Political Science

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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

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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 Democracy is not a book centered on current events. Rather, we use the recent past to illustrate enduring features of American government. Through all nine editions, we have striven to write a book that students will actually read, so we have sought to discuss politics—a complex subject—in a captivating and understandable way. American poli- tics isn’t dull, and its textbooks needn’t be either. Equally impor- tant, we have sought to produce a book that students would credit for stimulating their thinking about politics. While offering all of the essential information about American government and politics, we feel that it is important to give students a framework for analyz- ing politics that they can use long after their studies have ended.

Thematic Framework To accomplish these goals, we built The Challenge of Democracy around three dynamic themes that are relevant to today’s world: the clash among the values of freedom, order, and equality; the tensions between pluralist and majoritarian visions of democracy; and the fundamental ways that globalization is changing American politics.

xx Preface

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Freedom, Order, and Equality The first theme is introduced in Chapter 1 (‘‘Dilemmas of Democ- racy’’), where we suggest that American politics often reflects con- flicts between the values of freedom and order and between the values of freedom and equality. These value conflicts are promi- nent in contemporary American society, and they help to explain political controversy and consensus in earlier eras. For instance, in Chapter 2 (‘‘The Constitution’’) we argue that the Constitution was designed to promote order and that it virtually ignored issues of political and social equality. Equality was later served, however, by several amendments to the Constitution. In Chapter 12 (‘‘Order and Civil Liberties’’) and Chapter 13 (‘‘Equality and Civil Rights’’), we demonstrate that many of this nation’s most contro- versial issues represent conflicts among individuals or groups who hold differing views on the values of freedom, order, and equality. Views on issues such as abortion are not just isolated opinions; they also reflect choices about the philosophy citizens want gov- ernment to follow. Yet choosing among these values is difficult, sometimes excruciatingly so.

Pluralist and Majoritarian Visions of Democracy The second theme, also introduced in Chapter 1, asks students to consider two competing models of democratic government. One way that government can make decisions is by means of majori- tarian principles—that is, by taking the actions desired by a ma- jority of citizens. A contrasting model of government, pluralism, is built around the interaction of decision makers in government with groups concerned about issues that affect them.

These models are not mere abstractions; we use them to illus- trate the dynamics of the American political system. In Chapter 8 (‘‘Congress’’), we discuss rising partisanship in Congress. As par- ties have become more ideologically homogeneous, they have been demonstrating greater unity in their votes on the floor. Yet major- itarian tensions with pluralism remain in Congress. In Chapter 7 (‘‘Interest Groups’’), we also see the forces of pluralism at work. Interest groups of all types populate Washington, and these organizations represent the diverse array of interests that define our society. At the same time, the chapter explores ways in which pluralism favors wealthier, better organized interests.

Preface xxi

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Globalization’s Impact on American Politics Chapter 1 introduces the third theme, the impact of globalization on American politics. Over time we also recognized the growing impact of world politics on our governmental process; thus, our seventh edition of the larger text (summer 2001) added the third theme of globalization. The subsequent events of September 11, 2001, the war in Iraq, and the ongoing struggle in Afghanistan made the importance of globalization evident to all Americans. But globalization involves much more than the problems of con- flict and terrorism. More than ever before, Americans are becom- ing citizens of the world as trade, travel, immigration, and the Internet make the world a more interdependent place. Thus, The Challenge of Democracy examines some of the ramifications of a smaller world on the large landscape of American politics.

The traditional notion of national sovereignty holds that each government is free to govern in the manner it feels best. As the world becomes a smaller place, however, national sovereignty is tested in many ways. When a country is committing human rights violations—putting people in jail for merely disagreeing with the government in power—should other countries try to pressure it to comply with common norms of justice?

Another facet of globalization is the growth of international trade. In many ways the world has become a single marketplace, and industries in one country often face competitors from many other countries around the world. Must a country just stand by and let jobs ‘‘emigrate’’ from within its borders to other countries where companies can produce the same quality goods at cheaper prices? How will the United States cope with the rising demand for oil worldwide as economies like those of China and India expand? These are just some of the issues that the Ninth Edition explores.

Throughout the book we stress that students must make their own choices among the competing values and models of govern- ment. Although the five of us hold diverse and strong opinions about which choices are best, we do not believe it is our role to tell students our own answers to the broad questions we pose. Instead, we want our readers to learn firsthand that a democracy requires thoughtful choices. That is why we titled our book The Challenge of Democracy.

Underlying both the updating of world events and the endur- ing relevance of our themes is our continuing effort to bring the

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best recent political science research into The Challenge of Democ- racy. We continually look for recent books and journal articles by our colleagues in the discipline that tell us something new, some- thing important, and something that the readers of The Challenge of Democracy should know about. We invite our readers to look closely at our endnotes, the evidence that supports what we say in the text. If you feel that we missed a source that is particularly im- portant, please let us know.

Substantive Features of the Ninth Edition

Chapter-Opening Vignettes As in previous editions, each chapter begins with a vignette to draw students into the chapter’s substance while exploring the book’s themes. Chapter 2 (‘‘The Constitution’’) opens with a new vignette on the constitutionality of the Affordable Care Act. In Chapter 5 (‘‘Participation and Voting’’), we consider protests by women in Egypt in the wake of the Arab Spring. The opening vi- gnette for Chapter 10 (‘‘The Bureaucracy’’) addresses the morn- ing-after contraceptive pill and politics of drug approval. The new opening vignette for Chapter 15 (‘‘Order and Civil Liberties’’) dis- cusses the controversy over whether the posting of a Christian prayer on the wall of a public high school violates the separation of church and state in our Constitution.

‘‘Politics of Global Change’’ In light of the growing emphasis in our book on globalization, each even-numbered chapter includes a feature on global change. In these ‘‘Politics of Global Change’’ boxes we examine various elements of political change—some troubling, some hopeful. In the feature ‘‘Fewer Citizens Are Partying’’ in Chapter 6 (‘‘Political Parties, Campaigns, and Elections’’), students will see how the decline in party membership in the United States is not unique; European party membership has waned similarly in recent years. In Chapter 8 (‘‘Congress’’) we examine the process of ‘‘Creating a Legislature,’’ looking at how the revolutionary movements in Egypt and Tunisia subsequently led to parliamentary elections in

Preface xxiii

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each nation. In Chapter 10 (‘‘The Bureaucracy’’), the feature ‘‘For Whom the Debt Tolls,’’ discusses efforts to contain the European debt crisis.

‘‘Compared with What?’’ We firmly believe that students can better evaluate how our politi- cal system works when they compare it with politics in other countries. Thus, each odd-numbered chapter has a boxed feature called ‘‘Compared with What?’’ that treats its topic in a compara- tive perspective. In Chapter 3 (‘‘Federalism’’) we look at the per- centage of the population ‘‘Working for the Public’’ at the local, regional, and national levels in eighteen nations. Our comparative perspective in Chapter 5 (‘‘Participation and Voting’’) reports on ‘‘Voter Turnout in European and American Elections.’’ The ‘‘Compared with What?’’ feature in Chapter 9 (‘‘The Presidency’’) focuses on Italy’s former prime minister, Silvio Berlusconi, and his leadership during a time of economic decline for his country. In Chapter 11 (‘‘The Courts’’), our feature explores methods employed for ‘‘Selecting Judges Around the World.’’ It is interest- ing to note the breadth of options used outside the United States.

