The Challenge of Democracy American Government in Global Politics Essentials Edition
States
9TH EDITION
The Challenge of Democracy American Government in Global Politics Essentials Edition
KENNETH JANDA Northwestern University
JEFFREY M. BERRY Tufts University
JERRY GOLDMAN Chicago-Kent College of Law
DEBORAH J. SCHILDKRAUT Tufts University
Updated and Abridged by
KEVIN W. HULA Loyola University Maryland
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The Challenge of Democracy: American Government in Global Politics, Essentials Edition, Ninth Edition
Kenneth Janda, Jeffrey M. Berry, Jerry Goldman, Deborah J. Schildkraut, Kevin W. Hula
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Printed in the United States of America
1 2 3 4 5 6 7 16 15 14 13 12
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Brief Contents
1 Dilemmas of Democracy 2
2 The Constitution 42
3 Federalism 80
4 Public Opinion, Political Socialization, and the Media 110
5 Participation and Voting 152
6 Political Parties, Campaigns, and Elections 186
7 Interest Groups 238
8 Congress 266
9 The Presidency 304
10 The Bureaucracy 338
11 The Courts 364
12 Order and Civil Liberties 396
13 Equality and Civil Rights 434
14 Policymaking and the Budget 462
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Contents
Boxed Features xvii
Preface xix
1 Dilemmas of Democracy 2 1.1 The Globalization of American Government 5
1.2 The Purposes of Government 7
Maintaining Order 8
Providing Public Goods 9
Promoting Equality 9
1.3 A Conceptual Framework for Analyzing Government 11
The Concepts of Freedom, Order, and Equality 12
Two Dilemmas of Government 16
Compared with What? The Importance of Order and
Freedom in Other Nations 16
Ideology and the Scope of Government 19
A Two-Dimensional Classification of Ideologies 23
1.4 The American Governmental Process: Majoritarian
or Pluralist? 25
The Theory of Democratic Government 27
Institutional Models of Democracy 30
1.5 Democracy and Globalization 36
American Democracy: More Pluralist Than Majoritarian 37
Summary 38
Assessing Your Understanding 40
2 The Constitution 42 2.1 The Revolutionary Roots of the Constitution 45
Freedom in Colonial America 45
The Road to Revolution 46
Revolutionary Action 47
The Declaration of Independence 48
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2.2 From Revolution to Confederation 49
The Articles of Confederation 50
Disorder Under the Confederation 51
2.3 From Confederation to Constitution 51
The Virginia Plan 52
The New Jersey Plan 53
The Great Compromise 54
Compromise on the Presidency 55
2.4 The Final Product 56
The Basic Principles 56
The Articles of the Constitution 59
The Framers’ Motives 62
The Slavery Issue 62
2.5 Selling the Constitution 63
The Federalist Papers 64
A Concession: The Bill of Rights 66
Ratification 68
2.6 Constitutional Change 68
The Formal Amendment Process 68
Interpretation by the Courts 70
Political Practice 70
2.7 An Evaluation of the Constitution 72
Freedom, Order, and Equality in the Constitution 72
The Constitution and Models of Democracy 73
Politics of Global Change: A New Birth of Freedom: Exporting
American Constitutionalism 74
Summary 77
Assessing Your Understanding 79
3 Federalism 80 3.1 Theories and Metaphors 83
Dual Federalism 84
Cooperative Federalism 86
3.2 The Dynamics of Federalism 87
National Crises and Demands 88
Judicial Interpretation 90
Grants-in-Aid 93
Professionalization of State Governments 96
vi Contents
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3.3 Ideology, Policymaking, and American Federalism 97
Compared with What? Working for the Public 98
Ideology, Policymaking, and Federalism in Practice 100
3.4 Federalism and Electoral Politics 102
National Capital-State Capital Links 102
Congressional Redistricting 103
3.5 Federalism and the American Intergovernmental System 104
3.6 Federalism and Pluralism 106
Summary 107
Assessing Your Understanding 109
4 Public Opinion, Political Socialization, and the Media 110 4.1 Public Opinion and the Models of Democracy 113
4.2 Political Socialization 115
4.3 Social Groups and Political Values 116
Education 118
Income 118
Region 120
Ethnicity and Race 120
Religion 122
Gender 123
4.4 From Values to Ideology 123
The Degree of Ideological Thinking in Public Opinion 124
The Quality of Ideological Thinking in Public Opinion 124
Ideological Types in the United States 125
4.5 Forming Political Opinions 128
Political Knowledge 128
Costs, Benefits, and Cues 129
Political Leadership 129
Politics of Global Change: Worrying Less About Climate Change 130
4.6 The Media in America 131
The Internet 132
Private Ownership of the Media 134
Government Regulation of the Media 136
4.7 Reporting and Following the News 138
Covering National Politics 138
Presenting the News 139
Contents vii
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Where the Public Gets Its News 140
