared that popular majori – ties could turn government into a “tyranny of the majority” in which individual liberties would be violated. Concern for individual rights has thus been a par t of American democracy fr om the beginning. The rights enumerated in the Bill of Rights and enforced through the courts provide an important check on the power of the majority.

Government Affects Our Lives Every Day Since the U nited S tates was estab – lished as a nation, Americans hav e been r eluctant to grant go vernment too much power, and they have often

been suspicious of politicians. But over the course of the nation’s history, Americans have also turned to government for assistance in times of need and hav e strongly supported the go vernment in periods of war . In 1933 the po wer of the go vern- ment began to expand to meet the crises cr eated by the stock mar ket crash of 1929, the G reat Depression, and the r un on banks. Congr ess passed legislation that brought the government into the businesses of home mortgages, farm mort- gages, credit, and relief of personal distress. More recently, when the economy fell

The federal government maintains a large number of websites that provide useful information to citizens on such topics as loans for education, civil service job applications, the inflation rate, and how the weather will affect farming. These sites are just one way in which the government serves its citizens.

Explore Americans’ attitudes toward government

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into a r ecession in 2008 and 2009, the federal go vernment took action to shor e up the financial system, oversee the r estructuring of the ailing auto companies, and inject hundreds of billions of dollars into the faltering economy . Today, the national government is an enormous institution with programs and policies reach- ing into every corner of American life. I t oversees the nation’s economy, it is the nation’s largest employer, it provides citizens with a host of services, it controls the world’s most formidable militar y establishment, and it r egulates a wide range of social and commercial activities.

Much of what citizens have come to depend on and take for granted—as, somehow, par t of the natural envir onment—is in fact cr eated b y go vernment. Take the example of a typical college student’s day, throughout which that student relies on a host of ser vices and activities organiz ed by national, state, and local government agencies. The extent of this dependence on government is illustrated by Table 1.1.

TRUST IN GOVERNMENT HAS DECLINED

Ironically, even as popular dependence on government has grown, the American public’s vie w of go vernment has turned mor e sour . P ublic tr ust in go vernment has declined, and Americans ar e now more likely to feel that they can do little to influence the government’s actions. Different groups vary somewhat in their levels of tr ust: African Americans and Latinos express more confidence in the federal go vernment than do whites. But even among the most supportive groups, mor e than half do not tr ust the government.33 These developments are impor tant because politically en- gaged citiz ens and public confidence in government are vital for the health of a democracy . I n the early 1960s three-quarters of Americans said they trusted government most of the time or always. B y 2017 only 18 per cent of Americans expr essed such tr ust in government.34 Trust hit a high point after the S eptember 11, 2001, terr or- ist attacks, but fell to pre-attack levels within three years, and the tr end con- tinued its do wnward path. D istrust of government greatly influenced the pr esidential primar y elections in 2015 and 2016, when a number of “outsider” candidates—most notably

While levels of participation in politics are relatively low for young Americans, the presidential primary campaigns of 2008 and 2016 saw the highest levels of youth turnout—to volunteer and to vote—in decades. What factors might have energized young people to become involved in these campaigns?

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TIME SCHEDULE

7:00 a.m. Wake up. Standard time set by the national government.

7:10 a.m. Shower. Water courtesy of local government, either a public entity or a regulated private company. Brush your teeth with toothpaste whose cavity-fighting claims have been verified by a federal agency.

7:30 a.m. Have a bowl of cereal with milk for breakfast. “Nutrition facts” on food labels are a federal requirement, pasteurization of milk required by state law, recycling the empty cereal box and milk carton enabled by state or local laws.

8:30 a.m. Drive or take public transportation to campus. Air bags and seat belts required by federal and state laws. Roads and bridges paid for by state and local governments, speed and traffic laws set by state and local governments, public transportation subsidized by all levels of government.

8:45 a.m. Arrive on campus of large public university. Buildings are 70 percent financed by state taxpayers.

9:00 a.m. first class: chemistry 101. Tuition partially paid by a federal loan (more than half the cost of university instruction is paid for by taxpayers), chemistry lab paid for with grants from the National Science foundation (a federal agency).

Noon eat lunch. college cafeteria financed by state dormitory authority on land grant from federal Department of Agriculture.

2:00 p.m. Second class: American Government 101 (your favorite class!). you may be taking this class because it is required by the state legislature or because it fulfills a university requirement.

4:00 p.m. Third class: computer Science 101. free computers, software, and internet access courtesy of state subsidies plus grants and discounts from IBM and Microsoft, the costs of which are deducted from their corporate income taxes; internet built in part by federal government.

6:00 p.m. eat hamburger for dinner. Meat inspected by federal agencies.

7:00 p.m. Work at part-time job at the campus library. Minimum wage set by federal, state, or local government; books and journals in library paid for by state taxpayers.

8:15 p.m. check the status of your application for a federal student loan (fAfSA) on the Department of education’s website at studentaid.ed.gov.

