O'Connor Essentials SG Final

Study Guide
to accompany
O’Connor  Sabato
Essentials of American Government

Roots and Reform
2009 Edition
for
Essentials of American Government
and
Essentials of American and Texas Government
Prepared by
John Ben Sutter

Houston Community College
Longman
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i
Copyright © 2009 Pearson Education, Inc. Publishing as Longman.
Study Guide to accompany Essentials of American Government: Roots and Reform, 2009
Edition, by O’Connor and Sabato.
Copyright © 2009 Pearson Education, Inc.
All rights reserved. Printed in the United States of America. Instructors may reproduce portions
of this book for classroom use only. All other reproductions are strictly prohibited without prior
permission of the publisher, except in the case of brief quotations embodied in critical articles
and reviews.
1 2 3 4 5 6 7 8 9 10——11 10 09 08
Longman
is an imprint
of
ISBN: 0205684394
www.pearsonhighered.com
ii
Table of Contents
Chapter 1 The Political Landscape....................................................................................1
Chapter 2 The Constitution............................................................................................ 17
Chapter 3 Federalism.......................................................................................................33
Chapter 4 Civil Liberties.................................................................................................49
Chapter 5 Civil Rights.....................................................................................................69
Chapter 6 Congress.........................................................................................................87
Chapter 7 The Presidency..............................................................................................107
Chapter 8 The Executive Branch and the Federal Bureaucracy....................................123
Chapter 9 The Judiciary................................................................................................137
Chapter 10 Public Opinion and the News Media............................................................155
Chapter 11 Political Parties and Interest Groups.............................................................179
Chapter 12 Voting, Elections, and Campaigns................................................................203
Chapter 13 Social and Economic Policy.........................................................................231
Chapter 14 Foreign and Defense Policy..........................................................................253
Chapter 15 The Context for Texas Politics and Government.........................................271
Chapter 16 The Texas Constitution.................................................................................287
Chapter 17 Local Government and Politics in Texas......................................................301
Chapter 18 The Texas Legislature...................................................................................319
Chapter 19 The Governor and Bureaucracy in Texas.....................................................341
Chapter 20 The Texas Judiciary......................................................................................361
Chapter 21 Political Parties, Interest Groups, Elections, and Campaigns in Texas........379
Answer Section ......................................................................................................................403
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iv
CHAPTER 1
THE POLITICAL LANDSCAPE
Chapter Goals and Learning Objectives
To know where you are and where you are going, it is useful to know where you have been or
where you come from.
Probably one of the questions you ask a classmate on the first day of class is, “Where are you
from?” To better know and understand a person, you want to know about his or her history and
background. Similarly, to know and understand our government, you need to understand its
origins, its history, and its beginnings. The government we have did not suddenly descend from
the sky, deus ex machina, one day perfectly formed. The roots of our American culture and
government run deep. To understand our present, we must understand the history,
circumstances, ideas, and populace which drove our national development. Where did we come
from? What were and are our goals and aspirations? Why does our government look, act, and
function the way it does? Why this form of government and not another?
You may be one of many students holding this book at the start of the new semester, looking at
the first chapter and thinking, “I don’t like politics and I’m not interested in government!” Stated
bluntly, while you might not be interested in government, government is quite interested in you.
From the moment of your very conception until your death, and every moment in between, the
government is involved in all aspects of your life. "How so?" you query. Ask yourself: Will
abortion be legal or illegal? My Mom has Parkinson’s disease—why won’t they let stem cell
research cure it? Why are tuition rates soaring and student loans harder to get? What kind of
education will my kids get when I get married? Will I be sent to a war in Iraq or some other far-
off country? Is my sexual choice legal? Are we safe from terrorists? Will the economy be safe
and vibrant for my future? Will my civil liberties be curtailed in the effort to combat terrorism?
Will there be a decent job for me in the future? Will Social Security be there when I’m old?
Should my grandfather, who is terminally ill and suffering severely, be euthanized at his request?
Who makes these decisions? Most directly, our representatives in the legislative, executive and
judicial branches of both the state and national government. In our republican form of
government, you and I pick the people who make those decisions—if we vote; if we involve
ourselves in those decisions. If we don’t vote, if we don’t get involved, someone else picks those
people who act in our behalf in government, and the decisions they make won’t reflect what you
want and need. From the standpoint of self-interest alone, apathy is an unwise attitude to hold
about government and politics.
Our government is, essentially, made up of the people who understand it and take part in it. Can
you make a difference? Can you protect yourself from the abuses of government? Can you
improve your community? Can you make a better life for yourself and your family through
having a role in politics and government? You can better answer these questions when you have
an understanding of our government, its structure, and its foundations.
Equipped with such understanding, you can be a better citizen and, in turn, make your life,
community, and government better. This nation is changing. It always has and always will. Many
Americans are dissatisfied with the workings of the government, yet understand little of how
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their government works. This leads to apathy and frustration. You may be one of these people.
However, a thorough understanding of the system, its history, and, structure can help you
improve and reform the system. Armed with this knowledge, you can become a more active
participant in the political process.
This chapter is designed to give you an overview of the subject of the text as well as a look at the
theories and ideas that underpin our political and economic system. The main topic headings of
the chapter are:
• Roots of American Government: What Are They and Why Are They Important?
• The Philosophical Origins of American Government
• American Political Culture and the Basic Tenets of American Democracy
• Toward Reform: Population Changes and Americans' Attitudes Toward
Government
In each section, there are certain facts and ideas that you should strive to understand. Many are in
boldface type and appear in both the narrative and in the glossary at the end of the book. Other
ideas, dates, facts, events, people, etc. are more difficult to pull out of the narrative. (Keep in
mind that studying for objective tests [multiple choice, T/F] is different from studying for essay
tests. See the Study Guide section on test taking for hints on study skills.)
In general, after you finish reading and studying this chapter, you should understand the
following:
• the roots of American government and the significance of those roots

• the origins of our ideas on government; understanding the philosophies that
guided early America
• American political culture and the principles of American democracy; the
enduring values defining American democracy
• America's population and American attitudes toward government
Chapter Outline and Key Points
In this section, you are provided with a basic outline of the chapter and key words/points you
should know. Use this outline to develop a complete outline of the material. Write the definitions
or further explanations for the terms. Use the space provided in this workbook or rewrite that
material in your notebook. This will help you study and remember the material in preparation for
your tests, assignments, and papers.
the Framers—
Preamble to the United States Constitution—
meaning and goals in the Preamble—
Pledge of Allegiance—
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“best hope” and “last, best hope on earth”—
Roots of American Government: What Are They and Why Are They Important?
government—
citizen—
2007 presidential elections in Kenya and Pakistan—
politics—
Functions of Government
“to form a more perfect union”—
Thinking Globally: The European Union—
Ideas Into Action: The American's Creed—
establishing justice—
ensuring domestic tranquility—
providing for the common defense—
promoting the general welfare—
Allocation of the Federal Budget, 2008 (Figure 1.1)—
securing the blessings of liberty—
Types of Government
Aristotle’s Classifications of Government (Table 1.1)—
monarchy—
totalitarianism—
oligarchy—
democracy—
majority of governments worldwide—
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The Philosophical Origins of American Government
The Reformation and the Enlightenment: Questioning the Divine Right of Kings
divine right of kings—
Reformation and Enlightenment—
Puritans—
Pilgrims—
Mayflower Compact—
social contract—
Hobbes, Locke, and a Social Contract Theory of Government
social contract theory—
Thomas Hobbes—
Leviathan (1651)—
"state of nature"—
“solitary, poor, nasty, brutish, and short”—
John Locke—
Second Treatise on Civil Government (1698) and Essay Concerning

Human Understanding (1690)—
Locke's refutation of the divine right of kings—
natural rights—
life, liberty, and property—
Locke believed which branch of government should be the most powerful

and why?—
Thomas Jefferson and the original draft of the Declaration of

Independence—
4
Devising a National Government in the American Colonies
American colonists’ view on King George and the British government—
direct democracy—
indirect democracy (representative democracy)—
Virginia House of Burgesses—
republic—
American Political Culture and the Basic Tenets of American Democracy
political culture—
Personal Liberty
personal liberty—
expansion from “freedom from” to “freedom to”—
Fourteenth Amendment—
Equality
political equality—
Popular Consent, Majority Rule, and Popular Sovereignty —
popular consent—
majority rule—
protection of minority rights—
popular sovereignty—
natural law—
Civil Society
civil society—
Individualism
individualism—
“certain unalienable rights”—
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a mixed blessing—
Religious Faith and Religious Freedom
religion and religious faith in America—
faith and political opinion in America—
Political Ideology: Its Role in the World and in American Politics
political ideology—
two factors that shaped human history in 20th century (Isaiah Berlin)—
ideologies perform four key functions:
1)
2)
3)
4)
Prevailing American Political Ideologies
Adult Ideological Self-Identification, 1974-2008 (Figure 1.2)—
libertarians—
conservative—
what conservatives tend to favor—
social conservative—
liberal—
what liberals tend to favor—
Problems with Political Labels
studies show conservatives often take liberal positions on issues and vice-
versa—
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Changing Characteristics of the American People
things Americans have in common—
focus on differences among Americans—
Changing Size and Population
U.S. population when Constitution adopted—
characteristics of Americans one year after U.S. Constitution ratified—
U.S. population, 1880-2040 (Figure 1.3)—
population and representation in Congress—
Changing Demographics of the U. S. Population
changes in racial and ethnic composition—
immigration—
Race and Ethnicity in America: 1967 and 2008 (Figure 1.4)—
non-white population in 2008 and representation in Congress—
changes in age cohort composition—
changes in average age in America—
average age expectancy when U.S. founded and in 2008—
Baby Boomers—
Government, Health Care, and Costs (Table 1.2)—
potential effects of aging population—
younger voters vs. older voters—
changes in family and family size—
Join the Debate: The Huntington Theory of Hispanization—
factors affecting family size and household arrangements—
traditional families and other models in 1940 and 2006—
single-parent families—
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Toward Reform: Population Changes and Americans' Attitudes Toward Government
illegal immigration: problems and reactions—
anti-immigration sentiments in America—
effects of demographics—
Attitudinal Change and Reform
American Dream—
major sources of most American’s on-the-air news supplemented by

growth of news and quasi-news outlets—
significance of cable new programs in 2008 presidential election—
growth of Internet and blogs—
effects of news media dynamics (rush to be first with the news,

instantaneous nature of communications, focus on personality and
scandal)—
how Americans are viewed abroad—
High Expectations
Americans’ relation to government (federal and state) in the first 150 years
of our nation’s history—
the rise in public expectations of the federal government—
Redefining Our Expectations Concerning Reform
our lack of faith in country’s institutions and symbols
Analyzing Visuals: Faith in Institutions, Figure 1.7—
2008 poll on what Americans think about the direction the country is headed and
what this belief leads to—
Americans’ high standard of living due to governmental programs and

protections—
everyday pervasive influence of government rulings or regulations in

Americans’ lives—
the good government can do—
8
government and politics are not static and what that means to
Americans—
Research Ideas and Possible Paper Topics
1) Further examine the Enlightenment and some of the political philosophers who
developed concepts that the Founders incorporated into our system of government. What
were some of the key ideas that formed the predicates for the government we have today?
2) Do you believe government is intrinsically good or bad? Or is government merely a tool,

with the good or bad effects it produces a result of the intentions and abilities or those
who control it? What are your expectations of government, if any? Does government
affect your life in any way? Why or why not?
3) Discuss the nature of the challenges to America posed by the changing racial, ethnic, and
age distribution in society. Look at the contemporary controversy regarding illegal
immigration from Mexico as well as more philosophical arguments. Has the meaning of
the phrase “We the People” from the Preamble to the United States Constitution changed
from the meaning vested in that statement by the Founders?
4) Examine the theme of "change" in the campaigns of the two presidential candidates in
2008, Democratic candidate Barack Obama and Republican candidate John McCain.
How did Americans' expectations regarding reform affect their response to the two
candidates’ call for change? What impact did the economic crisis and the massive bank
bailout have on the reaction to the two candidates' competing calls for change? Did
Americans expect too much of one candidate or the other? Did Americans expect too
much of their government in response to the crisis or not enough?
Web Sites
U.S. Census Bureau offers information on the demographic, geographic, and economic make-
up of our country. Includes the ability to search for state-level data.
http://www.census.gov
The University of Michigan Documents Center page titled “Statistical Resources on the Web
for Political Science” provides a one-stop academic research site for students, listing numerous
links to sites to assist in researching political, racial, ethnic, social, and other demographic
information.
http://www.lib.umich.edu/govdocs/stpolisc.html
The Gallup Organization offers up-to-date and historical perspectives on the opinions of the
American public.
http://www.gallup.com
Brandeis University’s Political Philosophy Internet Resources Web site provides links to
numerous sites of interest in political philosophy.
9
http://people.brandeis.edu/~teuber/polphil.html
To better understand the Enlightenment, go to a marvelous Web site developed by a high school
history teacher in Mesquite, Texas titled TeacherOz.com. The Enlightenment page lists scores
of resources. (The TeacherOz.com Web site received a recommendation by The History
Channel.)
http://www.teacheroz.com/Enlightenment.htm
PBSKids presents an interactive Web site titled, “How Does Government Affect Me?” While
prepared for grammar-school children, the site nevertheless can engage your thinking as to how
government does indeed affect everyday life of students and other Americans. It is also a great
site to share with your children or younger siblings if you have any.
http://pbskids.org/democracy/govandme/
PBS P.O.V. developed a Web site for the 2008 election on the question, “Why Vote?” Although
we have experienced another general election since its posting, the Web site provides interesting
commentary from a wide range of citizens offering their “point of view” about voting or non-
voting.
http://www.pbs.org/pov/pov2008/election
Yahoo.com. Yahoo is a commercial search engine that has a wide variety of information. For
our purposes, there is a government subheading of Yahoo that will provide you with links to
many topics on government, such as regime type, ideology, political thought, and more.
http://dir.yahoo.com/Government
Practice Tests
MULTIPLE CHOICE QUESTIONS
1) According to Aristotle's classifications of government, rule by a few whose interests are

served by the public is a/an
A) aristocracy.
B) dictatorship.
C) democracy.
D) monarchy.
E) oligarchy.
2) Which of the following best describes Saddam Hussein?

A) He was an oligarch.
B) He was a patriarch.
C) He was a tyrant.
D) He was a democrat.
E) He was a monarch.
3) In which of the following areas has the European Union achieved the greatest integration?
A) language integration
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B) economic integration
C) military integration
D) political integration
E) cultural integration
4) Locke argued that a major responsibility of governments is to protect

A) elected officials.
B) human dignity.
C) economic equality.
D) private property.
E) the people from themselves.
5) The belief that all people are free and equal by natural right and that government gains it
authority from the consent of the governed are cornerstones of
A) a monarchy.
B) political culture.
C) an oligarchy.
D) evangelicalism.
E) the social contract theory.
6) A direct democracy is a system

A) in which an elite makes decisions for the society.
B) in which representatives meet to discuss policy and make decisions.
C) in which the masses have certain rights, but decisions are made by a council.
D) in which all members of the polity meet to discuss policy and make decisions.
E) that is the main form of government in most states.
7) In an indirect democracy, public policies are determined by

A) consensus.
B) oligarchs.
C) religious figures.
D) representatives.
E) economic elites.
8) Popular sovereignty has its roots in

A) monarchism.
B) natural law.
C) elitism.
D) ecumenicalism.
E) Mormonism.
9) A civil society
A) is "nasty, brutish, and short."
B) is ruled by a leviathan.
C) encourages citizens to engage in policy debates.
D) is harmful to democracy.
E) hinders a frank exchange of ideas.
10) Which of the following is a key function of an ideology?
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A) to polarize the electorate
B) to help citizens make political decisions
C) to serve as a substitute for religious faith
D) to protect citizens' civil liberties
E) to encourage citizens to engage in civil society
11) __________ tend to favor local and state government action over federal action.
A) Conservatives
B) Liberals
C) Libertarians
D) Independents
E) Democrats
12) Who most strongly believes that government should promote equality and provide social
services?
A) liberals
B) moderates
C) populists
D) libertarians
E) conservatives
13) Which of the following issues would be of most concern to social conservatives?
A) abortion
B) defense spending
C) separation between church and state
D) proportional taxes
E) regulation of business practices
14) Liberalism is a political ideology that

A) believes individuals should look to churches and other social services organizations
instead of the government for assistance.
B) is comfortable with the social status quo.
C) generally favors equality.
D) seeks to end costly welfare programs.
E) shares many of its views with libertarians.
15) Because people in this country are living longer than ever before, which one of the following
issues do you think this burgeoning population of voters might be most interested in?
A) public school quality
B) college loan programs
C) tax cuts for parents of young children
D) Social Security
E) increased funding for parks and recreation
16) When did the number of new immigrants to the United States peak, reaching almost 9
million people?
A) 1900-1910
12
B) 1960-1970
C) 1970-1980
D) 1990-2000
E) 2000-2008
17) Which of the following arguments is most consistent with the Huntingdon Theory of
Hispanization?
A) A shared language and civic education bind citizens together.
B) In the past, certain waves of immigrants were incorrectly thought to be a threat to
American culture.
C) You don’t have to speak a common language to share a common political culture.
D) Anglo-Protestants do not have a monopoly on American political culture.
E) Hispanic Americans earn a higher income than do Anglo Americans.
18) The proliferation of government programs affecting almost every aspect of American life
was initiated under which president?
A) Franklin D. Roosevelt
B) John F. Kennedy
C) Dwight D. Eisenhower
D) Ronald Reagan
E) Bill Clinton
19) Which of the following is an accurate description of Americans’ views of government?

A) Americans tend to have high expectations for what government can accomplish.
B) Americans are generally trusting of politicians.
C) Most Americans are apathetic about voting.
D) Most Americans believe that government looks out for “people like me.”
E) Most Americans are highly informed about politics.
20) The American Dream often includes which of the following:

A) A better life than one's children
B) Dual citizenship
C) Increasing recidivism
D) Personal wealth
E) All of the above
TRUE/FALSE QUESTIONS
1) When the U.S. Constitution was written, voting was largely limited to property-owning white
males.
2) Thomas Hobbes argued in favor of a plural executive, where the responsibilities of governing
were separated between several coequal leaders.
3) The U.S. federal government frequently makes grants to nongovernmental organizations to

promote civil society.
4) Individualism is looked down upon in American political culture.
13
5) When it comes to regulation of the economy, conservatives tend to believe that government
is best that governs least.
6) The number of African Americans in the United States is higher than the number of
Hispanics.
7) Samuel Huntington argues that the most recent wave of immigration is seriously
compromising American values.
8) Concern about immigration is a relatively new phenomenon.
9) African Americans were less satisfied with the government's response to Hurricane Katrina
than were whites.
10) Across the globe, perceptions of America are increasingly unfavorable.
ESSAY AND SHORT ANSWER QUESTIONS
1) Describe three ways in which the U.S. government promotes the general welfare.
2) Compare and contrast tyranny, oligarchy, and democracy.
3) Your textbook lists five key concepts in American democracy. Which one do you think is
most important? Why?
4) What is a libertarian?
5) In order to understand the nature of the American government, one must know who the
American people are. Discuss the demographics of the United States and the effects of these
demographics on the political system.
6) Thomas Jefferson saw the United States as the "world's best hope," and other presidents have
been equally as certain of the United States' place in the world. Today, however, there is
some debate about the place of the United States in the world. Discuss whether or not you
agree with Jefferson. Please provide specifics from the text as well as from your reading of
newspapers or other media.
7) What is "civil society"? Why has this concept taken on special importance in recent years in
places such as Iraq and Afghanistan?
8) What is a political ideology? Describe the differences between liberal, conservative, and
libertarian ideologies. What policy positions are members of these groups likely to support?
9) How has the percentage of Americans who call themselves liberals, conservatives, and
moderates changed since the 1970s? What do you think might have been driving these
changes?
10) Immigration, especially across our Southern borders, continues to divide the citizenry, the
political parties, and the president. Political scientist Samuel Huntington believes that this
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new wave of immigration is particularly harmful to the continued maintenance of American
values. Outline Huntington’s perspective and that of his critics. Do you agree or disagree
with Huntington’s concerns? Make sure to use examples to support your answer.
15
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CHAPTER 2
THE CONSTITUTION
To build a house you first must lay a foundation. The foundation buttresses the structure, gives it
support and definition. You build your house directly atop the foundation. Anything not built on
that foundation will surely fall from lack of definition and support.
The foundation of our system of government is the Constitution. Our nation and its laws are built
upon it. The U.S. Constitution is one of the longest-lasting and least-amended constitutions in the
world and has endured despite changing demographics, changing technology, and changing
ideas. The problems encountered and compromises made by the Framers of the Constitution
continue to affect our nation and our political process. Yet, the structure created and supported
by our Constitution still stands. It is important to understand why. An understanding of the
Constitution and its development is essential to understanding our political system.
This chapter surveys the colonial era and the events that led to the writing of the Declaration of
Independence, the main grievances of the colonists against the Crown and Parliament, the first
American government under the Articles of Confederation, the writing of the U.S. Constitution,
the nature of the U.S. Constitution, and the ratification debate.
The main topic headings of the chapter are:
• Roots of a New American Nation

• The First Attempt at Government: The Articles of Confederation
• The Miracle at Philadelphia: Writing the U.S. Constitution
• The U.S. Constitution
• The Drive for Ratification
• Toward Reform: Methods of Amending the Constitution
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following:
• the roots of the new American nation and the attendant conditions surrounding the
Declaration of Independence and the break from Great Britain
• the first attempt at American government created by the Articles of Confederation
• the circumstances surrounding the writing of the U.S. Constitution in Philadelphia
• the result of the Framers’ work in Philadelphia—the U.S. Constitution
• the campaign for ratification of the new Constitution
• the methods of amending the Constitution
number of amendments added since adoption of Bill of Rights in 1791—
history leading up to adoption of Twenty-Sixth Amendment—
adoption of the Twenty-Sixth Amendment—
examples of proposed amendments that have failed to be adopted—
Roots of the New American Nation
the colonists' reasons for wanting to come to the New World—
local participation in decision-making allowed the colonists by King

James I—
Virginia House of Burgesses—
oppressive British traditions absent in the New World—
weakening ties and loyalties to the British crown—
Trade and Taxation
mercantilism—
England's efforts to regulate colonial imports and exports—
French and Indian War—
18
Treaty of Paris of 1763—
Sugar Act of 1764—
Stamp Act of 1765—
Samuel Adams and Patrick Henry—
Sons and Daughters of Liberty—
protests and boycotts—
First Steps Toward Independence
Stamp Act Congress of 1765—
Townshend Act of 1767—
Boston Massacre—
Tea Act of 1773—
Boston Tea Party—
Coercive Acts of 1774 (Intolerable Acts)—
Quartering Act—
The First Continental Congresses
Committees of Correspondence—
First Continental Congress (1774)—
Declaration of Rights and Resolves—
Second Continental Congress (1775)—
Lexington and Concord, April 1775, and "the shot heard round the
world"—
Olive Branch Petition—
commander in chief of the Continental Army—
19
The Declaration of Independence
Thomas Paine and Common Sense—
first colony to call for independence—
resolution by Richard Henry Lee of Virginia on June 7, 1776—
the three parts of Lee’s resolution—
Declaration of Independence—
members of the declaration committee—
Thomas Jefferson—
July 2, 1776—
July 4, 1776—
John Locke and the Declaration of Independence—
The First Attempt at Government: The Articles of Confederation
Articles of Confederation—
a “league of friendship"—
Articles of Confederation passed by Congress and submitted to the states

for ratification—
Articles ratified by all thirteen states—
British unitary system of government—
a confederation derives all its powers from the states—
key proposals of the Articles of Confederation—
1)
2)
3)
4)
5)
20
Problems Under the Articles of Confederation—
government under the Articles proved unworkable—
problems regarding money—
problems regarding commerce—
problems regarding judiciary—
Articles greatest weakness—
states' sovereign status—
dissatisfaction of Washington and Hamilton with Articles of Confederation—
The Miracle at Philadelphia: Writing the U. S. Constitution
Constitutional Convention of 1787—
plan proposed by Edmund Randolph and James Madison—
plan proposed by William Paterson—
The Characteristics and Motives of the Framers
presiding officer of the constitutional convention—
secrecy attendant to the convention—
“Founding Fathers”—
constitution—
Charles Beard’s An Economic Interpretation of the Constitution—
progeny of Beard’s work—
The Virginia and New Jersey Plans
Virginia Plan—
New Jersey Plan—
21
Constitutional Compromises
problems between small states’ desire for equal representation in the new
Congress and larger states’ demand for proportional representation—
Great Compromise—
problems arising from regional differences—
Three-Fifths Compromise—
Unfinished Business Affecting the Executive Branch
concerns of the Framers over a chief executive—
recommendations of the Committee on Unfinished Portions—
Electoral College—
impeachment and removal—
The U.S. Constitution
Preamble—
"We the People"—
provisions and goals set out in the Preamble—
September 17, 1787—
The Basic Principles of the Constitution
Montesquieu—
separation of powers—
checks and balances—
federalism—
federal system—
separation of powers—
three key features of separation of powers—
Separation of Powers and Checks and Balances Under the U.S.

Constitution (Figure 2.1)—
22
functions of the three branches of government—
different means of selecting federal officers—
measures to avoid intermingling of governmental functions—
judicial interpretation and judicial review—
separated institutions sharing power—
checks and balances—
The Articles of the Constitution
Comparing the Articles of Confederation and the U.S. Constitution (Table

2.1)—
Article I: The Legislative Branch—
enumerated powers—
necessary and proper clause (elastic clause)—
implied powers—
Article II: The Executive Branch—
president—
important powers of the president in section 3—
State of the Union Address—
section 4—
limits the presidency to natural born citizens—
Join the Debate: The Equal Opportunity to Govern Amendment—
Article III: The Judicial Branch—
Supreme Court—
arguments at Constitutional Convention over a federal judiciary—
Congress and lower federal courts—
appointments for life—
23
Articles IV through VII—
Article IV and full faith and credit clause—
Article V and amendments—
Article VI and the supremacy clause—
Article VI and no religious test for public office—
Article VII and ratification—
The Drive for Ratification of the U.S. Constitution
debate over proposed constitution—
Federalists Versus Anti-Federalists
Federalists—
Anti-Federalists—
Federalists and Anti-Federalists Compared (Table 2.2)—
The Federalist Papers
“Publius”—
Alexander Hamilton, James Madison, and John Jay—
The Federalist Papers—
Federalist No. 10—
“Brutus” and “Cato”—
Anti-Federalist arguments against a strong national government—
Anti-Federalists fear of the infringement of liberties by new national

government—
Madison answers the criticisms raised by the Anti-Federalist in Federalist

Nos. 10 and 51—
the great advantage of a federal system, according to Madison—
the British system without a constitution (Thinking Globally: The British

System)—
24
Ratifying the Constitution
Article VII—
June 21, 1788—
Ideas Into Action: Studying the Constitution—
Amending the Constitution: The Bill of Rights
proposed amendments sent to the states for ratification—
Bill of Rights—
Bill of Rights sought by the Anti-Federalists—
The Bill of Rights (Table 2.3)—
Toward Reform: Methods of Amending the Constitution
why the Framers created a slow method of amending the Constitution—
Formal Methods of Amending the Constitution
Article V—
two-stage amendment process—
Methods of Amending the Constitution (Figure 2.2)—
The Living Constitution: Article V—
amendment method that has never been used—
ratification process—
ratifying convention—
Eighteenth and Twenty-First Amendments—
intensity of efforts to amend the Constitution—
proposed equal rights amendment—
proposed flag-burning amendment—
Politics Now: Politics and the Flag—
25
Informal Methods of Amending the Constitution
judicial interpretation—
Marbury v. Madison (1803)—
“a constitutional convention in continuous session”—
criticisms of judicial review—
original intent—
social and cultural change—
evolution of Constitution to accommodate change—
changes in the way institutions of government act—
Great Depression and the New Deal—
1) Examine the Articles of Confederation and pose an argument that they were not
inherently flawed and should have been maintained as the American form of government.
Examine some of the arguments by conservatives today who endorse a further
downsizing of the federal government and the return of many federal powers back to the
states. How do these arguments compare to the Articles of Confederation?
2) Those who believe in a literal interpretation of the Constitution look to documents such
as the Federalist Papers to determine the original intent of the Framers. Research the
historical and political importance of the Federalist Papers with regard to the
interpretation of the Constitution. Do Hamilton, Madison and Jay in the Federalist
Papers provide a complete and sound explanation of the Framers' thinking in writing the
Constitution or were the Federalist Papers a polemic written to sell the new constitution
to a skeptical public?
3) The text gives a few examples of how the Constitution has changed due to interpretations
by the judiciary and others. Explore other ways in which the Constitution has changed or
will soon change.
4) The presidential candidates in 2008 had very different methods of interpreting the
Constitution. Republican John McCain favored an original intent interpretation while it
was Democrat Barack Obama's belief that the framers of the Constitution purposefully
left it somewhat vague so that it could be interpreted in light of changing times in the
country's history. How does the president's interpretation of the Constitution act as an
informal method of interpretation of the Constitution and how do you expect the new
president's approach will change the meaning and understanding of the Constitution in
his administration?
26
Web Sites
Cornell University site offers the complete text of the Constitution. Many terms are hyperlinked
and cross-referenced to other key issues.
http://www.law.cornell.edu/constitution/constitution.table.html
The U.S. Constitution Online offers many documents, including the Articles of Confederation,
Declaration of Independence, the Constitution, and many other links.
http://www.usconstitution.net
Search and download the text of the Federalist Papers from The Avalon Project at Yale Law
School.
http://avalon.law.yale.edu/subject_menus/fed.asp
Turn to GradeSaver’s Classic Notes for background on Alexander Hamilton, James Madison,
and John Jay, as well as summaries and analysis of The Federalist Papers.
http://www.gradesaver.com/ClassicNotes/Titles/federalist/
The Manuscript Division of the Library of Congress offers a wide variety of documents from
the fifteenth to twentieth centuries on American history.
http://lcweb2.loc.gov/ammem/mcchtml/corhome.html
The National Archives offers a thorough explanation of the constitutional amendment process
as well as several useful links to Constitutional Amendment Information in their Treasures of
Congress Exhibit.
http://www.archives.gov/federal-register/constitution/
National Museum of American History offers timelines, virtual exhibits, music, and other
information from American history.
http://www.americanhistory.si.edu/
The University of Missouri-Kansas City hosts a Web site examining constitutional conflicts.
http://www.law.umkc.edu/faculty/projects/ftrials/conlaw/righttomarry.htm
Practice Tests

27
1) Patrick Henry and Samuel Adams were among the leaders of the
A) Sons of Liberty.
B) Stamp Act Congress.
C) Philadelphia Parliament.
D) Continental Congress.
E) Virginia House of Burgesses.
2) The Boston Tea Party was a

A) celebration conducted after the Boston Red Sox won the World Series.
B) colonial response to the Intolerable Acts.
C) response to the Tea Act, which lowered the price of tea for loyalists in the Southern
states.
D) response to the Tea Act, which penalized many colonial merchants.
E) meeting of reconciliation between the crown and colonial leaders.
3) To facilitate the flow of information among the colonies about developments with the British,
the colonists created the
A) Sons of Liberty.
B) Committees of Correspondence.
C) Continental Congress.
D) Stamp Act Congress.
E) "Thomas Paine" society.
4) The First Continental Congress expressed opposition to which of the following?

A) the Virginia House of Burgesses
B) the Coercive Acts
C) the Boston Tea Party
D) Shays’s Rebellion
E) None of the above
5) At what 1774 meeting did representatives adopt a resolution opposing the Coercive Acts?
A) Stamp Act Congress
B) First Continental Congress
C) Second Continental Congress
D) Committees of Correspondence
E) Boston Tea Party
6) Common Sense was Thomas Paine's attempt to

A) persuade the king as to why the colonists should have greater rights.
B) inform Parliament why the various Acts were being opposed in the Colonies.
C) persuade the colonists to support the acts of Parliament.
D) persuade the colonists to engage in civil disobedience.
E) persuade the colonists towards independence from Britain.
7) Fighting in the American Revolution broke out in the battle at

A) Saratoga, New York.
B) Trenton, New Jersey.
28
C) Lexington and Concord, Massachusetts.
D) New York, New York.
E) Yorktown, Virginia.
8) Who commissioned a committee of five people to draft the Declaration of Independence?

A) the British Parliament
B) the First Continental Congress
C) the Second Continental Congress
D) Congress under the Articles of Confederation
E) Congress under the Constitution
9) The Articles of Confederation contained provisions for all of the following EXCEPT:
A) A national government with a Congress empowered to make peace, coin money, appoint
officers for an army, control the post office, and negotiate with Indian tribes.
B) Each state maintained its independence and sovereign right to govern within its
territories.
C) One vote in the Continental Congress for each state, regardless of size.
D) The vote of nine states to pass any measure; a unanimous vote for any amendment.
E) The creation of a national judicial system to adjudicate disputes that arose between two
states.
10) Under the Articles of Confederation, the judicial branch was

A) the workhorse of the federal government.
B) nonexistent.
C) quite strong.
D) dominated by Torries.
E) responsible for enacting all laws.
11) What was the biggest weakness of the Articles of Confederation?

A) lack of a national court in which British loyalists could sue Americans
B) an overly powerful Congress and an anemic president
C) the inability to maintain low taxes
D) lack of a strong national government
E) citizens trusted the national government more than the state governments
12) The significance of Shays's rebellion is that it

A) forced the banks to foreclose on delinquent farmsteads.
B) forced the banks to foreclose on delinquent merchants.
C) prevented Massachusetts from joining the Articles of Confederation.
D) established the principle of "no taxation without representation."
E) convinced the colonists that the Articles of Confederation were too weak.
13) In 1787, a Constitutional Convention was called for the purpose of

A) elevating George Washington to president.
B) revising the Articles of Confederation.
29
C) writing a new constitution.
D) adding states to the new nation.
E) resolving trade disputes among the states.
14) What was the Three-Fifths Compromise?

A) A three-fifths majority would be necessary to amend the constitution.
B) A three-fifths majority would be necessary to appoint members of the Supreme Court.
C) Three states would be "slave states," five states would be "free states," and the remaining
states would be able to decide their own fate after 1820.
D) Each slave would count as three-fifths of one person for purposes of representation in the
House.
E) An agreement reached by three-fifths of the states to revoke the Articles of Confederation
and install the Constitution.
15) Why did the Framers create the Electoral College?

A) to prevent partisan bickering about who would be president
B) because they didn’t trust the masses to elect the president directly
C) so that ordinary Americans could influence the selection of the president
D) to placate the British Parliament
E) to ensure that the public could fully vet all presidential and vice-presidential candidates
16) In drafting the Constitution, problems concerning the executive branch were ironed out by
A) the Committee on Unfinished Portions.
B) a joint taskforce comprised of members from the House and Senate.
C) Alexander Hamilton, James Madison, and John Jay.
D) the First Congress.
E) a duel just outside the doors of Independence Hall.
17) The sole responsibility to try a president or vice president on charges of "treason, bribery, or
other high crimes and misdemeanors" constitutionally falls to the
A) House of Representatives.
B) state legislatures.
C) Supreme Court.
D) federal court system.
E) Senate.
18) Which of the following is an executive branch check on the legislative branch?
A) declaring executive branch actions unconstitutional
B) changing the number of federal courts
C) changing the jurisdiction of federal courts
D) refusing to implement judicial branch decisions
E) calling Congress into special session
19) The power to regulate environmental standards comes from Congress's authority
A) under the necessary and proper clause.
B) as enumerated in the Constitution.
30
C) to approve presidential appointments.
D) under the power to tax clause.
E) none of the above
20) Article I, Section 8, sought to redress a failing of the Articles of Confederation by

enumerating which of the following Congressional powers?
A) the power to regulate some commerce
B) the power to ratify treaties
C) the power to issue executive orders
D) the power to command the armed forces
E) the authority to appoint ambassadors
1) Following the French and Indian War, the colonists and Great Britain eagerly encouraged
further westward expansion.
2) In 1772, Committees of Correspondence were established to keep the colonists informed

about developments with the British.
3) Thomas Paine’s Common Sense was instrumental in arousing colonists’ support for the new
Constitution.
4) Weaknesses of the Articles of Confederation included the inability to pay war debts, to
collect taxes, and to conduct general business.
5) Smaller states tended to prefer the New Jersey Plan.
6) The Constitution says that slaves were to be counted as three-fifths of a person for the
purpose of determining how many seats each state would have in the House of
Representatives.
7) The phrase “we the people” is found prominently in the Declaration of Independence.
8) The executive branch is described in Article II of the Constitution.
9) A clause in the Constitution would prohibit Arnold Schwarzenegger from becoming

president.
10) The Federalists tended to draw support from small farmers, shopkeepers, and laborers.
1) What is mercantilism and how did it affect the American colonies?
2) What influence did Thomas Paine and John Locke have on the Declaration of Independence?
3) Why was the national government under the Articles of Confederation so weak?
31
4) Why is the drafting of the Constitution sometimes called the “Miracle at Philadelphia”?
5) Discuss how representation was addressed at the Constitutional Convention.
6) How did the writings of Montesquieu influence the Constitution?
7) What are the differences between the enumerated and implied powers of the federal
government?
8) Describe the various legislative checks on the judicial branch.
9) What is the formal process for amending the Constitution? Why did the Framers design the
process this way?
10) What were The Federalist Papers? Include a discussion of Federalist Papers #10 and #51.
32
CHAPTER 3
FEDERALISM
During and following the Katrina disaster in 2005, Americans witnessed a vivid example of the
sometimes testy relationship between the national government and the states. Was the federal
government responsible for the inadequate response, were the impacted states responsible, or
was it a combination of both? Subsequently, the hurricane disaster response by the federal
government in the impacted Gulf Coast states following landfall of Gustav and Ike in 2008
demonstrated the fluid nature of the level of cooperation and struggle between the states and the
federal government.
Given the problems the colonists had with arbitrary English rule, early Americans
understandably distrusted a strong, central government and its powers. When framing their own
government, they reasoned it necessary to divide power as much as possible to prevent tyranny.
They accomplished this horizontally via the separation of powers and checks and balances with
the three branches of government divided and sharing powers. They also accomplished this
vertically through federalism, a system in which the national government and the states share
powers. Because of these two basic divisions of power, according to James Madison in
Federalist No. 51, “a double security arises to the rights of the people.” The Founders concluded
that the national government needed more power than it was allotted under the Articles of
Confederation, but the Framers never intended to gut the powers of the states. Instead, they
intended to divide powers so that no one branch or level of government got too powerful. The
rest of U.S. history and politics has included battles over the way in which the Constitution
divvies up these powers, what the vaguely worded passages mean, and the constantly shifting
relationship between the national and state governments. From the ratification of the Tenth
Amendment to McCulloch v. Maryland, the Civil War to the New Deal, the Reagan Revolution
to the Contract with America, as well as from the expansion of the federal government to deal
with terrorism through to the Katrina fiasco, the tug of war between the federal government and
the states continues unabated into the 21st Century.
This chapter is designed to introduce you to our system of federalism. The main topic headings
of the chapter are:
• Roots of the Federal System and the Constitutional Allocation of Governmental

Powers
• Federalism and the Marshall Court
• Dual Federalism: The Taney Court, Slavery, and the Civil War
• Cooperative Federalism: The New Deal and the Growth of National Government
• New Federalism: Returning Power to the States
• Toward Reform: A new Judicial Federalism?
33
following:
• the roots of the federal system and how governmental powers are allocated under
the Constitution
• how the Marshall Court defined federalism
• dual federalism before and after the Civil War
• cooperative federalism and the growth of national government
• the movement toward returning power to the states under new federalism
• how the Rehnquist and Roberts Courts have redefined the boundaries of
federalism
the response of the federal and state governments to Hurricane Katrina—

white house authorized the Federal Emergency Management Agency (FEMA) “ to identify,
mobilize, and provide at its discretion, equipment and resources necessary to alleviate the
impacts of the emergency.
FEMA— Federal Emergency Management Agency
failures of intergovernmental communications—

Louisiana National Guard asked FEMA for 700 buses to evacuate; FEMA sent 100. 8/29
Category 3 storm, thousands of citizens forced to refuge in the Superdome and convention
center. Many residents stranded in their homes, some on their rooftops. Large proportion of
New Orleans police failed to show up for work and Mayor Nagin and Governor Blanco seemed
unable to agree on strategies to deal with the disaster. Both pleaded for federal assistance, but
pleas fell on deaf ears. Various levels of government appeared either paralyzed or unaware of
the disaster in Louisiana and other coastal areas. Agent Bahamonde, who sent increasingly
desperate e-mails back to the FEMA director using Blackberry, from Superdome-assistance did
not come quickly. 9/1 New Orleans Homeland Security Director Terry Ebbert addressed
situation-Mayor Nagin sent out an SOS to FEMA and was told by FEMA Director Brown that
Brown had heard “no reports of unrest.” With many local and state employees without homes or
ways to get to work, and with nearly all forms of communication failing, hundreds died in New
Orleans. The official response made clear that there was no effective coordination between the
local state, and national governments, nor any real agreement as to which level of government
was responsible for what in this tragedy. This breakdown in intergovernmental communications
34
as well as other difficulties in coordination post-Katrina recovery efforts, led local, state, and
national governments to reevaluate their emergency response and disaster relief plans.
efforts by the Framers of the Constitution to distribute power between the federal
and state governments—
The Framers, fearing tyranny, divided powers between the state and the national governments.
At each level, moreover, powers were divide among executive, legislative, and judicial branches.
The people are the ultimate power from which both the national government and the state
governments derive their power.
Number of Governments in the United States (Figure 3.1)—

1 U.S. Government
50 State Government
89,476 Local Governments
3,033 County
19,492 Municipal (City)
16,519 Townships
13,051 School districts
37,387 Special districts
89,527 Total
The Roots of the Federal System and the Constitutional Allocation of Governmental
Powers
federal system—
System of government where the national government and state governments share power,
derive all authority from the people, and the powers of the government are specified in a
Constitution.
unitary system—
System of government where the local and regional governments derive all authority from a
strong national government.
The Federal, Unitary, and Confederate Systems of Government (Figure

3.2)—
Federal System: National government and states derive authority from the people
Unitary System: Local and regional governments derive authority from the national government
Confederate system: National government derives authority from states.
Thinking Globally: Federal and Unitary Systems—
The U.S. Germany, Russia, Nigeria, and Brazil=Federal System
Great Britain, France, China Japan and Iran=Unitary systems of power with authority
concentrated in the central government
Federal states are relatively few in number, they tend to be large and politically important.
National Powers Under the Constitution
enumerated powers—
35
Specific powers granted to Congress under Article I, section 8, of the Constitution; these powers
include taxation, coinage of money, regulation of commerce, and the authority to provide for a
national defense.
necessary and proper clause—

The final Paragraph of Article I, section 8, of the Constitution, which gives Congress the
authority to pass all laws “necessary and proper” to carry out the enumerated powers specified in
the Constitution; also called the elastic clause
implied powers—
Powers derived from enumerated powers and the necessary and proper clause. These powers are
not stated specifically but are considered to be reasonably implied through the exercise of
delegated powers.
federal government right to tax—

clearly set out in the Constitution. Framers wanted to avoid the financial problems that the
national government experienced under the Articles of confederation. Government was to be
strong, its power to raise revenue had to be unquestionable.
Sixteenth Amendment—
Although the new national government had no power under the Constitution to levy a national
income tax, that was changed by the passage of the 16th amendment in 1913.
supremacy clause—
Portion of Article VI of the Constitution mandating that national law is supreme to (that is
supersedes) all other laws passed by the states or by any other subdivision.
State Powers Under the Constitution
powers of the states mentioned in the main text of the Constitution—

Article I allows states to set the “Times, Places and Manner, for holding elections for senators
and representatives.” Article II requires that each state appoint electors to vote for president.
Article IV provides each state a “Republican Form of Government,” meaning one that represents
the citizens of the state.
"Republican Form of Government"—

Article IV provides: meaning one that represents the citizens of the state.
Tenth Amendment—
The final part of the Bill of Rights that defines the basic principle of American federalism in
stating: “The powers not delegated to the United States by the Constitution, nor prohibited by it
to the States, are reserved to the States respectively, or to the people.
reserve or police powers—

Powers reserved to the states by the Tenth Amendment that lie at the foundation of a state’s right
to legislate for the public health and welfare of its citizens.
Concurrent Powers Under the Constitution
36
Distribution of Governmental Powers Under the Constitution (Figure
3.3)—
National Powers (Enumerated powers)
1. Coin Money
2. Conduct foreign relations
3. Regulate commerce with foreign nations and among the states
4. Provide for an army and a navy
5. Declare and conduct war
6. Establish a national court system Make laws necessary and proper to
carry out the foregoing powers
Concurrent Powers
1. Tax
2. Borrow money
3. Establish courts
4. Make and enforce laws
5. Charter banks and corporations
6. Spend money for the general welfare
State Powers (Reserve Powers)
1. Set time, place and manner of elections
2. Ratify amendments to the U.S. Constitution
3. Take measures for public health, safety and morals
4. Exert powers the Constitutions does not delegate to the national
government or prohibit the states from using
5. Establish local governments
6. Regulate commerce within a state
concurrent powers—
Authority possessed by both the state and national governments that may be
exercised concurrently as long as that power is not exclusively within the scope of
national power or in conflict with national law.
Powers Denied Under the Constitution
powers denied Congress under Article I—

Framers’ desire to forge a national economy, states are prohibited from entering treaties, coining
money, or impairing obligation of contracts-States also are prohibited from entering into
compacts with other states without express congressional approval-Congress is barred from
favoring one state over another in regulating commerce, and it cannot lay duties on items
exported from any state.
forging a national economy—

states are prohibited from entering treaties, coining money, or impairing obligation of contracts
contracts, compacts, commerce, and duties—

states also prohibited from entering without express congressional approval
bill of attainder—
A law declaring an act illegal without a judicial trial
37
ex post facto laws—
Law that makes an act punishable as a crime even if the action was legal at the time it was
committed
Relations Among the States
resolving disputes among states—

Constitution provides that disputes between states be settled directly by the U.S. supreme court
under its original jurisdiction as mandated by Article III of the Constitution.
full faith and credit clause—

Section of Article IV of the Constitution that ensures judicial decrees and contracts made in one
state will be binding and enforceable in any other state.
1997 Supreme Court case on full faith and credit (see, The Living
Constitution: Article IV, Section 1)—
Full faith and credit shall be given in each state to the public acts, records, and judicial
proceeding of every other state. And the congress may by general laws prescribe the manner in
which such acts, records and proceedings shall be proved and the effect thereof. In 1997 the
supreme court ruled that the full faith and credit clause mandates that state courts always honor
the judgments of other state courts, even if to do so is against state public policy or existing state
laws.
privileges and immunities clause—

Part of Article IV of the Constitution guaranteeing that the citizens of each state are afforded the
same rights as citizens of all other states.
extradition clause—
Part of Article IV of the Constitution that requires states to extradite, or return criminals to states
where they have been convicted or are to stand trial.
interstate compacts—
Contracts between states that carry the force of law; generally now used as a tool to address
multi-state policy concerns.
Drivers License Compact—

Signed by all fifty states to facilitate nationwide recognition of licenses issued on the respective
states
Compacts by the Numbers (Table 3.1)—

Interstate compacts with 25 or more members 13
Least compact memberships by a state (HI & WI) 14
Most compact memberships by a state (NH & VA) 42
Average compact memberships by a state 27
Compacts developed prior to 1920 36
Compacts developed since 1920 150+
Interstate compacts currently in operation 200+
38
Relations within the States: Local Governments
the Constitution and local governments—

Constitution gives local governments, including counties, municipalities, townships and school
districts, no independent standing-Their authority is not granted directly by the people but
through state governments, which establish or charter administrative subdivisions to execute the
duties of the state government on a smaller scale
Federalism and the Marshall Court
importance of U.S. Supreme Court rulings on the nature of federalism—

Supreme Court has played a major role in defining the federal system because the distribution of
power between the national and state governments is not clearly delineated in the Constitution
John Marshall—1801-1835
Carved out an important role for the court in defining the balance of power between the national
government and the sates
McCulloch v. Maryland (1819)
McCulloch v. Maryland—
The supreme court upheld the power of the national government and denied the right of a state to
tax the federal bank using the Constitution’s supremacy clause. The court’s broad interpretation
of the necessary and proper clause paved the way for later rulings upholding expansive federal
powers.
Chief Justice Marshall’s answers to the two questions raised—

Did Congress have the authority to charter a bank? (Continues to stand as the classic exposition
of the doctrine of implied powers and as a reaffirmation of the authority of a strong national
government.) Constitution enumerates powers that give Congress enumerated powers, Marshall
found it was reasonable to imply that congress had the power to charter a bank, which could be
considered “necessary and proper” to the exercise of its aforementioned enumerated powers. If it
did could a state tax it? The Constitution specifically calls for the national law to be supreme.
Thus, the state tax violated the supremacy clause, because individual states cannot interfere with
the operations of the national government, whose laws are supreme.
necessary and proper clause today—

used to justify federal action in many areas, including social welfare problems-
Gibbons v. Ogden (1824)
Gibbons v. Ogden—
The Supreme Court upheld broad congressional power to regulate interstate commerce. The
Court’s broad interpretation of the constitution’s commerce clause paved the way for later
rulings upholding expansive federal powers.
commerce clause—
39
to justify federal legislation concerning regulation of highways, the stock market, and violence
against women
Dual Federalism: The Taney Court, Slavery, and the Civil War
Roger B. Taney—1835-1863
Strong debate continued over national versus state power-under Roger B. Taney the supreme
court articulated the notions of concurrent power and dual federalism
dual federalism—
The belief that having separate and equally powerful level of government is the best arrangement
and as stated in the tenth amendment, all other powers are, and should be reserved to the states or
to the people
Dred Scott and the Advent of the Civil War
the Taney Court era and the role of the Supreme Court—
the supreme court as the arbiter of competing national and state interests became troublesome
when the justices were called upon to deal with the controversial issue of slavery
Dred Scott v. Sandford (1857)—
the court tried to manage the slavery issue by resolving questions of ownership, the status of
fugitive slaves, and slavery in the new territories
who was Dred Scott?—

Born into slavery around 1795, Dred Scott became the named plaintiff in a case with major
ramifications for the federal system. In 1833, Scott was sold by his original owners, the Blow
family, to Dr. Emerson in St Louis, Missouri. When Emerson died in 1843, Scott tried to buy his
freedom. Before he could however he was transferred to Emerson’s widow, who moved to New
York, leaving Scott in the custody of his first owners, the Blows. Some of the Blows (Henry
Blow later founded the anti-slavery Free Soil Party) and other abolitionists gave money to
support a test case seeking Scott’s freedom. They believed that Scott’s residence with the
Emerson family in Illinois and later in the Wisconsin Territory, which both prohibited slavery,
made Scott a free man. After many delays, the U.S. Supreme Court ruled 7-2 in 1857 that Scott
was not a citizen of the United States. “Slaves,” said the court, “were never thought of or spoken
of except as property.” Despite this ruling, Dred Scott was given his freedom when the Emerson
family permanently returned him to the anti-slavery Blows. He died of tuberculosis les than one
year later.
+
Missouri Compromise—
Ruled that Congress lacked the authority to ban slavery in the territories
The Civil War, Its Aftermath, and the Continuation of Dual Federalism
the Civil War and federalism—

the national government grew in size and power- it also attempted to impose its will on the state
governments
Civil War Amendments—
40
the Thirteenth, Fourteenth and Fifteenth Amendments, collectively know as the Civil War
Amendments-prohibited slavery and granted civil and political rights, including voting rights, to
African Americans
the Supreme Court’s adherence to dual federalism—

to its belief in the concept of dual federalism-in spite of the growth of the national government’s
powers, the importance of the state governments’ powers was not diminished until 1933
Plessy v. Ferguson (1896)—

The court upheld any laws passed under the stats’ police powers, which allow states to pass laws
to protect the general welfare of their citizen- these laws affected commerce, labor relations, and
manufacturing-ruled that state maintenance of “separate but equal”
separate but equal—

facilities for blacks and whites was constitutional, most civil rights and voting cases also became
state matters, in spite of the Civil War Amendments
the Supreme Court and the national government’s ability to regulate commerce—
by the 1930s: states could not tax gasoline used by federal vehicles, and the national government
could not tax the sale of motorcycles to city police departments-by 1880s court allowed congress
to regulate many aspects of economic relationships, such as monopolies, an area of regulation
formerly thought to be in the exclusive realm of the states
Congress works to establish itself as an important player in the growing national
economy—
passage of laws such as the Interstate Commerce Act in 1887 and the Sherman Anti-Trust Act in
1890 allowed
Setting the Stage for a Stronger National Government
Authorized Congress to enact a national income tax
Seventeenth Amendment—
Made senators directly elected by the people; removed their selection from state legislatures
Cooperative Federalism: The New Deal and the Growth of National Government
the end of dual federalism in the 1930s—

while the ratification of the Sixteenth and Seventeenth Amendments set the stage for expanded
national government, the catalyst for dual federalism’s demise was a series of economic events
that ended in the cataclysm of the Great Depression
economic events in the 1920s as catalyst for end of dual federalism—

1. Throughout the 1920s, bank failures were common
2. In 1921, the nation experienced a severe slump in agricultural prices
3. In 1926, the construction industry went into decline
4. In the summer of 1929, inventories of consumer goods and
automobiles were at an all-time high
5. On October 29, 1929, stock prices, which had risen steadily since
1926, crashed, taking with them the entire national economy
41
Presidents Calvin Coolidge and Herbert Hoover—
Took little action, believing that the national depression was an amalgamation of state economic
crises that should be dealt with by state local governments- by 1933 the situation could no longer
be ignored
The New Deal
rampant unemployment and the Great Depression—

(historians estimate it was as high as 40-50 percent) was the hallmark of the Great Depression
Franklin D. Roosevelt—
Proposed a variety of innovative programs, collectively called the “New Deal,” and ushered in a
new era in American Politics
New Deal—
In 1933 to combat sever problems facing the nation, newly elected President Franklin D.
Roosevelt (FDR) proposed a variety of innovative programs, collectively called the “New Deal”
“alphabetocracy”—
series of acts creating new federal agencies and programs proposed by the president. Federal
Housing Administration (FHA) provided federal financing for new home construction; Civilian
Conservation Corps (CCC); a work relief program for farmers and homeowners the Agricultural
Adjustment Administration (AAA); National Recovery Administration (NRA) imposed
restrictions on production in agriculture and many industries while also providing subsidies to
farmers
the New Deal and local governments—

forced all levels of government to work cooperatively with one another-local governments,
mainly in big cities, became a third partner in the federal system as FDR relied on big-city
Democratic political machines to turn out voters to support his programs
the New Deal enlarged the scope of the national government—
those who feared this unprecedented use of national power quickly challenged the
constitutionality of the programs in court
the Supreme Court’s laissez-faire attitude toward the economy—
or hands-off, attitude toward the economy was reflected in a series of decisions ruling various
aspects of New Deal programs unconstitutional
FDR’s Court-packing plan—

FDR and Congress were livid-knowing that he could do little to change the minds of those
already on the court, FDR suggested enlarging its size from nine to thirteen justices-this would
have given him the opportunity to pack the court with a majority of justices predisposed toward
the constitutional validity of the New Deal
Court reverses itself on anti-New Deal decisions—
Court packing not popular-Congress and the public were outraged that he even suggested
tampering with an institution of government-nevertheless the court appeared to respon-in 1937
court reversed its series of anti-New Deal decisions
Court upholds the constitutionality of the most of the New Deal relief
programs—
42
National Labor Relations Act of 1935, which authorized collective bargaining between unions
and employees; Fair Labor Standards Act of 1938, which prohibited the interstate shipment of
goods made by employees earning less than the federally mandated minimum wage; Agricultural
Adjustment Act of 1938, which provided crop subsidies to farmers-
The Changing Nature of Federalism: From Layer Cake to Marble Cake
layer cake metaphor—

Before the Depression and the New Deal most political scientists likened the federal system to a
layer of cake-each level or layer of government-national, state, and local-had clearly defined
powers and responsibilities
marble cake metaphor—
After the New Deal-Wherever you slice through it you reveal an inseparable mixture of
differently colored ingredients…Vertical and diagonal lines almost obliterate the horizontal ones,
and in some places there are unexpected whirls and an imperceptible merging of colors, so that it
is difficult to tell where one ends and the other begins
cooperative federalism—
The interwined relationship between the national, state and local governments that began with
the New Deal
Join the Debate: Federalism and the Environment—
The Environmental Protection Act, passed during Richard M Nixon’s presidency, provided the
federal government with responsibility for protecting the environment. Because pollution is
inherently interstate, there is good reason to defer to the federal government for environmental
protection. The Interstate Commerce Clause of the Constitution provides the legal foundation
for the federal government to play the dominant role in this arena. But, should this prevent states
from regarding federal standards as minimum requirements and going further if they are so
inclined? And, what if sttae officials are convinced that the federal government is not fulfilling
its responsibilities? Should federal standards act as a floor or a ceilng for state laws?
changing nature of federalism between the New Deal and the 1990s—
tremendous growth in these programs, and in federal government spending in general changed
the nature and discussion of federalism from “How much power should the national government
have?” to “How much say in the policies of the states can the national government buy?”
the 1970s energy crisis and the national 55-mph speed limit—
the national government initially imposed a national 55 mph speed limit on the states
Federal Grants and National Efforts to Influence the States
Congress and Revolutionary War debt payments—

