Are American elections truly democratic?
Pleas answer two of the following questions based on your readings from the book “BY THE PEOPLE , DEBATING AMERICAN GOVERNMENT,4TH EDITION. The answer for each question should be at least two full pages (font 12 double-spaced) long.
- Who governs America? (Chapter 1) Please discuss the four theories. Which theory do you agree with? Why? Please support your answer with examples.
- After the coronoa pandemic, is federalism still an ideal system of governance for Americans? Why, why not? Suppose a central national authority ran the country, and the governors and mayors were entirely subordinate to it, would the response to the virus be different? Please use information from chapter one, two, and three to answer.
- Are American elections truly democratic? Do citizens decide who gets elected? What role money and PACs play in our elections?
- Explain the principle of checks and balances? Does it work in America? Are congress and the courts able to hold President Trump responsible for his actions?
BY THE PEOPLE DEBATING AMERICAN GOVERNMENT
BY THE PEOPLE DEBATING AMERICAN GOVERNMENT | FOURTH EDITION
JAMES A. MORONE Brown University
ROGAN KERSH Wake Forest University
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Library of Congress Cataloging-in-Publication Data
Names: Morone, James A., 1951- author. | Kersh, Rogan, author. Title: By the people: debating American government / James A. Morone, Brown University, Rogan Kersh, Wake Forest University. Description: Fourth Edition. | New York: Oxford University Press, [2018] | Includes bibliographical references and index. Identifiers: LCCN 2018049760 (print) | LCCN 2018050653 (ebook) | ISBN 9780190928629 (ebook) | ISBN 9780190928711 (Paperback) | ISBN
9780190928636 (Looseleaf) Subjects: LCSH: United States—Politics and government—Textbooks. | United States. Constitution. Classification: LCC JK276 (ebook) | LCC JK276 .M67 2019 (print) | DDC 320.473—dc23 LC record available at https://lccn.loc.gov/2018049760
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Many teachers and colleagues inspired us. We dedicate this book to four who changed our lives. Their passion for learning and teaching set the standard we aim for every day—and on every page that follows.
Richard O’Donnell Murray Dry
Jim Barefield Rogers Smith
F
By the People comes from the Gettysburg Address. Standing on the battlefield at Gettysburg, President Abraham Lincoln delivered what may be the most memorable presidential address in American history— defining American government as a government “of the people, by the people, for the people.” Here is the full address.
our score and seven years ago our fathers brought forth on this continent, a new nation, conceived in liberty, and dedicated to the proposition that all men are created equal.
Now we are engaged in a great civil war, testing whether that nation, or any nation so conceived and so dedicated, can long endure. We are met on a great battle-field of that war. We have come to dedicate a portion of that field, as a final resting place for those who here gave their lives that that nation might live. It is altogether fitting and proper that we should do this.
But, in a larger sense, we can not dedicate—we can not consecrate—we can not hallow—this ground. The brave men, living and dead, who struggled here, have consecrated it, far above our poor power to add or detract. The world will little note, nor long remember what we say here, but it can never forget what they did here. It is for us the living, rather, to be dedicated here to the unfinished work which they who fought here have thus far so nobly advanced. It is rather for us to be here dedicated to the great task remaining before us—that from these honored dead we take increased devotion to that cause for which they gave the last full measure of devotion—that we here highly resolve that these dead shall not have died in vain—that this nation, under God, shall have a new birth of freedom—and that government of the people, by the people, for the people, shall not perish from the earth.
PART I
PART II
PART III
PART IV
1
2
3
4
5
6
7
8
9
10
11
12
13
14
15
16
Brief Contents About the Authors Preface Acknowledgments
IDEAS AND RIGHTS
The Spirit of American Politics
The Ideas That Shape America
The Constitution
Federalism and Nationalism
Civil Liberties
The Struggle for Civil Rights
POLITICAL BEHAVIOR
Public Opinion
Political Participation
Media, Technology, and Government
Campaigns and Elections
Political Parties
Interest Groups
POLITICAL INSTITUTIONS
Congress
The Presidency
Bureaucracy
The Judicial Branch
POLICYMAKING
17
18
Public Policymaking and Budgeting
Foreign Policy
APPENDIX I The Declaration of Independence
APPENDIX II The Constitution of the United States of America
APPENDIX III The Federalist Papers nos. 1, 10, and 51
Glossary Notes Credits Index Presidential Elections, Congressional Control, 1789–2019
PART I
Contents Cover Half Title Title Page Copyright Dedication Dedication Brief Contents About the Authors Preface Acknowledgments
IDEAS AND RIGHTS
1 The Spirit of American Politics
Who Governs? WHAT DO YOU THINK? WHO GOVERNS?
How Does American Politics Work? Ideas Institutions Interests Individuals History
What Does Government Do? Context: Government in Society No Big Government! What Government Does A Chronic Problem COMPARING NATIONS 1.1 U.S. Taxpayers Less Burdened Than Other Advanced Countries The Hidden Government The Best of Government
Who Are We? COMPARING NATIONS 1.2 Aging Populations
INFO DATA Demographics in America: How Are Race and Ethnicity Changing Over Time?
WHAT DO YOU THINK? GETTING ENGAGED IN POLITICS—OR NOT
Conclusion: Your Turn Chapter Summary Key Terms Study Questions
2 The Ideas That Shape America
A Nation of Ideas BY THE NUMBERS American Ideas
Liberty “The Land of the Free” The Two Sides of Liberty
WHAT DO YOU THINK? NEGATIVE VERSUS POSITIVE LIBERTY The Idea of Freedom Is Always Changing
Self-Rule One Side of Self-Rule: Democracy Another Side of Self-Rule: A Republic A Mixed System
Limited Government The Origins of Limited Government And Yet . . . Americans Keep Demanding More Government COMPARING NATIONS 2.1 Satisfaction With How Democracies Are Working Limits on Government Action When Ideas Clash: Democracy and Limited Government
WHAT DO YOU THINK? DEMOCRACY VERSUS LIMITED GOVERNMENT
Individualism Community Versus Individualism COMPARING NATIONS 2.2 Should Government Take Care of the Poor? The Roots of American Individualism: Opportunity and Discord
Golden Opportunity Social Conflict
Who We Are: Individualism and Solidarity?
WHAT DO YOU THINK? INDIVIDUALISM VERSUS SOLIDARITY
The American Dream Spreading the Dream Challenging the Dream
Is the System Tilted Toward the Wealthy? Does the American Dream Promote the Wrong Values?
COMPARING NATIONS 2.3 Social Mobility Around the World
Equality
Three Types of Equality INFO DATA Most Americans Believe: There Is “Opportunity to Get Ahead”
How Much Economic Inequality Is Too Much? Opportunity or Outcome?
Religion Still a Religious Country So Many Religions Politics of Religion
How Do Ideas Affect Politics? Ideas in American Culture Ideas in Political Institutions Culture or Institutions?
Conclusion: Culture and Institutions, Together Chapter Summary Key Terms Study Questions
3 The Constitution
BY THE NUMBERS The Constitution
The Colonial Roots of the Constitution COMPARING NATIONS 3.1 The U.S. Constitution in Comparative Context
Why the Colonists Revolted The Colonial Complaint: Representation The Conflict Begins with Blood on the Frontier The Stamp Tax and the First Hints of Independence The Townshend Acts Worsen the Conflict The Boston Tea Party Revolution! A Long Legacy
The Declaration of Independence The Principle: “We Hold These Truths . . .” Grievances
The First American Government: The Articles of Confederation Independent States The National Government Some Success . . . . . . And Some Problems Secrecy
WHAT DO YOU THINK? YOUR ADVICE IS NEEDED
The Constitutional Convention 1. How Much Power to the People?
2. National Government Versus State Government 3. Big States Versus Small States
The Virginia Plan The New Jersey Plan The Connecticut Compromise
4. The President Committee or Individual? The Electoral College The President: Too Strong or Too Weak?
5. Separation of Powers 6. “A Principle of Which We Were Ashamed”
The Three-Fifths Compromise The Slave Trade Fugitive Slaves “The National Calamity”
An Overview of the Constitution Preamble Article 1: Congress
WHAT DO YOU THINK? HAVE WE ACHIEVED THESE NATIONAL GOALS TODAY? Article 2: The President COMPARING NATIONS 3.2 The U.S. Government Is Different from Most Democracies Article 3: The Courts Article 4: Relations Between the States Article 5: Amendments Article 6: The Law of the Land Article 7: Ratification The Missing Articles
Ratification The Anti-Federalists The Federalists Two Strong Arguments A Very Close Vote A Popular Surge Propels People into Politics
Changing the Constitution The Bill of Rights The Seventeen Amendments The Constitution Today
WHAT DO YOU THINK? HOW STRICTLY SHOULD WE INTERPRET THE CONSTITUTION? INFO DATA Amend the Constitution Today? On What Issue?
Conclusion: Does the Constitution Still Work? Chapter Summary Key Terms Study Questions
4 Federalism and Nationalism
BY THE NUMBERS Federalism and Nationalism
Forging Federalism Who Holds Government Authority?
Advantages of State-Level Policy The Advantages of National Policy
INFO DATA Regulatory Policies: Differ by State
WHAT DO YOU THINK? PRESERVING LOCAL VALUES OR PROMOTING CONSISTENT NATIONAL POLICY?
How Federalism Works The Constitution Sets the Ground Rules
The Constitution Empowers National Authority The Constitution Protects State Authority The Constitution Authorizes Shared Power
Dual Federalism (1789–1933) Cooperative Federalism (1933–1981) New Federalism Progressive Federalism
Education Healthcare
Federalism Today
Issues in Federalism Unfunded Mandates The Problems We Face: How Government Grows Drowned in the Bathtub? Reducing the Federal Government On Both Sides of the Issue In a Nutshell: Our Three-Dimensional Political Chess
Federalism in the Courts Nationalism, American Style
The Rise of American Nationalism America’s Weak National Government
Size COMPARING NATIONS 4.1 Government Spending as a Proportion of Gross Domestic Product
Authority Independence
Conclusion: Who Are We? Chapter Summary Key Terms Study Questions
5 Civil Liberties
The Rise of Civil Liberties Civil Rights and Civil Liberties BY THE NUMBERS Civil Liberties
The Purpose of Civil Liberties The Slow Rise of Civil Liberties
Privacy “Penumbras” and “Emanations”
Roe v. Wade
WHAT DO YOU THINK? IS THERE A RIGHT TO PRIVACY? Planned Parenthood v. Casey
Sex Between Consenting Adults Clashing Principles
Freedom of Religion The Establishment Clause Free Exercise of Religion
WHAT DO YOU THINK? MAY THE CHRISTIAN YOUTH CLUB MEET IN SCHOOL?
Freedom of Speech A Preferred Position Political Speech COMPARING NATIONS 5.1 Civil Liberties Around the World Symbolic Speech Limits to Free Speech: Fighting Words
WHAT DO YOU THINK? FREE SPEECH ON CAMPUS Limited Protections: Student Speech
Freedom of the Press Prior Restraint Obscenity Libel
The Right to Bear Arms A Relic of the Revolution? The Palladium of All Liberties?
INFO DATA Guns on Campus: Should Colleges Allow Concealed Carry?
The Rights of the Accused The Fourth Amendment: Search and Seizure The Fifth Amendment: Rights at Trials The Sixth Amendment: The Right to Counsel The Eighth Amendment: The Death Penalty
WHAT DO YOU THINK? END THE DEATH PENALTY?
Terrorism, Non-Citizens, and Civil Liberties Contacts with Forbidden Groups Surveillance The Rights of Non-Citizens
Conclusion: The Dilemma of Civil Liberties
Chapter Summary Key Terms Study Questions
6 The Struggle for Civil Rights
Winning Rights: The Political Process Seven Steps to Political Equality BY THE NUMBERS Civil Rights
How the Courts Review Cases Suspect Categories Quasi-Suspect Categories Nonsuspect Categories
Race and Civil Rights: Revolt Against Slavery The Clash over Slavery
Abolition Economics Politics Dred Scott v. Sandford
The Second American Founding: A New Birth of Freedom? Freedom Fails
The Fight for Racial Equality Two Types of Discrimination The Modern Civil Rights Campaign Begins The Courts The Civil Rights Movement Congress and the Civil Rights Act Divisions in the Movement
The Post Civil Rights Era Affirmative Action in the Workplace Affirmative Action in Education
WHAT DO YOU THINK? HIGHER EDUCATION AND AFFIRMATIVE ACTION
Women’s Rights Suffrage The Civil Rights Act of 1964 COMPARING NATIONS 6.1 Percentage of Women in National Legislatures: Selected Countries Equal Rights Amendment The Courts Progress for Women—But How Much?
Hispanics Challenging Discrimination The Politics of Immigration
Ancient Fears
PART II
Three Categories Undocumented Individuals
Language Controversy: Speak English! Political Mobilization
Asian Americans Native Americans
The Lost Way of Life Indians and the Federal Government Social Problems and Politics Native Americans and the Courts
Groups Without Special Protection People with Disabilities Sexual Orientation and Gender Identity
INFO DATA Protections for Sexual Orientation and Gender Identity: How Do Employment Laws Vary by State?
The Fight for Civil Rights Goes On Voting Rights Today Economic and Social Rights Today
Health Income Incarceration
Conclusion: Civil Rights . . . By the People Chapter Summary Key Terms Study Questions
POLITICAL BEHAVIOR
7 Public Opinion
BY THE NUMBERS Public Opinion
Sources of Public Opinion Political Socialization
Parents and Friends Education Gender Race Religion Life Events
Party Self-Interest: Voting Our Pocketbooks Elite Influence Wars and Other Focusing Events
Measuring Public Opinion
Polling Bloopers Polling 101
The Random Sample Sampling Frame Refining the Sample Timing
INFO DATA Pollsters Face Growing Challenge: How Can They Persuade Americans to Participate in Polls? Wording Lies, Damn Lies, and Polls Technology and Error Sampling Error and Response Bias
COMPARING NATIONS 7.1 Top Global Threats: Polling Around the World How Did They Do?
WHAT DO YOU THINK? IS POLLING BAD FOR DEMOCRACY? Do Opinion Surveys Influence Us?
Public Opinion in a Democracy Ignorant Masses The Rational Public
WHAT DO YOU THINK? HOW CLOSELY SHOULD ELECTED OFFICIALS FOLLOW PUBLIC OPINION?
Public Opinion and Governing Do the People Know What They Want? How Do the People Communicate Their Desires? Do Leaders Respond to Public Opinion?
Conclusion: Government by the People Chapter Summary Key Terms Study Questions
8 Political Participation
How We Participate Traditional Participation BY THE NUMBERS Political Participation
Voting Electoral Activities Political Voice
Civic Voluntarism Direct Action
WHAT DO YOU THINK? WOULD YOU HAVE PROTESTED? The Participation Puzzle
Why People Get Involved Background: Age, Wealth, and Education
Age Wealth Education
INFO DATA Public Rallies: What Issues Draw People to Protest? Race
Friends and Family Community Political Mobilization Government Beneficiaries Historical Context
What Discourages Political Participation? Alienation COMPARING NATIONS 8.1 Voter Turnout in Selected Countries Institutional Barriers COMPARING NATIONS 8.2 Trust in Government Complacency Shifting Mobilization Patterns
New Avenues for Participation: The Internet, Social Media, and the Millennial Generation Scenario 1: Rebooting Democracy Scenario 2: More Hype and Danger Than Democratic Renaissance Does Social Media Increase Political Participation? How the Millennial Generation Participates
Conclusion WHAT DO YOU THINK? SHOULD VOTING BE REQUIRED BY LAW?