New to the Ninth Edition

New and Refined Pedagogy for Student Learning This Ninth Edition of The Challenge of Democracy, The Essentials includes three new pedagogical aids intended to enhance student learning and comprehension of the material. Present in every chapter, these new pedagogical aids are:

• Learning Outcomes and Aplia. A Learning Outcome for each topic begins each chapter. The Learning Outcomes are repeated with the relevant section head throughout the chap- ter text and in the corresponding Aplia questions. Students will be able to further their comprehension of the learning outcomes with the critical thinking questions in Aplia, and instructors will be able to assess students’ progress.

• ‘‘Assessing Your Understanding’’ at the end of each chapter is a self-test organized according to the chapter’s Learning Outcomes. The engaging and thought-provoking questions

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presented here are designed to help students test their mas- tery and understanding of the chapter content.

• Critical thinking questions have been added to all ‘‘Com- pared with What?’’ and ‘‘Politics of Global Change’’ feature boxes, helping students see how the boxed materials relate to and enhance the chapter text material.

New and Updated Content In addition to these overall changes, we have made numerous changes throughout the chapters to keep our book fresh and up to date with contemporary politics. We hope the following chapter-by- chapter summary of substantial changes and revisions will facilitate the transition to the new edition.

Chapter 1: Dilemmas of Democracy • New opening vignette on the Patient Protection and Afford-

able Care Act and the mandate to buy health insurance. • Discussion of NATO strikes in Libya that helped topple

Qaddafi replaces one on U.N. action in Darfur, Sudan. • Elaborated discussion of ‘‘police power’’ to mesh with open-

ing vignette. • New discussion of ‘‘Occupy Wall Street’’ protestors and the

Occupy movement. • Added discussion of Sunni-Shiite religious conflict in Iraq fol-

lowing overthrow of Saddam Hussein.

Chapter 2: The Constitution • Revised and updated opening vignette on the path toward

designing a constitution for the European Union. • Updated Politics of Global Change feature box ‘‘A New Birth

of Freedom: Exporting American Constitutionalism’’ (on the declining influence of the U.S. Constitution on the constitu- tions of new nations).

Chapter 3: Federalism • Updated opening vignette on the U.S. Supreme Court deci-

sion on Arizona’s immigration law. • New material addressing the Supreme Court’s willingness to

impose national standards upon the use of the death penalty in the states.

Preface xxv

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Chapter 4: Public Opinion, Political Socialization, and the Media • Revised opening vignette on public opinion regarding the

death penalty. • Revised and updated discussion of political knowledge,

including new examples and studies on the public’s percep- tion of crime rates and spending for foreign aid.

• New Politics of Global Change feature box ‘‘Worrying Less About Climate Change.’’

• Added discussion of wireless technology and mobile devices. • Noted example of government response to provision of classi-

fied information to WikiLeaks. • Added discussion of FCC and regulation of the Internet,

Internet Service Providers (ISPs), and emerging technologies. • New Figure 4.4, ‘‘Getting the News: Consider the Source.’’

Chapter 5: Participation and Voting • New opening vignette on ‘‘The Protester’’ as Time magazine’s

2011 Person of the Year; noted Egyptian women’s demon- stration in Egypt during the Arab Spring.

• Added discussion of attempt to recall Wisconsin governor Scott Walker.

• Updated discussion of citizens’ direct participation in govern- ment through referenda and initiatives.

• Added discussion of use of Internet and social media to improve citizen participation in government.

Chapter 6: Political Parties, Campaigns, and Elections • New opening vignette on the tea party as a nationwide move-

ment but not a national organization. • New reference to Americans Elect, the online effort to nomi-

nate a 2012 presidential ticket. • Elaborated explanation of the dynamics of our electoral

system. • Updated discussion of how the two parties reflected the val-

ues of freedom, order, and equality in their party platforms. • Incorporated discussion of changes in the presidential nomi-

nation process into the text. • Expanded discussion of Citizens United court case, intro-

duced SpeechNow.org v. FEC, and defined Super PACs.

xxvi Preface

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• Updated and streamlined discussion of public funding of presidential campaigns, including data on Super PACs.

• New discussion of the outcome of the 2012 election. • New Figure 6.5, ‘‘Drifting Apart: Party Voting in the House

of Representatives over Four Decades,’’ with explanation of how divided government is incompatible with responsible party government.

Chapter 7: Interest Groups • New opening vignette on Facebook and itsWashington lobbyists. • Updated discussion of former members of Congress as lobby-

ists, using example of former Connecticut Senator Christo- pher Dodd.

• Updated discussion of information campaigns using example of AT&T attempted takeover of T-Mobile.

• Added discussion of the Supreme Court decision in Citizens United case and resultant formation of Super PACs.

• New Figure 7.2 ‘‘The Lobbying Agenda Versus the Public’s Agenda.’’

Chapter 8: Congress • New opening vignette on results of 2010 congressional elec-

tions and debate over government spending bill. • Updated discussion of redistricting. • Updated discussion of members’ use of social media. • Added discussion of cyberstalking and introduction of

Stalkers Act in Congress. • Combined sections ‘‘The Dance of Legislation: An Overview’’

and ‘‘Committees: The Workhorses of Congress’’ to create new section ‘‘Committees and the Lawmaking Process.’’

• Added discussion of the Joint Select Committee on Deficit Reduction.

• Added discussion of increasing polarization and the difficulty in reaching compromises, even within parties.

• Revised discussion of filibustering to include explanation of the term hold and added it as a key term.

• Added discussion of the ban on earmarks. • New Politics of Global Change feature box ‘‘Creating a Legis-

lature,’’ focusing on democratic movements and parliamen- tary elections in Egypt and Tunisia.

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Chapter 9: The Presidency • New opening vignette on election day November 6, 2012, and

reflections on Obama’s presidency. • Revised section on presidential efforts to influence public

opinion, now including example of Italy’s former Prime Min- ister Silvio Berlusconi.

• New Figure 9.2, ‘‘It All Goes Back to the Economy’’ tracking approval ratings of Bush and Obama and index of economic conditions, illustrating the correlation between popularity and economic performance.

• New Compared with What? feature box ‘‘From Berlusconi to Bankruptcy: The Costs of Failed Leadership,’’ discussing how Berlusconi’s performance affected Italy’s economy and its relation with the EU.

Chapter 10: The Bureaucracy • New opening vignette on government regulation of Plan B,

the ‘‘morning-after’’ contraceptive pill. • Added discussion of party effect on the level and type of

regulation. • New Figure 10.2, ‘‘It Makes a Difference,’’ illustrating the cor-

relation between political party control of government and the performance of regulatory agencies.

• New Politics of Global Change feature box ‘‘For Whom the Debt Tolls,’’ on the crisis within the EU.

Chapter 11: The Courts • Condensed discussion of judicial review of state and local

government and merged with section ‘‘Judicial Review of the Other Branches.’’

• Added discussion of the Supreme Court release of oral argument transcripts on the Court’s website and on audio recordings.