As early as 1790, Congress appropriated funds for the states to pay debts incurred during the
Revolutionary War
Morrill Land Grant Act of 1862—
Commentators believe the start of redistribution of funds began-act gave each state 30,000 acres
of land for each representative in Congress-income from the sale of these lands was to be
earmarked for the establishment and support of agricultural and mechanical arts colleges-69 land
grant colleges-i.e. Texas A&M University, the University of Georgia, and Michigan State
University-were founded or significantly assisted by the federal funds
FDR and federal dollars to the states—
New Deal program increased the flow of federal dollars to the states with infusion of massive
federal dollars for a variety of public works programs, including building and road construction
43
federal grant-in-aid programs—
In the boom times of WWII even more new federal programs were introduced-by 1950s and
1960s well entrenched
categorical grants—
Grants that allocated federal funds to states for specific purpose
Lyndon B. Johnson—
1964 the democratic administration launched its “Great Society” program
the Great Society—
what LBJ called a “War on Poverty”-
“War on Poverty”—
attempt to combat poverty and discrimination
control of programs shift toward Washington—

federal funds were channeled to states, to local governments and even directly to citizen action
groups in an effort to alleviate social ills that the states had been unable or unwilling to remedy.
Money was allocated for urban renewal, education, and poverty programs, i.e. Head start and job
training. These programs often pitted governors and mayors against community activists, who
became key players in the distribution of federal dollars(mayors and councils given money
directly, some perceived as disinclined to help their poor, often African Americans)
New Federalism: Returning Power to the States
New Federalism—
Federal-state relationship proposed by Reagan administration during the 1980s, hallmark is
returning administrative powers to the state governments
shrinking the size of the federal government—
President and Congress took steps to shrink the size of the federal government in favor of
programs administered by state governments- President Clinton a Democrat lauded the demise of
big government-Republican candidate Bush in 2001 seemed committed to this devolution-
9/11/01 terrorist attacks, however, led to substantial growth in the power and scope of federal
government
The Reagan Revolution
Republican “Reagan Revolution”—

Had its hear strong views about the role of states in the federal system
arguments for federal grants—
many Democrats and liberal interest groups argued that federal grants were an effective way to
raise the level of services provided to the poor
Reagan attacks federal grants—
Attacked them as imposing national priorities on the states-in part to curtail federal spending
massive cuts in domestic programs—
Reagan immediately proposed as well s drastic income tax cuts
dramatic alteration of federal-state-local government relationship—
declining federal revenues dramatically altered
block grants—
Broad grant with few strings attached; given to states by the federal government for general
categories of activities, such as secondary education or health services
four categories of block grants as of 1993—
health, income security, education, or transportation
The Devolution Revolution
44
Contract with America—
A campaign document proposed by then House Minority Whip Newt Gingrich (R-GA)-
Republican candidates pledged to force a national debate on the role of the national government
in regard to the states-a top priority was scaling back the federal government, an effort that some
commentators called the devolution revolution
Newt Gingrich—
Proposed Contract with America in 1994
“devolution revolution”—
Republican candidates pledged to force a national debate on the role of the national government
in regard to the states-a top priority was scaling back the federal government, an effort that some
commentators called the devolution revolution. Though some of the Contract’s proposals
became law, most of its goals remained unfulfilled.
Republican control of House in 104th Congress—

Running under a clear set of priorities contained in the Contract, Republican candidates took
back the House of Res for the first time in more than forty years-a majority of the legislative
proposals based on the Contract passed the House of Reps during the first one hundred days
unfunded mandates—
National laws that direct state or local governments to comply with federal rules or regulations
(such as clean air or water standards) but contain little or no federal funding to defray the cost of
meeting these requirements
Unfunded Mandates Reform Act of 1995
Absorbed 30% of some local budgets-Republicans in Congress, loyal to the concerns of these
governments, secured passage of the Unfunded Mandates Reform Act of 1995-this act prevented
Congress from passing costly federal programs without debate on ho to fund them and addressed
a primary concern for state governments
Personal Responsibility and Work Opportunity Reconciliation Act of 1996—
This legislation replaced the existing welfare program, known as Aid to Families with Dependent
Children (AFDC), with a program know as Temporary Assistance for Needy Families (TANF),
TANF returned much of the administrative power for welfare programs to the states and became
a hallmark of the devolution revolution
fiscal and economic results of these programs in the short run—
coupled with a growing economy, produced record federal and state budget surpluses
Federalism Under the Bush Administration
George W. Bush—
Made it clear that he would follow in the tradition of former Republican President Ronald
Reagan in moving to return power to the states
state budget shortfalls—
of more than $30 billion
federal budget deficit—
by November 2007 it struggled with a record $9.1 trillion debt
sources of the federal deficit—
with the wars in Iraq and Afghanistan estimated to cost each American as much as $8,000
“No Child Left Behind”—

viewed by many as an unprecedented usurpation of state and local powers
preemption—
45
A concept derived from the Constitution’s supremacy clause that allows the national government
to override or preempt state of local actions in certain areas
Politics Now: No Child Left Behind—
Test scores are stagnate despite-schools are being labeled as “failing” because administrators are
having a hard time meeting requirements under the federal act, school officials said-the lack of
federal funding hinders districts in improving low-scoring areas-“If the federal government fully
funded programs they mandate, then we could close the gap-get in touch with legislators and
local politicians”
Toward Reform: A New Judicial Federalism?
role of the U.S. Supreme Court in defining federalism—

in determining the parameters of federalism cannot be underestimated
Supreme Court and federalism in the 1930s—
Although congress passed sweeping New Deal legislation, it was not until the Supreme court
finally reversed itself and found those programs constitutional that any real change occurred in
the federal-state relationship
Supreme Court and federalism from the New Deal until the 1980s—
was to expand the national government’s authority at the expense of the states
"a new kind of judicial federalism"—

According to Cuomo(Mario M. Cuome, a former Democratic N.Y. governor) has referred to the
decisions of what he called the Reagan-Bush Court as creating-, this new federalism could be
characterized by the Court’s withdrawal of “rights and emphases previously thought to be
national.”
Webster v. Reproductive Health Services (1989), illustrative of trend—
The court first gave new latitude-and even encouragement-to the states to fashion more
restrictive abortion laws- the Court and the authority of states to limit abortion—
consistently has upheld the authority of the individual states to limit a minor’s access to abortion
through imposition of parental consent or notification laws
Analyzing Visuals: State-by-State Report Card on Access to Abortion—
since Webster, most states have enacted new restrictions on abortion, with parental consent,
informed consent or waiting periods, or bans on late-term or “partial birth abortions being the
most common
Stenberg v. Carhart (2000) and 2006 Roberts Court unanimous decision—

The supreme court under Chief Justice William H Rehnquist ruled that a state law limiting
“partial birth” abortions without any provision to save a woman’s health was unconstitutional-in
2006 a unanimous Roberts Court ruled that states seeking to restrict minors’ access to abortion
must allow for some exceptions for medical emergencies
2007 unanimous Roberts Court ruling on Partial Birth Abortion Act—
upheld the constitutionality of the federal Partial Birth Abortion Act, the provisions of which
were nearly identical to those struck down in Stenberg revealing the Court’s continued
preference to defer to the states when abortion is involved
the Court has decided several major cases on the nature of the federal system
since 1989—
the Supreme Court has also decided numerous cases in other issue areas related to federalism
U.S. v. Lopez (1995)—
To 2005, especially, the Rehnquist Court made a number of closely divided decisions related to
the balance of power between the federal and state governments-ex. In U.S. v. Lopes (1995),
46
which involved the conviction of a student charged with carrying a concealed handgun onto
school property, a five-person majority of the Court ruled that Congress lacked constitutional
authority under the commerce clause to regulate guns within 1,000 feet of a school. The
majority concluded that local gun control laws, even those involving schools, were a state, not a
federal, matter.
sovereign immunity—
The right of a state to be free from a lawsuit unless it gives permission to the suit. Under the
Eleventh Amendment, all states are considered sovereign.
1997 Supreme Court cases on tradition state issues—zoning and local law
enforcement—
In one, a majority of the Court ruled that sections of Religious freedom Restoration Act were
unconstitutional because Congress lacked the authority to meddle in local zoning regulation,
even if a church was involved- Another 5-4 majority ruled that Congress lacked the authority to
require local law enforcement officials to conduct background checks on handgun purchasers
until the federal government was able to implement a national system
Violence Against Women Act of 1994 and the Supreme Court—
In 1990, Congress passed the Jeanne Cleary Disclosure of Campus Security Policy and Campus
Crime Statistics Act, which requires campuses to report all incidences of violence to students, to
the community and the U.S. Department of Educations-In 2000, the court ruled that Congress
had exceeded its powers in enacting some provisions of the Violence Against Women Act
Ideas Into Action: Violence on Campus—
Violence is not a new trend on college campuses, but only recently has it been under the public
eye…in 1990…One issue that hinders crime prevention is the coordination of federal, state,
local, and campus officials-mass shooting in 2007, it was revealed that the student gunman had
been deemed mentally ill by sate courts and that multiple complaints from fellow students had
led to psychological counseling-info not shared with administration & students not warned,
could have prevented tragedy-In response to wake-up call caused by shooting many universities
reevaluated their crime prevention and emergency preparedness programs-colleges using test
message alerts for emergencies.
Rehnquist Court and sovereignty of states—

As New York Times Supreme Court reporter Linda Greenhouse once noted, “a hallmark of
Rehnquist Court [was] a re-examination of the country’s most basic constitutional arrangements,
resulting in decisions that demanded a new respect for constitutional arrangements, resulting in
decisions that demanded a new respect for the sovereignty of the states and placed corresponding
restrictions on the powers of congress
The Rehnquist and Roberts Courts and Federalism (Figure 3.4)—
Decisions for States’ Rights How They Voted Decisions for Federal Powers
FOR STATES’ RIGHTS FOR FEDERAL POWERS
1995: United States v. Lopez Rehnquist, O’Connor, Kennedy, Breyer, Ginsburg, Souter,
Strikes down the Gun Free Scalia, Thomas Stevens
School Zones Act
1997: Printz v United States R,O,K,SC,T

Local sheriffs cannot be required B,G,SO,ST
to conduct background checks
under the Brady gun control
2000: United States v Morrison

Strikes down a central portion of
the Violence Against Women Act R,O,K,SC,T
B,G,SO,ST
2001: University of Alabama v.
Garret Gives states immunity
from suit by employees under the
47
Americans with Disabilities Act
R,O,K,SC,T
B,G,SO,ST
K,SC,T
B,G,SO,ST,O,R
2003: Nevada v. Hibbs Upholds
ability of state employees to sue
under Family and Medical Leave
Act (rejects immunity)
R,K,SC,TH 2004: Tennessee v. Lane Upholds

B,G,SO,ST,O application of the Americans with
Disabilities Act to state
courthouses (rejects state
immunity).
2005: Gonzales v. Raich Upholds

power of Congress to ban and
prosecute the possession and use
R,SC,TH of marijuana for medical
B,G,SO,ST,K,SC purposes, even in states that
2006: Gonzales v. Oregon The permit it.
Department of Justice does not
have the right to block physician-
assisted suicides
B,G,K,O,SO,ST
ROBERTS,SC,TH
2006: U.S. v. Georgia Upholds

application of the Americans with
Disabilities Act to state-run
prison conditions (rejects state
immunity).
O,K,SC,T, ST,B,G,SO,R
2007:Gonzales v. Carhart The
U.S. Congress has the right to ban
certain abortion procedure.
B,G,SO,ST K,SC,T,R, Alito
mixed signals from the Rehnquist and Roberts Courts on federalism

(medical marijuana and state law; FMLA and the states; assisted suicide
and state law; state immunity under 11th Amendment)—
In a case opening states to lawsuits for alleged violations of the federal Family and Medical
Leave Act (FMLA), Chief Justice William H Rehnquist rejected Nevada’s claim that it was
immune from suit under FMLA. The Roberts Court’s first decision involving federalism
supported state power by limiting the federal government’s right to block Oregon’s physician
assisted suicide law.
U.S. v. Georgia (2006)—

Court’s unanimous decision supported federal authority by ruling that Congress had the power to
interfere with state powers in situations where violations of the 8th Amendment were alleged.
Roberts Court and future questions of federalism—
48
The extent to which will ultimately throw its support to national or to state authority in our
federal system remains to be seen-the Court is clearly in a strong positions to arbitrate the
contentious balance of power
1) Read the Federalist Papers on the topic of federalism. Note down the important features
of federalism and its intent. Next, do some research on federalism today. How well does
what you see today conform to the “intent of the Founding Fathers”? In a paper, discuss
your conclusions and why you think federalism today is similar to or different from what
was envisioned in 1787.
2) Examine the role of the U.S. Supreme Court regarding federalism prior to the New Deal,
during and after the New Deal, and in the current era of New Federalism. What have
been some of the factors affecting the Court, internally and externally during these
periods? Is the Court returning to the pre-New Deal approach it took toward federalism?
Do you, based upon your research, believe this is a good or problematic development?
3) What do you think are the most important federal issues today and why? Some
possibilities include “full faith and credit” (particularly regarding same-sex marriages),
the use of the “commerce clause,” reproductive rights, term limits, child support issues,
and others. Determine what federalism issues are present on the docket of the current
United States Supreme Court docket and discuss what impact the Court may make on the
definition of the federal-state relationship.
4) The response to Hurricane Katrina and its aftermath in the late summer of 2005
dramatically brought to the nation’s attention some of the more prominent problems of
federalism and how we respond to a disaster, whether it be a natural disaster, as in the
case of a hurricane, or a man-made disaster, as in the case of any number of terrorism
scenarios. What were some of the problems that became apparent during Katrina and
afterward? What structural, political and administrative dynamics led to the failures?
What has been done to correct the problems as evidenced by the response of the federal
government and the states with regard to Hurricane Gustav and Ike in 2008?
Web Sites
National Council of State Legislators site offers analysis and information on intergovernmental
relations.
http://www.ncsl.org/statefed/afipolcy.htm
NGA Federal Relations page, sponsored by the National Governors' Associations examines
state-focused problems and provides information on state innovations and practices in how states
can best work with the federal government to achieve necessary goals for the citizens of the
states. The Web site has stories and articles of interest on the states and provides links to similar
issues and organizations.
http://www.nga.org/portal/site/nga/menuitem.67948e4cf7b28b7ae8ebb856a11010a0/?
vgnextoid=455c8aaa2ebbff00VgnVCM1000001a01010aRCRD
49
The U.S. Department of Health and Human Services manages a Web site titled
GRANTS.GOV to help individuals find and apply for federal grants.
http://www.grants.gov
Publius: The Journal of Federalism. Publius, sponsored by the Section on Federalism and
Intergovernmental Relations of the American Political Science Association, offers academic
articles on federal issues in the United States and abroad. The journal publishes special issues on
the state of federalism in the U.S.
http://publius.oxfordjournals.org
The Brookings Institution, a moderate-to-liberal think-tank in Washington, provides free access

to a recent policy paper: “Rediscovering Federalism”
http://www.brookings.edu/papers/2007/07governance_nivola.aspx
American Enterprise Institute, a conservative think-tank, conducts the Federalism Project,

which “explores opportunities to restore real federalism—that is, a federalism that limits the
national government's power and competes for their citizens' assets, talents, and business.”
http://www.federalismproject.org/
The Urban Institute, a “non-profit policy research organization established in Washington D.C.
in 1968” has prepared a number of articles and reports relating to federalism under the heading
“Assessing the New Federalism.”
http://www.urban.org/content/Research/NewFederalism/AboutANF/AboutANF.htm
The Constitution Society provides links and access to a wide range of material on federalism.
http://www.constitution.org/cs_feder.htm
The Community Rights Counsel (CRC), a non-profit, public interest law firm based in
Washington, D.C. and formed to provide assistance to state and local government attorneys in
defending land use laws and environmental protections. Their Web site, Redefining
Federalism, offers their position about how the Supreme Court is protecting federalism too little
or too much “in striking down federal law where even the states recognize that a federal role is
necessary to address a national problem. Too little, in inappropriately limiting state
experimentation.”
http://www.redefiningfederalism.org/intro.asp
Practice Tests
1) In a federal system, power is distributed

A) among the local governments of America.
B) among the state governments.
C) within the national government.
D) within the state governments.
E) between national and state governments.
50
2) Which of the following is a concurrent power?
A) taxation
B) coining money
C) establishing federal courts
D) regulating commerce within a state
E) conducting war
3) Under the Constitution, governments are prohibited from passing

A) economic regulations.
B) writs of habeas corpus.
C) ex post facto laws.
D) revenue measures.
E) block grants.
4) What question of state authority did the court address in McCulloch v. Maryland?
A) The state's ability to operate their own state bank independently of the national bank.
B) The state's ability to operate the national bank concurrently with the federal government.
C) The state's ability to place a tax on the national bank.
D) The state's ability to appoint managers to the national bank.
E) The state's ability to forbid the operation of a national bank within its borders.
5) The Gibbons case arose out of a dispute between NY and NJ over control of what river?
A) Hudson
B) Mohawk
C) Susquehanna
D) Potomac
E) Penobscot
6) "The power to tax is the power to destroy" comes from

A) Alexander Hamilton's essay in The Federalist Papers.
B) Thomas Paine's The Crisis.
C) John Marshall's opinion in McCullough v. Maryland.
D) John Marshall's opinion in Gibbons v. Ogden.
E) James Madison's essay in The Federalist Papers.
7) The belief that having separate and equally powerful levels of government is the best
arrangement is called
A) the full faith and credit doctrine.
B) the doctrine of implied powers.
C) confederation.
D) dual federalism.
E) the emancipation doctrine.
8) The Sixteenth Amendment made the ________ possible.

A) national sales tax
51
B) national import tax
C) state sales tax
D) state property tax
E) national income tax
9) The Supreme Court had initially overturned a series of New Deal programs. However, in
1937 it reversed course and permitted most New Deal programs to stand. What precipitated
this reversal?
A) the improving economic conditions
B) the increased participation of city government in federal affairs
C) the imminent threat of war with Germany and Japan
D) the Roosevelt court-packing plan
E) the success of the Great Society program
10) What type of federalism is metaphorically referred to as “marble cake” federalism?

A) cooperative federalism
B) competitive federalism
C) mixed federalism
D) subterranean federalism
E) dual federalism
11) Which of the following agreements is most likely to be made by someone who favors
increased federal government dominance in environmental protection?
A) Environmental protection is not always a priority for Congress and the president.
B) States should be able to establish stricter environmental standards than the federal
government mandates.
C) Each state should be able to decide the importance its residents place on environmental
protection.
D) It is too much burden for businesses to meet a host of different standards established by
different states.
E) Pollution is fundamentally a local problem.
12) Which president pioneered the use of grants to achieve federal government goals?
A) FDR
B) LBJ
C) Carter
D) Nixon
E) Reagan
13) After the New Deal, the next major effort to use significant national government resources to
remedy societal problems was
A) Harry S. Truman's "War for the Middle Class."
B) Dwight Eisenhower's "Master Plan."
C) John F. Kennedy's "Ask What Your Country Can Do For You" initiative.
D) Lyndon B. Johnson's "Great Society" program.
E) Jimmy Carter's "Compassionate Country" program.
52
14) What did Ronald Reagan have in mind when he advocated for New Federalism?
A) The national government should return power to the states.
B) The national government should expand its powers by aggressively using the commerce
clause.
C) The national government should regulate economic conditions, but state governments
should determine social policies.
D) States should shoulder a greater burden of paying for Congressional mandates.
E) A return to the relationship between the national government and the state governments
that existed during the Great Society program.
15) The September 11, 2001 terrorist attacks have had what impact on federal power?
A) Federal power has declined.
B) Federal power increased at first, but declined substantially in subsequent years.
C) Federal power has stopped.
D) The attacks had no noticeable impact on federal power.
E) Federal power has increased.
16) Newt Gingrich's plan to call for national debate on the federal/state relationship, with an
emphasis on shifting power back to the states, was called
A) Contract on the USA
B) War on Poverty
C) The New Deal
D) Contract With America
E) The Great Society
17) The practice of the federal government overriding state or local governments in specific
policy domains is called
A) subordination.
B) preemption.
C) confiscation.
D) mediation.
E) fiscal federalism.
18) Some have noted a recent Supreme Court trend towards giving authority to the states. This is
what Mario Cuomo had called “judicial federalism.” One example of judicial federalism is
evident in
A) Webster v. Reproductive Health Services.
B) Marbury v. Madison.
C) Roe v. Wade.
D) Plessy v. Ferguson.
E) McCulloch v. Maryland.
19) How did colleges respond to the 2007 shootings at Virginia Tech?
A) Colleges allowed students to carry guns to class.
B) Colleges set up emergency text-message alert systems.
53
C) Colleges routinely discharge students who show signs of mental illness.
D) Colleges fenced in their campuses to control access to outsiders.
E) Colleges set up procedures to make sure that student information remains private.
20) In U.S. v. Lopez, the Supreme Court

A) restrained Congress’s use of the commerce power.
B) expanded Congress’s use of the commerce clause.
C) overturned the use of judicial review by federal courts.
D) declared that federal preemption was unconstitutional.
E) declared that the privileges and immunities clause supersedes the supremacy clause.
1) In the immediate aftermath of Hurricane Katrina, various federal, state, and local government
agencies worked together like a well-oiled machine.
2) In a unitary system, the national government draws its power from the people.
3) Congress’s implied powers are linked with its enumerated powers.
4) The supremacy clause of the Constitution mandates that state laws supersede national laws.
5) Whether same-sex marriages performed in one state are valid in another state will likely
depend on how the Supreme Court interprets the full faith and credit clause of the
Constitution.
6) In McCulloch v. Maryland, the Supreme Court ruled that the commerce clause increases the
authority of states.
7) The New Deal was a package of policies introduced by the Roosevelt administration to
remedy the Great Depression through federal action.
8) After Roosevelt unveiled his court-packing plan, the Supreme Court upheld most of the New
Deal programs.
9) Metaphorically, cooperative federalism is similar to a layer cake.
10) Although George W. Bush seemed to support a reduced role for the federal government
while on the campaign trail, the scope and power of the federal government increased
substantially during his administration.
1) What is a federal system, and how does it differ from other systems of government?
2) Explain the doctrine of implied powers and its implications.
3) How does the supremacy clause affect American federalism?
54
4) Why do states enter into interstate compacts?
5) Explain the Supreme Court's decision in Dred Scott v. Sandford.
6) Explain how the Supreme Court addressed the constitutionality of the New Deal programs.
7) How does the aftermath of Hurricane Katrina underscore some of the potential pitfalls of a
federal system?
8) Explain and compare the influence of the enumerated powers, the necessary and proper
clause, and the Tenth Amendment on the nature of American federalism.
9) What were the issues involved in McCulloch v. Maryland and Gibbons v. Ogden? What are
the significances of these decisions for understanding the nature of American federalism?
Compare and contrast these two cases.
10) What was the New Deal? How did the Supreme Court react to Roosevelt's New Deal
programs? How did it affect the nature of American federalism?
55
56
CHAPTER 4
CIVIL LIBERTIES
Imagine this: The federal government wants to listen to your private phone calls whenever it
wants. Under some circumstances, it says it should be able to seize and hold you indefinitely,
without charges or the ability to see your family, and without the ability to consult with an
attorney. The government wants to examine your reading and viewing habits by scrutinizing
library records and your Internet searches. Is all of this okay with you?
These are not simply hypothetical questions to examine in an academic setting. The government
has been engaged in these activities over the past few years. And the reasons given by officials
all center on national security following September 11, 2001. The "war on terror" has led to
scores of measures that many lawyers, scholars, judges and citizens argue violate Americans’
civil liberties.
Civil liberties are the individual rights and freedoms listed in the Bill of Rights that the federal
government cannot abridge. Civil liberties protect citizens from excesses of the government and
from the tyranny of the majority. They place limits on the power of government to restrain or
dictate how people may act, speak, and exercise their beliefs. The civil liberties we possess,
however, are not absolute nor are these liberties simple to explain and understand. They are
interpreted and reinterpreted by the Supreme Court and common practice over time. The liberty
interests guaranteed by the Bill of Rights originally were designed to protect citizens only from
the national government. Subsequently, following the adoption of the Fourteenth Amendment
and through the use of the doctrine of selective incorporation, the Supreme Court passed most of
the Bill of Rights protections onto the states, thus protecting citizens from their state
governments as well as the federal government. The Supreme Court tries to balance rights
between competing interests. For example, the Court has generally ruled that your right to free
speech ends when you incite a riot that would cause immediate physical harm to others. Here the
Court balances an individual’s right with the rights of the public at large. Each liberty interest
faces a similar balancing act in its interpretation. In the age of terrorism, when many in
government argue that civil liberties are secondary in importance behind national security, the
balancing act becomes even more difficult. In this chapter, we explore what the government
may and may not do and which interests are being balanced at a given time.
This chapter is designed to inform you about the individual rights and freedoms granted to you
by the Bill of Rights. The main topic headings of the chapter are:
• Roots of Civil Liberties: The Bill of Rights

• First Amendment Guarantees: Freedom of Religion
• First Amendment Guarantees: Freedom of Speech, Press, Assembly, and Petition
• The Second Amendment: The Right to Keep and Bear Arms
• The Rights of Criminal Defendants
• The Right to Privacy
• Toward Reform: Civil Liberties and Combating Terrorism
57
following:
• the Bill of Rights and the reasons for its addition to the Constitution and the
eventual application of most of the provisions of the Bill of Rights to the states via the
incorporation doctrine
• the meaning of the First Amendment's guarantee of freedom of religion in the
establishment clause and free exercise clause
• the meaning of the First Amendment's guarantees of freedom of speech, press,
and assembly
• the interpretation and controversy over the Second Amendment and the right to
bear arms
• the rights of the accused or criminal defendant's rights in the Fourth, Fifth, Sixth,
and Eighth Amendments and how the U.S. Supreme Court has expanded and
contracted those rights
• the meaning of the right to privacy and how it has been interpreted by the Court
• how measures by the government to combat terrorism have affect civil liberties in
the United States
D.C. v. Heller (2008)—
civil liberties—
civil rights—
civil liberties and the judiciary—
Roots of Civil Liberties: The Bill of Rights
consideration of a bill of rights at the Constitutional Convention—
George Mason—
58
the concerns of the Anti-Federalists—
Congress sends the proposed Bill of Rights to the states for ratification—
Bill of Rights ratified when?
Bill of Rights—
Ninth Amendment—
Tenth Amendment—
The Incorporation Doctrine: The Bill of Rights Made Applicable to the States
Barron v. Baltimore (1833)—
14th Amendment (1868)—
due process clause—
substantive due process—
rare interferences with state power—
Gitlow v. New York (1925)—
incorporation doctrine—
Near v. Minnesota (1931)—
Selective Incorporation and Fundamental Freedoms
selective incorporation—
The Selective Incorporation of the Bill of Rights (Table 5.1)—
Palko v. Connecticut (1937)—
First Amendment Guarantees: Freedom of Religion
Framers’ concerns regarding religious freedom—
Article VI of U.S. Constitution, "no religious test"—
First Amendment—
establishment clause—
free exercise clause—
59
guarantees not absolute—
The Establishment Clause
Thomas Jefferson and wall of separation—
government accommodation of religion—
Engel v. Vitale (1962)—
Lemon v. Kurtzman (1971)—
three-part Lemon test for establishment issues:
1)
2)
3)
Supreme Court cases signaling its willingness to lower the wall further—
Supreme Court cases involving aid to religious schools—
Supreme Court school prayer cases in 1992 and 2000—
2005 Supreme Court establishment clause case upholding Lemon test with regard
to a display of the Ten Commandments in a courthouse—
The Free Exercise Clause
free exercise clause—
where the right to free exercise of religion is not absolute—
Politics Now How Far Can Protester Go?—
(Employment Division, Dept. of Human Resources of Oregon v. Smith) 1990 case

involving the use of peyote in Native American religious services—
Religious Freedom Restoration Act—
(Gonzales v. O Centro Espirita Beneficente Uniao Do VegetalI) 2006 case

involving use of hallucinogenic hosaca tea in religious services—
First Amendment Guarantees: Freedom of Speech, Press, Assembly and Petition
60
Congressional criticism of media content—
Freedom of Speech and Press
free exchange of ideas and democracy—
First Amendment protection of speech and press—
Supreme Court’s protection of thoughts, actions, and words—
The Alien and Sedition Acts—
prior restraint—
John Adams, Thomas Jefferson and the Alien and Sedition Acts—
slavery, the Civil War, and rights curtailment—
states and free speech—
prohibitions against publication of information or support for slavery—
prohibitions against publication of anti-slavery material—
President Abraham Lincoln and unconstitutional laws restricting speech

and press freedom during Civil War—
state sedition prosecutions after the Civil War—
hostility toward Socialists and Communists in twentieth century—
state laws punishing seditious speech by end of World War I—
Gitlow v. New York (1925)—
World War I and anti-governmental speech—
Espionage Act of 1917—
Schenck v. U.S. (1919)—
clear and present danger test—
Brandenburg v. Ohio (1969)—
direct incitement test—
"imminent lawless action"—
61
Protected Speech and Publications
prior restraint—
New York Times v. United States (1971)—
Nebraska Press Association v. Stuart (1976)—
symbolic speech—
Justice John Marshall Harlan on symbolic speech—
Stromberg v. California (1931)—
Tinker v. Des Moines Independent Community School District (1969)—
burning the American flag (see Chapter 2)—
hate speech, unpopular speech, and speech zones—
R.A.V. v. City of St. Paul (1992)—
2003 Supreme Court case on cross burning—
free speech zones—
Unprotected Speech and Publications
libel and slander—
libel—
slander—
New York Times v. Sullivan (1971)—
actual malice—
fighting words—
Chaplinsky v. New Hampshire (1942)—
obscenity—
Miller v. California (1973) and the Miller test to define obscenity—
Roth and community standards—
62
Congress and obscenity—
U.S. v. Williams (2008) and the Protect Act—
Freedoms of Assembly and Petition
DeJonge v. Oregon (1937)—
The Second Amendment: The Right to Keep and Bear Arms
standing armies and the requirement to bear arms in colonial times—
Second Amendment—
Chief Justice Roger B. Taney comment on right to bear arms in Dred Scott
(1857)—
U.S. v. Miller (1939)—
District of Columbia v. Heller (2008)—
Brady Bill—
1994 ban on assault weapons—
The Rights of Criminal Defendants
writs of habeas corpus—
Article I prohibitions on ex post facto laws—
Article I prohibitions on bills of attainder—
the Fourth, Fifth, Sixth, and Eighth Amendments—
due process rights (also known as procedural guarantees, rights of

defendants)—
The Fourth Amendment and Searches and Seizures
Fourth Amendment—
purpose of the amendment—
Supreme Court has interpreted the Fourth Amendment, over the years, to allow
the police to search:
63
1)—
2)—
3)—
warrantless searches—
stop and frisk standard—
reasonable suspicion—
where searches require probable cause—
searches based on consent—
search situations where no arrest occurs—
searches and bodily privacy (in removal of bullets, in drunk driving

situations)—
firefighters and warrants—
open fields doctrine—
vehicle searches—
2002 border patrol officer case and "standard less than probably cause brief
investigatory stops" of vehicles—
drug testing and search and seizure issue—
1989 Supreme Court ruling regarding drug and alcohol testing of employees
involved in accidents—
1995 Court ruling on random drug testing of public high school athletes—
2002 Court ruling on mandatory drug testing of high school students participating
in any extracurricular activities—
The Fifth Amendment: Self-Incrimination and Double Jeopardy
Fifth Amendment—
self-incrimination—
use of voluntary confessions—
64
the third degree—
Miranda v. Arizona (1966)—
Miranda rights—
Burger Court and Miranda rights—
Rehnquist Court and Miranda rights—
2003 Rehnquist Court ruling in case where defendant interrupted officers before
they read him his rights—
double jeopardy clause—
The Fourth and Fifth Amendments and the Exclusionary Rule
Weeks v. U.S. (1914)—
exclusionary rule—
“fruits of a poisonous tree”—
Mapp v. Ohio (1961)—
1976 Supreme Court case creating the good faith exception—
inevitable discovery—
The Sixth Amendment and Right to Counsel
Sixth Amendment—
history of providing counsel to defendants too poor to hire a lawyer—
Gideon v. Wainwright (1963)—
Burger Court and Rehnquist Court on Gideon—
2005 Supreme Court ruling on competence of counsel—
The Sixth Amendment and Jury Trials
Sixth Amendment—
speedy and public trial by impartial jury—
impartiality in trials—
65
1880 and 1975 Supreme Court rulings on systematic exclusion of groups—
Batson v. Kentucky (1986)—
1994 Court ruling on exclusion of women from juries—
Maryland v. Craig (1990)—
The Eighth Amendment and Cruel and Unusual Punishment
Eighth Amendment—
death penalty in America—
Furman v. Georgia (1972)—
Gregg v. Georgia (1976)—
2000 Illinois moratorium on executions by Gov. George Ryan—
2003 commutation of death sentences by Gov. Ryan—
DNA testing and executions—
House v. Bell (2006)—
2006 Court ruling on death-row inmate challenges of drugs and procedures

involved in lethal injections—
2008 Supreme Court case regarding whether the combination of drugs used in
lethal injections constituted cruel and unusual punishment—
Join the Debate: The Death Penalty—
The Right to Privacy
rights not enumerated specifically in the Constitution or Bill of Rights—
right to privacy—
Justice Brandeis and “the right to be left alone”—
The Living Constitution: The Ninth Amendment—
Birth Control
66
Griswold v. Connecticut (1965)—
“penumbras” of the Constitution—
zones of privacy—
right later expanded to include unmarried individuals' access to

contraceptives—
importance of Griswold in later Court decisions—
Timeline: The Supreme Court and the Right to Privacy—
Abortion
Roe v. Wade (1973)—
Justice Harry A. Blackmun—
three trimesters—
political controversy following Roe—
Webster v. Reproductive Health Services (1989)—
Planned Parenthood of Southeastern Pennsylvania v. Casey (1992)—
“an undue burden”—
Homosexuality
Lawrence v. Texas (2003)—
The Right to Die
1990 Supreme Court ruling on parents wanting to withdraw a feeding tube from
their comatose daughter—
1997 Supreme Court ruling on physician-assisted suicide (Vacco v. Quill)—
U.S. Attorney General John Ashcroft and Oregon assisted suicide law—
Supreme Court rules that the Attorney General overstepped his authority in the
Oregon case (Gonzalez v. Oregon)—
2008 assisted suicide initiative in Washington—
Toward Reform: Civil Liberties and Combating Terrorism
67
"an alternate reality" after September 11, 2001—
The First Amendment
2001 USA Patriot Act and the First Amendment—
The Fourth Amendment
the USA Patriot Act and the Fourth Amendment in four areas:
1)—
2)—
3)—
4)—
judicial oversight of these new governmental powers—
searches without a warrant and probably cause not required—
Due Process Rights
illegal incarceration and torture—
2004 Supreme Court case on detainee rights to habeas corpus—
Military Commissions Act of 2006 and Bush administration arguments

that alien victims of U.S. torture has significant reduced habeas corpus
rights—
2008 Roberts Court decision on Military Commissions Act—
black sites—
Guantanamo Bay detention facility—
Sixth Amendment and right to trial by jury for detainees—
Eight Amendment and detainees—
Geneva Convention violations—
Abu Ghraib prison—
December 2004 Justice department memo on torture—
Alberto Gonzales reversal through secret memorandum—
68
water-boarding (see, Analyzing Visuals: Water-boarding)—
resignation of Gonzales—
1) Find out if your campus has a “speech code.” (If it doesn't, find a nearby college or
university with one.) Would this code stand up to a constitutional test? Why or why not?
According to your understanding of the First Amendment, are speech codes
constitutional? Do some research at the campus newspaper and see if there was any
controversy surrounding the adoption of the speech code and discuss it in class.
2) Explore the current docket of the Supreme Court. What civil liberties issues are going to
be or are being heard this term? How do you think they will be decided and why? Follow
the process until the rulings are made and see if you are right.
3) Under Chief Justice Rehnquist, the Court has reduced many of the due process rights
granted under the Warren and Burger Courts. Find examples of how these rights have
changed and why. Has the new Roberts Court heard cases on due process issues and to
what end? What has the role of public and political opinion been in these changes?
4) Call your local branch of the American Civil Liberties Union. Visit or ask for written
information about their activities and issues. Find out what they do and why. Also check
their Web site (see below) for information.
5) The 2003 Supreme Court decision in Lawrence v. Texas has far-reaching implications for
gay rights in the United States. The Lawrence decision precipitated activity, for example,
in the states and in national politics regarding same-sex marriages. What effects did the
Lawrence decision have on that and other issues relating to gay rights and American
politics? The issue of homosexual rights was an issue in the 2004 presidential campaign.
What role did the issue play in the 2008 presidential campaign? What is the new
president's position on the issue?
Web Sites
The Legal Information Institute of Cornell University has an excellent site that offers extensive
information about civil liberties. There is a section focused on the First Amendment with
definitions, historical background, Supreme Court decisions, and links to numerous First
Amendment-related sites. There are also sites at LII for prisoners' rights, employment rights, and
constitutional rights generally.
http://www.law.cornell.edu/topics/first_amendment.html
American Civil Liberties Union (ACLU) offers information on the entire Bill of Rights
including racial profiling, women's rights, privacy issues, prisons, drugs, etc. Includes links to
other sites dealing with the same issues.
http://www.aclu.org
69
The U.S. Information Agency of the Department of State offers an annotated version of the
full text of the Bill of Rights and other constitutional documents.
http://usinfo.state.gov/products/pubs/constitution/amendment.htm
The Cato Institute, a Libertarian think-tank, hosts a Constitution Studies page on its Web site,
examining Amendments 1, 2, 4, 5, 9 and 10 as well as other constitutional issues.
http://www.cato.org/ccs/issues.html
PBS offers a Web site that presents the background and issues relating to Texas v. Johnson and
U.S. v. Eichman, the flag-burning cases, freedom of expression cases.
http://www.pbs.org/jefferson/enlight/flag.htm
The Freedom Forum, based in Arlington, Virginia, is a nonpartisan foundation dedicated to the
study of free press and free speech issues, with a particular focus on freedom of the press.
http://www.freedomforum.org
The First Amendment Center is an organization that studies and reports on First Amendment
issues. Vanderbilt University hosts and operates the First Amendment Center and its Web site.
http://www.firstamendmentcenter.org
Americans United for Separation of Church and State monitors church-state separation
issues and promotes protection of the First Amendment establishment clause in Congress and
state legislatures.
http://www.au.org
Professor Eugene Volkh of the UCLA Law School maintains a list of links to sources on the
Second Amendment. You can also click on a link to his homepage to find a list of scholarly
articles he has written on the Second Amendment and other Bill of Rights issues.
http://www1.law.ucla.edu/~volokh/2amteach/sources.htm
The James Madison Research Library and Information Center Web site is hosted by The
National Rifle Association to detail their understanding of the Second Amendment.
http://www.madisonbrigade.com
Fighting Terrorism/Protecting Liberty is a site by the National Association of Criminal

Defense Lawyers. This site monitors the many bills in Congress and proposals by the
Department of Justice to increase the powers of law enforcement in the face of terrorism. The
NACDL and other organizations concerned with civil liberties track these measures to ensure the
least possible intrusion on liberties consistent with protection from terrorist attacks.
http://www.criminaljustice.org/public.nsf/freeform/terrorism1?OpenDocument
Also from the National Association of Criminal Defense Lawyers is a Web site devoted to the
fortieth anniversary in 2003 of the Supreme Court decision in Gideon v. Wainwright.
http://www.nacdl.org/gideon
NoloPress is a commercial publisher of self-help legal information that provides a Web site that
offers a tour of the ways in which the Bill of Rights attempts to ensure fair treatment for those
accused of crimes by the government.
70
http://www.nolo.com/article.cfm/objectID/6410CC94-3E8F-4A37-
A5F85E3348E6431F/104/143/272/ART
The Center for Reproductive Rights Web site has an extensive guide to national and
international legal issues dealing with abortion.
http://www.crlp.org
The American Life League Web site has a list of Supreme Court cases and links to information
regarding the abortion issue from a pro-life position.
http://www.all.org/issues.php?PHPSESSID=8dba6a130a018d4d1cd6a31d63dab2df
The University of Missouri-Kansas City School of Law hosts a Web site with backgrounds of
Supreme Court cases dealing with gay rights in the United States.
http://www.law.umkc.edu/faculty/projects/ftrials/conlaw/gayrights.htm
A Web site published by the University of Washington Libraries titled Taking Back America
provides numerous links about the USA Patriot Act and threats to the liberty interests of
American citizens raised by the Act.
http://www.lib.washington.edu/Suzref/patriot-act/
Findlaw is a searchable database of S.C. decisions plus legal subjects, state courts, law schools,
bar associations, and international law.
http://www.findlaw.com
Practice Tests
1) The Constitution was ratified in 1789; the first ten amendments were adopted
A) in 1791.
B) in 1804.
C) during the Great Depression.
D) over the course of the next 50 years.
E) over the course of the next 100 years.
2) The Supreme Court ruled that states could not ignore the free speech protections guaranteed
by the Constitution in
A) Near v. Minnesota.
B) Gitlow v. New York.
C) Palko v. Connecticut.
D) Pointer v. Texas.
E) Romer v. Evans.
3) The protection against the establishment of an official religion is found in the

A) First Amendment.
B) Second Amendment.
C) Third Amendment.
71
D) Fifth Amendment.
E) Eighth Amendment.
4) Which of the following best describes the trend in recent Supreme Court decisions regarding
the separation of church and state?
A) The Supreme Court has consistently prohibited all government aid to religious schools.
B) The Supreme Court has permitted school districts to continue school-sponsored prayers.
C) The Supreme Court has required states to demonstrate a "compelling moral or ethical"
rationale for various entanglements between church and state.
D) The Supreme Court has been further increasing the separation of church and state.
E) The Supreme Court has been reducing the required separation between church and state.
5) Which of the following freedoms is absolute and cannot be limited by government?

A) freedom of religion
B) freedom of speech
C) freedom to believe
D) freedom to act
E) All of the freedoms listed above are absolute.
6) The judicial doctrine that government cannot prohibit speech or publication before the fact is
called
A) an a priori limitation.
B) prior restraint.
C) selective incorporation.
D) the prohibition clause.
E) the anti-prejudicial restriction.
7) The direct incitement test allows government to limit speech

A) that will likely result in imminent lawless action.
B) that criticizes the government during wartime.
C) that advocates for a non-democratic form of government.
D) of accused terrorists.
E) that is likely to be offensive according to contemporary community standards.
8) The Pentagon Papers case demonstrates

A) the Court's willingness to side with the government in times of war.
B) the Court's willingness to uphold cases that border on sedition.
C) the Court's intolerance of prior restraint.
D) the Court's willingness to abridge freedom of the press.
E) the Court's ability to shape the political agenda by interpreting the Second Amendment.
9) Yosemite Sam is famous for telling Bugs Bunny, “Them's fightin' words!” Can Bugs Bunny
be prosecuted for uttering fighting words?
A) No; freedom of speech is absolute.
B) Yes, but only if Bugs knowingly makes false statements about Yosemite Sam.
72
C) Yes, if the mere utterance of those words tend to incite an immediate breach of the peace.
D) Yes, if Yosemite Sam instigated the verbal assault.
E) Yes, if Yosemite Sam is exercising self defense.
10) Under U.S. v. Miller, the Supreme Court upheld restrictions on what type of weapon by
saying that the 2nd Amendment protected the right to own "ordinary militia weapons"?
A) Assault rifles
B) So-called "sniper rifles"
C) Tasers
D) Concealed handguns
E) Sawed-off shotguns
11) During the Civil War, Lincoln arrested newspaper editors who were critical of the way he
conducted the war. This appears to violate which civil liberty?
A) The right to a free press
B) The right to a court determination that you are being held lawfully
C) The right to refuse military service as a conscientious objector
D) The right to an attorney
E) The right to a jury trial
12) According to the Supreme Court, which of the following groups can be forced to undergo
drug tests?
A) Candidates for state office
B) Welfare recipients
C) High school athletes
D) All federal employees
E) Those pulled over for speeding
13) In 1966, the Court ruled that suspects must be apprised of their rights to remain silent in the
case of
A) Gideon v. Wainwright.
B) Michigan v. Tyler.
C) Mapp v. Ohio.
D) Miranda v. Arizona.
E) Weeks v. U.S.
14) “Inevitable discovery” is an exception to

A) double jeopardy.
B) the Miranda rights.
C) the exclusionary rule.
D) self incrimination.
E) imminent domain.
15) The right to a speedy and public trial by an impartial jury is guaranteed by the ________
Amendment.
A) Third
B) Sixth
73
C) Seventh
D) Eighth
E) Tenth
16) What was the Supreme Court’s rationale in Furman v. Georgia?

A) Capital punishment is always a cruel punishment.
B) Government has an obligation to protect the sanctity of all human life.
C) Capital punishment was being administered arbitrarily and, therefore, created a type of
cruel and unusual punishment.
D) Georgia has a right to punish wrongdoers, but the federal government has an obligation to
protect all of its citizens.
E) The death penalty cannot be administered to those under 18 years old or to the mentally
ill.
17) Where is the right to privacy enumerated in the Constitution?

A) in the Second Amendment
B) in the Third Amendment
C) in Article I, section 8
D) in the Preamble
E) The right to privacy is not specifically enumerated in the Constitution.
18) In Griswold v. Connecticut, the Supreme Court ruled that the Constitution guaranteed
A) zones of privacy.
B) the right to an abortion.
C) free speech during wartime.
D) the right to die.
E) trial by a jury of your peers.
19) In Roe v. Wade, the Supreme Court found that

A) an absolute right to abortion is protected by the right to privacy.
B) a man has a right to prevent his wife from having an abortion if he is willing to take sole
custody of the child.
C) unmarried couples have the right to engage in consensual sexual activities.
D) every embryo is entitled to the civil rights and liberties enumerated in the Constitution.
E) a woman has the right to terminate her pregnancy under certain conditions.
20) What did the Supreme Court decide in Lawrence v. Texas?

A) Abortion restrictions requiring parental consent for underage women must include
judicial bypass options.
B) Congress cannot restrict access to abortions.
C) Because homosexuality is “immoral and repugnant” states have a compelling interest in
limiting such behavior.
D) States cannot criminalize consensual private sexual behavior.
E) States can criminalize sodomy by heterosexual couples, but not by homosexual couples.
1) In Barron v. Baltimore, the Supreme Court ruled that the Bill of Rights was intended to limit
the powers of the national government, not the state governments.
74
2) The Court first ruled that a prayer recited in public school was unconstitutional in Engel
v.Vitale.
3) Under most circumstances, government cannot exercise prior restraint of speech.
4) The first Supreme Court case dealing with symbolic speech was Stromberg v. California.
5) According to the First Amendment, government cannot prevent speech based on its content.
6) In New York Times v. Sullivan (1964), the Supreme Court made it extremely difficult for a
public figure to win a libel suit.
7) The right to bear arms is guaranteed by the Third Amendment.
8) A congressional ban on assault weapons expired in 2004 and has not been renewed.
9) If new evidence comes to light after the accused has been acquitted, the courts can order a
new trial if the recently discovered evidence is sufficiently compelling.
10) The Supreme Court has determined that mentally retarded convicts are eligible for the death
penalty if they received a fair and public trial.
1) What is the Bill of Rights and why was it added to the Constitution?
2) Compare and contrast the establishment clause and the free exercise clause.
3) What is the prior restraint doctrine?
4) What is symbolic speech?
5) What is hate speech? To what extent can government restrict it? Would you favor further
restrictions?
6) Describe two different circumstances under which your property can be searched without a
warrant.
7) Why were the Anti-Federalists so adamant about adding a Bill of Rights to the Constituion?
Why were the Federalists resistant? In hind sight, has it been a good addition? How would
you respond to those who argue that criminals have too many constitutional rights?
8) The First Amendment contains both the establishment clause and the free exercise clause.
Discuss how the Supreme Court has interpreted these clauses and how these decisions have
affected the "wall of separation" between church and state.
75
9) Explain the freedom of speech and freedom of the press doctrines included in the First
Amendment. How has the Supreme Court interpreted its meanings?
10) How has the Supreme Court interpreted the Second Amendment? Do you agree with their
interpretation? Why or why not?
76
CHAPTER 5
CIVIL RIGHTS
“Civil rights” concern the positive acts that governments take to protect certain classifications of
individuals against arbitrary or discriminatory treatment. The Framers were more concerned with
creating a new, workable, and enduring form of government than with civil rights. The
Fourteenth Amendment introduced the idea of equal protection of the laws and has generated
more litigation to determine and specify its meaning than any other constitutional provision. This
chapter explores how African-Americans, women, and other disadvantaged political groups that
have been historically and systematically denied their liberty interests, have drawn ideas,
support, and success from one another in the quest for equality under the law. This chapter
presents information that may be much more than intellectually interesting to you. You may
have been the victim of arbitrary or discriminatory treatment because of your race, gender,
national origin, religion, age, sexual orientation, or disability. How do you obtain protection of
the civil rights laws of the nation or your state? What, indeed, are your rights under the law and
where do you turn to for protection?
This chapter is designed to inform you about the struggle of women and minorities for civil
rights and the privileges of citizenship, including equal protection of the laws and voting rights,
and is designed to inform you of how one can seek protection of one’s civil rights under the law.
• Roots of Suffrage: 1800-1890

• The Push for Equality, 1890-1954
• The Civil Rights Movement
• The Women’s Rights Movement
• Other Groups Mobilize for Rights
• Toward Reform: Civil Rights, Affirmative Action, and Pay Equity
following:
• the roots of suffrage—slavery, abolition, and winning the right to vote from 1800
to 1890
• the push for equality by African-Americans and women from 1885 to 1954, using
the Supreme Court’s decisions in Plessy v. Ferguson (1896) to Brown v. Board of
Education of Topeka, Kansas (1945) as benchmarks
• the civil rights movement as well as the Civil Rights Act of 1964 and its
facilitation and effects
77
• the development of a new women's rights movement and the effort to create an
equal rights amendment to the U.S. Constitution
• efforts of other groups to expand the definition of civil rights further such as
Native Americans, Hispanic-Americans, gays and lesbians, and disabled Americans,
to mobilize for rights using methods borrowed from the struggles of African-
Americans and women
• efforts to reform civil rights, affirmative action, and pay equity
Civil Rights Act of 1964—
Civil Rights Division of the Department of Justice—
Civil Rights Division in the George W. Bush administration—
enforcement of the Voting Rights Act during George W. Bush administration—
civil rights—
civil war amendments—
Roots of Suffrage: 1800-90
Slavery and Congress
conflict over admission of new states with free or slave states—
Missouri Compromise of 1820—
The First Civil Rights Movements: Abolition and Women’s Rights
William Lloyd Garrison—
abolitionist movement—
American Anti-Slavery Society—
Frederick Douglass—
78
Elizabeth Cady Stanton and Lucretia Mott—
Seneca Falls Convention (1848)—
The 1850s: The Calm Before the Storm
Uncle Tom's Cabin (1852)—
Dred Scott v. Sandford (1857)—
The Civil War and its Aftermath: Civil Rights Laws and Constitutional
Amendments
Civil War—
Emancipation Proclamation—
Thirteenth Amendment—
The Living Constitution: Thirteenth Amendment—
Black Codes—
congressional override of President Andrew Johnson's veto—
due process clause of Fourteenth Amendment—
privileges and immunities clause of Fourteenth Amendment—
failure to provide for women's suffrage—
Fifteenth Amendment—
National Woman Suffrage Association—
National Woman Suffrage Association—
Civil Rights, Congress, and the Supreme Court
Jim Crow Laws—
Civil Rights Cases (1883)—
79
three ways Southern states excluded African-Americans from the
vote after the Civil War Amendments:
1) poll taxes—
2) property-owning qualifications—
3) literacy tests—
grandfather clause—
women suffer discrimination—
The Push for Equality, 1890-1954
The Progressive Era—
Plessy v. Ferguson (1896)—
separate but equal doctrine—
segregation system expanded—
The Founding of the Key Groups
Oswald Garrison Villard—
NAACP—
National American Woman Suffrage Association—
Niagara Movement—
suffrage movement—
Nineteenth Amendment—
women’s movement through the 1960s—
Litigating for Equality
turning to the federal courts—
Lloyd Gaines case of 1938—
NAACP Legal Defense and Educational Fund—
Thurgood Marshall—
80
the Sweatt and McLaurin cases of 1950—
amicus curiae briefs—
attacking the separate-but-equal doctrine—
Brown v. Board of Education of Topeka, Kansas (1954)—
equal protection clause—
Black Monday—
The Civil Rights Movement
how our notion of civil rights has changed since Brown decision—
School Desegregation After Brown
Brown v. Board of Education II (1955)—
Governor Orval Faubus—
Little Rock Central High School—
Cooper v. Aaron (1958)—
A New Move for African-American Rights
Rosa Parks—
Montgomery Bus Boycott—
Dr. Martin Luther King, Jr.—
Formation of New Groups
Southern Christian Leadership Council (SCLC)—
Student Nonviolent Coordinating Committee (SNCC)—
freedom rides—
nonviolent demonstrations—
march on Birmingham—
Emmett Till murder—
Analyzing Visuals: Police Confront Civil Rights Demonstrators in Birmingham—
81
The Civil Rights Act of 1964
first significant civil rights legislation passed since the post-Civil War era—
1963 law banning discrimination in public accommodations—
March on Washington, August 1963—
“I Have A Dream” speech—
President Lyndon B. Johnson—
Senator Strom Thurmond—
Elements of Civil Rights Act of 1964:
1)
2)
3)
4)
5)
6)
experience of African Americans in the North—
Malcolm X—
assassination of Dr. Martin Luther King, Jr.—
The Women's Rights Movement
several reasons for a separate women’s rights movement—
Litigation for Equal Rights
paternalistic attitudes toward women—
1961 President’s Commission on the Status of Women and its 1963 report titled
American Women—
The Feminine Mystique—
Equal Pay Act of 1963—
82
Equal Opportunity Employment Commission (EEOC)—
National Organization of Women (NOW)—
movement for full equality for women and opposition to it—
Equal Rights Amendment (ERA)—
ratification record on ERA—
Women's Equality Amendment—
The Equal Protection Clause and Constitutional Standards of Review
Fourteenth Amendment and equal protection—
levels of equal protection scrutiny—
suspect classification—
strict scrutiny—
The Equal Protection Clause and Standards of Review (Table 5.1)—
Supreme Court cases on equal protection in the 1960s and 1970s—
Reed v. Reed (1971)—
Craig v. Boren (1964)—
intermediate standard of review—
practices which have been found to violate the Fourteenth

Amendment:
1)
83
2)
3)
4)
5)
6)
governmental practices and laws upheld by the Court:
1)
2)
crucial nature of the level of review used by the Court—
Statutory Remedies for Sex Discrimination
Equal Pay Act of 1963—
key victories under Title VII of the Civil Rights Act:
1)
2)
3)
4)
Title IX of the Civil Rights Act—
Other Groups Mobilize for Rights
Hispanic Americans
largest and fastest growing minority group in the U.S.—
LULAC—
patterns of immigration—
Hernandez v. Texas (1954)—
push for greater Hispanic rights in the mid-1960s—
84
National Council of La Raza—
Cesar Chavez—
United Farm Workers Union—
MALDEF—
MALDEF and Voting Rights Act—
San Antonio Independent School District v. Rodriquez (1973)—
other public school discrimination cases—
other areas of MALDEF litigation and lobbying—
Latino groups’ response to efforts proposing crack-down on illegal immigration—
American Indians
the first true Americans—
American Indian numbers since Europeans arrived in 1400s—
Indian begin to mobilize in 1960s—
NARF—
land rights and casinos—
American Indians and legal and political victories—
Indigenous Democratic Network (INDN)—
Asian and Pacific Americans
Pan-Asian identity—
1977 decision by U.S. government on nomenclature—
history of discrimination again Asian and Pacific immigrants—
Yick Wo v. Hopkins (1866)—
1922 Supreme Court decision on rights of Asian and Pacific islanders—
FDR's Executive Order 9066—
Korematsu v. U.S. (1944)—
85
Asian and Pacific Americans in 1970s and 1980s organize for equal rights—
Congress Education Project—
Japanese Americans work for World War II reparations—
Civil Liberties Act of 1988—
Gays and Lesbians
Lambda Legal Defense and Education Fund—
“Don't Ask, Don't Tell” policy—
Romer v. Evans (1996)—
Lawrence v. Texas (2003)—
2003 Massachusetts Supreme Court ruling on gay marriage—
2004 election and same-sex marriage issue—
2008 California and Connecticut legalizes same-sex marriage—
same-sex marriage ban passed in California in November of 2008—
Politics Now: Gay and Lesbian Rights—
Americans with Disabilities
history of efforts to ban discrimination against Americans with

disabilities—
Americans with Disabilities Act (ADA) of 1990—
the cumulative effect of four 1999 Supreme Court cases on the ADA—
Tennessee v. Lane (2004)—
Ideas Into Action: Accommodating College Students with Disabilities—
American Association of People with Disabilities (AAPD)—
Not Dead Yet—
Toward Reform: Civil Rights, Affirmative Action, and Pay Equity
areas of continued discrimination—
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Affirmative Action
equality of opportunity versus equality of results—
affirmative action—
Reagan administration opposition to affirmative action—
Regents of the University of California v. Bakke (1978)—
five Supreme Court decisions in 1989 limiting affirmative action and plaintiffs’
employment discrimination cases—
Grutter v. Bollinger (2003)—
new era in affirmative action—
Pay Equity and Other Issues of Workplace Discrimination
Wal-Mart discrimination against women—
Join the Debate: Determining a Living Wage—
2007 Supreme Court case on pay equity for female supervisor at tire
factory—
Wal-Mart discrimination against Hispanic immigrants—
1) Look at the current Supreme Court docket. What civil rights cases do you see? What are
their constitutional arguments, and how do they differ from the cases the book discusses
in the 1950s, 60s and 70s?
2) The use of amicus curiae briefs has increased dramatically in the last several decades and
many people now argue that public opinion plays a role in Supreme Court decisions.
Analyze and discuss these two issues. How would you characterize the role of such
influence in civil rights cases?
3) Examine the controversial issue of same-sex marriages and research it. What
constitutional issues are used, what arguments, etc.? What position has the Roberts Court
taken on this issue? The same-sex marriage issue played a significant role in the 2004
presidential campaign. What role did it play in the 2008 presidential election campaign?
What positions did the Democratic Party and the Republican Party take on the issue in
their national political platforms?
87
4) Look at the current Supreme Court. Do some biographical and case research on each of
the nine justices in the area of civil rights. Build a typography (classify the judges into
groups of like-minded individuals) on how the current justices rule on civil rights.
(Example: The simplest typography would be liberal—moderate—conservative. But be
sure to define each of those categories. A more complex system would provide better
analysis of the Court.) What has been the impact of the two newest members, Roberts
and Alito? What do you believe would be the impact of President Obama's appointments
to the Court based on Obama's positions on civil rights issues?
5) Congress also plays a role in civil rights. Do some research to determine what types of
civil rights issues Congress has been dealing with in the last four years. What are the
separate roles of Congress and the courts in civil rights?
Web Sites
The Civil Rights Division, U.S. Department of Justice Web site offers an overview of the
activities and programs of the DOJ on civil rights as well as links to documents, legislation,
cases, and the Civil Rights Forum Newsletter.
http://www.usdoj.gov/crt/crt-home.html
U.S. Commission on Civil Rights is a bipartisan, fact-finding agency established within the
executive branch. Their Web site offers news releases, publications, a calendar of events, and
multimedia coverage of civil rights events.
http://www.usccr.gov
information about the legalities and definitions of civil rights. It begins with a prose definition of
a civil right and includes links to U.S. Government laws, state laws, Supreme Court rulings,
international laws on civil rights, and more.
http://www.law.cornell.edu/topics/civil_rights.html
The National Association for the Advancement of Colored People (NAACP) Web site offers
information about the organization, membership, and issues of interest to proponents of civil
rights.
http://www.naacp.org
The Southern Poverty Law Center (SPLC) is a nonprofit group dedicated to fighting hate and
intolerance. Their Web site includes information on the center and their activities including a
program titled “Teaching Tolerance,” the Klanwatch, and Militia Task Force. They also have a
state-by-state listing of “hate incidents.”
http://www.splcenter.org
The National Organization of Women (NOW) Web site offers information on the organization
and its issues/activities, including women in the military, economic equity and reproductive
88
rights. They offer an e-mail action list and the opportunity to join NOW online. Also has links to
related sites.
http://www.now.org
The Mexican-American Legal Defense and Education Fund (MALDEF) Web site offers
information on scholarships, job opportunities, legal programs, regional offices information, and
more.
http://www.maldef.org
The Native American Rights Fund (NARF) Web site offers profiles of issues, an archive,
resources, a tribal directory, and treaty information as well as a lot of other information.
http://www.narf.org
80-20 Initiative is a nonprofit group working to further civil rights for Asian-Americans. Its
Web site presents information related to legal and political issues central to the organization's
activities.
http://www.80-20initiative.net
America with Disabilities Act (ADA) offers information on this legislation and rights of the
disabled.
http://www.usdoj.gov/crt/ada/adahom1.htm
EthnicMajority.com is a Web site promoting equal rights and opportunities for African-,
Latino- and Asian-Americans. Its page on affirmative action gives extensive background on the
issue and numerous links to organizations promoting and protecting affirmative action.
http://www.ethnicmajority.com/affirmative_action.htm
The Council on American-Islamic Relations offers a Web page detailing discrimination

problems facing Islamic Arab American citizens as a result of 9/11 and the war on terror.
http://www.cair.com/Home.aspx
The Anti-Defamation League's Web site on civil rights focuses on several issues, including
anti-Semitism.
http://www.adl.org/civil_rights
information about the legalities and definitions of employment discrimination law. It begins with
a prose definition of employment law and includes links to U.S. government laws, state laws,
Supreme Court rulings, and more.
http://www.law.cornell.edu/topics/employment_discrimination.html
Findlaw is a searchable database of legal issues, court decisions, legal subjects, state courts, law
schools, bar associations, and international law.
Practice Tests

89
1) The Missouri Compromise of 1820
A) abolished all slavery.
B) contained slavery to south of 36 degrees latitude.
C) was opposed by the Anti-Slavery Society.
D) allowed freedmen to go to Liberia.
E) required Missouri to become a free state.
2) What was Uncle Tom's Cabin about?