Chapter Summary Key Terms Study Questions
9 Media, Technology, and Government
BY THE NUMBERS The Media
Media and American Democracy Providing Information Watching Political Leaders Shaping the Political Agenda
U.S. Media Today: Traditional Formats Are Declining Where People Go for News Newspapers and Magazines: Rise and Decline Radio Holds Steady Television: From News to Infotainment
The Rise of Cable Infotainment
The Rise of the New Media
Is the Media Biased? Are Reporters Politically Biased? Profits Drive the News Industry Drama Delivers Audiences Investigative “Bias”
WHAT DO YOU THINK? IS THE MEDIA OBJECTIVE? SHOULD IT BE? The Fairness Bias
How Governments Shape the Media The First Amendment Protects Print Media from Regulation Regulating Broadcasters Protecting Competition
Media Around the World INFO DATA Media Consolidation: Who Produces, Distributes, and Owns the Media?
Government-Owned Stations Censorship COMPARING NATIONS 9.1 Censorship Under Pressure? American Media in the World
Understanding the Media in Context: War, Terrorism, and U.S. Elections Covering Wars and Terrorism The Campaign as Drama Candidate Profiles
Conclusion: At the Crossroads of the Media World Chapter Summary Key Terms Study Questions
10 Campaigns and Elections
How Democratic Are American Elections? Frequent and Fixed Elections BY THE NUMBERS Campaigns and Elections
COMPARING NATIONS 10.1 Election Timetables for National Government Over 520,000 Elected Officials
WHAT DO YOU THINK? ELECTED APPOINTED POSITIONS? Barriers to Voting Financing Campaigns: The New Inequality?
Too Much Money? Democracy for the Rich? Major Donors: Easier to Give
INFO DATA Money in Elections: The New Rules
Presidential Campaigns and Elections Who Runs for President?
The Three Phases of Presidential Elections Winning the Nomination
WHAT DO YOU THINK? WHY LOWA AND NEW HAMPSHIRE? Organizing the Convention The General Election Winning Presidential Elections
The Economy Demographics War and Foreign Policy Domestic Issues The Campaign Organization Parties Matter The Electoral College and Swing States That Elusive Winning Recipe
Predicting Presidential Elections
Congressional Elections Candidates: Who Runs for Congress? The Power of Incumbency Patterns in Congressional Elections Redrawing the Lines: The Art of the Gerrymander Nonpartisan Districting and Minority Representation
Congressional Campaigns Candidate-Centered Elections How to Run for Congress
Key 1: Money Key 2: Organization Key 3: Strategy Key 4: Message
Conclusion: Reforming American Elections Chapter Summary Key Terms Study Questions
11 Political Parties
Political Parties and U.S. Government BY THE NUMBERS Political Parties
What the Parties Do Parties Champion Ideas Parties Select Candidates Parties Mobilize the Voters Parties Organize Governing Activity After the Election Parties Help Integrate New Groups into the Political Process
Two-Party America COMPARING NATIONS 11.1 Organizing Electoral/Governing Systems
Third Parties in American Politics
America’s Party Systems: Origins and Change Beginnings: First Party System (1789–1828) Rise: Second Party System (1828–1860) War and Reconstruction: Third Party System (1860–1896) Business and Reform: Fourth Party System (1896–1932) Depression and the New Deal: Fifth Party System (1933–1968) The Sixth Party System: Parties at Parity (1969–Present)
WHAT DO YOU THINK? DO THE 2016 AND 2018 ELECTIONS SUGGEST A NEW PARTY SYSTEM? Why the Party Period Matters
Party Identification . . . and Ideas Building Party Identification
WHAT DO YOU THINK? PERSONALITY AND PARTY The Power of Party Attachment
Voting/Participation Filtering Ideology
Republican Factions Populists or Trumpists
INFO DATA Growing Partisanship—On Core Issues: How Do Republicans and Democrats Divide? Religious Traditionalists Fiscal Conservatives Libertarians Neoconservatives Moderates
Democratic Factions Progressives The Civil Rights Caucus Organized Labor Centrists
Organizing the Parties The Party Bureaucracy Party in Government Party in the Electorate The Big Tent
Party Competition . . . and Partisanship Parties Rise Again Competition and Partisanship Intensifies
WHAT DO YOU THINK? SHOULD WE BE TRYING TO DIMINISH PARTISANSHIP?
Conclusion: A Party System Ripe for Reform? 1. Proportional Representation 2. Reduce the Barriers to Third-Party Competition in Elections 3. Reduce Partisanship in Government
Chapter Summary
Key Terms Study Questions
12 Interest Groups
Interest-Group Roles in American Politics BY THE NUMBERS Interest Groups
Informing Members Communicating Members’ Views Mobilizing the Public What Do Interest Groups Do for Democracy?
Types of Interest Groups Economic Groups Citizen or Public Interest Groups Intergovernmental and Reverse Lobbying
Interest Groups Past and Present 1960s Advocacy Explosion Young and Plugged In COMPARING NATIONS 12.1 The Spread of American-Style Lobbying
Interest-Group Lobbyists in Action The Multiple Roles of Lobbyists
Researchers Witnesses Position Takers Coalition Builders Social Butterflies Grassroots Campaign Builders
Three Types of Group Representatives Nonprofits Don’t Lobby?
Interest Groups and the Federal Branches of Government Rise of the Issue Network Interest Groups and the Courts
Lobbying on Judicial Confirmations Filing Amicus Curiae (“Friend of Court”) Briefs Sponsoring Litigation
Interest Groups and Power Interest Group Spending Regulating Interest Groups
INFO DATA Amazon’s Lobbying Interests: How Do Interests Expand as Companies Grow?
Are Interest Groups Bad or Good for America? Four Concerns About Interest Groups
1. Corruption 2. Division and Hyperpluralism 3. Accountability
PART III
4. Restricted Access Four Defenses of Interest Groups
1. More Democratic Representation 2. Communication and Information 3. Mobilizing and Organizing the Public
WHAT DO YOU THINK? HOW MUCH INFLUENCE SHOULD INTEREST GROUPS HAVE IN AMERICAN GOVERNMENT?
4. Stability
Conclusion: Interest-Group Influence Revisited Chapter Summary Key Terms Study Questions
POLITICAL INSTITUTIONS
13 Congress
Introducing Congress BY THE NUMBERS Congress
Two Chambers, Different Styles The House and Senate Each Has Unique Roles
WHAT DO YOU THINK? SENATE FILIBUSTERS AND LEGISLATIVE HOLDS
Congressional Representation Does Congress Reflect America?
WHAT DO YOU THINK? WHO REALLY REPRESENTS YOU? Trustees and Delegates
Do the Right Thing Do What the People Want
WHAT DO YOU THINK? TWO VIEWS OF REPRESENTATION
Getting to Congress—and Staying There The Permanent Campaign Home Style: Back in the District A Government of Strangers
Congress at Work The City on the Hill Minnows and Whales: Congressional Leadership House Leadership Senate Leadership Committees: Workhorses of Congress The Enduring Power of Committees Leadership and Assignments COMPARING NATIONS 13.1 A Unique U.S. System
Legislative Policymaking Drafting a Bill Submitting the Bill Committee Action
1. Committees Hold Hearings on Policy Topics 2. Committees Prepare Legislation for Floor Consideration 3. Committees Also Kill Legislation 4. Committees Exercise Oversight
Floor Action Getting to the Floor On the Floor
The Vote Conference Committee Presidential Action: Separated Powers Revisited
Why Is Congress So Unpopular? Partisan Polarization in Congress
INFO DATA Partisan Polarization: How Has It Changed Over Time?
WHAT DO YOU THINK? IS A PARTISAN CONGRESS A GOOD THING? Divided Government
Some Popular Reforms—and Their Limits Limit Lobbyists Educate the Public The Real World of Democracy
Conclusion: Congress and the Challenge of Governing Chapter Summary Key Terms Study Questions
14 The Presidency
Defining the Presidency BY THE NUMBERS The Presidency
Defined by Controversy The President’s Powers COMPARING NATIONS 14.1 Chief Executives’ Power
Is the Presidency Too Powerful? An Imperial Presidency? A Weak Office?
What Presidents Do Commander in Chief
WHAT DO YOU THINK? WHO SHOULD DEPLOY AMERICAN TROOPS? Top Diplomat The First Legislator
Recommending Measures State of the Union Presidential “Batting Average” Veto Signing Statements
Chief Bureaucrat Appointments Executive Orders
INFO DATA Executive Orders Issued, Per Day: Which Presidents Relied Most on This Power? Economist in Chief The Head of State Party Leader The Bully Pulpit: Introducing Ideas The Impossible Job
Presidential Leadership: Success and Failure in the Oval Office Managing the Public Approval Ratings Presidential Greatness Greatness in Context: The Rise and Fall of Political Orders
Step 1: A New Order Rises Step 2: The Order Refreshed Step 3: The Old Order Crumbles
The Personal Presidency Presidential Style
WHAT DO YOU THINK? GO PUBLIC OR PLAY THE INSIDE GAME The Burden of the Office
The President’s Team: A Tour of the White House The Political Solar System: Presidential Appointments The Vice President The Cabinet The Executive Office of the President
The Office of Management and Budget (OMB) The Council of Economic Advisers (CEA) The National Security Council (NSC)
The Heart of Power: The White House Office (WHO)
WHAT DO YOU THINK? DO PRESIDENTS NEED SUCH A LARGE STAFF? The First Spouse
Conclusion: The Most Powerful Office on Earth? Chapter Summary Key Terms Study Questions
15 Bureaucracy
BY THE NUMBERS The Bureaucracy
How the Bureaucracy Grew Birth of the Bureaucracy
War Morality Economics Geography Race/Ethnicity
The Bureaucratic Model Hierarchy Division of Labor Fixed Routines Equal Rules for All Technical Qualifications
Bureaucratic Pathologies The Democratic Dilemma
How Bureaucracies Work Rulemaking Implementation
INFOR DATA Regulating Health Systems: Do We Have Too Many Regulations?
How the Bureaucracy Is Organized The Cabinet Departments
The Challenge of Governing COMPARING NATIONS 15.1 Parliamentary Systems
Cabinet Meetings The Rotating Bureaucracy The Cabinet and Diversity
Other Agencies Executive Agencies Independent Regulatory Commissions An Army of Their Own Private Contractors
Who Controls the Federal Bureaucracy? The People The President Congress
WHAT DO YOU THINK? CHANGE VERSUS STABILITY: SHOULD WE HAVE MORE POLITICALLY APPOINTED BUREAUCRATS? Interest Groups Bureaucratic Autonomy Democracy Revisited
Reforming the Bureaucracy Critiques
Cost Inertia Public Mistrust
Reforms Open Up the System Reinventing Government Privatization
Conclusion: The Real Solution Lies with You Chapter Summary Key Terms Study Questions
16 The Judicial Branch
Who Are We? A Nation of Laws . . . and Lawyers Embracing the Law—and Lawsuits BY THE NUMBERS The U.S. Judiciary
Trust in Courts COMPARING NATIONS 16.1 Number of Lawyers, Per Capita Courts in American Culture
Organizing the Judicial Branch Divided We Rule State and Local Courts Judicial Selection Federal Courts
WHAT DO YOU THINK? HOW SHOULD STATES SELECT THEIR JUDGES? Specialized Courts Diversity in the Federal Judiciary
WHAT DO YOU THINK? IDENTITY ON THE BENCH
The Court’s Role Judicial Review Activism Versus Restraint The Judicial Process COMPARING NATIONS 16.2 Power of the Judiciary Too Much Power? . . . Or Still the “Least Dangerous” Branch?
The Supreme Court and How It Operates Hearing Cases Selecting Cases: Formal Requirements Selecting Cases: Informal Factors Conference Sessions and Written Decisions Supreme Court Clerks Confirmation Battles
Judicial Decision Making and Reform The Role of Law Ideology and Partisanship
PART IV
Collegiality and Peer Pressure INFO DATA How Americans View the Supreme Court: Liberal or Conservative?
Institutional Concerns
Nineteen Cases You Should Know 1. Marbury v. Madison (1803) 2. McCulloch v. Maryland (1819) 3. Dred Scott v. Sandford (1857) 4. Santa Clara Co. v. Southern Pacific Railroad (1886) 5. Plessy v. Ferguson (1896) 6. Lochner v. New York (1905) 7. Muller v. Oregon (1908) 8. Schenck v. United States (1919) 9. National Labor Relations Board v. Jones and Laughlin Steel Corporation (1937) 10. Korematsu v. U.S. (1944) 11. Brown v. Board of Education (1954) 12. Mapp v. Ohio (1961) 13. Gideon v. Wainwright (1963) 14. Lemon v. Kurtzman (1971) 15. Roe v. Wade (1973) 16. U.S. v. Nixon (1974) 17. Bush v. Gore (2000) 18. National Federation of Independent Business v. Sebelius (2012) 19. Obergefell v. Hodges (2015)
WHAT DO YOU THINK? NAME ANOTHER LANDMARK CASE The Nineteen Cases—and the Power of the Court
Improving the Judiciary Criticisms Ideas for Reform: More Resources Term Limits Shift Authority to Congress
Conclusion: Democracy and the Courts Chapter Summary Key Terms Study Questions
POLICYMAKING
17 Public Policymaking and Budgeting
Public Policymaking in Five (Not-So-Easy) Stages 1. Agenda Setting BY THE NUMBERS U.S. Public Policy
2. Framing
3. Policy Formation Analyzing Policy, Ex Ante From Cost-Benefit Analysis to Politics
4. Policy Implementation Rulemaking Revisited Top-Down Delivery Bottom-Up Delivery
5. Policy Evaluation and Feedback Ex Post Policy Evaluations A Case in Point: Gang Violence Policy Feedback
U.S. Social Policy Wars and Social Policy Old-Age Insurance: Social Security Unemployment Benefits Health and Disability: Medicare/Medicaid
WHAT DO YOU THINK? SHOULD WE REFORM SOCIAL SECURITY AND MEDICARE?
Economic Policymaking: Fiscal and Monetary Policy Fiscal Policy Monetary Policy
Economic Policymaking: The Federal Budget Process President’s Budget Proposal Congressional Budget Resolution COMPARING NATIONS 17.1 Budget Policymaking Reign of the Cardinals: Appropriations Committee Action
Making Good Policy Moral Policies: Justice or Democracy? Economically Efficient Policies
INFO DATA Views on Policymaking: Do Americans Feel That U.S. Policies Are Beneficial? Capitalism Goes to the Movies
Reforming U.S. Policymaking Systemic Reform Policy Entrepreneurs Eight Steps to Successful Policy Reform
It takes Passion Act with Speed Bring a Plan Mind the Symbols Have a Philosophy Go Public Know the Rules Learn How to Lose
Conclusion: Policy Matters Chapter Summary Key Terms
Study Questions
18 Foreign Policy
American Foreign-Policy Goal No. 1: Security Military Primacy BY THE NUMBERS Foreign Policy
Basis for Primacy: Realism COMPARING NATIONS 18.1 Military Spending Worldwide A Different View: Liberalism Soft Power Foreign Aid and National Security COMPARING NATIONS 18.2 Spending on Foreign Aid
American Foreign-Policy Goal No. 2: Prosperity Economic Superpower or Nation in Decline? Free Trade Challenges to Free Trade Energy Economic Weapons
Foreign-Policy Goal No. 3: Spreading American Ideals American Exceptionalism
WHAT DO YOU THINK? IS AMERICA EXCEPTIONAL? The View from Abroad
Foreign-Policy Perspectives Engage the World? Isolationism Versus Intervention Go It Alone or Act with Others?
WHAT DO YOU THINK? FOREIGN-POLICY PERSPECTIVES Four Approaches
Who Makes Foreign Policy? Congress The President The State Department The Department of Defense Intelligence The National Security Council
INFO DATA Projections for Economic Growth: Which Economies Are Growing the Fastest? Other Executive Agencies Interest Groups and the Public Fragmentation or Success?