• Updated discussion of filibustering judicial nominees. • Noted the Supreme Court’s declining approval ratings.

Chapter 12: Order and Civil Liberties • New opening vignette on controversy over whether the posting

of a Christian prayer on the wall of a public high school violated the constitutional prohibition against establishment of religion.

• New section, ‘‘Order Versus Free Speech: When Words Hurt,’’ with example of the Supreme Court’s decision in Snyder v. Phelps

xxviii Preface

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upholding free expression rights of members of Westboro Bap- tist Church picketing funerals ofmilitary personnel.

• New section, ‘‘Equality and Free Speech,’’ using example of the Citizens United case.

• Updated discussion of the USA-PATRIOT Act. • Updated discussion of efforts to expand same-sex marriage,

noting developments through legislatures, judges, and ballot initiatives.

Chapter 13: Equality and Civil Rights • New opening vignette on affirmative action case and the

debate over using race in admissions decisions, focusing on student Abigail Fisher and the University of Texas decision to deny her admission.

• Added discussion of the Supreme Court’s 2012 ruling striking down three of four provisions of the controversial Arizona immigration law.

• Added discussion of revisions to the Americans with Disabili- ties Act.

Chapter 14: Policymaking and the Budget • New opening vignette on designing and implementing public

policies to meet people’s basic needs without infringing on their personal freedom, using the example of the new health care law.

• Revised discussion of health care reform, focusing on the debate over the Patient Protection and Affordable Care Act and the individual mandate to purchase health insurance.

• Updated section on distributive policies, redistributional poli- cies, and regulation.

• New example of FDA and USDA regulatory actions on the production and marketing of food.

• Revised discussion of policy evaluation, using the example of the lap band used in weight loss surgery.

• Condensed the section ‘‘Three Decades of Budgetary Reform.’’

• Added discussion on calls for a balanced budget amendment. • Added new paragraph on the politics of a national debt

ceiling. • Revised discussion of policy fragmentation and experimenta-

tion among the states and national efforts to coordinate policies.

Preface xxix

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About the Authors

Welcoming Our New Author

We are especially pleased and excited to welcome our fifth author, Deborah Schildkraut, to The Challenge of Democracy team. Wadsworth Publishers asked coauthor Jeff Berry to offer a profile of his Tufts colleague:

• Debbie was an undergraduate at Tufts University—not sur- prisingly she majored in political science! The next stop was Princeton University where she received her PhD in 2000. Her first teaching job was at Oberlin College in Ohio, where she worked until 2004. She then accepted a position in the political science department at Tufts, coming back home as it were. Debbie’s scholarship is impeccable, and she’s become a leader in the political science profession in areas of public opinion, immigration, and political psychology. Her first book, Press One for English (Princeton University Press, 2005), was a study of public opinion about language and minorities in the United States. In 2011 she published Ameri- canism in the Twenty-First Century (Cambridge University Press), which demonstrates that ethnic minorities embrace ‘‘American’’ values just as deeply as the rest of the population.

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This landmark study was recently awarded the prestigious Robert Lane Prize for the best book published during the pre- vious year in the field of political psychology. At Tufts she teaches courses on political psychology, introductory Ameri- can government, political science research methods, political representation, and the politics of ethnicity and American identity. She is also a mother of two young boys. When not working or chasing her sons around, Debbie likes to ‘‘take a hike,’’ especially in New Hampshire’s White Mountains.

• Kenneth Janda is the Payson S. Wild Professor Emeritus of Political Science at Northwestern University. Dr. Janda has published extensively in comparative party politics, research methodology, and early use of computer technology in politi- cal science, for which he received awards from EDUCOM and support from Apple Computer. His American Political Science Association (APSA) awards include the Samuel Eldersveld Lifetime Achievement Award (2000) and the Frank J. Good- now Award (2009) for distinguished service to the profession and the association. Dr. Janda and fellow author Jerry Gold- man shared APSA technology awards in 1992 for IDEAlog, the computer program, and in 2005 for IDEAlog, the website.

• Jeffrey M. Berry is the John Richard Skuse Professor of Polit- ical Science at Tufts University. Dr. Berry is a recipient of the APSA’s Samuel Eldersveld Lifetime Achievement Award (2009) and numerous ‘‘best book’’ awards from the APSA for The Rebirth of Urban Democracy (1994), from the Policy Studies Organization for The New Liberalism (1999), from the APSA for A Voice for Nonprofits (2004), and from the APSA for Lobbying and Political Change (2009).

• Jerry Goldman is Professor Emeritus of Political Science at Northwestern University and Research Professor of Law at IIT Chicago-Kent College of Law where he is director of the Oyez Project. Dr. Goldman is the 2010 recipient of the first APSA/CQ Press Award for Teaching Innovation in Political Science. He has received many other awards, including the American Bar Association’s Silver Gavel for increasing the public’s understanding of the law, the EDUCOM Medal, and the Roman & Littlefield Prize for Teaching Innovation. In

Preface xxxi

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2012, Dr. Goldman made the Fastcase 50: ‘‘the fifty most interesting, provocative, and courageous leaders in the world of law, scholarship, and legal technology.’’ Through the OYEZ Project, which uses images, audio, and video to bring the Supreme Court alive, he has brought the U.S. Supreme Court closer to everyone. Collaborating with experts in lin- guistics, psychology, computer science, and political science and with contributions by the National Science Foundation, Professor Goldman created a complete archive of fifty years of Supreme Court audio, which is now accessible on mobile devices through mobile apps Oyez Today and Pocket Justice.

• Kevin W. Hula is an associate professor of political science at Loyola University Maryland, where he teaches the introduc- tory American government course, as well as courses in the presidency, intelligence organizations, and interest groups. His research focuses on interest groups and the executive branch. Dr. Hula is author of Lobbying Together: Interest Group Coalitions in Legislative Politics, for which he received the Emerging Scholar Award from the APSA’s Political Organizations and Parties section. He has been responsible for abridging and updating the Challenge of Democracy Brief, Essential, and Advantage editions since 2000.

For the Instructor: Innovative Teaching Tools

Aplia� for The Challenge of Democracy, Essentials, 9e • Instant Access Code ISBN-13: 9781133956150 • Printed Access Card ISBN-13: 9781133956143 • Book with Printed Access Card ISBN-13: 9781133602309 • Easy to use, affordable, and effective, Aplia helps students

learn and saves you time. It’s like a virtual teaching assistant! Aplia helps you have more productive classes by providing assignments that get students thinking critically, reading assigned material, and reinforcing basic concepts—all before coming to class. The interactive questions also help students

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better understand the relevance of what they’re learning and how to apply those concepts to the world around them.

Visually engaging videos, graphs, and political cartoons help capture students’ attention and imagination, and an auto- matically included e-book provides convenient access. Aplia is instantly accessible via CengageBrain, www.cengagebrain. com, or through the bookstore via printed access code. Please contact your local Cengage sales representative for more in- formation, and go to www.aplia.com/politicalscience to view a demo.

Free Companion Website for The Challenge of Democracy, Essentials, 9e • ISBN-13: 9781133949107 • This password-protected website for instructors features all of

the free student assets plus an instructor’s manual, book- specific PowerPoint¤ presentations, JoinIn� ‘‘clicker’’ ques- tions, Resource Integration Guide, and a test bank. Access your resources by logging into your account at www.cengage.com/ login.