A) the need for westward expansion
B) manifest destiny
C) women's rights
D) school bussing
E) slavery
3) The World Anti-Slavery Society refused to

A) admit Fredrick Douglass as a member.
B) admit more than 200,000 members.
C) given women an equal role in their meetings.
D) react to the Missouri Compromise.
E) Choices C and D are both correct.
4) The Seneca Falls Convention was

A) called to draw additional attention to slavery.
B) called to help implement the Missouri Compromise.
C) held prior to the World Anti-Slavery Society Meeting.
D) held to discuss the civil and political rights of women.
E) actually held in the city of New York.
5) The Emancipation Proclamation

A) freed all slaves.
B) limited slave ownership in the North.
C) limited slave ownership in the West.
D) pardoned southerners who fought against the Union.
E) freed all slaves in the Confederacy.
6) In a series of five cases known collectively the Civil Rights Cases (1883), the Supreme Court
A) beefed up enforcement of federal civil rights laws.
B) struck down the Thirteenth Amendment.
C) expanded the interpretation of the Fourteenth Amendment.
D) limited the scope of the Civil Rights Act of 1875.
E) adopted the Fifteenth Amendment.
7) In the years after the Supreme Court's decision in Plessy v. Ferguson, public
90
accommodations in the South were largely
A) segregated and equal.
B) segregated and unequal.
C) integrated and equal.
D) integrated and unequal.
E) separate and equal.
8) During the 1930s, the NAACP decided it was time to launch a challenge to the precedent set
by Plessy. To do so, they used a strategy of
A) litigation.
B) strikes.
C) protests.
D) boycotts.
E) constitutional amendments.
9) Brown v. Board of Education overturned

A) Plessy v. Ferguson.
B) Sweatt v. Painter.
C) Missouri v. Gaines.
D) McLaurin v. Oklahoma.
E) Austin v. Rosemary.
10) What was the goal of the Montgomery bus boycott?

A) ending segregation on public transport
B) the immediate release of Rosa Parks from the Montgomery jail
C) voting rights for African Americans
D) more money for black schools
E) an end to all forms of integration
11) The Civil Rights Act of 1964

A) prohibited discrimination in public accommodations engaged in interstate commerce.
B) guaranteed full voting rights to all legal U.S. residents.
C) provided federal funds to discriminatory state and local programs.
D) prohibited employment discrimination on the basis of sexual orientation.
E) All of the above.
12) Among the more popular arguments against the proposed ERA were that
I. it would make women eligible for the draft.
II. it was narrowly passed in each house of Congress.
III. husbands would no longer be responsible for supporting their wives.
IV. the public was largely against it.
A) I and II
B) II and III
C) II and IV
91
D) I and IV
E) I and III
13) In Craig v. Boren, the issue at stake was

A) single-sex public schools.
B) different drinking ages for men and women.
C) that only women were allowed to receive alimony.
D) that women could be barred from jury service.
E) consensual sodomy.
14) MALDEF is a civil rights group that tends to litigation in a wide range of areas of concern to
A) blacks.
B) Anglos.
C) Native Americans.
D) Hispanics.
E) Caucasians.
15) Which group was founded for the purpose of propelling more Native Americans to elective
office?
A) Lambda Legal Defense Fund
B) Legal Defense Fund for the American Indian
C) Native American Rights Fund
D) Equal Opportunity Employment Commission
E) Indigenous Democratic Network
16) Same-sex marriages are

A) legal in Massachusetts and California.
B) illegal in all fifty states.
C) the same as civil unions.
D) supported by strong majorities of the public.
E) legal in about one-third of the states.
17) What does the Americans with Disabilities Act require?

A) workplace accommodations for disabled Americans
B) generous government stipends for all disabled Americans
C) at least 5 percent of all state legislative seats must be held by disabled Americans
D) at least 5 percent of all congressional seats must be held by disabled Americans
18) Prospective employees in which of the following professions would receive the least
protection under the Americans with Disabilities Act?
A) Lawyers
B) Teachers
C) Pilots
D) Coaches
E) Public Servants
92
19) Among reasons given against affirmative action are that
I. it is wrong to use labels to help particular groups.
II. laws should be neutral or colorblind.
III. compensatory governmental actions to help previously discriminated groups should
be employed
IV. quota systems are a necessary remedy for past discrimination.
A) I and II
B) II and IV
C) I, II, and III
D) II, III, and IV
E) I and III
20) The first major affirmative action case heard by the Supreme Court was
A) Defunis v. Odegaard.
B) Regents of the University of California v. Bakke.
C) Tennessee v. Lane.
D) Brown v. Board of Education.
E) Grutter v. Bollinger.
1) The struggle for civil rights is not limited to the court system.
2) The Missouri Compromise of 1820 eliminated tensions over slavery.
3) Most of the former Confederate states passed Black Codes to restrict opportunities for newly
freed slaves.
4) The privileges and immunities of citizenship are guaranteed by the Fifteenth Amendment.
5) Federal occupation of the South following the Civil War ended in 1877.
6) In Plessy v. Ferguson, a majority of the Supreme Court argued that the Constitution should
be colorblind.
7) The Nineteenth Amendment guarantees women the right to vote.
8) The Supreme Court determined that the accommodations initially made for Lloyd Gaines,
H.M. Sweatt, and George McLaurin were acceptable.
9) Brown v. Board of Education is considered by many to be the most important civil rights
case of the twentieth century.
10) Only African Americans participated in freedom rides.
1) How did the Civil Rights Division of the Department of Justice operate during the George W.
93
Bush administration?
2) Define civil rights and discuss their constitutional bases.
3) What were Jim Crow laws?
4) What is the significance of the Niagara Movement?
5) Who was Rosa Parks?
6) When deciding equal protection cases, what sort of classifications are entitled to strict
scrutiny?
7) With regard to civil rights, discuss the 1944 Supreme Court case of Korematsu v. U.S. Do
you agree with the Court’s ruling? Why?
8) Compare the struggle for African American civil rights with the struggle for women’s rights.
9) The NAACP chose to use a litigation strategy to achieve desegregation and equal rights.
How did they implement this strategy, and what were their other choices?
10) What nonviolent strategies did the Student Nonviolent Coordinating Committee (SNCC) and
other organizations use in their efforts to expand civil rights?
94
CHAPTER 6
CONGRESS
Since our country’s earliest days, a national Congress has existed in one form or another. First,
the Continental Congress represented the colonies, and it had little to no authority over them.
Then, the states were represented in Congress under the Articles of Confederation, a national
legislature that had just a few more powers than the Continental Congress over the colonies.
Article I of the Constitution, however, vested the governing powers of the United States squarely
in the hands of “the first branch of government,” Congress. Indeed, Congress alone was given
the power to create legislation, control the purse, declare war, raise an army, control commerce
as well as other national governing authority under Article I, section 8. The United States had no
president under its early government until the adoption of the new Constitution. And even under
the new Constitution, the chief executive came in second place (Article II). Despite a balance of
powers among the three branches of government, Congress was first among equals.
Today, the president of the United States is first among equals. Structurally under the
Constitution, the powers of Congress have not been diminished. However, few would argue
today that the president of the United States stands preeminent over the Congress in many ways.
Yet, through much of our history as a nation, the reverse was true: Congress was preeminent
over the presidency. Today, the president is, in terms of real and perceived power, the chief
policymaker of the country. What changed over the course of our history regarding Congress?
Why can virtually all Americans readily name the president, but few can identify their own
representatives in Congress?
The Congress of the United States consists of the House of Representatives and the Senate. It
enacts our federal laws and sets the federal budget. Members of Congress work to represent their
states and districts within their states. Individually, each member of Congress shares power with
his or her colleagues. As a body, Congress, the institution, makes laws and policy. Individually,
its members work to better the conditions of their states and districts. The Congress is organized
along political party lines and the party in the majority in the House and in the Senate has
enormous power to set and control its operations and agenda. The Republican-controlled House
during the first six years of George W. Bush’s presidency, along with the Senate under
Republican control for most of those six years, gave the Republican president numerous political
victories. With the election in 2006 of a Democratic majority in the House and the Senate, the
direction Congress took changed significantly. The 2008 elections increased the Democratic
majorities in the House and Senate which, along with the Democratic administration of President
Barack Obama, has enabled the adoption of a more liberal national agenda than what was
possible after Democrats achieved a majority in Congress in 2006.
It is important to understand the role of Congress and its members, how the Congress goes about
its business, the extent of its constitutional powers, and how it interacts with the president. This
chapter discusses how Congress is organized, how it makes laws as a body, how the individual
members of Congress make decisions, how the relationship between Congress and the executive
branch works.
95
This chapter is designed to inform you about the institution of Congress. The main topic
headings of the chapter are:
• Roots of the Legislative Branch of Government

• How Congress Is Organized
• The Members of Congress
• How Members Make Decisions
• The Law-Making Function of Congress
• Toward Reform: Congressional Checks on the Executive and Judicial Branches
ideas, dates, facts, events, people, etc., are more difficult to pull out of the narrative. (Keep in
following:
• the roots of Congress, the legislative branch of government

• how Congress is organized, and how the differences between the House and the
Senate affect the legislative process
• how members of Congress are elected and what they do
• how members of Congress make decisions and what factors influence those
decisions
• the law-making function of Congress
• how members of Congress make decisions
• reform efforts and congressional checks on the other two branches of government
-- the executive and judicial
Nancy Pelosi—
the Framers’ original concept of Congress’s representational function—
the dual role Congress plays—
96
The Roots of the Legislative Branch of Government
Article I of the Constitution—
the Great Compromise—
bicameral legislature—
requirements for membership in the House and Senate—
term of office for Senators and staggered election—
how Senators are elected under Article I—
Seventeenth Amendment—
term of office for members of U.S. House of Representatives—
how House members are elected and related expectations of the Framers for the
House—
census—
size of the House in 1790—
expansion of the size of the House—
House membership set by statute in 1929—
apportionment—
redistricting—
Congress's most important power—
bill—
powers constitutionally shared by both houses—
bill—
necessary and proper clause—
Article I, Section 8—
formal law-making power—
97
Key Differences Between the House of Representatives and the Senate (Table
6.1):
constitutional differences—
differences in operation—
changes in the institution—
exclusive powers of each house—
impeachment—
role of the two houses in impeachment—
Senate’s sole power to approve presidential appointments (“advise and

consent” power)—
How Congress is Organized
a new Congress is seated every ____ years—
among first items on agenda of new Congress—
hierarchical leadership structure—
The Role of Political Parties in Organizing Congress
Organizational Structure of the House of Representatives and the Senate in the

111th Congress (Figure 6.1)—
majority party—
minority party—
The 111th Congress (Figure 6.2)—
role of parties regarding committees—
two sessions of Congress—
what happens at start of new Congress in party caucus or conference—
Committee on Committees—
Steering Committee—
campaign committee—
98
The House of Representatives
the first Congress in 1798—
what Congress was like in the early years of the nation—
more tightly organized, more elaborately structured, governed by stricter rules—
loyalty to leader and party line votes—
the leadership: Speaker, majority and minority leaders, Republican and

Democratic House whips—
The Speaker of the House—
when and how Speaker elected—
current and previous Speaker—
duties of Speaker—
Politics Now: Leadership Styles of the Speakers of the House—
Other House Leaders—
party caucus or conference—
majority leader—
where the two parties sit in the House chamber—
minority leader—
whips—
The Senate
presiding officer of the Senate, status and duties—
official chair of the Senate—
how president pro tempore elected and his duties—
duty of presiding over Senate rotates—
true leader of the Senate—
majority leader of the Senate and duties—
99
majority leader’s power compared to Speaker’s power—
minority leaders—
whips—
Senate rules give tremendous power to individual senators—
The Committee System
real legislative work of Congress takes place in committees—
first and last place most bills go—
when conference committees come into play—
particular importance of committees in the House—
institutional committee system created in 1816—
Republican reorganization of committee structure in 1995—
impact of 1995 House takeover by Republicans on committee structure—
types of committees—
1) standing committees—
2) joint committees—
3) conference committees—
4) select (or special) committees—
Committees of the 111th Congress (Table 6.2)—
House Committee on Rules—
power of standing committees—
discharge petition—
committee assignments in House and Senate—
framing legislation in House and Senate—
more individual input in Senate—
100
committee membership—
value of committee assignments to members—inform their party’s selection of

committee of their preferences-seek to acquire those that will add to the value of their portfolios
pork—Legislation that allows representatives to bring home the bacon to their

districts in the form of public works programs, military bases, or other programs designed to
benefit their districts directly.
earmarks—Funds in appropriations bill that provide dollars for particular

purposes within a state or congressional district.
value of public works programs to members—improves a members chances for

reelection
value of membership on some committees to campaign contributions—facilitate

reelection by giving House members influence over decisions that affect large
campaign contributors
Appropriations and Budget Committees—provide reward of power and influence
party distribution and committee membership—reflects within the chamber
share of committee membership for majority Democrats in 111th Congress—thus

claimed about a fifty-eight percent share of the seats on several committees
majority party control of Committee on Rules—regulates access to the floor for

legislation approved by other standing committees, control by the majority party
is essential for it to manage the flow of legislation-it makes up more than 2/3 of
the Committee on Rules of memberships
committee chairs—enjoy tremendous power and prestige
power of committee chairs—authorized to select all subcommittee chairs, call

meetings, and recommend majority members to sit on conference committees
chairs and committee staff—opt to kill a bill by refusing to schedule hearings on

it-have large committee staff at their disposal and are often recipients of favors from lobbyists
lobbyists and committee chairs—recognize the chair’s unique position of power

will give favors
a chair's best allies—Personal skill, influence, and expertise
seniority—Time of continuous service on a committee
role of seniority in selecting committee chairs in House and in Senate—in the

house, unlike the Senate, are no longer selected by seniority
101
The Members of Congress
taking a toll on many members—high cost of living in Washington and

maintaining two homes, political scandals, intense media scrutiny, the need to tackle hard issues,
and a growth of party dissension
members must try to appease two constituencies—party leaders, colleagues, and

lobbyists in Washington D.C. and constituents at home
A Day in the Life of a Member of Congress (Table 6.3)—
Running for Office and Staying in Office
factors important to election to Congress—membership in one of the two major

political parties and incumbency
incumbency—The fact that being in office helps a person stay in office because of
a variety of benefits that go with the position
success of incumbents in reelection—name recognition, access to free media, an

inside track on fund-raising, and a district drawn to favor the incumbent
Analyzing Visuals: Approval Rating of Congress and Individual

Representatives—Approval Ratings of Congress and Individual
Representatives, most Americans have higher regard for their own members of Congress than for
Congress collectively
average percentage of incumbents who win reelection—96% win primary and

general election races
Congressional Demographics
general demographics of members of Congress—better educated, richer, more

male, and more white than the general population
education—college graduates
wealth—significant inherited wealth
“Millionaires Club”—The Senate often called
age—62
women—record number elected to congress 74 in house, 17 in senate
minorities in 2009 in the House and Senate—record number 2009 39 in house
Barack Obama—Until his election to presidency, was the only African American
in the Senate
102
Female and Minority-Group Members of Congress, Selected Years (Figure 6.3)—
occupations—members of congress no longer are overwhelmingly lawyers,

although lawyers continue to be the largest single occupational group
veterans—has continued to decline since the end of the Vietnam War
Theories of Representation
Edmund Burke—British political philosopher believed that although he was

elected from Bristol, it was his duty to represent the interests of the entire nation-He reasoned
that elected officials were obliged to vote as they personally thought best
trustee—Role played by elected representatives who listen to constituents’

opinions and then use their best judgment to make final decisions
delegate—Role played by elected representatives who vote the way their

constituents would want them to, regardless of their own opinions
politico—Role played by elected representative who act as trustees or as

delegates, depending on the issue
How Members Make Decisions
Party
members look to party leaders—for indications of how to vote
increase of party votes where majorities of the two parties took opposing sides
(from 1970 to mid-1990)—roughly doubled to more than 60% of all roll-call
votes
unanimity of votes in 107th and 108th Congress—Under unified control in the 107th
Congress there was perfect party unity on all major votes taken in the House-In the 108th
congress, Democratic senators demonstrated unanimity in filibustering several presidential
judicial nominations to the U.S. Courts of Appeals.
party reigns supreme—in both closely divided houses unanimity of votes in 107th
and 108th congress
divided government—The political condition in which different political parties

control the White House and Congress
Constituents
constituents—the people who live and vote in a representative’s home district or

state-are always in a member’s mind when casting votes
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how often do members vote in conformity with people in the districts?—rare
particularly on issues of welfare rights, domestic policy, or other highly salient issues
Colleagues and Caucuses
logrolling—vote trading, voting yea to support a colleague’s bill in return for a

promise of future support
special-interest caucuses—created around issues, home states, regions,

congressional class, or other commonalities facilitate this communication
Interest Groups, Lobbyists, and Political Action Committees
primary functions of most lobbyists—provide information to supportive or

potentially supportive legislators, committees, and their staffs
grassroots appeals—interest groups use to pressure legislators by urging their

members in a particular state or district to call, write, fax, or e-mail their senators or
representatives
major source of most member’s campaign funding—5,000 political action

committees (PACs)
Staff and Support Agencies
members' reliance on staff—for information on pending legislation
duties of staff—influence a bill when it is non-ideological or one on which the

member has no real position-greatest influence on their boss
committee staff—congressional committees and subcommittees

influence of staff on voting—
lobbyists and staffers—lobbyist are likely to contact key staffers as they are
members
Ideas Into Action: Be a Congressional Intern—Senators and representatives

cannot do their jobs by themselves-professional staffers cannot do everything members of
Congress require-Internships
committee staff— assist committee members
congressional support agencies— Congressional Service (CRS) at the Library of

Congress, the Government Accountability Office (GAO), and the Congressional Budget Office
(CBO) Research
The Law-Making Function of Congress
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chief function among Congress's constitutional responsibilities—law-making
functions
from where legislative proposals can come—come from the president, executive
agencies, committee staffs, interest groups, or even private individuals
who can formally submit a bill for congressional consideration—members of the

House or Senate
what happens to most bills introduced by members of Congress?—usually reaches

a dead end
approximate number of bills introduced in 110th Congress that were made into law
—fewer than 5%
How a Bill Becomes a Law: The Textbook Version
How a Bill Becomes a Law (Figure 64)—must be approved by one or more

standing committees and both chambers, and, if House and Senate versions differ, each house
must accept a conference report resolving those differences
bill introduced—by a member of Congress
sponsors and co-sponsors—to show support for the aims of the bill is often
one role of clerk of House and of Senate—gives it a number example HR1 or S1

indicating House or Senate bill number one
three stages of bill becoming a law: committee, on the floor, when two chambers
approve different versions of the same bill—
first action, with the committee—after a bill is referred there by the Speaker of the
House or by the Senate majority leader
role of committee and subcommittee—committee refers the bill to one of its

subcommittees, which researches the bill and decides whether to hold hearings on it-
subcommittee hearings provide the opportunity for those on both sides of the issue to voice their
opinions
if bill returned to full committee—subcommittee votes in favor of the bill
markup—A process in which committee members offer changes to a bill before it

goes to the floor in either house for a vote
second stage, on the House or Senate floor—takes place
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House Committee on Rules—before a bill may be debated on the floor must be
approved by and given a rule and a place on the calendar, or schedule (House budget bill,
however, don’t go to the Committee on Rules)
Committee of the Whole—procedure allows the House to deliberate with only

one hundred members present, to expedite considerations of the bill
actions taken on floor—the bill is debated, amendments are offered, and a vote
ultimately is taken by the full House
if bill survives—it is sent to the Senate for consideration if it was not considered
there simultaneously
hold—A tactic by which a senator asks to be informed before a particular bill is

brought to the floor. This allows the senator to sop the bill from coming to the floor until
the hold is removed
filibusters—A formal way of halting action on a bill by means of long speeches or

unlimited debate in the Senate-poetry, cookbook, keep talking
cloture—Mechanism requiring sixty senators to vote to cut off debate end

filibuster
third stage, when two chambers of Congress approve different versions of same
bill—establish a conference committee to iron out the differences between the
two versions
conference committee (a bill must pass both houses in the same language
to go to the president)—members often are from the original House and Senate
committees, hammers out a compromise, which is returned to each chamber for a final
vote
no changes or amendments—the compromise version are allowed
if bill passes---sent to the president has ten days to consider the bill
veto—Formal constitutional authority of the president to reject bills passed by

both houses of the legislative body, thus preventing the bill from becoming law without further
congressional activity
four options of president regarding veto within the 10 days he has to consider the
bill—
1)The president can sign the bill, at which point it becomes law
2)The president can veto the bill, which is more likely to occur when the
president is of a different party from the majority in Congress; Congress may
override the president’s veto with a two-thirds vote in each chamber, a very
difficult task
106
3)The president can wait the full ten days, at the end of which time the bill
becomes law without his signature if Congress is still in session
4)If the congress adjourns before the ten days are up, the president can
choose no to sign the bill, and it is considered pocket vetoed
pocket veto—If congress adjourns during the ten days the president has to
consider a bill passed by both houses of Congress, without the president’s signature
Toward Reform: Congressional Checks on the Executive and Judicial Branches
how the Constitution envisioned the interaction among the three

branches—Congress, the president, and the judiciary would have discrete
powers, and that one branch would be able to hold the other in check
actual relationship between Congress and the presidency, especially since

the 1930s—president often has held the upper hand-similar checks and
balances affect relations between Congress and the courts
The Shifting Balance of Power
oversight—Congressional review of the activities of an agency, department, or

office
oversight committees beginning in the 1970s and 1980s—as a means of

promoting investigation and program review, to determine if an agency, department or office is
carrying out its responsibilities as intended by Congress
Republican-controlled Congress oversight of Clinton administration—was

especially mindful of its oversight duties during the Clinton administration
key to Congress’s performance of its oversight function—is its ability to question

members of the administration to see if they are enforcing and interpreting the laws as intended
by Congress
committee hearings—are among Congress’s most visible and dramatic actions
oversight purposes of committee hearings—focus on particular executive-branch

actions and often signal that congress believes changes in policy need to be made before an
agency next comes before the committee to justify its budget
additional means of oversight at disposal of Congress— improve program administration-

interested in the issues under their jurisdiction-want of help policy makers
Congressional Review Act of 1996—allows Congress to nullify agency

regulations by joint resolutions of legislative disapproval-provides Congress with
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60 days to disapprove newly announced agency regulations, often passed to
implement some congressional action
congressional review— A process whereby congress can nullify agency

regulations by a joint resolution of legislative disapproval
foreign policy and national security—Constitution divides between the executive

and legislative branches
division of foreign policy powers between the Congress and the president under
the Constitution—president has the power to wage war and negotiate treaties-
Congress has the power to declare war and the Senate has the power to ratify
treaties
War Powers Act of 1973—Passed by Congress in 1973; the president is limited in

the deployment of troops overseas to a sixty day period in peacetime (which can be extended for
an extra thirty days to permit withdrawal) unless congress explicitly gives its approval for a
longer period of time
limited effectiveness of War Powers Act—in claiming a larger congressional role

in international crisis situations
presidents consider War Powers Act unconstitutional—it limits presidential

prerogatives as a commander in chief
confirmation of presidential appointments—Senate plays a special oversight

function through its ability to confirm key members of the executive branch, as well as
presidential appointments to the federal courts
Senate’s special oversight function— ability to confirm key members of the

executive branch
confirmation of key members of executive branch and presidential appointments

to the federal courts—Senate’s special oversight function
what a wise president does before making controversial nominations—considers

senatorial reaction
the impeachment process—is Congress’s ultimate oversight of the U.S. president

(as well as of federal court judges)
ultimate oversight—impeachment of president
Constitution vague about impeachment—debate about what is an impeachable

offense
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treason, bribery, or other “high crimes and misdemeanors”—Constitution
specifies
number of federal officials impeached by House and ultimate results—voted 17,

impeached 7; 3 resigned
only four resolutions against presidents have resulted in further action:
1)John Tyler charged with corruption and misconduct in 1843
2)Andrew Johnson, charged with serious misconduct in 1868
3)Richard M. Nixon charged with obstruction and the abuse of power in

1974
4)Bill Clinton, charged with perjury and obstruction of justice in 1998
Congress and the Judiciary
power of judicial review and the acts of Congress—exercises its control over the
judiciary
ways in which Congress can exercise control over the federal judiciary—establish
the size of the Supreme Court, its appellate jurisdiction and the structure of the federal court
system and to allocate its budget
senatorial courtesy—A process by which presidents, when selecting district court

judges, defer to the senator in whose state the vacancy occurs
setting jurisdiction of federal courts—congressional oversight of the judicial

branch that involves both the House and the Senate
1) Do some research and compare the 100th Congress to the 111th Congress in terms of party
majority, leadership, representation, minorities, women, structure, incumbency
advantage, and rules. What were the major changes? What accounts for the similarities
and differences?
2) Using the Congressional Web site or government documents, research the transition
between the 110th and 111th Congresses. What happened from election day 2008 to office-
taking in January 2009? How are new members introduced to the rules, protocols, and
traditions of the House and Senate? What happens to staff if their member is defeated?
How do new members recruit staff? How are leaders chosen? How are rules made? Are
there any “left-over issues” from the 110th? What impact has the 111th Congress had on
the country?
109
3) Pick a piece of legislation from the current session of the 111th Congress. Write a
legislative history of that bill or law. Outline the steps it took, who supported it, who
opposed it, and various other influences on its passage. Were there hearings, witnesses, or
controversy? Does this compare with what you learned in the text about the law-making
process? How?
4) Most Americans claim to dislike and distrust Congress but like and trust their own
member of Congress. What explains this paradox? Do some research on public opinion
and voting behavior, analyze the media coverage of Congress, think about what members
of Congress do, and why this would be the case. Prepare a presentation explaining this
phenomenon for class. See if you can determine how your own U.S. Representative is
perceived in your area as well.
5) There have been a number of high-profile scandals in the Congress throughout history.
Americans now seem quite concerned about the ethics of the legislature. Do some
research on scandals in Congress. What were some of major scandals in history? How
severe have they been? How widespread have they been? Is it a few bad apples or the
whole barrel? Be sure to look at how the media have covered these scandals or the lack
thereof in your discussion of the ethical nature of Congress. Be sure to discuss the
scandals of the 110th Congress that led to the increase of Democratic majorities in both
houses in the 2008 general election.
Web Sites
Thomas is the official government Web site about the United States Congress from the Library
of Congress with information on legislation, the Congressional Record, as well as numerous
links to Congress-related sites.
http://thomas.loc.gov
Official site of the U.S. House of Representatives.

http://www.house.gov
Official site of the U.S. Senate.

http://www.senate.gov
C-SPAN provides the most extensive coverage of Congress available on television over its three
cable channels. Its Web site allows you to follow congressional action as it is broadcast with
streaming video or audio. C-SPAN’s Capitol Spotlight Web site is sponsored by Congressional
Quarterly and has headings such as Write to Congress, Directory of Congress, Vote Library,
Bills to Watch, Live Hearings and many more.
http://www.c-span.org/capitolspotlight/index.asp
Congressional Quarterly (CQ) is a nonpartisan publication whose mission is to inform the

electorate. Access to most of the material on the CQ Web site requires a paid subscription;
however, some free information is available. Check with your college library to see if your
school has a CQ subscription which you can use to obtain information from the site which
includes information on Congress such as bios, votes, and election information. They also have a
link to their state and local level publication.
110
http://www.cq.com
GPO Access by the U.S. Government Printing Office offers the full text of many federal
government publications on the Web, including the Congressional Record. Among the growing
list of titles available are the Federal Register, Congressional Bills, United States Code,
Economic Indicators and GAO Reports.
http://www.gpoaccess.gov/legislative.html
The Hill: The Capital Newspaper. From their Web site: “The Hill reports and analyzes the
actions of Congress as it struggles to reconcile the needs of those it represents with the legitimate
needs of the administration, lobbyists, and the news media. We explain the pressures confronting
policymakers, and the many ways—often unpredictable—that decisions are made. But Capitol
Hill is more than the focal point of the legislative branch of government. It is also a community
not unlike a small city, and we report on its culture, social life, crime, employment, traffic,
education, discrimination, shopping, dining, travel, and recreation. Our editorial viewpoint is
nonpartisan and nonideological.”
http://www.hillnews.com
RollCall On-Line. “Roll Call is widely regarded as the leading source for Congressional news
and information both inside the Beltway and beyond.” RollCall On-Line publishes many of the
same stories, classifieds, etc. that the print edition publishes. Published on Mondays and
Thursdays.
http://www.rollcall.com
Congress.Org is a joint venture of two Washington, D.C. area firms with expertise in
communicating with Congress. Capitol Advantage and Knowlegis, LLC, two non-partisan
companies that specialize in facilitating civic participation, started Congress.Org in 1996. Some
search engines refer to it as a “one-stop shop” for legislative information including contact
information on members, committee assignments, etc.
http://www.congress.org
Public Citizens' Congress Watch is a consumer interest group that monitors and lobbies
Congress. Its Web site reports on its actions and issues in the current Congress.
http://www.citizen.org/congress
The Washington Post. Check out the “Today in Congress” section, which offers comprehensive
coverage of the Congress, including committee hearings and votes. A free subscription is
required.
http://www.washingtonpost.com/wp-dyn/content/politics/congress/?nav=left
Project Vote-Smart is a nonpartisan information service funded by members and nonpartisan

foundations. It offers “a wealth of facts on your political leaders, including biographies and
addresses, issue positions, voting records, campaign finances, evaluations by special interests.” It
also offers “CongressTrack,” a way for citizens to track the status of legislation, members and
committees, sponsors, voting records, clear descriptions, full text, and weekly floor schedules, as
well as access to information on elections, federal and state governments, the issues, and politics.
Includes thousands of links to the most important sites on the Internet.
http://www.vote-smart.org
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Practice Tests
1) The first woman to be speaker of the U.S. House is

A) Shirley Chisholm.
B) Kay Bailey Hutchinson.
C) Nancy Pelosi.
D) Susan B. Anthony.
E) Diane Feinstein
2) Which of the following best summarized the outcome of the 2006 elections?
A) Republicans retained control of both chambers.
B) Democrats retained control of both chambers.
C) Republicans regained control of both chambers.
D) Democrats regained control of both chambers.
E) Democrats regained control of the House, while Republicans retained control of the
Senate.
3) How has congressional authority changed over time?

A) It has grown.
B) It has declined.
C) It has been replaced with judicial authority.
D) It has been eliminated.
E) It has remained the same.
4) Apportionment and redistricting typically occur every

A) two years.
B) four years.
C) six years.
D) 10 years.
E) 20 years.
5) State legislatures lost their control over the selection of senators when the ________
Amendment was ratified in 1913.
A) Fifteenth
B) Seventeenth
C) Nineteenth
D) Twenty-First
E) Twenty-Third
6) In 1790, each member of the House of Representatives represented ________ citizens.

A) 20,000
B) 30,000
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C) 40,000
D) 50,000
E) 70,000
7) There are ________ members of the House of Representatives and ________ members of the
Senate.
A) 376; 50
B) 435; 50
C) 435; 100
D) 527; 50
E) 527; 100
8) The only officer of the House of Representatives specifically mentioned in the Constitution is
the
A) Speaker of the House.
B) president pro tempore.
C) vice president.
D) sergeant at arms.
E) majority leader.
9) The congressional leaders whose major task is to keep party members in line and track votes
are called
A) party whips.
B) majority leaders.
C) minority leaders.
D) sergeants at arms.
E) party pathfinders.
10) Who presides over the Senate in the absence of the vice president?
A) the speaker of the Senate.
B) the president pro tempore of the Senate.
C) the majority leader of the Senate.
D) the speaker.
E) the Senate parliamentarian.
11) A committee that is established on a temporary basis is called a/an ________ committee.
A) standing
B) ad valorem
C) select
D) pro tempore
E) discharge
12) What are funds that an appropriations bill designates for a particular purpose within a state or
congressional district?
A) Fowl
B) Sequesters
113
C) Earmarks
D) Bling
E) Cloture
13) When Congress is in session, a member's day can best be describes as

A) chaotic.
B) leisurely.
C) short.
D) boring.
E) simple.
14) Elected representatives who listen to their constituents' opinions and then use their best
judgment to make decisions are
A) incommunicados.
B) politicos.
C) simpaticos.
D) delegates.
E) trustees.
15) The Congressional Muslim Staffers Association

A) was responsible for the election of the first Muslim to the Senate.
B) sued Congress for a place to pray.
C) works to educate policymakers about Islam.
D) has complained about widespread discrimination against Muslim staffers.
E) was banned after the terrorist attacks of 9/11.
16) All bills must be introduced by

A) a member of Congress.
B) the president.
C) an interest group.
D) any staffer.
E) a joint resolution signed by the president's Cabinet.
17) What typically happens to a House bill after it is reported by the full committee?
A) It is introduced in the corresponding committee in the Senate.
B) It is debated on the House floor.
C) It is sent to a conference committee.
D) It is sent to the Rules Committee.
E) It is sent to the Committee on Committees.
18) How do you end a filibuster?

A) a hold
B) cloture
C) a discharge petition
114
D) a veto
E) Any of the procedures listed above will end a filibuster.
19) Congressional review under the Congressional Review Act of 1996 has been used
A) routinely by Congress to exercise oversight of the executive branch.
B) far more by President Bush than President Clinton.
C) only once.
D) to support the USA Patriot Act.
E) to express disapproval of laws passed by Congress without actually vetoing them.
20) The War Powers Act provides for all of the following EXCEPT
A) allowing a president 30 days to implement a withdrawal of troops.
B) presidents obtaining congressional approval before committing troops abroad.
C) requiring presidents to notify Congress within forty-eight hours of deploying troops.
D) requiring the president to withdraw troops after sixty days unless Congress declares war.
E) giving the president the power to officially declare war.
1) Nancy Pelosi was the first Republican elected to a leadership position in the House.
2) While the public typically disapproves of Congress, they tend to approve of the member who
represents their district.
3) The organization of Congress is closely tied to political parties.
4) The vice president of the United States is the constitutionally designated presiding officer of
the House.
5) Whips are named after the whips that they used in the eighteenth-century to control partisan
loyalties in Parliament.
6) The Israeli Knesset was modeled on the U.S. Congress and operates in a nearly identical
fashion.
7) If a committee chair desires, he or she can usually kill a bill.
8) House incumbents usually win reelection, while Senate incumbents usually lose their
reelection bids.
9) Divided government refers to the situation where the Congress and the Supreme Court are
composed of different political majorities.
10) The Congressional Budget Office helps members of Congress by evaluating the costs and
economic effects of proposed legislation.
1) What does Nancy Pelosi mean by the "marble ceiling"?
115
2) Briefly explain redistricting and reapportionment.
3) Evaluate Figure 6.2 and summarize the relationship between geography and partisan control
of congressional seats.
4) Discuss the importance of conference committees.
5) How representative are the members of Congress in terms of their work experiences?
6) What are the options that a president has once he receives a bill passed by both houses of
Congress?
7) How is oversight of a Republican president by a Republican Congress likely to be different

than oversight of a Republican president by a Democratic Congress?
8) Discuss the powers of Congress and the differences between the House and Senate.
9) What is incumbency and how can it be used to help members of Congress win reelection?
10) What is a filibuster, why is it used, and how does it work?
116
117
CHAPTER 7
THE PRESIDENCY
Ask a friend, “who is your Congressman?” and you are likely to get a blank stare in return. Ask
her, however, “who is the president?” and she will respond instantly, “Barack Obama, of
course!” Congress, constitutionally the first branch of government, has taken a back seat in
American politics and government to the president, not only in public awareness but in raw
power. The constitutional authority, statutory powers, and burdens of the modern presidency
make it a powerful position and an awesome responsibility. Most of the men who have been
president in the past two decades have done their best in the job; yet, in the heightened
expectations of the American electorate, most have come up short. Our awareness of the
president in our public life is high, and our expectations of the person in that office are even
higher. Not only did the Framers not envision such a powerful role for the president, they could
not have foreseen the skepticism with which many presidential actions are now greeted by
journalists and the public. These expectations have also led presidents into policy areas never
dreamed of by the Framers.
This chapter is designed to give you a basic understanding of the presidency as an institution, as
well as some information on the men who have occupied the office. The main topic headings of
the chapter are:
• The Roots of the Office of President of the United States

• The Constitutional Powers of the President
• The Development and Expansion of Presidential Power
• The Presidential Establishment
• Presidential Leadership and the Importance of Public Opinion
• Toward Reform: The President as Policy Maker
In each section, you will find certain facts and ideas that you should work to understand. Many
are in boldface type and appear in both the narrative and in the glossary at the end of the book.
Other ideas, dates, facts, events, people, etc. are more difficult to find in the narrative. (Keep in
mind that the process of reading and studying for objective exams [multiple choice, T/F] is
different from studying for essay tests. See the Study Guide section on test taking for help with
study skills.)
following:
• the roots and rules of the Office of President of the United States and the
Framers’ creation of a chief executive officer under the new constitution
• Article II and the constitutional powers of the presidency
• the development and expansion of presidential power and a more “personalized”
presidency; how presidential success now depends on his (or her) personality,
popularity, leadership style, and position on the range of presidential authority
118
• the ever-burgeoning presidential establishment made up of advisors, assistants,
and departments, all helping the president do his job, but making it easier for him to
lose touch with the people
• presidential leadership and the significance of public opinion: how public opinion
affects the presidency and how the president affects public opinion
• reforms made by the president as policy maker
one of the first things a president is asked upon taking office—to consider funeral
plans
what the Framers might think of the modern president’s powers—awesome power
and responsibility
key components of a president’s ability to get his adopted and his vision
implemented—public opinion and confidence
power to persuade—become more important over time
Roots of the Office of President of the United States
executive branch and the Articles of Confederation—None;
president of the Congress under the Articles of Confederation—18 men president

in name only-no actually authority or power in the new nation
the Constitutional Convention and the executive branch—little dissention about

the need for an executive branch to implement the laws made by Congress
George Washington—would become the first president of the new nation
the Framers and the president—The manner of the president’s election haunted
the Framers for some time, and their solution to the dilemma-the creation of the Electoral
College
Presidential Qualifications and Terms of Office
qualifications—be a natural-born citizen of the United States, at least thirty-five

years old, and a resident of the United States for at least fourteen years
119
Personal Characteristics of the U.S. Presidents (Table 8.1)—
term limits considered for president during Constitutional Convention—four-year

term with eligibility for reelection
Article II on terms a president may serve—impeachment provision in-as a check

on the power of the presidetn
Twenty-Second Amendment—Adopted in 1951, prevents a president from

serving more than two terms, or more than ten years if he come to office via a death or
impeachment of his predecessor
impeachment—The power delegated to the House of Representatives in the

Constitution to charge the president, vice president, or other “civil officers,” including federal
judges, with “Treason, Bribery, or other high Crimes and Misdemeanors.” This is the first step
in the constitutional process of removing such government officials from office.
only president to resign—President Richard M. Nixon-rather than face the

certainty of impeachment, trial, and removal from offices for his role in covering up details
about a break-in at the Democratic Party’s national headquarters in the Watergate office
complex
executive privilege—An implied presidential power that allows the president to

refuse to disclose information regarding confidential conversations or national security to
Congress or the judiciary.
U.S. v. Nixon (1974)—Key Supreme Court ruling on power of the president,

finding that there is no absolute constitutional executive privilege to allow a president to refuse
to comply with a court order to produce information needed in a criminal trial
Rules of Succession
number of presidents to die in office (through 2009)—8
first president to die in office—William H Harrison
first president to be assassinated—Abraham Lincoln
Presidential Succession Act of 1947—lists in order those in line to succeed the

president
line of succession (after the vice president)—1) Speaker of the House of

Representatives 2) President pro tempore of the Senate 3) Secretaries of state, treasury, and
defense, and other Cabinet heads in order of the creation of their department
Twenty-fifth Amendment—Adopted in 1967 to establish procedures for filling

vacancies in the office of the president and vice president as well as providing for procedures to
deal with the disability of a president
120
what happens if a vacancy occurs in the office of the vice president?—The twenty
fifth amendment directs the president to appoint a new vice president, subject to the approval (by
a simple majority) of both houses of Congress
The Living Constitution: Twenty-Fifth Amendment, Section 2—Whenever there

is a vacancy in the office of the Vice President, the President shall nominate a Vice President
who shall take office upon confirmation by a majority vote of both Houses of Congress
The Constitutional Powers of the President
Framers did not agree on role and authority of a president—the proper role of the
president of the sweep of his authority
Article II less defined than Article I—In contrast to Article I’s laundry list of
enumerated powers for the Congress, Article II details few presidential powers
first sentence of Article II—“The executive Power shall be vested in a President

of the United States of America”
The Appointment Power
appointment of ambassadors, federal judges, executive positions—with the advice

and consent of the Senate,
powerful policy-making tool—“Ambassadors, other public Ministers and Consuls,

judges of the supreme Court, and all other Officers of the United States, whose Appointments
are not herein otherwise provided for, and which shall be established by Law.”
president's authority to make appointments to his administration—nearly 3,000

appointments to his administration (of which just over 1,000 require Senate confirmation).
president’s enforcement power—he often can set the policy agenda for the nation
setting the policy agenda for the nation—through president’s enforcement power
what presidents look for in appointments—blend of loyalty, competence, and

integrity
Women on Presidential Teams: Carter to G.W. Bush (Table 7.1)—
Bill Clinton and George W. Bush minority appointments—have made an effort to

create a Cabinet and staff that, in President Clinton’s terms looks “more like America
Cabinet—The formal body of presidential advisers who head the fifteen executive
departments. Presidents often add others to this body of formal advisers.
121
rejection of presidential nominees—selections traditionally were given great
respect –until the Clinton administration the vast majority (97%) of all presidential nominations
were confirmed
The Power to Convene Congress
The State of the Union—Constitution requires the president to inform the

Congress periodically
power to convene Congress— authorizes the president to convene either or both
houses of Congress on “extraordinary Occasions”
Hamilton in Federalist No. 77—justified the latter by noting that because the
Senate and the chief executive enjoy concurrent powers to make treaties, “It might often be
necessary to call it together with a view to this object, when it would be unnecessary and
improper to convene the House of Representatives.”
president's power to convene Congress not as important now; why?—was

important when Congress did not sit in nearly year-round sessions
The Power to Make Treaties
must be approved by Senate vote—2/3 of members
"receive ambassadors"—wording that has been interpreted to allow the president

to recognize the existence of other nations
Senate may require amendments to a treaty prior to its consent—substantial
Jimmy Carter and Panama Canal Treaty—proposed the controversial Panama

Canal Treaty in 1977 to turn the canal over to Panama, for example, the Senate required several
conditions to be ironed out before approving the canal’s return
presidents may “unsign” treaties—a practice often met with dismay from other
signatories
George W. Bush and International Criminal Court (ICC)—Bush administration

formally withdrew its support for the International Criminal court (ICC). In a short, three-
sentence letter to United Nations Secretary General Kofi Annan, the United States withdrew
from efforts to create the first permanent court to prosecute war crimes, genocide, and signed by
President Bill Clinton and was scheduled to take effect July 1, 2002. Critics of the treaty argued
that it could lead to politically motivated charges against U.S. troops in Afghanistan and Iraq
executive agreement—Formal government agreement entered into by the

president that does not require the advice and consent of the U.S. Senate
Treaties and Executive Agreements Concluded by the United States, 1789-2006

(Table 8.4)—
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Veto Power
veto power—The formal, constitutional authority of the president to reject bills

passed by both houses of Congress, thus preventing them from becoming law without further
congressional action
“qualified negative”—only as
congressional override—authority to override an executive veto by 2/3 vote in

each house
why veto power is a power policy tool for a president—Congress cannot usually
muster enough votes to override a veto
number of vetoes and number overridden over past 200 years—2,500; only about
a hundred have been overridden
The Power to Preside over the Military as Commander in Chief
Commander in Chief—one of the most important constitutional executive powers

is the president’s authority over the military; Article II over Army and Navy of the U.S.
power to declare war—Constitution Congress the authority to declare war,

presidents have used the commander in chief clause in conjunction with the chief executive’s
duty to “ take Care that the Laws be faithfully executed” to wage war (and to broaden various
powers)
The War Powers Act of 1973—Passed by Congress in 1973; the president is

limited in the deployment of troops overseas to a sixty-day period in peacetime (which can be
extended for an extra thirty days to permit withdrawal) unless Congress explicitly give its
approval for a longer period
opinion of presidents since Nixon on constitutionality of War Powers Act—

continued to insist that War Powers Act is an unconstitutional infringement of
their executive power
George W. Bush and request to Congress for use of force in 2001 and 2002—
complied with the act when he sought, and both houses of Congress approved, a
joint resolution authorizing the use of force against “those responsible for the
recent [Sept 11] attacks launched against the U.S.”
Join the Debate: The War Powers Act—While the Constitution divides the power
to wage war between Congress and the president, scholars and politicians
disagree on the specifics of the division. They also disagree on how this division
should play out in specific circumstances. The constitution gives Congress the
authority to declare was, to make the rules that govern military forces and to
provide appropriations to the armed services. Yet the president’s constitutional
jurisdiction over war powers has steadily increased since the nations founding.
Although President James Madison would not go to war with Great Britain in
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1812 without a war declaration from Congress, the last sex major America
conflicts were conducted without formal declarations of war.
The Pardoning Power
pardon—An executive grant providing restoration of all rights and privileges of

citizenship to a specific individual charged or convicted of a crime
Gerald Ford pardon of Richard Nixon—most famous presidential pardon Nixon-

who had not been formally charged with any crime-“for any offenses against the U.S. which he,
Richard Nixon, has committed or may have committed while in office.”
The Development and Expansion of Presidential Power
expectations of presidential authority outstripped by limitations on

authority—find accomplishing their goals much more difficult than they
envisioned
Harry Truman’s predictions for incoming president, Dwight Eisenhower—“He’ll

sit here and he’ll say, ‘Do this! Do that!’ And nothing will happen. Poor Ike-it won’t be a bit
like the army. He’ll find it very frustrating.”
limits on presidential powers—in formal powers enumerated in Article II of the

constitution and by the Supreme Court’s interpretation of those constitutional provisions
factors influencing a president’s use of his powers—affected by the times in

which the president serves, his confidantes and advisers, and the president’s personality and
leadership abilities
Lincoln’s legally questionable acts—suspended the writ of habeas corpus, which

allows those in prison to petition to be released, citing the need to jail persons even suspected of
disloyal practices. He ordered a blockade of southern ports, in effect initiating a war without
the approval of Congress. He also closed the U.S mails to treasonable correspondence
inherent powers—Powers that belong to the national government simply because

it is a sovereign body
Lincoln’s argument regarding inherent powers of the presidency—inherent

powers of his office allowed him to circumvent the Constitution in a time of war or national
crisis
Ranking U.S. Presidents (Table 7.3)—
presidential leadership has grown along with development of new

communications technology—increasingly important
Congress as decision maker before instantaneous communications—with its

relatively slow deliberative processes to make most decisions
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Congress closest to the people before electronic communications—changed
effects to technological changes on public expectations—public’s expectation

that the president will be the individual to act quickly and decisively on behalf of the entire
nation
expansion of presidential powers and the four term presidency of Franklin D.

Roosevelt —To jump-start the American economy, FDR asked Congress
for “broad executive powers to wage a war against the emergency, as great as the power that
would be given to me if we were in fact invaded by a foreign foe.”
Great Depression—substantial portion of the U.S. workforce was unemployed
New Deal—The name given to the program of “Relief, Recovery, Reform” begun
by President Franklin D. Roosevelt in 1933 to bring the U.S. out of the Great Depression
New Deal and expansion of executive branch—Relief, Recovery, Reform new

federal agencies were created to implement New Deal
FDR personalized the presidency—establishing a new relationship between the

president and the people
FDR’s use of radio—addresses, or fireside chats, as he liked to call them, he

spoke directly to the public in a relaxed and informal manner about serious issues
modern presidency—burgeoning federal bureaucracy, an active and usually

leading role in both domestic and foreign policy and legislation, and a nationalized executive
office that used technology-first radio, then t.v. and now the internet-to bring the president
closer to the public than ever before.
The Presidential Establishment
The Vice President
reason presidents historically chose their vice presidents—largely to balance-

politically, geographically, or otherwise-the presidential ticket, with little thought given to the
possibility that the vice president would become president
Franklin D. Roosevelt and John Nance Garner—1932 openly disagreed with

Roosevelt over many policies, unsuccessfully sought the 1940 presidential nomination himself
what a vice president’s power depends on—how much the president is willing to
give him
Jimmy Carter and Walter Mondale—was first president to give his vice president
more than ceremonial duties-was fist vp to have an office in the White House
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George W. Bush and Dick Cheney—enjoyed access to , and ear of, the president
to his extent
Cheney's agenda— clearer agenda of where the U.S. should be moving, esp. in
terms of foreign affairs
The Cabinet
no provision for Cabinet in Constitution—no basis
what is the Cabinet?—is an informal institution based on practice and precedent

whose membership is determined by tradition and presidential discretion
the Cabinet by custom—includes the heads of major executive departments
role of the Cabinet as a body—major function is to help the president execute the
laws and assist him in making decisions
The U.S. Cabinet and Responsibilities of Each Executive Department (Table 7.4)
—Over the years Cabinet has grown along side the responsibilities of the
national government
pressure by interest groups and growth of the Cabinet—often were rewarded by

the creation of an executive department
power clientele groups and their corresponding Cabinet offices—i.e. farmers

(agriculture), business people (commerce), workers (labor), and teachers (education) saw the
creation of a department as increasing their access to the president
change in the presidents' reliance on the Cabinet—decreased
The First Lady
First Lady—wife of the president
role of First Lady since time of Martha Washington—have assisted presidents as

informal advisers while making other, more, public, and significant contributions to American
society
Edith Bolling Galt Wilson—who became President Woodrow Wilson’s surrogate

after he was left partially paralyzed and Eleanor Roosevelt, a tireless Demorcratic party activist
were two of the most visible first ladies
Eleanor Roosevelt—
Laura Bush—behind-the-scenes role with literacy the focus of her activities
The Executive Office of the President (EOP)
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The Executive Office of the President (EOP)—Created in 1939 to help the
president oversee the executive branch bureaucracy
expansion of EOP—to include several advisory and policy-making agencies and

task forces
prime policy makers—in their fields of expertise as they play key roles in
advancing the president’s policy preferences
National Security Council (NSC)—established in 1947 to advise the president on

American military affairs and foreign policy
policy preferences of presidents indicated by the kinds of offices they include in

the EOP—Bush new Office of Faith-Based and Community Initiatives to
help him achieve his goal of greater religious involvement in matters of domestic policy
The White House Staff
chief of staff—job is to facilitate the smooth running of the staff and the executive
branch of government
other key White House aides—counselor to the president; domestic, foreign, and
economic policy strategists; communications staff; White House counsel; and lobbyist who acts
as a liaison between the president and Congress
size and growth of president’s White House staff—is not the measure of power
that it often is in corporations
Executive Office Building—small offices
importance of proximity to Oval Office—power in the White House goes to those

who have the president’s ear; closest to the oval
Presidential Leadership and the Importance of Public Opinion
factors affecting a president's ability to get his programs adopted or

implemented—leadership abilities, his personality and powers of
persuasion, his ability to mobilize public opinion to support his actions, the public’s perception
of his performance and Congress’s perception of his public support
Presidential Leadership
importance of presidential leadership—remains an elusive concept for scholars to

identify and measure-important to all presidents seeking support for their programs and policies
leadership ability of great presidents—Washington, Jefferson, Lincoln, and FDR
Barber’s Presidential Personalities (Table 7.5)— “the way the president orients himself
toward life”
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usefulness of presidents' increasing public attention to particular issues—can
exercise leadership through
significance of a president’s ability to grasp the importance of leadership

style—“the power to persuade”
Going Public: Mobilizing Public Opinion
Theodore Roosevelt and the bully pulpit—presidents tried to reach out to the
public to gain support for their programs through
development of communications technology—have made direct communication

to larger numbers of voters easier
“going public”—Direct, presidential appeals to the electorate like those often

mad by recent presidents
Ideas Into Action: Exploring Presidential Vistas—Visits to the states for

campaign events, policy speeches, or ceremonial visits
The Public’s Perception of Presidential Performance
approval ratings—often used as tacit measures of their political capital: their

ability to enact public policy simply because of their name and their office
value of high approval ratings to a president—are assumed to be more powerful

leaders with mandate for action that comes largely by virtue of the high levels of public support
they enjoy
crippling effect of low approval ratings on a president—in the policy arena
cyclical pattern of presidential popularity—generally follows
highest level of approval at what point?—at the beginning of their terms and try
to take advantage of this honeymoon period to get their programs passed by Congress as soon
as possible
every action a president takes is divisive—some people will approve, and others
will disapprove
Analyzing Visuals: Presidential Approval Ratings Since 1953—Disapproval

tends to have a negative cumulative effect on a president’s approval rating
Toward Reform: The President as Policy Maker
FDR’s new model of law-making and policy-making—claimed a leadership role

for the duty of the President in the legislative process
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“…duty of the President…privilege of the Congress….”—dispose
The President’s Role in Proposing and Facilitation Legislation
public looked to the president from FDR's presidency to the Republican-

controlled 104th Congress—to formulate concrete legislative plans to
propose to Congress, which subsequently adopted, modified, or rejected his plans for the nation
Contract with America and presumed reassertion of congressional

power—was a Republican call for Congress to take the reins of the law-
making process
Clinton’s forceful presence in budgetary process—made a resurgent role for

Congress largely illusory
why presidents have a hard time getting Congress to pass their programs—on the
whole-if president presides over a divided government, which occurs when the presidency and
Congress are controlled by different political policies
most important time for a president to propose key plans to Congress and why—
early in his administration
Lyndon B. Johnson on putting pressure on Congress—“You’ve got to give it all

you can that first year” passed 60% of his programs
president's use of his party in legislative agenda—to call on his political party
the president rated most successful as effective legislative leader—Lyndon B.