10:00 p.m. Go home. Street lighting paid for by county and city governments, police patrols by city government.

10:15 p.m. Watch TV. Networks regulated by federal government, cable public- access channels required by city law. Weather forecast provided to broadcasters by a federal agency.

TABLE 1.1

The Presence of Government in the Daily Life of a Student at “State University”

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Donald Trump and Bernie Sanders, who were critical of go vernment and eager to depart from business as usual in Washington—attracted wide support.

Does it matter if Americans tr ust their go vernment? F or the most par t, the answer is yes. Most Americans rely on government for a wide range of ser vices and laws that they simply take for granted. B ut long-term distrust in go vernment can result in public r efusal to pay the tax es necessary to support such widely appr oved public activities. Lo w lev els of confidence may also make it difficult for govern- ment to attract talented and effective workers to public service.35 The weakening of government as a r esult of pr olonged lev els of distr ust may ultimately harm the capacity of the United States to defend its national inter est in the world economy and may jeopardize its national security. Likewise, a weak government can do little to assist citiz ens who need help in w eathering periods of sharp economic or technological change.

American Political Culture WHAT DO WE WANT? Americans express mixed views about government. Almost everyone complains about

government, and general trust in government has declined significantly. Despite mount-

ing distrust, when asked about particular government activities or programs, a majority

of Americans generally support the activities that government undertakes. These con-

flicting views reflect the tensions in American political culture: there is no perfect

balance between liberty, equality, and democracy. In recent years, finding the right mix

of government actions to achieve these different goals has become especially trouble-

some. Some charge that government initiatives designed to promote equality infringe

on individual liberty, while others point to the need for government to take action in

the face of growing inequality. Sharp political debate over competing goals alienates

many citizens, who react by withdrawing from politics. yet, in contrast to totalitarian

and authoritarian forms of government, democracy rests on the principle of popular

sovereignty. No true democracy can function properly without knowledgeable and

engaged citizens. The stories of Saira Blair and Kendric Jones at the beginning of this

chapter show that people often turn frustration with government into political action.

But running for office is only one way to participate in politics. The “Who Participates?”

feature on page 25 shows who voted in the 2016 presidential election.

The remarkable diversity of the American people represents a great strength for

American democracy as well as a formidable challenge. The shifting religious, racial,

ethnic, and immigration statuses of Americans throughout history have always pro-

voked fears about whether American values could withstand such dramatic shifts.

The changing face of America also sparks hopes for an America that embodies its

fundamental values more fully.

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Demographic changes will continue to raise tough new questions. for example,

as the American population grows older, programs for the elderly will take up an

increasing share of the federal budget. yet, to be successful, a nation must invest

in its young people. And, as any college student knows, the cost of college has risen

in recent years. Many students drop out as they discover that the cost of college is

too high. Or they graduate and find themselves saddled with loans that will take

decades to pay back. yet, in a world of ever-sharper economic competition, higher

education has become increasingly important for individuals seeking economic secu-

rity. Moreover, an educated population is critical to the future prosperity of the country

as a whole. Are there ways to support the elderly and the young at the same time? Is it

fair to cut back assistance to the elderly, who have worked a lifetime for their benefits?

If we decrease assistance to the elderly, will they stay in the labor market and make

the job hunt for young people even more difficult? As these trade-offs suggest, there

are no easy answers to these demographic changes.

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WHAT YOU CAN DOWHAT YOU CAN DOWHAT YOU CAN DO

Who Voted in 2016?

80%

College graduate Postgraduate study

Some high school Some collegeHigh school graduate

Age

Race / Ethnicity

Income Sex

Education*

18−29 30−44 45−64 65+

46% 59% 67% 71%

<$50,000

55%

$50,000−$99,999

69%

$100,000+

78%

White BlackHispanic Asian

Male

59%

Female

63%

65% 59%48% 49%

35% 63% 74%52%

*Highest level attained SOURCE: U.S. Census Bureau, Current Population Survey November 2016, census.gov (accessed 11/20/17).

WHO PARTICIPATES?

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Practice Quiz

1. What is the difference between a totalitarian government and an authoritarian government? (p. 5) a) Authoritarian governments require

popular participation while totalitar- ian governments do not.

b) Totalitarian governments are generally based on religion, while authoritarian governments are not.

c) Authoritarian governments are often restrained by the power of social institutions, while totalitarian governments are not.

d) Totalitarian governments acknowledge strict limits on their power, while authoritarian governments do not.

e) There is no difference between these two kinds of government.

2. In a constitutional government (p. 5) a) the government recognizes no

formal limits on its power. b) presidential elections are held

every four years. c) governmental power is held by a

single individual. d) formal and effective limits

are placed on the powers of government.

e) the government follows the wishes of the majority.

Register to vote. See page 242.

Cast your vote on Election Day. Consider encouraging others to vote too. Research shows that people are more likely to turn out to vote if a friend or family member asks them to.