Adding All of It Up: Grand Strategies in U.S. History Standing Alone (1918–1939) The Cold War (1945–1991) The New World Order (1989–2001)
The War on Terror (2001–2009)
Conclusion: The Next Grand Strategy WHAT DO YOU THINK? BUILDING A NEW GRAND STRATEGY
Chapter Summary Key Terms Study Questions
APPENDIX I The Declaration of Independence
APPENDIX II The Constitution of the United States of America
APPENDIX III The Federalist Papers nos. 1, 10, and 51
Glossary Notes Credits Index Presidential Elections, Congressional Control, 1789–2019 Insert
About the Authors
JAMES MORONE (BA, Middlebury College, MA and PhD, University of Chicago) is the John Hazen White Professor of Political Science and Public Policy at Brown University and five-time winner of the Hazeltine Citation for outstanding teacher of the year. Dr. Morone, an award-winning author, has published ten books, including The Heart of Power (2009, a “New York Times Notable Book”), Hellfire Nation (2003, nominated for a Pulitzer Prize), and The Democratic Wish (1990, winner of the American Political Science Association’s Kammerer Award for the best book on American politics). He has written over 150 articles and essays, and has commented on politics in the New York Times, the London Review of Books, and the American Prospect. Dr. Morone has been elected to the National Academy of Medicine and the National Academy of Social Insurance. He has served as president of the politics and history section of the American Political Science Association and the New England Political Science Association. He also has served on the board of editors for eight scholarly journals.
ROGAN KERSH (BA, Wake Forest University, MA and PhD, Yale University) is provost and professor of political science at Wake Forest University. A leading scholar in American political science, Dr. Kersh is best known for his work on health reform, obesity politics, and interest groups/lobbying. As a political science faculty member at Syracuse from 1996 to 2006, he won three different teaching awards; from 2006 to 2012, as associate dean of New York University’s Wagner School of Public Service, he won both the Wagner and NYU’s teaching awards, as well as the Martin Luther King, Jr. Award for scholarship, teaching, and university service. Dr. Kersh has published two books and more than 50 academic articles and has provided commentary on U.S. politics for dozens of different media outlets including CNN, Newsweek, and the New York Times. He was president of the American Political Science Association’s organized section on health politics and policy in 2011–2012 and is an elected fellow of the National Academy of Public Administration.
Preface
At first, they came in small numbers: one child, two children, a few huddled together. Then a surge: In the spring and summer of 2014, more than 63,000 unaccompanied minors crossed the Mexican border into the United States. The exhausted children—mostly from Honduras, Guatemala, and El Salvador—faced poverty and violence at home. Their exodus was a humanitarian tragedy. But it was also a political problem.
Conservative critics of the Barack Obama administration slammed the White House for not acting sooner to stem the tide and for being “soft on immigration.” Donald Trump launched his long-shot presidential bid, a year later, with a tough attack on undocumented migrants. From the left, another set of voices condemned the president for not providing services to children whose families were so desperate they would send them alone across dangerous ground to an uncertain destiny. Whatever course the administration took, it faced angry rebukes.
As partisans traded insults and pundits criticized the government’s mistakes, something remarkable happened: Americans of all backgrounds—urban and rural, churched and secular, liberal and conservative— came together to help the children. College students and local residents joined to hand out medical kits and food packets. Lawyers flew in to offer free legal assistance in securing asylum. Church leaders created makeshift shelters and organized short-term housing among the congregants. One bishop in San Antonio, Texas, said the crisis had deepened his prayer life. This is a classic story that runs right through American history: People pull
together in the face of troubled times.
Help or Clash? That’s the United States in a nutshell. People pitch in. This is a nation of joiners and helpers and activists. It always has been. Visitors in the nineteenth century were astonished by the nation’s civic spirit. To this day Americans form book groups, organize car washes to raise money for good causes, stack sandbags during floods, send checks to the Red Cross, support the military, and insist that the government help those who need help. “We are inevitably our brother’s keeper because we are our brother’s brother,” wrote Martin Luther King. “Whatever affects one directly affects all indirectly.”1
But that’s only one side of the story. Stream a news show and what do you see? Fights! A few years ago, one of us (Jim) was about to go on a news show to discuss the fallout after singer Janet Jackson inadvertently (and very briefly) went X-rated during the Super Bowl halftime show. Jim was scheduled alongside another commentator who was very agitated about Jackson’s behavior and believed that it signaled the decline of America. Jim told the producer that, after exploring our different views, it would be great if we could find some common ground. No way, retorted the producer, who explained her ideal closing shot: You’ll be shouting over each other on a split screen while the host coolly ends the segment by saying, “We’ll have to leave it there for now, but feelings run high and we’ll be hearing a lot more on this topic.” Unfortunately, searching for common ground does not draw an audience like people screaming onscreen.
The producer was demonstrating another side of America: rugged individualists who push their own views and self-interests. Individualism is also an all-American story. Its origins lie in a frontier culture that expected everyone to watch out for themselves. This is the America that resents anyone—especially the government— telling people what to do.
Which is the real America? They both are. Sometimes this is a land of cooperation, sometimes a nation of competition. American politics, as you will see, reflects both views.
By the People? We picked the book’s title—By the People—because Lincoln’s phrase raises the deepest question in American politics: Who has the power? Or to put it more pointedly, do the people rule in this day and age? Democracy is a constant struggle; it is an aspiration, a wish, a quest. In every chapter we’ll ask how well Americans are living up to Lincoln’s ideal. Does the new media (Chapter 9) or the contemporary Congress (Chapter 13) or the bureaucracy (Chapter 15) or state government (Chapter 4) support or subvert government by the people? We’ll present the details—and let you decide whether we should press for reform or leave things alone.
We’ll be straight with you: We won’t pretend there was a golden age in some imaginary past. After all, the United States has been home to political machines that enthusiastically stole votes, maintains an Electoral College designed to distort the people’s vote for president, and governs through an elaborate system of checks and balances that blunts the popular will. (Again, you’ll soon see two sides to each of these features of American government.) At the same time, you’ll read about bold popular movements and unexpected electoral surges that changed the face of the nation. In many ways, these are the most exciting moments in American history. They spring up at unexpected times, inspiring ordinary people to achieve great things. Does Donald Trump’s election signify such a surge? Or are the protest movements that have sprung up the larger agent of change? Read on and you’ll be able to answer those questions—and many more.
Who Are We? Here’s Jim’s very first political memory: My parents were watching TV, and as soon as I walked into the room I could see that my mother was trying hard not to cry. “What’s going on?” I asked my parents nervously. My dad —a proud Republican who had fought in World War II—said, “Well, the U.S. had a racial problem, but that man there, he’s going to get us past it.” “That man there” was Martin Luther King Jr., giving one of the most famous speeches in American history: “I have a dream,” said King, that “my four little children will one day live in a country where they will not be judged by the color of their skin but by the content of their character.” My mother had been born in Poland and her near tears reflected pride in her new nation—and the uplifting aspirations of that August day.
Both of us grew up thinking about the dream—and about the nation that dreams it. America is constantly changing, constantly new. In every chapter we’ll ask the same question: Who are we? We’ll explore a lot of different answers.
Four themes are especially important in this book. Race touches everything in the United States, from the Constitution (Chapter 3) to our political parties (Chapter 11). The nation rose up out of both freedom and slavery; race quickly became one of the great crucibles of American liberty. Likewise, immigration includes some of history’s saddest passages involving the mistreatment of recent arrivals. And yet we are a nation of immigrants that continues to welcome the world’s “huddled masses yearning to breathe free”—the famous words long associated with the Statue of Liberty. More than a fifth of all the emigrants around the globe come to the United States every year. Race and immigration are tied up in another powerful topic: gender and sexuality. From women in Congress to same-sex marriage, from teen pregnancy to abortion, we’ll show how negotiating an answer to “Who are we?” always puts an emphasis on questions of gender and sexuality. Finally, we’re especially interested in American generations, and more specifically the attitudes and contributions of today’s young people, the millennial generation. If you’re one of them, the future belongs to you. This book is an owner’s manual for the government that you’re going to inherit. We’ll have much to say about you as we go along.
The most important thing about all these categories is not their history, or the ways they’ve influenced voting behavior, or how the courts treat them—although we’ll cover all those topics. Rather, what matters most about American politics are the opportunities to get involved. As you’ll see, groups and individuals can and do make a difference in a nation that is always evolving. We hope our book inspires you to actively participate in making the American future.
How Government Works We won’t oversell the role of individuals. People’s ability to advance political change is always shaped by the way the government is organized and operates. From the very start, this book emphasizes the unusual structure of American government.
Begin with a Constitution full of checks and balances, add a multilayered federalism, develop a chaotic public administration (President Franklin Roosevelt cheerfully called the uproar a three-ring circus), spin off functions to the private sector (especially during wars), complexify Congress (thirty-one different committees and subcommittees tried to claim jurisdiction over just one national health insurance proposal), and inject state and federal courts into every cranny of the system. Then throw the entire apparatus open to any interest group that shows up. The twenty-first century adds a 24/7 news cycle with commentary all the time and from every angle.
Turn to foreign policy, where high principles contend with tough-minded realism in a fractious world. When the most formidable military in human history is mustered into action, watch presidential power expand so
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rapidly that it sets off international debates about whether the great republic is morphing into an empire.
In Short As you read this book, you’ll repeatedly encounter four questions:
Who governs? This is the question of democracy and power—or, as we phrased it earlier: Is this government by the people? And if and where it falls short, how might we refresh our democracy? How does American politics work? Our job is to make you think like a political scientist. What does that involve? You’ll learn in the next chapter—and throughout the book. What does government do? You can’t answer the first two questions if you don’t know what the courts or the White House or Congress or interest groups actually do—and how they do it. Who are we? Americans endlessly debate America’s identity. We are students, businesspeople, Hispanics, seniors, Texans, environmentalists, gays, Republicans, Democrats, Christians, Muslims, military families —and the list goes on. Sometimes it adds up to one united people; at other times we’re left to wonder how to get along. Either way, American politics rises up from—and shapes—a cacophony of identities and interests.
Changes to the Fourth Edition In this new edition, we have,
Analyzed recent seismic events, especially involving the Trump administration, that have shaken up U.S. institutions, ideas, and interests. Supplied new and updated statistics and figures in each chapter, tracking both long- and short-run political trends. Analyzed the mixed results of the 2018 midterm elections. Traced the erosion of civil discourse and expanding polarization within American society, made manifest in moments such as the controversial Supreme Court nomination of Justice Brett Kavanaugh and related #metoo movement. Directly encouraged readers to plunge into the great pageant of American government, in part through posing queries inviting them to take a side on vital issues. Tackled the issue of “fake news” and related charges of media bias. Included a new section to cover the rights of non-citizens in the United States and updated immigration coverage. Provided students with the background needed to understand contentious policies surrounding trade wars, free trade, and trade agreements. Called attention to the important role of the federal bureaucracy in underserved, rural areas in a new chapter opening vignette. Added a new evaluation of how federalism has evolved during the Obama and Trump administrations. Expanded coverage of the LGBTQ civil rights movement. Added a new What Do YOU Think? about appointing bureaucrats to address the issue and concern regarding a “deep state.” Incorporated updated data on millennial trends regarding party affiliation, attitudes, and changing styles of participation. Revised By the Numbers features to focus on a theme within the chapter and ask a fundamental question related to that theme. Updated infodata features so that the first question always asks students to quantitatively analyze the visual and the second question asks students to apply that information to consider a related issue.
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Systematically balanced examples from left and right, to take into account new political sensitivities in our highly partisan age.
Getting Involved By the People is a new approach to courses in American government. The book displays U.S. politics and government in all its glory, messiness, and power. Like every textbook, this one informs our readers. But, as we hope you can already see, we don’t describe government (or ideas about government) as inert and fixed. What’s exciting about American politics, like the nation itself, is how fast it changes. And the constant, endless arguments about what it is and what it should be next. Our aim is to get you engaged—whether you already love politics, are a complete newcomer to government, or whether you are a newcomer to the United States itself. In the pages that follow, we’ll bring American government to life. Get ready to start a great debate . . . about your future.
One final word: We’ve been working out the story line for this book throughout our teaching careers. We’ve taught everything from very large lectures to small seminars. Like all teachers, we’ve learned through trial and error. We’ve worked hard to pack this book with the stories, questions, and features that all our students have found effective. That spirit—the lessons we’ve learned in the classroom—animates everything that follows.
Teaching and Learning Support Oxford University Press (OUP) offers instructors and students a comprehensive teaching and learning package of support materials for adopters of By the People, 4e.
Ancillary Resource Center The Ancillary Resource Center (ARC) at www.oup.com/us/Morone is a convenient destination for all teaching and learning resources that accompany this book. Accessed online through individual user accounts, the ARC provides instructors with up-to-date ancillaries while guaranteeing the security of grade-significant resources. In addition, it allows OUP to keep users informed when new content becomes available. The ARC for By the People: Debating American Government, 4e contains a variety of materials to aid in teaching:
Instructor’s Resource Manual with Test Item File—The Instructor’s Resource Manual includes chapter objectives, detailed chapter outlines, lecture suggestions and activities, discussion questions, video resources, and web resources. The Test Item File includes more than 2,500 test questions including multiple-choice, short-answer, and essay questions. Computerized Test Bank—The computerized test bank that accompanies this text is designed for both novice and advanced users. It enables instructors to create and edit questions, create randomized quizzes and tests with an easy-to-use drag-and-drop tool, publish quizzes and tests to online courses, and print quizzes and tests for paper-based assessments. PowerPoint-Based Slides—Each chapter has two slide decks to support your lectures. One deck includes the chapter outline and content; the other includes only the artwork included in the text. CNN and other video resources—Offering recent clips on timely topics, clips are approximately 5 to 10 minutes in length providing a great way to launch your lectures about key concepts with real-world issues and examples.
Digital Learning Tools
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www.oup.com/us/Morone By the People: Debating American Government, 4e comes with an extensive array of digital learning tools to ensure your students get the most out of your course. Approximately 45 homework assignments—totaling over 12 hours of assignable materials—organized by chapter, with autograded assessments have been developed exclusively to support OUP’s By the People text. These activities have been extensively reviewed by users of similar digital content in their classrooms. Several assignment types provide your students with various activities that teach core concepts, allow students to develop data literacy around important contemporary topics and issues, and to role play as decision makers to engage with problems that simulate real-world political challenges. The activities are optimized to work on any mobile device or computer. For users of learning management systems, results can be recorded to the gradebooks in one of several currently supported systems. Access to these activities are provided free with purchase of a new print or electronic textbook. These and additional study tools are available at www.oup.com/us/Morone, through links embedded in the enhanced eBook, and within course cartridges. Each activity is described below:
Interactive Media Activities are simulations of real-world events, problems, and challenges developed to connect text and classroom topics to everyday life. Designed to be assigned as homework, each activity takes approximately 15 to 20 minutes to complete and produces unique results for each student. Students are placed into the role of a political actor or decision maker, get to experience how various aspects of politics works, and see the trade-offs required to produce meaningful policies and outcomes. Topics include the following:
Individualism versus Solidarity Passing Immigration Reform Electing Cheryl Martin Building the USS Relief Intervening in Bhutan The Fight Against Warrantless Wiretapping Balancing the Budget Redistricting in “Texachusetts” Saving the Electric Car Election Reform Fact Checking the Media Passing the Thirteenth Amendment Negotiating with China NEW—Healthcare and Federalism NEW—The Changing Face of Affirmative Action NEW—Surveys, Bias, and Fake News NEW—Free Speech on Campus NEW—The People Versus the Pipeline
Media Tutorials: These animated videos are designed to teach key concepts taught in the course, as well as address important contemporary issues. Each tutorial runs 2 to 4 minutes in length and ends with an assessment for students to test what they know. Topics include the following:
The Constitution: A Brief Tour Civil Rights: How Does the Fourteenth Amendment Ensure Equal Rights for All Citizens? Federalism: What Does It Mean to Incorporate the Bill of Rights? Political Participation: What Affects Voter Turnout?