Johnson
The Budgetary Process and Legislative Implementation
importance of budget process for the president—ability to secure funding for new
and existing programs
primary responsibility for budget process until 1930—Because the Framers gave
Congress the power of the purse, Congress had the primary responsibility for the budget process
FDR and the Bureau of the Budget (1939)—made part of the newly created
Executive Office of the President
Office of Management and Budget (OMB)—The office that prepares the

president’s annual budget proposal, review the budget and programs of the executive
departments, supplies economic forecasts and conducts detailed analyses of proposed bills and
agency rules
Policy Making Through Executive Order
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executive order—A rule or regulation issued by the president that has the effect
of law. All executive orders must be published in the Federal Register.
Harry Truman ended segregation in the military—used executive order
LBJ and Executive Order 11246—affirmative action was institutionalized as

national policy through
executive orders on abortion since the 1980s—Ronald Reagan to stop federal

funding of fetal tissue research and to end federal funding of any groups
providing abortion counseling
George W. Bush’s executive orders—to put his policy stamp on a wide array of
important issues-signed an executive order limiting federal funding of stem cell
research to the sixty or so cell lines currently in the possession of scientific
researchers
"signing statements"—in place of executive orders
Politics Now: Are Signing Statements Constitutional? merely comment on the bill
signed sometimes include controversial claims by the president that some part of the legislation
is unconstitutional and that he intends to disregard it or to implement it in other ways
1) Examine the growth and impact of the modern presidency. Compare it to the role of the
president through the first century-and-a-half of the history of the United States. What
precipitated the development of the modern presidency and what fueled its tremendous
development over the past 70 years? Discuss what you think James Madison and
Alexander Hamilton might say about the modern status of the limited chief executive
they helped create?
2) Do some research on the vice presidency of Joe Biden. How does his role compare and
contrast with other recent vice presidents? Why did Barack Obama select him as his vice
presidential candidate in 2008? What types of activities has Biden been involved in as
vice president and why? Is it a function of his personal relationship with President Obama
or a permanent change in the office of the vice president? Discuss.
3) We have experienced periods of “divided government” where the Congress is of one

party and the presidency of another. The executive and legislative branches have also
recently been controlled by one party. Do some research into public opinion on this issue.
Which situation do Americans prefer? Why? Also research the impact divided
government has had on the policy process versus the impact of single-party control. Do
more bills fail in a divided government? Are Congress and the president more
confrontational due to partisan differences in a divided government? Which scenario
works better for our democracy? Has the increase of Democratic control of both the U.S.
House and Senate since the 2008 presidential elections changed the dynamic of the
legislative agenda of the presidency and to what extent? Discuss.
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4) Choose two presidents from history and write a paper discussing the impact they had on
the office. Two interesting variants might be to choose one president who had a positive
effect and one who had a negative effect, or to choose two extremely different
personalities who seem equally successful and explain why.
5) Group Project: Do an analysis of the media’s coverage of Barack Obama during his
presidency. For one month, watch a variety of network and cable news programs, read a
variety of newspapers and weekly news magazines, listen to talk radio (be sure to get
right- and left-wing programs), and check out Internet news sites. How is the president
covered? What gets the attention of the media and why? Is the president “staging” or
“spinning” any of the coverage or are the media in control? Also look at how the
president is portrayed in entertainment programming. What implications do your
findings have on how we perceive the president? What role, if any, do you believe the
news media played in the president’s popularity in the polls, both positively and
negatively?
Web Sites
The official White House site for information on George W. Bush and the office of the
president.
http://www.whitehouse.gov
The National Archives and Records Administration offers links to all presidential libraries.
http://www.archives.gov/presidential_libraries/addresses/addresses.html
The National Portrait Gallery's Hall of Presidents has information on and portraits of
American presidents.
http://www.npg.si.edu/collect/hall.htm
The University of North Carolina site offers biographies of the presidents and first ladies,
including links to presidential libraries.
http://www.ibiblio.org/lia/president
POTUS: Presidents of the United States is assembled by the Internet Public Library and
provides background information, election results, Cabinet members, notable events, and some
points of interest on each of the presidents. Links to biographies, historical documents, audio and
video files, and other presidential sites listed.
http://www.ipl.org/div/potus
You can search the Public Papers of the Presidents of the United States online at this site
provided by the Office of the Federal Registrar. Not all presidential papers are available
currently online. Presidential photographs can be accessed as well.
http://www.gpoaccess.gov/pubpapers/search.html
Statistics, facts, and biographies of U.S. vice presidents are available at Vice-Presidents.Com.
http://www.vicepresidents.com
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Current events and video clips about the presidency of Barack Obama are available on the C-
SPAN Web site page. Also, you can hear recordings made by President Lyndon B. Johnson of
his office telephone calls, tapes which have been release by the LBJ Library. Click on LBJ
White House Tapes under “C-SPAN Radio” on the left side of the main page.
http://www.c-span.org
The Museum of Broadcast Communications offers a Web site titled U.S. Presidency and
Television which discusses some of the most significant developments in the relationship
between the presidency and television since the 1950s.
http://www.museum.tv/archives/etv/U/htmlU/uspresiden/uspresiden.htm
The Web site of the Virginia Quarterly Review has posted a fascinating article titled “Why the
Media Love Presidents and Presidents Hate the Media” which offers a history of the
expansion of broadcast technology in American and the modern presidency.
http://www.vqronline.org/articles/2000/spring/nelson-why-media
The American Presidency Project is sponsored by the University of California, Santa Barbara.
Its archives contains some 85,000 documents relating to the study of the presidency.
http://www.presidency.ucsb.edu/index.php
Practice Tests
1) Which of the following is a constitutional requirement to be president?

A) be a natural-born citizen
B) be a resident for at least twenty-four years
C) be a naturalized or natural-born citizen
D) speak English
E) believe in god
2) Under most circumstances, the Twenty-Second Amendment limits a president to serving no

more than ________ terms.
A) two
B) four
C) eight
D) ten
E) twelve
3) Presidents may be removed from office by

A) being found guilty of any crime by either the House or Senate.
B) state referenda.
C) a trial held in the Department of Justice.
D) impeachment in the House and conviction at a trial held in the Senate.
E) a majority vote of "no confidence" in both the House and Senate.
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4) What was the decision in U.S. v. Nixon?
A) Presidents have extensive executive privilege.
B) President Nixon must comply with court orders relating to Watergate.
C) The president can accept gifts from lobbyists and foreign dignitaries, but he must pay
taxes on the value of the gift.
D) Nixon was a crook and, therefore, had failed to uphold his presidential oath of office.
E) “When the president does it, that means it's not illegal.”
5) If the president resigns and the vice president assumes the presidency, how is a new vice
president chosen?
A) the new vice president is selected by the Senate
B) the speaker of the House becomes the new vice president
C) the new vice president is nominated by the president and confirmed by a majority vote in
both houses of Congress.
D) the new vice president is nominated by the Cabinet and confirmed by a supermajority
vote in both houses of Congress.
E) the new vice president is nominated by the Senate and confirmed by a majority of the
state delegations in the House.
6) The first appointed vice president to assume the presidency was

A) William H. Harrison.
B) Dwight D. Eisenhower.
C) Gerald R. Ford.
D) George Bush.
E) Spiro Agnew.
7) By the time the Twenty-Fifth Amendment had been added to the Constitution, the office of
the vice president had been vacant ________ percent of the time.
A) five
B) seven
C) ten
D) fifteen
E) twenty
8) Which of the following presidents appointed the highest proportion of women?

A) Jimmy Carter
B) Ronald Reagan
C) George Bush
D) Bill Clinton
E) George W. Bush
9) Which best describes the confirmation of the president's Cabinet nominees?

A) About half of his nominees are confirmed.
B) About three-quarters of his nominees are confirmed.
C) Nearly all of his nominees are confirmed.
D) Confirmations typically occur only if the Senate is controlled by the president's party.
E) The president's first choices are seldom confirmed, but his second choices are usually
confirmed.
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10) The formal body of presidential advisors who also head the executive departments are known
as the
A) Joint Chiefs of Staff.
B) White House Council.
C) Cabinet.
D) Executive Council.
E) Presidential Advisory Board.
11) Agreements that the president enters into with foreign nations that do not require the advice
and consent of the Senate are called
A) executive agreements.
B) executive orders.
C) memos of understanding.
D) memos of commitment.
E) covenants.
12) Which president was defeated partly because of his unpopular use of the presidential pardon?
A) Andrew Johnson
B) Harry S Truman
C) John Adams
D) Lyndon B. Johnson
E) Gerald R. Ford
13) The membership of the Cabinet is determined by

A) the Constitution.
B) the Secretary of State.
C) seniority within each executive department.
D) the president.
E) the Congress.
14) Which president created a set of programs in an effort to combat the Great Depression?
A) Calvin Coolidge
B) Herbert Hoover
C) Howard Taft
D) Woodrow Wilson
E) Franklin Delano Roosevelt
15) The Executive Office of the President includes

I. the National Security Council.
II. the Office of Management and Budget.
III. the Council of Economic Advisers.
IV. the Environmental Protection Agency
A) I and II
B) II and IV
C) I, II, and IV
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D) I, II, and III
E) I, III, and IV
16) When a president "goes public,"

A) he is trying to persuade the public and hopes that the public will persuade Congress.
B) he is trying to persuade Congress and hopes that the Congress will persuade the public.
C) he is adopting the policy preference of the public in order to increase her popularity.
D) he is preventing Congress from convening.
E) he is establishing rapport with the journalists who cover her administration.
17) When a president leaves office,

A) his approval rating is frequently low.
B) he must surrender his passport.
C) his influence is usually at its apex.
D) he appoints the incoming Cabinet.
E) he swears in the incoming president.
18) Under which of the following scenarios is the president most likely to have success in getting
Congress to enact legislation favored by the president?
A) when the president is advocating on behalf of a bill that is important to a Republican
member of Congress
B) when the president is advocating on behalf of a bill that is important to a Democratic
member of Congress
C) when it is near the end of the president’s term
D) when the legislation is central to the president’s announced agenda
E) during divided government
19) Why do some legal scholars think that George W. Bush’s signing statements are
troublesome?
A) The failure to execute laws leaves many vital social welfare programs short of cash.
B) The statements expand the president’s powers at the expense of Congress, upsetting the
balance of power between the two branches.
C) The statements usurp the power of the judiciary to determine whether a law is a
worthwhile public policy.
D) The statements appear to be an act of aggression by nondemocratic countries with a
penchant for terrorism.
20) President Harry S Truman used an executive order to

A) justify the Korean War.
B) establish affirmative action.
C) avoid charges of adultery.
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D) desegregate the military.
E) seize private U.S. steel mills.
1) The Articles of Confederation had a fairly powerful executive.
2) The House of Representatives has the power to impeach a president. Impeachment trials
occur in the Senate.
3) During George W. Bush's first six years in office, he did not appoint any women or
minorities to major positions in his administration.
4) Most of a president's Cabinet nominees are successfully confirmed by the Senate.
5) According to Table 8.4, President George W. Bush has used executive agreements far more
often than did President Bill Clinton.
6) Most presidential vetoes are overridden by Congress.
7) Several provisions of the War Powers Act have been ruled unconstitutional by the U.S.
Supreme Court because they interfere with the president's commander in chief powers.
8) John F. Kennedy is generally considered to have been the best president.
9) Vice presidential vacancies are filled by presidential nomination with confirmation required
by three-fifths of the House.
10) The Office of Management and Budget aids the president in drafting his budget proposal.
1) What are the constitutional qualifications for president and vice president?
2) What are the formal requirements for the presidency? Are there also informal requirements?
What are they?
3) What is the process for impeaching the president?
4) Compare treaties with executive agreements.
5) What is the difference between an executive order and a law?
6) Explain why Franklin D. Roosevelt is said to be the founder of the modern presidency.
7) Discuss the roles of the Executive Office of the President and the White House staff.
8) How and why does a president “go public”?
136
9) What is the role of the president in the budget process?
10) Discuss the use of presidential signing statements. Why are they used? Are signing
statements constitutional? Why or why not?
137
CHAPTER 8
THE EXECUTIVE BRANCH AND THE FEDERAL BUREAUCRACY
Often called the “fourth branch of government” because of the power its agencies and bureaus
exercise, the federal bureaucracy draws criticism from many sectors. Political conservatives
charge that the bureaucracy is too liberal and that its functions constitute unnecessary
government inference in the business sector. In contrast, liberals view the bureaucracy as too
slow, too unimaginative to solve America’s problems, and too zealous a guardian of the status
quo. And, while many Americans complain of high taxes and inefficiency in government, most
Americans regard the government services they receive through the bureaucracy as important to
their lives. Indeed, it is the executive branch organizations that deliver the myriad of services
citizens have come to expect from their government. A basic knowledge of these organizations is
important to you, a taxpayer and a consumer of these services.
This chapter is designed to give you a better understanding of the executive branch and federal
bureaucracy. The main topic headings of this chapter are:
• The Roots of the Federal Bureaucracy

• The Modern Bureaucracy
• How the Bureaucracy Works
• Toward Reform: Making Agencies Accountable
following:
• the roots of the federal bureaucracy in the executive branch

• the modern bureaucracy, bureaucrats and the formal organization of the
bureaucracy
• how the bureaucracy works
• efforts to make executive branch agencies accountable
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avian influenza threat—
Bush administration's Pandemic Influenza Strategic Plan—
criticism of the Bush administration's plan—
bureaucracy—
“fourth branch of government”—
polling results regarding the bureaucracy—
"who gets what, when, and how"—
Roots of the Federal Bureaucracy
the three governmental departments under the Articles of Confederation—
early development of the Cabinet under the first President of the United States,
George Washington—
The Civil War and the Growth of Government
expansions of the federal government as a result of the Civil War—
Department of Agriculture—
Pension Office—
Justice Department—
From Spoils System to the Merit System
President Andrew Jackson and the spoils system—
spoils system—
patronage—
calls for reform of the patronage system—
Pendleton Act—
civil service system—
merit system—
139
Regulating the Economy
Analyzing Visuals: The Ebb and Flow of Federal Employees in the Executive
Branch, 1789-2005—
Interstate Commerce Commission—
independent regulatory commissions—
shift in focus of the bureaucracy from service to regulation—
The Growth of the Government in the Twentieth Century
Great Depression—
Franklin D. Roosevelt and economic regulation—
change in beliefs of Americans regarding intervention by government into the

economy—
effect of World War II on the U.S. economy and size of bureaucracy—
post-war infusion of new monies into the economy and demands of veterans for
services—
G. I. Bill—
Veterans Housing Authority—
Lyndon B. Johnson and the expansion of the bureaucracy—
The Modern Bureaucracy
ways in which the national government differs from private business—
impact of the different natures of government and business on the way the
bureaucracy works—
how public sector employees view risks and rewards—
Who Are Bureaucrats?
federal bureaucrats—
number of federal workers in the executive branch—
General Schedule (GS)—
140
how most civilian federal government employees selected today—
selection process for lower levels of the U.S. Civil Service—
selection process for mid-level to upper ranges of U.S. Civil Service—
percentage of federal workforce not covered by the civil service system—
three categories of federal government jobs not covered by the civil service
system:
1)
2)
3)
job skills represented in the federal government—
Characteristics and Rank Distribution of Federal Civilian Employees, 2004

(Figure 8.1)—
where federal workers work—
Federal Agency Regions and City Headquarters (Figure 8.2)—
decentralization of the bureaucracy—
use of private contractors by the military—
Bush administration massive outsourcing of positions to private companies—
Formal Organization
approximate number of civilian agencies—
areas of specialization—
four general types of agencies—
Cabinet Departments—
departments—
The Living Constitution: Article II, Section 2, Clause 1—
percentage of federal workforce accounted for by Cabinet departments—
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president’s formal Cabinet—
The Cabinet Departments (Figure 8.3)—
responsibilities of Cabinet secretaries—
features shared by departments—
basis for divisions within departments—
clientele agencies—
Government Corporations—
functions served by government corporations—
when such entities are formed—
flexibility—
charge for services—
Independent Executive Agencies—
heads of independent executive agencies—
reasons for existence of independent agencies—
NASA—
EPA—
Independent Regulatory Commissions—
reasons for independent regulatory commissions—
examples of independent regulatory commissions—
older boards and commissions—
newer regulatory boards—
Government Workers and Political Involvement
Political Activities Act of 1939 (Hatch Act)—
Federal Employees Political Activities Act of 1993—
regulation of public employees' political activities—
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The Federal Employees Activities Act (Table 98.1)—
How the Bureaucracy Works
Max Weber and characteristics of model bureaucracies:
1)
2)
3)
4)
5)
6)
congressional delegation of Article I, section 8, powers—
implementation—
iron triangles—
An Iron Triangle (Figure 8.4)—
issue networks—
interagency councils—
policy coordinating committees—
Making Policy
policy-making—
formal and informal levels—
street-level bureaucrats make policy on two levels—
administrative discretion—
administrative discretion exercised through two formal administrative

procedures—
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Rule Making—
regulations—
single most import function performed by agencies of government—
1946 Administrative Procedures Act three-part rule-making procedures:
1)
2)
3)
formal hearings—
Ideas into Action: Enforcing Gender Equality in College Athletics—
Administrative Adjudication—
quasi-judicial—
compared to a trial—
administrative law judges—
Toward Reform: Making Agencies Accountable
to whom or what are agencies answerable?—
factors that work to control the power of the bureaucracy—
Executive Control
presidents’ delegation of control of power to bureaucracy—
presidents find difficult to regain control over power delegated to the bureaucracy
—
Politics Now: The Bush Administration and Bureaucratic Control—
presidential appointments to the bureaucracy—
how the president can reorganize the bureaucracy—
executive orders—
Lyndon B. Johnson convinced to sign 1967 executive order to protect women

from discrimination from the federal government-
144
Congressional Control
role of Congress in checking the power of the bureaucracy—
Join the Debate: Funding the War in Iraq—
investigatory powers—
citizens’ appeals of adverse bureaucratic decisions—
congressional review (adopted by 104th Congress)—
Judicial Control
judiciary’s oversight less apparent—
courts can issue injunctions or orders even before a rule is formally promulgated
—
courts have ruled that agencies must give due process rights to those affected by
bureaucratic action (example)—
influence of litigation or threat of litigation on bureaucrats—
weight given to opinions of bureaucrats by the courts—
specialized courts—
degree to which specialized courts respond to agency rulings—
1) Service Learning (learn by doing): Visit at least three federal offices in your area.
Research each agency (or department or commission) on the Internet prior to your visit.
Watch what goes on. Ask questions. Investigate the functions and efficiencies of the
procedures used. If possible, schedule interviews with managers and staff at these offices.
Ask about misconceptions and problems with the bureaucracy. How does what you find
compare with what you learned in the text?
2) The newest bureaucratic department is the Department of Homeland Security, established

in the first term of the Bush administration. Research the department’s genesis,
organization, and purpose. How large is the Department of Homeland Security? What is
its budget? What former federal agencies were subsumed into DHS? How effective has it
been in carrying out its goals (including FEMA)? In addition, analyze whether the current
Secretary of Homeland Security has managed to change the culture of the department. If
so, how?
145
3) The U.S. Postal Service has changed its relationship with the government and the
American people over time. Research the history of the postal service, its past and present
ties to the government, its effectiveness, and reputation. Many of us complain incessantly
about the mail. Are we justified? How are rate increases determined? If we are truly
unhappy, what avenues of complaint are open?
4) Service Learning (learn by doing): Write to or visit your local U.S. Representative's
office or U.S. Senator's office. Ask to speak with one of the caseworkers who deals with
bureaucratic snafus and red tape. Find out how they intervene on behalf of constituents,
how effective they are, how many constituents avail themselves of this service, and their
impressions of the bureaucracy. Write a paper or discuss in class what you have learned.
5) How does the bureaucracy affect you? Consider the innumerable ways you perceive
government helps or hinders your life. Keep a journal for the semester and note in it ways
you interact with bureaucracy and government. At the end of class, compare notes with
friends and colleagues. Discuss whether, in total, your experiences with government are
positive, negative, or neutral.
Web Sites
President Bush’s Cabinet is a Web site hosted by the White House presenting photographs of
Cabinet officers and biographies. You can go to each of the individual departments via links for
each on this Web site.
http://www.whitehouse.gov/government/cabinet.html
Federal Web Locator provided by the Villanova Center for Information Law and Policy has
links to all government Web sites, including all governmental departments, agencies,
corporations, and affiliates.
http://www.lib.auburn.edu/madd/docs/fedloc.html
FedWorld, hosted by the Department of Commerce, is a comprehensive index of federal

government agencies, searchable by keyword. Access to thousands of U.S. government Web
sites, more than a half-million U.S. government documents, databases, and other information
products with links to the FedWorld File Libraries and other sources.
http://www.fedworld.gov
GovExec.com is online version of a magazine for federal employees called Government

Executive. The Web site offers breaking news stories, analysis, and information about the
federal community
http://www.govexec.com
The Washington Post reports on the activities of the federal bureaucracy for an audience keenly
interested in news about it—Washington-based employees of the federal government—in a
section entitled Federal Page. (Free registration is required for access to the Washington Post.)
http://www.washingtonpost.com/wp-dyn/politics/fedpage
The U.S. Government Accountability Office (GAO) is known as "the investigative arm of
Congress" and "the congressional watchdog." GAO supports the Congress in meeting its
146
constitutional responsibilities and helps improve the performance and accountability of the
federal government for the benefit of the American people.
http://www.gao.gov
Practice Tests
1) The firing of public-office holders of a defeated political party and their replacement with
loyalists of the victorious political party, is called the
A) replacement doctrine.
B) merit system.
C) civil service.
D) spoils system.
E) nepotism system.
2) Under the Civil Service Reform Act, which of the following was the best way to get a
government job?
A) Patronage
B) Party membership
C) Examinations
D) Spoils
E) Campaign contributions
3) What percentage of the federal workforce is part of the merit-based civil service system?
A) 10%
B) 40%
C) 50%
D) 60%
E) 90%
4) An agency created by Congress that is generally concerned with a specific aspect of the
economy is called
A) a bureau of the first class.
B) a committee on correspondence.
C) an independent regulatory commission.
D) a Cabinet-level agency.
E) a self-serving agency.
5) How are bureaucracies similar to businesses?

A) They both rely on the profit motive.
B) They are both equally concerned with pleasing the customer.
C) They are both established by acts of Congress.
D) They both take risks to increase profit margins and lower costs.
E) None of the above.
6) Nearly one-third of all nonmilitary federal employees work for the

A) Department of Defense.
147
B) Department of State.
C) Department of Homeland Security.
D) U.S. Postal Service.
E) Department of Justice.
7) In China, the bureaucracy

A) answers exclusively to the judicial branch.
B) actively works to suppress Chinese culture.
C) plays a large policymaking role.
D) has little autonomy, as the Communist Party makes the policy decisions.
E) is the center component of government power.
8) The bureaucracy is primarily part of which branch of government?

A) Executive
B) Legislative
C) Judicial
D) The bureaucracy is primarily part of the executive and legislative branches, but not the
judicial branch.
E) All three branches share the bureaucracy equally.
9) What does Figure 8.1 suggests about the relationship between gender and employment with
the federal government?
A) There are more women in the federal workforce than men.
B) On average, women earn only 60% of what men earn.
C) Most of the women who work for the federal government are African American.
D) Lower-level positions tend to be dominated by women; higher-level positions tend to be
dominated by men.
E) There do not appear to be any differences in federal government employment according
to gender.
10) All of the departments in the Cabinet are headed by a secretary EXCEPT:
A) State
B) Justice
C) Education
D) Treasury
E) Housing
11) Which agencies are subject to the most intense outside lobbying efforts?
A) clientele agencies
B) large agencies
C) independent executive agencies
D) administrative agencies
E) judicial agencies
12) Government corporations such as the Postal Service are formed

A) the activities are primarily social in nature.
148
B) the provision of services requires greater rigidity and uniformity.
C) to discourage consumption of the good or service that is produced.
D) to provide for goods and services that would not otherwise be produced by the free
market.
E) to provide revenue-producing services that could also be achieved through private
businesses.
13) The Environmental Protection Agency is a/an

A) independent regulatory agency.
B) independent executive agency.
C) government corporation.
D) Cabinet department.
E) agency recently abolished due to violations of the Hatch Act.
14) The law enacted in 1939 to prohibit federal employees from becoming directly involved in
political campaigns was called the
A) Campaign Reform Act.
B) Federal Employees Political Activities Act.
C) Pendleton Act.
D) Help America Vote Act.
E) Hatch Act.
15) The process by which a law or policy is put into operation by the bureaucracy is known as
A) adjudication.
B) supplementation.
C) exportation.
D) implementation.
E) fertilization.
16) The loose and informal relationships that exist among a large number of actors who work in
broad policy areas are known as
A) iron triangles.
B) interagency councils.
C) cooperative back scratching.
D) issue networks.
E) interagency substructures.
17) The bureaucracy has the ability to make choices about the best way to implement
congressional or executive intentions, thus giving the bureaucracy tremendous leeway to
carry out its assigned tasks. This ability is called
A) administrative adjudication.
B) administrative discretion.
C) regulatory authority.
D) legislative override.
E) executive exemption.
18) Which bureaucracy helps Congress oversee the bureaucracy?

A) the Office of Maintenance and Bureaucracy (OMB)
149
B) the Capitol Response Service (CRS)
C) the Congressional Oversight Committee (COC)
D) the Government Accountability Office (GAO)
E) the Federal Reserve Board (the Fed)
19) _________ are issued by the president to shape public policy and to provide direction to the
bureaucracy about how to implement policy.
A) Laws
B) Edicts
C) Executive orders
D) Signatories
E) Pardons
20) The judiciary can oversee the bureaucracy by

A) issuing injunctions preventing agency rules from going into effect.
B) cutting off funding for under-performing programs.
C) filing lawsuits alleging wrongdoing on the part of a bureaucracy.
D) impeaching high-level executive branch officials.
E) refusing to grant "letters of appointment" to political appointees, even if they have been
confirmed by the Senate.
1) Bureaucrats do not make policy; they only implement it.
2) The federal courts often show deference to the decisions made by bureaucracies.
3) Today, most federal bureaucrats are hired based on merit.
4) The size of the federal civilian workforce increased considerably during the New Deal and
World War II.
5) At the lower levels of the U.S. civil service, most positions are filled by patronage.
6) Women are more likely to have low-level civil service jobs and men are more likely to have
high-level civil service jobs.
7) The National Aeronautics and Space Administration (NASA) is an independent executive

agency.
8) There is no direct mention of the Cabinet in the U.S. Constitution.
9) Congress passed a law liberalizing the Hatch Act's prohibitions on federal employees
participating in campaigns.
10)Iron triangles refer to the relatively stable relationships among agencies, interest groups, and
congressional committees.
150
1) If there was a pandemic of avian flu, what bureaucracies would play a role in addressing it?
2) What is the spoils system? Is the bureaucracy better off without it?
3) What events coincided with the largest increase in the number of federal government
employees? How did these events necessitate the increase?
4) How are bureaucracies different from private businesses?
5) What are the differences between the types of civil service jobs held by men and those held
by women?
6) Describe some of the characteristics of the federal civilian workforce.
7) Why and to what extent has the U.S. government used private contractors in Iraq?
8) What are government corporations and why do they exist?
9) Define iron triangles, issue networks, and interagency councils. Using examples, discuss
which typology you believe best describes the relationships between those who make,
influence, and implement policies.
10) Describe the process by which regulations are made.
151
CHAPTER 9
THE JUDICIARY
The role of the federal judiciary today, particularly the U.S. Supreme Court, differs dramatically
from its function early in the nation’s history. The “least dangerous branch,” as Alexander
Hamilton initially described the federal judiciary, gained prominence from the development of
the doctrine of judicial review and, as well, from the growth in the size and reach of the federal
government. The Framers never envisioned the ambit and authority of the Supreme Court and
lower federal courts; of course, the Framers never envisioned the incredible growth of the federal
government and its laws, laws adjudicated by the federal courts. The Supreme Court today, as
arbiter of the Constitution, can, in a single decision, dramatically reshape the social and political
structure of the country as evidenced, for example, by Brown v. Board of Education, Roe v.
Wade, Bush v. Gore and Lawrence v. Texas. As our social and political beliefs change in the
country, so do the interpretations of our laws by judges and justices on the federal bench. Who
sits on the Supreme Court and in the federal courts across the nation truly matters. It is no
wonder that many scholars believe the most lasting decision a president makes while in office is
who he appoints to the Supreme Court and the federal bench. In his eight years as a conservative
president, George W. Bush made a dramatic impact on the character and philosophy of the
federal courts. President Barack Obama, as a lawyer and a liberal, takes a dramatically different
approach the courts and his impact on the structure and nature of the federal judiciary has yet to
be fully realized.
This chapter is designed to give you an overview of the federal judicial system. The main topic
headings in the chapter are:
• Roots of the Federal Judiciary

• The American Legal System
• The Federal Court System
• How Federal Court Judges are Selected
• The Supreme Court Today
• Judicial Philosophy and Decision Making
• Toward Reform: Power, Policy Making, and the Court
following:
• the roots of the federal judiciary: the Supreme Court’s explicit creation by Article
III and creation of the lower federal courts by Congress under the authority of Article
III and Article I
152
• the American legal system and the civil and criminal law
• the federal court system, its types, and jurisdiction
• how federal court judges are selected by presidential nomination and Senate
review and confirmation
• the operation and function of the Supreme Court today, including how cases are
selected by the Court for review and adjudication
• judicial philosophy and decision making: how judicial decisions are reached
based on legal and extra-legal factors
• reform efforts and the judiciary's power to affect policy
John Roberts and Samuel Alito—were confirmed by the Senate to join the court
during its 2005-2006 term, many Court watchers began to speculate about how the Court’s
decisions would change-change to more conservative
first term of the Roberts Court—appeared to validate the speculation of Court

watchers
second term of the Roberts Court—the Court seemed to step back from the
conservative rulings of the previous term
“the least dangerous branch”—In its formative years, the judiciary was, in
Hamilton’s words
the physical location provided the Supreme Court in the early days of the country
as a clue to the significance given it by the founders—Congress forgot to make
space for the justices of the Supreme Court
terminology: how the Supreme Court and the courts are referred to—U.S.
Supreme Court- “supreme court, the court, the high court”
Roots of the Federal Judiciary
the consideration given to the creation of a federal judiciary at the Constitutional

Convention—made clear that framers devoted little time to writing Article III
compromise settled in Article III, section 1—The Framers believed that a federal
judiciary posed little threat of tyranny. Anti-Federalists, however, objected to a judiciary whose
members had life tenure and the ability to define “the supreme law of the land”
153
Article III, section 2—
The Judicial Power of the U.S. Supreme Court (Table 9.1)—
life tenure and the "independence of judges"—
Hamilton’s argument in Federalist No. 78—
The Living Constitution: Article III, Section 1—
checks on the federal judiciary—
“advice and consent” power of the Senate and judicial nominations—
Join the Debate: Senate Advice and Consent on Judicial Nominations—
judicial check on the presidency—
judicial review—
Martin v. Hunter’s Lessee (1816)—
The Judiciary Act of 1789 and the Creation of the Federal Judicial System
Judiciary Act of 1789—
federal district courts—
litigants—
circuit courts and change in 1891—
size of the Supreme Court—
first public session of the Supreme Court—
first Chief Justice of the United States—
characteristics of the early Supreme Court that created problems of

prestige and personnel—
actions by the Court in its first decade to mold the new nation—
The Marshall Court: Marbury v. Madison (1803) and Judicial Review
John Marshall—
154
importance of Marshall in helping establish the Court as a co-equal branch of the
national government—
Marshall elimination of the practice of seriatim—
Marshall Court established the authority of the Court over the judiciaries of the
various states and established the supremacy of the federal government over state
governments—
concept of judicial review mentioned in Federalist No. 78 but not in the U.S.
Constitution—
judicial review—
the facts and the politics of Marbury—
use of judicial review since Marbury—
The American Legal System
the judicial system of the United States—
Dual Structure of the American Court System (Figure 9.1)—
trial courts—
appellate courts—
Jurisdiction
jurisdiction—
original jurisdiction—
where do more than 90 percent of all state and federal cases end?—
appellate jurisdiction—
Criminal and Civil Law
criminal law—
grades of criminal offenses—
who is the plaintiff in a criminal case?—
criminal cases usually in the purview of what?—
155
civil law—
plaintiff (petitioner)—
defendant—
the state as plaintiff in a civil case and in a criminal case—
judges during trial—
juries—
The Federal Court System
constitutional courts—
legislative courts—
District Courts
federal district courts—
number of federal district courts—
the least number in each state and number in most populist states—
district court jurisdiction:
1)
2)
3)
U.S. Attorney—
The Courts of Appeals
U.S. Courts of Appeals—
circuit courts of appeals—
types of federal appellate courts—
numbered courts of appeals—
D.C. Court of Appeal—
156
U.S. Court of Appeals for the Federal Circuit—
chief judge—
three-judge panels—
en banc—
do courts of appeals have original jurisdiction?—
jurisdiction of courts of appeals—
right to appeal—
courts of last resort—
general purpose of appellate courts and procedures—
brief—
precedent—
stare decisis—
The Supreme Court
jurisdiction today—
membership on Court since 1869—
How Federal Court Judges are Selected
political process of selection—
How a President Affects the Federal Judiciary (Figure 9.2)—
party affiliation and nominations—
senatorial courtesy—
Who are Federal Judges?
characteristics of federal judges—
political nature of appointments—
prior judicial experience—
Analyzing Visuals: Race, Ethnicity, and Gender of Federal Court Appointees—
157
Appointments to the U.S. Supreme Court
process the same as for other federal judges—
why more attention and opposition to Supreme Court nominations—
The Supreme Court, 2008 (Table 9.3)—
Nomination Criteria
“You have to be lucky”—
competence—
ideology or policy preferences—
rewards—
pursuit of political support from various groups—
religion—
race, ethnicity, and gender—
The Supreme Court Confirmation Process
power of the Senate—
Senate Judiciary Committee—
simple majority vote for confirmation—
investigation—
lobbying by interest groups—
The Senate committee hearings and Senate vote—
The Supreme Court Today
public awareness of Court and members—
survey of Americans in early 2006: ability to name one member of the Court;
ability to name all nine members of the Court—
158
Don’t Know Much About the Supreme Court (Table 10.6)—
how the Court take great pains to ensure its privacy and sense of decorum—
“cult of the robe”—
comparison of how proceedings of the Supreme Court and Congress are

conducted and covered—
Politics Now: Should Supreme Court Proceedings Be Televised?—
Deciding to Hear a Case
petitions received and opinions issued in 2007-2008 term—
workload of Supreme Court through its history—
Supreme Court Caseload, 1950-2008 Terms (Figure 9.2)—
significance of content of Supreme Court’s docket—
significant role in policy making and politics—
two types of jurisdictions and the cases that reach the Court under them—
substantial federal questions—
writs of certiorari and the Rule of Four—
How a Case Gets to the Supreme Court (Figure 9.3)—
two requirements for meeting certiorari:
1)
2)
cert pool—
discuss list and percentage of cases that reach it—
weekly conference meetings—
the role of clerks—
What Do Supreme Court Clerks Do? (Table 109.5)—
159
How Does a Case Survive the Process?
Who sits on the Roberts Court? (photo and cut-line)—
criteria for Court accepting a case—
cues regarding the characteristics of cases the Court accepts:
1)
2)
3)
4)
5)
solicitor general—
amicus curiae—
percentage of cases accepted where the U.S. government is the petitioning party
—
conflict among the courts of appeals—
interest group participation—
use of amicus briefs by interest groups—
Ideas Into Action: Be a Friend of the Court—
Hearing and Deciding the Case
submission of legal briefs—
oral arguments—
tradition and ceremony of oral argument—
when do oral arguments take place?—
who participates in oral arguments?—
mechanics of oral arguments—
the conference and the vote—
160
role of conferences—
role of least senior member of the Court in conferences—
how conferences highlight the power and importance of the chief justice—
majority vote wins—
how Roberts Court is more informal than Rehnquist Court—
writing opinions—
majority opinion—
who assigns task of writing majority opinion?—
importance of majority opinion—
informal caucusing and negotiation—
concurring opinion—
plurality opinion—
dissenting opinion—
Judicial Philosophy and Decision Making
principles of stare decisis—
Judicial Philosophy, Original Intent, and Ideology
judicial restraint—
strict constructionists—
judicial activism—
judicial activism: liberal and conservative—
Models of Judicial Decision Making
political scientists' attempt at predicting judicial

behavior through models—
behavioral characteristics—
the attitudinal model—
161
the strategic model—
Public Opinion
check on the power of the courts—
Court as direct target of public opinion—
Court’s effect on public opinion—
Court dependent upon public opinion for its prestige and for compliance with its
decisions—
public confidence in the Court—
Toward Reform: Power, Policy Making, and the Court
primary way federal courts and, in particular, the Supreme Court, make policy—
rights citizens of the United States enjoy thanks in large measure to the support of
the Supreme Court—
contribution of Marshall Court in developing the judiciary's policy-making

role—
contribution of Warren Court in developing the judiciary's policy-making

role—
contribution of Rehnquist Court in developing the judiciary's policy-

making role—
contribution of Roberts Court in developing the judiciary's policy-making

role—
Policy Making
measures of the power of the Court—
declaring laws unconstitutional—
ability to overrule itself—
political questions—
Implementing Court Decisions
162
President Andrew Jackson's comment regarding a Marshall Court decision
that annoyed him—
courts' reliance on other units of government to carry out their directives—
judicial implementation—
role played by well-crafted or popular decisions—
Court’s need of support from both federal and state courts as well as other
governmental agencies to carry out its judgments—
three requirements for effective implementation of a judicial decision:
1)
2)
3)
1) Research the Court's current docket (see official Supreme Court Web site below). How
many cases will it hear (or has heard)? What types of cases will the Court hear (or has
heard)? What constitutional issues are (or were) at stake? Why do you think the Court has
chosen to rule (or ruled) on these cases?
2) Research biographies on the current Supreme Court justices. What are their backgrounds?
Why were they chosen for the Court and by whom? How are they perceived by court-
watchers? (In other words, what do the experts think of them?) Is there a definite majority
on the Court for any single set of constitutional issues? The Warren Court was
characterized as very activist, particularly regarding due process rights. Has the
Rehnquist Court been characterized as activist (although in other areas)? If so, how? And
what evidence can you find about activist trends on the Roberts Court?
3) Choose two well-known Supreme Court cases of the past twenty years. Research to
determine interest group activity and attempts at public persuasion on the Court during
the cases. Using those examples and the text, write a paper (or prepare a short talk) about
the impact of public opinion and lobbying on the Supreme Court.
4) Research and analyze President Bush’s judicial appointments to the Supreme Court and
the federal bench. What type of judicial policy did Mr. Bush seek in a nominee? How
have his nominees reflected the president’s political opinions? How well have President
Bush’s nominees faired in the process of Senatorial confirmation? Compare the Bush
approach to the federal courts to that of President Barack Obama. What has Mr. Obama
done to impose his mark on the federal court system?
163
5) Constitutional law is taught textually. The language and nuance of what the Court says in
its opinions is very important. Choose five cases and read the actual opinions. What types
of language does the Court tend to use? Are rulings broad or narrow? Are precedents
overturned? How does the Court use precedent generally? What did you learn about the
Court from reading opinions?
Web Sites
The official Web site of the Supreme Court of the United States offers transcripts of oral
arguments before the Court, recent case decisions, a history of the Court, the Court’s docket, and
other information.
http://www.supremecourtus.gov
Oyez-Oyez-Oyez is a comprehensive database of major constitutional cases featuring

multimedia aspects such as audio of oral arguments.
http://www.oyez.org/oyez/frontpage
The site of the Supreme Court History Society covers the basic history of the Court and has a
gift catalog (for that special gift to your pre-law friends).
http://www.supremecourthistory.org
SCOTUS Blog (Supreme Court of the United States—SCOTUS) was started several years ago
by an attorney whose practice is exclusively devoted to appeals before the U.S. Supreme Court
and who is one of the most prominent private lawyers in that field, Tom Goldstein. Goldstein
manages the blog as well as contributes to it, along with other attorneys, scholars and journalists
who are all ardent students of the Court. It is fascinating reading for anyone keenly interested in
the Court.
http://www.scotusblog.com/movabletype
Findlaw is a searchable database of S.C. decisions plus legal subjects, state courts, law schools,
bar associations, and international law.
Rominger Legal Services provides U.S. Supreme Court links, including history, pending cases,
rules, bios, etc.
http://www.romingerlegal.com/supreme.htm
FLITE: Federal Legal Information Through Electronics offers a searchable database of

Supreme Court decisions from 1937-1975.
http://www.fedworld.gov/supcourt/index.htm
U.S. Supreme Court Plus has decisions from the current term as well as legal research, bios,
basic Supreme Court information, and more. Also offers a free e-mail notification service of
Supreme Court rulings. While this is primarily a subscriber fee site, you can still find some good
free information here.
http://www.usscplus.com
The Legal Information Institute sponsored by the Cornell University Law School offers
Supreme Court opinions under the auspices of Project Hermes, the court's electronic-
164
dissemination project. This archive contains (or will soon contain) all opinions of the court
issued since May of 1990.
http://supct.law.cornell.edu/supct
The Federal Judiciary Homepage offers a wide variety of information about the U.S. Federal
Court system.
http://www.uscourts.gov
Law.com offers the latest Supreme Court news on its “United States Supreme Court Monitor”
Web site. (Free registration is required.)
http://www.law.com/jsp/scm/news.jsp
The American Bar Association provides analysis of the issues, arguments, background and
significance of every case slated for argument in the U.S. Supreme Court.
http://www.abanet.org/publiced/preview/home.html
C-SPAN also offers information about oral arguments before the U.S. Supreme Court.
http://www.c-span.org/courts/oralarguments.asp
Practice Tests
1) The judiciary was called the "least dangerous branch" by

A) Alexander Hamilton.
B) James Madison.
C) George Washington.
D) Thomas Jefferson.
E) John Adams.
2) As it exists in the United States, judicial review is the power

A) of the federal courts to change state laws.
B) of state courts to judge if federal laws are consistent with the state’s constitution.
C) of the Supreme Court to determine the constitutionality of acts of Congress.
D) of the Supreme Court to remove corrupt legislators and members of the executive branch.
E) of Congress to review Supreme Court decisions to determine their constitutionality.
3) The federal judiciary was given form and substance by

A) Article IV.
B) the Alien and Sedition Acts.
C) both the executive and legislative branches.
D) the Supreme Court.
E) Congress.
4) How were Robert Bork's confirmation hearings different from those of other Supreme Court
nominees?
A) Robert Bork was the first African American nominee.
165
Robert Bork was the first Jewish nominee.
B)
Robert Bork's confirmation hearings were more contentious.
C)
Robert Bork's confirmation hearings were more focused on his legal prowess.
D)
Robert Bork's confirmation hearings were the subject of a Supreme Court battle over
E)
judicial filibusters.
5) ________ is generally considered to have been the most influential chief justice of the
Supreme Court of the United States.
A) William H. Rehnquist
B) Earl Warren
C) Roger Taney
D) John Marshall
E) John G. Roberts
6) Courts with appellate jurisdiction typically

A) review the factual record of a lower court for mistakes.
B) determine factual matters in the case involved.
C) review the legal procedures of a lower court for mistakes.
D) hear evidence regarding the facts of the case.
E) rubber stamp the decisions of trial courts.
7) In a civil case, the party who brings a case against a defendant is referred to as the
A) state.
B) plaintiff.
C) petitioner.
D) attorney general.
E) accused.
8) The number of judges in each U.S. Court of Appeals

A) is approximately thirty per circuit.
B) is approximately sixty per circuit.
C) varies depending on who the president is.
D) varies from circuit to circuit.
E) is determined by the U.S. attorneys who serve in the circuit.
9) The major purpose of the federal circuit courts of appeals is to

A) provide more opportunities for senators to reward their supporters.
B) review the decisions of judges in lower courts concerning the facts of a case.
C) correct errors of law and procedure from lower courts.
D) hear new testimony that was not available at the original trial.
E) determine which cases will be heard by the U.S. Supreme Court.
10) If a Republican president wished to appoint a district judge to the Western District of
Oklahoma, senatorial courtesy suggests that the president should consult with
A) all Oklahoma senators.
B) all Republican senators.
C) all members of the Oklahoma congressional delegation.
D) all Republican members of the Oklahoma congressional delegation.
E) all Republican Senators from Oklahoma.
166
11) According to the Analyzing Visuals feature on page 260, which president appointed the
highest percentage of women and African Americans to the federal courts?
A) George W. Bush
B) Bill Clinton
C) George Bush
D) Ronald Reagan
E) Jimmy Carter
12) Which of the following is a constitutional requirement for being a Supreme Court justice?
A) having a law degree
B) being “well knowledgeable in the law”
C) passing a religious test
D) being at least thirty-five years old
E) None of the above. There are no constitutional requirements for serving on the Supreme
Court.
13) The justices of the Supreme Court are

A) elected in nonpartisan balloting.
B) confirmed by the president.
C) nominated by the Senate.
D) nominated by the president and confirmed by the Senate.
E) nominated by the president and confirmed by both the House and Senate.
14) The oral arguments presented before the U.S. Supreme Court are
A) closed to the public.
B) televised only in the Washington, D.C. area.
C) televised on C-SPAN only.
D) regularly televised on both network and cable channels.
E) not televised.
15) During the 2005-2006 term, approximately ________ cases were filed with the Supreme
Court.
A) 900
B) 1,600
C) 3,700
D) 9,600
E) 14,400
16) Research by political scientists finds that

A) interest groups play no significant role in the judicial process.
B) federal courts are immune to interest group pressure.
C) the more interest groups that file petitions in support of certiorari, the more likely the
Court is to accept the case for review.
D) only conservative interest groups influence the Court.
E) only liberal interest groups influence the Court.
17) The member of the Justice Department who handles all Supreme Court appeals for the U.S.
government is the
A) attorney general.
167
B) solicitor general.
C) special master.
D) secretary of justice.
E) deputy secretary of justice.
18) A Supreme Court justice who agrees with the outcome reached by the majority but not with
the legal reasoning behind the decision may issue a
A) minority opinion.
B) per curiam opinion.
C) seriatim opinion.
D) concurring opinion.
E) dissenting opinion.
19) The idea that judges should use their power broadly to further justice is called
A) stare decisis.
B) original intent.
C) judicial restraint.
D) judicial activism.
E) judicial moderation.
20) In which decision did the Supreme Court declare that it could exercise judicial review over
acts of the national government?
A) Marbury v. Madison
B) Martin v. Hunter's Lessee
C) McCulloch v. Maryland
D) Gibbons v. Ogden
E) The People v. Larry Flint
1) The Senate's advice and consent power means that it decides which of those nominated by
the president become Supreme Court justices.
2) Trial court judges determine matters of law, not fact.
3) Most criminal cases are decided in the state court systems.
4) According to the Analyzing Visuals feature on page 260, George W. Bush has appointed a
greater percentage of Hispanics to the district courts than has any previous president.
5) According to the Analyzing Visuals feature on page 260, Jimmy Carter appointed a greater
percentage of African Americans to the courts of appeals than has any other president.
6) Public interest in the Supreme Court has increased measurably since the Court started
televising its proceedings.
7) Amicus briefs are often submitted to the U.S. Supreme Court by interest groups.
8) Strict constructionists attempt to interpret the Constitution according to the original
168
intentions of the Founders.
9) The solicitor general works in the Department of Defense and is responsible for defending
any military actions to the federal courts.
10) Judges influence public policy.
1) The Framers believed that the judiciary was the “the least dangerous branch.” Do you agree
with their assessment?
2) What is judicial review and from where does this authority originate?
3) Compare and contrast original and appellate jurisdiction.
4) How do ideology and partisanship influence who a president nominates to the federal courts?
5) Describe the roles of the U.S. Supreme Court clerks.
6) What is an amicus curiae brief?
7) What are the advantages and disadvantages of judicial restraint?
8) Discuss the advantages and disadvantages of judicial activism and judicial restraint.
9) Compare and contrast the attitudinal, behavioral, and strategic models of judicial decision
making. Which of these models most accurately captures how judges make their decisions?
Describe the rationale for your claim.
10) Describe the difficulties associated with judicial implementation. Under what conditions are
Supreme Court decisions most likely to be implemented consistently with the Court’s ruling?
Should the judicial branch be given increased authority to ensure that their decisions are
implemented? How would this work?
169
CHAPTER 10
PUBLIC OPINION AND THE NEWS MEDIA
What do you think about politics and government? In other words, what are your beliefs and
opinions about politics and government? Are they the same as your parents’, your friends’, or
people in your community? Public opinion polls reveal that Americans are a diverse lot, but,
nonetheless, agree on many issues. Politicians and others who want to sway public opinion
depend on public opinion polls to inform them of what Americans believe and want from their
government and elected officials. This is nothing new. Politicians back in the time of the Framers
did not have sophisticated public opinion polls, nor did they have national news media to tell
them the results of those polls, but they sought to mold public sentiment nevertheless. What
opinions do people hold about government, politics, and issues? Why do they count to
politicians? And, how are your opinions, beliefs, and values formed and how are they changed?
These are vital questions in a democracy. We all want our opinion and our beliefs to mean
something to others. We want our voices heard. Do polls effectively reflect our values and
beliefs? Do they accurately predict trends, directions, and decisions?
An enormous influence on the development of public opinion is the news media. The news
media—the aggregate of electronic and print journalism—has the potential to exert enormous
influence over Americans. The news media is crucial in facilitating public awareness of and
discourse on politics necessary for the maintenance of a free country. The First Amendment
grants the media broad rights. But is there a corresponding responsibility? Do citizens get the
information from the news media we need to make educated decisions about elections? Does the
news media provide complete, objective, issue-based coverage of politicians and public policy or
does it focus on the trivial, entertaining, and sensational? Do you read a newspaper or
newsmagazine or watch the news on television, or do you get your news and information from
the Internet, which is an increasingly important element in the media mix? In this chapter, we
look at these questions as well public opinion in America.
This chapter is designed to give you a better understanding of polling, the nature of public
opinion, and the role of the news media in politics. It is designed to help you better understand
from whence your own opinions, and the opinions of others, have come. This chapter is also
designed to give you a basic understanding of the opportunities, challenges, and problems posed
by the news media today as well as the effects of our (the citizenry's) unthinking consumption of
the media's messages. The main topic headings of the chapter are:
• Roots of Political Values: Public Socialization

• Public Opinion and Polling
• Why We Form and Express Political Opinions
• The Evolution of News Media in the United States
• Rules Governing the Media
• How the Media Cover Politics
• Toward Reform: Media Influence, Media Bias, and Public Confidence
170
tests. See the Study Guide section on test-taking for hints on study skills.)
following:
• the roots of political socialization and the panoply of factors that influence this
process
• public opinion and polling, the role of political socialization in public opinion
formation, and the role of public opinion polls in determining public perception of
political issues
• why Americans form and express political opinions
• the effects of public opinion and polling on government and politics and how
since the writing of The Federalist Papers, parties, candidates, and public officials
have worked to sway, gauge, and reform public opinion for political purposes
• the evolution of the news media in this country from the founding to today
• rules governing the media, both self-imposed rules of conduct and government
regulations affecting radio, television, and the Internet
• how the media cover politics
• reforms relating to media influence, media bias, and public perceptions of the
media
In this section, you are provided with a basic outline of the chapter and key concepts and terms
you should know. Use this outline to develop a complete study guide for the chapter. Use the
space provided in this workbook to write notes from your reading, defining the terms and
explaining the concepts listed below. You may wish to rewrite the material in your notebook or
computer. However you work up this outline, the effort and information will help you study and
remember the material in preparation for your tests, assignments, and papers.
National Election Pool—Five major television and cable networks (ABC, CBS,
NBC, CNN, and FOX News) and the Associated Press banded together to collect information
entrance polls in 2008— In Iowa immediately set the tone for the contest,
showing record numbers of first time caucus goers and young voters. Evidence shows that
younger people are more likely to complete a whole entrance poll than their older counterparts;
made a concerted effort to recruit and train a broader cross-section of interviewers
exit polls— have long received attention for their ability to help media outlets
predict the outcome of elections before state agencies completely tabulate the results
Roots of Political Values: Political Socialization
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where our attitudes about issues are grounded— in our political values
political socialization-The process through which individuals acquire their
political beliefs
agents of political socialization— family, schools, peers, and the mass media
The Family
communications and receptivity— the influence of the family on political

socialization can be traced to these two factors
political socialization in early years up to age ten— most important visible public
figures are police officers and, to a much lesser extent, the president; view both as helpful
Ideas into Action: Be a Socialization Agent— Be a socialization agent
political socialization by age eleven— become more selective in their perceptions

of the president; take to the political influence of the family whether Republican or Democrat
1988 study of political socialization by family— 58% of children in Republican

households identified themselves as Republicans, and many had developed strong positive
feelings toward Ronald Reagan, the Republican president
Ideological Self-Identification of First-Year College Student (Figure 10.1)— A

majority of first-year college students describe themselves as middle of the road;
this number has been fairly consistent since the early 1990s although it decreased
beginning in the early 2000s. The number of students identifying themselves as
liberal and far left declined dramatically during the 1970s and early 1980s but is
currently on the rise. The number of students identifying themselves as
conservative and far right has also increased, but at a slower rate.
School and Peers
Join the Debate: Teaching Civics in American High Schools— Recently, civic
education requirements have taken on additional urgency in light of debates about immigration
policy and questions regarding the extent to which civic education efforts should focus
exclusively on U.S. norms or emphasize commonalities and differences among democratic
nations worldwide.
Arguments IN FAVOR of Civic Education in high Schools
• There may be a relationship between political participation and civic education.
• Civic education teaches citizens how to participate in a democratic society.
• Civic education is a complement to political socialization.
Arguments AGAINST Civic Education in High Schools
• Civic education is innately biased by promoting certain values over other.
• Parents should be responsible for civic education.
• It is difficult to determine what should constitute a civic education curriculum in a
pluralistic society.
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elementary school influence— children are taught respect for their nation and its
symbols
Pledge of Allegiance— most school days begin with, and patriotism and respect
for country are important components of most school curricula
building patriotism at a young age— Iraq in 2003, large numbers of

schoolchildren were encouraged to send letters and packages to troops there and elsewhere-in
some states, teachers were encouraged to limit anti-war discussion-measures however
controversial help
peers— also seem to have an important effect on the socialization process
high school influence— they continue the elementary school tradition of building
good citizens and often reinforce textbook learning with trips to the state or national capital-offer
courses on J.S. affairs-reinforces views about participation
college influence— teaching style often changes-courses and texts are designed in
part to provide you with the information necessary to think critically about issues of major
political consequence-has a liberalizing effect
liberalism and conservatism of college students— since 1920s become more

liberal each year they are in college-1992 and 1996 victories of Bill Clinton and his equally
youthful running mate Al Gore, who went out of their way to woo the youth vote, probably
contributed to the small bump in the liberal ideological identification of first-year college
students in those years.
The Mass Media
growing role— as socialization agents
time in front of TV— adult Americans spend nearly thirty hours a week in front
of-children even more
impact of TV— tremendous impact on how people view politics, government and
politicians
impact of alternative sources of political information on TV— information that

people get from these sources often is skewed
average time for TV sound bite in 2004— 30 hours/week
role of TV talk shows in 2004 presidential election— important sources of

information about politics, ye the information that people get from these sources often is skewed
role of Internet in 2004 and 2008 presidential elections— majority party

candidates have used internet; 2008 launched their own Internet sites, and major networks and
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newspapers had their own Internet sites; Blogs and social networking sites play important role
also; Obama relied heavily on Facebook
Religious Beliefs
role of religion— has played an extraordinary role in political life; numerous

scholars have found that organized religion influences the political beliefs and
behaviors of its adherents
percentage of Americans who consider religion an important part of their lives—

80%
faith-based political activity through much of twentieth century from the left—
occurred largely on the left; from the civil rights movement, to efforts to improve
the living standards of farmers and migrant workers, to abolition of the death
penalty, religious leaders were evident
leaders of civil rights movement— Reverend martin Luther King Jr. and
Reverend Andrew Young (who later became mayor of Atlanta Georgia, and the
U.S. ambassador to the United Nations), as well as Reverend Jesse Jackson and
Reverend Al Sharpton
1972 appearance of religious gap in voting and public opinion— Richard M.