Vote

Find out what’s on the ballot in upcoming elections in your state and district by entering your address at www.vote411.org (a website from the League of Women Voters).

WHAT YOU CAN DOWHAT YOU CAN DOWHAT YOU CAN DO

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3. A state that permits its citizens to vote directly on laws and policies is practicing a form of (p. 7) a) representative democracy b) direct democracy c) pluralism d) laissez-faire capitalism e) republicanism

4. Political efficacy is the belief that (p. 9) a) government operates efficiently. b) government has grown too large. c) government cannot be trusted. d) ordinary citizens can influence what

government does. e) government is wasteful and corrupt.

5. What is digital citizenship? (p. 9) a) a new government initiative to

expand online voter registration b) the ability to vote online c) an online certification program

that allows immigrants to become American citizens

d) the ability to participate in society online

e) a new government initiative to pro- vide daily legislative updates online

6. The percentage of foreign-born individuals living in the United States (pp. 11–12) a) has increased significantly since

reaching its low point in 1970. b) has decreased significantly since

reaching its high point in 1970. c) has remained the same since 1970. d) has never been less than the per-

centage of native-born individuals living in the United States.

e) has not been studied since 1970.

7. In 2016, latinos were approximately what percent of the American public? (p. 13) a) 67 percent b) 52 percent c) 31 percent d) 18 percent e) 6 percent

8. Which of the following statements best describes the changes in America’s age profile since 1900? (p. 13) a) The percentage of adults over the

age of 65 has declined dramatically.

b) The percentage of adults over the age of 65 has increased dramatically.

c) The percentage of adults over the age of 65 has remained constant.

d) The percentage of children under the age of 18 has increased dramatically.

e) The percentage of children under the age of 18 has remained constant.

9. What percent of Americans live in urban areas today? (p. 14) a) less than 10 percent b) about 20 percent c) about 40 percent d) about 60 percent e) about 80 percent

10. Which of the following statements best describes the history of income inequality in the United States? (p. 14) a) The top 1 percent has never

earned more than 10 percent of the nation’s annual income.

b) The top 1 percent has never earned less than 10 percent of the nation’s annual income.

c) Income inequality has remained fairly constant since the late 1970s.

d) Income inequality has increased considerably since the late 1970s.

e) Income inequality has decreased considerably since the late 1970s.

11. The phrase “life, liberty and the pur- suit of Happiness” appears in (p. 16) a) the preamble to the constitution. b) the Bill of Rights. c) the Declaration of Independence. d) the Magna carta. e) the Gettysburg Address.

12. An economic system in which the means of production and distribution are privately owned and operated for profit with minimal or no government interference is referred to as (p. 18) a) socialism. b) communism. c) laissez-faire capitalism. d) corporatism. e) feudalism.

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13. The principle of political equality can be best summed up as (p. 19) a) “equality of results.” b) “equality of opportunity.” c) “one person, one vote.” d) “equality between the sexes.” e) “leave everyone alone.”

14. Americans’ trust in their government (p. 21) a) has risen steadily since the

1960s. b) has remained relatively constant

since the 1960s. c) increased between 1960 and

2008 but has declined since.

d) increased after the September 11, 2001, terrorist attacks but has declined since.

e) declined after the September 11, 2001, terrorist attacks but has increased since.

Key Terms

authoritarian government (p. 5) a system of rule in which the government recognizes no formal limit but may nevertheless be restrained by the power of other social institutions

citizenship (p. 8) informed and active membership in a political community

constitutional government (p. 5) a system of rule in which formal and effective limits are placed on the powers of the government

democracy (p. 5) a system of rule that permits citizens to play a significant part in the governmental process, usually through the election of key public officials

direct democracy (p. 7) a system of rule that permits citizens to vote directly on laws and policies

equality of opportunity (p. 18) a widely shared American ideal that all people should have the freedom to use whatever talents and wealth they have to reach their fullest potential

government (p. 5) institutions and proce- dures through which a territory and its people are ruled

laissez-faire capitalism (p. 18) an economic system in which the means of production and distribution are privately owned and operated for profit with minimal or no government interference

liberty (p. 16) freedom from government control

limited government (p. 16) a principle of constitutional government; a government whose powers are defined and limited by a constitution

majority rule/minority rights (p. 19) the democratic principle that a government follows the preferences of the majority of voters but protects the interests of the minority

political efficacy (p. 9) the ability to influence government and politics

political equality (p. 19) the right to participate in politics equally, based on the principle of “one person, one vote”

political knowledge (p. 8) possessing information about the formal institutions of government, political actors, and political issues

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politics (p. 7) conflict over the leadership, structure, and policies of governments

popular sovereignty (p. 19) a principle of democracy in which political authority rests ultimately in the hands of the people

power (p. 7) influence over a government’s leadership, organization, or policies

Dahl, Robert. How Democratic Is the American Constitution? New Haven, cT: yale University Press, 2002.