CourseReader: American Government 0-30 Selections • Instant Access Code ISBN-13: 9781111479978 • Printed Access Card ISBN-13: 9781111479954 • CourseReader: American Government allows you to create

your reader, your way, in just minutes. This affordable, fully customizable online reader provides access to thousands of permissions-cleared readings, articles, primary sources, and audio and video selections from the regularly updated Gale research library database. This easy-to-use solution allows you to search for and select just the material you want for your courses.

Each selection opens with a descriptive introduction to pro- vide context, and concludes with critical-thinking and multi- ple-choice questions to reinforce key points. CourseReader is loaded with convenient tools like highlighting, printing, note- taking, and downloadable MP3 audio files for each reading.

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CourseReader is the perfect complement to any political sci- ence course. It can be bundled with your current textbook, sold alone, or integrated into your learning management sys- tem. CourseReader 0-30 allows access to up to 30 selections in the reader.

Please contact your Cengage sales representative for details, or, for a demo please visit us at www.cengage.com/coursereader. To access CourseReader materials go to www.cengage.com/sso, click on ‘‘Create a New Faculty Account,’’ and fill out the regis- tration page. Once you are in your new SSO account, search for ‘‘CourseReader’’ from your dashboard and select ‘‘Course- Reader: American Government.’’ Then click ‘‘CourseReader 0-30: American Government Instant Access Code’’ and click ‘‘Add to my bookshelf.’’ To access the live CourseReader, click on ‘‘CourseReader 0-30: American Government’’ under ‘‘Addi- tional resources’’ on the right side of your dashboard.

Custom Enrichment Module: Latino-American Politics Supplement • ISBN-13: 9781285184296 • Latino-American Politics is a thirty-two-page custom supple-

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Election 2012: An American Government Supplement • Instant Access Code ISBN-13: 9781285420080 • Printed Access Card ISBN-13: 9781285090931 • Written by John Clark and Brian Schaffner, this booklet

addresses the 2012 congressional and presidential races, with real-time analysis and references.

Political Science CourseMate for The Challenge of Democracy, Essentials, 9e • Instant Access Code ISBN-13: 9781133956198 • Printed Access Card ISBN-13: 9781133956204

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• Cengage Learning’s Political Science CourseMate brings course concepts to life with interactive learning, study tools, and exam preparation tools that support the printed text- book. Use Engagement Tracker to assess student preparation and engagement in the course, and watch student compre- hension soar as your class works with the textbook-specific website. An interactive e-book allows students to take notes, highlight, search, and interact with embedded media. Other resources include video activities, animated learning modules, simulations, case studies, interactive quizzes, and timelines.

The American Government NewsWatch is a real-time news and information resource, updated daily, that includes inter- active maps, videos, podcasts, and hundreds of articles from leading journals, magazines, and newspapers from the United States and around the world. Also included is the KnowNow! American Government Blog, which highlights three current events stories per week and consists of a succinct analysis of the story, multimedia, and discussion-starter questions. Access your course via www.cengage.com/login.

PowerLecture DVD with ExamView�R for The Challenge of Democracy, Essentials, 9e • ISBN-13: 9781133959083 • An all-in-one multimedia resource for class preparation, pre-

sentation, and testing, this DVD includes Microsoft¤ Power- Point¤ slides, a test bank in both Microsoft¤ Word and ExamView¤ formats, online polling and JoinIn� clicker ques- tions, an instructor manual, and a resource integration guide.

The book-specific PowerPoint¤ slides of lecture outlines, as well as photos, figures, and tables from the text, make it easy for you to assemble lectures for your course, while the media-enhanced slides help bring your lecture to life with audio and video clips, animated learning modules illustrating key concepts, tables, statistical charts, graphs, and photos from the book as well as outside sources.

The test bank, revised by James Goss of Tarrant County Col- lege, offered in Microsoft Word¤ and ExamView¤ formats, includes more than sixty multiple-choice questions with answers and page references along with ten essay questions

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for each chapter. ExamView¤ features a user-friendly testing environment that allows you to not only publish traditional paper and computer-based tests, but also Web-deliverable exams. JoinIn� offers ‘‘clicker’’ questions covering key con- cepts, enabling instructors to incorporate student response systems into their classroom lectures.

The instructor’s manual, revised by Sharon Manna of North Lake College, includes learning objectives, chapter outlines, summaries, discussion questions, class activities and project suggestions, tips on integrating media into your class, and suggested readings and Web resources. JoinIn� offers ‘‘clicker’’ questions covering key concepts, enabling instructors to incorporate student response systems into their classroom lectures. A resource integration guide provides a chapter-by- chapter outline of all available resources to supplement and optimize learning. Contact your Cengage representative to receive a copy upon adoption.

The Wadsworth News DVD for American Government 2014 • ISBN: 9781285053455 • This collection of two- to five-minute video clips on relevant

political issues serves as a great lecture or discussion launcher.

IDEAlog IDEAlog, two-time winner of Instructional Software awards from the American Political Science Association, is closely tied to the text’s ‘‘value conflicts’’ theme. After a brief Tutorial about ideology, IDEAlog asks students to rate themselves on the two-dimensional tradeoff of freedom versus order and freedom versus equality. It then presents them with twenty recent poll questions—ten deal- ing with the conflict of freedom versus order and ten pertaining to freedom versus equality. Students’ responses are classified accord- ing to libertarian, conservative, liberal, or communitarian ideologi- cal tendencies. IDEAlog is directly accessible to anyone at http:// IDEAlog.org, but instructors who choose to register their classes receive a special login link for each class. Instructors then

xxxvi Preface

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can obtain summary statistics about their students’ scores on the ideology quiz.

USPolitics.org The Ninth Essentials Edition continues to be supported by uspolitics.org, Kenneth Janda’s personal website for The Challenge of Democracy. This site offers a variety of teaching aids to instruc- tors who adopt any version of The Challenge of Democracy for courses in American politics. It is divided into two sides: the student side is open to all users, but the instructor side is limited to teachers who register online at uspolitics.org as textbook adopt- ers. The site offers some material not contained on Cengage Learning’s own website, yet it also provides convenient links to the publisher’s site.

For more information on the teaching tools that accompany The Challenge of Democracy, please contact your Cengage Learn- ing sales representative.

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Political Science CourseMate for The Challenge of Democracy, Essentials, 9e Cengage Learning’s Political Science CourseMate brings course concepts to life with interactive learning, study tools, and exam preparation tools that support the printed textbook. The more you study, the better the results. Make the most of your study time by accessing everything you need to succeed in one place. Read your textbook, take notes, watch videos, read case studies, take practice quizzes, and more, online with CourseMate. CourseMate also gives you access to the American Government NewsWatch website— a real-time news and information resource updated daily, and KnowNow!—the go-to blog about current events in American Government. Additionally, CourseMate for The Enduring Democ- racy includes ‘‘The Connections App,’’ an interactive Web app that helps you better understand the relationship between histori- cal and current events and their connection with basic concepts.