Media Influence on Knowledge and Opinion 140
Setting the Political Agenda 142
Socializing the Citizenry 143
4.8 Evaluating the Media in Government 144
Is Reporting Biased? 144
Contributions to Democracy 146
Effects on Freedom, Order, and Equality 147
Summary 148
Assessing Your Understanding 150
5 Participation and Voting 152 5.1 Democracy and Political Participation 154
5.2 Unconventional Participation 156
Support for Unconventional Participation 156
The Effectiveness of Unconventional Participation 158
Unconventional Participation in America and the World 159
5.3 Conventional Participation 159
Supportive Behavior 160
Influencing Behavior 160
Conventional Participation in America and the World 163
5.4 Participating Through Voting 164
Expansion of Suffrage 165
Voting on Policies 168
Voting for Candidates 170
5.5 Explaining Political Participation 172
Patterns of Participation over Time 172
The Standard Socioeconomic Explanation 172
Low Voter Turnout in America 174
Compared with What? Voter Turnout in European and
American Elections 176
5.6 Participation and Freedom, Equality, and Order 179
Participation and Freedom 179
Participation and Equality 180
Participation and Order 180
5.7 Participation and the Models of Democracy 181
Participation and Majoritarianism 182
Participation and Pluralism 182
viii Contents
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Summary 183
Assessing Your Understanding 184
6 Political Parties, Campaigns, and Elections 186 6.1 Political Parties and Their Functions 189
What Is a Political Party? 190
Party Functions 190
6.2 A History of U.S. Party Politics 192
The Emergence of the Party System 192
The Current Party System: Democrats and Republicans 193
6.3 The American Two-Party System 195
Minor Parties in America 195
Why a Two-Party System? 197
The Federal Basis of the Party System 199
Party Identification in America 199
Politics of Global Change: Fewer Citizens Are Partying 203
6.4 Party Ideology and Organization 204
Differences in Party Ideology 204
National Party Organization 206
State and Local Party Organizations 209
Decentralized but Growing Stronger 210
6.5 The Model of Responsible Party Government 210
6.6 Parties and Candidates 211
Nomination for Congress and State Offices 212
Nomination for President 213
6.7 Elections 217
Presidential Elections and the Electoral College 217
Congressional Elections 220
6.8 Campaigns 221
The Political Context 221
Financing 222
Strategies and Tactics 226
6.9 Explaining Voting Choice 228
6.10 Campaigns, Elections, and Parties 231
Parties and the Majoritarian Model 231
Parties and the Pluralist Model 232
Summary 233
Assessing Your Understanding 235
Contents ix
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7 Interest Groups 238 7.1 Interest Groups and the American Political Tradition 240
Interest Groups: Good or Evil? 240
The Roles of Interest Groups 241
7.2 How Interest Groups Form 244
Disturbance Theory 244
Interest Group Entrepreneurs 245
Who Is Being Organized? 246
7.3 Interest Group Resources 247
Members 247
Lobbyists 249
Political Action Committees 250
7.4 Lobbying Tactics 252
Direct Lobbying 252
Grassroots Lobbying 254
Information Campaigns 255
Coalition Building 256
7.5 Is the System Biased? 258
Membership Patterns 258
Citizen Groups 258
Compared with What? Pluralism Worldwide 259
Business Mobilization 260
Reform 262
Summary 263
Assessing Your Understanding 264
8 Congress 266 8.1 The Origin and Powers of Congress 268
The Great Compromise 269
Duties of the House and Senate 269
8.2 Electing the Congress 271
The Incumbency Effect 271
2012 Election 275
Whom Do We Elect? 275
8.3 How Issues Get on the Congressional Agenda 277
8.4 Committees and the Lawmaking Process 278
The Division of Labor Among Committees 281
Congressional Expertise and Seniority 283
x Contents
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Oversight: Following Through on Legislation 284
Majoritarian and Pluralist Views of Committees 284
8.5 Leaders and Followers in Congress 285
The Leadership Task 286
Rules of Procedure 287
8.6 The Legislative Environment 288
Political Parties 288
The President 289
Constituents 291
Interest Groups 292
8.7 The Dilemma of Representation: Trustees or Delegates? 293
8.8 Pluralism, Majoritarianism, and Democracy 295
Parliamentary Government 295
Politics of Global Change: Creating a Legislature 296
Pluralism Versus Majoritarianism in Congress 298
Summary 300
Assessing Your Understanding 302
9 The Presidency 304 9.1 The Constitutional Basis of Presidential Power 307
Initial Conceptions of the Presidency 307
The Powers of the President 308
9.2 The Expansion of Presidential Power 309
Formal Powers 309
The Inherent Powers 310
Congressional Delegation of Power 311
9.3 The Executive Branch Establishment 312
The Executive Office of the President 313
The Vice President 314
The Cabinet 315
9.4 Presidential Leadership 317
Presidential Character 318
The President’s Power to Persuade 320