Dalton, Russell. The Good Citizen: How a Younger Generation Is Reshaping American Politics. 2nd ed. Washington, Dc: cq Press, 2015.

Delli carpini, Michael X., and Scott Keeter. What Americans Know about Politics and Why It Matters. New Haven, cT: yale University Press, 1996.

Hochschild, Jennifer l. Facing Up to the American Dream: Race, Class, and the Soul of the Nation. Princeton, NJ: Princeton University Press, 1995.

lasswell, Harold. Politics: Who Gets What, When, How. New york: Meridian Books, 1958.

Mccarty, Nolan, Keith T. Poole, and Howard Rosenthal. Polarized America: The Dance of Ideology and Unequal Riches. cambridge, MA: MIT Press, 2008.

Mettler, Suzanne. The Submerged State: How Invisible Government Policies Undermine American Democracy. chicago: University of chicago Press, 2011.

Nye, Joseph S., Jr., Philip D. zelikow, and David c. King, eds. Why People Don’t Trust Government. cambridge, MA: Harvard University Press, 1997.

Page, Benjamin I., and lawrence R. Jacobs. Class War? What Americans Really Think about Economic Inequality. chicago: University of chicago Press, 2009.

Tocqueville, Alexis de. Democracy in America. Translated by Phillips Bradley. New york: Knopf, Vintage Books, 1945. first published 1835.

representative democracy (republic) (p. 7) a system of government in which the populace selects representatives, who play a significant role in governmental decision making

totalitarian government (p. 5) a system of rule in which the government recognizes no formal limits on its power and seeks to absorb or eliminate other social institutions that might challenge it

For Further Reading

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020202 chapter

The Founding and the Constitution WHAT GOVERNMENT DOES AND WHY IT MATTERS One of the worries of the framers of the U.S. Constitution was the concentration

of government powers and the possible infringement on individual liberties.

One solution was to divide the executive, legislative, and judicial powers of

government across different institutions with separate powers, each checking

the other. Governmental power was further divided between the national and

state governments. Sometimes this constitutional system and its effect on

average Americans comes vividly to life.

Jim Obergefell was a real estate agent and IT consultant in Cincinnati, Ohio,

in 1992 when he met and fell in love with John Arthur.1 Although their relation-

ship would last for decades, they were unable to marry. In 1996, Congress

passed and President Clinton signed the Defense of Marriage Act (DOMA), a

federal law defining marriage as between one man and one woman. States

could still permit same-sex marriage, but the marriages would not be recognized

for fede ral purposes such as filing taxes or earning Social Security survivor bene-

fits. The law also permitted states to refuse to recognize same-sex marriages

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The Founding and the Constitution

From America’s founding to today, debates over the role of the United States government in citizens’ lives have persisted. After the historic decision to rule same-sex marriage a right guaranteed by the Constitution, Jim Obergefell holds a photo of his late husband on the steps of the Supreme Court to celebrate his bittersweet victory.

31

performed in other states. Then the state of Ohio enacted its own DOMA in

2004, prohibiting same-sex marriage and refusing to recognize those per-

formed elsewhere.

Thus Obergefell and Arthur were unable to marry due to the actions of two

branches of the federal government—the executive and legislative—and their

state. The issue became more acute when Arthur was diagnosed with ALS, or

Lou Gehrig’s disease—a progressive, debilitating disease. Obergefell served

as Arthur’s primary caregiver, and the couple traveled to Maryland in 2013

and wed on the airport tarmac. Then they filed a lawsuit with the state of Ohio

for Obergefell to be recognized as the surviving spouse on Arthur’s imminent

death certificate. Arthur passed away three months later.

The case made it to the Supreme Court. In 2015 the Court ruled in Obergefell

v. Hodges that the fundamental right to marry is guaranteed to same-sex

couples by the Due Process and Equal Protection Clauses of the Fourteenth

Amendment to the U.S. Constitution.2 Thus the Court secured a civil right that

the executive and legislative branches and a number of states had denied.

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The U.S. Constitution lays out the purpose of government: to promote justice,

to maintain peace at home, to defend the nation from foreign foes, to provide for

the welfare of the citizenry, and, above all, to secure the “blessings of liberty” for

Americans. It also spells out a plan for achieving these objectives, including provi-

sions for the exercise of legislative, executive, and judicial powers and a recipe

for the division of powers among the federal government’s branches and between

the national and state governments. Jim Obergefell’s quest to marry the love of

his life intersected with all three branches and both levels of government.

His story also shows that although many Americans believe strongly in the

long-standing values of liberty, equality, and democracy, how those values are

defined and implemented by the political institutions that the Constitution

created are a source of considerable controversy. The framers believed that a

good constitution created a government with the capacity to act forcefully. But

they also believed that government should be compelled to take a variety of

interests and viewpoints into account when it formulates policies. Sometimes

the deliberation and compromise encouraged by the constitutional arrange-

ments of “separated institutions sharing powers” can result in policymaking

that is slow or even gridlocked.3 Public policy is always a product of political

bargaining. But so was the Constitution itself. As this chapter will show, the

Constitution reflects high principle as well as political self-interest and defines

the relationship between American citizens and their government.