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Media: How Is the News Shaped by Agenda Setting, Framing, and Profit Bias? Interest Groups: What Is a Political Action Committee (PAC), and What Makes Some PACs Super PACs? Congress: Why Do We Hate Congress but Keep Electing the Same Representatives? The Judiciary: How Do Judges Interpret the Constitution? Polling: How Do We Know What People Know? Campaigns and Elections: How Does Gerrymandering Work? NEW—Democracy Versus Republic NEW—Freedom of Religion NEW—Executive Orders NEW—Political Culture Across States NEW—Party Organization NEW—Bureaucracies NEW—Discretionary and Mandatory Spending
NEW Issue Navigators: These new features offer students an interactive way to explore data related to major issues in American politics today, and allow students to reflect on the sources of their own views and opinions. Each activity will improve your students’ abilities to think through their political opinions by using compelling and vetted information to raise the level of classroom debate. Students will analyze several data sources and positions for each topic. They’ll then get to answer questions that indicate their own beliefs and values on these issues, and compare them to national polling data. The exercises include assessments around the data to ensure students can interpret the data presented and understand what it means. Issues include the following:
Climate Change Immigration Gerrymandering/Redistricting Gun Control Free Trade and Tariffs Healthcare Reform Social Security Tax Reform
Enhanced eBook: The enhanced eBook provides students with a versatile, accessible, online version of the textbook, with all of the above resources integrated on the appropriate pages via clickable icons that connect to each study tool. The eBook reader also provides functionality that will help students be more effective in their study time—for instance, bookmarking, highlighting, note taking, and search tools. Every new copy of the print text includes access to the eBook. The eBook is also available for separate purchase, either online or through campus bookstores. Online Study Tools: Many additional online study tools are available at www.oup.com/us/Morone for the student’s self-paced learning and assessment. For each chapter, these include interactive flashcards, chapter review PowerPoint slides, key term quizzes, chapter quizzes, chapter exams, short-answer essay tests, videos, web activities, and web links. Learning Management System Integration: OUP offers the ability to integrate OUP content into currently supported versions of Canvas, D2L, or Blackboard. Contact your local rep or visit oup- arc.com/integration for more information.
Format Choices
Oxford University Press offers cost-saving alternatives to meet the needs of all students. This text is offered in a loose-leaf format at a 30 percent discount off the list price of the text; and in an eBook format, through Redshelf for a 50 percent discount. You also can customize our textbooks to create the course material you want for your class. For more information, please contact your Oxford University Press representative, call 800.280.0280, or visit us online at www.oup.com/us/Morone.
Packaging Options Adopters of By the People can package any Oxford University Press book with the text for a 20 percent savings off the total package price. See our many trade and scholarly offerings at www.oup.com, then contact your local OUP sales representative to request a package ISBN. Below are additional suggestions to package with the text:
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Acknowledgments One particular goal we had with this edition was to ensure that our presentation of this subject was as balanced and unbiased as possible, given the political climate today. In order to achieve this, we sought the council and advice of David C. W. Parker from Montana State University. His expertise on Congress, and especially the Conservative Republican agenda, both before and after Trump was elected, helped us to present and celebrate the multiplicity of political perspectives in U.S. politics today. David read every word, and saved us from errors of fact and judgment alike. We are very thankful for his contributions which were thoughtful and considerable
and which made the book all the better. When he signed us up to write this book, publisher John Challice looked us each in the eye and said, “You
know, this is going to be so much work—you’re going to be married to us.” He was right. Yes, it was a lot of work. And yes, the Oxford team has been like a family that carried us through the process.
There would be no book without Jennifer Carpenter, our extraordinary editor. She guided us through the process with enormous skill. Along the way, Jen earned the highest praise authors can give their editor: She cared about the book as much as we did. Our development editor, Naomi Friedman, helped us so much she ought to be considered a coauthor—she suggested, edited, cut, and cheered. Development manager Thom Holmes gracefully turned our messy manuscript into a tight narrative bursting with special features. Assistant editor Alison Ball guided the art program and tracked down every picture in the following pages. Senior production editor Barbara Mathieu and production manager Phil Scott coordinated an amazing production process; we broke the publishing record for the number of times two authors wrote, “Good point!” in the margins of an edited manuscript. Judy Ann Levine did a fine copy edit on an impossible schedule. Art director Michele Laseau did the beautiful design. We are especially grateful to marketing manager Tony Mathias for getting this book into your hands. To all of you in our immediate Oxford family: Thank you! Thank you!
We had an even more important team at our side—our families and our friends. Over the course of this book’s initial conception and subsequent writing, Rogan moved from Syracuse University’s Maxwell School to New York University’s Wagner School, with a sabbatical leave at Yale along the way—and then, just as we were finishing the first edition, to Wake Forest University. Colleagues in all four places were unfailingly generous with ideas and comments; thanks especially to Suzanne Mettler, Jeff Stonecash, David Mayhew, Ellen Schall, Shanna Rose, and Shankar Prasad. Because we strive throughout to get both the political science and the practical politics right, a group of experienced and reflective inside-the-Beltway friends cheerfully and patiently provided insight into their world: Bill Antholis, Matt Bennett, Laura Schiller, Erik Fatemi, Tom Dobbins, Dan Maffei, Bob Shrum, Marylouise Oates, and Don and Darrel Jodrey. Grateful thanks to them as well as a wonderful set of current and former students, many now working in government and politics.
By the People’s long journey to completion grew infinitely more enjoyable once Sara Pesek joined me for the trip—through this book and everywhere else, from Australia to Ze Café in midtown New York City. Sara’s insights into public policy made for the liveliest newlyweds’ conversations (if you’re a politics junkie) imaginable; my biggest bouquet of thanks to her for that rarest of gifts: loving, fully joined partnership.
Jim offers warm thanks to my colleagues at Brown who form a wonderful community of scholars and teachers—always ready for coffee, lunch, or wine and a conversation about political science. Extra thanks to Peter Andreas, Mark Blyth, Corey Brettschneider, Ross Cheit, Elisabeth Fauquert, Alex Gourevitch, Rebecca Henderson, Bonnie Honig, Sharon Krause, Rick Locke, Susan Moffitt, Rich Snyder, Wendy Schiller, and Ashu Varshney. And my wonderful students sampled every idea in this book. They are my constant teachers. Grateful thanks to Ryan Emenaker, Dan Carrigg, Kevin McGravey, Ferris Lupino, Rachel Meade, Meghan Wilson, Aaron Weinstein, Brandon Welch, and Cadence Willse.
My brothers, Joe and Peter Morone—and their families—are lifelong companions always ready with a cheerful take on the state of politics and the world. Special thanks to Lindsay, Ann, Joe, James (now a rising political scientist at Penn), Noreen, and Maegan Morone. My mother, Stasia, kept reminding me to enjoy the journey—and that there might be more to life than By the People. And the memory of my dad was a constant visitor as I read, and thought, and wrote. The revisions for this edition were joyfully interrupted by Jim’s wedding. If you detect a smile between the lines, it’s because we were celebrating my new family. Rebecca Henderson leapt into my life filling it with talk and ideas and dreams (and much more). And Harry, my wonderful son, takes me hiking and talks me through high ridges that I couldn’t imagine trying without him. If this edition reads happier than the last—it’s the spirit of Harry and Rebecca on the pages.
Manuscript Reviewers We have greatly benefited from the perceptive comments and suggestions of the many talented scholars and instructors who reviewed the manuscript of By the People. They went far beyond the call of duty in sharing thoughts and making corrections. Their insight and suggestions contributed immensely to the work.
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Marketing Reviewers Oxford University Press would also like to acknowledge the contribution of additional scholars and instructors who class tested and provided their assessment of the completed manuscript, using this work with hundreds of students in classrooms across the nation.
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Hayden Smith Washington State University
First Edition Gayle Alberda Owens Community College Herrick Arnold Orange Coast College Alex L. Avila Mesa Community College John Barnes University of Southern California Charles Barrilleaux Florida State University Ronald Bee Cuyamaca College Michael Berkman Pennsylvania State University Angelina M. Cavallo San Jacinto College Adam Chamberlain Coastal Carolina University Matt Childers University of Georgia Benjamin Christ Harrisburg Area Community College Diana Cohen Central Connecticut State University Paul M. Collins University of North Texas William Corbett New Mexico State University Mark Ellickson Missouri State University Deborah Ferrell-Lynn University of Central Oklahoma Paul Foote Eastern Kentucky University Peter L. Francia East Carolina University Rodd Freitag University of Wisconsin–Eau Claire Fred Gordon Columbus State University John I. Hanley Syracuse University Jeff Hilmer Northern Arizona University Jeneen Hobby Cleveland State University Ronald J. Hrebenar University of Utah
Mark Jendrysik University of North Dakota Aubrey Jewett University of Central Florida Gary Johnson Weber State University Michelle Keck The University of Texas at Brownsville William Kelly Auburn University John Klemanski Oakland University Richard Krupa Harper College Christine Lipsmeyer Texas A&M University Brent Lucas North Carolina State University Margaret MacKenzie San Jacinto College Jason McDaniel San Francisco State University John Mercurio San Diego State University Melissa Merry University of Louisville Roger Morton California State University, Long Beach Gary Mucciaroni Temple University Adam J. Newmark Appalachian State University Randall Newnham Pennsylvania State University Roger Nichols Southwestern College Anthony J. Nownes University of Tennessee, Knoxville Anthony O’Regan Los Angeles Valley College Kenneth O’Reilly Milwaukee Area Technical College Sunday P. Obazuaye Cerritos College Amanda M. Olejarski Shippensburg University Kevin Parsneau Minnesota State University Michelle Pautz University of Dayton Martin J. Plax Cleveland State University Sherri Replogle
Illinois State University Kim Rice Western Illinois University Ray Sandoval Dallas County Community College District Laura Schneider Grand Valley State University Scot Schraufnagel Northern Illinois University Ronnee Schreiber San Diego State University Ronald Schurin University of Connecticut Jeffrey M. Stonecash Syracuse University Katrina Taylor Northern Arizona University Ryan Lee Teten University of Louisiana John P. Todsen Drake University Delaina Toothman University of Maine Dan Urman Northeastern University Ronald W. Vardy University of Houston Adam L. Warber Clemson University Gerald Watkins Kentucky Community & Technical College System Patrick Wohlfarth University of Maryland, College Park Wayne L. Wolf South Suburban College Jeff Worsham West Virginia University
Finally, thanks to you for picking up this book. We hope you enjoy reading it as much as we did writing.
Jim Morone and Rogan Kersh
1 Where Do We Go from Here: Chaos or Community? (New York: Harper & Row, 1967) 181.
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1 The Spirit of American Politics
Opposite: President Trump and Vice President Pence greet supporters after winning the 2016 election.
In this chapter, you will learn about four key questions: Who governs?
How does American politics work?
What does government do?
Who are we?
INAUGURATION DAY, 2017 . . . 2021 . . . 2025 . . . Every four years, the president stands in front of the U.S. Capitol and repeats the oath of office. The ceremony represents an American legacy that stretches back to President George Washington, who used the same words in 1789 that we hear today. The inaugural oath remains a solemn moment in the world’s oldest democracy. Even George Washington was visibly nervous when he spoke the oath.
Democracy: A form of government in which the people hold power, either by acting directly or through elected representatives.
Members of Congress surround the president on the inaugural stage. Chief Justice John Roberts of the U.S. Supreme Court leads the president through the oath of office. The Supreme Court serves as a check on Congress and the executive branch. It decides whether government actions (both national and state) violate the U.S. Constitution. For example, the Court recently ruled that laws forbidding same-sex marriage violated the Constitution’s Fourteenth Amendment.
What you cannot see on Inauguration Day is the sheer depth of this democracy. Americans elect more than five hundred thousand public officials—from the governors of their states to the mayors of their cities, from soil and water commissioners in Iowa City, Iowa, to cemetery trustees in Lempster, New Hampshire. No other country in the world comes close to voting on so many offices.
Yet this democracy faces a lot of paradoxes. Americans have inaugurated presidential candidates who lost the popular vote five times. Think about that: More than one in every ten presidents (and two out of the last three) was not the people’s choice. Congress adds another peculiar twist to popular rule. Its approval rating averaged a dismal 19 percent on November 6, 2018, when Americans went to the polls.1 Yet nearly 93 percent of the House of Representatives incumbents won reelection, most of them by large majorities. The public expressed sharp disapproval—then voted to return nearly all of them to Washington for another term.
The Supreme Court’s nine members represent still another limit on American democracy. Justices are not elected but are appointed for life. At times, the Court has looked more like a bastion of privilege than a protector of rights. Back in 1857, the Court ruled that, according to the Constitution, black people “were so far inferior” that they had “no rights which the white man was bound to respect.”2 More recently, the Court struck down popular laws that started the school day with a prayer, regulated pornography, banned burning the American flag, and many other measures passed by Congress or state governments.
1.
The first inauguration: George Washington takes the oath of office in New York in 1789 while a crowd cheers from the street . . . and President Trump’s inauguration in Washington, DC, 228 years later. America and Americans keep changing, but each new generation embraces this tradition.
As you can see, democracy is complicated. Yes, the United States is the world’s oldest democratic country. Yet a candidate who loses the popular vote wins the White House; a terribly unpopular Congress is reelected in a landslide; and unelected judges, appointed for life, can strike down the will of the people’s representatives. Over the course of this book, you will see why these limits to democracy were introduced, and judge whether they are still a good idea—or whether they are out of date and distort American democracy.
We address four questions throughout this book to help make sense of American politics and government. By the time you finish reading, you will understand the debates sparked by each question—and you will be ready (and, we hope, eager) to join the debates.
Who governs? Do the people rule? Some answer, “Yes, and today more than ever.” Others are not so sure. What if the people are not in charge—then who is?
2.
3.
4.
How does American politics work? This may be the most confusing, messy, and fascinating government on earth. We will guide you through the political maze, and help you understand what makes American politics and government tick. What does government do? Many people view politics as dirty and see government as a problem, or irrelevant to their lives. We will show you how politics can be honorable, and why government is often important, even essential. By the time you finish this book, you will have the tools to judge whether government is a problem, a solution . . . or perhaps a mixture of both. Who are we? In a rapidly changing, diverse, immigrant nation, this may be the deepest question of all. American politics helps define who we are—as a community, a people, and a nation.
Before we examine these four questions, we want to share our bias: We love politics. We think there is nothing more interesting—not the new Jay-Z and Beyoncé album, not the Oscars, not the Super Bowl. (Actually, all those involve politics too.) Yes, in recent years politics has gotten nasty and personal. We will not duck that issue. But we also aim to project the excitement that we see in politics and power and democracy. We brief you on basic facts, then ask you to ponder the key questions, and join in the debates. And we will suggest many ways that you can get involved in the pageant of American politics.
Now, let’s turn to our four big questions.
Who Governs? As Benjamin Franklin left the Constitutional Convention in 1787, a woman stopped him. “What kind of government have you given us?” she asked. According to legend, the wise old Franklin responded, “A republic, madam—if you can keep it.” The Declaration of Independence began with a ringing proclamation of popular rule: Governments derive “their just powers from the consent of the governed.” In a republic, the people are in charge. The Constitution drives home this point in its first three words: “We the People.” Franklin knew, however, that popular governments were extremely difficult to “keep.” All previous republics—such as Athens, Rome, and Florence—had collapsed. His point was that the people have to be vigilant and active if they are to maintain control. Every American generation faces new challenges in keeping the republic.
Republic: A government in which citizens rule indirectly and make government decisions through their elected representatives.
Popular rule in the United States was a bold breakthrough by eighteenth-century standards, but it certainly did not empower everyone. The Constitution protected slavery and gave slaveholders an extra three-fifths of a vote for every person they kept in chains. Women could not vote, nor could most poor men, white or black. American Indians were considered foreigners in their native land. At the heart of American history lies the long, hard struggle to actually live up to the republic’s founding ideals, to genuinely empower “We the People.”