Nixon’s re-election campaign designed to appeal to “the Silent Majority”
Nixon’s “Silent Majority” strategy— wanted a return to more traditional values

after the tumult of the 1960s; by the 1980s conservative Christians could take
credit for the election of Ronald Reagan
Moral Majority and the Christian Coalition— played increasingly key roles in
politics
today’ second largest predictor of the vote (after party identification)— hold true
regular church goers and political affiliation— have conservative views and vote
Republican by a 2 to 1 margin
membership in various religions as of 2006—55% of Americans identified

themselves as Protestant, 26% as Catholic and 4% as Jewish, while 14% claimed
to have no religious affiliation
Ideological Self-Identification of Protestants, Catholics and Jews (Figure 10.2)—

The Ideological Self-Identification of Protestants, Catholics, and Jews
shared religious attitudes and tendency to affect voting and issue stances—on
particular issues; Catholics favor aid to parochial schools, while many
fundamentalist Protestants support organized prayer in public schools as well as
abstinence-only education
174
Race and Ethnicity
differences in political socialization between African-Americans and whites from

early age through adulthood—Black children fail to hold the president in the
esteem accorded him by white children; indeed older African American children
in the 1960s viewed the government primarily in terms of the U.S. supreme Court
importance of race and ethnicity as factors in elections and the study of public
opinion—exceptionally important factors in elections and in the study of public
opinion
Analyzing Visuals: Racial and Ethnic Attitudes on Selected Issues—whites are

much more likely to support the war in Iraq than are blacks or Latinos; differences
can be seen in other issue areas including support for preferential treatment to
improve the position of the poor
Hispanics’ response to issues—Government-sponsored health insurance for the

working poor, for example is a hot-button issue with Latino voters, with 94%
favoring it; Hispanics also favor bilingual education and liberalized immigration
policies
Asian/Pacific Islanders’ response to issues—often respond differently to issues

than do whites
Native Americans’ response to issues—differently to issues than do whites
Gender
Gender Differences on Political Issues (see Table 10.1)—Poll after poll reveals
that women hold very different opinions from men on a variety of issues; women,
and particularly unmarried women, are more likely to be democrats, while white
men are increasingly becoming the core of the Republican party
suggested reasons for women’s more liberal attitudes on social welfare concerns
—women’s more nurturing nature and their prominent role as mothers lead
women to have more liberal attitudes on issues affecting the family or children;
political scientists, however, finds no support for a maternal explanation
women’s opinions about war—hold more negative views about war and military
intervention
effect of terrorism and national security concerns on women’s opinions—polls

show 47% of women and 53% of men voiced their support for the U.S. military
intervention in Afghanistan
Age
175
age and an individual's view of the proper role of government—often depends on
the era in which we were born and our individual experiences
causes of differences—social, political, and economic forces
age and opinions on funding Medicare or Social Security—Baby Boomers age,

the age gap in political beliefs about political issues, especially governmental
programs, will increase
which age group advocates increased governmental role in area of medical

insurance?—senior citizens
Region
effect of regional and sectional differences in developing and maintaining

political beliefs since colonial times—important factors in
differences between the North and the South—one of the most long-standing and
dramatic regional differences in the United States;
characteristics of the South—much more religious than the rest of the nation, as
well as more Protestant
characteristics of the West—now appears different from other sections of the

nation; people have moved there to avoid city life; other residents have an anti-
government bias
The Impact of Events
role of key political events—play a very important role in a person’s political

socialization
November 22, 1963—the day that President John F Kennedy was killed
effects of 9/11 attacks—evoked a profound sense of patriotism and national unity

as American flags were displayed fro windows, doors, balconies and cars; life changing political
events
impact of events leading and the marked increase in distrust of

government—major studies on this topic were conducted in the aftermath of
Watergate, which along with civil rights movement and the Vietnam war, produced a marked
increase in Americans
Analyzing Visuals: Faith in Institutions (see page 21 of textbook)—reveal the

dramatic drop-off of trust in government that began in the mid-1960s
Public Opinion and Polling
176
public opinion—What the public thinks about a particular issue or sett of issues at
any point in time.
public opinion polls—Interviews or surveys with samples of citizens that are used
to estimate the feelings and beliefs of the entire population.
George Gallup—An Iowan who is considered the founder of modern-day polling,

have played a key role in defining issues of concern to the public, shaping administrative
decisions, and helping “speed up the process of democracy” in the United States
role of public opinion and governance—defining issues of concern t the public
The History of Public Opinion Research
efforts by newspapers in 1824 and 1833—Pennsylvania newspaper tried to predict

the winner of that year’s presidential contest; Boston Globe sent reporters to selected election
precincts to poll voters as they exited voting booths in an effort to predict he results of key
contests
Walter Lippman: prompted public opinion polling growth n seminal work, Public
Opinion (1922)
Public Opinion (1922)— In this piece, Lippmann observed that research on public
opinion was far too limited, especially in light of its importance.
Literary Digest—a popular magazine that first began presidential polling in 1916
straw polls—Unscientific surveys used to gauge public opinion on a variety of

issues and policies.
three errors in straw polling by Literary Digest: sample, timing, self-selection
1)sample- a subset of the whole population selected to be questioned for

the purposes of prediction or gauging opinion.
2)timing-Questionnaires were mailed in early September. It did not

measure the changes in public sentiment that occurred as the election drew closer
3)self-selection- Only highly motivated individuals sent back the cards- a

mere 22 percent of those surveyed responded; “One cannot allow the respondents to select
themselves into the sample.”
Gallup and 1936 election—pollster correctly predicted the results; Gallup had
written his dissertation in psychology at the University of Iowa on how to measure the readership
of newspapers. He then expanded his research to study public opinion about politics. He was so
confident about his methods that he gave all of his newspaper clients a money back guarantee: if
his poll predictions weren’t closer to the actual election outcome than those of the highly
acclaimed Literary Digest, he would refund their money.
177
greater sophistication in late 1940s—number of polling groups also dramatically
increased, as businesses and politicians began to rely on polling information to
market products and candidates
“Dewey Defeats Truman” headline—in 1948 the polling industry suffered a

severe setback when Gallup and many other pollsters incorrectly predicted that Thomas E.
Dewey would defeat president Harry S. Truman
The Success of the Gallup Poll in Presidential Elections, 1936-2008 (Figure 10.3)
—the Gallup Organization continues to predict the winners of the presidential
popular vote successfully
Traditional Public Opinion Polls
key phases of polling—determining the content and phrasing the questions;

selecting the sample; and contacting respondents
Determining the Content and Phrasing of the Questions:
wording of the question—once a candidate, politician, or news

organization decides to use a poll to measure the public’s attitudes, special care has to be taken in
constructing the questions to be asked; put you on the spot and personalize the style or more
neutral
responses often tied to wording of a particular question—even more

obvious differences appear in the real world of polling, especially when interested groups want a
poll to yield particular results; highly emotional issues such as abortion, same-sex marriage, and
affirmative action often are skewed depending on the wording of a particular question
Selecting the Sample:
random sampling—A method of poll selection that gives each person in a

group the same chance of being selected.
stratified sampling—A variation of random sampling; census data are used

to divide the country into four sampling regions. Sets of counties and standard metropolitan
statistical areas are then randomly selected in proportion to the total national population.
how large, sophisticated surveys operate—National Election Study and

General Social Survey, which produce the data commonly used by political scientists, attempt to
sample from lists of persons living in each household
Contacting Respondents:
telephone polls—are random-digit dialing surveys
178
random-digit dialing surveys— in which a computer randomly selects
telephone numbers to be dialed
individual, in-person interviews—are conducted by some groups, such as

the national Election Study
factors that can affect responses—an important source of errors; how the
pollster dresses, relates to the person being interviewed and even asks the questions can affect
responses; some of these factors, such as tone of voice or accent, can also affect the results of
telephone surveys
Politics Now: Cell Phone Challenge Pollsters—users screen calls; area

codes do not indicate where the user lives; directories are not available, and blocks of numbers ;
mobile phones are typically used by people on the go, unable to complete long interviews
Political Polls
Push Polls:
push poll questions—contain questions intended to produce information
that helps campaigns judge their own strengths and weaknesses as well as those of their
opponents
push polls— Polls taken for the purpose of providing information on an

opponent that would lead respondents to vote against that candidate.
what push polls are designed to do—to give respondents some negative or
even untruthful information about a candidate’s opponent to push them away from that candidate
and toward the one paying for the poll
do candidates use this poll method?—yes
Tracking Polls: Continuous surveys that enable a campaign to chart its daily rise
or fall in support.
tracking polls in 1992—taken on a daily basis by some news

organizations, were first introduced to allow presidential candidates to monitor short-term
campaign strategies
tracking polls today—involve small samples (usually of registered voters

contacted at certain times of day) and are conducted every twenty-four hours; the results are then
combined into moving three-to five-day averages
reliability—fraught with problems and are vulnerable to bias, many major

news organizations continue their use
179
A Daily Tracking Poll for the 2008 Presidential Election (Figure 10.4)
—the day-to-day fluctuations in presidential and congressional races are often
shown through tracking polls.
Exit Polls: Polls conducted at selected polling places on Election Day.
exit polls in contrast to entrance polls—are polls conducted as voters leave

selected polling places on Election day
who uses exit polls?—
exit polls in 1980 presidential election—generally large news

organizations send pollsters to selected precincts to sample every tenth voter as he or she
emerges from the polling site
Shortcomings of Polling
Margin of Error: A measure of the accuracy of a public opinion poll.
typical margin of error—in sample of 1,000 will be about 4%
what the margin of error implies—that somewhere between 56% and 48%
of the people like ice cream, while between 52% and 44% do not
margin of error in a close election—makes predictions very difficult
Sampling Error:
accuracy of any poll depends on what?—quality of the sample that was

drawn
accuracy of small samples—can be very accurate if each unit in the

universe has an equal opportunity to be sampled
why opinions of poor and homeless are underrepresented—because

insufficient attention is given to making certain that these groups are sampled representatively
Limited Respondent Options:
how it leads to inaccuracies—If you are asked “How do you like this
class?” and are given only like or dislike options your full sentiments may not be tapped if you
like the class very much or feel only so-so about it
Lack of Information: public opinion polls may also be inaccurate when they
attempt to gauge attitudes about issues that some or even many individuals do not care about or
about which the public has little information.
when respondents don’t care about an issue or lack information—may be

inaccurate
180
filter question—first asks respondents whether or not they have thought
about the question
results on complex issues—these screening procedures generally allow

surveyors to exclude as many as 20% of their respondents, especially on complex issues like the
federal budget
results on more personal issues—such as moral values, drugs, crime, race,

and women’s role in society get far fewer “no opinion” or “don’t know” responses
Difficulty Measuring Intensity:
inability to measure intensity of feeling about particular issues—another

shortcoming of polls concerns; abortion, the death penalty, or support for U.S. troops in
Afghanistan or Iraq are much more intense than are his or her feelings about the Electoral
College or types of voting machines.
Why We Form and Express Political Opinions
factors that influence most people—personal benefits; political knowledge; cues

from various leaders or opinion makers; and their political ideology
Personal Benefits
“I”-centered—most polls reveal that Americans are growing more and more
what effects attitudes on issues that do not affect someone individually—based on

underlying values they have acquired through the years
issues that do not affect someone individually and do not involve

morality— we often have difficulty forming an opinion; American public
opinion on foreign affairs is likely to be volatile in the wake of any new information
Political Knowledge
reciprocal effect—political knowledge on one another; an increase in one will

increase the other
Americans’ level of knowledge about history and politics—is quite low; today’s
college graduates have less civic knowledge than high school graduates did fifty years ago
Americans’ knowledge about foreign policy and geography—don’t appear to

know much critics would even argue that many Americans are geographically illiterate
Cues from Leaders or Opinion Makers
V.O. Key—argued in The Responsible Electorate that voters “are not fools”
181
role political leaders play in influencing public opinion—the ebb and flow of
popular opinion can be affected dramatically (some cynics might say manipulated by political
leaders
bully pulpit—the president, especially, is often in a position to mold public

opinion through effective use of
followers—one political scientist concludes that there is a group of citizens who

are inclined to rally to support of the president no matter what he does
Political Ideology
political ideology— The coherent set of values and beliefs about the purpose and
scope of government held by groups and individuals.
impact of these sets of values—often greatly affected by political socialization,

can prompt citizens to favor a certain set of policy programs and adopt views about the proper
role of government in the policy process
conservatives—generally are likely to support smaller, less activist governments,

limited social welfare programs, and reduced government regulation of business; strong views on
social issues, including abortion and same-sex marriage
liberals—generally believe that the national government has an important role to

play in wide array of areas, including helping the poor and disadvantaged; generally favor
activist governments
moderates—most Americans today, identify themselves as moderates
The Evolution of News Media in the United States
mass media— The entire array of organizations through which information is

collected and disseminated to the general public.
news media— Media providing the public with new information about subjects of
public interest.
Print Media
newspaper published in colonies as early as what year?—1690
growth of newspapers in the 1700s—as colonists began to realize the value of a

press free from government oversight and censorship
partisan newspapers in late eighteenth century—the battle between Federalists

and Anti-federalists over ratification of the Constitution played out in various partisan
newspapers
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Anti-Federalists and the press—on of the Anti-Federalists’ demands was a
constitutional amendment guaranteeing the freedom of the press
The Living Constitution: First Amendment—Congress shall make no law

respecting an establishment of religion, or prohibiting the free exercise thereof; or abridging the
freedom of speech, or of the press; or the right of the people peaceably to assembler, and to
petition the government for a redress of grievances
Timeline: The Development of the American News Media—1789-2008
penny press—partisan press eventually gave way to
Benjamin Day and the New York Sun—founded; which cost a penny at the
newsstand
less partisan press but not more respectable—mass circulation dailies sought wide
readership, attracting readers with the sensational and the scandalous; became the entertainment
of the times
"A Terrible Tale" about Grover Cleveland in Buffalo Evening

Telegraph—story alleged that Cleveland, an unmarried man, had fathered
a child in 1871, while sheriff of Buffalo, New York; Cleveland willingly accepted responsibility
since all other men were married
Democratic Sentinel story about Republican presidential candidate James

G. Blaine and his wife and their child born just three months after their
wedding—offset the Cleveland scandal; Democratic Sentinel
broke story
political payoffs to the press in nineteenth century—were common
William Randolph Hearst and Joseph Pulitzer—expanded the reach of

newspapers in their control by practicing yellow jounalism
yellow journalism— A form of newspaper publishing in vogue in the late

nineteenth century that featured pictures, comics, color, and sensationalized, oversimplified new
coverage.
muckraking— A from of journalism, in vogue in the early twentieth century,

concerned with reforming government and business conduct.
Theodore Roosevelt on muckraking—so named by; after a special rake designed

to collect manure; were devoted to exposing misconduct by government, business, and individual
politicians
the good and bad of muckraking—muckrakers stimulated demands for anti-trust

regulations and exposed deplorable working conditions in factories, as well as outright
exploitation of workers by business owners; side effect, was the frequent publication of gossip
and rumor without sufficient proof
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role of corporate profit—newspapers became more careful and less adversarial in
their reporting to avoid alienating the advertisers and readers who produced their revenues
Radio News
advent of radio in early part of twentieth century—media revolution and

revelation to the average American
most Americans had never heard the voice of a president— governor, or senator
President Calvin Coolidge and radio—first president to appear on radio on a

regular basis
President Franklin Roosevelt and “fireside chats” (first president to make

effective use of electronic media)—to promote his New Deal
radio news surpassed by television news in 1950s—took a back seat to television
rise of right-wing radio in mid-1980s— regained popularity with the development

of AM talk radio in the mid-1980s
Rush Limbaugh—began the trend with his unabashed conservative views,

opening the door for other conservative commentators
effect of conservative talk shows on radio as a news medium—Lara Ingaham,

Sean Hannity, Michael Reagan (son of the former president; shows have resurrected the radio as
a news medium by giving the information that they broadcast a strong ideological bent
Television News
where and when television first demonstrated publicly in U.S.—1939 Worlds Fain
in New York; took off as a news source until after WWII
most homes had televisions by when?—by early 1960s it would take several years
more for television to replace print and radio as the nation’s chief news provider
early 15 minute evening network newscast and expansion—1963 per day; only
two major networks provided thirty minutes of news coverage
TV news versus newspapers in the 1960s and by 2007—a substantial majority of

Americans still received most of their news from newspapers
Where Americans Get Most of Their National and International News:

2000, 2004, and 2007 (Figure 10.5)—2007, 65% of Americans claimed to
get their news from television, whereas 27% read newspapers
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distinction between network and cable news—network news has lost viewers
since 1980, with the loss becoming even steeper after the advent of cable news;
decline of network news and rise of cable news viewership— cable news has seen
an increase in viewership due to large part to increased availability of services providing 24 hour
news channels
increasing availability of services providing 24-hour news services—increase in

cable news viewership
C-SPAN—cable and satellite providers give consumers access to a less glitzy and
more unfiltered source of news with
comedy news programming—recent development in television news is the growth

in popularity of comedy news programs; mock politicians and the news
The Daily Show—dedicate their entire program to poking fun at world leaders and
current issues
The Colbert Report parodies The O’Reilly Factor— dedicate their entire program
to poking fun at world leaders and current issues
study on comedy news programs informing viewers—regular viewers of The

Daily Show were found to know more about world events than non-viewers, even when
education, party identification, watching cable news, and other factors were taken into
consideration
The New Media
the Internet—gaining around the world
ARPANET—the internet, which began as a Department of Defense project

named Advanced Research Projects Agency Network in the late 1960s; has grown into an
unprecedented source of public information for people throughout the world
use of Internet in 2000 and 2007—2000 9% of Americans claimed to receive

news from the Internet, 29% did in 2007
rise of Internet as source of news and information—few people rely exclusively

on the Internet for news, although it is likely in the future that many citizens will use the
video components of the World Wide Web to substitute for television news watching
Ideas into Action: Where Do Young People Get Their Campaign News?—many
young voters 18-29 rely on the internet for campaign news
U.S. government on Internet—provides its own news to the public over the
internet, to assert an online presence and make government more accessible
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foreign news media on Internet—also offers access; previously unavailable to
most Americans
Al-Jazeera—a major Arabic television news source, has an English-language Web

site providing news concerning the Middle East
Current Media Trends
print media—consist of many thousands of daily and weekly newspapers,

magazines, newsletters and journals
broadcast media—encompass traditional radio and television stations, as well as

satellite and cable services
new media—are the latest technologies, such as the Internet, that blur the lines
between media sources and create new opportunities for the dissemination of news and other
information
The Influence of Media Giants:
media outlets with national and international influence—media outlets that

are influential nationally
U.S. major newspapers distributed nationally— New York Times, Wall

Street Journal, USA Today, Christian Science Monitor are distributed nationally and other
newspapers such as the Washington Post and the Los Angeles Times
networks— An association of broadcast stations (radio or television) that

share programming through a financial arrangement.
the major national broadcast networks—ABC, CBS, NBC, FOX
the major cable news networks—CNN, FOX News, MSNBC CNBC
affiliates— Local television stations that carry the programming of a

national network.
wire services— An electronic delivery of news gathered by the news

services’ correspondents and sent to all member news media organizations.
Media Consolidation:
news media driven by the bottom line—news media in the United States
are multibillion-dollar, for-profit businesses ultimately driven by
consolidation of media ownership—the pressure in privately owned media

is to increase
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risks of media consolidation— so as to reap the benefits that come from
larger market shares and fewer large-scale competitors; manipulation of prices made possible by
monopolies or near monopolies
Increasing Use of Experts:
what influences use of experts—the news media employs expert

consultants from a number of different disciplines ranging from medical ethics to political
pundits, or "talking heads"— hired to discuss the dominant issues of the

day
what impact experts have on shaping American’s views—toward foreign

policy, “news from experts or research studies is estimated to have almost as great an impact” as
anchorpersons, reporters in the field, or special commentators
Narrowcasting:
narrowcasting— Targeting media programming a specific populations

within society.
two ratings leaders within the realm of cable news—CNN and FOX News,
have begun engaging in this form of niche journalism
ideological viewpoint emphasized by the two cable news leaders—FOX

News emphasizes a conservative viewpoint and CNN increasingly stresses a more liberal
perspective, although the FX view is often more pronounced
Technological Innovation:
technology’s effect on the diversity of available news—has the ability to

increase the diversity of available news
blogs— Web-based journal entries that provide an editorial and news

outlet for citizens.
outlet for citizens—provide an editorial and news outlet for citizens
mainstream media’s use of blogs—webs of information, linking together

people with common ideological or issue-specific interests; provide unprecedented opportunities
for the flow of information
future of new media—remains as unpredictable as the latest blog entry, it

is likely that the new media will continue to blur the lines between print and broadcast, consumer
and producer, commentary and fact, and entertainment and news
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online social networks and other new technology—emergence of
MySpace and Facebook, video=and photo-sharing sites like YouTube and Flickr, and the citizen-
encyclopedia, Wikipedia, are also affecting the ways in which Americans share the consume the
news and information
Rules Governing the Media
First Amendment—prohibits Congress from abridging the freedom of the press,

does not provide the media with unlimited print and broadcast freedom. A wide array of internal
and external checks governs the behavior of the modern media
Journalistic Standards
industry's own professional norms—
Society of Professional Journalists’ “Code of Ethics”—
Government Regulation of the Electronic Media
two reasons for unequal treatment of print and broadcast media:
1)
2)
1996 Telecommunications Act—
FCC and 2003 regulation changes—
June 2003 changes by FCC allowed media corporations to own more of different
kinds of media in a given market—
opposition in Congress to FCC changes—
opposition to deregulation by FCC by many ideologically opposing

groups—
general public outcry against the 2003 FCC changes—
December 2007 revised rule by FCC on cross-ownership ban—
Content Regulation
content regulation— Government attempts to regulate the substance of the mass

media.
content regulation of electronic media—
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equal time rule— The rule that requires broadcast stations to sell air time equally
to all candidates in a political campaign if they choose to sell it to any.
October 2000 court ruling on FCC rules that up to that point had required
broadcasters give candidates chance to respond to personal attacks and
political endorsements by a station—
Efforts to Control the News Media
prior restraint—
New York Times v. U.S. (1971)—
Pentagon Papers—
Daniel Ellsberg—
1991 Gulf War and military’s isolation of reporters—
2003 Iraq invasion and “embedded” journalists—
criticism of embedded journalist concept—
a cost of popular sovereignty—
How the Media Cover Politics
news media focus heavily on what?—
increase in number of print reporters accredited at U.S. Capitol since 1983—
increase in coverage of presidential campaigns since 1960s—
journalists accredited as daily White House correspondents—
How the Press and Public Figures Interact
press release— A document offering an official comment or position.
press briefing— A relatively restricted session between a press secretary or aide

and the press.
press conference— An unrestricted session between an elected official and the

press.
campaign consultants hired by politicians and media research—
politicians bypassing national news media—
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libel—
New York Times v. Sullivan (1964)— The Supreme Court concluded that “actual
malice” must be proved to support a finding of libel against a public figure.
actual malice—
effect of actual malice rule—
Covering the Presidency
first among the three equal branches of government in coverage—
Franklin D. Roosevelt, press conferences, and the bully pulpit—
role and history of presidential press secretary—
much of press focus on the president is unfavorable—
negative coverage of presidency—
George W. Bush reluctance to face the press and efforts to control his
image—
Covering Congress
why it is difficult for news media to survey and cover Congress—
size of congressional press corps—
news media focuses on three groups in covering Congress—
1)
2)
3)
negative coverage of Congress—
C-SPAN coverage of Congress—
Covering the Supreme Court
media vacuum surrounding Court—
television in the Court—
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reasons for Court’s reticence to allow cameras in—
release of written transcripts and audio recordings—
same-day release of audio recordings to reporters on a case-by-case

basis—
cover of Court vis-à-vis coverage of legislative and executive branches—
number of reporters covering the Court full time—
reasons the amount of coverage of Court-related stories diminishing—
Toward Reform: Media Influence, Media Bias, and Public Confidence
questions about the media's relationship with the public—
Media Influence
what effect, in most cases, does the press have on what people believe?—
media effects— The influence of news sources on public opinion.
how media-influenced changes might occur:
1)
2)
3) agenda setting— The constant process of forming list of issued to be

addressed by government.
4) framing— The process by which a news organization defines political

issue and consequently affects opinion about the issue.
5)
Media Bias
“biased reporting”—
research suggests why candidates might charge media with bias—
why are journalists biased?—
claims of liberal bias in 1980s and 1990s—
2007 survey on opinions of journalists—
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corporate bias of the media—
corporate interests and corporate broadcast ownership: biased reporting about

debate over Telecommunications Act of 1996—
the deepest bias among political journalists and political journalists desire
for a good campaign story—
effect of journalists’ personal feelings about a candidate—
celebrity status of news reporters—
The Public’s Perception of the Media
American's general assessment of the news media and the general trend of
that assessment—
2007 survey by Pew Research Center for the People and the Press and
what a majority of the public believe about the media—
steady decline in perceived believability of the major news

organizations (2004 percentages regarding print media and broadcast
media)—
increasing partisan dive between Democrats and Republicans in their

assessment of the media's performance—
concern over the ideological fragmentation of the media—
1) Use the library or Internet to find the content and results of a number of polls. Bring them
to class and in discussion groups, analyze the quality and reliability of those polls. Be
sure to discuss sampling, error rates, question wording, how respondents are contacted,
and other factors that affect the results.
2) Write a paper based on your own political ideology and opinions. How were they
formed? Consider those who have influenced these opinions and political views. Is the
text correct in asserting what the dominant factors of political socialization are? Compare
your experiences with those of your classmates.
3) Locate several blogs on the Internet which focus on news and current events. Identify and
describe the blogs. What types of information are you finding there? Does it differ from
more traditional types of media? How and why?
4) Using a major nationally distributed newspaper (The New York Times, The Washington
Post, or The Wall Street Journal), analyze the way in which the president is treated. Is he
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treated well or poorly? Why? Do you perceive an obvious bias? What is it? Is he treated
similarly or differently than other major political figures? Why?
5) Examine the history of corporate consolidation of broadcast news media outlets over the
past several decades. Examine examples of how the corporatization of the news industry
diminishes diversity in news coverage and, thus, hinders your ability to get different
viewpoints on critical issues. Discuss how this would hinder the free exchange of ideas
in a democracy and undermine personal freedoms.
Web Sites
The Gallup Organization is one of the best-known and most well-respected polling agencies.
Their Web site offers access to reports, polling data, and more about a variety of issues.
http://www.gallup.com
The American National Election Study at the University of Michigan offers regular polls on
elections, voting behavior, and electoral issues.
http://www.electionstudies.org
The National Opinion Research Center (NORC), a research arm of the University of Chicago,
offers surveys of American attitudes and opinions.
http://www.norc.org
Roper Center for Public Opinion Research, located at the University of Connecticut, is the
largest library of public opinion data in the world. The Center's mission focuses on data
preservation and access, education, and research. Includes the GSS—General Social Survey.
http://www.ropercenter.uconn.edu
The American Association for Public Opinion Research is a professional association that
publishes Public Opinion Quarterly whose tables of contents are available on this Web site.
http://www.aapor.org
The Virtual Reference Desk at Binghamton University offers a Web site devoted to polling
and public opinion, including information on bad polls and techniques; also offers links to some
opinion sites.
http://library.lib.binghamton.edu/vrd/polls.html
Media Matters for America is an extensive, comprehensive Internet site reporting on corporate
and conservative bias in the news media. Media Matters was created by former conservative
journalist David Brock. Updated daily with reportage and video clips.
http://mediamatters.org
The Pew Center for People and the Press is an independent opinion research group that studies
attitudes toward the press, politics, and public policy issues. Its Web site offers the results of
numerous surveys including those of public attitudes toward the media's coverage of politics and
offers information trends in values and fundamental political and social attitudes.
193
http://www.people-press.org
The Annenberg Public Policy Center at the University of Pennsylvania conducts content
analysis on TV coverage of politics.
http://www.annenbergpublicpolicycenter.org
The Pew Center for Civic Journalism works to encourage “good journalism.” The institute is
trying to battle cynicism and re-engage citizens in the political process.
http://www.pewcenter.org
The Project for Excellence in Journalism is sponsored by Pew, Columbia School of

Journalism, and the Committee of Concerned Journalists. They are trying to raise the standards
of journalism and are running several projects, including one on local TV
news and the state of newspapers in America. This and more are available through their Web
site.
http://www.journalism.org
Center for Media and Public Affairs at George Mason University conducts studies of new
news media and politics.
http://www.cmpa.com
Law and the Media in Texas: Handbook for Journalists is a compact and marvelous
examination of issues journalists face in covering the courts and in dealing with libel issues. It is
written by David McHam, longtime professor of journalism at Baylor University and SMU.
McHam is the recipient of the Society of Professional Journalists national award for excellence
in teaching reporting. Although the handbook is written about Texas courts, it does cover the
federal courts and its state content is applicable in general to most states.
http://www.texaspress.com/Lawpress/LawPress.html
The Poynter Institute is a school for journalists, future journalists, and teachers of journalism.
Its Web site offers a vast array of information and services for journalists. Of particular interest
to students seeking news about the activities of journalists and the news media, click on
"Romenesko Latest News."
http://www.poynter.org
Practice Tests
1) Political socialization within the family can be traced to two factors:

A) communication and parenting skills.
B) receptivity and how strong your parents’ views are.
C) size of family and its religiosity.
D) communication and receptivity.
E) sibling relationships and parental intelligence.
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2) When we look at colleges and universities as a source of political socialization, we find that
most students become, on average,
A) more conservative as they near graduation.
B) more middle-of-the-road as they near graduation.
C) more exhibitionist as they near graduation.
D) more libertarian as they near graduation.
E) more liberal as they near graduation.
3) During the 2004 presidential elections, one study estimated that about ________ percent of
Americans learned about the presidential campaign from alternative sources such as The
Tonight Show, The Late Show, or The Daily Show.
A) 5
B) 25
C) 40
D) 65
E) 85
4) Which of the following groups is the most politically conservative?

A) Catholics
B) Protestants
C) Catholic women
D) women
E) Jews
5) The humanitarian nature of which of the following conflicts helped to minimize the gender
gap regarding military intervention?
A) Korea
B) Vietnam
C) Kosovo
D) Lebanon
E) Iraq
6) Which of the following is a key political event that most helped to promote a sense of
patriotism and American unity?
A) the Berlin airlift
B) the 9/11 terrorist attacks
C) the election of George W. Bush
D) the Vietnam War
E) the Super Bowl
7) According to Figure 10.3, in which of the following elections was the Gallup prediction of
the final vote the most accurate?
A) Johnson’s election
B) Reagan’s first election
C) Truman’s election
195
D) Clinton’s first election
E) Franklin Roosevelt’s first election
8) Most national surveys and commercial polls use samples of _________ individuals to obtain
fairly accurate polling results.
A) 75 to 100
B) 150 to 300
C) 600 to 1,000
D) 2,000 to 5,000
E) at least 7,000
9) Most polls conducted by newspapers are called

A) straw polls.
B) deliberative polls.
C) telephone polls.
D) direct mail surveys.
E) exit polls.
10) On election night, the media initially declared that Al Gore beat George W. Bush to win the
2000 election. This call was made using
A) precinct-level data from selected county election boards.
B) random-digital dial technologies.
C) telephone polls of likely voters.
D) ouija boards.
E) exit polls.
11) One reason politicians and the news media can influence public opinion is because
A) Americans trust politicians and the media.
B) most Americans do not hold their political convictions very deeply.
C) Americans are vociferous consumers of newspapers.
D) over 90 percent of American houses are connected to the Internet.
12) Conservatives typically favor

A) smaller government.
B) social welfare programs.
C) government regulation of business.
D) legalized abortion.
13) Among the publishers who promoted yellow journalism was

A) William Randolph Hearst.
B) James G. Blaine.
C) Upton Sinclair.
D) William Roper.
E) David Sanger.
14) Americans are most likely to get their news from
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A) newspapers.
B) television.
C) radio.
D) news magazines.
E) the Internet.
15) When compared to older Americans, young Americans are more likely to get their campaign
news from
A) talk radio and C-SPAN.
B) NPR and MSNBC.
C) the Internet and comedy television.
D) newspapers and newsmagazines.
E) Nightline and 60 Minutes.
16) Which of the following trends accurately describes the media in the United States?
A) The number of towns with competing local newspapers has increased.
B) Television networks are increasingly breaking with their parent companies to become
independent.
C) Newspapers are being bought by local governments to ensure that news coverage is
driven by journalist standards instead of corporate profits.
D) Media consolidation has increased in recent years.
E) Americans are consuming more political news than ever before.
17) The Telecommunications Act

A) was declared unconstitutional in 1996.
B) required that television news focus on issues.
C) was basically a government takeover of the telecommunications industry.
D) provides substantial subsidies to newspapers.
E) paved the way for multimedia corporations.
18) Libel is
A) the counterpart to conservative.
B) the ideology of most Republicans.
C) written representation of fact.
D) written defamation of character.
E) verbal and written defamation of character.
19) The congressional press corps has ________ members.

A) 7
B) 56
C) 212
D) approximately 3,000
E) approximately 57,000
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20) The influences of new sources on public opinion are known as
A) media effects.
B) media biases.
C) agenda setting.
D) agenda biases.
E) framing issues.
1) The influence of family is greatest on children once they are in high school.
2) In general, race does not appear to influence political attitudes.
3) Women tend to have more liberal attitudes about capital punishment.
4) Polls predicting the outcome of presidential races proved embarrassingly inaccurate in 1948
when they predicted that Governor Thomas E. Dewey defeated incumbent President Harry S.
Truman.
5) An advantage of public opinion polls is the precision with which they can measure the
intensity of feelings on a given topic.
6) A free press is necessary for democracy because it plays a vital role in informing the public.
7) The First Amendment of the Constitution guarantees freedom of the press.
8) Narrowcasting has allowed news networks to target certain receptive audiences.
9) The believability of the press has been declining among Americans.
10) Al-Jazeera is primarily a source for state-run propaganda from Middle Eastern governments.
1) What is political socialization?
2) How has 9/11 shaped your political opinions?
3) What is a random sample?
4) Discuss two reasons why polls may be unreliable.
5) What is sampling error?
198
6) Compare and contrast the print press and electronic media.
7) Discuss the impact of the Internet on the media.
8) How has the increasing use of experts on television news programs affected political news
coverage? Would the public be better off if the media relied less on experts and more on
journalists? Why or why not?
9) Compare and contrast the coverage of media given to the three branches of government.
10) How is the media biased?
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200
CHAPTER 11
POLITICAL PARTIES AND INTEREST GROUPS
To many Americans, party affiliation is not a significant factor in their political lives. Yet to
many other Americans, party affiliation, or allegiance to the issues a party espouses, is important.
For instance, the 2004 election saw a revitalized Democratic Party attacking the presidency of
George W. Bush, and a Republican Party energized to defend and reelect its president. The
candidacy of Barack Obama for the presidency further infused energy and hope into the
Democratic Party nationally.
Whichever party controls the government—nationally and in the states—the two-party system,
after predictions of its decline and demise, seems robust after the last two election cycles if in
need of reform in significant areas. It is important to understand that the two major parties
control the power structure in Congress and in all 50 states. Since Democrats and Republicans
write the laws, including the election laws across the country, the two parties will likely continue
to control the electoral system and the government. It will be the responsibility of the two parties,
also, to make appropriate reforms.
In one form or another, political parties have been staples of American political life since the late
1700s and they will continue to be. In essence, political parties are the engines which run the
machinery of government. While you need not become a mechanic, you should look under the
hood and develop an understanding of how these engines operate.
Interest groups spend a great deal of time, effort, and money understanding how the engines of
the machinery of government work and in trying to fine-tune their operation. Wealthy interest
groups spend vast sums of money attempting to sway the votes of members of Congress and
decision-makers in the executive branch. One must question, however, whether the interests of
the working man and woman, the student, the poor, the mid-level executive, the elementary
teacher and other Americans without the wherewithal to hire million-dollar lobbyists are being
forgotten in Washington thanks to the power and influence of wealthy corporate special interest
groups.
James Madison in the Federalist Papers warned against “a number of citizens, whether
amounting to a majority or minority of the whole, who are united and actuated by some common
impulse of passion, or of interest, adverse to the rights of other citizens or to the permanent and
aggregate interest of the community.” Madison called these groups “factions.” Today we might
call them interest groups.
Thomas Hobbes and other early political philosophers discussed the designs of self-interest
among men in society—beasts in competition. Some Americans today fault interest groups as
“selfish interest groups,” seeking benefits for the few at the expense of the many. Yet, as a
society that has its roots in the concept of individual freedom, do we not want individuals and
groups to seek support for their unique, individual interests? What is the role of interest groups in
American government? Participation in the political process is necessary for a democracy to
flourish. Is it necessary and beneficial that individuals and groups pressure policy makers at all
levels of government? What are interest groups today? What do they seek and how do they
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operate? Do they supplement and complement political parties? Do they enhance representation?
Or are they vehicles for powerful and wealthy interests to take over policy making? Do you have
interests that could be served by participating in an interest group? This chapter addresses the
questions about our political party system questions and the nature of interest groups who seek to
influence the political process in their behalf.
This chapter is designed to give you an overview of political parties and interest groups, how
they work, and how they have changed over time. The main topic headings of the chapter are:
• Roots of the American Party System

• The Functions of the American Party System
• The Party Organization
• Interest Group Structure and Functions
following:
• the roots of the American party system is and what a political party actually is
• the functions of the American party system
• the formal organization and structure of American political party parties
• the formation, development, maintenance of interests groups as well as how they
function
party platforms—
Party Platforms: Moderate but Different (Table 11.1)—
2008 Democratic Party platform—
2008 Republican Party platform—
James Madison’s warning against the dangers of factions in Federalist No.

10—
202
political party—
interest groups—
V.O. Key’s differentiation between political parties and interest groups—
Roots of the American Party System
The Birth of American Political Parties
George Washington’s farewell warning—
end of the brief era of party-less politics in the U.S.—
American Party History at a Glance (Figure 11.1)—
party development during presidency of John Adams—
Federalists—
Democratic-Republicans—
first president elected as the nominee of a political party—
factionalism and the Framers, see The Living Constitution—
Jefferson’s attitude toward the party system—
political parties in their infancy—
The Early Parties Fade
second party system begins around 1824—
Andrew Jackson—
party membership broadens—
Democratic Party and Andrew Jackson—
first national presidential nomination convention—
Whigs—
Henry Clay and the Whig Party—
first president to win the office as the nominee of a truly national,

popularly based political party—
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first broadly supported two-party system in the Western world—
slavery and the Whig Party—
Republican Party—
John C. Fremont—
Abraham Lincoln—
tradition of a solidly Democratic South—
Democrats and Republicans: The Golden Age
the two major parties from the presidential election of 1860 to this day—
central traits of the “Golden Age”—
political machines—
population’s desire for important services (especially city-dwellers)—
party loyalty and devotion in Golden Age—
voter turnout in Golden Age—
The Modern Era
differences between Golden Age and the modern era—
government’s gradual assumption of key functions of parties—
impact of increase of social services under Franklin Roosevelt’s New

Deal—
effect of decrease in immigrant flow—
direct primary—
civil service laws—
issue-oriented politics—
ticket-split—
candidate-centered politics—
population shift from urban to suburban—
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Realignment
party realignment—
critical elections—
three tumultuous eras producing significant critical elections:
1)
2)
3)
no uniform shift in partisan alignment since when?—
dominant outcome of elections since World War II—
occasions other than critical elections when partisan affiliation are

accommodated—
Secular Realignment
secular realignment—
simple generational replacement—
era of weaker party attachments—
prospects of a national realignment—
shift from Democratic Party to Republican Party in the South—
Democratic Party shift toward civil rights and social spending—
Dealignment and the Strength of Political Parties:
dealignment—
rise of self-described independents from 1958 to 2000—
party choice from 1952 to 1964—
party choice since 1970—
how the two major parties’ decline is easily exaggerated—
longevity and competition of the two major parties—
205
inevitability of development of parties in the U.S.—
the two parties have become the primary means for society for
what?—
The Functions and Organization of the American Party System
What Do Parties Do?
two-party system over the past 200 years—
Mobilizing Support and Gathering Power:
party affiliation’s importance to elected leaders—
creating natural majorities or near majorities—
coalition—
A Force for Stability and Moderation:
mechanisms for organizing and containing political change—
forming coalitions—
inherent contradictions in such coalitions—
FDR’s New Deal coalition—
Unity, Linkage, and Accountability:
why parties are the glue holding together fragmented U.S.

governmental and political apparatus——
Framers system that divides and subdivides power—
what the partisan affiliations of the leader of each branch

provides—
other aspect of the party’s linkage function—
The Electioneering Function:
H.G. Wells on elections—
how political parties assist in the “great function” of elections—
elections in a democracy can only have meaning if what?—
206
importance of competiveness in elections—
“competitive” in this context—
changes in strategies for the two parties and similarities in

objectives—
strengths and weaknesses of the two parties—
Political Party Finances, 1993-2008 (Figure 11.2)—
how the parties can raise so much money—
technologies—
media divisions within the parties—
volunteers and paid operatives—
research—
Party as a Voting and Issue Cue:
party identification as a filter and a perceptual screen—
party identification as a cue for the least interested and least

informed—
Policy Formulation and Promotion:
national party platform—
purpose of the platform—
what happens to the promises and pledges?—
Legislative Organization:
the party in Congress—
growth of the role of the two parties in Congress—
caucus—
party leaders—
leaders promoting their policy positions—
207
most power predictor of congressional roll-call voting—
Congressional Party Unity Scores, 1959-2007 (Figure 11.3)—
reasons for the recent growth of congressional party unity—
partisan gerrymandering—
political campaign committees—
Crashing the Party: Minor Parties in the American Two-Party System:
minor parties based on causes—
third parties’ roots in sectionalism—
Dixiecrats—
third parties’ roots in economic protest—
Populists—
third parties’ roots in specific issues—
Green Party—
third parties’ roots in ideology—
third parties’ roots in appealing, charismatic personalities--
Bull Moose Party—
third parties’ roots in a combination of these issues—
George Wallace and the American Independent Party in 1968—
Ross Perot in 1992—
minor parties in congressional elections—
when minor party candidates for the House are most likely to
emerge:
208
1)
2)
3)
when do third parties make elector progress?—
third parties do best when?—
two major parties usually co-opt third party popular issues—
The Party Organization
Political Party Organization in America: From Base to Pinnacle (Figure 11.4)—
National Committees:
early national party committees—
Democratic National Committee (DNC)—
Republican National Committee (RNC)—
congressional party caucuses in both houses and their own national

committees—
informal division of labor among the national committees—
Leadership:
role of chairperson of the national committee—
Politics Now: The Impact of a National Committee Chair—
National Conventions:
national convention—
ultimate governing body for the party—
States and Localities:
where are the parties structurally based?—
209
what level of government is responsible for virtually all regulation of
political parties?—
party leadership comes from what level of government?—
precinct—
precinct committee members—
state central (or executive) committee—
national party and state party organizations division of powers—
Sources of Party Identification
most Americans with regard to identifying with and belonging to a

party—
universal party membership in U.S.?—
the individual and the party with regard to activity rules, obligations to the
party, control over members, and responsibility to the party—
party identification—
aspects and influences of party identification—
loyalty generated by party label—
legal institutionalization of the major parties and party identification—
factors that limit voters for all practical purposes to a choice between the
two major parties in almost every election—
Group Affiliation:
factor affecting variations in party identification—
Party Identification by Group Affiliation (Table 11.2)—
geographic region—
gender—
2008 election and the gender gap—
race and ethnicity—
210
African American—
Hispanics—
age—
partisan affiliations based on formative political experiences

growing up—
influence of occupation, income, and education on party affiliation—
party affiliation by religion—
Interest Group Structure and Functions
the changing face of interest group politics in the U.S.—
“bowling alone”—
social capital—
civic virtue—
why interest groups are important—
Interest Group Formation
interest groups—
how interest groups are differentiated from political parties—
pluralist theory—
disturbance theory—
transactions theory—
the idea that individuals will not mobilize into groups—
what transactionists argue—
new pluralists—
population ecology theory—
Interest Group Maintenance
importance of adequate funding—
211
patrons—
expense of activities of interest groups—
three kinds of members in interest groups:
1)
2)
3)
groups vary in their ability to enroll potential members—
collective good—
free rider problem—
benefit of a group providing incentives to convince potential members to

join—
The Development of American Interest Groups
early local groups—
reason for emergence of first national groups in 1830s—
early national groups were single-issue groups deeply rooted in what

influences?—
Anti-Slavery Society—
Women’s Christian Temperance Union—
larger role of business interest in both state and national politics in later
1800s—
Standard Oil—
oil, steel, and sugar industries—
most effective organized interest of the day—
Central Pacific Railroad lobbying Congress and California legislature—
profound change by the 1890s in the nation’s political and social

outlook—
212
Progressive movement and Progressive-era groups—
national government begins to regulate business—
business groups responded to increased regulation—
National Association of Manufacturers (NAM)—
U.S. Chamber of Commerce—
organized labor—
American Federation of Labor (AFL)—
open shop laws—
1914 Clayton Act—
growth of unions through early and mid-1900s—
effect American Federal of Labor (AFL) and Congress of Industrial

Organizations (CIO) merger in 1955—
recent decline of organized labor’s political clout on the national level—
split at 2005 annual AFL-CIO meeting—
Service Employees International Union (SEIU)—
The Rise of the Interest Group State
rise of the Progressive spirit in the 1960s and 1970s—
public interest groups—
ACLU—
NAACP—
AARP—
Common Cause—
Public Citizen—
Ralph Nader—
conservative response: religious and ideological groups—
213
1978, Jerry Falwell and the “Moral Majority”—
1990, Pat Robertson and the Christian Coalition—
National Rifle Association (NRA)—
Students for Concealed Weapons on Campus—
Ideas Into Action: Guns on Campus—
What Do Interest Groups Do?
what interests groups do—
Lobbying:
lobbying—
lobbyist—
Lobbying Techniques (Table 11.3)—
how almost all interest groups lobby—
what other groups do—
Lobbying Congress:
efforts to reform lobbying—
members of Congress subject to a wide variety of lobbying

techniques—
outright payment of money (bribery)—
former members and staff as lobbyists—
Lobbying the Executive Branch:
many potential access points—
influencing policy decisions at formulation and

implementation stages—
importance of ability to provide decision makers with

important information and sense of public opinion—
interest groups and regulatory agencies—
214
captured agencies—
Lobbying the Courts:
what percent of Washington D.C.-based groups participated

in litigation as lobbying tool?—
types of efforts to lobby the courts—
Grassroots Lobbying:
grassroots lobbying—
methods of grassroots lobbying—
interest groups urge their members to participate—
efforts to persuade ordinary voters to serve as advocates—
Rush Limbaugh stirring up his listeners—
expensive, carefully targeted television ads—
use of technology such as Internet—
Protests and Radical Activism:
Boston Tea Party—
Shays’ Rebellion—
anti-war protestors—
other protests—
Election Activities:
why interest groups become more directly involved in the electoral

process—
Candidate Recruitment and Endorsements:
EMILY’s List—
WISH List—
Getting Out the Vote (GOTV):
putting like-minded representatives in office—
215
GOTV methods—
what well-financed interests groups do—
Rating the Candidates or Office Holders:
to help members evaluate congressional candidates’ voting records—
interest groups that routinely rate candidates and members—
Analyzing Visuals: Interest Group Ratings of Selected Members of

Congress—
Political Action Committees (PACs):
political action committees (PACs)—
what PACs allow—
nature of PACs and interest groups—
role of PAC money—
significance of PACs for congressional incumbents—
Toward Reform: Regulating Interest Groups and Lobbyists
lobbying unregulated for first 150 years of U.S. history—
Federal Regulation of Lobbying Act of 1946—
ACLU blocks expansion of lobbying regulation in courts on First Amendment

grounds—
Lobbying Disclosure Act of 1995:
1)
2)
3)
Congress responds to Jack Abramoff lobbying scandal—
“GOP culture of corruption”—
Honest Leadership and Open Government Act of 2007—
216
key provisions of the 2007 act—
governing formal lobbying of the executive branch—
1978 Ethics in Government Act—
restrictions on executive branch employees becoming lobbyists—
1) Research the role interest groups played in the 2006 and 2008 elections for both the
presidency and the Congress. Which groups made what levels of contributions to which
candidates? What do you believe were the goals of the groups in making those
contributions? Which party’s candidates benefited the most from what interest groups?
What positions did the presidential campaigns of Democratic candidate (and current
president) Barack Obama and Republican John McCain take toward lobbyists?
2) Using the Internet or the library, look up state party organizations in three different states
(for example, a Southern state, a New England state, and a Western state). Compare the
Democratic and Republican parties from those states on a variety of indicators, including
issue positions, platforms, and organization. Are they different? How and why?
3) Talk with, or invite to class, some local party activists. Ask them to talk to you about
what they do in the party, why and how they got involved in politics, and the issues that
they consider important. Does the information you learn ring true with what you have
read in the text?
4) Interview several lobbyists (or ask your professor to invite several lobbyists to talk to
your class). Discuss how they see their job and what tactics work and which ones don't.
What issues do they deal with and what do they offer to politicians? How do they define
a successful lobbyist? After talking with the professional lobbyists, what do you think
about lobbying now? Does it seem less “unsavory”? Do the media do lobbyists justice in
their coverage?
5) As a class project, form an interest group. Decide what issue(s) you will promote and
how you would promote them. What strategies and tactics would you
use? How would you attract members? How would you ensure the success of your
group?
Web Sites
The National Political Index features a Web page titled “Contacting Political Parties” with
scores of links to the two major parties, third parties and minor parties, along with associated
links.
217
http://www.politicalindex.com/sect8.htm
EdGate, a service of USAToday, offers an illustrated history of political parties in the United
States.
http://www.edgate.com/elections/inactive/the_parties
Third Party Central offers links to third parties.

http://www.3pc.net/index.html
The American Library Association hosts an Internet Resources page on political parties and
elections with links to a wide range of related information.
http://www.ala.org/ala/mgrps/divs/acrl/publications/crlnews/2004/jul/elections.cfm
The Democratic National Committee site.

http://www.democrats.org
The Republican National Committee site.

http://www.gop.org
The Reform Party.

http://reformpa.web.aplus.net
The Libertarian Party.

http://www.lp.org
The Green Party.

http://www.greenparty.org
Open Secrets, sponsored by the Center for Responsive Politics, maintains a searchable
Washington lobbyist database.
http://www.opensecrets.org/lobbyists/index.asp
Public Citizen, a nonprofit, nonpartisan consumer advocacy group, maintains a special interests
reports page listed by industry group.
http://www.citizen.org/congress/special_intr/index.cfm
American Association of Retired Persons (AARP) is an interest and advocacy group devoted
to the interests of those over 50.
http://www.aarp.org
American Civil Liberties Union (ACLU) offers information on the entire Bill of Rights,
including racial profiling, women's rights, privacy issues, prisons, drugs, etc. Includes links to
other sites dealing with the same issues.
http://www.aclu.org
AFL-CIO is the largest trade union organization in America. Their Web site offers policy
statements, news, workplace issues, and labor strategies.
218
http://www.aflcio.org
The United States Chamber of Commerce is a business-oriented interest group whose Web site
offers articles of interest, policy information, and membership info.
http://www.uschamber.org
Common Cause was one of the first public interest groups. They promote responsible
government.
http://www.commoncause.org
Mexican American Legal Defense and Education Fund (MALDEF) Web site offers
information on Census 2000, scholarships, job opportunities, legal programs, regional offices
information, and more.
http://www.maldef.org
Native American Rights Fund (NARF) Web site offers profiles of issues, an archive,
resources, a tribal directory, and treaty information, as well as a lot of other information.
http://www.narf.org
The National Association for the Advancement of Colored People (NAACP) Web site offers
information about the organization, membership, and issues of interest to proponents of civil
rights. The site also has sections on the Supreme Court, Census 2000, the Education Summit, and
links to other Web sites.
http://www.naacp.org
The National Rifle Association (NRA) is a highly effective interest group on behalf of its
members. Its Web site offers information on gun ownership, gun laws, and coverage of
legislation on associated issues.
http://www.nra.org
National Organization of Women (NOW) Web site offers information on the organization and
its issues/activities including women in the military, economic equity, reproductive rights, and so
on. They offer an email action list and the ability to join NOW online. Also has links to related
sites.
http://www.now.org
Practice Tests
1) According to Table 11.2, members of which of the following groups are most likely to
identify themselves as Democrats?
A) blacks
219
B) Westerners
C) liberals
D) union members
E) those with an advanced degree
identify themselves as Republicans?
A) those over 50
B) those who earn less than $30,000
C) those who are married
D) Southerners
E) evangelical Christians
3) Party identification is affected by one’s

A) race or ethnicity.
B) geographic region.
C) social and economic status.
D) marital status.
4) The first major national presidential nominating convention was held in

A) 1796.
B) 1832.
C) 1892.
D) 1924.
E) 1968.
5) A party organization that recruits its members with tangible incentives such as jobs and is
characterized by a high degree of control over member activity is called a
A) mob.
B) machine.
C) patron.
D) boss.
E) patriarch.
6) The era of machine politics was replaced with

A) smoke-filled rooms.
B) patronage.
C) party-centered party politics.
D) candidate-centered politics.
7) The gradual change in partisanship in the South from Democratic to Republican during the
1990s is an example of a
A) secular realignment.
B) graduation realignment.
C) critical realignment.
D) party realignment.
E) ticket split.
220
8) One of the main functions of a party is electioneering, which includes
A) recruiting candidates.
B) determining the constitutionality of election laws.
C) advising the president.
D) negotiating with Congress.
E) designing and implementing TV political ads.
9) Funds which can be used for direct electioneering, but are limited and regulated are called
___________.
A) coffee cash.
B) soft money
C) hard money
D) open funds
E) unlimited funds
10) Third parties are most likely to be rooted in

A) patriotism.
B) nationalism.
C) charismatic personalities.
D) transportation policies.
E) multi-issue politics.
11) The American Independent Party enjoyed a modicum of success because of

A) a dynamic leader in George Wallace.
B) a firm geographic base in the North.
C) a sedate issue with civil rights.
D) a realignment.
12) The head of the national party is the