★ Describe the events that led to the Declaration of Independence and the Articles of Confederation (pp. 33–38)

★ Analyze the reasons many Americans thought a new Constitution was needed, and assess the obstacles to a new Constitution (pp. 38–43)

★ Explain how the Constitution attempted to improve America’s governance, and outline the major institutions established by the Constitution (pp. 43–51)

★ Present the controversies involved in the struggle for ratification (pp. 51–56)

★ Trace how the Constitution has changed over time through the amendment process (pp. 56–60)

CHAPTER GOALS

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The First Founding: Ideals, Interests, and Conflicts

The government created by the coun- try’s Founders was the product of British legal and political traditions, colonial experience, and ne w ideas about governance that gained currency

in the centur y befor e America br oke with B ritain. While America’s leaders w ere first and foremost practical politicians, they also read political philosophy and were influenced by the impor tant thinkers of their day , including H obbes, Locke, and Montesquieu.

The seventeenth-century British philosopher Thomas Hobbes (1588–1679) was no adv ocate of democratic go vernment, but he wr ote persuasiv ely in Leviathan about the necessity of a government authority as an antidote to human existence in a government-less state of nature, where life was “solitary, poor, nasty, brutish, and short.” He also believ ed that go vernments should hav e limits on the po wers they exercised and that political systems ar e based on the idea of “ contract theor y”— that the people of a countr y voluntarily give up some fr eedom in exchange for an ordered society. The monarchs who rule that society derive their legitimacy from this contract, not from a God-given right to rule.

Another British political thinker, John Locke (1632–1704), advanced the prin- ciples of republican government by arguing not only that monar chical power was not absolute, but that such power was dangerous and should therefore be limited. In a break with Hobbes, Locke argued that the people retain rights despite the social contract they make with the monar ch. Preserving safety in society is not enough; people’s lives, liberty, and property also require protection. Further, Locke wrote in his Second Treatise of Civil Government that the people of a countr y have a right to overthrow a government they believe to be unjust or tyrannical. This key idea shaped the thinking of the Founders, including Thomas Jefferson, the primary author of the Declaration of Independence, who said that the document was “pure Locke.” Locke adv anced the impor tant ideas of limited go vernment and consent of the governed.

Baron de la Brède et de Montesquieu (1689–1755) was a French political thinker who advocated the idea that po wer needed to be balanced b y power as a bulwar k against tyranny. The way in which this could be achieved was through the separation of governing powers. This idea was already in practice in B ritain, where legislative and executive powers were divided betw een Parliament and the monar ch. In The Spirit of the Laws , Montesquieu argued for the separation and elev ation of judicial power, which in Britain was still held by the monarch. Montesquieu did not argue for a pur e separation of po wers; rather, basic functions would be separated, but there would also be some o verlap of functions. These ideas were central in shaping the thr ee-branch system of go vernment that America ’s Founders outlined in the Constitution of 1787.

Describe the events that led to the Declaration of Independence and the Articles of Confederation

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NARROW INTERESTS AND POLITICAL CONFLICTS SHAPED THE FIRST FOUNDING

The American Revolution and the U.S. Constitution were outgrowths of a struggle among competing economic and political for ces within the colonies. F ive sectors of society had inter ests that were important in colonial politics: (1) N ew England merchants; (2) southern planters; (3) “royalists”—holders of royal lands, offices, and patents (licenses to engage in a profession or business activity); (4) shopkeepers, artisans, and labor ers; and (5) small farmers. Throughout the eighteenth centur y, these groups were in conflict over issues of taxation, trade, and commer ce. For the most part, however, the southern planters, the New England merchants, and the royal office and patent holders—groups that together made up the colonial elite— were able to maintain a political alliance that held in check the mor e radical forces representing shopkeepers, labor ers, and small farmers. After 1760, ho wever, b y seriously threatening the interests of New England merchants and southern plant – ers, British tax and trade policies split the colonial elite, permitting radical forces to expand their political influence, and set in motion a chain of events that culminated in the American Revolution.4

BRITISH TAXES HURT COLONIAL ECONOMIC INTERESTS

During the first half of the eighteenth century, Britain ruled its American colonies with a light hand. Evidence of British rule was hardly to be found outside the largest towns, and the enterprising colonists had found ways of ev ading most of the tax es levied by the distant B ritish government. Beginning in the 1760s, however, debts and other financial problems faced by the British government forced it to search for new revenue sources. This search rather quickly led to the Crown’s North American colonies, which, on the whole, paid remarkably little in taxes to their parent country. Much of Britain’s debt arose from the expenses it had incurr ed in defense of the colonies during the recent French and Indian War (1756–63), as well as from the continuing protection that British forces were giving the colonists from Indian attacks and that the British navy was providing for colonial shipping. Thus, during the 1760s, Great Britain sought to impose new, though relatively modest, taxes on the colonists.