Now that most adults finally have the right to vote (although, as we will see, some states make voting more difficult than others) does the public really rule? Or do the rich and powerful make most of the decisions? Americans have always worried that ordinary people will lose control. Back in 1961, for example, President Dwight Eisenhower, a Republican concerned about the size of government, warned that insiders wielded too much power. A juggernaut of big government, big business, and big contracts was creating a “military–industrial complex.” Eisenhower’s background gave him special credibility: He was a five-star general who had commanded U.S. forces during World War II.
Today, critics still charge that the very wealthy—the top 1 percent—have stripped the people of money and influence. Many of the 600 American billionaires pour money into political campaigns and fund their favorite causes. Do they dominate our common lives by the sheer force of their wealth?3 At the same time, many
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conservative Americans feel that government bureaucrats and mainstream media elites have grabbed control; in response, they voted for Donald Trump in the hope that he would return power to the people. Different voices across the political spectrum—including the president’s most ardent supporters and opponents—share the same opinion: The people’s voice is not being properly heard.
See President Eisenhower’s warning against the military-industrial complex.
Alongside these fears, we see many examples where ordinary American people have made enormous differences. Sometimes, individuals simply stand up and take a stand. After a gunman murdered seventeen people at Marjory Stoneman Douglas High School in Parkland, Florida, students confronted politicians about guns and school safety. Many observers predicted that they would achieve the usual result: nothing. But the students kept at it. Six weeks later Florida Governor Rick Scott signed bipartisan legislation introducing some gun controls. At other times, people create change by voting or joining political movements. Perhaps our government does still reflect the ideas and passions of the people.
Students from Marjory Stoneman Douglas High School in Parkland, Florida, changed the national debate when they confronted political leaders about gun control and school safety—after a tragic shooting in their school.
Over the years, political scientists have developed different theories to answer the question of where power really lies in American politics. The following four theories (summarized in Table 1.1) are especially important:
Pluralist theory suggests that people can influence government through the many interest groups that spring up to champion everything from fighting global warming to banning abortions. Pluralists suggest that interest groups give most people a voice. Elite theory counters that power actually rests in the hands of a small number of wealthy and powerful individuals—particularly the richest Americans, corporate executives, and the top government officials— especially in the executive branch. Bureaucratic theory argues that real control lies with the millions of men and women who carry out the day-to- day operations of modern government. Bureaucratic experts establish policy and sideline the influence of most Americans. Social movement theory emphasizes the power citizens can wield when they organize and rise up in protest— regardless of who is in control of day-to-day politics.
TABLE 1.1
Watch students challenge Florida Senator Marco Rubio.
Theories of Power
THEORY LOCATION OF POLITICAL POWER SOURCE OF INFLUENCE
Pluralist theory
Interest groups A group’s resources, political awareness, and connections
Elite theory “Power elite” in corporations, government (especially the executive), the military, and an upper class of billionaires
Status based on economic influence and leadership positions
Bureaucratic theory
Government organizations Organizational rules and day-to-day decisions
Social movement theory
Protest movements The ability to persuade the rest of the country to support their cause
What Do YOU Think? Who Governs?
Political scientists’ two most popular theories of power
are pluralism and elite theory. If you had to choose between them, which would
you pick?
Pluralism! Power is
spread out in America.
Any group can have its
say.
Elitism! A small circle of wealthy
and powerful people hold most of the control in America.
Perhaps you would like to speak up for one of the other theories. Do you prefer the social
movement theory, which places power in the hands of an active, engaged group of citizens?
If you are not sure, don’t worry: We’re just getting started.
These theories represent very different answers to the vital question: Who rules in America? Have we remained a republic, governed by the people? We will often return to this question—and ask you to consider which of these theories best describes power in the United States today. (And, yes, you’ll be able to mix, match, and create your own theories.)
The Bottom Line In a republic, power rests with the people. However, this is a difficult form of government to maintain. The first question of American politics—raised in every generation—is whether the people hold the power. Is the United States a government by the people? Scholars have developed four approaches to political power in America: pluralism, elite theory, bureaucratic theory, and social movement theory. We return to this issue in every chapter of this book.
How Does American Politics Work? Consider a classic definition of politics: Who gets what, when, and how.4 Every society has limited amounts of money, prestige, power, and other desirables. Politics helps determine how we distribute them—to which people, in what amounts, under which rules. A second definition is even simpler: Politics is how a society makes its collective decisions. Every nation has its own way of deciding. In this book we explain how collective decisions are made in the United States by focusing on four “Is”: ideas, institutions, interests, and individuals.
Ideas Powerful ideas shape American politics. The nation began with what, at the time, was a stunning idea: “All men are created equal.” In Chapter 2, we explore seven essential ideas: liberty, democracy (or self-rule), individualism, limited government, the American dream, equality, and faith in God. At first glance, these ideas all look simple, but as you will quickly learn, each has at least two very different sides. Each idea provokes long, loud controversies.
How have our ideas about democracy and republics shaped our government?
Take democracy as an example. It sounds simple—government by the people—but defining and achieving democracy in America has been a constant struggle. The United States has seen a Constitution that limited the people’s influence, an elaborate system of checks and balances that blunts the popular will, political machines that enthusiastically stole votes in the nineteenth century, a Jim Crow system that drove African Americans out of politics until the 1960s, and many other limits to popular rule. In fact, most people are shocked to learn that on the very first day of the Constitutional Convention in 1787, one delegate rose and said, to general approval, “the people should have as little to do as may be about the government. They lack information and are constantly liable to be misled.”5 Can checking the people’s influence actually elevate popular rule? Most of the men at the Constitutional Convention thought so. Americans still debate this question.
Checks and balances: The principle that each branch of government has the authority to block the other branches, limiting the power of any one branch or individual. This system makes passing legislation far more difficult in the United States than in most other democracies.
Instead of embracing popular sovereignty, many American leaders preferred the rule of a few—the elite founders of the nation, expert bureaucrats trying to solve technical problems, big banks regulating themselves, or judges appointed for life. All have aimed to protect government from the tumult of the masses.
At the same time, bold popular movements and unforeseen electoral surges have changed the nation. In many ways, these are the most exciting moments in American history. They attract widespread attention, inspiring ordinary citizens to achieve great things. The chapters that follow highlight moments when the United States has reflected populist democracy, as well as periods when it has turned away from the people. We also explore the great contested zone between democracy and elitism. Ultimately, the struggle for power between the elite few and the democratic many goes back to our first question: Who governs?
The United States bursts with entrepreneurial energy. New ideas bubble up all the time. Ideas alone do not drive government decisions, but it is impossible to make sense of American politics without understanding ideas, big and small.
Institutions
When most people talk about politics, they think about individuals: President Donald Trump, senators such as Kamala Harris (D-CA) or Tim Scott (R-SC), governors like Kate Brown (D-OR) and Greg Abbott (R-TX), or commentators such as Michael Savage and Samantha Bee. Political scientists, on the other hand, stress institutions—the organizations, norms, and rules that structure political action.
Institutions: The organizations, norms, and rules that structure government and public action.
Bold popular movements can change the nation. Gun rights activists rally outside the Wyoming Supreme Court.
Congress, the Texas legislature, the Missoula (Montana) City Council, the Supreme Court, the Department of Homeland Security, and the news media are all institutions. If you want to understand why they do some things and not others, study the rules that govern their behavior.
Think about how institutions influence your own behavior. You may compete in a classroom by making arguments. If the debate gets heated and you shove someone, however, you are in trouble. But if you play basketball after class, things are quite the opposite. There, a little shoving is fine, but no one wants to play hoops with someone who is always arguing. Different institutions—the classroom, the gym—have different rules, and most people adopt them without a second thought. Notice how shifting institutional rules give some people advantages over others. Smart students who think quickly have an advantage in one institution (the classroom), while fast, athletic students with good post moves have an advantage in another (the gym). Political institutions work in the same way. The Department of Agriculture, the Chicago City Council, the Nevada legislature, the state courts in Florida, the governor’s office in Wisconsin, the Marine Corps, and thousands of other institutions all have their own rules and procedures. Each institution organizes behavior. Each gives an advantage to some interests over others.
The U.S. Capitol, Washington, DC. Tourists see an impressive monument to democracy. Political scientists see an institution with complicated rules that give advantage to some individuals and groups.
By the time you finish this book, you will know to ask the essential question every time you look at a political issue: Which institutions are involved?
Interests For many social scientists, interests are often at the center of the story. Political action flows from individuals, groups, and nations pursuing their own self-interest.
The traditional view of interests focuses on groups. If you want to influence environmental politics, join a group such as Greenpeace, ConservAmerica, or the Audubon Society. Their lawyers, lobbyists, and members all play an active role in American politics and society. Remember that pluralists believe interest groups are the central actors in American government—in contrast to governments in England, Brazil, or Korea.
Other analyses focus on individual interests as the essential particles of politics. Rational choice theory suggests that people calculate the costs and benefits of any action to determine what will maximize their own self- interest. At an extreme, “rat-choice” models suggest that all political outcomes—elections, the passage of a law, even mass rallies—are an aggregate of the public’s individual interests.
Rational choice theory: An approach to political behavior that views individuals as rational, decisive actors who know their political interests and seek to act on them.
Political theorists and politicians alike often seek (or claim to seek) the public interest, the shared good of the whole society. Idealists reject pandering to the interests of individuals or groups. Instead, they suggest that government ought to pursue “the greatest good for the greatest number.” Well, who decides what is the “greatest good?” This returns us to our first question: Who governs? The real answer lies in who can most effectively get his or her voice heard.
In the chapters that follow, we explore all three types of interests: group interest, self-interest, and public interest. Behavioral scientists add one more twist. Although we may think of our own interests, including our political views, as perfectly rational, most people exhibit a large degree of self-deception and nonrational behavior. Experiments repeatedly show, for example, that people do not change their views when confronted with evidence that they are mistaken—on the contrary, it only strengthens their attitudes. Experts are often no wiser than anyone else for they overlook data that does not fit their expectations. For a dramatic example, look no further than President Trump’s election—something that surprised most public opinion experts.6
Individuals can make a difference. Marla Ruzicka in Kabul, Afghanistan.
Individuals Finally, individuals influence political outcomes. This book places special emphasis on how ordinary people change the world. Our hope is simple: We want to inspire you to get involved. Here we share one example.
Marla Ruzicka was a self-described “civics junkie” who visited Afghanistan and Iraq while U.S. forces were on the ground there. She was shaken when she saw the terrible toll that the wars took on civilians. With no particular foreign policy experience, the twenty-five-year-old established a public service organization in Iraq that she called the Campaign for Innocent Victims in Conflict, or CIVIC. Along with providing first aid, food, clothing, and comfort to ordinary Iraqis injured during the war, Marla formed survey teams of volunteers that kept a count of Iraqi civilians killed, regardless of who was responsible.
Marla’s efforts attracted attention back in Washington, where Pentagon officials initially sought to dissuade her from publicizing her count. Eventually she received substantial support from Congress for her CIVIC efforts to aid civilian victims in both Iraq and Afghanistan.
There is a tragic note to Marla’s story: As she traveled to an injured Iraqi’s home, her car was targeted by an explosive device, and she was killed. We highlight Marla’s example both to honor her memory (one of your authors was her friend) and to emphasize the importance of individual initiative in every operation of American government. Today, the organization she founded has programs not only in Iraq and Afghanistan, but also in Syria, Somalia, Mali, and other war-torn countries. She is an example of how individuals with a passion for political change can make a difference in politics—and in people’s lives.
History As the four “Is” reappear throughout this book, you will see that we pay special attention to the history of each. Why is an idea like freedom powerful? Why does an institution such as Congress behave as it does? To understand you have to know how they developed over time. You cannot understand where the nation is, or where it might be going, without knowing where it has been.
The Bottom Line American political decisions are shaped by four “I” factors: ideas, institutions, interests, and individuals. Mastering how the four “Is” shaped politics also requires an understanding of history.
What Does Government Do? When Patrick Henry, one of the greatest orators in Virginia, read the newly written Constitution of the United States, he declared, “I smell a rat.” This new government was too strong. President Ronald Reagan said the same thing, more politely, when he took the oath of office almost two hundred years later: “Government is not the solution to the problem. Government is the problem.”7 Americans have always been critical of their own government. And yet there are 2.8 million people working as “feds”—roughly the same count as during the Reagan administration. Is government still the problem? Before you can answer that, you have to know what government actually does.
Context: Government in Society Let’s start with the context. There are three sectors of society. Private life involves individuals, families, and friends connecting with one another. Civil society refers to people joining with others to do something—you might run for student government, form a Bible study circle, or volunteer at a recycling center. Finally, government is the set of institutions that make decisions for the whole society.
The lines separating these different sectors are blurry. Successful democracy requires a vibrant civic spirit. When people join groups—even if it’s just a soccer club or knitting group, they get used to interacting with others and solving problems together. They develop what Alexis de Tocqueville, a French visitor to America in 1831– 1832, called the “habits of the heart”—the relationships they develop and the shared goals they pursue lay the foundation for robust democracy. Private groups foster the skills and attitudes that make people effective citizens.8
In addition, the different sectors come together to undertake public projects. Public–private partnerships bring private actors such as businesses together with government officials to renovate parks, construct sports arenas, or launch innovative schools.
Public–private partnership: A government program or service provided through the joint efforts of private sector actors (usually businesses) and public officials.
The three sectors of society. Individuals engage in all three sectors: personal life when they work or raise a family; civil society when they volunteer at a soup kitchen; and government when they get a driver’s license or engage with a police officer.
Figure 1.1 Americans’ trust in government remains at historic lows. (Pew Research Center)
No Big Government! Americans have a very active civil society. In the abstract, at least, they prefer voluntary groups to government action. Today, only 18 percent of Americans trust the national government “to do the right thing most of the time”9 (see Figure 1.1).
If Americans dislike “Big Government,” then how did we get such a thicket of over thirteen hundred federal
agencies and fifteen Cabinet departments, populated by more than 2.8 million civilian employees? Include another nearly 2.5 million members of the active and reserve armed forces, and you get a sprawling national government. Add 19.4 million state and local government workers alongside the 500,000 elected officials, and you get an idea of the sheer size of the U.S. government—more than twenty-five million men and women who touch every aspect of our lives.
Americans have long told admiring stories about individual heroes who won greatness on their own—free of government meddling. But the details are often more nuanced. Take those famous inventors, the Wright brothers. Working out of their bicycle shop, Orville and Wilbur created the first viable airplanes. What you may not have heard is that the Wrights were able to develop their invention because of timely investments from their first client: the U.S. military.10 Yes, government support was essential to launching the aviation industry—just as it was to exploring space; creating the Internet; and building the infrastructure we drive, walk, fly, run, and otherwise move around on every day. And despite the low trust in government generally, Americans give the government high marks for specific tasks such as keeping the country safe from terrorism (66% approval), responding to natural disasters (64%), and ensuring safe food and medicine (61%).11
Could we—and should we—shift some of the national government’s functions to civil society and let volunteers do the work? To answer such questions, you first have to know what government does.
What Government Does The Constitution begins with the basic functions of government, circa 1787: “Establish justice, ensure domestic tranquility, provide for the common defense, promote the general welfare, and secure the blessings of liberty.” Their list—we’ll get to the details in Chapter 3—still describes the functions of the government, even as its size has grown. We can get a more focused look at the federal government’s priorities by looking at what it spends its money on. Figure 1.2 shows you the major budget categories in the $4.4 trillion annual budget.
Test your knowledge of civics.