A) party’s most recently defeated presidential candidate.
B) secretary of the party.
C) national convention chair.
D) party’s most recent former president of the United States.
E) chairperson of the national committee.
13) A party meeting held to nominate a candidate and formulate a platform is known as a
A) convocation.
B) conclave.
C) concubine.
D) coalition
E) convention.
221
identify themselves as independents?
A) Protestants
B) Catholics
C) men
D) Hispanics
E) those with a college degree
15) The tendency to form small-scale associations for advancement of the public good is known
as
A) Social Capital
B) Civic Virtue
C) Interest Groups
D) Disturbance theory
E) Common Cause
16) Interest groups engage in all of the following activities to influence the outcome of elections
EXCEPT
A) recruiting candidates.
B) running candidates for office.
C) orchestrating get-out-the-vote drives.
D) rating candidates on various issues
E) forming political action committees.
17) The percentage of the population who were members of labor unions peaked
A) during the Great Depression.
B) in the late 1940s while the economy still focused on manufacturing and farming.
C) in the early 1980s as a service-based economy boomed.
D) during the presidency of Jimmy Carter.
E) during the high-tech bubble of the 1990s.
18) Which of the following techniques is used by almost all lobbyists and interest groups?
A) testifying at legislative hearings
B) endorsing candidates
C) working on elections
D) filing lawsuits or otherwise engaging in litigation
E) protest and demonstrations
19) The strongest link probably exists between interest groups and
A) state governors.
B) the president.
C) regulatory agencies.
D) the Supreme Court.
E) the lower federal courts.
222
20) A federally mandated, officially registered, fund-raising organization that represents an
interest group is known as a/an
A) economic interest group.
B) governmental unit.
C) political action committee.
D) lobbying group.
E) trade association.
1) George Washington was the founder of the American political party system.
2) Presidents have more power than do state governors because presidents are the official
leaders of their congressional party.
3) Republican office holders have become increasingly conservative.
4) The Framers did not foresee the influence of special interests and so made no provisions in
the Constitution to counter it.
5) Contemporary national nominating conventions are choreographed to project the best image
to the American people.
6) Third parties that are often built around a single issue or a charismatic candidate are unlikely
to attain long-term viability.
7) National party chairpersons do a substantial amount of the planning for presidential

nominating conventions.
8) Restrictive ballot laws, campaign finance rules, and the inertia of a two-party system have
made it difficult for third parties to become viable.
9) People with low incomes are just as likely to join interest groups as those with high incomes.
10) Interest groups do not run candidates for office.
1) What are party platforms? How useful are these to voters?
2) What was the “Golden Age” of parties?
3) How did political machines affect the development of political parties?
223
4) How can political parties act as cues for citizens?
5) Why do third parties tend to remain minor?
6) What happens at national political conventions?
7) Discuss the basic structure of American political parties on the state and local level.
8) Discuss and evaluate the reasons for the party affiliation of college students.
9) What are the roles and functions of political parties in America? Do parties play a
worthwhile role in the American political system?
10) How are political parties organized in America? What effect does this have on the political
system?
224
CHAPTER 12
VOTING, ELECTIONS, AND CAMPAIGNS
Do you vote? Do your friends and family vote? Probably, you know people who consider voting
meaningless. Or they consider the process of voting too cumbersome for so little impact. Of
course, ask Al Gore if a handful of votes matter. A few more people showing up at the polls
across Florida in November of 2000 and the presidential election would not have produced such
a questionable and controversial outcome. And had a minor percentage of the total votes cast in
the 2004 election in key states shifted because of increased voter turnout, George W. Bush would
have moved back to Texas and John Kerry would have moved into the White House in 2005
rather than back to the Senate.
Elections in America allow a peaceful and legitimate transfer of power. The United States has
more elections more often than any other country in the world. We also have the lowest turnout
of the industrialized countries—fewer than half of our eligible voters vote on a regular basis.
There are a wide variety of explanations for nonvoting. There are even those who claim that
having a low voter turnout is a good thing and increases stability in the political system. Others
argue that reform is necessary to increase voter turnout. After the 2000 presidential election,
where some argue the votes of five Republican members of the U.S. Supreme Court rather than
the votes of the people of Florida were the final arbiter of who would be president, calls for
reform of the Electoral College system were widespread.
In 2008, however, many Americans, particularly young Americans, experienced a newfound

interest in voting and in the campaign process thanks to the historic candidacy of Barack Obama
for the presidency. Many young Americans followed the campaign, registered to vote and took
part in the political process in greater numbers than ever before.
Is the phenomenon of the Obama campaign an anomaly or have young voters awakened to the
importance of political campaigns and voting? Only the arrival of the next major election cycle
will tell us. Many factors weigh against it, unfortunately.
American political campaigns are long and expensive. We have more elections than most other
countries and they last longer, too. Our campaigns also seem to turn a large number of voters off
the process entirely. People say they hate negative campaigning, but negative campaign ads
work. Many Americans believe that wealthy donors and political action committees have a
disproportionate influence on the process. Do candidates sell themselves on TV as advertisers
sell toothpaste or soap, processed and packaged like products for sale? Indeed, the art of
electioneering has seemingly merged with the science of marketing and advertising. Yet the
goals of campaigning remain the same: Get voters’ attention and get their votes. How candidates
pursue these goals is the subject of this chapter along with the process of voting and elections.
This chapter is designed to give you an overview of voting and elections in the United States.
225
• Roots of Voting Behavior
• Presidential Elections
• Congressional Elections
• The Media’s Role in the Campaign Process
• The Main Event: The 2008 Presidential Campaign
• Toward Reform: Campaign Finance
following:
• the roots of voting behavior and distinct patterns in voter turnout and vote choice
• how presidential elections work, including the primaries, national conventions,
and the Electoral College
• how congressional elections work and how they differ from presidential elections
(even though they share many similarities)
• the coverage of campaigns by the media—the role of the conventional and new
media’s depict the political territory, and how campaigns try to influence media
coverage
• the historic 2008 presidential campaign and the lessons learned from it
• current campaign finance reform efforts along with the impact of 527 and 501(c)
advocacy groups on American campaigns and politics
the 2008 presidential primaries—
first time since 1928 presidential candidate slate was so constituted—
historical significance of candidacies of Hillary Clinton and Barack Obama—
Republican presidential primary—
Tuesday following the first Monday in November every odd-numbered year—
226
the increase in the size of the electorate and the number of elections—
Roots of Voting Behavior
research on voting behavior seeks primarily to explain two phenomena—
Patterns in Voter Turnout
turnout—
percentage of eligible adult population in U.S. that votes regularly—
percentage of eligible adult population in U.S. that occasionally votes—
percentage of eligible adult population in U.S. that rarely or never votes—
some factors known to influence voter turnout—
Politics Now: Can Turnout Aid One Candidate?—
Education and Income:
highly educated vs. those with less education—
higher income level vs. lower income—
college graduates and people with advanced degrees—
factors relating to higher education and voting—
income level tied to education level to some degree—
factors relating to higher income levels and voting—
factors relating to lower income levels and voting—
consequences of “classless” U.S. political parties—
Age:
strong correlation between age and voter participation—
effect of Twenty-Sixth Amendment—
older than thirty vs. younger than thirty—
reason for decline in voting in over seventy age bracket—
227
percentage of 13-24 year olds registered to vote in 2004
presidential election—
increased number of young voters in 2008—
Ideas into Action: Motivating Young Voters—
Gender:
women voting vs. men in period following ratification of

Nineteenth Amendment—
women voting in recent years—
women as percentage of general population and as part of the

American electorate—
Race and Ethnicity:
whites vs. African-American voters—
whites vs. other minority group voters—
factors in the persistent difference in voting rates between

white and black voters—
highly educated and wealthier African American voters vs. whites

of similar background—
long-term consequence of voting barriers African Americans

historically faced—
lower voter turnout in South—
Voting Rights Act of 1965—
Hispanic vote—
key variables regarding Hispanic vote—
Interest in Politics:
serving as a gateway to participation—
people interested in politics are a small minority of U.S.

population—
percentage of population that contribute time or money to a party

or candidate—
228
Why is Voter Turnout So Low?
how does the United States match up against other nations in the
industrialized world with regard to voter participation?—
percentage of U.S. voter participation in 1960, 1996, and in 2008—
reasons U.S. nonvoters give for not voting—
Too Busy:
percent of register nonvoters who state they were too busy to vote
in a recent election—
percent who claimed they were ill, disabled, or had family

emergency—
what these reasons may actually reflect as to why these people did
not vote—
Difficulty of Registration:
the majority of registered voters do vote—
Percentage of Registered Voters by Age, Race/Ethnicity, and

Gender, 2004 (Figure 12.1)—
reasons for low U.S. registration rate:

1)
2)
effect of strict registration laws on voting—
effect of easier registration on voting—
National Voter Registration Act of 1993 (Motor Voter Act)—
Difficulty of Absentee Voting:
onerous requirements in some states—
Number of Elections:
229
U.S. number of elections vs. other Western democracies—
consequence of two-year term of office for members of U.S. House

of Representatives—
effect of American federalism—
Patterns in Vote Choice
some of the most prominent correlates of vote choice—
Party Identification:
effect of party identification on vote choice—
Issues:
“it’s the economy, stupid”—
how the economy drives voter decisions—
retrospective judgment—
prospective judgment—
Types of Elections
primary elections—
closed primary—
open primary—
crossover voting—
raiding—
runoff primary—
Louisiana's twist on the primary system—
general elections—
initiative—
referendum—
recall—
230
Presidential Elections
sequential events in the presidential election process—
The Nomination Campaign
nomination campaign—
party leaders’ concerns vs. activists’ concerns—
Primaries Versus Caucuses:
trend from caucuses to primary elections—
number of states with primaries; number of states with caucuses—
the oldest, most party-oriented method of choosing delegates to the

national convention—
traditional characteristics of caucuses—
criticisms of caucuses by reformers—
new participatory caucuses—
front-loading—
accelerating trend in front-loading (Figure 13.4)—
important effects of front-loading on the nomination process:
1)
2)
Internet fundraising’s effect of softening early fundraising advantages—
Internet fundraising in 2008 presidential race—
The Party Conventions:
when are the national party conventions held?—
which party traditionally holds its national convention first?—
television coverage—
three ways national party conventions are different today—
231
1)
2)
3)
Delegate Selection:
role of party leaders in delegate selection today—
delegate selection today is a function of what?—
effect of recent reforms, especially by Democratic Party, regarding

delegates selection—
why is it less important today than before as to who the delegates are at
the convention?—
similarities and differences between the two parties in delegates at their

conventions—
percentage of minorities and women at 2008 National Democratic

Convention—
Historic Moments for Women at the Conventions (Table 12.1)—
percentage of minority and ethnic delegates to 2008 National Republican

Convention (and decline from 2004)—
The General Election Campaign
general election campaign—
candidates must seek support of two groups—
courting interest groups—
what interest groups usually support Democrats—
what interest groups usually support Republicans—
the most active interest groups often coalesce around what issues and to
what result to the candidate they support?—
adopting a theme or slogan—
The Key Players: The Candidate and the Campaign Staff
232
most important aspect of any campaign—
what is in the candidate’s hands—
what is in the campaign staff’s hands—
The Candidate:
why candidates run for office—
what candidates must do to be successful—
The Campaign Staff:
the entities that make up the campaign staff—
responsibilities of the campaign staff—
determinants of the size and nature of the organizational staff—
the type staff for a Senate or gubernatorial race—
the type staff needed for a state legislative race—
the type staff need for a presidential campaign—
role of volunteers—
voter canvass—
get out the vote (GOTV)—
The Candidate’s Professional Staff:
campaign manager—
finance chair—
pollster—
direct mailer—
communications director—
press secretary—
Internet team—
The Electoral College: How Presidents Are Elected
233
Electoral College—
electors—
number of electors—
correlation to congressional representation—
Electoral College was result of compromise between two groups—
three essentials reasons why the Framers constructed the Electoral

College—
1)
2)
3)
complex nature of Electoral College as originally designed and implemented by

the Framers—
candidate with the most votes and the runner-up—
when the House of Representatives would decide the election—
Electoral College in the Nineteenth Century:
1800 presidential election revealed flaw in Electoral College—
Twelfth Amendment (1804)—
Electoral College as amended by the Twelfth Amendment—
three occasions in the nineteenth century when the Electoral

College process resulted in the selection a president who received
fewer votes than his opponent:
1) 1824—
2) 1876—
3) 1888—
The Electoral College in the Twentieth and Twenty-First Centuries:
234
1992 election—
2000 election—
Bush v. Gore (2000)—
reapportionment—
projections for the upcoming 2010 census—
projected reapportionment would favor which party?—
The States Drawn in Proportion to their Electoral College Votes (Figure

12.2)—
Congressional Elections
attention given congressional elections compared to presidential elections—
attention given most candidate for Congress as opposed to major party

presidential contenders and celebrity nominees for Congress—
who the vast majority of party nominees for Congress are—
biggest battle for most party nominees for Congress—
The Incumbency Advantage
incumbency—
incumbents reelected in 2008—
congressional reelection rates—
Redistricting:
what the Constitution requires that representation in the House of

Representatives be based upon—
Constitution requires that each state have at least how many

delegates to the House?—
congressional district must be redrawn to reflect _____, so that

each member in the House will represent approximately _______ of
residents—
the two states that are the exception to this rule and why—
redistricting—
235
why redistricting is a political process—
gerrymandering—
why legislators end up drawing oddly shaped district to achieve

their goals—
after 2000 report of the census, the courts threw out legislative maps in a
half-dozen states, primarily because of what reason?—
Supreme Court rulings on redistricting over the years:
1)
2)
3)
4)
The Impact of Scandals:
why incumbents implicated in scandals typically do not lose

reelection—
Rep. Mark Foley (R-FL)—
Rep. Tom DeLay (R-TX)—
Rep. Bob Ney (R-OH)—
Tim Mahoney (D-FL)—
Presidential Coattails:
effect of successful presidential candidates on congressional

candidates of the same party in the year of their election—
Midterm Elections:
midterm elections—
why the president’s party usually loses seats in Congress during

midterm elections—
Congressional Election Results, 1948-2008 (Table 12.2)—
2002 midterm elections--
236
sixth year of a two-term presidency—
Senate elections and off-year patterns—
The 2008 Congressional Elections:
momentum from 2006 midterm election—
upsets in special elections—
retiring members favored which party in 2008 and how?—
fundraising advantage for 2008—
2008 Senate races—
2008 House races—
national political climate in 2008—
Democratic majorities in the two chambers of the 111th Congress—
the 111th Congress and President Obama—
Results of Selected Congressional Elections, 2008 (Table 13.4)—
The Media’s Role in the Campaign Process
paid media—
free media—
new media—
new media driven by campaign but also by outside sources—
Paid Media
positive ads—
negative ads—
contrast ads—
spot ads—
how well-known incumbents handled negative ads before the 1980s—
237
well-publicized defeats of incumbents in early 1980s from negative ads
changed how candidates responded to negative ads—
inoculation ads—
Free Media
control of free versus paid media—
how the news media cover campaigns—
media practices and coverage of campaigns—
effect of media’s expectations on how public views a candidate—
media's use of public opinion polls—
effect of the tone of media coverage on a campaign—
The New Media
new array of weapons available to campaign—
“rapid-response” technique—
change from the campaign methods of the 1970s and early 1980s—
first widespread use of the Internet in national campaigning—
first use of the Internet in national campaigning—
change in how Internet used in 2000 campaign—
use of Internet in campaigns in 2006—
use of Internet in campaigns in 2008—
use and aspects of blogs in campaigns—
social networking—
The Main Event: The 2008 Presidential Campaign
historic 2008 election campaign—
referendum on Bush policies—
Democratic presidential nominee's fundamental advantages—
238
doubts about Republican presidential nominee—
polls showing undecided voters—
The Party Nomination Battles
crowded initial field of candidates for Democratic presidential

nomination—
crowded initial field of candidates for Republican presidential

nomination—
Democratic candidates in spring, summer, and autumn of 2007—
2004 keynote address to Democratic National Convention—
Obama's star power—
Iowa caucuses—
New Hampshire primary—
Hillary Clinton in primaries—
later primaries—
nature of Republican presidential nomination contest—
fifteen 2007 Republican presidential candidates' debates—
Mitt Romney—
Fred Thompson—
Mike Huckabee—
New Hampshire primary—
later primaries—
The Democratic and Republican Conventions
"dream ticket"—
Joe Biden—
August Democratic National Convention in Denver—
impact of Hillary Clinton—
239
Barack Obama's acceptance speech—
McCain's announcement of selection of Alaska Governor Sarah Palin as

his running mate—
Palin's vice-presidential candidacy—
September Republican National Convention in St. Paul—
speeches by George W. Bush and Dick Cheney cancelled—
Palin's address to the convention—
McCain's acceptance speech at convention—
The Debates and the General Election Campaign
first presidential debate—
McCain "suspended" his campaign—
audience for first debate and resulting opinion polls—
negative impression forming about Sarah Palin—
Palin's TV interviews with Charlie Gibson and Katie Couric—
vice-presidential debate between Biden and Palin—
audience for vice-presidential debate—
Palin on Saturday Night Live—
second presidential debate—
reaction of viewers as to who won second debate—
final presidential debate—
McCain's performance—
"Joe the Plumber"—
reaction of viewers as to who won third debate—
opinion polls take after last debate—
fluctuating support for the two presidential tickets—
240
support for Republican ticket at the state level—
McCain's effort to change the dynamics of the race—
Obama's campaign plans—
McCain attempts to distance himself from President Bush—
sowing doubt in voters' minds as to Obama's readiness to be president—
McCain campaign choice not to use controversy over Reverend Jeremiah

Wright and not to tout heavily Senator McCain's numerous bipartisan
accomplishments—
final two weeks of campaign—
Election Results and Analysis
early returns on election night—
results for battleground states—
Ohio results—
California results—
McCain's call to Obama and concession speech—
Obama's victory speech—
Electoral College landslide—
result of popular vote—
historic voter turnout—
expectations of analysts for 2008 campaign and actual results based on

Obama's strategy—
Obama campaign's decision to opt out of public financing—
McCain campaign's more traditional strategy—
Obama's strong performance among key voting groups—
Obama's disciplined, innovative campaign—

Toward Reform: Campaign Finance
241
Federal Election Campaign Act (FECA) of 1971—
Presidential Public Funding Program—
Federal Elections Commission—
Senators John McCain (R-AZ) and Russell Feingold (D-WI)—
Bipartisan Campaign Reform Act (BCRA) of 2002—
“fast track” provision of BCRA—
reason for this provision—
Senator Mitch McConnell (R-KY) and National Rifle Association file

separate lawsuits against BCRA claiming what?—
McConnell v. FEC (2003)—
Federal Election Commission v. Wisconsin Right to Life (2007)—
what the decisions in these two cases indicated—
Current Rules
BCRA after McConnell decision of 2003—
what the BCRA outlaws—
soft money—
Individual Contribution Limits Per Election Cycle Before and After Bipartisan
Campaign Reform Act of 2002 (Table 12.3)—
the goal of all limits—
Individual Contributions:
individual contributions—
current maximum allowable contribution under federal law for

congressional and presidential elections in 2007-2008—
limit in 2007-2008 on an individual’s gifts to all candidates, PACs, and

parties combined in each calendar year—
most candidates received majority of all funds directly from individuals—
242
strict disclosure law for individuals who spend over $10,000 to air
“electioneering communications”—
rationale behind this regulation—
Political Action Committee (PAC) Contributions:
political action committees (PACs)—
current limits on PAC contributions—
PACs registered with FEC—
PAC contributions in 2006 election cycle—
why corporate PACs give primarily to incumbents—
which PACs more likely to support challengers—
BCRA attempts to control PACs—
PACs forbidden to use corporate or union funds for what?—
rationale behind this regulation—
Expenditures by PACs in the 2008 Election Cycle (Figure 12.3)—
Political Party Contributions:
parties can give substantial contributions to their congressional nominees

—
current limits on contributions by political parties—
political party contributions in 2006—
percentage of total campaign war chest from parties in contested races—
Member-to-Candidate Contributions:
contributions from electorally secure incumbents—
"leadership" PACs—
major supplement to campaign resources contributed by the party

campaign committees; why?—
Candidates’ Personal Contributions:
243
contributions from candidates and their families—
Buckley v. Valeo (1976)—
the meaning for wealthy candidates—
Mitt Romney's record personal expenditures for his failed quest for the
2008 Republican presidential nomination—
most self-contribution candidates spend less than what amount?—
Public Funds:
public funds—
the only federal candidates to receive public funds—
a few local and state candidates—
Federal Elections Campaign Act (FECA) controls—
how a presidential candidate qualifies to receive public funds during the

nominating contest—
matching funds—
Presidential Election Fund—
how it is funded—
in 2008 primaries all the major candidates opted out of federal matching
funds—
procedures for general election funding of the two major-party presidential

nominees—
if candidate accepts the money?—
if candidate refuses the money?—
Barack Obama rejected general election public funding; why and to what
result?—
third-party candidate funding in general election—
Soft Money and the 527 Loophole
244
soft money—
soft money contributions now prohibited by the 2002 Bipartisan Campaign

Finance Reform Act (BCRA)—
current rules for third-party issue ads—
soft money raised by Republican and Democrats during 2001-2002 (the last
election cycle for the parties to use soft money)—
reformers hoped-for result of soft money ban and the loophole that resulted—
loophole found in 2004 to go through BRCA—
527 political committees—
IRS tax code and 527s—
Analyzing Visuals: The Ten Most Active 527 Groups in 2008—
sham issue ads—
why money that would have entered the system as unregulated soft money in
previous election cycles ended up in the hands of 527 organizations in 2004—
BRCA now forbids 527-funded ads thirty days before a primary and sixty days
before a general election—
527s exist in both political camps—
pro-Democratic 527s—
Media Fund and Americans Coming Together (ACT)—
spending by pro-Democratic 527s in 2004—
501(c)(3) committees—
why 501(c)(3) committees are beginning to rival 527s' popularity as soft money
conduits—
likelihood of abolishing 527s and 501(c)(3) committees—
an obvious lesson of the BCRA—
245
1) Many scholars argue that low voter turnout is due to electoral rules, frequency of
elections, apathy, etc. Discuss how you would change these impediments to voting and
discuss the impact increased voter turnout would have on the electoral process. Was the
increased voter turnout in the 2008 elections an anomaly or a harbinger of change?
Explain your reasoning.
2) Look at several sources discussing the Electoral College. What reforms have been
proposed? How useful is the Electoral College now? Would you advocate a different
approach? Does it matter that a presidential candidate can lose the popular vote and still
become president as in the 2000 election? Hold a debate in class on the merits of the
various routes to reform.
3) Research and analyze the campaign for president in the 2008 election. Examine Barack
Obama's campaign organization and John McCain's campaign organization. Place
yourself in the position of the campaign managers and key advisors for both campaigns.
What where the plans developed and implemented for media, issues, polling, fundraising,
scheduling, travel, get out the vote, and other aspects of the campaign and how did they
change during the course of the general election campaign? What would you have done
differently if you were the campaign manger for the McCain campaign? For the Obama
campaign?
4) Write an essay about the 2008 presidential debates. What were the strategies used by
Obama and by McCain and how effective were they in getting across their respective
campaign messages. What tactics, etc. helped the two win points in the debates?
5) Research the current campaign finance laws and the reform measures recently passed by
Congress and interpreted by the courts. Once you understand the nature of the laws and
their purpose, devise a reform plan of your own. And consider how you would sell it to
the people, the incumbents in the House and Senate, the president, and other interested
parties.
Web Sites
Project Vote-Smart is a nonpartisan information service funded by members and nonpartisan

foundations. It offers “a wealth of facts on your political leaders, including biographies and
addresses, issue positions, voting records, campaign finances, and evaluations by special
interests.” It also offers “CongressTrack,” a way for citizens to track the status of legislation,
members and committees, sponsors, voting records, clear descriptions, full text, and weekly floor
schedules, as well as access to information on elections, federal and state governments, the
issues, and politics. Includes thousands of links to the most important sites on the Internet.
www.vote-smart.org
The American National Election Studies Web site is a key source of data on voting behavior.
www.electionstudies.org
246
Campaigns and Elections magazine's Web site is oriented toward campaign professionals but is
also useful to teachers and students. It offers articles, their table of contents from the print
version, job opportunities, and more.
politicsmagazine.com
The Federal Election Commission (FEC) Web site offers campaign finance information, a
citizens' guide to political contributions, news and information about elections and voting.
Includes data about state regulations on voting (registration and residency rules, etc.) as well as
elections data from a variety of elections.
www.fec.gov
Rock-the-Vote is an organization dedicated to getting young people involved in politics.

www.rockthevote.org
The League of Women Voters provides information to voters across the country on state,
federal, and local elections and works to encourage election reform and campaign finance
reform. Their Web site offers an interactive section on election information.
www.lwv.org
The Office of the Federal Register coordinates the functions of the Electoral College on behalf
of the Archivist of the United States, the States, the Congress and the American people. This site
assembles a variety of information and statistics on the Electoral College, past and present.
www.archives.gov/federal_register/electoral_college/index.html
The Census Bureau has information on voter registration and turnout statistics.
www.census.gov/population/www/socdemo/voting.html
Democratic Congressional Campaign Committee-DCCC

www.dccc.org
Democratic Senatorial Campaign Committee-DSCC

www.dscc.org
National Republican Congressional Committee-NRCC

www.nrcc.org
National Republican Senatorial Committee-NRSC

www.nrsc.org
The Washington Post On Politics Web site reports on campaigns and elections. (Requires free
registration with The Washington Post.)
www.washingtonpost.com/wp-dyn/politics/elections
Brookings Institution's Campaign Finance Web page

www.brookings.org/gs/cf/cf_hp.htm
Common Cause offers information on soft money donations, PAC contributions, and voting
records on campaign finance issues as well as other information.
247
www.commoncause.org
The Public Campaign offers articles on campaign finance reform at the state and national levels
as well as numerous links.
www.publicampaign.org
Open Secrets, the Web site for the Center for Responsive Politics, documents the money raised
and spent by congressional candidates, individual donors, and PACs. It includes information on
large soft money donations and the financial disclosure reports of members of Congress.
www.opensecrets.org
The Center for Public Integrity, which conducts investigative research and reporting on public
policy issues, hosts a Web page featuring news and information about 527 political nonprofits.
www.publicintegrity.org/527
Practice Tests
1) Which of the following helps explain why those with more education tend to vote more?
A) They are more patriotic.
B) They are less likely to believe in third parties.
C) They are less hindered by registration requirements.
D) They are more self-conscious about their ability to influence public life.
2) The Twenty-Sixth Amendment

A) allows felons to vote if they have completed their sentence.
B) allows felons to vote if they are on probation.
C) allows women to vote.
D) allows eighteen-year-olds to vote.
E) mandates that congressional districts be of equal size.
3) Which of the following statements is accurate?

A) Hispanics vote more than African Americans; African Americans vote more than whites.
B) Hispanics vote more than whites; whites vote more than African Americans.
C) African Americans vote more than Hispanics; Hispanics vote more than whites.
D) Whites vote more than Hispanics; Hispanics vote more than African Americans.
E) Whites vote more than African Americans; African Americans vote more than Hispanics.
4) One common reason college students say they do not vote is that
A) they travel too much.
B) they were too busy.
C) they are not smart enough.
D) older voters do not respect their opinions.
E) they often lack picture identification.
248
5) Which of the following would be the least likely to improve voter turnout in the United
States?
A) easing the absentee ballot process
B) making Election Day a holiday
C) requiring all voters to show photo identification
D) strengthening the political parties
E) creating a greater political awareness through education
6) Which of the following is a reason for the low U.S. voter registration rate?
A) Citizens are responsible for registering themselves; the government does not do it for
them.
B) The time and effort required to register to vote is relatively low.
C) Most states permit Election Day voter registration.
D) The Motor Voter act has made it more difficult to register.
E) Election Day is a national holiday in the United States.
7) According to Figure 12.2, who of the following is least likely to be registered to vote?
A) an eighteen-year-old
B) an African American
C) an Hispanic
D) a man
E) a woman
8) Which of the following statements about the voting rights of felons is accurate?
A) The Supreme Court has ruled that felons cannot be deprived of the constitutional right to
vote once they have completed their sentences.
B) The Supreme Court has ruled that convicted felons are no longer U.S. citizens and,
therefore, are ineligible to vote.
C) Some states allow felons who have served their sentences to vote, while others do not.
D) The recent trend is for increasingly strict restrictions on voting rights for felons.
E) Felons who are on probation can vote, but those who are on parole cannot vote.
9) Who is selected in a general election?

A) officeholders
B) candidates
C) generals
D) party leaders
10) Some people favor the use of caucuses to select party nominees because
A) caucus participants tend to be more knowledgeable.
B) caucuses increase the influence of the media.
C) caucuses have higher participation.
D) caucuses are quicker and easier, an important advantage for those with busy schedules.
11) Which of the following is an example of voter canvassing?
249
A) going door-to-door to solicit votes
B) fundraising activities
C) campaign rallies
D) televised debates
E) campaign ads
12) The communications director is responsible for

A) writing letters to campaign volunteers.
B) purchasing cell phones, computers, Blackberries, and other electronic devices for the
campaign.
C) the candidate's overall media strategy.
D) briefing the candidate on the day’s news.
13) According to Figure 12.3, which of the following states have three members of the Electoral
College each?
A) Hawaii, Alaska, and Washington
B) Louisiana, Arkansas, and Oklahoma
C) Montana, Wyoming, and Vermont
D) Delaware, Wisconsin, and South Dakota
E) Colorado, Rhode Island, and Maryland
14) According to Figure 13.6, the Seventeenth District of Illinois is an example of

A) redistricting.
B) reapportionment.
C) gerrymandering.
D) the incumbency advantage.
E) logrolling.
15) According to Table 12.2, in which year was the sixth-year itch in the Senate the largest?
A) 2006
B) 1998
C) 1986
D) 1958
E) The sixth-year itch was equal in each of the years listed above.
16) Free media includes

A) campaign coverage paid for by a surrogate.
B) television news coverage of a campaign.
C) Internet ads paid for by the campaign.
D) ads the candidate pays for but which are then reimbursed under federal guidelines.
250
17) The general term for an ad that focuses on the candidate’s qualifications, family, and issue
positions without referencing the opponent is
A) positive ad.
B) negative ad.
C) spot ad
D) contrast ad.
E) inoculation ad
18) An incumbent knows that he accepted some questionable campaign contributions in a

previous election and he is afraid that his current challenger is going to try to use them to
embarrass him. What strategic move should the incumbent consider?
A) move to the extremes
B) move to the center
C) launch a GOTV effort
D) produce an inoculation ad
E) challenge the candidate to a debate
19) In ________, the Supreme Court ruled that there could be no limits placed on candidates'
expenditures of their own funds, since such spending is considered free speech.
A) Buckley v. Valeo
B) Nixon v. U.S.
C) Rockefeller v. U.S.
D) Perot v. Reno
E) Kerry v. U.S.
20) The Presidential Election Campaign Fund is made up of contributions from

A) corporations.
B) PACs.
C) individual taxpayers.
D) political parties.
E) public interest groups.
1) More young people voted in 2008 than in 2004.
2) The Motor Voter Law of 1993 was designed to help increase voter turnout.
3) The theory of prospective judgment states that people vote based on what they think a
candidate will do if he or she is elected.
4) While crossover is common, raiding is rare.
5) One of the dangers involved in the nomination campaign is that candidates move towards the
extremes to win the party faithful, but are then not moderate enough to win the general
election.
6) The United States replaced the Electoral College with a system of regional primaries to elect
the president every four years.
251
7) Redistricting is often done for partisan gain.
8) The president’s party usually gains seats in Congress in presidential years, but loses seats in
midterm years.
9) The Federal Election Campaign Act was Congress’s first attempt to regulate campaign
finance.
10) Public funds for campaigns come from general tax revenues.
1) Name two reasons for low voter turnout and discuss them.
2) Compare and contrast open and closed primaries.
3) Describe the components of the nomination campaign.
4) What are the consequences of front-loading?
5) What are the major differences between presidential and midterm elections?
6) How do campaigns attempt to use paid advertisements to influence voters? How do

campaigns attempt to manipulate the free media to influence voters? How well do they
work?
7) What proposals exist to increase voter turnout, and how effective are they likely to be? Does
voter turnout matter?
8) Should felons be allowed to vote? Why or why not? If felons were enfranchised, what
impact would this have on voter turnout and vote choice, given what you know about how
these phenomena are affected by race, gender, education, and income?
9) Discuss the major components of the Bipartisan Campaign Reform Act of 2002. What has
the Supreme Court said about this law?
10) To what extent have 527 and other similar political committees replaced soft money? The
authors argue that effective campaign finance reform will be difficult because “Interested
individuals will always find ways to have their voices heard.” Do you agree with this
assertion? Why or why not?
252
CHAPTER 13
SOCIAL AND ECONOMC POLICY
Intended to improve the quality of life for all segments of society, especially the less fortunate,
domestic policy involves a broad and varied range of government programs. These policies and
programs are designed to provide people with protection against want and deprivation, to
enhance their health and physical well-being, to provide educational and employment
opportunities, and otherwise to enable them to lead more satisfactory, productive, and
meaningful lives. These social policies are meant to benefit all members of society, but
especially the less fortunate. Social welfare policy focuses on issues such as income security and
medical care. The idea behind these programs and policies is that these services are so worthy to
society as a whole that the government should provide the services regardless of the ability of the
recipients to pay. The question of where the line should be drawn between government and
individual responsibility for these services and goods is the essence and scope of social welfare
policy development. The question that is asked is, “In a civilized society, what obligation does
the government (in other words, the community or nation as a whole) owe to promoting the
social welfare of its people?”
Issues of income security health care are closely related to the economic policies of the county
which, if successful, enable leaders to fund social programs. Americans tend to measure their
quality of life by their relative economic well-being. Americans impact the economy by their
faith in their leaders’ economic policies, as reflected in measures of consumer confidence.
Americans intrinsically know that politics and economics are two sides of the same coin.
The government and economy are, indeed, closely intertwined. In the early years of the republic,
the federal government did little to regulate the economy. Following the era of large trusts and
monopolies, the government substantially regulated business. Since the 1970s, deregulation has
become the dominant buzzword of economic policy. This chapter will cover these historical
processes and help you come to an understanding of why the role of government in the economy
changes over time, where we are now, and where we might be going.
This chapter is designed to give you a basic understanding of the broad range of social and
economic policies. The main topic headings of the chapter are:
• The Roots of Public Policy: Policy-Making Process

• Social Welfare Policy
• Toward Reform: Economic Policy
following:
253
• the roots of public policy: the policy-making process
• domestic policy efforts in the past and today regarding the government’s
commitment to income security and health care
• domestic policy efforts today in the area of income security and health care
• reform efforts related to economic policy including regulations, deregulation,
stabilizing the economy, and monetary policy
health care reform issue in 1992 presidential campaign—
health care reform efforts in Bill Clinton administration—
health care reform issue in 2008 presidential campaign—
public policy—
Roots of Public Policy: The Policy-Making Process
policy-making process model—
Stages of the Public Policy Process (Figure 13.1)—
policy making as a process of sequential steps:
problem recognition—
agenda setting—
policy formation—
policy adoption—
budgeting—
policy implementation—
policy evaluation—
Problem Recognition and Definition
254
not all distressing conditions require public policy solutions—
some criterion needed—
FEMA and Katrina—
usually not a single, agreed-on definition of a problem which leads to

political struggle often; why?—
public policies frequently seen as problems or causes of other problems—
Agenda Setting
agenda—
systemic agenda—
governmental or institutional agenda—
not all problems that attract officials’ attention have been discussed by
general public—
problems or issues may move onto an institutional agenda—
issues emerge when?—
problems or issues which might move onto an institutional agenda—
Policy Formulation
policy formulation—
political aspect of policy formulation—
technical aspect of policy formulation—
routine formulation—
analogous formulation—
creative formulation—
policy formulation by various players in the policy process—
the people engaged in formulation are usually looking ahead toward what?—
Policy Adoption
policy adoption—
255
this approval gives the policy what?—
what’s frequently required to achieve policy adoption?—
legislative process involves a number of obstacles a bill must overcome

before it becomes law—
what the adoption of major legislation requires—
not all policy adoption necessitates formation of majority coalitions—
where final decision to veto rests—
Budgeting
money needed for most policies—
budgetary process—
effect of refusal to fund—
2006 decision by Bush administration not to seek funds for HOPE VI—
effect of inadequate funding—
policy and program review—
opportunity for president and Congress to review governments policies

and programs—
Policy Implementation
policy implementation—
purview of administrative agencies—
use of the courts—
Politics Now: Supreme Court Action on Clean Air—
authorized techniques by administrative agencies to implement public

policies within their jurisdictions—
authoritative techniques—
incentive techniques—
capacity techniques—
256
hortatory techniques—
effective administration of public policy depends on what?—
Policy Evaluation
policy evaluation—
possible players in policy evaluation—
Government Accountability Office (GAO)—
role of evaluation research and studies—
demise of programs is rare—
consequences for most troubled programs—
policy-maker judgments and anecdotal and fragmentary evidence—
Social Welfare Policy
social welfare policy—
what is at the heart of the debate over social welfare programs?—
focus of social welfare programs has expanded; from what, to what?—
The Origins of Social Welfare
results of urbanization and industrialization—
fears of an economic revolution—
Great Depression of the 1930s—
Social Security Act of 1935—
Income Security:
Social Security Act of 1935—
three major components of 1935 Social Security Act:
257
1)
2)
3)
core of the Social Security Act—
payroll tax—
unemployment and Social Security—
two basic purposes of Social Security unemployment fund—
Social Security creation of a national system—
two perceived flaws of national system—
expansion of Social Security and its effect—
Health Care:
how governments in the U.S. had been active in health care—
National Marine Service (established in 1789)—
efforts to expand national health care coverage—
Medicare and Medicaid—
dramatic expanse of national government’s expenditures for and

role in health care—
Social Welfare
income security programs—
poverty threshold for a four-person family unit in 2008—
non-means-based program—
means-tested programs—
types of means-tested benefits—
Non-Means-Based Programs:
how social insurance programs operate—
258
Old Age, Survivors, and Disability Insurance:
how it began—
extended in 1939 and 1956—
Social Security not a pension program—
how social insurance programs work—
employee tax—
2008 employee tax level—
equal tax on employer—
people who pay a great share of their income into the

Social Security Fund—
a regressive tax—
for people born before 1938, age when retirement benefits

available —
for people born in 1960s or later, age when retirement

benefits available—
average monthly Social Security benefit check for retired

workers in November 2007—
principal income for some—
unearned income—
beginning with change in 2004—
Trustees of the Social Security Trust Fund 2006

prediction—
estimate for 2017—
Social Security Costs and Revenues, 1970-2080 (as

percentage of taxable payroll (Figure 13.2)—
pressures on the Social Security Trust Fund—
George W. Bush and privatization plans—
259
President George W. Bush Commission to Strengthen Social
Security—
how the report of the “Commission to Strengthen Social Security”

disappointed privatization proponents:
1)
2)
3)
support for concept of individualized accounts as part of Social

Security system—
Republican measure to privatize Social Security after 2006 and

2008 elections and 2008 financial meltdown—
Unemployment Insurance:
how Social Security unemployment insurance works—
state programs—
what unemployment insurance covers—
who gets paid?—
how state programs differ—
unemployment rate as of June 2008—
Analyzing Visuals: Unemployment Rates by State—
Means-Tested Programs:
purpose of means-tested security programs—
types of means-tested program—
Supplemental Security Income:
started as a grant-in-aid program under the Social Security Act—
Supplemental Security Income (SSI) program created in 1974—
primary funding for SSI—
to be eligible for SSI—
260
monthly payments as of 2008—
from little controversy to concerns that many programs were

flawed—
1996, access to SSI and other programs limited by legislation—
SSI funding under George W. Bush—
Family and Child Support
Aid to Families with Dependent Children (AFDC)—
Temporary Assistance for Needy Families (TANF)—
AFDC rolls expanded greatly since 1960—
controversy over and criticisms of AFDC—
Personal Responsibility and Work Opportunity Reconciliation Act

of 1996 (PRWORA)—
shift from AFDC to TANF—
key provisions of the Personal Responsibility and Work

Opportunity Reconciliation Act of 1996:
1)
2)
3)
4)
5)
6)
7)
George W. Bush and reauthorization of TANF programs—
Food Stamp Program:
initial purpose of food stamp program (1939-1943)—
261
later food stamp program—
under Eisenhower and Kennedy—
program changes in 1964 and 1974—
opposition by congressional Republicans; support by

congressional Democrats—
food stamp program since 1977—
calls for food stamp program reductions in mid-1990s—
program in 2007—
other national government food programs—
The Effectiveness of Income Security Programs:
entitlement programs—
mandatory spending—
effectiveness of the programs—
effect of 2008 economic crisis—
Health Care
heath care for veterans and Indians—
federal expenditures in 2007—
projected federal expenditure for 2009—
national government funds most medical research, primarily through these

agencies—
National Institute of Health (NIH)—
increases in funding for Medicare and Medicaid—
reasons for funding increases for public health care—
factors behind dramatic increase in health care costs:
1)
262
2)
3)
4)
5)
sharpest spike in prices—
2008 national expenditures for Medicare and Medicaid—
projected increases for Medicare and Medicaid—
Medicare:
Medicare—
Medicare Part A—
how Medicare is funded—
Medicare Part B—
how this portion of Medicare programs is funded—
Medicare Prescription Drug Improvement and Modernization Act

of 2003—
Medicare prescription drug program since 2006—
criticism of new Medicare drug programs from Democrats and

conservatives—
Medicaid:
Medicaid—
what Medicaid covers that Medicare doesn’t—
1986 extension of Medicaid—
states and Medicaid—
how Medicaid funded—
medically indigent—
263
funding trends—
Thinking Globally: Health Care Policy—
Toward Reform: Economic Policy
states responsible for managing economic affairs in nation's first

century—
narrow role of national government in economic affairs—
The Living Constitution: Sixteenth Amendment—
what prompted the national government to become active in setting economic policy and
in enacting economic regulation?—
The Nineteenth Century
mixed free-enterprise economic system—
economic growth after the Civil War—
new problems and demands for regulation—
Interstate Commerce Act of 1887—
“trusts”—
Sherman Antitrust Act of 1890—
The Progressive Era
Progressive movement—
regulatory actions of the Progressive administrations of Theodore Roosevelt and

Woodrow Wilson—
Pure Food and Drug Act and the Meat Inspection Act in 1906—
the Depression and New Deal—
laissez-faire—
interventionist state—
Financial Reforms:
Glass-Steagall Act of 1933—
264
Federal Deposit Insurance Corporation (FDIC)—
Securities Act (1933)—
Securities Exchange Act of 1934—
Securities and Exchange Commission (SEC)—
stocks bought on margin—
Agriculture and Labor:
acts passed during the New Deal to boost farm income—
National Labor Relations Act of 1935 (Wagner Act)—
unfair labor practices—
National Labor Relations Board (NLRB)—
Fair Labor Standards Act (FLSA) of 1938—
Industry Regulations:
Federal Communications Commission (FCC)—
Civil Aeronautics Board (CAB)—
Motor Carrier Act of 1935—
Economic and Social Regulations
economic regulation—
social regulation—
regulatory programs and legislation of the 1950s, 1960s and 1970s—
regulatory agencies setup to implement new social regulations—
the constitutional provision Congress used to pass this legislation—
consequence of new social regulations on industry—
Deregulation
deregulation—
265
claims of advocates of deregulation—
example of airline industry—
Gerald Ford and deregulation—
expansion of deregulation under Carter—
Airline Deregulation Act of 1978—
Telecommunications Act of 1996—
further deregulation of the media by FCC in 2003—
concern over concentrated corporate ownership of the media industry—
economic deregulation and politics—
calls to “reregulate”—
Stabilizing the Economy
economic stability—
inflation—
recession—
monetary policies—
fiscal policies—
Monetary Policy: Controlling the Money Supply:
monetary policy—
money—
Federal Reserve System—
Board of Governors—
how credit system works—
Federal Reserve Board of Governors (FRB or "the Fed")—
Federal Open Market Committee (FOMC)—
266
monetary authority—
Fed chair—
Alan Greenspan and Ben Bernanke (see picture, page 405)—
Federal Reserve Banks (“bankers' banks”)—
monetary policy and its tools—
reserve requirements—
discount rate—
open market operations—
“moral suasion”—
how the FRB uses these tools—
Fiscal Policy: Taxing and Spending:
fiscal policy—
the powerful instruments of fiscal policy—
economic theories of John Maynard Keynes behind fiscal policy—
discretionary fiscal policy—
Ideas Into Action: Discovering Your Tax Burden—
1) Go to the Web site of the United States House of Representatives or call your local
representative's office. Find out what domestic policy programs dealing with income
security and health care are on the agenda for this session of Congress. Choose one and
follow it over the course of the semester. Pay attention to partisan issues, which interest
groups get involved and how, which members of Congress sponsor the bill, and how this
bill fits the policy process you have learned about in this chapter.
2) Do some research on President Obama’s plans to deal with Social Security. Based on
what you have learned about the policy process, discuss what was successful and
unsuccessful about his plan. What tactics and strategies did he use to promote this policy?
267
How effective were they? What tactics and strategies have been used by President
Obama's opponents to what success?
3) Go to the library or the Internet and find out what the official poverty level is in your
state and county and the demographics of poor people and people who receive federal
assistance. How was it determined, and how appropriate is this figure today? Can a
family of four really live on it? In addition, do some additional research about the policies
designed to help the poor. Discuss what the national government and your state
government are doing for the poor. Is it enough? Why or why not?
4) The Chairman of the Federal Reserve Bank is often described as one of the most
powerful men in America. Do some research to determine why he is considered so
powerful, who he is, and what his policies are. What are some arguments for and against
the power vested in the hands of the Fed Chairman?
5) The subprime mortgage crisis, the securities industry crisis, the big three U.S. automakers
crisis and the actions by the federal government to stabilize these economic crises were a
central focus of attention for the Congress, the Bush administration and the presidential
campaigns in the last months of 2008. Course corrections to the measures taken during
the last months of the Bush administration were a major focus of the new Obama
administration in 2009. How successful have the actions taken by the 110th Congress
and the Bush administration been in stabilizing the economy? What measure did the
111th Congress and the new Obama administration take and how effective were they in
stabilizing the economy? Was deregulation to blame for the crises? What other factors
came into play in the economic breakdown?
Web Sites
The Social Security Administration (SSA) Web site has information rules, regulations, and
policies of the federal government on social security, both active and proposed. It offers
information for citizens, scholars, and recipients. The Web site also offers historical perspectives
on social security and its funding.
www.ssa.gov
The Social Security Network was a project started in 1997 as a resource for information and
research on the Social Security program and the debate about its future by The Century
Foundation. Its panel of researchers and scholars publish original research and other
information about Social Security on its Web site.
www.socsec.org
The Children's Defense Fund Web site has many articles and links of interest to advocates for
issues affecting children and families including health care. They offer a listserv and
publications.
www.childrensdefense.org
The Institution for Research on Poverty of the University of Wisconsin studies social inequity
and poverty. The IRP develops and tests social policy alternatives. Reports are available on this
Web site.
268
www.ssc.wisc.edu/irp
The Center on Budget and Policy Priorities is a nonprofit research and policy institute devoted
to studying governmental policies and programs, particularly those affecting low- and moderate-
income people.
www.cbpp.org
Federal Reserve Board Web site has basic information about the FRB, its structure, and
purpose. Also has publications, announcements, lists of related Web sites, biographies of
members, reports, and statistics.
www.federalreserve.gov
The Council of Economic Advisors Web site offers the Economic Report of the President and
CEA publications, as well as basic information about the CEA and its members.
www.whitehouse.gov/cea
Moving Ideas hosts policy, politics, and news from progressive and liberal research
organizations and advocacy groups. Click on the “Economy” link at the left side of the page for
information on the budget and the economy.
www.movingideas.org
Practice Tests
1) The crafting of appropriate and acceptable proposed courses of action to ameliorate or

resolve public problems is called
A) agenda setting.
B) policy formulation.
C) policy implementation.
D) problem resolution.
E) conflict resolution.
2) At which stage of the policy making process does the government first acknowledge the
problem?
A) Problem recognition
B) Agenda setting
C) Policy formulation
D) Policy adoption
E) Budgeting
3) Which of the following policies is implemented using a hortatory technique?

A) job training to assist able-bodied citizens in finding work
B) the “Don’t Mess with Texas” anti-littering campaign
C) public universities cannot discriminate against women
269
D) cigarette taxes to discourage smoking
E) the license of a radio station can be revoked for broadcasting obscenities
4) The process of determining whether a course of action is achieving its intended goals is
called
A) issue imbroglio.
B) policy evaluation.
C) problem recognition.
D) policy implementation.
E) policy adoption.
5) The permanent welfare state began in which decade?

A) 1920s
B) 1930s
C) 1940s
D) 1950s
E) 1960s
6) The Great Depression

A) resulted in a more expansive vision of the role of government.
B) resulted in a narrower vision of the role of government.
C) caused Americans to look to private charities to solve the nation’s problems.
D) caused Americans to look to private businesses to solve the nation’s problems.
E) did not affect what Americans perceived the role of government to be.
7) Medicare and Medicaid were included in the social welfare system ____ the creation of
social security.
A) At the same time as
B) about 10 years after
C) about 20 years after
D) about 30 years after
E) about 40 years after
8) When a program is provided regardless of the amount of income earned by the recipient, it is
known as what kind of program?
A) Income Security
B) Means-tested
C) Non-means based
D) Regressive
E) Entitlement
9) The poverty threshold for a family of four in 2008 was __________ per year.
A) $21,200
B) $37,600
C) $46,100
270
D) $59,300
10) Which of the following is not an income security program?

A) Social Security
B) Public Housing
C) Supplemental Security Income
D) Food Stamps
E) Temporary Assistance for Needy Families
11) Which of the following is not a tool of the federal government in dealing with public health
issues?
A) Immunizations
B) Education
C) Excommunications
D) Advertisements
E) Regulations
12) During the 1930, the federal government became a/an ___________, which plays an active
role in guiding and regulating the private economy.
A) socialist regime
B) interventionist state.
C) laissez-faire state
D) crematorium
E) progressive era reformer
13) The first acts of the New Deal were directed at

A) the financial system.
B) food shortages and other agricultural problems.
C) labor problems.
D) poverty problems.
E) health care.
14) What was the overall effect of New Deal legislation related to agriculture?
A) The agricultural industry was privatized.
B) A government-guaranteed monopoly was given to Archer Daniels Midland.
C) Farmers were protected through extensive government intervention
D) The cost of food increased.
E) The U.S. became a net importer of agricultural products.
15) Who of the following was the most likely to receive a subprime mortgage?
A) someone with poor credit
B) someone whose interest rate was less than the prime rate
C) someone is a traditional 30-year mortgage
D) older homeowners with well-established credit
E) a government employee
16) A reduction in market controls in favor of market-based competition is known as

A) economic regulation
B) social regulation.
271
C) discretionary income.
D) deregulation
E) rural electrification.
17) What are the reserve requirements?

A) the percentage of a bank’s deposits that must be retained as backing for their loans
B) the criteria necessary to serve on the Federal Reserve Board.
C) the stipulation that banks must not discriminate against potential borrowers with bad
credit
D) the ability of the Fed to set the interest rate
E) the requirement that banks can only borrow money from the federal government
18) What is the Federal Reserve Board hoping to achieve when it engages in open market
operations by buying government securities?
A) benefitting major corporations
B) increasing inflation
C) decreasing competition
D) encouraging economic growth
E) getting around the requirements of the Laissez-Faire Act of 1948.
19) The rate of interest at which member banks can borrow money from their regional Federal
Reserve Bank is known as the
A) reserve rate.
B) discount rate.
C) interest rate.
D) inflation rate.
E) loan rate.
20) Which of the following describes fiscal policy?