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Acknowledgments All authors are indebted to others for inspiration and assistance in various forms; textbook authors are notoriously so. We again want to single out professor Paul Manna of the College of William and Mary, who has assisted us in many different ways. Patti Conley contributed to some earlier editions of The Challenge of Democ- racy, and her work continues to be of value. Farhad Aspy Fatakia provided invaluable assistance optimizing IDEAlog to work on mobile devices; Leah Melani Christian at the Pew Research Center supplied us with 2012 survey data; and Simon Winchester helped us understand the history of the 1883 Krakatoa volcanic eruption. Timely information technology suggestions and assistance came from Jeff Parsons of the Oyez Project, professor James Ferolo of Bradley University, and Dr. Francesco Stagno d’Alcontres of Cen- tro Linguistico d’Ateneo Messinese. We also wish to express our gratitude to professor Julieta Suárez Cao of the Instituto de Ciencia Politica of Pontificia Universidad Catolica de Chile, Hope Lozano- Bielat of Boston University, Farah Bushashia of Boston College, professor Jennifer Cyr in the School of Government and Public Policy at the University of Arizona, Andrew Gruen of Cambridge University, and reference librarian Tom Gaylord and applications specialist Matt Gruhn at IIT Chicago-Kent College of Law for their helpful research assistance. We extend thanks as well to Joseph B. Maher, Esq., Deputy General Counsel, DHS; Brad Kieserman, Esq., Chief Counsel, FEMA; and professor Timothy R. Johnson, University of Minnesota.

We have been fortunate to obtain the help of many outstand- ing political scientists across the country who provided us with critical reviews of our work as it has progressed through twelve separate editions. We found their comments enormously helpful, and we thank them for taking valuable time away from their own teaching and research to write their detailed reports. More specifi- cally, our thanks go to the following instructors who reviewed the Ninth Edition:

Ruth Ann Alsobrook, Paris Junior College

Thomas Bowen, Gloucester County College

Van Davis, National Park Community College

Monte Freidig, Santa Rosa Junior College

Marilyn Gaar, Johnson County Community College

Kema Irogbe, Claflin College

Richard Kiefer, Waubonsee Community College

Melinda Kovacs, Sam Houston State University

Farzeen Nasri, Ventura College

Sara Parker, Chabot College

Preface xxxix

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James Sheffield, University of Oklahoma

Christine Sixta, Francis Marion University

Beatrice Talpos, Wayne County Community

College District

Katrina Taylor, Northern Arizona University

Ronnie Tucker, Shippensburg University

Sondra Venable, University of New Orleans

Graham Wilson, Boston University

We would also like to thank the following instructors who reviewed the prior editions:

David Ahern, University of Dayton

Philip C. Aka, Chicago State University

James Anderson, Texas A&M University

Greg Andranovich, California State University,

Los Angeles

Theodore Arrington, University of North Carolina,

Charlotte

Denise Baer, Northeastern University

Richard Barke, Georgia Institute of Technology

Brian Bearry, University of Texas at Dallas

Linda L. M. Bennett, Wittenberg University

Stephen Earl Bennett, University of Cincinnati

Elizabeth Bergman, California State Polytechnic

University, Pomona

Thad Beyle, University of North Carolina, Chapel

Hill

Bruce Bimber, University of California, Santa

Barbara

Michael Binford, Georgia State University

Bonnie Browne, Texas A&M University

Jeffrey L. Brudney, Cleveland State University

Jane Bryant, John A. Logan College

J. Vincent Buck, California State University,

Fullerton

Gregory A. Caldeira, Ohio State University

David E. Camacho, Northern Arizona University

Robert Casier, Santa Barbara City College

James Chalmers, Wayne State University

John Chubb, Stanford University

Allan Cigler, University of Kansas

Stanley Clark, California State University,

Bakersfield

Ronald Claunch, Stephen F. Austin State University

Guy C. Clifford, Bridgewater State College

Gary Copeland, University of Oklahoma

Ruth A. Corbett, Chabot College

W. Douglas Costain, University of Colorado at

Boulder

Cornelius P. Cotter, University of Wisconsin,

Milwaukee

James L. Danielson, Minnesota State University,

Moorhead

Christine L. Day, University of New Orleans

David A. Deese, Boston College

Victor D’Lugin, University of Florida

Douglas C. Dow, University of Texas at Dallas

Art English, University of Arkansas

Matthew EshbaughSoha, University of North Texas

Tim Fackler, University of Texas, Austin

Dennis Falcon, Cerritos Community College

Henry Fearnley, College of Marin

Elizabeth Flores, Del Mar College

David Madlock, University of Memphis

Michael Maggiotto, University of South Carolina

Edward S. Malecki, California State University,

Los Angeles

Michael Margolis, University of Cincinnati–

McMicken College of Arts and Sciences

xl Preface

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Thomas R. Marshall, University of Texas at

Arlington

Janet Martin, Bowdoin College

Steve J. Mazurana, University of Northern Colorado

Michael McConachie, Collin College

Wayne McIntosh, University of Maryland

David McLaughlin, Northwest Missouri State

University

Don Melton, Arapahoe Community College

Melissa Michelson, California State University,

East Bay

Dana Morales, Montgomery College

Jim Morrow, Tulsa Junior College

David Moskowitz, The University of North

Carolina, Charlotte

William Mugleston, Mountain View College

William Murin, University of Wisconsin–Parkside

David Nice, Washington State University

David A. Nordquest, Pennsylvania State

University, Erie

Bruce Odom, Trinity Valley Community College

Laura Katz Olson, Lehigh University

Bruce Oppenheimer, Vanderbilt University

Richard Pacelle, Indiana University

William J. Parente, University of Scranton

Tony Payan, University of Texas, El Paso

Robert Pecorella, St. John’s University

James Perkins, San Antonio College

Denny E. Pilant, Southwest Missouri State

University

Marc Pufong, Valdosta State University

Curtis Reithel, University of Wisconsin–La Crosse

Russell Renka, Southeast Missouri State University

Chester D. Rhoan, Chabot College

Michael J. Rich, Emory University

Richard S. Rich, Virginia Tech

Patricia S. Florestano, University of Maryland

Richard Foglesong, Rollins College

Steve Frank, St. Cloud State University

Mitchel Gerber, Hofstra University

Dana K. Glencross, Oklahoma City Community

College

Dorith Grant-Wisdom, Howard University

Paul Gronke, Duke University

Sara A. Grove, Shippensburg University

David J. Hadley, Wabash College

Willie Hamilton, Mt. San Jacinto College

Kenneth Hayes, University of Maine

Ronald Hedlund, University of Wisconsin–

Milwaukee

Richard Heil, Fort Hays State University

Beth Henschen, The Institute for Community and

Regional Development, Eastern Michigan

University

Marjorie Randon Hershey, Indiana University

Roberta Herzberg, Indiana University

Jack E. Holmes, Hope College

Peter Howse, American River College

Ronald J. Hrebenar, University of Utah

James B. Johnson,University of Nebraska at Omaha

William R. Keech, Carnegie Mellon University

Scott Keeter, Pew Center

Sarah W. Keidan, Oakland Community College

(Michigan)