Many people are surprised when they examine the federal budget for the first time. More than 75 percent of all federal spending goes to just four categories: the military, Social Security (which provides a steady income for people over sixty-five, as well as payments for those with disabilities), Medicare (which provides healthcare for people over sixty-five), and Medicaid and related healthcare programs (which provides healthcare for children and lower income Americans; about half of Medicaid spending also goes to those over sixty-five). These four programs add up to more than $3 trillion. They are all very popular, so most politicians are careful about meddling with them. Tune into the budget debates and you’ll hear lots of noise about budgets being out of control. But unless they are cutting one of these big four programs, budget cuts will not produce small government.
Figure 1.2 The U.S. federal budget. What government spends. Notice the big four: Social Security, Medicare, Medicaid, and National Defense. (Christopher Chantrill)
Notice how America’s national government devotes a large share of its resources to the military and to seniors. Only one out of every 6.6 Americans is over sixty-five years old. What about the rest of us? We are mainly squeezed into the slice listed as “non-defense discretionary.” That includes federal spending on education, housing, veterans, agriculture, infrastructure, food stamps and a long list of other programs, which all stack up to 14 percent of the budget or, roughly, $615 billion.12
Of course, government does a lot more than spend. It sets the rules for society: Drive on the right side of the street. Stop at red lights. No tobacco for children. No rat hairs or bug parts in restaurant food. No discrimination against women when hiring. No insider trading in stocks. Most people agree with these rules. Others are much more controversial.
Over 600,000 people were arrested in 2017 on marijuana related charges. At the same time, marijuana is legal in nine states and Washington, DC. In Oregon people with terminal illnesses can choose to end their lives with the assistance of a physician, but anyone who assisted euthanasia in Georgia or Florida would face murder charges. Abortions are much easier to obtain in New York than in North Dakota. Guns are easier to get in Texas than California. Government—national, state, and local—constantly sets the rules for society. Sometimes the rules make sense to most people; other times, they trigger fierce debates. Certain federal, state, and local rules are the same; in other cases, they clash. Governments affect what we do almost every minute of every day—from the moment you wake up and turn on the light (government is responsible for electricity), jump in the shower (local government provides water and makes sure it’s clean), and eat breakfast (federal, state and local governments all regulate food safety). As we go through this book, we keep coming back to a vital question: Should government do fewer things? Or more?
Americans often vote for budget cuts—but don’t want their own favorite programs cut.
A Chronic Problem Although Americans dislike government in the abstract, by and large they support many of the things that government actually does. This paradox creates a chronic problem: How should we pay for government spending? Americans pay lower taxes compared to citizens of most other advanced industrial nations. Yes, you read that right. The U.S. tax burden (including federal, state, and local taxes) ranks thirty-first—right near the bottom— among the thirty-four wealthiest nations13 (see Comparing Nations 1.1). Even so, many Americans think they are taxed too much. Americans like their federal programs but oppose paying taxes to support them. In 2017, Republicans in Congress passed major tax cuts—lowering the U.S. tax burden still further.
Partly as a result of our antitax spirit, the federal government usually spends more than it takes in. You can see one consequence in Figure 1.2. Notice the seventh-largest spending category: interest on the national debt. The United States borrows money to cover the difference between government spending and tax revenues. The resulting debt reflects a serious political problem. It is hard to raise taxes (people hate them), but it is also hard to cut programs (people like them), so the United States keeps borrowing to make up the difference.
COMPARING NATIONS 1.1
U.S. Taxpayers Less Burdened Than Other Advanced Countries
Citizens in the United States pay less in taxes than citizens in many other countries. In the countries near the top of the chart, roughly half of all economic activity goes into the government’s coffers. In the United States, that figure is closer to one-quarter—and falling. Is this too little? Or still too much? These questions get back to the proper size of the government, and what the government should do. (Organisation for Economic Co-operation and Development)
The Hidden Government Another peculiar aspect of modern American government is that it can be hard to see. Scholars identify a “hidden” or “submerged” central government, with many functions deliberately tucked out of sight. Why is it people do not see their government at work?14
Because of Americans’ antipathy to “big government,” many federal programs work indirectly: They operate through the private sector. Take healthcare as an example. Rather than administering a national health insurance program as in Canada or France, the American government provides employers a major tax deduction if they offer
employees health insurance. Today, the tax deduction for employers amounts to $260 billion a year.15 That makes it one of the largest government-funded healthcare programs in the world. The national government offers similar tax deductions that help people buy homes, buy health insurance, save for retirement, pay for schooling, or receive support if their income is low. However, the people who benefit do not see the government’s hand at work.16
Political scientist Suzanne Mettler asked American citizens whether they receive federal benefits; more than half of the respondents incorrectly answered “no.” They did not stop to think that the government had helped set up their retirement savings or their student loans by organizing the tax code to encourage their behavior. About a quarter of the people getting healthcare coverage through Medicaid or groceries through food stamps did not realize they were involved in government programs (see Figure 1.3).
Liberal scholars conclude that the government does not get enough credit for helping people and creating a stronger nation. Conservatives, on the other hand, are more likely to worry that a hidden government is more difficult to control and cut back. Our job is to make sure you see all the ways that government operates—then you can decide whether it should grow, shrink, or stay about the same size.
The Best of Government Despite powerful antigovernment sentiment—or perhaps inspired by it to promote change—millions of Americans cheer what is best in our national government and seek to improve it. In this book, you will meet dozens of people who act to improve government. You will meet policy entrepreneurs from across the political spectrum who promote innovative new solutions to pressing problems; organizers who engage their neighbors and larger communities in collective action for change; inventive bureaucrats who conceive ways to deliver public services more effectively; and tech wizards who devise faster, better connections between national policymakers and the public.
Figure 1.3 A recent poll found that 55 percent of Americans report receiving government benefits, but Suzanne Mettler calculated that the number is closer to 96 percent. Even beneficiaries of the biggest programs do not realize they are getting benefits from the government. (Pew Research Center and Washington Post)
We will return repeatedly to ways you can get involved, have a say, and enhance the workings of American government. You can engage within our political system: volunteer on a Senate campaign, attend a town meeting, intern at a federal agency, join the school board, or run for the state legislature. You also can get involved from outside: call media attention to a problem, serve in (or start) an advocacy group, or launch an online idea that might improve local education policy or spotlight fresh solutions in crime prevention. In addition, you can get involved in the life of your community. You are already enough of a social scientist to know that when you join a group or activity, you are participating in “civil society”—the basic building block of strong democracy.
The Bottom Line
Every nation is made up of three primary sectors: private life; civil society, where people interact voluntarily; and government. Those sectors are increasingly blurred in the United States. Americans tend to dislike their national government—but like the benefits that government programs provide. Democratic government at its best involves popular involvement, either through direct engagement with public officials or through civil society activities that help develop “habits of the heart.”
Who Are We? The United States is a nation of immigrants, a country where individuals come to reinvent themselves. The nation is always changing. American politics constantly addresses the most fundamental question about a people: Who are we?
This question goes back to the earliest European settlers. When the Puritans landed in Massachusetts in 1620, they suddenly had to define their community for themselves. The colonists came up with a remarkable response: We are a collection of saints, a “city on a hill,” a model for the whole world to follow. That city on a hill immediately discovered threats: The Puritans defined or imagined enemies that included Indians, witches, and heretics. These settlers learned to answer the question “Who are we?” both by affirming who they were (“us!”) and by sharply declaring who they were not (“them!”). They defined themselves by celebrating their values, but also by demonizing their foes—promoting their cohesion by opposing dangerous “others.”
The United States grew as a nation of immigrants. Here a group from Ireland arrives during the 1870s.
At the same time, different settlers were arriving chained in terrible slave ships. Slave drivers and traders tried to strip Africans of their families, their heritage, their names, and their very identities. Together, American slaves would have to remake their lives and redefine themselves. Through religion, close communities, great myths, secret gatherings, personal narratives, and an enduring struggle for freedom, this community too would help the nation face up to the great question, Who are we?
Every generation brings new Americans. They arrive from all corners of the world: Ireland and Germany in the 1840s; Poland and Italy in the 1900s; Mexico, China, India, and Korea (among a great many other places) today. The newcomers, each in their own turn, wrestle with their identity in a new land. Each generation helps remake American society, culture, and politics. Each tells us who we are. In 2017, approximately 44.5 million foreign born people were living in the United States, making up about 13.7 percent of the population.
We are also an aging nation (see Comparing Nations 1.2). As the baby boomers get older, Americans need a different mix of government services. Today, a larger proportion of Americans receive Social Security and Medicare than ever before. Younger generations also introduce new ideas, especially around social issues. Seventy percent of millennials (born after 1983) believe marijuana should be legalized, while only 35 percent of the generation born between 1928 and 1945 agrees.17 Each generation of Americans embraces different values, engages in civic life to greater/lesser degrees, and accesses some but not other institutions.
Millennials: Americans born between 1983 and 2001. Though a very large (some 80 million people) and diverse group, millennials tend to share certain characteristics, including political outlook.
COMPARING NATIONS 1.2
Aging Populations
The United States population is getting older. But not as fast as the populations in many other nations. By the year 2050, 40 percent of the Japanese population will be over sixty-five. In Germany, senior citizens will make up 30 percent of the population and in Canada, 27 percent. The United States is getting older less rapidly. By 2050 only one in five Americans will be over sixty-five. Why is this so? Partially because as nations get wealthier, families generally get smaller. And in most wealthy nations, people are living longer—though the United States lags behind the other nations listed here in life expectancy. (U.S. Census Bureau)
Demographics in America HOW ARE RACE AND ETHNICITY CHANGING OVER TIME?
Answers to the age-old question “Who are we?” have been changing as long as there have been settlers on our shores, dating back to the Native American inhabitants. Looking back fifty years and forward a half-century, we may see dramatic changes in our population:
Some demographic models used by the Census Bureau project that the nation’s fastest growth will occur among Americans of Hispanic, Asian, and African descent.
THINK ABOUT IT
How does the projected growth of the Hispanic, Asian, and African American populations compare to that of whites? At what point will the white population become a minority?
Should the proportion of members of Congress, or Supreme Court justices, who are Hispanic also grow? Why or why not? We’ll come back to this issue—what does proper representation look like—throughout the book.
Source: Pew Research Center
What Do YOU Think? Getting Engaged in Politics—Or Not
Past public opinion data suggested that the
younger generation has been less involved and
interested in politics
Disagree. Millennials engage as civic
volunteers like never before. From “voluntour” travel
involving service learning to
Agree. I do see a lack of political
engagement around me. This may well be a problem for American democracy, but I shun electoral
Unsure. You may be new to the study of politics—or to
the United States
than were previous generations. Do you
think this remains true today? What is your experience? Do you
agree or disagree with this assertion?
social media-fueled protests to start-ups that disrupt traditional
political forms, they are promoting new styles that more
traditional observers have failed to appreciate. Describe
the types of activities you have seen or engaged in.
politics that seems to be dominated by two sides
screaming at one another without engaging in civil discourse. I see more value in volunteering for a
private organization or giving my time and money directly to
causes that interest me.
itself. If so, no worries. By the end of the book,
we think you will have well-
founded opinions on this and many
other matters.
Every feature of American government—the ideas, the Constitution, the president, Congress, the media, the political parties, the bureaucrats, and more—are all part of the struggle to define and redefine the United States. We begin every chapter by showing you how the topic helps answer the same question: Who are we?
Who are we? The most important answer to that question is you. If you are part of the so-called millennial generation, individuals born between 1983 and 2001, you are the future of American politics. To us, that is a comforting thought. Millennials are, on average, more responsible, harder working, and more law-abiding than the generations that came before (including those of your authors). They tend to volunteer more, donate a higher share of their incomes to charity, and start more entrepreneurial organizations with social impact. They are also a generation at home in a rapidly changing and diverse world.18
As we will see throughout the book, American politics has become especially rough—full of raised voices and bitter name-calling. Yet democracy thrives on tolerance. Our hope is that a new generation will take up the challenge of “keeping the republic” by expressing their own voices loudly and clearly while respecting and listening carefully to those of all others.
The Bottom Line American politics constantly addresses the most fundamental question about a people: Who are we? Because the nation is so diverse—and so rapidly changing—the answer to this question is constantly being rewritten. Each generation of Americans, including newly arriving immigrants, answers this question in its own way. Today we see millennials constructing their own version of a response.
Conclusion: Your Turn The United States has solved many problems in the last two generations. It also has failed in some dramatic ways. The torch is now passing to you. We do not encourage you to get involved naively. This book details the many problems and frustrations of running for office, advocating passionately on issues, or working in government. But we also hope our book will inspire you—whatever your age, whatever your background—to join the great debate about how to forge a better society. We invite you to use what you learn about American politics and government to help build a good community around you.
CHAPTER SUMMARY
To understand America’s—or any other nation’s—government and politics, keep four central questions in mind.
Check your understanding of Chapter 1.
Who governs? This remains a deeply disputed topic, organized around four main theories. Pluralist thinkers claim that a wide array of interest groups, both private firms and public interest advocates, shapes government decisions and policy outcomes. Elite theorists view a handful of powerful people in prominent roles, and their wealthy supporters, as the central sources of political influence. Bureaucratic theorists look to millions of public officials in government organizations as the primary decision makers. Adherents of social movement theory argue that members of the public, when they join a protest movement, can have the ultimate say. Note that more than one of these theories can be true at the same time.
Need to review key ideas in greater depth? Click here.
How does American politics work? Politics involves collective decisions about American society. To understand the decision-making process we focus on four “I” factors. The first is ideas: Every day, people rally, debate, and even die on behalf of ideas such as liberty and democracy. Institutions such as Congress, the Tennessee legislature, Immigration and Customs Enforcement (ICE), or regular elections provide the rules and procedures that shape political outcomes. Interests motivate people to act politically and come in different forms: individual self-interest, the goals of interest groups, and the overarching public interest we all share. Individuals can have surprising amounts of political influence, even in a nation as large as the United States.
What does government do? Many Americans oppose a strong national government, yet the United States has a very large one. The majority of the public embraces programs such as Social Security, Medicare, and a strong military. We also depend on vigorous civic engagement by the American public. In addition, government regulates the rules of everyday life, from who can get married to where to place a stoplight.
Who are we? American politics constantly addresses the most fundamental question about a people: Who are we? Because the nation is so diverse—and so rapidly changing—the answer to this question is constantly being rewritten. Every feature of American politics—the foundational ideas, the Constitution, the media, Congress, the courts, and now the millennial generation—engages in this constant debate over defining the nation and its people.
KEY TERMS
Checks and balances Democracy Institutions Millennials Public–private partnership Rational-choice theory Republic
Flashcard review.
STUDY QUESTIONS
1. Why do we describe American democracy as “paradoxical” at the opening of this chapter? 2. Why did Franklin add “if you can keep it” to his description of the new American nation as a republic? 3. What are some of the ways that ideas are influential in national government and politics? 4. Think of a political issue you care about—cutting taxes, global warming, immigration, healthcare, and so forth. Which government institutions are involved in determining how that issue is addressed and resolved? 5. What are the three types of “interests” that political scientists pay attention to in assessing whether political outcomes are interest based? 6. How might an individual make an impact on the vast U.S. system of government and politics? How might you be meaningfully involved? 7. Think of the various groups that you belong to. How would you describe each group? In what ways is each group part of the larger American society?
Go to www.oup.com/us/Morone to find quizzes, flash cards, simulations, tutorials, videos, and other study tools.
•
2 The Ideas That Shape America
Army Captain Russell Burgos hands out supplies to Iraqi children in 2004.
In this chapter, you will: Learn about the seven key American ideas.
Review the arguments that surround each of them.
Explore the essential question: How do ideas affect politics?
ARMY CAPTAIN RUSSELL BURGOS hunkered down in his bunker as mortars ripped through the night. A year ago he had been a political science professor; now he was a soldier in Iraq. Burgos’s unit was operating in an area where the fighting was fierce. “A mortar attack in the middle of the night,” he mused, “is an odd place to reconsider a course syllabus.” But that is exactly what he found himself doing. Experiencing war made him see politics and societies in new ways.