The President and the Public 321
The Political Context 323
Compared with What? From Berlusconi to Bankruptcy:
The Costs of Failed Leadership 324
Contents xi
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9.5 The President as National Leader 328
From Political Values … 328
… to Policy Agenda 329
Chief Lobbyist 330
Party Leader 331
9.6 The President as World Leader 332
Foreign Relations 332
Crisis Management 333
Summary 334
Assessing Your Understanding 336
10 The Bureaucracy 338 10.1 Organization Matters 340
The Growth of the Bureaucratic State 341
Can We Reduce the Size of Government? 343
10.2 Bureaus and Bureaucrats 344
The Organization of Government 344
The Civil Service 346
Presidential Control over the Bureaucracy 346
10.3 Administrative Policymaking: The Formal Processes 347
Administrative Discretion 348
Rule Making 349
10.4 Administrative Policymaking: Informal Politics 350
The Science of Muddling Through 350
The Culture of Bureaucracy 351
10.5 Problems in Implementing Policy 352
Politics of Global Change: For Whom the Debt Tolls 354
10.6 Reforming the Bureaucracy: More Control or Less? 356
Deregulation 356
Competition and Outsourcing 358
Performance Standards 360
Summary 361
Assessing Your Understanding 363
11 The Courts 364 11.1 National Judicial Supremacy 367
Judicial Review of the Other Branches 368
The Exercise of Judicial Review 370
xii Contents
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11.2 The Organization of Courts 371
Some Court Fundamentals 371
The U.S. District Courts 374
The U.S. Courts of Appeals 374
11.3 The Supreme Court 376
Access to the Court 378
The Solicitor General 380
Decision Making 380
The Chief Justice 383
11.4 Judicial Recruitment 383
Compared with What? Selecting Judges Around the World 384
The Appointment of Federal Judges 386
Recent Presidents and the Federal Judiciary 387
Appointment to the Supreme Court 387
11.5 The Consequences of Judicial Decisions 389
Supreme Court Rulings: Implementation and Impact 390
Public Opinion and the Supreme Court 390
11.6 The Courts and Models of Democracy 391
Summary 393
Assessing Your Understanding 394
12 Order and Civil Liberties 396 12.1 The Bill of Rights 398
12.2 Freedom of Religion 399
The Establishment Clause 400
The Free-Exercise Clause 402
12.3 Freedom of Expression 405
Freedom of Speech 406
Freedom of the Press 410
The Rights to Assemble Peaceably and to Petition the Government 413
12.4 The Right to Bear Arms 413
12.5 Applying the Bill of Rights to the States 415
The Fourteenth Amendment: Due Process of Law 415
The Fundamental Freedoms 416
Criminal Procedure: The Meaning of Constitutional Guarantees 418
The USA-PATRIOT Act 421
Politics of Global Change: Wiretapping in the Digital Age 422
Detainees and the War on Terrorism 424
Contents xiii
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12.6 The Ninth Amendment and Personal Autonomy 425
Controversy: From Privacy to Abortion 425
Personal Autonomy and Sexual Orientation 427
Summary 429
Assessing Your Understanding 432
13 Equality and Civil Rights 434 13.1 Two Conceptions of Equality 436
13.2 The Civil War Amendments 437
Congress and the Supreme Court: Lawmaking Versus
Law Interpreting 438
The Roots of Racial Segregation 439
13.3 The Dismantling of School Segregation 440
13.4 The Civil Rights Movement 443
Civil Disobedience 443
The Civil Rights Act of 1964 444
The Continuing Struggle over Civil Rights 445
13.5 Civil Rights for Other Minorities 446
Native Americans 446
Immigrant Groups 447
Americans with Disabilities 450
13.6 Gender and Equal Rights: The Women’s Movement 451
Political Equality for Women 451
Prohibiting Sex-Based Discrimination 451
Stereotypes Under Scrutiny 452
13.7 Affirmative Action: Equal Opportunity or Equal Outcome? 453
Reverse Discrimination 454
Compared with What? How India Struggles with
Affirmative Action 456
The Politics of Affirmative Action 458
Summary 458
Assessing Your Understanding 460
14 Policymaking and the Budget 462 14.1 Government Purposes and Public Policies 465
Types of Policies 466
A Policymaking Model 467
14.2 Fragmentation, Coordination, and Issue Networks 470
xiv Contents
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Multiplicity and Fragmentation 470
The Pursuit of Coordination 471
Government by Policy Area 472
14.3 Economic Policy and the Budget 473
Economic Theory 474
Budgeting for Public Policy 475
The Nature of the Budget 476
Preparing the President’s Budget 476
Politics of Global Change: We Buy More, and We Borrow More 477
Passing the Congressional Budget 478
14.4 Taxing and Spending Decisions 482
Tax Policies 482
Spending Policies 483
Summary 491
Assessing Your Understanding 492
Appendix A-1
The Declaration of Independence A-1
The Constitution of the United States of America A-4
Notes N-1 Index I-1
Contents xv
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Boxed Features
Compared with What?