Linda Camp Keith, Collin County Community

College

Beat Kernen, Southwest Missouri State University

Haroon Khan, Henderson State University

Dwight Kiel, Central Florida University

Nancy Pearson Kinney, Washtenaw Community

College

Vance Krites, Indiana University of Pennsylvania

Preface xli

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Clyde Kuhn, California State University,

Sacramento

Jack Lampe, Southwest Texas Junior College

William Lester, Jacksonville State University

Brad Lockerbie, University of Georgia

Joseph Losco, Ball State University

Philip Loy, Taylor University

Stan Luger, University of Northern Colorado

Ronald I. Rubin, Borough of Manhattan

Community College, CUNY

Gilbert K. St. Clair, University of New Mexico

Barbara Salmore, Drew University

Todd M. Schaefer, Central Washington University

Denise Scheberle,University ofWisconsin–Green Bay

Paul R. Schulman, Mills College

William A. Schultze, San Diego State University

Thomas Sevener, Santa Rosa Junior College

Kenneth S. Sherrill, Hunter College

Sanford R. Silverburg, Catawba College

Mark Silverstein, Boston University

Charles Sohner, El Camino College

Robert J. Spitzer, SUNY Cortland

Terry Spurlock, Trinity Valley Community College

Candy Stevens Smith, Texarkana College

Dale Story, University of Texas at Arlington

Nicholas Strinkowski, Clark College

Neal Tate, University of North Texas

James A. Thurber, The American University

Ronnie Tucker, Shippensburg University

John Tuman, University of Nevada, Las Vegas

Bedford Umez, Lee College

David Uranga, Pasadena City College

Eric M. Uslaner, University of Maryland

Lawson Veasey, Jacksonville State University

Charles E. Walcott, Virginia Tech

Richard J. Waldman, University of Maryland

Thomas G. Walker, Emory University

Benjamin Walter, Vanderbilt University

Shirley Ann Warshaw, Gettysburg College

Gary D. Wekkin, University of Central Arkansas

Jonathan West, University of Miami

ZaphonWilson, Armstrong Atlantic State University

John Winkle, University of Mississippi

Clifford Wirth, University of New Hampshire

Wayne Wolf, South Suburban College

Mikel Wyckoff, Northern Illinois University

Ann Wynia, North Hennepin Community College

Jerry L. Yeric, University of North Texas

Finally, we want to thank the many people at Wadsworth/ Cengage Learning who helped make this edition a reality. There’s not enough room here to list all the individuals who helped us with the previous editions, so we say a collective thank-you for the superb work you did on The Challenge of Democracy. Political science acquisitions editor Anita Devine could not have been more supportive, and we especially appreciate how tolerant she is of the constant stream of kvetching and moaning e-mails that we send her way. Betty Slack, our developmental editor, was a delight to work with. She had a light touch editing and shaping the changes we made in the manuscript. Our direct production con- tacts were extraordinarily efficient and helpful. A million thanks

xlii Preface

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to Alison Eigel Zade, Andrea Clemente, and Alexa Orr, all of whom seemed to create order out of the chaos we created. Finally, thanks, too, to the sales representatives who do such a terrific job of bringing each new edition of The Challenge of Democracy to the attention of those who might use it.

K. J. J. B. J. G. D. S. K. H.

Dedication This dedication is a bit different than most as we want to recog- nize institutions rather than individuals. As we started talking about the Ninth Edition, we began reflecting on our own intro- ductions to political science. We were once undergraduates, taking classes in political science, and learning from great professors who motivated and inspired us. More broadly, we studied at wonderful schools that provided us with intellectual and stimulating environ- ments. We thank those institutions with humility and immense gratitude:

To Illinois State University, which steered me from industrial arts to political science, K. J.

To the University of California at Berkeley, which took a young boy and opened the world to him, J. B.

To Brooklyn College, with great role models in professors Samuel J. Konefsky and Robert Hoffman, J. G.

To Tufts University, where I discovered how one could use research to pursue political passions, D. S.

To the University of Kansas, where lobbyists and the Congress became objects of study rather than derision, K. H.

Preface xliii

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1 and Learning OutcomesCHAPTER

TOPICS

Dilemmas of

Democracy

1.1 The Globalization of American Government

Define globalization and explain how globalization affects American politics and government.

1.2 The Purposes of Government

Identify the purposes that government serves and trace their historical roots.

1.3 A Conceptual Framework for Analyzing Government

Describe how political scientists use concepts to structure events and promote understanding.

1.4 The American Governmental Process: Majoritarian

or Pluralist?

Compare and contrast the majoritarian and pluralist models of democracy.

1.5 Democracy and Globalization

Evaluate the challenges facing countries trying to move toward a democratic form of government.

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Editorial review has deemed that any suppressed content does not materially affect the overall learning experience. Cengage Learning reserves the right to remove additional content at any time if subsequent rights restrictions require it.

FPO A re there limits to what governmentcan require of its citizens? We know that governments can require automobile drivers and passengers to wear seat belts. Thinking that seat belts save lives and reduce injuries, every state but New Hampshire has such a law. We also know that governments can require the purchase of automobile insurance. Believing that mandatory coverage reduces insurance costs for everyone, ev- ery state but New Hampshire has such a law.

These laws were upheld under state constitu- tions, which typically empower state legislatures to care broadly for their residents’ safety and wel- fare. The U.S. Constitution, however, grants very specific powers to Congress, and it does not grant a specific power to require the use of seat belts or the purchase of automobile insurance. Under its power to regulate interstate commerce, Congress passed a law requiring manufacturers to install seat belts and shoulder harnesses in all cars produced after January 1, 1968, but Con- gress did not require that drivers and passengers

actually use the newly mandated seat belts. Simi- larly, no national law requires the purchase of automobile insurance.

Can state governments require citizens to buy health insurance? Contending that manda- tory coverage reduces health insurance costs for everyone, Massachusetts did just that in 2006. Under Republican governor Mitt Romney, Massa- chusetts required a minimum level of coverage for nearly all residents, provided free insurance to the poor, and penalized residents who failed to buy the required insurance. It stands as the only state with such a law.

Can the national government require citizens to buy health insurance? Congress did just that in 2010. Under Democratic president Barack Obama, it passed the Patient Protection and Affordable Care Act, which contains the contro- versial ‘‘mandate’’ requiring nearly all Americans to buy coverage or pay a penalty. As in Massa- chusetts, this mandate reflects the rationale that bringing both sick and healthy people into the

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Editorial review has deemed that any suppressed content does not materially affect the overall learning experience. Cengage Learning reserves the right to remove additional content at any time if subsequent rights restrictions require it.

pool of those insured is essential, because premiums paid by the healthy offset the cost of covering the sick.

From the beginning, controversy swirled over the national law to purchase health insurance. Massachusetts could require the purchase under its state constitution, but could Congress do the same under the U.S. Constitution’s grant of congressional power ‘‘to regulate commerce’’? Opponents filed legal challenges in the courts. By November 2011, rulings were issued in five U.S. District Courts and five U.S. Courts of Appeals.1 Seven of the rulings upheld the man- date, but three struck it down.