As shells fell on the American base, Burgos thought about something that his classes had been missing: the study of ideas. All around him, men and women were fighting and dying over ideas—ideas such as freedom, democracy, equality, power, and faith in God. Strangely enough, Burgos wrote later, ideas had barely come up in his own political science classes. Yet ideas helped explain why the United States launched the war, how it fought the war, and how it explained the war to both friends and enemies.
Who are we? Our ideas tell us—and they tell the world. The United States is a nation built on ideas. You will see ideas at work in every chapter of this book, for they touch every feature of government and politics. As you read about these concepts—and as you continue through this book—think about other important ideas that should be added to the list alongside the seven we discuss in this chapter. If you come up with a compelling example, we may quote you in the next edition.
A Nation of Ideas On July 4, 1776, American leaders issued a Declaration of Independence explaining their decision to break away from England. Its second paragraph describes the idea that animated them:
We hold these truths to be self-evident, that all men are created equal, that they are endowed by their Creator with certain unalienable rights, that among these are life, liberty and the pursuit of happiness.
BY THE NUMBERS
American Ideas
Number of times the word rights appears in the Declaration of Independence 10 Number of times the word rights appears in the original Constitution 0
Number of times the word rights appears in amendments to the Constitution 15 Number of times the word democracy appears in the Constitution 0
Number of times the word equality appears in the original U.S. Constitution 0 Percentage of Americans who say a representative democracy, a direct democracy,
rule by experts, and rule by military is a good way to govern the country 86, 67, 40, 171
Percentage of total wealth in the United States owned by top 1%, top 10%, and bottom 90%, respectively
40, 78, 22
Percentage of Americans who say that government should act to reduce economic inequality
65
Percentage of Americans who think prayer should be allowed in public schools 57 2
What expectations do you have of government? What ideas guide your political actions?
Most people have heard that line so often that it has lost its force, but it is one of the most powerful ideas in history. It explains the role of government—securing each individual’s rights to life, liberty, and the pursuit of happiness. The Declaration states that people form governments for one purpose—“to secure those rights.” And although the men and women who fought the revolution fell far short of this ideal, they left the nation an inspiring goal. Every American generation argues about how it can best achieve the Declaration’s shimmering promise to “secure” the rights of every citizen.
Many people believe that the United States is a unique nation, different from every other. That view is known as American exceptionalism. Of course, every nation is distinctive in some way. The United States is exceptional in large part because of seven key ideas that guide our politics. Most of them can be traced back to the Declaration of Independence.
American exceptionalism: The view that the United States is uniquely characterized by a distinct set of ideas such as equality, self-rule, and limited government.
What are the seven big ideas? Liberty, self-rule (which is often called democracy), individualism, limited government, the American dream, equality, and faith in God. These ideas touch almost everything we do as a nation. They are the foundation of American politics and lie at the core of what makes America distinctive.
Ideas have consequences. John Hancock of Massachusetts defiantly signs the Declaration. According to legend, he signed it in big, bold letters so that King George III could read Hancock’s name without his spectacles—and “double the reward for my head.”
There is an unusual twist to these ideas. Americans rarely agree on what they mean. Instead, we constantly debate them. The Declaration of Independence declares that all men are created equal, but many of the men who signed it owned slaves. Our stamps and coins say “In God We Trust,” but Americans passionately disagree about whether the Constitution permits prayer in schools or menorahs in public parks. All our foundational ideas have (at least) two sides and spark ardent disputes. To reveal the real truth about American politics, we should post signs at all the airports that say: “Welcome to the great argument that is the USA.”
Now let’s consider the first key idea.
The Bottom Line Seven ideas guide our politics: liberty, self-rule, individualism, limited government, the American dream, equality and faith in God.
Liberty As the Revolutionary War broke out, the royal governor of Virginia promised freedom to any slave who joined the British. Eighty thousand slaves ran for the British lines. Some of them fought in black units, with their motto —“liberty for the slaves”—sewn onto their uniforms.3
The enslaved men and women who fought for the British saw their hopes dashed when their side surrendered at
the Battle of Yorktown in 1781—effectively ending the Revolutionary War. After the battle, the Redcoats, as the English soldiers were known, began to withdraw, rowing out to the warships bobbing in the harbor for their long retreat. One desperate group of slaves raced past the sentries on the wharf, dove into the sea, and swam toward the long rowboats that were ferrying the defeated British troops out to their naval vessels.
During the Revolutionary War, radicals met under trees they called “liberty trees” and erected poles they called “liberty poles.” In this painting, Bostonians have dragged the British tax collector to the liberty tree where they have tarred and feathered him. The painting was British propaganda that mocked the liberty tree and the revolutionaries.
As the black men tried to clamber aboard the small boats, British troops pushed them away. Fearful that the swimmers would swamp the craft, the troops pulled out axes and hacked off the slaves’ hands and fingers. And still they kept coming, trying to surge aboard, thrashing after their fading dream of liberty. The image is unforgettable: These men were so desperate for freedom that even as the Redcoats swung their bloody hatchets, they kept clutching for the boats that might carry them away from bondage.
“The Land of the Free” No idea comes up more often in American history than freedom or liberty (we use the words interchangeably in this book). The national anthem declares America “the land of the free.” During the civil rights movement of the 1950s and 1960s, high school students spilled out of Baptist churches and marched toward dogs and high-pressure fire hoses, singing, “Everyone shout freedom, freedom, freedom!” The Statue of Liberty is inscribed “Give me your huddled masses . . . yearning to breathe free.” A group of conservative Republicans in Congress established the Freedom Caucus in 2015.
What is freedom? It means that the government will protect your life, your liberty, and your property from the
coercion of others (including public officials) in order to permit you to pursue the goals you define for yourself.
Freedom: The ability to pursue one’s own desires without interference from others.
The Two Sides of Liberty Everyone agrees that freedom is a basic American value. But, in practice, Americans disagree about what it means —and what governments should do to ensure it. There are two different views: negative liberty and positive liberty.4
The more familiar view is negative liberty: Freedom is the absence of constraints. Society’s responsibility, from this perspective, is to make sure that others (especially government officials) do not interfere with individuals. The government protects your right to believe what you wish, to say what you like, to declare any faith (or none), and to go into whatever profession you want—all without constraints or fear of punishment. Negative liberty firmly limits government action. Public officials violate your freedom when they collect taxes from you to feed the hungry or punish you for smoking tobacco or marijuana. Negative freedom is the right to act as you want.
Negative liberty: Freedom from constraints or the interference of others.
What Do YOU Think? Negative Versus Positive Liberty
Americans disagree about the meaning
of “freedom.” Is freedom the absence
of constraints (negative liberty) or
the freedom to pursue one’s goals
with equal opportunity
(positive liberty)?
Do you believe in negative liberty?
Government should not interfere with
individuals. Freedom means leaving every
person alone to do what he or she wishes—
without interference. As President Reagan famously said, “as
government expands, liberty contracts.”
Or do you believe in positive liberty?
Freedom simply is not a meaningful concept if you or your family are
chronically hungry. A decent society has to lift everyone to a basic
minimum. That is what living in a democracy should be about, said President Franklin D. Roosevelt: “True individual freedom cannot
exist without economic security and independence.”
Or do your beliefs fall somewhere in
between? Think about how you might combine these
two concepts. You may find it easier to answer
this question after reading about the other major ideas. If you are not ready to choose, read on—and then
return to this question.
The alternative is positive liberty: the freedom to pursue one’s goals. From this perspective, individuals cannot really be free—they cannot pursue their desires—if they lack the basic necessities of life. Protecting liberty means ensuring that every citizen has food, shelter, healthcare, and educational opportunities. After all, how can people truly be free if they are hungry or homeless? This view justifies government action as a way to help give all people a legitimate chance to achieve their desires.
Positive liberty: The ability—and provision of basic necessities—to pursue one’s goals.
President Franklin D. Roosevelt forcefully expressed this view in 1941. As the United States prepared for World War II, he proclaimed that the nation was fighting for “four freedoms”: freedom of speech, freedom of worship, freedom from want, and freedom from fear. The first two—freedom of speech and religion—were traditional negative liberties: No one could infringe on these individual rights. However, “freedom from want” was
something new, a positive liberty that entails helping needy people who have fallen on hard times. Roosevelt was suggesting that social welfare policies such as unemployment insurance and Social Security were part of the all- American idea of freedom. Contemporary ideas of positive freedom include efforts to ensure that all people are well educated or do not ruin their health by smoking. The guiding notion is that a lack of education, or illness or addiction, makes it difficult for individuals to pursue their goals.
Which idea of freedom is right? That depends on your values. Beneath these two visions of liberty lie different accounts of the good society. The negative view emphasizes personal autonomy: Taxing me violates my freedom of property. The positive view follows Roosevelt: Membership in a free society means sharing enough wealth so that everyone enjoys freedom from want. The two perspectives reflect different values, different visions of society, and different definitions of liberty.
The Idea of Freedom Is Always Changing Once upon a time, Americans permitted slavery and racial segregation. Women lost all their legal rights the day they were married; their possessions—even their very bodies—passed into the custody of their husbands. Immigrants from China, and later from India, were denied any hope of becoming Americans no matter how long they lived in the country. The ideal of freedom moved Americans to reverse each of these prejudices.
Hear President Roosevelt deliver his 1941 speech on the four freedoms.
Scholars disagree about how to interpret the results. Some see American history as a steady march toward greater liberty. Yes, they admit, American history is full of oppression. However, our faith in freedom leads oppressed groups to fight for their rights. The American promise, wrote Samuel Huntington, is the “promise of disharmony,” as a constant parade of groups—African Americans, women, immigrants, and many others— successfully challenge the nation to live up to its ideals.5
Other political thinkers, such as Rogers Smith, warned against viewing American history as a steady rise of freedom. The outcome in the fight is never inevitable, they argued. Instead, freedom is won and lost . . . and won and lost again. Americans fought their bloody civil war to end slavery, only to watch new forms of racial segregation and oppression take hold and last for another century. Native Americans have never had their place on the land or in society fully restored. Struggles to secure rights are still part of the long battle for freedom. No one can say how those conflicts will end. Nor should we ever take liberty for granted.6
The Bottom Line Liberty—or the freedom to pursue your goals—is the most often-invoked American value. There are two different views of what liberty means. Negative liberty emphasizes a lack of constraints on individuals, even if those constraints are intended to help others. Positive liberty calls on the community to help everyone satisfy their basic needs. Freedom has expanded to new groups over time. Some scholars see the rise of freedom as inevitable, reflecting American ideals; others see it as a constant battle that can always go either way.
Self-Rule
As the American Revolution began, crowds gathered in the towns and cities. The people, they declared, would seize authority from their royal governors (appointed by the tyrannical king) and exercise power themselves. “The mob has begun to think for itself,” complained one wealthy New Yorker. “Poor reptiles, before noon they will bite” (meaning revolt).7
Patriotic crowds ignored the skeptics. At mass meetings, the people voted for laws, enforced decrees, and even issued wedding licenses. Here is a powerful image of democracy: American people bypassing government officials and running the country themselves from the town commons. The people ruled.
That principle sounds simple. The United States is the world’s longest running democracy—of course the people rule. But from the beginning, a great debate arose about how to achieve self-rule. The Constitution was meant to settle the issue—but we are still arguing about its meaning more than 230 years later.
Self-rule: The idea that legitimate government flows from the people.
How do we achieve self-rule? Americans have long vacillated between two very different paths—a democracy and a republic.
One Side of Self-Rule: Democracy Democracy involves citizen participation in making government decisions. (Demos is the Greek word for “the people,” and kratia is the Greek word for “rule/power.”) In early New England, citizens governed in town meetings—without relying on elected officials. To this day, some towns are still run this way. How high should taxes be? How much should the town pay its schoolteachers? Eligible voters all can have their say before voting to decide the matter.
Many states still reach for this democratic ideal—let the public make decisions without relying on elected officials. In 2018, voters in 26 states weighed in on over 160 ballot questions including legalizing recreational marijuana (in Michigan), permitting medical marijuana (three states), raising the minimum wage (in Arkansas and Missouri), expanding Medicaid to provide health care for more people (three states), supporting the rights of crime victims (six states), permitting same day voter registration and other measures to encourage voter turnout (four states), requiring voter IDs (two states), responding to climate change (seven states), and protecting the rights of transgender people (in Massachusetts). People vote directly on an issue through a referendum, allowed by twenty-seven states and the District of Columbia (see Figure 2.1). Initiatives permit the public in twenty-four states to circulate a petition that would propose a new law or amendment to its Constitution. And most city and state governments have sunshine laws that open their meetings to the public.
Referendum: An election in which citizens vote directly on an issue.
Initiative: A process in which citizens propose new laws or amendments to the state constitution.
Sunshine laws: Laws that permit the public to watch policymakers in action and to access the records of the proceedings.
Thomas Jefferson, who drafted the Declaration of Independence and served as the third U.S. president (1801– 1809), was the most vocal proponent of maximizing democracy. “The will of the majority,” wrote Jefferson, is a “sacred principle” and “the only sure guardian of the rights of man.” If the people cannot govern themselves, asked Jefferson, how can they possibly be trusted with the government of others?8
Figure 2.1 Most states in the Midwest and Pacific Northwest have both referendums and initiatives. These vehicles of direct democracy are less common along the East Coast. (NY Constitution.org)
The result is a rich American legacy of taking to the streets to demonstrate, rally, and protest. Examples include demonstrations on behalf of young immigrant “Dreamers”; gun owners rallying in support of the Second Amendment; giant Earth Day demonstrations that launched the modern environmental movement; and the 1963 March on Washington, which was electrified by Martin Luther King’s “I Have a Dream” speech. Some of these movements drew supporters from right across the political spectrum.
Thomas Jefferson’s dream of direct democracy lives on. Idealists throughout American history have returned to his first principle: The people should exercise power as much as possible.
Another Side of Self-Rule: A Republic Most of the men who drafted the Constitution did not agree with Jefferson about democracy. The states had tried to create direct democracy right after the American Revolution. George Washington thought the result was chaos. “We have probably had too good an opinion of human nature,” he grumbled. James Madison put it most famously: “Democracies have [always] been spectacles of turbulence and contention . . . as short in their lives as violent in their deaths.” The problem, said Madison, was that in direct democracy, the majority often gets carried away. They push their self-interest without paying attention to the rights of the minority. Direct democracy, he concluded, offers no barrier to lynch mobs crying for blood.9
The alternative is a republic. In this form of government, the people rule indirectly through their elected representatives. The constitutional framers made an important contribution to the theory of self-rule. Classical democratic theory suggested that popular government would only work if the people were virtuous. The founders realized that popular government would have to work with leaders and citizens who were often not very virtuous at all. “If men were angels,” wrote Madison in Federalist No. 51, “no government would be necessary.” The great challenge, he concluded, was to devise government institutions that would protect individual rights even if a majority of the people were selfish and corrupt. His solution: A republic.
Republic: A government in which citizens rule indirectly and make government decisions through their elected representatives.
A Mixed System Which view of self-rule holds in the United States? Both do. We can say that the United States is a democratic republic because it includes elements of a democracy and of a republic. There are plenty of opportunities for
direct participation. At the same time, American government is organized to check the majority. The House, the Senate, the president, and the Supreme Court all put the brakes on one another. And all of them face fifty different state governments, each with its own politics, powers, and programs. The American government operates through elected and unelected officials who answer (sometimes indirectly) to the public.
Another form of democracy in action: Americans take to the streets to express their views. Here, students protest the Trump administration’s attitudes toward race and immigration.
The sheer number of U.S. elected officials—more than five hundred thousand—reveals our hybrid form of government. There is one elected government official for every six hundred people in the country. Few other nations come close to this ratio. We elect representatives, reflecting our origins as a republic, but the enormous number of opportunities to serve in elective office moves us closer to a democracy.