A) The buying and selling of government securities by the Federal Reserve Bank in the
securities market.
B) Federal government policies on taxes, spending, and debt management that are intended
to promote employment, price stability, and growth.
C) Government requirements that a portion of member banks’ deposits must be retained to
back loans made.
D) When individuals and corporations deposit their money in financial institutions such as
commercial banks (which accept deposits and make loans) and savings and loan
associations, these deposits serve as the basis for loans to borrowers.
E) A reduction in market controls (such as price fixing, subsidies, or controls on who can
enter the field) in favor of market-based competition.
1) Interest groups are major actors and initiators in the agenda-setting process.
272
2) Most public policies are implemented by Congress.
3) One example of an incentive technique is the revocation of a broadcaster's license for

broadcasting obscenities.
4) Over time, Social Security was expanded to include a much greater percentage of American
workers.
5) According to the Analyzing Visuals feature on page 618, unemployment in Michigan is

higher than the national average.
6) Food stamps is a means-tested program.
7) There is currently no prescription drug coverage for the elderly.
8) The laissez-faire state is when the government takes an active role in guiding and managing
the private economy.
9) President Gerald R. Ford was an advocate of deregulation.
10) The Federal Reserve System was created to adjust the money supply to the needs of
agriculture, commerce, and industry.
1) How is a public policy problem identified?
2) How do budgets affect policies?
3) Compare and contrast authoritative and incentive techniques for policy implementation.
4) Discuss the seven steps of the policy process. Give specific examples for each and discuss
why that step is important.
5) How do issues get on the systemic and government agenda? What issues are most likely to
make it onto these agendas?
6) How has the government addressed income security?
7) How did the Great Depression and the New Deal fundamentally change the nature of the
federal government as it relates to domestic policy?
8) Do you think the government should do more to provide access to quality health care? Why
or why not? What sorts of changes can and should be made?
9) Define and discuss deregulation. Why did it become popular? What impact has it had?
Considering the effect of deregulation on the radio industry and the airline industry, has
deregulation been good public policy? Why or why not?
273
10) What is the Federal Reserve System? What does it do and how does it work?
274
CHAPTER 14
FOREIGN AND DEFENSE POLICY
Americans who grew up during the height of the Cold War lived under the threat of nuclear
annihilation every day. They understood that the Soviet Union had enough nuclear weapons to
destroy the United States many times over. And Americans understood that we could destroy all
life in the U.S.S.R. several times over as well. Americans lived “eyeball-to-eyeball” with the
Soviets in a game of nuclear chicken for decades, holding each other’s entire populations as
hostages in a mad game called “mutually assured destruction” or MAD.
When the Cold War came to an end in 1991 after over four decades of constant, non-belligerent
conflict between the U.S. and U.S.S.R., the foreign and military policy of the United States
suddenly, stunningly, and completely changed. For years it was us vs. them, two gigantic titans
in the ring struggling for world domination. Yet in a matter of weeks, only one titan remained
standing. The United States found itself as the world’s remaining superpower with a new and ill-
defined mission in the world. Foreign and military policy had to undergo drastic introspection
and changes. Many Americans put foreign and military affairs on a back-burner and turned to
domestic matters—butter rather than guns.
Until September 11, 2001, when Americans found themselves confronting the rest of the world
following the first attack on the American mainland by foreign forces since the War of 1812 (an
important distinction from Pearl Harbor, which was U.S. territory, but effectively a colony).
America took stock of its foreign and military policy in a new and chilling light. Afghanistan,
international terrorism, Iraq, an “axis of evil” and a new concern for our place in the world
became apparent to a new generation of Americans.
While most Americans pay scant attention to foreign policy except in times of crisis, our lives
are intertwined as citizens of this nation with our policies in dealing with the world. We do a
substantial amount of foreign trade, we have a substantial military force and substantial military
commitments overseas, and we are interdependent on other economies in the world for our
prosperity. Since the main purpose of government is to protect us and maintain our prosperity, it
is incumbent upon Americans to understand and involve ourselves in our commitments and
policies with the rest of the world.
This chapter is designed to give you a basic overview of U.S. foreign and military policy. The
main topic headings of the chapter are:
• Roots of U.S. Foreign and Defense Policy

• Foreign and Defense Policy Decision Making
• Twenty-First Century Challenges
275
following:
• the roots of U.S. foreign and defense policy before the United States became a
world power
• foreign and defense policy decision making by the executive branch, Congress
and other groups
• twenty-first century challenges in foreign and defense policy
the Bush war on terrorism—
Bush orders National Security Agency (NSA) to conduct warrantless

surveillance of Americans' communications immediately after 9/11—
January 2007 and Federal Intelligence Surveillance Court—
1978 Foreign Intelligence Surveillance Act (FISA)—
Bush Justice Department defends legality of warrantless surveillance—
revelations of larger data mining project by Bush administration—
Congress responds—
FISA Amendments Act of 2008—
Amnesty, et. al. v. McConnell—
isolationism—
unilateralism—
moralism—
pragmatism—
Roots of U.S. Foreign and Defense Policy
world divided into two camps in the 1950s and 1960s—

276
John F. Kennedy’s inaugural address—
containing the Soviet Union—
Kennedy and Khrushchev in Vienna—
Cuban Missile Crisis—
period of improved U.S.-Soviet relations after the Cuban Missile Crisis—
hot line—
Americans' beliefs about the Soviet Union and the U.S. stance against it—
Vietnam War—
questions about the U.S. role in Vietnam—
Americans’ attitudes by the end of the 1960s—
Lyndon Johnson and Vietnam War—
Détente and Human Rights: 1969-1981
Richard Nixon's approach to the Soviet Union—
détente—
Nixon summit meetings—
Jimmy Carter rejects Nixon's foreign policy—
human rights—
Iranian hostage crisis—
Soviet Union invasion of Afghanistan and U.S. response—
Containment Revisited and Renewed: 1981-1989
Ronald Reagan's confrontational approach to Soviet Union in his first

term—
Reagan arms build-up—
Reagan’s activist foreign policy—
improving U.S.-Soviet relations by 1984—
277
Americans concerned about confrontation with the Soviets—
Reagan Doctrine—
internal Soviet problems—
Soviet President Mikhail Gorbachev—
Reagan-Gorbachev cooperation—
Gorbachev’s “perestroika”—
what Gorbachev’s reforms were intended to do, and what eventually

happened—
Searching for a New International Order: 1989-2001
George Bush in 1989—
Eastern Europe in 1989—
Gorbachev response to revolts in Eastern Europe—
collapse of “Iron Curtain”—
1990 Iraq invasion of Kuwait—
Operation Desert Storm—
Powell Doctrine—
1991 attempted coup against Gorbachev—
collapse of Soviet Union—
end of Cold War—
post-Cold War questions—
complex foreign policy questions facing Bill Clinton when he assumed the
presidency in 1993—
engagement—
enlargement—
vexing problem of when to use U.S. armed forces overseas—
278
America faced different types of crises after demise of Soviet Union—
some U.S. responses to these new crises—
North American Free Trade Agreement (NAFTA)—
World Trade Organization (WTO)—
The War on Terrorism: 2001 to the Present
George W. Bush conducted an active foreign policy—
September 11, 2001 attack—
war on terrorism
al-Qaeda—
Taliban—
Operation Enduring Freedom—
profound impact on U.S. foreign policy of terrorist attacks of September

11, 2001—
Timeline: Major Acts of Terrorism Affecting the United States, 1990-

Present—
Bush responds to appearance of U.S. vulnerability—
Bush Doctrine—
launch of war against Iraq in March 2003 and implementation of Bush

Doctrine—
U.S. military response in past conflicts of this magnitude—
new strategy of preemptive strikes—
weapons of mass destruction (WMDs)—
United Nations (UN)—
UN response to U.S. invasion of Iraq—
Join the Debate: Should the United States Pull Out of the United
Nations?—
overthrow of Saddam Hussein—
279
failure to find WMDs in Iraq—
changing Bush administration justifications for invading Iraq—
dismal assessments of situation in Iraq—
January 2005 Iraqi elections—
2007 American troop surge—
General David Petraeus—
American dead and wounded in Iraq War by mid-2008—
disagreements and controversies over how to combat terrorism—
Ideas Into Action: The Impact of the War on Terrorism on American

Campuses—
Foreign and Defense Policy Decision Making
the most power branch of federal government in formulating and

implementing U.S. foreign and defense policy—
other contributors to foreign and defense policy making—
The Executive Branch
the locus for creating and implementing U.S. foreign and defense
policy—
role of the president—
executive departments and agencies involved—
The President:
reasons for preeminence of president in foreign and defense policy—
presidential use of authority to order U.S. forces to battle without seeking

approval from others—
instances when president did seek congressional approval in advance—
The Departments of State and Defense:
Department of State—
280
Department of Defense—
Joint Chiefs of Staff—
National Security Agency (NSA)—
Central Intelligence Agency (CIA)—
National Security Council (NSC)—
other government organizations engaged in intelligence work—
director of national intelligence—
CIA post-September 11 and criticisms of CIA—
Politics Now: Blackwater—
former NSC advisers—
members of the NSC—
The Department of Homeland Security:
executive order creates Office of Homeland Security—
Department of Homeland Security (DHS)—
massive government reorganization under DHS—
mission of DHS—
Transportation Security Agency (TSA)—
Federal Emergency Management Agency (FEMA)—
Customs and Border Protection—
Coast Guard, Secret Service, immigration services and enforcement—
Congress
role of Congress in foreign and defense policy—
how Congress influences foreign and defense policy—
Congress response to foreign and defense issues from World War II until
the late 1960s—
281
change in congressional involvement in foreign and defense policy caused
by Vietnam War—
expanded oversight—
oversight by Senate Foreign Relations Committee in 2005 and 2006—
Senate power to approve or reject treaties—
Senate has rejected treaties how many times?—
why Senate power over treaties is important—
executive agreements—
Senate advice and consent power on presidential appointments, including

ambassadors—
John R. Bolton, 2005—
Congress’s power to influence foreign and defense policy through its sole
power to appropriate funds and through its control of the budget—
U.S. Defense Spending, 1940-2012 (Figure 14.1)—
instances where Congress and executive branch disagreed on U.S. military

action overseas—
War Powers Act of 1973—
elements of War Powers Act—
controversy over and effectiveness of War Powers Act—
The Military-Industrial Complex
Eisenhower’s farewell address of 1961—
military-industrial complex—
fears that Eisenhower expressed—
five ways military-industrial complex acquires power:
1)
282
2)
3)
4)
5)
The News Media
reporting and investigation—
relations between press and government on foreign and defense policy

from World War II to the Vietnam War—
change in that relationship in the 1960s—
the press in Vietnam—
critics and supporters of the news media function—
media broke story of Abu Ghraib—
Analyzing Visuals: Abu Ghraib Prisoner Abuse—
The Public
how public affects foreign and defense policy—
The Most Important Problem: Domestic or Foreign, 1947-2007 (Figure

14.2)—
changes in presidential popularity as related to foreign policy or military

crises—
Bush popularity: 9/11 "rally effect," beginning of Iraq War, “Mission

Accomplished,” and by 2008—
citizens exercise of electoral control over foreign and defense policy—
effects of public activism—
nongovernmental organizations (NGOs)—
Twenty-First-Century Challenges
effect of growth of international community’s interconnectivity—
283
Promoting Democracy in the Middle East
aftermath of overthrow of Saddam Hussein's government in Iraq—
U.S. in Iraq: reaction of Iraqis and turning over control to Iraqi forces—
Afghanistan and opium production—
Transnational Threats to Peace
terrorists as nonstate actors—
sophisticated resources of some groups—
information warfare—
results of 1997 war game—
1) Choose a foreign policy crisis (either contemporary or historical). Conduct research to

determine what issues were at hand, what actors were making the decisions, and what the
outcome was. Did public opinion matter? Was the president the strongest actor in the
crisis? How did the various interests play themselves out?
2) American news, be it press or broadcast media, tends to skimp on international news. The
argument is that Americans are not interested. Is that true? Interest increased after 9/11
but some say Americans have again lost interest in foreign news. Find public opinion
polling data; ask friends and colleagues, etc. about their interest in international relations.
Next, test the hypothesis that the media ignores foreign affairs. Watch several different
types of media (network TV, newspapers, cable TV, news magazines) and determine if
that is true. Now that you know more about U.S. foreign policy, are you more interested
in such news? Discuss these issues or structure a debate about them.
3) As a class, discuss what the grand strategy of the U.S. ought to be in this post- Cold War
era. What are U.S. national interests? Should we intervene in other country’s affairs as
President Bush has suggested and demonstrated? Why or why not? What about Iraq and
the Middle East? What is our national interest in that region? Trade and aid policy—with
whom should we trade and to whom should we give aid? Are there limits to U.S.
generosity? What are they? How has the Obama administration responded to
development of a new strategy of America's role in the world following the eight years of
George W. Bush's foreign and defense policy?
4) Research the history and development of international terrorism. Have there been attacks
on U.S. interests before the 9/11 attack on New York and Washington? What was U.S.
policy toward international terrorism before 9/11 and after? What has happened since
9/11? Have there been any significant terrorist threats to the U.S. since 9/11? Why or
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why not? What is the future of U.S. anti-terrorism domestically and internationally?
How has President Obama responded to the threat of international terrorism?
5) Do some research on businesses in your area that are involved in international trade. Use
the Internet or library to find out what kinds of businesses are doing business where and
why. Are there more international ties in your area than you thought? What kinds of
impact does this trade have on you, your community, and your country?
Web Sites
The Council on Foreign Relations, founded in 1921, is an independent, national membership

organization and a nonpartisan center for scholars dedicated to producing and disseminating
ideas on U.S. foreign relation. Its Web site offers a broad range of information, data, papers and
links.
www.cfr.org/index.php
Faces of the Fallen: U.S. Service Members Who Died in Operation Iraqi Freedom and
Operation Enduring Freedom is a service of the Washington Post, honoring the sacrifice of
American service members by posting small photographs of each American who died.
projects.washingtonpost.com/fallen
Iraq Coalition Casualty Count is a private Web site sponsored by private donations that
tabulates war dead and wounded in Iraq and offers links to information about the war not usually
available from the government or mainstream media.
www.icasualties.org/oif
Iraq Body Count provides much the same service as above but also provides names of
American men and woman killed in Iraq.
www.iraqbodycount.org
Official site of the United States Department of State

www.state.gov
The U.S. State Department maintains an electronic archive of foreign policy history including
documents and photographs that can be searched and accessed online.
www.state.gov/www/about_state/history/frus.html
Official Web site of the Department of Defense

www.dod.gov
Official Web site of the Department of Homeland Security

www.dhs.gov
Official Web site of the Central Intelligence Agency

www.cia.gov
Official Web site of the Director of National Intelligence

www.dni.gov
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Official Web site of the Senate Foreign Relations Committee
foreign.senate.gov
Official site of the Pentagon

pentagon.afis.osd.mil
Official site of the Joint Chiefs of Staff

www.dtic.mil/jcs
The International Responsibilities Task Force of the American Library Association's Social
Responsibilities Round Table hosts a Web site titled “Alternative Resources on the U.S. ‘War
Against Terrorism’” which features numerous links to a wide variety of sources.
www.pitt.edu/~ttwiss/irtf/Alternative.html
Center for Defense Information is a nonprofit public policy center with a moderate to liberal
perspective. “Founded in 1972 as an independent monitor of the military, the Center for Defense
Information is a private, nongovernmental, research organization. Its directors and staff believe
that strong social, economic, political, and military components and a healthy environment
contribute equally to the nation's security. CDI seeks realistic and cost-effective military
spending without excess expenditures for weapons and policies that increase the danger of war.
CDI supports adequate defense by evaluating our defense needs and how best to meet them
without wasteful spending or compromising our national security.”
www.cdi.org
Foreign Affairs Magazine is a monthly journal published by the Council on Foreign Relations
and has long been considered one of the most prestigious publications on the issue of foreign
policy. A selection of articles is online from the current issue.
www.foreignaffairs.org
Cold War Hot Links is a Web site maintained by a professor at St. Martin’s College in
Washington State. This site offers links to a myriad of sites dealing with the Cold War and U.S.
foreign and military policy during that period following the end of WWII until 1991.
homepages.stmartin.edu/fac_staff/dprice/cold.war.htm
Practice Tests
1) The strategy of opposing Soviet expansion with military forces, economic assistance, and
286
political influence was known as
A) containment.
B) alliance theory.
C) balancing power.
D) preventionism.
E) isolationism.
2) What precipitated the Cuban Missile Crisis?

A) the invasion of Miami by a group of Cuban refugees
B) a botched invasion of Cuban by Cuban refugees living in Miami
C) Soviet shipments of intermediate-range ballistic missiles to Cuba
D) an arms-for-hostages deal between Cuba and the Soviet Union
E) Fidel Castro’s confiscation of American property after his communist revolution
3) Of the following, which comes closest to moralism?

A) the U.S. invasion of Afghanistan
B) the Soviet invasion of Afghanistan
C) the Persian Gulf War
D) the Gulf of Tonkin Resolution
E) Jimmy Carter’s focus on humanitarianism
4) The policy of détente came to an end with

A) Sputnik.
B) the war in Nicaragua.
C) the Soviet invasion of Afghanistan.
D) the failure of a presidential summit in 1982.
E) the Cuban Missile Crisis.
5) Which of the following best describes the Powell Doctrine?

A) a cautious military approach that hopes to win the hearts and minds of those living under
totalitarian dictators
B) an intense focus on diplomacy to prevent international crises
C) isolationism and multilateralism
D) multilateral diplomacy but unilateral military force
E) the use of overwhelming military force to produce a quick and decisive victory
6) President Bill Clinton adopted a policy of active U.S. involvement in international affairs
called
A) estrangement.
B) engagement.
C) détente.
D) constructive free trade.
E) active engagement.
7) The United Nations was created at the end of World War II and was intended to be an
improved version of the
A) North Atlantic Treaty Association.
B) World Bank.
C) General Agreement on Tariffs and Trade.
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D) Bretton Woods Agreement.
E) League of Nations.
8) What was the primary stated justification for the U.S. military action in Iraq?
A) Iraq attacked the U.S. on 9/11.
B) Iraq is perceived to be a threat and the U.S. should take preemptive military action to
eliminate this threat.
C) The U.S. needed a ready supply of cheap oil.
D) Iraq had been infiltrated by communists and communist sympathizers.
E) The U.S. has an obligation to come to the aid of people struggling to free themselves
from oppressive governments.
9) In which of the following conflicts did the U.S. military act preemptively?
A) World War I
B) World War II
C) Vietnam
D) the 1991 Persian Gulf War
E) the 2003 war in Iraq
10) Which of the following is an example of a nongovernmental organization?

A) the military-industrial complex
B) the National Security Agency
C) the Central Intelligence Agency
D) the United Nations
E) Amnesty International
11) The intelligence agency whose primary job it is to gather information and which is
responsible for code-breaking is which agency?
A) Central Intelligence Agency
B) Federal Bureau of Investigation
C) Department of Homeland Intelligence
D) National Security Agency
E) National Security Council
12) After __________, Congress began a policy of vigorous oversight concerning a president’s
use of force.
A) World War II
B) the Korean War
C) the Bay of Pigs
D) the Cuban Missile Crisis
E) the Vietnam War
13) According to Figure 14.1, when did U.S. military spending increase the most over the
previous year’s spending?
A) World War II
B) the Korean War
C) the Vietnam War
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D) the Cold War
E) the wars in Iraq and Afghanistan
14) Which of the following best summarizes the evidence presented in Figure 14.2?
A) Americans do not like wars but respond well to good economic news.
B) Since World War II, Americans have always been more likely to think the most
important problem facing the country is a domestic policy issue.
C) Since World War II, Americans have always been more likely to think the most
important problem facing the country is a foreign policy issue.
D) For about 20 years after World War II, Americans were sometimes more likely to think
the most important problem facing the country was a domestic policy issue and
sometimes thought it was a foreign policy issue. In the past thirty years, Americans have
been more likely to think the most important problem was a domestic policy issue.
E) For about 20 years after World War II, Americans were sometimes more likely to think
the most important problem facing the country was a domestic policy issue and
sometimes thought it was a foreign policy issue. In the past thirty years, Americans have
been more likely to think the most important problem was a foreign policy issue.
15) According to Figure 14.2, in the past 30 years, when were Americans most likely to think the
most important problem facing the country was a foreign policy issue?
A) 1980
B) 1990
C) 1997
D) 2001
E) 2005
16) What is isolationism?

A) the reluctance to become involved in military conflicts in the remote corners of the world
B) America’s willingness to intervene in the foreign affairs of rogue nations even if other
countries are unwilling to participate
C) a national policy of avoiding participation in foreign affairs
D) the belief that the best way to counter terrorism is to improve the economic well-being of
foreign nations
E) the position of the United States as the only surviving superpower
17) Who authorized warrantless wiretapping of American citizens shortly after the September 11,
2001 terrorist attacks?
A) Congress
B) the Senate Armed Services Committee
C) the House of Representatives
D) Vice President Dick Cheney
E) President George W. Bush
18) The Joint Chiefs of Staff provides a link between

A) Congress and the president.
B) the president-elect and the sitting president.
C) the military and the Department of Defense.
D) the Cabinet and the United Nations.
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E) the National Security Council and the Department of State
19) Which of the following organizations is not under the Department of Homeland Security?
A) FEMA
B) TSA
C) Secret Service
D) Coast Guard
E) NSA
20) Which of the following raises questions about whether the U.S. engages in torture?
A) Blackwater Worldwide
B) Watergate
C) Abu Ghraib
D) the Reagan Doctrine
E) the Iron Curtain
1) George W. Bush’s foreign policies are best describes as multilateral.
2) The Cuban Missile Crisis was a 1982 confrontation between the United States and Iran over
the secret sale of weapons to Cuba.
3) Jimmy Carter dramatically decreased military funding and enhanced relations with the Soviet
Union as a result of the Soviet invasion of Afghanistan.
4) As a result of détente, American and Vietnamese leaders met several times in the 1970s.
5) “Engagement" was the Clinton-era policy that said the U.S. would remain active in foreign
affairs.
6) Foreign affairs powers are held exclusively by the president.
7) The Central Intelligence Agency is responsible for advising the president on military affairs.
8) An executive agreement must be ratified by the Senate.
9) The International Criminal Court has been strongly supported by the United States.
10) John F. Kennedy warned against a military-industrial complex in his 1961 inaugural address.
1) Compare and contrast unilateralism and multilateralism. When has U.S. foreign policy been
unilateralist and when has it been multilateralist? Which approach do you think the U.S.
should try to pursue in its fight against terrorism? Why?
290
2) Why did the U.S. get involved in the Vietnam War? How did American foreign policy
change in the aftermath of the war?
3) What was U.S. foreign policy during the Cold War? What precipitated it and what brought it
to a close? How has it had a lasting impact on foreign and defense policy?
4) In what ways has the U.S. government attempted to foster peace in the Middle East? How
successful have these attempts been?
5) Discuss how the Bush Doctrine changed U.S. foreign policy.
6) Why do some Americans want the United States to pull out of the United Nations?
7) Compare and contrast the president's influence over foreign policy with Congress's influence.
8) Discuss two checks on presidential powers in foreign and military policy.
9) Discuss the War Powers Act.
10) How does public opinion affect foreign and military policy?
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CHAPTER 15
THE CONTEXT FOR TEXAS POLITICS AND GOVERNMENT
Texas history, geography, and mythology provide the social, cultural, ideological, and economic
context for Texas politics and government. The Texas image competes with the reality of the
Lone Star State. Texas has been an expansive land of opportunity and wealth for many. They
possess a pride in their state unmatched by any other state in the nation. That pride over how
earlier Texans carved a civilization out of a wilderness can, however, also create a culture of
denial about the very real lack of civilization experienced by other Texans. The State of Texas
can be a hostile, uncivilized environment for children, the elderly, the poor and the laborer. It is
generally unpopular to point out the social, economic, and racial problems to the Texas media
and political elite because they rely on the mythical image of Texas. Politicians and special
interests who deny the problems facing modern Texas while paying homage to the historic and
mythical Texas are rewarded. Yet the state is changing. The growth of minority populations in
the state may yet force changes in the economic, social, and political character of Texas.
To gain a better understanding of the power of the mythical Texas, students may want to watch
such motion pictures such as Giant, The Alamo, The Searchers or The Last Picture Show or such
television programs as Dallas, Lonesome Dove, The Lone Ranger or Walker, Texas Ranger.
This chapter is designed to introduce you to the background, nature, and context of Texas
politics and government. The main topic headings for this chapter are:
• The Roots of Texas Politics and Government

• The Ideological Context
• The Economy of Texas
• Wealth and Poverty in Texas
• Toward Reform: Political Culture and Welfare Reform
following:
• the roots of Texas government and politics, the land and people of Texas, and
how these people have historically influenced and continue to influence their
government and politics
• the ideological context for Texas politics and government, a core set of ideas that
motivate and shape Texas politics and government, and how ideas Texans share with
other Americans have been modified by Texas’ unique experience
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• the Texas economy and its evolution from a colonial, land-based economy to a
modern, information-based economy
• wealth and poverty in Texas and how those factors influence government and
politics in the state
• how the context for Texas politics and government affects political culture and
welfare reform
the changing face of Texas—
exceptional demographic changes in Texas in the 1990s—
predicted effects the changing demography of Texas will have on the

economic, social, and political characteristics of Texas—
Roots of Texas Politics and Government
size of Texas—
variety of landforms in Texas—
Texas population in 2007—
population diversity: U.S. and Texas ethnic percentages of population—
Texas in Comparison: The Socio-economic Context in the States—
Native Americans
Native Americans in Texas today—
Native American legacy in Texas—
Tejas—
Native American tribes on reservations in Texas today—
gambling on reservations in Texas—
Hispanics
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early Spanish settlements in Texas—
four institutions of Spanish colonization:
1)
2)
3)
4)
Mexican independence from Spain—
growth of Hispanic population in Texas history—
Hispanics in Texas politics—
party affiliation and Hispanic population—
African Americans
African-American population before 1836—
bulk of African-American settlement in Texas—
sharecropper system—
Wallace B. Jefferson—
African-American governmental officials in Texas—
Asian Americans
first permanent resident Asian-Americans in Texas—
growth of Asian population
Vietnamese immigrants—
Asian-American population in Texas as of 2000—
Asian-American officer holders in Texas—
State Representative Hubert Vo—
Anglos
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Anglos—
Anglo immigrants to Texas during early period of Anglo settlement of

Texas—
empresario program—
Anglo settlement in Atascosita District—
Anglo settlement north of the Big Thicket, between the Trinity and Sabine
Rivers—
increase in Anglo immigration from Texas’s independence to Civil War—
post-Civil War Anglo immigration—
Anglo domination of Texas politics—
The Contemporary Population of Texas
patterns of settlement established by Texas’s first residents—
2000 and 1990 Census reports on Texas population—
roots of population increase—
Texas population compared to other states—
predicted Texas population by next census in 2010—
urbanization of Texas—
metropolitan growth accounts for Texas’s population growth in 1990s—
change in ethnic demographics in Texas between 1990 and 2000—
Anglo population from majority to minority numbers—
population projections regarding Hispanic and Anglo population by 2015—
Analyzing Visuals: Texas Population Projections, 2010-2040—
impact of Hispanic population growth in Texas—
ideology and issues important to Hispanics—
predicted policy changes with growth of Hispanic population and political

power—
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Politics Now: Health Insurance in Texas—
The Ideological Context
The Texas Creed
Texas Creed—
five ideas of the Texas Creed—
Individualism:
landowners’ ethos—
frontier era—
three distinct challenges during the frontier era facing Texans—
the Native American frontier and relations with Native

Americans—
farmers and ranchers had to adapt—
Texas Rangers—
cowboy—
mythology stemming from the Alamo—
Liberty:
liberty—
Texas independence from Mexico in 1836—
differences between Anglo settlers and their Mexican governors—
Stephen F. Austin—
Texians—
Siete Leyes (the “Seven Laws”)—
Texas establishes the right to revolution and lays the foundation for
its subsequent government—
Alamo—
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heroes of the Alamo—
“To The People of Texas & All Americans in the World”—
William B. Travis' speech to his men at the Alamo—
symbolic power of the Alamo—
Tejanos—
Constitutionalism and Democracy:
constitutionalism—
The Living Constitution: Article 1, Section 3A, Texas Equal

Rights Amendment—
Texans’ desire for democracy—
Jeffersonian democracy—
Equality:
equality—
Texas idea of equality—
T. R. Fehrenbach description of African-American slavery in Texas—
Anglo response to Hispanics—
American Creed—
Texas Creed—
political ideology—
ideologues—
Political Ideologies in Texas
need for politics—
the Texas Creed and ideas about government—
Ideas Into Action: Student Protest an Immigration Policy—
The Four Ideologies (Figure 15.1)—
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conflict in Texas over proper role of government (which determine a person’s
political ideology)—
Libertarians:
libertarianism—
Libertarian Party in Texas—
lack of support for the Libertarian Party in Texas—
Populists:
populists—
populism in U.S. in 1880s and 1890s—
strong populist tradition in Texas—
People’s Party in Texas—
Farmers’ Alliance—
what the People’s Party sought—
populist movement was essential a native Anglo movement—
Conservatives:
what conservatives believe—
American conservatism view of human nature—
conservatives in contemporary Texas—
conservatives and use of governmental authority—
Liberals:
liberalism—
modern liberalism in Texas—
minority status—
two reasons ideologies in Texas are important:
1)
299
2)
V.O. Key: Texas politics, economics and class lines—
The Economy of Texas
Cotton
the first real economy—
the money crop—
commercial center of Texas from 1840s to 1880s—
plantation system replaced, post-Civil War—
percentage of Texas’s cotton production as part of total U.S. production—
total cotton production receipts in Texas in 2000—
Cattle
the cattle kingdom—
the demand for beef—
late-nineteenth century in Texas—
XIT Ranch—
Petroleum
petroleum's influence for much of twentieth century—
Spindletop—
Santa Rita No. 1—
the East Texas field—
surplus of petroleum—
OPEC—
oil boom of 1970s—
oil bust of 1980s—
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petroleum industry portion of state’s gross state product in 1981
and 1999—
The Contemporary Economy
gross state product in 2009—
change in Texas economy since 1980s—
decline in petroleum industry in early 1980s—
importance of increased economy diversity of Texas—
area in Texas currently with greatest economic growth—
Texas and national economy—
job creation in Texas—
unemployment in Texas—
globalization of Texas economy—
industries accounting for 66 percent of Texas’s exports in 2000—
Texas exports revenue—
need for commitment to developing highly skilled workforce—
Join the Debate: How Should Texas Educate Students of Limited English
Proficiency?—
Wealth and Poverty in Texas
Texas ranking in income inequality—
distribution of income in Texas—
Texas Family Income by Decade, 1980s-2000s (Figure 15.2)—
factors contributing to income disparity—
poverty among certain ethnic groups in Texas—
political participation by the poor and by the wealthy—
Toward Reform: Political Culture and Welfare Reform
political culture—
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three types of political culture—
Texas' political culture is a mix of what two political subcultures?—
characteristics of states with traditionalistic and individualistic political

subcultures—
effect of political culture on how Texas adopted and implemented welfare

reform during the 1990s and 2000s—
Temporary Assistance for Needy Families (TANF)—
how states with moralistic political subcultures performed in adopting and

implementing welfare reform vs. states with traditionalistic or
individualistic political subcultures—
why the Texas TANF program cannot be considered a total success:
1)
2)
3)
why Texas's welfare system provides few benefits while placing onerous
demands on its participants—
1) Select a state and compare Texas to that state according to economic structure,
political ideologies, and population.
2) Discuss what you think might be important demographic and economic changes in Texas
during the next 40 years. How might these changes affect partisan politics and public
policy issues in Texas?
3) Select five major historical events in Texas history and explain how these events
contributed to the development of the Texan Creed.
4) Do research into the history of the Texas Rangers examining the view of the heroic law
enforcement cowboys in Texas Anglo mythology versus the view of vigilante justice in
the eyes of many minority groups in Texas.
5) Examine the mythology of Texas and how it ignores the state’s dismal record of poverty
and treatment of minorities.
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Web Sites
Every ten years, the U.S. Census conducts a count and study of the U.S. population. The 2000
census contains a wealth of information about the nation’s population as well as individual state
population, including Texas.
www.census.gov
Lone Star Junction is a nonprofit organization chartered by the state of Texas. The organization
provides facts and details about Texas history, giving particular attention to Texas’s early
history.
www.lsjunction.com
The Institute of Texan Cultures is an educational center established and maintained by the
University of Texas at San Antonio. The center’s primary objective is to provide the public with
information about the history of the diverse cultures of Texas. The center’s Web site includes
photographs of Texas settlers, primary, and secondary documents on Texas history, and other
material helpful to understanding Texas’s diverse cultures.
www.texancultures.utsa.edu
Texas Historical Commission is a state agency, created by the Texas Legislature to preserve
Texas’s architectural, archaeological, and cultural landmarks and inform the public about Texas
history.
www.thc.state.tx.us
The Daughters of the Republic of Texas Library is supported and maintained by the
Daughters of the Republic of Texas. The library assists researchers interested in the history of the
Alamo, San Antonio and Texas.
www.drtl.org
The Center for Public Policy is a Texas nonprofit, nonpartisan research organization studying
policy issues involving low- and moderate-income Texas. Its Web site features a wide-range of
information about poverty in Texas including Texas Poverty: An Overview, which examines
the demographics and characteristics of poverty in the state.
www.cppp.org
Practice Tests
1) All of these states except one are a majority-minority state:

303
A) Hawaii
B) New Mexico
C) California
D) Missouri
2) The single largest ethnic factor in Texas’ population growth in the 1990s was:
A) Hispanic immigration
B) legal immigration
C) natural increase by birth
D) decrease in net out-migration
E) changes in residential patterns
3) In which geographic category of Texas has most of its population increase occurred?
A) towns and cities
B) large urban and metropolitan centers
C) counties
D) school districts
E) rural border regions
4) It has been indicated that with current demographic changes in Texas, the future workforce
would be:
A) more educated
B) less well educated
C) demand higher pay raises
D) more oriented toward the service sector
E) more oriented toward the agricultural sector
5) The first inhabitants of Texas were the

A) Native Americans.
B) African Americans.
C) Asian Americans.
D) Anglos.
E) Germans.
6) Larger than most nations, Texas contains all of the major landforms except for which of the
following?
A) Mountains
B) Plains
C) Plateaus
D) Hills
E) Texas is so vast that it has all the major landforms
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7) Texas is the ___ largest state in terms of population, and the ___ largest in terms of land.
A) 1st ... 1st
B) 1st... 2nd
C) 2nd ... 1st
D) 2nd ... 2nd
E) 3rd ... 2nd
8) The origin of the name Texas was derived from early Spanish explorers who then referred to
it as:
A) Tayshas
B) Tejas
C) Alamo
D) Jumano
E) Coushatta
9) By the late 1880s, there were few Native Americans living in Texas as a result of:
A) epidemics of diseases
B) military campaigns
C) removal to reservations elsewhere
D) death from cholera and smallpox
E) All of the above
10) Texas has more of what minority in elected offices than any other state?
A) Hispanics
B) African Americans
C) Asian Americans
D) Women
E) Native Americans
11) Which of the following was NOT a component of Spanish colonization efforts in Texas?
A) the mission
B) the presidio
C) the rancho
D) civilian settlements
E) slavery
12) Japanese settlers came in the early 1900s to do what on along the Texas Gulf Coast?
A) Build railroads
B) Grow rice
C) Grow cotton
D) Raise cattle
E) Fishing
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13) Many Japanese immigrants arrived in Texas after 1903 and most of them worked in which of
these job categories?
A) cattle herding
B) railroad and railway construction
C) rice farming/industry
D) fishing industry
E) trading and commerce
14) The largest city in Texas is

A) San Antonio.
B) Houston.
C) Dallas.
D) El Paso.
E) Fort Worth.
15) According to projected population trends (see "Analyzing Visuals" in this chapter of your
text), when will Hispanics exceed 50% of the state's population?
A) 2040
B) 2030
C) 2020
D) 2015
E) 2010
16) A set of ideas that identify Texans and provide the basis for their politics and government is
known as:
A) the Constitution
B) The Texas Creed
C) The Texas Compact
D) The Rangers Ordinance
E) The Frontier Era
17) Which of the following historical events was important to the development of the Texan
Creed concept of individualism?
A) the American revolution
B) World War II
C) the frontier era
D) the presidential election of Lyndon B. Johnson
18) The war for Texas independence was fought in which year?
A) 1800
B) 1836
C) 1813
D) 1845
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19) Which of the following was the basis for the Texas economy during the 20th century?
A) Cotton
B) Cattle
C) Oil
D) Gold
E) Manufacturing
20) All of these except one are reason for the increasing income gap between the rich and poor in
Texas.
A) most new jobs in Texas are in low-paying positions in the service sectors
B) incomes have risen faster for people with the most education
C) the minimum wage has not kept up with inflation
D) low rates of high school and college graduates
E) high sales and property taxes
1) By 2003, Hispanics had achieved considerable political clout in Texas.
2) In the late 1800s, Chinese laborers in Texas helped construct railroads.
3) The city of Houston actually has two Chinatowns.
4) Almost all of Texas legislators in the late Twentieth-Century have been Hispanics.
5) All of Texas's governors have been Anglos.
6) Prior to the 1940s, most Texans lived in rural areas.
7) Texas has a strong populist tradition.
8) The Texas economy has historically been dependent upon the external demand for and prices
on cotton, cattle, and petroleum.
9) When Davy Crockett took his oath as a Texas citizen he changed the wording of the oath,
swearing to uphold the Texas government only so long as it was a republican government.
10) A willingness to use governmental power to promote equality is an essential hallmark of

conservatism.
1) What are the major landforms in Texas, and where are they found in Texas?
2) What important demographic changes have occurred in Texas between 1990 and 2000?
3) Why was the Alamo important to many Texans’ concept of liberty?
307
4) How had the Texas economic history of dependence upon cattle, cotton and oil changed in
the late twentieth century?
5) How are Texas’s minority ethnic groups affected by poverty?
Compare and Contrast the following:
6) Hispanics, African-Americans, and Anglos
7) the Texan Creed and the American Creed
8) liberalism and conservatism
9) the early Texas economy and the contemporary Texas economy
10) wealth and poverty in Texas and wealth and poverty in the nation
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CHAPTER 16
THE TEXAS CONSTITUTION
Like many states, particularly those in the South, Texas has drafted and adopted several
constitutions. Constitutions are social contracts which create governments, outline civil rights
and liberties as a means of protecting citizens from their governments, and institute procedures
for peaceful change in the form of the process of constitutional amendments. Like all
constitutions, Texas’s constitutions reflect specific historical circumstances of the periods in
which these documents were written. Texas’s current constitution is a reaction to Reconstruction,
yet the amendments to the Texas Constitution reflect the impact of modern living on a structural
foundation laid in a post-Civil War political and social environment. As is the case with many
state constitutions, particularly in the South and Southwest, Texas’s current constitution, the
Texas Constitution of 1876, is long, confusing, poorly structured and hindered by an over-
reliance on amendments that undermine the very nature of a constitution—a set of basic
governing laws.
This chapter is designed to introduce you to the background, structure, and operation of the
Texas Constitution. The main topic headings for this chapter are:
• The Roots of the Texas Constitution

• The Current Texas Constitution
• Constitutional Revision
• Toward Reform: The Marriage Amendment
following:
• the roots of the Texas Constitution, the legacies of Texas’s first five constitutions,
and how these five early constitutions laid the foundation for the current constitution
• the current Texas Constitution, the convention that framed it, its provisions, and
criticisms of it
• constitutional revision in Texas by piecemeal change through constitutional
amendments, and comprehensive revision efforts through the drafting of a new
constitution
• a recent constitution reform: the marriage amendment where Texas joined other
states in constitutionally defining marriage as solely a heterosexual institution, thus
preventing marriage practices from being broadened to include homosexual couples
309
current Texas Constitution amended 456 times since its adoption in

1876—
efforts to produce a new constitution to govern modern Texas—
Texas declared independence from Mexico in 1836 and has had six
constitutions since then—
Roots of the Texas Constitution
several purposes of a constitution—
The 1836 Texas Constitution
Texas as a Mexican state—
Mexican Constitution of 1824—
Republic of Texas—
Texas Constitution of 1836, its content and the government it created—
Washington-on-the-Brazos—
typical American features of the Texas Constitution of 1836—
Spanish Mexican law influence on 1836 Constitution—
The 1845 Constitution
annexation—
President Anson Jones—
Texas Constitution of 1845—
simple, straightforward form of 1845 Constitution—
the government under the 1845 Constitution—

310
General Provisions—
amendments—
secession—
slavery and states’ rights—
emancipation in 1861 Constitution—
presidential Reconstruction—
restructure of executive branch—
legislative branch changes—
change by convention—
public education—
end of presidential Reconstruction—
additional requirements placed by Congress on Texas’s readmission to the union

(congressional Reconstructions)—
constitutional convention of 1868—
new constitution met requirements of congressional Reconstruction—
The Current Texas Constitution
effects of Reconstruction on current Texas Constitution—
Governor Richard Coke—
Texas Constitutional Convention of 1875—
311
delegates to the 1875 constitutional convention—
Reasons for 1876 Constitution
three factors which explain the adoption of the Texas Constitution

of 1876:
1)
2)
3)
“retrenchment and reform”—
positions of different groups of convention delegates as to the way

government should be active—
Provisions of the 1876 Constitution
Articles of the Texas Constitution (Table 16.1)—
liberal constitution—
statutory constitution—
Texas Bill of Rights (Article 1)—
separation of powers (Article 2)—
legislative branch (Article 3)—
executive branch (Article 4)—
judicial branch (Article 5)—
education (Article 7)—
The Living Constitution: Article 7, Section 1—
constitutional provision on local government—
constitutional provision on fiscal policies—
balanced budget—
dedicated funds—
312
Politics Now: Wimberley ISD and School Finance—
amending the Texas Constitution (Article 17)—
in 1980s the legislature establishes pattern of conducting constitutional

amendment elections—
Analyzing Visuals: Voter Turnout for Constitutional Amendments—
by early 2009, Texas Constitution amended how many times?—
Amendments to the Texas Constitution, 1877-2008 (Figure 16.1)—
amendments to the U.S. Constitution; actual changes tot he U.S.

Constitution since its ratification—
Criticisms of the 1876 Constitution
too many amendments—
inadequate foundation for governing in the twenty-first century—
one of the longest constitutions in the U.S.—
disorganization—
plural executive—
part-time legislature—
structure of judiciary and election of judges—
restrictions on local government—
Constitutional Revision
piecemeal revision—
comprehensive revision—
Piecemeal Revision Efforts
piecemeal revision—
addition of amendments—
Citizens’ Advisory Committee—
efforts by Governor John Connally to revise the Texas Constitution—
313
Representative Anna Mowery in the 1999s—
Ideas Into Action: Grassroots Engagement in the Amendment Process—
Comprehensive Revision Efforts
first attempt in 1877—
1917 legislative resolution and Governor Jim Ferguson—
efforts between 1919 and 1949—
efforts by Governor Beauford Jester—
1967-1968 Constitutional Revision Commission—
The 1974 Constitutional Convention:
Constitutional Revision Commission—
legislature meets as constitutional convention—
several reasons for failure of the constitutional revision effort—
1)
2)
Committees of the 1974 Constitution Convention (Table

16.2)—
3)
right-to-work—
4)
Speaker Price Daniel, Jr.—
5)
cockroach—
revisionist—
1975 Constitutional Amendments:
eight proposed amendments—
314
defeat of proposed amendments—
explanations for the defeat of the amendments:
1)
2)
3)
4)
1999 Constitutional Revision Effort:
Representatives Rob Junnell and Senator Bill Ratliff—
proposed changes in structure of Texas government—
Join the Debate: Should Texas Adopt the Initiative Process?—
House Speaker Pete Laney and the Select Committee on

Constitutional Revision—
Toward Reform: The Marriage Amendment
2005 approval by state voters of marriage amendment—

effect on civil unions—
other states’ efforts—
proponents of the marriage amendment—
opponents of the marriage amendment—
raising money for the campaign for and against the amendment—
overwhelming support for the amendment show by vote—
only county in Texas to vote against the amendment—
1) Scholarly dispute exists regarding the level of political experience and training of
delegates to the Constitutional Convention of 1875. Research the lives of three of the
delegates and evaluate whether they did or did not have the political experience and
training necessary to draft an impressive constitution.
315
2) The current Texas Constitution has been criticized for its failure to provide an adequate
foundation for governing in the twenty-first century. If you were to lead an effort for
reform of the Texas Constitution, which provisions of the Constitution would you change
and why?
3) Imagine you have been elected governor of the state of Texas. Would you support
a reform that would allow you to have appointment power over key offices in the
executive branch? Is so, why? If not, why not?
4) Students in the Department of Government at Angelo State University developed a

proposed new state constitution that was presented to the Texas Legislature for
consideration in 1999. What were its provisions? Who carried the proposed constitution
to the legislature and why? What were the results?
5) Examine the reactions of Texans to Reconstruction. Why did Texans react so vigorously
against it, and what where the problems they had with the administration of Governor E.
J. Davis? Were their objections sound in
your opinion?
Web Sites
The Web site maintained by the Texas Legislature offers a copy of the entire Texas Constitution
and features that allow users to search the Constitution according to concept or exact wording.
www.constitution.legis.state.tx.us
In 1969, the Texas legislature created The Legislative Reference Library. The Library’s
primary purpose is to serve as a research and reference center for the legislature and its staff. The
library’s Web site allows users to review past and current constitutional amendments by
session/year, or by subject, by clicking on “Amendments to the Texas Constitution” and
“Proposed Amendments to the Constitution.”
www.lrl.state.tx.us
The Texas Constitutions’ Digitization Project is presented by the Tarlton Law Library of the
University of Texas at Austin. The project makes digital versions of Texas’s constitutions
available online and provides explanatory texts. The project also offers an excellent list of links
to other Web sites related to Texas constitutional history.
tarlton.law.utexas.edu/constitutions
Texas Reform Net, which describes itself as “a gateway to reform efforts and groups throughout
the State of Texas,” hosts a Web site titled “A Revised Texas Constitution,” featuring a proposed
Texas reformed constitution, an annotated 1975 constitutional proposal, and other related links.
www.constitution.org/reform/us/tx/const/rev_con.htm
Practice Tests
316
1) The longest article in the first Texas state constitution did which of the following?
A) Granted powers to the executive branch
B) Granted powers to the judicial branch
C) Granted powers to the legislative branch
D) Limited legislative powers
E) Established the amendment process
2) _______ led to the drafting of the 1861 constitution.

A) Secession
B) Presidential reconstruction
C) Congressional reconstruction
D) Independence
E) Reconstruction
3) The current Texas Constitution of 1876 was written under the governorship of one of the
following:
A) Richard Coke
B) Anson Jones
C) E. J. Davis
D) Patrick Williams
4) An organization of farmers created in Texas following the economic panic of 1873 was
known as:
A) the Rangers
B) the Grange
C) the Frontiersmen
D) the Patrons of Texas
E) the Bavarians
5) The Enabling Act allowed Governor E. J. Davis to undertake one of the following.
A) declare marshal law in any part of Texas
B) appoint district attorneys, district clerks, sheriffs, mayors, and other local officials
C) declare a state of emergency
D) issue judicial pardons without legislative consent
E) All of the above
6) During the constitutional convention of 1875, “retrenchment and reform” was the motto
adopted by:
A) the Rangers
B) the Frontiersman
C) the Grange
D) the Patrons of Texas
E) the Muscrats
7) According to Article 17, there is only one method for amending the Texas Constitution
317
A) proposal by a joint resolution of the House and Senate
B) proposal by a special constitutional convention
C) proposal by the House and a ratification by the Senate
D) proposal by the House and the Senate, ratified by three-fourths of the counties
8) One of the consequences of having a statutory constitution is that

A) it makes policy making much faster
B) it limits executive budgetary prerogative
C) it generally requires a constitutional amendment to make major and even minor changes
in government
D) it grants more budgetary control to the citizens
E) it protects judicial independence
9) Article 7 provides all but which of the following for the Texas public school system?
A) No superintendent
B) No compulsory attendance
C) Segregation of students
D) No provision for local taxes to pay for the schools
E) All of the above are specified by Article 7
10) The Texas state legislature is considered as

A) a unicameral legislature
B) a part-time citizen legislature
C) a career public office
D) an appointed legislature
E) all of the above
11) How long does the Texas legislature hold its biennial sessions?
A) 200 days
B) 140 days
C) 345 days
D) 150 days
E) 120 days
12) Which two decades saw an acceleration in the number of amendments to the constitution?
A) 1920 and 1960
B) 1930 and 1980
C) 1950 and 1960
D) 1940 and 1970
E) 1970 and 1990
13) Because the 1974 convention was the entire legislature, it was besieged by all but which of
the following political problems?
318
A) Desire to seek reelection by legislators
B) Institutional and personal rivalries
C) Pressure from lobbyists
D) Partisan/ideological differences
E) All of the above were problems created by having the legislature be the convention
14) Which of these Acts allowed states to establish right-to-work laws?

A) the Taft-Hartley Act of 1947
B) the Norris-LaGuardia Act
C) the Wagner Act
D) The Railroad Act
E) The National Labor Relations Act
15) A right-to-work provision states that

A) membership or nonmembership in a union cannot be a condition of employment
B) non-union members cannot benefit from the union’s collective bargaining actions
C) only union members can pay union dues
D) employers can prevent employees form organizing union membership
16) A revisionist is a member of

A) a legislature who supports piece-meal revision.
B) a constitutional convention who will not accept less than a total revision to a constitution.
C) a court who objects to any revisions in a constitution.
D) a political party who supports piece-meal revision.
E) an interest group member who supports piece-meal revision.
17) Voters rejected the eight amendments drafted out of the remains of the 1975 attempt to
rewrite the constitution because of which of the following reasons?
A) Political scandals surrounding the attempt
B) Opposition from Governor Briscoe
C) Active campaigns against the amendments by interest groups
D) Fears of too strong a government
E) All of the above were reasons for voter rejection
18) Out of the failed attempt to rewrite the constitution came eight amendments (none of which
passed) that would have done all but which of the following?
A) Created a flexible county government
B) Created annual legislative sessions
C) Established a veto session
D) Created a unified judiciary
E) If approved, the amendments would have done all of the above
19) The 1999 proposal for changes included all but which of the following changes to the
judiciary?
A) Reduced the number of courts
319
B) Established a merit system for selecting judges
C) Retained the split in the civil/criminal supreme court but having it become one court, two
divisions
D) Set the number of justices on each bench at 7
E) The Chief Justice would be the same for both divisions
20) In 2005, Texas passed a constitutional amendment banning same-sex marriage or civil
unions. Only one county voted against the measure which passed by an overwhelming 76%
of the popular vote. Which county was that?
A) Tarrant county
B) Travis county
C) Harris County
D) Beaumont County
E) None of these
1) Texas was the 28th state admitted to the Union.
2) The Texas Constitution has been amended less than 200 times.
3) The motto of the 1876 convention was "Retrenchment and Reform."
4) The Texas Constitution of 1876 mandates a balanced state budget.
5) Governor Edmond J. Davis had extraordinary powers to maintain public order.
6) Except for the governor, all officeholders in a plural executive are appointed.
7) Texas governors have much more control over public policy than governors in other states.
8) The Amendment which removed Article 13 on the Spanish Land Titles was passed by the
Texas legislature and adopted by the voters in August 1969.
9) One reason for the success of the 1974 constitutional revision effort was that the legislature
was the constitutional convention.
10) A cockroach is a member of a constitutional convention who opposes any changes in a

constitution.
1) What historical events caused Texas to draft several constitutions?
320
2) Why did the 1876 constitution differ from previous constitutions?
3) Briefly explain how Reconstruction affected the writing of the 1876 constitution.
4) Who was Edmond J. Davis and why is he considered important to Texas constitutional
history?
5) Why did the 1974 Constitutional Convention fail?
Compare and contrast the following:
6) the Texas Bill of Rights with the U.S. Bill of Rights
7) the current Texas Constitution with the U.S. Constitution
8) the Texas Constitution with other state constitutions
9) liberal constitutions and restrictive constitutions
10) cockroaches and revisionists
321
322
CHAPTER 17
LOCAL GOVERNMENT AND POLITICS IN TEXAS
Most students who have grown up in this country have, no matter what level of previous
governmental studies, some intrinsic understanding of national and state politics and the three
branches of government. Watching TV, sitting through civics class, or going to movies, students
hear about at least some aspects of the national and state governments. However, few students
have a real sense of what local government is, how it works, and how it affects them (except,
perhaps, when a student receives a ticket from a city police officer).
Local government is comprised of political subdivisions within state governments. There are
three basic categories of political subdivisions that can be characterized as local governments:
city governments, county governments, and special district governments.
City governments are chartered by the state and most of them can conduct their governmental
affairs independently of state government as long as they are not in conflict with the state
constitution. County governments are essentially branch offices of state government and act as
the local entity that administers and executes state law. Special districts are the fastest-growing
form of local governments in Texas, serving single government purposes for specific geographic
areas, governmental purposes not available in the area from other levels of local government.
This chapter is designed to introduce you to local politics and government in Texas. The main
topic headings for this chapter are:
• The Roots of Local Government in Texas

• Counties
• Cities
• Special Districts
• Toward Reform: Local Government and Politics in Texas
ideas, dates, facts, events, people, etc. are more difficult to pull from the narrative. (Keep in mind
that studying for objective tests is different
from studying for essay tests. See the Study Guide section on test taking for hints on study
skills.)
following:
• the roots of Texas local government including historical and constitutional

influences
• the structure, role and function of counties as local governments and
administrative arms of the state
323
• city governance in Texas and how the forms, powers and politics of municipal
government have changed
• the many and varied special district governments in Texas with an emphasis on
water districts and school districts
• proposals for reform of local government structures, interactions, and policies
Hurricane Katrina and Rita in 2005—
Harris County Judge Robert Eckels—
Houston Mayor Bill White—
local government officials along upper Texas coast respond to Hurricane Rita—
government closest to the people—
three basic categories of political subdivisions that can be categorized as local

government (and their numbers):
Councils of Government (COGs)—
Local Government Code—
Roots of Local Government in Texas
local government in Texas under Spanish and Mexican rule—
counties in the Republic of Texas—
municipal corporations—
early public education in Texas the politics of education—
counties when Texas joined the Union—
local government under the Texas Constitution of 1876—
local incorporation of small cities allowed; legislature writing numerous

municipal charters—
324
home rule—
home rule comes to Texas cities—
constitution amended in 1933 to allow counties home-rule authority but no

county was able to do so—
county home rule option repealed from constitution in 1969—
Article 7, section 1, system of "public free schools"—
patchwork system of public schools changed by 1900 action by

legislature—
Counties
number of Texas counties—
largest Texas county in territory—
largest Texas county in population—
least populated Texas county—
Analyzing Visuals: Texas Counties and Population—
Texas Association of Counties—
multiple functions of counties—
administrative arms of state government—
locally elected governmental bodies—
Structure of County Government
fragmented power—
county offices—
four-year terms—
County Commissioners’ Court:
commissioners court—
325
county judge—
constitutional county court—
county courts-at-law—
some county judges retain nonlitigation judicial authority—
voting member and chair—
commissioners’ court—
county commissioners—
precincts—
terms and elections—
roads—
redistricting county commissioners precincts—
Avery v. Midland County (1968)—
District Attorneys and County Attorneys:
district attorney (DA) or a criminal district attorney—
elected from and serve one county but may be elected from and serve a
judicial district—
county attorney—
Sheriff:
sheriff—
jurisdiction—
county jail—
County Clerk and District Clerk:
county clerk—
district clerk—
in some small counties—
326
Judges and Constables:
providing judicial and court services—
number varies from county to county--
County Tax Assessor-Collector:
county tax assessor-collector—
duties—
county central appraisal districts—
Treasurer and Auditor:
county treasurer—
county auditor—
auditor appointed by panel of district judges—
some counties request legislature to do away with treasurer—
Authority of County Governments
under Texas Constitution and statute—
Local Government Code—
limits to county government—
counties and general ordinance-making authority—
what county is authorized to do—
regulatory zoning authority—
county health care—
general ordinance-making authority
Texas Association of Counties—
Elgin Bank v. Travis County and resulting action by legislature—
county authority to regulate subdivisions—
327
platting—
county responsibility for elections—
Texas response to 2000 Florida voting fiasco—
response to Congress’s Help America Vote Act of 2002—
Finances of County Government
revenue for county services—
property tax—
counties allow since 1987 to collect sales taxes but only under certain
circumstances—
fee revenue—
2005 legislative mandate regarding counties and court fee collections—
number of state fees and local fees collected by county—
counties propose constitution amendment regarding state mandates—
Cities
number of Texas cities—
largest city—
size variation of Texas cities—
home rule cities—
general-law cities—
Local Government Code stipulation regarding home rule—
flexibility—
no neat categories for home-rule and general law cities—
state laws passed to restrict home-rule cities—
laws aimed at cities in a population bracket—
328
why legislature passes laws seemingly at odds with home rule provisions of the
Texas Constitution and Local Government Code—
Join the Debate: Should Texas Cities Be Allowed to Photograph Red-Light

Runners?—
Forms of City Governments
form of city government mandated by Local Government Code for most

general-law cities—
Organizational Chart: City of Waller (General Law) (Figure 17.1)—
four general types of city government that home-rule cities can opt for—
most popular form of city government for home-rule cities in Texas—
four general types of city government—
Types of Government and Election Systems in Texas’s Top Ten Cities (Table
17.1)—
Weak Mayor-Council:
role of mayor—
how mayor elected—
duties of council—
Organizational Chart: City of White Oak (Weak Mayor) (Figure

17.2)—
Strong Mayor-Council:
role of mayor—
how mayor elected—
strong mayor council form in U.S. and in Texas—
Organizational Chart: City of Houston (Strong Mayor) (Figure

17.3)—
Council-Manager:
product of Progressive era—
nature and duties of city manager—
329
duties of council—
popularity of this form in Texas—
Organizational Chart: City of Austin (Council-Manager) (Figure

17.4)—
City Commission:
Galveston—
role of the city commissioners—
spread of commission form after Galveston’s experience—
reason for decline of city commissioner form—
city commission governments in Texas today—
Authority and Functions of City Governments
multiple functions of cities—
broad regulatory authority—
collision of public needs and private property rights—
Texas Municipal League—
Politics Now: The Border Fence
Finances of City Governments
sources of city revenue—
bond sales—
effect on Texas cities of eliminating federal funding to local governments by

Reagan administration—
capital budgeting and operating budgeting by Texas cities—
sewage and water treatment—
innovative policies involving tax incentives—
Municipal Annexation
330
annexation—
Municipal Annexation Act, 1963—
extraterritorial jurisdiction (ETJ)—
how often and how much can a city expand each year—
what city must do before annexing an area—
number of miles outside its city limits an ETJ can exist—
purpose of limited municipal controls in areas beyond city limits—
what a city must provide an area once the city annexes it—
limited-purpose annexation—
strip annexation—
amendments to Municipal Annexation Act—
steps required of cities to annex after 1999 amendments—
how citizens may enforce a service plan—
writ of mandamus—
Politics and Representation in City Governments
nonpartisan elections—
at-large election—
at-large-by-place election—
business coalitions and municipal elections—
single-member districts—
use of Voting Rights Act by minority interest groups—
Type of Government Election Systems in Texas's Top Ten Cities (Table

17.1)—
results of changes in election systems—
cumulative voting—
331
proportional representation—
women in city governments—
Ideas Into Action: Students Run for Local Office—
Special Districts
constitution creates and allows the creation of single purpose political

subdivisions by the legislature, counties, and cities—
number of special districts in the state—
number of special districts in Harris County alone—
cities and counties are multifunctional while special districts perform just
one function—
Special Districts in Texas (Table 17.2)—
Water Districts
Texas Constitution and water management—
Water Code—
water districts—
groundwater conservation districts—
Texas Commission on Environmental Quality (TCEQ)—
School Districts
most common type of special district—
local school districts in Texas and comparison to other states—
elected school trustees and function—
all of Texas divided among school districts of varying size and

population—
shifting degree of state oversight and regulations—
State Board of Education—
Texas Education Agency—
332
new education code in 1995—
home-rule school districts allowed—
charter schools—
types of school district elections—
school district elections, legislation and litigation—
school-finance revisions and problems—
property taxes—
Toward Reform: Local Government and Politics in Texas
reforms of local government structure, politics, and policies considered—
Austin's resistance to municipal election reform—
1990s reforms of land-use regulation and county power to pass ordinances

for platting and subdivision control—
efforts to abolish some county offices for specific counties—
funding Texas's public schools and battle between rich and poor
districts—
2007 Wimberley school trustees vote to defy state law and refuse to make
required payment to state to redistribution to poorer school districts;
response by TEA and education commissioner—
1) Select two Texas cities that are demographically diverse and that hold two different types
of elections, specifically at-large city council elections and single-member districts’
council elections. Evaluate the policies supported by the councils according to whether or
not the policies address the political interests of the minority ethnic groups in the two
cities.
2) Annexation is a politically explosive issue of local government. To gain a better sense of

the advantages and disadvantages of the annexation, select a city in Texas that has had
direct experience with the issue. Interview city officials about their opinion of the
annexation and interview residents who reside in a newly annexed area.
3) Attend an open city council meeting in your city. Identify the city officials who attended
the meeting, explain the meeting’s agenda, and describe the extent of public participation
333
in the meeting. Then, based on your experience at the meeting, discuss whether or not
you think local government is efficient and democratic.
4) Many Texans live in suburbs that use special district governments known as MUDs
(municipal utility districts). What are MUDs? What is their function, how are they
formed, how are they operated and how do they fund their services?
5) Public school financing in Texas remains a fluid and controversial issue for school
districts and state government. What are some of the current problems surrounding public
school financing in the state and in your local school district?
Web Sites
Most Texas cities have Web sites. To access a city’s Web site, click on the name of the city on
this Web site by State and Local Government on the Net.
www.statelocalgov.net/state-tx.cfm#City
Most Texas counties have Web sites. To access a county’s Web site simply click the link for the
county as listed on this Web site provided by Online Texas.
www.texasonline.com/portal/tol/en/gov/6/2
The Texas Association of Counties maintains a Web site that offers users information about the
Association’s membership, activities, publications, legislative bills related to counties, and more.
www.county.org
The Texas Municipal League is a private, non-profit association providing legislative, legal,
and educational services to member cities in Texas.
www.tml.org
The Texas Association of Regional Councils serves as a coordinating entity for the local
Councils of Government (COGs) in Texas. Texas COGs are regional planning boards in Texas to
assist local governments in the given regions to coordinate local services. The TARC’s Web site
provides local government information, including information regarding special district
governments.
www.txregionalcouncil.org
The Local Government Code for the State of Texas is available from the Texas Legislature
Online.
tlo2.tlc.state.tx.us/statutes/lg.toc.htm
The Special District Government Code for the State of Texas is available online.
tlo2.tlc.state.tx.us/statutes/sd.toc.htm
The Texas Education Agency Web site provides information about Texas schools and links to
all independent school districts in the state.
www.tea.state.tx.us
334
Practice Tests
1) The aftermath of Hurricanes Katrina and Rita that struck Louisiana and Texas in August-
September 2005 demonstrated all of the following except one:
A) the importance of the role of local governments in emergency management
B) the tensions between state and local officials
C) the potential for local government leadership to create opportunities for statewide
political leadership
D) loopholes in the nation’s emergency management capabilities
E) the need for increased regulation of private sector industries along the Texas coast
2) Based on census estimates for 2007, the state of Texas has about:
A) 254 counties
B) 1,209 cities
C) 3,372 special districts
D) All of the above
3) In 19th Century rural America, one of these was for most people in Texas the predominant
point of contact with the government
A) municipalities
B) counties
C) precincts
D) wards
E) town unions
4) Texas adopted a constitutional amendment in 1912 as a result of one of these