In the Court of Appeals for the District of Columbia Circuit, Judge Laurence Silberman upheld the mandate, saying, ‘‘It certainly is an encroachment on individual liberty, but it is no more so than a com- mand that restaurants or hotels are obliged to serve all customers regardless of race.’’2

The issue was eventually decided by the Supreme Court in June 2012. The Court ruled that the mandate to purchase health insur- ance could not be upheld under Congress’s power to ‘‘regulate com- merce,’’ but it was constitutional under Congress’s power to tax. That is, Congress could penalize (tax) people who did not purchase health insurance.3

What the U.S. government can do constitutionally, politically, and practically to serve its citizens is the focus of our textbook. People will differ—as those in New Hampshire do from people in other states— in supporting laws about wearing seat belts and buying automobile insurance. People in other states seemmore willing to surrender some degree of freedom to achieve a more orderly society with a more equi- table distribution of citizen benefits. This tradeoff among the values of freedom, order, and equality lies at the heart of our discussion.

We hope to improve your understanding of the world by analyz- ing the norms, or values, that people use to judge political events. We probe the relationship between individual freedoms and personal se- curity, and how government ensures security by establishing order through making and enforcing its laws. We also examine the relation- ship between individual freedom and social equality as reflected in government policies, which often confront underlying dilemmas such as these. Our purpose is not to preach what people ought to favor in making policy decisions; it is to teach what values are at stake.

Teaching without preaching is not easy; no one can com- pletely exclude personal values from political analysis. But our approach minimizes the problem by concentrating on the

4 Chapter 1 Dilemmas of Democracy

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dilemmas that confront governments when they are forced to choose between important policies that threaten equally cherished values, such as freedom of speech and personal security.

A prominent scholar defined politics as ‘‘the authoritative allo- cation of values for a society.’’4 Every government policy reflects a choice between conflicting values. All government policies rein- force certain values (norms) at the expense of others. We want you to interpret policy issues (for example, should assisted suicide go unpunished?) with an understanding of the fundamental values in question (freedom of action versus order and protection of life) and the broader political context (liberal or conservative politics).

By looking beyond the specifics to the underlying normative principles, you should be able to make more sense out of politics. Our framework for analysis does not encompass all the complex- ities of American government, but it should help your knowledge grow by improving your comprehension of political information. Our main interest in this text is the purpose, value, and operation of government as practiced in the United States. However, we live in an era of globalization—a term for the increasing interdepend- ence of citizens and nations across the world.5 So we must con- sider how politics at home and abroad interrelate—which is increasingly important to understanding our government.6

1.1 The Globalization of American Government

Define globalization and explain how globalization affects American politics and government.

Most people do not like being told what to do. Fewer still like being coerced into acting a certain way. Yet billions of people in countries across the world willingly submit to the coercive power of government. They accept laws that state on which side of the road to drive, what constitutes a contract, how to dispose of human waste—and how much they must pay to support the gov- ernment that makes these coercive laws.

In the first half of the twentieth century, people thought of gov- ernment mainly in territorial terms. Indeed, a standard definition of government was the legitimate use of force—including firearms, imprisonment, and execution—within specified geographical

globalization The increasing interdependence of citizens and nations across the world.

government The legitimate use of force to control human behavior; also, the organization or agency authorized to exercise that force.

The Globalization of American Government 5

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boundaries to control human behavior. The term is also used to refer to the body authorized to exercise that power. Since the Peace of Westphalia in 1648 ended the Thirty Years’ War in Europe, international relations and diplomacy have been based on the prin- ciple of national sovereignty, defined as ‘‘a political entity’s exter- nally recognized right to exercise final authority over its affairs.’’ 7

Simply put, national sovereignty means that each national govern- ment has the right to govern its people as it wishes, without inter- ference from other nations.

Although the League of Nations and later the United Nations were supposed to introduce supranational order into the world, even these inter- national organizations explicitly respected national sovereignty as the guiding principle of international rela- tions. The U.N. Charter, Article 2.1, states, ‘‘The Organization is based on the principle of the sovereign equality of all its Members.’’

National sovereignty, however, is threatened under globalization.8

Consider the international commun- ity’s concern with Libyan dictator Moammar Gadhafi’s military repres- sion of political protests in 2011. His actions prompted NATO to inter- vene and establish a no-fly zone over Libya. Ignoring Gadhafi’s claims that NATO violated Libya’s sovereignty, the International Criminal Court issued arrest warrants for Gadhafi and other Libyan officials for crimes against humanity. Gadhafi was cap- tured and killed within weeks, and the rebels took over the government.

Global forces also generate pres- sures for international law. Our gov- ernment, you might be surprised to learn, is worried about this trend of holding nations accountable to

Sealand: Rebuilding a (Micro-)Nation

What defines a sovereign nation? The Principality of Sealand is perched on a World War II military platform approximately six miles off the southeast coast of England. Located in international waters, the platform was acquired in 1967 by Paddy Roy Bates, a retired British officer who declared it a sovereign nation and lived there with his family for decades. In 2007 the government of Sealand announced that the micro-nation was seeking ‘‘inward investment’’ in the form of purchase or long-term lease, and day-to-day affairs on Sealand are now overseen by Roy’s son, Prince Michael. How does the micro-nation sustain its economy? Tourism is not allowed, but the government of Sealand does offer supporters the opportunity to purchase flags, t-shirts, mugs, and even the titles of Lord, Lady, Baron, or Baroness of Sealand.

national sovereignty A political entity’s externally recognized right to exercise final authority over its affairs.

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6 Chapter 1 Dilemmas of Democracy

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international law. In fact, in 2002, the United States ‘‘annulled’’ its signature to the 1998 treaty to create an International Criminal Court that would define and try crimes against humanity.9 Why would the United States oppose such an international court? One reason is its concern that U.S. soldiers stationed abroad might be arrested and tried in that court.10 Another reason is the death pen- alty, practiced in most of the United States but abolished by more than half the countries in the world and all countries in the Euro- pean Union. Indeed, in 1996, the International Commission of Jurists condemned our death penalty as ‘‘arbitrarily and racially dis- criminatory,’’ and there is a concerted campaign across Europe to force the sovereign United States of America to terminate capital punishment.11

As the world’s sole superpower, should the United States be above international law if its sovereignty is threatened by nations that don’t share our values? What action should we follow if this situation occurs?

Although this text is about American national government, it recognizes the growing impact of international politics and world opinion on U.S. politics. We are closely tied through trade to for- mer enemies (we now import more goods from China—still com- munist—than from France and Britain combined), and we are thoroughly embedded in a worldwide economic, social, and politi- cal network. More than ever before, we must discuss American politics while casting an eye to other countries to see how foreign affairs affect our government and how American politics affects government in other nations.

1.2 The Purposes of Government

Identify the purposes that government serves and trace their historical roots.

All governments require their citizens to surrender some freedom as part of being governed. Why do people surrender their freedom to this control? To obtain the benefits of government. Throughout history, government seems to have served two major purposes: maintaining order (preserving life and protecting property) and

The Purposes of Government 7

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providing public goods. More recently, some governments have pur- sued a third and more controversial purpose: promoting equality.