CHAPTER 1 The Importance of Order and Freedom in Other Nations 16
CHAPTER 3 Working for the Public 98 CHAPTER 5 Voter Turnout in European and
American Elections 176
CHAPTER 7 Pluralism Worldwide 259 CHAPTER 9 From Berlusconi to Bankruptcy:
The Costs of Failed Leadership 324
CHAPTER 11 Selecting Judges Around the World 384
CHAPTER 13 How India Struggles with Affirmative Action 456
Politics of Global Change
Chapter 2 A New Birth of Freedom: Exporting
American Constitutionalism 74
Chapter 4 Worrying Less About Climate
Change 130
Chapter 6 Fewer Citizens Are Partying 203
Chapter 8 Creating a Legislature 296
Chapter 10 For Whom the Debt Tolls 354
Chapter 12 Wiretapping in the Digital Age 422
Chapter 14 We Buy More, and We Borrow
More 477
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Preface
The Ninth Edition of The Challenge of Democracy, The Essentials, is an abridged and updated version of the Twelfth Edition of The Challenge of Democracy. As always, our goal was to streamline the larger text without diminishing any of the qualities that have made it so successful. As we prepared the Ninth Edition, we had a chance to reflect on these past two turbulent years, and, as we always do, have tried to put recent events and trends of this pe- riod into the larger framework of the book.
More than anything else, politics in the United States during these past two years has focused on the economy. After the United States fell precipitously into a recession during the last year of George W. Bush’s presidency, our government has been consumed with trying to pull the economy out of its lethargy. The economy has improved since it began to decline in 2008, but as we write this edition, it is growing at a modest pace and unem- ployment remains stubbornly high. During the 2012 presidential election, Republican challenger Mitt Romney built his whole cam- paign around trying to convince the American people that Barack Obama was a failure who didn’t really understand how market economies work. Obama, for his part, argued that things were get- ting better and that it was Republican economics that led the country down the wrong path in the first place. Although Obama ultimately won reelection in November 2012, his margin of vic- tory was significantly smaller than in 2008.
Another hotly and bitterly debated issue concerned President Obama’s Affordable Care Act. Along party-line votes, Democrats in Congress enacted the law in 2010; Republicans, however, con- tinued to fight to keep the law from being implemented, believing that the program would damage the nation’s health care system. In June 2012, a divided Supreme Court upheld the constitutional- ity of most provisions of the new law.
It’s unlikely that the 2012 presidential election will reduce the hyper partisanship of the past two years. There are many divisions
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in the United States, not unusual in any country, but some mea- sures (such as voting in Congress) show that polarization here is increasing. More broadly, some divisions are enduring as they involve basic value and not transitory issues.
Change has been the watchword in world politics. Of all the developments of the past two years across the globe, perhaps the most significant is the Arab Spring. Revolutions broke out across the Middle East, and some notorious dictators, such as Hosni Mubarak in Egypt and Muammar Gaddafi in Libya, were over- thrown. Another story of enormous consequence is the debt crisis in the European Union (EU). Over the years a number of coun- tries, notably Ireland, Italy, Greece, Spain, and Portugal, borrowed too much money, and when the world fell into recession, could not repay their bondholders. The EU’s stumbling economy directly affects the United States as the EU is the largest trading partner for the United States. If Europeans can’t afford to buy as much in the way of American goods, then jobs are lost here as American companies don’t need to produce as much.
Our emphasis on the importance of these recent events in the United States and throughout the world does not change the funda- mental purpose of this text. The Challenge of
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