Like most go vernments of the period, the B ritish regime had limited ways in which to collect revenues. In the mid-eighteenth century, governments relied mainly on tariffs, duties, and other taxes on commerce; and it was to such taxes, including the Stamp Act, that the British turned during the 1760s.

The Stamp Act and other tax es on commer ce, such as the S ugar Act of 1764, which tax ed sugar , molasses, and other commodities, most heavily affected the two groups in colonial society whose commercial interests and activities were most extensive—the New England merchants and the southern planters. U nited under the famous slogan “No taxation without representation,” the merchants and plant- ers sought to organize opposition to these new taxes. In the course of the struggle against British tax measures, the planters and mer chants broke with their royalist

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allies and turned to their former adv ersaries—the shopkeepers, labor ers, ar tisans, and small farmers—for help. With the assistance of these groups, the merchants and planters organized demonstrations and a bo ycott of B ritish goods that ultimately forced the Crown to rescind most of its hated new taxes.

From the perspective of the merchants and planters, this was a victorious con- clusion to their struggle with the parent country. They were anxious to end the un- rest they had helped to arouse, and they supported the British government’s efforts to restore order. Indeed, most respectable Bostonians suppor ted the actions of the British soldiers involved in the Boston Massacre (1770), when those soldiers killed five colonists while attempting to repel an angry mob moving against a government building. In their subsequent trial, the soldiers were defended by John Adams, a pillar of Boston society and a future president of the United States. Adams asserted that the soldiers’ actions were entirely justified, provoked as they were by “a motley rabble of saucy boys, negroes and mulattoes, Irish teagues and outlandish Jack tars.” All but two of the soldiers were acquitted.5

Yet political strife persisted. The more radical for ces representing shopkeepers, artisans, laborers, and small farmers, who had been mobilized and energized by the struggle over taxes, continued to agitate for political and social change. These radi- cals, whose leaders included Samuel Adams, a cousin of John Adams, asserted that British power supported an unjust political and social structure within the colonies and began to advocate an end to British rule.6

POLITICAL STRIFE RADICALIZED THE COLONISTS

The political strife within the colonies was the background for the events of 1773–74. I n 1773 the B ritish go vernment granted the politically po werful but ailing East I ndia Company a monopoly on the expor t of tea fr om Britain, elimi- nating a lucrative form of trade for colonial merchants. To add insult to injury, the East India Company sought to sell the tea directly in the colonies instead of working through the colonial mer chants. Tea was an extr emely impor tant commodity in the 1770s, and these B ritish actions posed a serious thr eat to the N ew E ngland merchants. Together with their southern allies, the mer chants once again called upon the radicals for support. The most dramatic result was the Boston Tea Party of 1773, when anti-British radicals, led by Samuel Adams (some of them “disguised” as Mohawk Indians), boarded three vessels anchored in Boston Harbor and threw the entire cargo of 342 chests of tea into the harbor.

This event was of decisiv e importance in American histor y. The merchants had hoped to for ce the B ritish government to r escind the Tea Act, but they did not support any demands beyond this one. They certainly did not seek independence from Britain. Samuel Adams and the other radicals, however, hoped to provoke the British government to take actions that would alienate its colonial suppor ters and pave the way for a rebellion. This was precisely the purpose of the Boston Tea Party, and it succeeded. B y dumping the East I ndia Company’s tea into Boston H arbor, Adams and his follo wers goaded the B ritish into enacting a number of harsh reprisals that closed the por t of Boston to commer ce, changed the pr ovincial

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government of M assachusetts, pr ovided for the r emoval of accused persons to Britain for trial, and, most impor tant, restricted movement to the West—further alienating the southern planters, who depended upon access to ne w western lands. These acts of retaliation confirmed the worst criticisms of British rule and helped radicalize Americans. Radicals such as Samuel Adams had been agitating for mor e violent measures against the British. But ultimately it was B ritain’s political repres- sion that fanned support for independence.

Thus, the Boston Tea Party set in motion a cy cle of provocation and retaliation that in 1774 r esulted in the conv ening of the F irst Continental Congr ess—an assembly of delegates from all parts of the colonies that called for a total boycott of British goods and, under the prodding of the radicals, began to consider the possi – bility of independence fr om British rule. The eventual result was the D eclaration of Independence.

THE DECLARATION OF INDEPENDENCE EXPLAINED WHY THE COLONISTS WANTED TO BREAK WITH GREAT BRITAIN

In 1776, mor e than a y ear after open war fare had commenced in M assachusetts, the S econd Continental Congr ess appointed a committee consisting of Thomas Jefferson of Virginia, B enjamin F ranklin of P ennsylvania, R oger S herman of Connecticut, John Adams of M assachusetts, and R obert Livingston of N ew York to draft a statement of American independence fr om British rule. The Declaration

The British helped radicalize colonists through policy decisions in the years before the Revolution. For example, Britain gave the East India Company a monopoly on the tea trade in the American colonies, which colonists feared would hurt colonial merchants’ business.