Maintaining Order Maintaining order is the oldest objective of government. Order in this context is rich with meaning. Let’s start with ‘‘law and order.’’ Maintaining order in this sense means establishing the rule of law to preserve life and to protect property. To the seventeenth- century English philosopher Thomas Hobbes (1588–1679), pre- serving life was the most important function of government. In his classic philosophical treatise, Leviathan (1651), Hobbes described life without government as life in a ‘‘state of nature.’’ Without rules, people would live as predators do, stealing and kill- ing for their personal benefit. In Hobbes’s classic phrase, life in a state of nature would be ‘‘solitary, poor, nasty, brutish, and short.’’ He believed that a single ruler, or sovereign, must possess unques- tioned authority to guarantee the safety of the weak to protect them from the attacks of the strong. He believed that complete obedience to the sovereign’s strict laws was a small price to pay for the security of living in a civil society.

Most of us can only imagine what a state of nature would be like. But in some parts of the world, people live in a state of law- lessness. That has been the situation in Somalia since 1991, when the government was toppled and warlords feuded over territory. Today, the government controls only a portion of the capital, Mogadishu, and Somali pirates seize ships off its shore with impu- nity.12 Throughout history, authoritarian rulers have used people’s fears of civil disorder to justify taking power and becoming the new established order.

Hobbes’s conception of life in the cruel state of nature led him to view government primarily as a means of guaranteeing people’s survival. Other theorists, taking survival for granted, believed that government protected order by preserving private property (goods and land owned by individuals). Foremost among them was John Locke (1632–1704), another English philosopher. In Two Treatises on Government (1690), he wrote that the protec- tion of life, liberty, and property was the basic objective of gov- ernment. His thinking strongly influenced the Declaration of Independence, which identifies ‘‘Life, Liberty, and the pursuit of Happiness’’ as ‘‘unalienable Rights’’ of citizens under government.

order Established ways of social behavior. Maintaining order is the oldest purpose of government.

8 Chapter 1 Dilemmas of Democracy

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Not everyone believes that the protection of private property is a valid objective of government. The German philosopher Karl Marx (1818–1883) rejected the private ownership of property used in the production of goods or services. Marx’s ideas form the basis of communism, a philosophy that gives ownership of all land and productive facilities to the people—in effect, to the government. In line with communist theory, the 1977 constitution of the for- mer Soviet Union declared that the nation’s land, minerals, waters, and forests ‘‘are the exclusive property of the state.’’ In addition, ‘‘The state owns the basic means of production in indus- try, construction, and agriculture; means of transport and communication; the banks, the property of state-run trade organi- zations and public utilities, and other state-run undertakings.’’13

Even today’s market-oriented China still clings to the principle that all land belongs to the state, and not until 2007 did it pass a law that protected private homes and businesses.14

Providing Public Goods After governments have established basic order, they can pursue other ends. Using their coercive powers, governments can tax citi- zens to raise funds to spend on public goods, which are benefits and services that are available to everyone, such as education, sani- tation, and parks. Public goods benefit all citizens but are not likely to be produced by the voluntary acts of individuals. The govern- ment of ancient Rome, for example, built aqueducts to carry fresh water from the mountains to the city. Road building is another public good provided by the government since ancient times.

Some government enterprises that have been common in other countries—running railroads, operating coal mines, generat- ing electric power—are politically controversial or even unaccept- able in the United States. Hence, many people objected when the Bush administration took over General Motors and Chrysler in 2008 to facilitate an orderly bankruptcy. Many Americans believe public goods and services should be provided by private business operating for profit.

Promoting Equality The promotion of equality has not always been a major objective of government. It gained prominence in the twentieth century, in

communism A political system in which, in theory, ownership of all land and productive facilities is in the hands of the people and all goods are equally shared. The production and distribution of goods are controlled by an authoritarian government.

public goods Benefits and services, such as parks and sanitation, that benefit all citizens but are not likely to be produced voluntarily by individuals.

The Purposes of Government 9

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the aftermath of industrialization and urbanization. Confronted by the contrast of poverty amid plenty, some political leaders in European nations pioneered extensive government programs to improve life for the poor. Under the emerging concept of the wel- fare state, government’s role expanded to provide individuals with medical care, education, and a guaranteed income ‘‘from cradle to grave.’’ Sweden, Britain, and other nations adopted welfare pro- grams aimed at reducing social inequalities. This relatively new purpose of government has been by far the most controversial. People often oppose taxation for public goods (such as building roads and schools) because of its cost alone. They oppose more strongly taxation for government programs to promote economic and social equality on principle.

The key issue here is the government’s role in redistributing income, that is, taking from the wealthy to give to the poor. Char- ity (voluntary giving to the poor) has a strong basis in Western re- ligious traditions; using the power of the state to support the poor does not. Using the state to redistribute income was originally a radical idea, set forth by Marx as the ultimate principle of devel- oped communism: ‘‘from each according to his ability, to each according to his needs.’’15 This extreme has never been realized in any government, not even in communist states. But over time, taking from the rich to help the needy has become a legitimate function of most governments.

That function is not without controversy, however. Especially since the Great Depression of the 1930s, the government’s role in redistributing income to promote economic equality has been a major source of policy debate in the United States. Despite infla- tion, the minimum wage had been frozen at $5.15 per hour from 1997 to 2007, when it was increased to $5.85. In 2009, Congress increased the minimum wage to $7.25 only because Democrats included the increase in a deal on funding the war in Iraq.

Government can also promote social equality through policies that do not redistribute income. For example, in 2000 Vermont passed a law allowing persons of the same sex to enter a ‘‘civil union’’ granting access to similar benefits enjoyed by persons of different sexes through marriage. By 2011 Vermont had replaced the term civil unions with marriage, and the legislatures or courts in Massachusetts, New Hampshire, Connecticut, Iowa, the District of Columbia, and New York put same-sex marriage laws into effect. In this instance, laws advancing social equality may clash

10 Chapter 1 Dilemmas of Democracy

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with different social values held by other citizens. Indeed, thirty- one states blocked same-sex marriages through public referenda, and public ballot measures in Maine and California repealed same- sex marriage laws passed in those states.16 In 2012, the Washington and Maryland legislatures passed bills authorizing same-sex mar- riage, but opponents sought to challenge the laws in public refer- enda. In November 2012, voters in Maryland, Washington, and Maine approved same-sex marriage in state-wide referenda, a striking reversal in Maine of the vote just three years earlier.17

1.3 A Conceptual Framework for Analyzing Government

Describe how political scientists use concepts to structure events and promote understanding.

Citizens have very different views on how vigorously they want government to maintain order, provide public goods, and pro- mote equality. Of the three objectives, providing public goods usu- ally is less controversial than maintaining order or promoting equality. After all, government spending for highways, schools, and parks carries benefits for nearly every citizen. Moreover, these services merely cost money. The cost of maintaining order and promoting equality is greater than money; it usually means a tradeoff of basic values.

To understand government and the political process, you must be able to recognize these tradeoffs and identify the basic values they entail. You need to take a much broader view than that offered by examining specific political events. You need to use political concepts. A concept is a generalized idea of a class of items or thoughts. It groups various events, objects, or qualities under a common classification or label.

The framework that supports this text consists of five concepts that figure prominently in political analysis. We regard these five concepts as especially important to a broad understand- ing of American politics, and we use them repeatedly. This frame- work will help you evaluate political events long after you have read this book.

A Conceptual Framework for Analyzing Government 11

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