Although our government combines elements of both democracy and republic, the debate continues about which way we should tilt. Which stance do you prefer? Jefferson’s faith in direct democracy? Or Madison’s warning that people are not angels and that government is best pursued indirectly, with the people electing some representatives who in turn select others?
You may have noticed that these two principles—the democratic and the republican—are also the names of America’s two major political parties. However, to complicate matters, the party labels do not really correspond to the party principles. Many Republican Party members are committed democrats and vice versa. We always capitalize the names of the parties—Democrats and Republicans—to avoid confusing them with the two pathways to self-rule.
The Bottom Line Self-rule is a powerful and enduring idea guiding American government. Lincoln put it best: “Government of the people, by the people, for the people.” There are two chief pathways to government by the people: a democracy and a republic. Americans have always sought to balance these two ideals.
Limited Government
Back in 1691, while America was still part of Great Britain, King William III appointed Benjamin Fletcher to be governor of New York and gave him control over the New England colonies (which had been independent until then). The Connecticut legislature did not want to cede its power to Governor Fletcher and immediately selected a new commander for the local militia—a direct challenge to the new governor’s authority. Fletcher could not ignore this intransigence, so on a beautiful October day he sailed to Hartford, the capital of Connecticut, with a small detachment of troops. He assembled the Connecticut militia and had an officer read aloud the royal proclamation declaring his authority over the state—and its militia.
As the officer spoke, the Connecticut militiamen began to beat their drums in defiance. Fletcher tried to restore order by commanding his soldiers to fire their muskets in the air; in the ensuing silence, he threatened to punish the militia members for their insolence. In response, the commander of the Connecticut militia stepped forward, put his hand on the hilt of his sword, and issued his own warning: “If my drummers are again interrupted, I’ll make sunlight shine through you. We deny and defy your authority.” Outnumbered and in no mood for bloodshed, Fletcher beat a quick retreat to his vessel and sailed ignominiously back to New York City. Because the king and his ministers were more than three thousand miles away, they never heard about this little rebellion against their authority.10
The Origins of Limited Government The tale of Governor Fletcher illustrates an enduring idea: Americans distrust centralized leadership and have consistently sought to limit its power. Eighty years before the Revolutionary War, Connecticut had grown used to electing its own leaders and going its own way. The people saw the king as a distant figure with no right to interfere in their affairs. The image of central government as a remote, unfeeling, untrustworthy authority that threatens our freedoms runs through American history.
Why did Americans develop this distrust? The answer lies in how the people secured their rights in the first place. In most nations, the central government—made up of kings or aristocrats, or both—grudgingly granted their people rights such as the vote or jury trials. Sometimes the people rebelled (as in France), sometimes they negotiated with kings (England), and sometimes monarchs expanded rights to modernize their nations (Thailand). All these countries share a common experience: Kings or the central governments that replaced them were the source of rights and liberties. No wonder citizens in these nations instinctively look to the government for help in solving their problems.
The United States was dramatically different. Americans enjoyed political rights such as voting long before they even had a central government. As Governor Fletcher’s humiliation illustrates, for most of colonial history the king was too far away to meddle in colonial affairs. Experience taught Americans to see the central government not as a potential source of rights, but as a threat to their life, liberty, and happiness.
This is one important reason why Americans are slow to trust their national government. Proposals such as national health insurance, a cap on carbon emissions to stop global warming, regulating the Internet, or a nationwide registry of gun sales all run up against a deep suspicion of government. The French aristocrat Alexis de Tocqueville was struck by this lack of trust. Any visitor from Europe, he wrote back in 1831, would be amazed that the American government is so “feeble and restricted.” Fifty years later, the English ambassador to the United States summarized the American spirit: “The less of government the better.”11 Even today, Americans are less satisfied with how their government is working than citizens of many other nations (Comparing Nations 2.1).
And Yet . . . Americans Keep Demanding More Government Here is the paradox lying at the heart of the limited-government idea. People across the political spectrum demand government action. Many conservatives seek to use federal authority to secure the border against undocumented immigration, crack down on illegal drugs, forbid abortions, or enhance homeland security. Many conservatives dream of restoring traditional morality through restrictions on obscenity in the media, regulation of video games,
and a restoration of traditional marriages. Using government to restore moral values is not a new idea. Back in the 1920s, conservatives in both parties banded together with feminists and public health reformers to outlaw all sales of alcohol from coast to coast—a remarkably ambitious government effort to change people’s everyday behavior. And many people still demand regulations of liquor and drugs; the United States is alone among advanced democracies in setting the drinking age at twenty-one, compared to Denmark (where it is 16), France (18), or Germany (14 for beer and wine if accompanied by an adult).
Conservatives: Americans who believe in reduced government spending, personal responsibility, traditional moral values, secure borders, and a strong national defense. Also known as right or right-wing.
Most liberals reject the idea that public officials should interfere in people’s private lives. You should be able to smoke marijuana, they say. But they are all for active government when it comes to economic policy or corporate regulation (Figure 2.2). They call on the government to sponsor fast trains, regulate Wall Street, protect the environment, and offer school lunch programs (there’s the freedom from want, again). From this perspective, why shouldn’t everyone have good access to healthcare? People over sixty-five like Medicare; why not extend it to all Americans? And the same for good education.
COMPARING NATIONS 2.1
Satisfaction With How Democracies Are Working
Until the economic shock of 2008, citizens in wealthy democracies thought their system worked pretty well. Northern European nations still generally give their democracy high marks. Others do not agree. Notice how the U.S. public is right near the middle in their views of how the democracy is working—behind Canada and Sweden (and Russia) but well ahead of France, Italy, and Greece.
Notice where satisfaction is highest (in African and Asian nations) and where it is lowest (in South America and the Middle East). (Pew Research Center)
Liberals: Americans who value cultural diversity, government programs for the needy, public intervention in the economy, and individuals’ right to a lifestyle based on their own social and moral positions. Also known as left or left- wing.
Libertarians break with both liberals and conservatives; they are strong proponents of negative liberty and aim to reduce all government to a minimum. Government, libertarians insist, should protect public safety, private property, and national borders—and do little else. No giant army or navy; no public schools; no regulating banks; no telling people which drugs they cannot use; no helping people who are hungry, or homeless, or need healthcare; no laws against discrimination. The popularity of this perspective rises and falls over time because every national crisis—from tainted food to bank failures to terrorist attacks—inspires widespread demands for
government action. When a storm slams into a city, the vast majority demand a fast response from elected officials.
There’s one more reason for the rising distrust of government. Stoking distrust is a good way to get voters to the polls. Republicans lashed the Obama administration as incompetent and socialistic; Democrats returned the favor by charging, for example, that Congressional Republicans were waging a war on women. President Trump has upped the ante with harsh criticism of rivals from across the political spectrum. The attacks erode basic levels of trust of and respect for our political institutions. A healthy democracy has to balance a lively clash about ideas with basic respect for the other side. That respect has been eroding for the last quarter century.12
Figure 2.2 Democrats, young people, and college graduates are more likely to say government has not gone far enough in regulating financial institutions. (Pew Research Center)
Limits on Government Action In short, Americans often say they do not like government and then demand that government address the problems they are concerned about. The Constitution itself often creates a limit to action.
When the framers designed our political system, they built suspicion of government right into the core. The federal Constitution includes an intricate system of checks and balances on power, which we explore in Chapter 3. The Constitution limits what Congress may do—but Americans vigorously debate exactly where those boundaries lie.
Although it is difficult for government officials to undertake new tasks, the barriers they face are not insurmountable. During times of crisis, people turn to the government and demand action. Skilled leadership can also negotiate sweeping changes. And once programs go into effect, they often prove popular.
Ironically, the limits on change make it difficult to repeal new programs once they make it past all the hurdles and are up and running. For example, Social Security was passed in 1935 during the economic crisis of the Great Depression; Medicare passed in part because of a great electoral landslide in 1964. Both are now extremely popular; in fact, they are so widely embraced that they are known in Washington as “the third rails” of American politics—touch them and die (politically, of course). Yes, Americans do not like government and it is difficult to win new programs. But that is only half the story. Americans also demand government action and fiercely defend the programs they like.
When Ideas Clash: Democracy and Limited Government When President Trump was running for president, he promised to repeal and replace the Obama administration’s healthcare legislation and to build a wall on the southern border. Despite months of trying, neither happened. The lack of action is no surprise. Election winners always face difficulties putting their policies into effect—a result of the many limits that Americans have placed on their own government.
When people are suffering, even many critics of the government set their views aside to demand action. Here a Houston SWAT officer rescues Catherine Pham and her son Aiden from floodwaters.
Note the clash between two leading American ideas: Democracy and limited government. Democracy says that the winning party should be able to put their policies into place. In a democracy, the majority should rule. But another value, limited government, responds: Not so fast. We do not like government meddling in our private lives, so we make it very difficult for elected officials to follow through on their promises and to actually get things done. Even a president who wins a national election by a large margin must still convince the majority in the House of Representatives and 60 percent of the Senate to vote his way. (Why 60% of the Senate? You’ll see in Chapter 13.) Even when Congress does pass a law—which is no easy task—the program often faces challenges in the courts for violating constitutional limits on government power.
Watch President Trump talking about a border wall.
What Do YOU Think? Democracy Versus Limited Government
Some observers think we do not have a true government by the
people because it is too difficult for elected officials to get things done, even with a large popular majority. These reformers seek
an easier path to government action. However, that prospect
raises fears of a more active
I’m with Thomas Jefferson. It should be easier for elected
officials to enact the programs they promised. If they cannot do
so, elections become less meaningful. When the people vote for something and their
representatives fail to deliver, it fosters cynicism about the entire
I’m with James Madison. The checks and balances that
make large-scale reforms difficult protect the United
States from overbearing government and from sudden
changes—whether rapidly expanding or cutting
programs. The barriers to
Not sure? This is a
formidable question. You may very well change
your mind —maybe
government. Which should we emphasize, democratic self-rule
or limited government? It’s time to make your choice.
political process. Democracy requires us to follow the people’s mandate. If the
majority does not like the results, it can express its
displeasure in the next election.
government action should be high. If the public really wants
something, it will probably happen over time. Limited
government is more important. Don’t change the process.
more than once—as
you continue to read
this book.
The result is an important question for political scientists—and for all Americans: How should we balance democracy and limited government? Erecting too many boundaries means that we undermine government by the majority. But remove the barriers and the winning party can pass all the programs it promised—until it loses in elections and the other party eliminates all those programs and pushes through the agenda that it promised.
The Bottom Line Americans distrust their government more than people in most wealthy democracies traditionally have— though new pressures are making many other nations more like the United States. The Constitution builds that distrust into our governing rules by providing for limited government. The result is a very durable status quo. In many countries, politicians can usually deliver the programs they promised on the campaign trail. In the United States, winners confront multiple barriers to fulfilling their pledges—the antigovernment idea is built into multiple checks and balances. However, once programs do go into effect, they often prove popular and difficult to change.
Individualism Political scientist John Kingdon was visiting his niece in Norway. She was expecting a baby, and Professor Kingdon asked what she planned to do about her job. Casually, she replied that she would receive a full year’s leave at 80 percent of her normal pay, and that her company was required to give her job back after the leave. “Who pays for all this?” asked Professor Kingdon. “The government, of course,” his niece replied. She was surprised the question had even come up. “Is it any different in the United States?” she asked innocently.13
As Kingdon explained, it is completely different in the United States: Advocates fought for years to win the Family and Medical Leave Act (1993), which requires employers with more than fifty workers to allow up to twelve weeks of unpaid leave for pregnancy, adoption, illness, or military service.
Americans generally value individualism: The idea that individuals, not the society or the community or the government, are responsible for their own well-being. We, as a society, do not pay for maternity leave. Instead, we expect private individuals and families to handle birth, or adoption, or caregiving. But that is only one part of the American story.
Individualism: The idea that individuals, not the society, are responsible for their own well-being.
Community Versus Individualism The idea of individualism is a source of controversy in every nation (see Comparing Nations 2.2). There are two ways to see any society: as a single community or as a collection of individuals. Every nation includes both, but
government policies can be designed to emphasize the community or to focus on individuals. Let us take a closer look at these two principles.
COMPARING NATIONS 2.2
Should Government Take Care of the Poor?
Americans stand out from other nations: They worry about the poor less and about individual freedom more. (World Values Survey)
Countries that emphasize the community are called social democracies. Social democrats believe that members of a society are responsible for one another. They view government as a source of mutual assistance. The government provides citizens with the basics: good health insurance, retirement benefits, generous unemployment packages, and—as we saw in the Norwegian case—maternity benefits.
Social democracy: the idea that government policy should ensure that all are comfortably cared for within the context of a capitalist economy.
In exchange, people pay high taxes. Almost half of a Norwegian’s income goes to taxes. One effect of high taxation is to make it difficult for most citizens to get very rich. At the same time, the extensive welfare state makes it far less likely that people will live in poverty. Communal societies are far more equal—not just in opportunity, but in outcome. Most Western European nations are social democracies.
Social democracies are based on solidarity, the idea that people have a tight bond and are responsible for one another. Some societies exhibit a very strong sense of solidarity. In general, solidarity increases during wars, economic depressions, or other crises that get everyone to pull together. Scholars have found that more homogeneous societies—those in which people look alike, share the same values, and practice the same religion —exhibit higher rates of solidarity than very diverse societies. They point out that even long-established social democracies in Europe (historically populated primarily by Christians) have seen their sense of solidarity falter with the arrival of Muslim immigrants. Growing diversity has challenged national solidarity.14
American politics includes a strong streak of solidarity that balances its individualism. Martin Luther King put it eloquently: “I am inevitably my brother’s keeper because I am my brother’s brother.”15 However, the commitment to solidarity rises and falls in the United States. Perhaps it will strengthen, again, with the rising generations?
Images of individualism and solidarity. The Republican National Convention backdrop emphasizes self-reliance and individual
achievement; Democrat Bernie Sanders emphasizes community and solidarity.
Now let us turn to individualism. In this view, people and their families are responsible for their own welfare. The economist Milton Friedman famously argued that the world runs on individuals pursuing their separate interests. Leave people free to choose their interests, Friedman continued, and the public interest of the whole society will emerge.16 Rather than taxing people and using funds to aid the less well-off, proponents of this perspective opt for low taxes and a green light for private entrepreneurs. People who work hard will get ahead, they believe, and society will grow and prosper.
Individualists value the chance to get ahead more than they value a society in which everyone is equal. In social democracies, government regulations aim to protect workers. In contrast, individualists oppose government controls and believe that private companies should be able to expand or contract their workforce as they see fit (as long as they hire and fire without discriminating). People should take care of one another through churches, charities, or other private means. Individualism points toward limited government, faith in economic markets, and a strong emphasis on negative liberty.
The Roots of American Individualism: Opportunity and Discord Americans lean toward individualism and away from social democracy. Why? Two famous explanations look to the past. One finds the answer in golden opportunities. A second emphasizes social and racial discord.
Golden Opportunity. For centuries, most Europeans and Asians lived as serfs or peasants working small plots of land. Powerful rulers kept them firmly in their place—there was little chance for individuals to get ahead by working hard. In early America, by contrast, there appeared to be endless land and opportunity. With hard work and a little luck, anyone (at least any white male) could earn a decent living and perhaps even a fortune. Stories about early settlers clearing their own land were later reinforced by images of rugged individuals on the western frontier. Hard workers relied on themselves—not the government.
There is a lot of myth in these stories. Frontier life was less about brave individualism and more about communities. Settlers could not build a barn, a church, or a meetinghouse without their neighbors’ help. But the image of hardy individuals on the frontier remains a powerful ideal in American culture and politics. And there was an important truth at its core: Few societies have ever offered so many individuals as much opportunity to rise and prosper as early America did.17