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of Independence, written b y Jefferson and adopted b y the S econd Conti – nental Congress, was an extraor dinary philosophical and political document. Philosophically, the D eclaration was remarkable for its assertion that certain rights, called “ unalienable rights ”— including life, liber ty, and the pursuit of happiness—could not be abridged by governments. In the world of 1776, a world in which some kings still claimed to rule by divine right, this was a dramatic statement.

Politically, the D eclaration was r e- markable because it focused on griev – ances, aspirations, and principles that might unify the various colonial groups that w ere other wise divided economi – cally, philosophically , and b y r egion. The Declaration was an attempt to identify and ar ticulate a histor y and set of principles that might help to forge national unity.7 It also explained to the rest of the world why American colo – nists w ere attempting to br eak away from Great Britain.

THE ARTICLES OF CONFEDERATION CREATED AMERICA’S FIRST NATIONAL GOVERNMENT

Having declar ed their independence, the colonies needed to establish a go vern- mental structure. In November 1777 the Continental Congress adopted the Articles of Confederation, the United States’ first written constitution. Although it was not ratified by all the states until 1781, it was the country’s operative constitution until the final months of 1788.

The Articles of Confederation were concerned primarily with limiting the powers of the central government. The central government, first of all, was based entirely in a Congress. Since it was not intended to be a po werful government, it was giv en no executive branch. Execution of its laws was to be left to the individual states. S econd, the Congress had little po wer. Its members w ere not much mor e than delegates or messengers from the state legislatures. They were chosen by the state legislatures, their salaries were paid out of the state treasuries, and they were subject to immediate recall by state authorities. In addition, each state, regardless of its size, had only a single vote.

The Congress was giv en the po wer to declar e war and make peace, to make treaties and alliances, to coin or borr ow money, and to r egulate trade with the

The purpose of the Declaration of Independence was to explain to the world why the colonists had rebelled against the British and sought self-government. Every year, Americans celebrate the signing of the Declaration on the Fourth of July.

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Native Americans. It could also appoint the senior officers of the U.S. Army. But it could not levy taxes or regulate commerce among the states. Moreover, the army officers it appointed had no army to serve in because the nation ’s armed forces were composed of the state militias. And in or der to amend the Ar ticles, all 13 states had to agree—a virtual impossibility. Probably the most unfortunate part of the Articles of Confederation was that the central government could not prevent one state from discriminating against other states in the quest for foreign commerce.

The relationship between the Congress and the states under the Articles of Con- federation was one in which the states r etained virtually all governmental powers. It was properly called a confederation (a system of government in which states retain sovereign authority ex cept for the po wers expressly delegated to the national go v- ernment) because, as pr ovided under Ar ticle II, “ each state r etains its so vereignty, freedom and independence, and every Power, Jurisdiction and right, which is not by this confederation expressly delegated to the United States, in Congress assembled.” Not only was there no executive, there also was no judicial authority and no other means of enforcing the Congress’s will. If there was to be any enforcement at all, the states would do it for the Congress.8

The Failure of the Articles of Confederation Made the “Second Founding” Necessary

The Declaration of Independence and the Ar ticles of Confederation were not sufficient to hold the new nation together as an independent and effective nation-state. From almost the moment of armistice

with the B ritish in 1783, mo ves were afoot to r eform and str engthen the Ar ticles of Confederation.

Competition among the states for foreign commerce posed a special prob- lem to the ne w countr y because it allo wed the E uropean po wers to play the states against one another , which not only made America seem w eak and vul – nerable abroad but also cr eated confusion on both sides of the A tlantic. At one point during the winter of 1786–87, J ohn Adams of Massachusetts, a leader in the independence str uggle, was sent to negotiate a ne w treaty with the B ritish, one that would co ver disputes left o ver from the war . The British government responded that, because the U nited S tates under the Ar ticles of Confedera – tion was unable to enfor ce existing treaties, it would negotiate with each of the 13 states separately.

At the same time, w ell-to-do Americans—in par ticular the N ew E ngland merchants and southern planters—w ere troubled by the influence that “radical” forces ex ercised in the Continental Congr ess and in the go vernments of sev er- al of the states. As a r esult of the R evolution, one key segment of the colonial

Analyze the reasons many Americans thought a new Constitution was needed, and assess the obstacles to a new Constitution

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elite—the royal land office, and patent holders—was stripped of its economic and political privileges. And while the pre-Revolutionary elite were weakened, the pre- Revolutionary radicals w ere better organiz ed than ev er and no w controlled such states as Pennsylvania and Rhode Island, wher e they pursued economic and political policies that str uck terr or into the hear ts of the pr e-Revolutionary political establishment. O f course, the central go vernment under the Ar ticles of Confederation was powerless to intervene.

THE ANNAPOLIS CONVENTION WAS KEY TO CALLING A NATIONAL CONVENTION

The continuation of international weakness and domestic economic turmoil led many Americans to consider whether their ne wly adopted form of go vern- ment might not alr eady require revision. In the fall of 1786, many state lead – ers accepted an invitation fr om the Virginia legislatur e for a confer ence of representatives of all the states, to be held in Annapolis, Maryland. Delegates from only five states actually attended, so nothing substantiv e could be accom – plished. Still, this conference was the first step toward what is now known as the second founding. The one positive thing that came out of the Annapolis convention was a car efully worded r esolution calling on the Congr ess to send commissioners to Philadelphia at a later time “ to devise such fur ther provisions as shall appear to them necessar y to r ender the Constitution of the F ederal Government adequate to the exigencies of the U nion.”9 But the r esolution did not necessarily imply any desire to do more than improve and reform the Articles of Confederation.

The government under the Ar ticles did enact some impor tant measur es, including the Land O rdinance of 1785 and the N orthwest Ordinance of 1787. The Land Ordinance established the principles of land surveying and landowner- ship that go verned America ’s w estward expansion, and under the N orthwest Ordinance the states agreed to surrender their western land claims, which opened the way for the admission of ne w states to the U nion. Still, the y oung nation’s political and economic position deteriorated during the 1780s, and something had to be done.

SHAYS’S REBELLION SHOWED HOW WEAK THE GOVERNMENT WAS

It is quite possible that the Constitutional Conv ention of 1787 in P hiladelphia would never have taken place at all except for a single event that occurred during the winter following the Annapolis convention: Shays’s Rebellion.

Daniel Shays, a former army captain, led a mob of farmers in a rebellion against the government of Massachusetts, which had levied heavy tax es against them. The purpose of the rebellion was to prevent foreclosures on farmers’ debt-ridden land by keeping the county courts of western Massachusetts from sitting until after the next election. A militia force, organized by the Governor of Massachusetts and privately

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funded by a group of prominent merchants, dispersed the mob, but for several days in February 1787, Shays and his followers terrified the state government b y attempting to captur e the federal arsenal at S pring- field, provoking an appeal to the Congr ess to help restore order. Within a few days, the state government regained control and captur ed 14 of the r ebels. (All were eventually pardoned.) Later that year, a ne wly elected Massachusetts legislature granted some of the farmers’ demands.

George Washington summed up the effects of this incident: “I am mor tified beyond expression that in the moment of our acknowledged independence we should by our conduct v erify the pr edictions of our transatlantic foe, and r ender ourselves ridiculous and contemptible in the eyes of all Europe.”10

The Congress under the Confederation had been unable to act decisively in a time of crisis. This provided critics of the Ar ticles of Confederation with precisely the evidence they needed to push the Annapolis r esolution thr ough the Congr ess. Thus, the states w ere asked to send r epresentatives to Philadelphia to discuss constitutional r evision. Delegates were eventually sent by every state except Rhode Island.

THE CONSTITUTIONAL CONVENTION DIDN’T START OUT TO WRITE A NEW CONSTITUTION

The delegates who convened in Philadelphia in May 1787 had political strife, inter- national embarrassment, national weakness, and local rebellion fixed in their minds. Recognizing that these issues were symptoms of fundamental flaws in the Articles of Confederation, the delegates soon abandoned the plan to r evise the Articles and committed themselves to a second founding—a second, and ultimately successful, attempt to cr eate a legitimate and effective national system of government. This effort would occupy the convention for the next five months.

A Marriage of Interest and Principle For years, scholars hav e disagreed about the motives of the F ounders in Philadelphia. Among the most contr oversial views of the framers ’ motives is the “ economic interpretation” put for ward by historian Charles Beard and his disciples.11 According to Beard’s account, America’s Founders were a collection of securities speculators and property owners whose only aim was personal enrichment. From this perspectiv e, the Constitution’s lofty principles ar e little more than sophisticated masks behind which the most v enal interests sought to enrich themselves.

In 1787, Daniel Shays led a makeshift army against the federal arsenal at Springfield to protest heavy taxes levied by the Massachusetts legislature. The rebellion proved the Articles of Confederation were too weak to protect the fledgling nation.

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The opposing view is that the framers of the Constitution were concerned with philosophical and ethical principles. Indeed, the framers did try to devise a system of government consistent with the dominant philosophical and moral principles of the day. But, in fact, these two views belong together; the Founders’ interests were rein- forced by their principles. The convention that drafted the American Constitution was chiefly organized by the N ew England merchants and southern planters. Although the delegates representing these groups did not all hope to pr ofit personally from an increase in the value of their securities, as Beard would have it, they did hope to benefit in the br oadest political and economic sense b y breaking the po wer of their radical foes and establishing a system of go vernment more compatible with their long-term economic and political interests. Thus, the framers sought to create a new government capable of promoting commerce and protecting property from radical state legislatures and populist forces hostile to the interests of the commercial and propertied classes.

 
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