A) increased tax protest
B) a potential war with Mexico
C) municipal home rule movement
D) increased immigration for Mexico
E) growing immigration for other southern states
5) By the time the Republic of Texas ended, it had created one of the following:
A) Fifty-five townships
B) Fifty-six counties and townships
C) Thirty-six counties and incorporated fifty-three cities
D) Forty counties and thirty-four cities
6) All of these except one are the functions of the county clerk
A) keep records for county commissioners court
B) keep records for county courts
C) keep records for real estate titles
335
D) keep records of marriage licenses
E) keep records for district courts
7) Which of the following officials serves as the chief law enforcement officer in a county?
A) the county attorney
B) the district attorney
C) the sheriff
D) the county commissioner
E) the deputy
8) One of these elected officials collects taxes for the county and sometimes for other local
governments
A) county treasurer
B) county auditor
C) county tax assessor/collector
D) county clerk/recorder
E) county payroll officer
9) In Texas, cities with fewer that 5,000 residents, and governed by a general state law rather
than by a locally adopted charter are known as
A) home rule cities
B) general law cities
C) special municipalities
D) chartered cities
10) A form of city government in which the mayor has no more power than any other member of
the council is known as
A) strong-mayor council
B) weak-mayor council
C) council-manager
D) mayor-manager
11) On September 8, 1900, the deadliest natural disaster (hurricane) in U. S. history devastated
which of these cities in Texas?
A) Houston
B) Austin
C) Galveston
D) Beaumont
E) Prairie View
12) One of these serves as the professional lobbying arm of cities in the state of Texas:
A) Texas Municipal League
B) Texas Commission
C) Texas County and City Commission
D) Texas Municipal Charter Group
E) Texas Plains Commission
336
13) In Texas, one of these is of the highest priority in capital budgeting
A) emergency management
B) pesticide control
C) fire control
D) sewage and water treatment
E) ambulatory services
14) The area outside a city’s boundaries over which it may exercise limited control is known as
A) suburbia
B) gentrification
C) extraterritorial jurisdiction
D) outskirts
E) municipal realignment
15) The enlargement of a city’s corporate limits by incorporating surrounding territory is known
as
A) municipal redistricting
B) municipal reapportionment
C) municipal annexation
D) home rule annexation
16) The League of Latin American Citizens (LULAC), the National Association for the
Advancement of Colored People (NAACP), and other civil rights organizations used the
Voting Rights Act to challenge which of these type of elections in Texas?
A) single-member district
B) at-large municipal elections
C) at-large-by zone elections
D) at-large-by ward elections
17) One of these individual was a one time mayor of San Antonio and also served as a cabinet
secretary in the Clinton administration
A) Ed Garza
B) Gus Garcia
C) Raymond Caballero
D) Elzie Odom
E) Henry Cisneros
18) Which of the following types of elections or voting methods are more likely than at-large
elections to yield results that closely reflect a city's population?
A) at large elections
B) at-large-by-place elections
C) proportional representation
D) runoff elections
E) multimember district elections
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19) A method of voting in which voters have a number of votes equal to the number of seats
being filled, and voters may cast their votes all for one candidate or split them among
candidates in various combinations, is known as
A) proportional voting
B) cumulative voting
C) Australian ballot
D) selective voting
20) A public school sanctioned by a specific agreement that allows the program to operate
outside the usual rules and regulations, is known as
A) special school district
B) charter school
C) home school
D) honor school
E) auxiliary school
1) Most Texas cities are in home-rule counties.
2) Harris county has more people than 24 other states.
3) The entire commissioner's court is up for election every two years.
4) Some counties no longer have a county auditor because the duties overlapped with those of
the treasurer, and so the two were combined into the treasurer's position.
5) Cities with fewer than 5,000 residents are general-law cities.
6) City commission governments have city managers.
7) Strong mayor-council city governments do not hire city managers.
8) The issue of annexation has caused very little political controversy.
9) In 1999, amendments adopted to the 1998 Texas Municipal Annexation Act granted county
governments the power of annexation.
10) Most cities in Texas still have at large elections.
1) Discuss the reasons behind the adoption of home rule and explain how home rule cities differ
from general law cities.
2) Discuss the authority and functions of county government.
338
3) Briefly explain the roles of at least five county officers.
4) How do special districts differ from county governments?
5) home rule cities and general law cities
6) city governments and county governments
7) weak mayor-council and strong mayor-council
8) council-manager and city commission
9) school districts and water districts
10) Why did the Texas legislature create home-rule cities? How do home-rule cities operate
differently than general-law cities? Is home rule a good idea?
339
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CHAPTER 18
THE TEXAS LEGISLATURE
Back in 1866 Mark Twain said, “No man’s life, liberty, or property is safe while the legislature is
in session.” The same is often said every two years of the Texas legislature when it is gaveled
into session in Austin in January of odd-numbered years for a 140-day regular session.
A part-time body whose members are paid $7,200 a year for their services, this so-called
“citizens legislature” was conceived for a rural state in 1875 by Texans angry over heavy-handed
Reconstruction rule by carpetbagger radical Republicans from the North. Those angry Texans
eviscerated the governorship and met their desire for a weak legislature in the Constitution of
1876 so as never to suffer a powerful government over them again.
Some would say that their efforts were quite fruitful if, indeed, the goal was to create a
government of inefficiency in general and control by the wealthy elite in particular. The Texas
legislature reflects the Old South concept of protection of the wealthy landholder. Once
controlled solely by conservative Democrats, the institution in now run by conservative
Republicans, both groups often taking their direction from powerful special interest groups that
serve as the institutional memory for the body every two years.
The dominance of the Republican Party in Texas from a minority party to the majority party is
illustrated in changes in the Texas legislature. The legislature is not structured along
minority/majority party lines because of the post-Reconstruction dominance of the Democratic
Party. There was no need to organize the legislature by party membership because the vast
majority of the membership was Democratic. Today, both the Texas House of Representatives
and the Texas Senate are led and dominated by Republicans.
This chapter is designed to introduce you to understand the history, structure, purpose, activities
and decision-making process of the Texas legislature. The main topic headings for this chapter
are:
• Roots of the Legislative Branch

• The State Constitution and the Legislative Branch of Government
• Who Are the Members of the Legislature and How Do They Represent the
Public?
• How Is the Texas Legislature Organized?
• How Does the Legislature Make Laws and Budget?
• How Do Legislators Make Decisions?
• The Legislature and the Governor
• Toward Reform: The Public and the Legislature
ideas, dates, facts, events, people, etc. are more difficult to pull
341
from the narrative. (Keep in mind that studying for objective tests is different
from studying for essay tests. See the Study Guide section on test taking for hints on
study skills.)
following:
• what earlier Texas legislatures were like: the historical and constitutional roots of
the legislative branch, its evolution from its roots in Mexico to its contemporary
structure
• the provisions of the Texas Constitution that define and limit the legislative
branch of government, indicating how the state constitution affects legislators and
their performance
• influences on the makeup of the legislative membership and characteristics of the
membership, including electoral, personal, and political variables
• how legislative leadership and opposition are organized and how they operate
• the process of passing laws and budgets and the rules and procedures for moving
those processes forward, including the stages of the legislative and budgeting process
• forces influencing legislators in the decision making, the interactions among
legislators and between outside actors and legislators
• the formal and informal powers of the governor in the legislative process and how
the governor influences legislators
• new reforms of the Texas legislative process
"Otto Craddick"—
attempt to strip Tom Craddick of the speakership—
Democratic electoral gains in 2006—
Craddick wins and punishes opponents—
Speaker Craddick likened to a dictator—
2007 session limps to a close—
Craddick D's—
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constitutional amendments—
redistrict—
impeach—
Roots of the Legislative Branch
predecessors to the Texas legislature—
bicameral Congress under the Constitution of the Republic of Texas—
1st Legislature of the State of Texas—
first legislature to meet under the Texas Constitution of 1876—
Texas legislatures historically have governed a society of mixed populations—
African American representation during and after Reconstruction—
white supremacists regain power over the legislature after

Reconstruction—
African Americans in Constitutional Convention 1875—
African American legislators from 1871-1872—
The State Constitution and the Legislative Branch of Government
bicameral Texas legislature—
size of Texas Senate—
size of Texas House—
bill must pass both houses—
responsibility of initiating action to raise revenue—
responsibility of approving gubernatorial nominations—
impeachment process—
Constitutional Provisions Affecting Legislators
Constitutional Requirements Affecting Texas Legislators (Table 18.1)—
343
Length of Terms:
length of terms for House—
length of terms for Senate—
staggered term—
Temporary Acting Legislators:
Article 16, section 72 amended—
replacement for active military service—
Compensation:
Texas legislative salaries compared to other states—
monthly salary—
per diem—
1974 constitutional amendment regarding legislative pay—
Ethics Commission and legislative pay—
Sessions of the Legislature
biennial legislature—
regular session—
special (called) session—
a "hybrid" legislature—
Texas in Comparison: Legislatures in the United States—
Who Are the Members of the Legislature and How Do They Represent the Public?
Variables Affecting Members’ Elections
two significant election variables in determining who the members of the

legislature are:
1)
2)
344
Redistricting:
single-member districts—
redistricting—
Timeline: Redistricting and the Texas Legislature—
census—
rural versus urban—
Legislature Redistricting Board created—
approximate size of Senate district after 2000 census—
approximate size of House district after 2000 census—
primary players in redistricting politics—
gerrymander—
1991 redistricting—
1993 redistricting—
1995 Republican lawsuit over House plan—
2001 legislative redistricting—
Legislative Redistricting Board—
courts’ influence on 2001 redistricting—
2001 legislature's failure to redistrict congressional lines—
federal lawsuits; US Supreme Court 2002 decision—
Republican controlled legislature changes congressional districts in 78th

Legislature—
Democratic walk-out—
Dewhurst and traditional calendaring rule——
2006 Supreme Court decision on the Republican revisions—
345
Join the Debate: Would Nonpartisan Redistricting Produce Better (or
Different) Results?—
Reelection Rates and Turnover of Membership:
in the early years of the legislature—
incumbents—
turnover rates—
reelection rates after redistricting—
average tenure of incumbents in Texas legislature in 2007—
term limits—
Personal and Political Characteristics of Members
Texas House Membership, 1979-2009 (Figure 18.1)—
Texas Senate Membership, 1979-2009 (Figure 18.2)—
Occupation, Education, and Religion:
2007, percentage of businesspersons and attorneys—
possible reasons for continued domination of businesspersons and lawyers

—
results of increasing number of Republicans—
2007, education characteristics—
religion characteristics from 1970s to 1990s—
Gender, Race, and Age:
historically male—
current trend—
percentage of women and minorities—
2009 Texas House membership—
age characteristics—
2007 average age of House and Senate—
346
Political Party:
past dominance of Democratic Party—
contemporary dominance of Republican Party—
reversal of trend in 2006 and 2008—
Ideology:
four kinds of ideology useful in analyzing legislative voting

patterns in Texas (see chapter 20)—
voting patterns for populism and libertarianism—
Analyzing Visuals: Ideological Voting Patterns in the Texas House of

Representatives—
Ideology and Partisanship:
distinct difference between legislative Democrats and

Republicans—
partisan differences more evident—
party outliers over the past few sessions—
old system of bipartisan conservative dominance supplanted—
How Is the Texas Legislature Organized?
the key organization units in the Texas Legislature—
Leaders
president of the Texas Senate—
president pro-tempore (pro-tem)—
Speaker of the House—
Speaker pro tem—
Committees
committee—
347
Types of Legislative Committees (Table 18.2)—
standing committees—
ad hoc and permanent subcommittees—
Legislative Committees of the 80th Legislature, 2007-2008 (Table 18.3)—
House and Senate membership on committees—
power of Lieutenant Governor and Speaker to appoint members to

committees—
seniority—
who appoints subcommittee members and chairs?—
committee work—
“dog and pony shows”—
Glossary of Legislative Lingo (Table 18.4)—
Organizing for Power and Influence in the Legislature
role of parties in the Congress, most legislatures, and in the Texas legislature—
in the absence of parties—
legislature party caucus—
1980s and the first party caucuses—
strong party system antithetical to strong Speakers and Lieutenant Governors—
Leadership and Opposition in the House
custom in the 1800s and by the middle of the twentieth century for
Speakers’ terms—
Gus Mutscher—
Sharpstown scandal—
House votes publically for a Speaker—
result of open balloting for Speakerships—
Tom Craddick—
348
the Speaker in 2009—
The Speaker’s Race:
Speaker’s race—
pledge cards—
fundraising—
quasi-party organization—
2003 investigation by Travis County District Attorney Ronnie Earle of

campaign activities of several individuals and groups—
indictment of U.S. House Majority Leader Tom DeLay—
Texas House Speaker’s race never ends—
Speaker’s lieutenants—
Speaker’s team—
when a Speaker retires—
House Leadership and the Political Parties:
control of House before 2003—
the parties and the Speakers’ races—
conservative Democratic faction—
House Democratic leaders supported bipartisanship and rejected attempts

at party caucuses—
Speaker Laney—
The Speaker’s Influence over Committees:
Speaker’s ability to stack important committees from controlling faction—
historically, no restraints on speaker’s power to assign committee

membership—
assignments as rewards and punishment—
1970s limited reform—
349
before and after the reforms—
House Opposition and Political Parties:
not along party lines traditionally—
party caucuses considered polarizing—
House Republican Caucus—
bipartisan committee leadership—
Organizing in the House Through Nonparty Caucuses:
nonparty legislative caucus—
in the absence of strong parties—
nonparty caucuses as opposition vehicles—
nonparty caucuses in 2007—
House Study Group—
House Research Organization—
Texas Conservative Coalition—
Texas Conservative Coalition Research Institute—
Legislative Study Group—
Leadership and Opposition in the Senate
constitution on the lieutenant governor—
1999 amendment requiring election of lieutenant governor from within

Senate if vacancy in Senate presidency—
Rick Perry and Bill Ratliff—
David Dewhurst—
The Role of the Lieutenant Governor:
Texas lieutenant governorship versus other states’ lieutenant

governorships—
350
powers of the Texas lieutenant governor—
Texas Senate writes its own rules and the powers its written historically
for the lieutenant governor—
in the absence of a majority party leader in the Texas Senate—
Coalition Building in the Senate:
how leadership and opposition are typically organized in the

Texas Senate and why—
responsibilities of lieutenant governor—
partisanship in the Senate—
first Republican lieutenant governor in the twentieth century—
Rick Perry—
appointments by party affiliation in 2005 and 2007—
why a lieutenant governor of one party will appoint members of

the opposition party to chair committees and subcommittees—
conservative faction—
recent manifestation of this leadership faction—
result of near disappearance of conservative Democrats—
liberal Democrats—
Senate two-thirds rule—
How Does the Legislature Make Laws and Budgets?
legislative process—
What Is a Bill? What Is a Resolution?
resolutions—
statute—
bill—
joint resolution—
351
simple resolution—
concurrent resolution—
Rules, Procedures, and Internal Government
what the rules adopted by House and Senate reflect—
housekeeping resolutions—
How a Bill Becomes a Law
reading a bill—
filing and clerk assigning a number—
Basic Steps in the Texas Legislative Process (Figure 18.3)—
bills in committee—
committee chair decides—
public hearings—
formal meetings—
referral to subcommittee—
reported from subcommittee—
House and Senate diverge on what happens after committee—
The House Calendars Committee:
Calendars Committee—
1993 changes in Calendar Committee’s operation—
advance posting; public vote on placing on calendar—
circumventing this requirement—
The Senate Calendaring Function
Senate Administration Committee—
Local and Uncontested Calendar—
Senate two-thirds rule—
352
notice of intent—
intent calendar—
bottleneck bill—
vote to suspend the rule on regular order of business—
method by which the Senate assures deliberation and

compromise—
two-thirds rule—
1979 Killer Bees—
2003 and the congressional redistricting bill—
Dewhurst, two-thirds rule “merely a Senate ‘tradition’”—
John Whitmire—
The Bill Reaches the Floor:
“floor”—
quorum—
housekeeping measures—
first reading—
third reading—
second reading—
process in the Senate—
filibuster—
germane—
engrossed bill—
Two Bill Into One: The Final Stages:
Texas Constitution requires that a bill must be adopted by both

houses in exactly the same form—
353
concur or not concur—
conference committees—
enrolled bill—
The Budgeting Process
biennial budget—
complex budgeting process—
1931, legislature designates Governor state’s chief budget officer while giving
State Board of Control responsibility to prepare the budget—
1951, Governor Shivers moves budget function into governor’s office—
1951 Legislative Budget Board (LBB) implemented—
legislature ignores governor’s proposed budget in favor of LBB’s budget

proposals—
LBB and Governor's Budget Office hold joint hearings before regular session
begins—
LBB and Governor’s Budget Office each prepare separate budget proposal—
balanced budget—
deficit spending—
debt—
additional constitutional spending limit adopted in Texas—
growth of Texas economy for 2008-2009—
budget execution authority—
How Do Legislators Make Decisions?
legislators interact with various entities in making decisions on how to

vote—
back scratching and logrolling—
Growth of Legislative Staff
states with significant party staff capabilities—
354
party caucuses in the Texas Legislature—
staff roles—
individual, institutional, and group staffing—
current staffing in Texas legislature—
Staffing for Technical Assistance, Specialized Information, and

Political Assistance
Legislative Council—
Legislative Budget Board (LBB)—
staffing issues of the 1960s and 1970s—
committee staff—
typical legislative staff for House and Senate and their duties—
Relations with Lobbyists
open government measures—
2007, number of lobbyists registered with Texas Ethics Commission—
lobbyists' work on behalf of their group—
in trying to persuade legislators—
lobbyists as information source—
perceived competition for lobbyists—
The Ethics of Lobbying
Frank Sharp and Sharpstown scandal—
Brilab—
“Bo” Pilgrim—
Speaker Gib Lewis misdemeanor convictions—
lobbying activities and election and campaign activities—
symbiotic relationship of lobbyists-legislators in campaign finance—
355
The Legislature and the Governor
Texas governors' power in dealing with legislature—
emergency declaration—
governor and special sessions—
length and agenda of special sessions—
governor's choices on action regarding bills at the end of the legislative

process (including vetoes)—
when and if legislature can override veto—
Toward Reform: The Public and the Legislature
challenges to Tom Craddick's speakership—
Speaker Pete Laney's unsuccessful effort for campaign finance reform—
stirring public interest in reform—
voting procedures and nonrecorded votes—
2007 passage of HJR 19—
proponents and opponents of constitutional rule requiring a record vote on final

passage of a measure—
"ghost voting"—
YouTube video triggering public response to legislative practice—
1) Select a bill and track its progress through the legislature. Explain why the bill was
successful or unsuccessful. (Information regarding past and current bills can be accessed
at the Senate’s and the House of Representative’s Web sites. For further information on
these Web sites, see the Web Sites section for this chapter.)
2) Although Anglos have dominated the membership of the Texas legislature, the legislature
has become more ethnically and racially diverse and the trend continues. Do you think
this change in the demographics of the legislature’s membership will affect the type of
legislation produced by the legislature, especially around matters concerning minorities?
356
3) If you wanted to be elected Speaker of the Texas House in the next legislative session,
how would you run your “speaker’s race”? How does your campaign plan compare to the
speakers race for the 81st legislative session which began in January 2009?
4) Examine the role of the lieutenant governor of Texas as president of the Texas Senate.
Compare his powers as president of the Senate to the powers of the vice president of the
United States as president of the U.S. Senate. Why are the lieutenant governor’s powers
over the Texas Senate so significantly greater than those of the vice president’s over the
U.S. Senate?
5) Examine the role of campaign finance as an influence over the decision-making process
of Texas legislators. Why and how are lobbyists so powerful and influential over the
legislative process in Texas that they are called often the “fourth branch” of Texas
government? Who are some of the most significant lobbyists in Austin? Are they former
members of the legislature or former key staff members?
Web Sites
The Texas House of Representatives maintains a Web site that provides information about
bills, committees, members, and more.
www.house.state.tx.us
The Texas Senate maintains a Web site that provides information about bills, committees,
members, and more.
www.senate.state.tx.us
Texas Legislature Online is a Web site that provides users with legislative information and
resources as well as links to the Web sites of agencies associated with the Texas legislature, such
as the Texas Legislative Council and the Legislative Budget Board.
www.capitol.state.tx.us
Texas Legislative Council provides the Texas legislature and legislative agencies with bill
drafting and research services. They also provide Texas’s state agencies with information.
www.tlc.state.tx.us
Texas Legislative Reference Library provides research and reference assistance to the Texas
legislature, other state agencies, and the public.
www.lrl.state.tx.us/library/about.html
The Texas Ethics Commission hosts a searchable data base of lobbyists registered to work to
influence the Texas legislature.
www.ethics.state.tx.us/dfs/loblists.htm
The Texas Ethics Commission also hosts a page on its Web site with information on lobbying
in Texas and Texas law regarding lobbying.
www.ethics.state.tx.us/guides/LOBBY%20guide.htm
357
Texans for Public Justice has prepared a report entitled “Austin’s Oldest Profession: Texas’
Top Lobby Clients & Those Who Service Them,” a scathing examination on the tremendous
influence big-money lobbyists have over the Texas legislature.
www.tpj.org/reports/lobby02/index.html
Practice Tests
1) The Texas House of Representatives consists of ________ representatives.

A) 31
B) 75
C) 100
D) 150
E) 435
2) The Texas legislature typically meets

A) once a year.
B) twice a year.
C) once every 2 years.
D) once every 3 years.
E) continuously.
3) Turnover for legislative seats in elections before redistricting is usually ___. After
redistricting, turnover is usually ___.
A) Low ... high
B) High ... low
C) Low ... also low
D) High ... also high
E) High ... low or high, depending on how difficult redistricting was
4) The Texas Senate consists of ________ senators.

A) 25
B) 31
C) 50
D) 100
E) 315
5) Who is allowed to call a special session of the legislature?

A) The governor
B) The Speaker
C) The lieutenant governor
D) The majority leaders
E) All of the above
358
6) Texas law requires redistricting every how many years?
A) 5
B) 10
C) 15
D) 20
E) 25
7) Which religious groups have the biggest membership in the legislature?

A) Catholics
B) Baptists
C) Methodists
D) Episcopal
E) Other Evangelical groups
8) The president of the Senate is the

A) President pro tempore
B) Speaker
C) Majority Leader
D) Minority Leader
E) Lieutenant Governor
9) Interim committees meet

A) To focus on legislation
B) On a permanent basis
C) To focus on rules and administrative procedures
D) Between sessions of Congress
E) All of the above
10) What is the key organizational unit in the Texas legislature?

A) Committees
B) Party
C) Caucuses
D) Coalitions
E) Sub-committees
11) What does the expression "That dog won't hunt" mean in Texas politics?
A) It expresses a disbelief in another person's argument
B) It expresses a lack of faith in a person's convictions
C) It expresses a lack of political power
D) It states that something is a "non-issue"
E) It could mean anything; Texans talk funny.
12) Which resolution sets office budgets, policies for employees, administrative authority of the
leadership, and the governing of caucuses?
A) Joint
B) Concurrent
C) Housekeeping
D) Simple
E) Standing
359
13) A resolution that passes through and is binding on one chamber only is what kind of
resolution?
A) Concurrent
B) Joint
C) Simple
D) Ad hoc
E) Housekeeping
14) Within the Texas legislature, the substantive floor debate on a bill occurs on its ________
reading.
A) first
B) second
C) third
D) fourth
E) terminal
15) In Texas, the purpose of a filibuster is to

A) suspend the regular order of business, so that a bill may be voted on.
B) activate the regular order of business, so that a bill may be voted on.
C) pass a bill by requiring that a quorum vote on it.
D) kill a bill by refusing to allow a vote on it.
E) get a bill out of committee.
16) What kind of bill is given final approval on the 3rd reading in the chamber where the bill
originated?
A) Simple
B) Engrossed
C) Enrolled
D) Enlisted
E) Enabled
17) Which of the following is not a job of the legislative staff?

A) Provide constituent services
B) Provide Administrative Support
C) Draft Legislation
D) Negotiate with lobbyists
E) Propose legislation in the absence of a representative
18) Which of the following is a joint legislative committee that provides legal advice, bill
drafting, program evaluation and other services to members of the Texas legislature?
A) Legislative Budget Board (LBB)
B) Calendars Committee
C) Legislative Council
D) Office of the Lieutenant Governor
360
19) The legislative council does all but which of the following?
A) Maintains a large year-round staff to provide legal advice
B) Drafts bills
C) Conducts policy studies
D) Manage the computer systems
E) The council is responsible for all of the above
20) Which of the following questionable lobbying practices--or results of such practices--did not
happen in Texas?
A) A Speaker was netted in a "sting" operation conducted by the federal government
B) Lobbyists spent "outlandish" sums of money "wining and dining" legislators
C) A chicken magnate handed out checks to Senators on the Senate floor
D) Legislators created privately funded "officeholder accounts"
E) All of the above did happen in Texas
1) Texas legislators are among the highest paid in the nation.
2) Many states have strong partisan staff to assist legislators. Texas does not.
3) The length of term for a Texas Senator is six-years and for a Texas House member is two-
years.
4) Legislators are chosen in multimember districts.
5) There are no term limits on Texas representatives and senators.
6) The number of women and minorities in the Texas legislature has increased in recent decades
and now approximates their proportions in the general population.
7) The party has become less dominant in the House in recent years.
8) Though ostensibly a public matter, in truth most decisions to hear a bill are conducted behind
the scenes.
9) The Killer Bees prevented a change in the Texas primary process in 2003.
10) A quorum is the minimum number of votes a bill needs to pass the Senate.
1) Discuss the causes of the redistricting crisis in Texas in 2003.
2) Briefly discuss how the personal and political characteristics of members of the Texas
legislature have changed during the last thirty years.
3) What are the powers of the speaker of the House?
361
4) List the differences between a bill and a resolution. Discuss the three different types of
resolutions.
5) What is the Legislative Council and what services does the Council provide members of the
legislature?
6) Rules in the House of Representatives and the Senate
7) Leaders in the House of Representatives and the Senate
8) Special session and regular session
9) A joint resolution, a simple resolution, and a concurrent resolution
10) First reading, second reading, and third reading
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CHAPTER 19
THE GOVERNOR AND BUREACURACY IN TEXAS
When George W. Bush campaigned for the presidency in 2000, he often touted his record of
executive leadership as Governor of Texas, laying claim to improving education, cutting taxes,
and increasing important state services. To put it charitably, he was stretching the truth. Of
course, politicians on the stump are wont to stretch facts egregiously if not caught, and few
caught Mr. Bush’s big ones. He got away with the exaggerations because few folks understand
that Texas’s governor is not a true chief executive, responsible for managing the ship of state, but
is instead just one among many in the Texas plural executive model. And his actual powers over
the legislature are weak as well. Too bad for Al Gore back in 2000 that he had not studied Texas
government as you are now doing.
This chapter examines Texas’s plural executive form of government. The strong executive or
single-executive model exists on the federal level, while the Texas Constitution of 1876
constructs a plural or weak executive model. Power in the executive branch is divided among
elected officials, appointed officials, and more than 100 executive boards and commissions.
Texans, angered by the iron hand of the Republican Reconstruction administration of E.J. Davis,
took the Texas governorship and placed it under the mallet of the Texas Constitution of 1876,
smashing it as one might smash a ripe tomato, spreading its power about as far as fruit of the
tomato would splatter.
While the Texas governorship is not without power and certainly not without prestige, it is,
nevertheless one of the weakest governorships in the nation. Yet, candidates spend millions
every four years to win the office. This chapter will examine why, and what the governor really
can do, despite what the candidates are willing to tell you.
This chapter is designed to introduce you to the executive branch of Texas government. The
main topic headings for this chapter are:
• Roots of the Executive Branch in Texas

• The Constitutional Roles of the Governor
• The Development of Gubernatorial Power
• The Governor as Policy Maker and Political Leader
• The Plural Executive in Texas
• Modern Texas Bureaucracy
• Making Agencies Accountable
• Toward Reform: Gubernatorial and Executive Power
ideas, dates, facts, events, people, etc. are more difficult to pull
from the narrative. (Keep in mind that studying for objective tests is different
from studying for essay tests. See the Study Guide section on test taking for hints on
study skills.)
363
following:
• roots of the executive branch of government in Texas: how the Texas

governorship and division of executive authority developed
• the constitutional roles of the governor, particularly those of chief of state, chief
executive, and commander in chief
• the development of gubernatorial power, the powers of the Texas governor in
political roles, and the Texas governor’s powers compared to the powers of other
states’ governors
• the governor's role as policy maker and political leader, and how Texas governors
achieve policy goals through use of political and personal skills
• the plural executive, the elected officials of the plural executive, and their duties
• the structure of the modern Texas bureaucracy, its organization, and operations
• how state agencies are held accountable by the legislature and the governor
• efforts for reform of gubernatorial and executive power
Governor Rick Perry and his executive order regarding Gardasil injections
against human papillomavirus (HPV)—
supporters and opponents to Perry's position—
Perry's connection to the drug's manufacturer—
issue of gubernatorial power over executive agencies—
plural executive—
Roots of the Executive Branch in Texas
Governador de Tejas—
the governor and executive council of Coahuila y Tejas after the Mexican
Revolution—
364
From President of the Lone Star Republic to Governor of Texas
chief executive of the Republic of Texas—
cabinet—
governorship and powers after Texas joined the United States—
the governor under successive Texas constitutions—
effects of Constitution of 1876 on governor—
how many governors of Texas under this constitution?—
Texas Governors, 1876-2009 (Table 19.1)—
Terms of Office
state constitution and governorship—
Length and Number of Terms:
established as two-year term in 1876, then four-year effective in 1974—
no term limit—
service of various governors—
Rick Perry’s record—
Salary:
set in constitution—
amended in 1954—
legislature sets governor’s salary—
2006 and 2009 salary—
Texas governor’s salary in national ranking—
Impeachment:
Jim Ferguson—
Miriam Ferguson—
365
Succession:
constitution provides for succession—
1999 constitutional amendment—
five lieutenant governors succeeded to governorship—
The Constitutional Roles of the Governor
Who was Sam Houston? (see picture and caption, page 555)—
chief of state—
chief executive officer—
commander in chief—
Article 4, section 9 of the Texas Constitution—
chief budget officer—
Article 5, section 28—
Article 4, section 11—
clemency—
Board of Pardons and Paroles—
governor’s message to the legislature—
veto
threat of veto—
The Development of Gubernatorial Power
Texas governor's powers compared to other states' governors—
Characteristics of Gubernatorial Power
scale to measure the power of governors—
four variables on the scale—
where strong governors are found in U.S.—
366
Restriction of Governors’ Powers
distrust of government and governors in the eighteenth and nineteenth centuries—
Jacksonian era—
reaction to Reconstruction—
governor under 1869 constitution—
E. J. Davis—
anti-administration legislature and new constitution—
desire to punish Davis and constrain future governors—
Comparing the Texas Governor with Other Governors
differences among the fifty governors—
cabinet system—
plural executive in Texas—
Join the Debate: Should the Texas Governor Have a Cabinet?—
Texas tied for the weakest state governors—
Powers of the Texas Governor Compared to Other Governors (Table 19.2)—
factors in the political arena that allow governors to amass and exercise more
strength—
personal power of governors—
The Governor’s Power to Appoint Executive Officials
appointment of agency heads—
State Agency Heads Appointed by the Governor (Table 19.3)—
appointments to boards, commissions and advisory panels—
1993 court case and designation by legislature of appointment power—
Texas Senate approval of governor’s appointments—
vote requirement for U.S. Senate confirmation of presidential appointments; vote

requirement for Texas Senate confirmation of gubernatorial appointments—
367
senatorial courtesy—
analysis of appointees reveals that governors tend to appoint these types of

people—
overrepresentation and underrepresentation—
overrepresentation—
underrepresentation—
patterns of gubernatorial appointments—
role of campaign donations in appointments by governor—
campaign contributions from individuals and groups—
The Power of Staff and Budget
broad responsibility of governor’s staff—
affect of preferences of each governor on staff—
growth of Texas executive branch and governor’s staff since the 1950s—
Office of the Governor—
budget for staff, housing, and other activities—
The Governor as Policy Maker and Political Leader
wielding political power—
“Chief Persuader of Texas”—
where the political leadership that a governor provides flows from—
Analyzing Visuals: Ideology and Governors—
how electoral linkages help the governor—
Public-Opinion Leadership
media relations efforts—
news conferences—
368
Relationship with the Legislature
various tools used by the governor—
state of the state message—
emergency proclamations—
special sessions of the legislature—
veto power—
The Living Constitution: Article 4, section 14—
pocket veto—
“Father’s Day Massacre”—
when most bills are passed in the legislature—
when most vetoes occur—
override of veto—
line-item veto—
why the line-item veto can be such a powerful weapon for the governor—
riders—
Executive Orders
Texas governors use executive orders primarily for this purpose—
Section 418.012 of the Government Code—
only area where government has strong constitutional and statutory

footing to order action by other executive officials—
areas where executive order have weaker legal footing—
Bill Clement’s Executive Order WPC-1—
Ann Richards’ Executive Order 92-1—
Rick Perry's Executive Order RP-65—
369
The Plural Executive in Texas
many Texas state executive agency heads elected directly by the people of
Texas—
other states—
"governors-in-waiting"—
Attorney General
attorney general—
chief civil council to state government—
why attorney general is independent of the governor—
duties as chief counsel to state agencies—
little authority in criminal law—
other responsibilities as civil council for the state—
Deceptive Trade Practices Act—
Hopwood v. Texas (5th Cir. 1996)—
advisory opinions—
Attorney General’s Opinions—
Jim Mattox—
Dan Morales—
John Cornyn—
Greg Abbott—
Comptroller of Public Accounts
comptroller—
chief tax collector for Texas—
subsumed Texas Treasure’s duties in 1996—
money manager—
370
revenue-forecasting function—
Carole Keeton Strayhorn—
Susan Combs—
Land Commissioner
land commissioner—
reason it is so important in Texas—
established by Republic of Texas—
1845 terms of annexation to the U.S. and significance to land

commissioner’s office—
oil leases and revenue—
fund for schools and universities—
Veterans Land Program—
David Dewhurst—
Jerry Patterson—
Agriculture Commissioner
agriculture commissioner—
created by legislature—
responsibilities of commissioner; role of the Texas Department of

Agriculture—
weights and measures—
pest control regulations—
Jim Hightower and his new programs—
Rick Perry—
Susan Combs—
Todd Staples—
371
Railroad Commissioners
three elected railroad commissioners—
terms of office—
staggered terms—
Texas Railroad Commission—
history of railroad commission—
oil and gas industry regulation—
regulation of trucking and mining—
captive of the industry—
Republicans since 1994—
commission as of 2009—
State Board of Education
State Board of Education (SBOE)—
state education policy regulated by 15 member board—
Texas Education Agency—
appointment of commissioner—
religious conservatives and the State Board of Education—
Modern Texas Bureaucracy
implementation and execution—
legislatures make policy, bureaucracies implement it—
rule making—
regulation and provision of services and products—
filling out the details—
Administrative Procedures Act—
why legislatures create executive agencies—
372
how legislatures determine the organization of agencies—
two basic patterns of how Texas executive agencies are organized:
1)
2)
Texas State Agencies Organizational Leadership Schemas (Figure 19.1)—
State Agency Heads Appointed by the Governor (Table 19.3)—
Secretary of State
Texas secretary of state—
keeper of state records—
Texas Register—
chief elections officer—
office often used as a political base to run for office—
Rick Perry’s secretaries of state—
Esperanza “Hope” Andrade—
Public Utility Commissioners
PUC—
terms and method of selection—
quasi-judicial—
early history of PUC—
1995 changes to PUC—
1997 changes to PUC—
current duties of PUC—
ERCOT—
373
Texas Commission on Environmental Quality
Texas Natural Resource Conservation Commission (TNRCC)—
Texas Commission on Environmental Quality (TCEQ)—
quasi-judicial and policy roles—
lightning rod for conflicts between groups—
legislature reduction of TCEQ authority—
1995 “property rights” law—
1999 bill to abolish contested case hearings—
agency must now consider environment impacts but cumulative impacts—
Insurance Commissioner
State Board of Insurance—
insurance commission—
Department of Insurance—
selection of commissioner and level of independence—
job of insurance commissioner in Texas—
homeowners’ insurance premiums between 1997 and 2002—
2003, insurance commissioner authorized to force insurance companies to lower

homeowner’s policy rates and insurance companies fought in court—
2004 Farmers Insurance agreement—
Health and Human Services Commission
administered by numerous state agencies—
1991 call for consolidation—
2003 complete reorganization of health and human services agencies by

the legislature—
Health and Human Services Commission—
executive commissioner of health and human services—
374
four departments of HHSC—
1)
2)
3)
4)
Public Counsels
captured agencies—
public counsels—
Boards and Commissions
boards and commissions system of government—
operations—
process of appointment—
six years, staggered—
governor’s power (or lack of power) over boards and commissions—
governor may appoint but cannot independently remove appointments—
Making Agencies Accountable
legislatures may delegate authority—
oversight duty of legislature—
The Sunset Process
sunset law—
Sunset Advisory Commission—
membership of commission—
operation of commission—
good government—
375
agencies eliminated by sunset—
Staff Size and Pay
growth of state and local governments—
attempts to cut state workforce—
full-time equivalent workers—
number of Texas state workers in 2005—
pay scales—
top and bottom of pay scale—
Regulating the Revolving Door
revolving door—
regulators turned lobbyists—
arguments by industry and many agency officials for such exchanges—
critics charges regarding the system—
efforts to “lock” the revolving door—
Regulating the Relationship Between Agencies and Private Interests
executive agencies’ role in implementation and making of policy—
Texas Residential Construction Commission (TRCC) as example of

closeness to industry it regulates—
“lemon law” for home building in 2003—
critics blast agency for blocking consumer complaints—
2007 changes to strengthen agency; consumer critics arguments against

legislature and agency—
iron triangle—
factors lending strength to iron triangle model in Texas—
how agencies support industry over consumers—
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Toward Reform: Gubernatorial and Executive Power
executive branch reorganization in the 1990s—
reform and the issue of gubernatorial vetoes—
2007 and HJR 59—
1) Several of the constitutional revision efforts addressed in the chapter on the Texas
Constitution involved reforms aimed at the executive branch. How would you reform the
Texas executive branch and why?
2) The first Sunset Commission strongly supported the idea of good government. Select two
agencies and evaluate their performance according to the standards outlined by the first
Sunset Commission.
3) Compare Governor Bill Clements and Governor Mark White in terms of their ability to
exercise public-opinion leadership. Which governor do you think was more successful in
his use of this power and why? How do they compare to the gubernatorial effectiveness
of George W. Bush and Rick Perry?
4) Article 4, section 9, of the Texas Constitution requires the governor to deliver governor’s
messages to the legislature. The messages emphasize policy goals, budget priorities, and
more. How does the importance of this speech compare to the president's state of the
union address? Does it have the same impact over its constituency? Does it receive the
same degree of media coverage? Does it have the same "bully pulpit" effect as the
president's address to Congress? Write the outline of the speech you would deliver to the
legislature if you were governor.
5) There are several elected offices in the executive branch. Select one of the offices (except
that of governor) and explain why you would want to be elected to that office, why you
think it would be more significant than being governor, and what you would do if you
were elected.
Web Sites
The Web site of the Texas Governor offers users information about the governor’s
legislative priorities and information about divisions in the executive branch.
www.governor.state.tx.us
The Web site for the office of Lieutenant Governor David Dewhurst.
www.ltgov.state.tx.us
377
The Texas Library and Archives Commission Web site offers users a comprehensive list
of links to Web sites for Texas agencies and commissions.
www2.tsl.state.tx.us/trail/agencies.jsp
Texas Legislature Online provides a gateway to the executive, legislative, and judicial state
agencies.
www.capitol.state.tx.us/
The Texas Attorney General’s Office online.

www.oag.state.tx.us
Window on State Government is the Web site for the Texas Comptroller of Public
Accounts, Susan Combs, and features state budget projects and other significant information
about the Texas budget.
www.window.state.tx.us
The Texas Register, the bulletin of Texas administrative rule making, is published and
maintained online by the Texas Secretary of State.
www.sos.state.tx.us/texreg/index.shtml
Practice Tests
1) Which of the following gubernatorial roles is not in the constitution?

A) Chief of State
B) Chief Executive Officer
C) Commander in Chief
D) Chief Budget Officer
E) All of the above are in the constitution
2) No governor had served more than two terms before what year?
A) 1910
B) 1920
C) 1930
D) 1940
E) 1950
3) Who was the first governor to win back-to-back four year terms?
A) Ann Richards
B) George Bush
C) Rick Perry
D) Bill Clements
E) Coke Stevenson
378
4) The governor holds all but which of the following positions?
A) Chief of State
B) Chief Executive Officer
C) Commander in Chief
D) Chief Budget Officer
E) All of the above are roles of the governor
5) Which of the following does not apply to the "governor's messages?"

A) They are delivered to the legislature
B) They pronounce policy goals
C) They set budget priorities
D) They provide authorizations for the legislature to act
E) They do all of the above
6) Appointments by Texas governors tend to overly represent

A) Hispanic males.
B) Anglo males and females.
C) African Americans.
D) Anglos and males.
7) Based on an analysis of votes cast (see "Analyzing Visuals" in this chapter of your text), the
last populist governor of Texas was
A) George W. Bush
B) Mark White
C) Bill Clements
D) Ann Richards
E) Jimmie Allred
8) Rick Perry's numerous vetoes following the 2001 legislative session became known as
A) Perry's VJ-Day.
B) D-Day.
C) the Father's Day Massacre.
D) The Insult.
E) The Assault.
9) Following the 2001 legislative session, Governor Perry set a record by vetoing
A) zero bills.
B) only one bill.
C) 78 bills.
D) 1,000 bills.
E) all but one bill.
10) Which executive position/agency represents most other agencies in litigation regardless of
which side they are on?
A) Secretary of State
B) Lieutenant Governor
C) Governor
D) Attorney General
E) Speaker of the House
379
11) Who is the only statewide elected official whose job was created by the legislature instead of
the constitution?
A) Lending Commissioner
B) Railroad Commissioner
C) Attorney General
D) Agriculture Commissioner
E) Comptroller of Public Accounts
12) Elections for _______ are on a staggered basis.

A) agricultural commissioner
B) railroad commissioners
C) land commissioners
D) insurance commissioners
13) Public education in Texas is governed by all but which of the following?
A) State Board of Education
B) Texas Education Agency
C) Texas Parent Teacher Association
D) Commissioner of Education
E) Local and regional entities
14) Which of the following is not one of the only paid, full-time boards/commissions in Texas?
A) Public Utility Commission
B) Texas Commission on Environmental Quality
C) Board of Pardons and Paroles
D) Texas Workforce Commission
E) Executive Commission on Health and Human Services
15) Which agency is the full-time, paid, three member agency appointed by the governor to
regulate telephone and electric service in Texas?
A) Railroad Commission
B) Public Utility Commission
C) Texas Commission on Environmental Quality
D) Texas Workforce Commission
E) Sunset Advisory Committee
16) In 2003, 12 Health and Human Service Agencies were merged into all but which of the
following departments?
A) Department of Family and Protective Services
B) Department of Assistive and Rehab Services
C) Department of Aging and Disability Services
D) Department of State Health Insurance Services
E) Department of State Health Services
380
17) Public counsels are designed to protect
A) the public's interest against corrupted legislators.
B) the public's interest against corrupted executive commissions.
C) regulatory agencies' interests against the public.
D) the public's interest against captured agencies.
E) bureaucrats against lawsuits by interest groups.
18) The state official appointed by the governor to be the keeper of the state’s records and the
state’s chief elections officer is the
A) secretary of state.
B) comptroller.
C) attorney general.
D) land commissioner.
19) Legislative oversight of executive agencies includes all but which of the following?
A) Review of expenditures
B) Review of rules and regulations
C) Legislative veto of rules and regulations
D) Performance reviews
E) Audits
20) Critics of the law that created the Texas Residential Construction Commission say
A) the legislation is a big boost to plaintiffs' attorneys.
B) the legislation helps home owners too much.
C) the legislation infringes on property rights.
D) the legislation should be expanded to cover household appliances.
E) the TRCC has been captured by homebuilders.
1) The Republic of Texas had a weak President when it joined the Union.
2) Sam Houston, hero, President, Senator, and Governor, was ousted for refusing to secede from
the US.
3) Gubernatorial appointments to the heads of various agencies do not always require Senate
confirmation.
4) When considering tenure and appointment power, the Texas governor is one of the strongest
governors in the United States.
5) Governors' appointees have tended to overrepresent Hispanics.
6) The speaker of the House succeeds the governor if the office becomes vacant midterm.
7) The line-item veto in Texas was eliminated in 1866.
8) Because Texas governors must rely on public opinion, one governor ran TV commercials in
support of an issue he/she supported.
381
9) The other elected officials in the executive branch do not have more authority than the
appointed ones, but they often have more political influence and the appearance of greater
legitimacy.
10) Texas has a separate commissioner to handle insurance matters.
1) What are executive orders and how have they been used by Texas governors?
2) What is the difference between a governor's role as chief of state and his or her role of chief
executive officer?
3) What are the important differences between the Texas governor and other governors?
4) Discuss overrepresentation and underrepresentation among the governors' appointees.
5) Explain the original goals of sunset and current criticism of sunset.
6) The powers of the Texas governor with that of other governors
7) Underrepresentation and overrepresentation in governors’ appointees
8) The governor as policy maker and political leader
9) Land Commissioner, agricultural commissioner, and railroad commissioner
10) Public counsels and executive agencies
382
CHAPTER 20
THE TEXAS JUDICIARY
You may never meet the governor. You may never shake hands with the Texas attorney general.
You might one day meet your state senator or representative. But it is probable, in fact, down
right likely, that one day you will meet a state judge in a Texas courtroom. Maybe for a traffic
ticket dismissal. Possibly for a child custody hearing or a divorce proceeding or a contested will .
You could end up as a witness in a civil trial or sit on a jury in a capital murder trial. But it is
likely that you will one day be in a Texas court. And if you watch local television news, you will
often be exposed to the trials of murderers, robbers, and frauds in state courts covered by local
reporter. Indeed, news media coverage of criminal and civil trials greatly exceeds the coverage
of the activities of the governor and state legislators.
The judicial is that branch of government that interprets the law and adjudicates disputes under
the law between individuals and the community (the criminal law) and between private
individuals or groups (the civil law). The Texas judicial system is divided into civil and criminal
approaches to the law. It is also divided into trial and appellate courts. It is a complex and
fascinating system for it reflects the passions and drives of human beings in conflict. Rather than
take your disputes to the streets, you can take them to court where the weapons are facts in
evidence as opposed to fists, guns, or knives.
This chapter is designed to introduce you to the legal system in the State of Texas. The main
topic headings for this chapter are:
• The Roots of the Texas Judiciary

• The Structure of the Texas Judiciary
• Judges and Judicial Selection
• The Judicial Process in Texas
• Toward Reform: Changing the Texas Judiciary
ideas, dates, facts, events, people, etc. are more difficult to pull from the narrative. (Keep in mind
that studying for objective tests is different from studying for essay tests. See the Study Guide
section on test taking for hints on study skills.)
383
following:
• the roots of the Texas judiciary, its structure and operation since the early 1800s
• the structure of the judiciary in modern Texas, including the various types of
courts and their jurisdictions
• judges and judicial selection in Texas—how judges settle disputes in Texas and
how they are chosen
• the judicial process in Texas and how criminal and civil cases are handled
• judicial reform in Texas, focusing on problems that affect the ability of the
judiciary to settle disputes fairly and impartially and on proposals for solving those
problems
2007 execution of Michael Richards—
Texas Court of Criminal Appeals—
Judge Sharon Keller—
policies speeding executions—
Jim Harrington—
emergency appeals—
how the judicial branch differs from the other two branches of Texas government:
1)
2)
Roots of the Texas Judiciary
first courts in Texas—
judiciary when Texas was an independent republic—
roots in English tradition with some features of Spanish law—
384
the judicial structure established in the 1836 Texas Constitution—
The Living Constitution: The Texas Supreme Courts—
1891 constitutional amendment allowing an intermediate courts of appeal

level in Texas—
other constitutional changes—
complicated and confusing nature of Texas judiciary—
The Structure of the Texas Judiciary
The Court Structure of Texas (Figure 20.1)—
Local Trial Courts
municipal courts—
municipal court jurisdiction—
municipal court cases in 2007—
justice of the peace courts—
justice of the peace courts’ jurisdiction—
justice of the peace court cases in 2007—
County Courts
constitutional county courts—
jurisdiction of constitutional county court—
number of constitutional county courts in Texas—
trial de novo—
county courts at law (statutory county courts)—
number of county courts at law in how many counties?—
jurisdiction of statutory county courts—
probate courts—
civil jurisdiction of county courts at law—
385
criminal jurisdiction of county courts at law—
bewildering array of county courts at law—
county court cases in 2007—
DWI/DUID—
District Courts
district courts—
civil jurisdiction—
felony criminal jurisdiction—
district court cases in 2007—
largest and smallest categories of criminal cases—
largest category of civil cases—
Intermediate Courts of Appeal
14 Texas Courts of Appeal—
1st and 14th Courts of Appeals—
chief justice—
elections—
cases usually heard by panel of how many judges?—
en banc—
reviews records of lower courts—
how decisions are rendered—
jurisdiction of Texas Courts of Appeal—
death penalty appeals—
court of appeals' cases in 2007—
386
The Supreme Courts
Texas Supreme Court—
Texas Court of Criminal Appeals—
jurisdiction of the two courts—
courts of last resort—
federal question—
writ of certiorari—
membership on the two courts—
how the two courts hear cases—
petition for review—
cases handled by the two courts in 2007—
allowing lower court ruling to stand—
applications for discretionary review—
writing opinions—
per curiam—
administrative duties of Texas Supreme Court—
Judges and Judicial Selection
all but municipal judges are selected by partisan elections—
terms of office for various judges—
Judicial Qualifications and Personal Characteristics
Judicial Qualifications (Table 20.1)—
personal characteristics—
municipal judges—
justices of the peace—
387
county judges—
constitutional county judges—
statutory county court judges—
district court judges—
all appellate judges—
Judicial Selection
two circumstances where Texas judges are not selected by partisan

election process—
municipal judge selection—
vacancies from death or resignation filled by gubernatorial appointment—
how long appointed judges serve—
number of appointed judges in Texas in 2008—
how partisan contests for judges operate—
Join the Debate: Should Texas Elect Its Judges?—
questions over judicial campaign finance and to whom judges are

accountable—
plaintiffs’ lawyers—
defense lawyers—
Texas Trial Lawyers Association—
State Commission on Judicial Conduct and 1986 investigation of two

Supreme Court justices for alleged improper conduct—
“Justice for Sale” on 60 Minutes in 1987—
Texas Civil Justice League—
judicial campaign finance excesses—
business interests take control of Texas Supreme Court—
costs of judicial elections rise in 1990s—
388
Republicans replace Democrats on Texas Supreme Court—
in Republican-controlled Texas Supreme Court, defendants

overwhelmingly win over plaintiffs—
former Texas Chief Justice Thomas Phillips—
perceived effect on campaign contributions on judges decisions—
consequence of Texas’s judicial selection process regarding minorities in

the judiciary—
dramatic effect of partisan preferences on Texas judiciary—
The Judicial Process in Texas
The Criminal Justice Process
The Texas System of Graded Penalties (Table 20.2)—
Arrest and Searches:
arrest and search warrants—
probable cause—
arrest without warrant based on what?—
warrantless searches—
pursuant to lawful arrest and plain view—
consent—
Booking:
administrative record—
what happens at booking—
station house bail—
for serious offenses—
Magistrate Appearance:
when held—
what magistrate does—
389
examining trial—
Grand Jury Indictment:
grand jury selection and composition—
grand jury process—
true bill—
indictment—
Arraignment:
court appoints council for indigents—
plea is taken—
Pretrial Motions:
what pretrial motions establish—
motion for jury or bench trial, continuance, competence, venue

change, etc.—
Jury Selection:
right to jury trial—
venire—
voir dire—
peremptory challenges—
only limit on peremptory challenges—
challenge for cause—
12 jurors for felony; six for misdemeanor—
jury verdicts must be unanimous (in criminal trials)—
390
Trial:
seven stages in guilt determination phase:
1)
2)
3)
4)
5)
6)
7)
mistrial—
sentencing phase—
capital murder cases—
Appeals:
death penalty verdicts automatically appealed directed by Texas Court of

Criminal Appeals—
appeals court reviews for reversible error—
written briefs and oral arguments—
application for discretionary review—
Ideas Into Action: Defending Actual Innocence—
The Civil Justice Process
Pretrial Procedures:
petition by plaintiff—
remedy sought—
answer by defendant—
jury trial or bench trial—
391
Trial:
steps in a civil trial—
charge to the jury—
district court, 10 of 12 jurors must agree—
in county court and justice of the peace court,

five of six jurors must agree—
judge issues judgment—
Appeals:
record from trial court and other steps—
court of appeals and possibly Texas Supreme Court—
Toward Reform: Changing the Texas Judiciary
criticisms of Texas judicial system—
Reforming the Court Structure
mixed and overlapping jurisdiction—
constitutional revision efforts in 1974 and 1975—
Texas Research League study in early 1990s—
efforts of Representative Rob Junell and Senator Bill Ratliff in 1999—
while all the proposals for reform vary, one theme was constant—
Proposal for a Unified, Simplified Texas Judiciary (Figure 20.2)—
Texas Research League report on why the state's two high courts should
remain separate—
Senator Robert Duncan's 2007 effort to reform court structure--
Reforming Judicial Selection
efforts at reform starting in 1946—
1995 proposal in legislature to adopt a merit system of judicial selection—
392
major hurtle in 1995 battle to reform the judicial selection process—
1996 Texas Supreme Court task force on judicial selection—
1997 proposal by Senator Rodney Ellis—
2007 reform proposal by Senator Robert Duncan—
Reforming Judicial Campaign Finance
Texas Judicial Campaign Fairness Act of 1995—
limits on campaign contributions to judicial candidates—
voluntary expenditure limits—
loopholes in the act—
no requirement for a judge to recuse herself in a case involving a large contributor

to her campaign—
penalties—
incumbents’ war chests—
Texans for Public Justice and its fight for judicial reform—
reform measure introduced in 2001 by Representative Pete Gallego—
2003 change in contribution limits to judicial candidate who are

unopposed in either the primary or general election—
1) Judicial candidates must file disclosure reports with the Texas Ethics Commission. Select
the reports of a judicial candidate who successfully ran for office. Examine the rulings
the candidate made once he or she became a judge. On the basis of your research, do you
think judges’ rulings are affected by campaign contributions? Be sure to do research on
the 1998 segment of 60 Minutes on judicial campaigns and finances, which was a follow
up to their 1987 investigative report on the subject.
2) The Texas Constitution guarantees defendants certain basic rights, such as the right to a
fair and speedy trial and an individual’s right to a court-appointed attorney if the
individual is indigent. While counties in Texas are permitted by law to have a public
defender's office for indigent criminal defendants, very few jurisdictions have such a
program. How do most counties handle court appointments for indigent defendants and
what problems are inherent with that system? Do the problems with the Texas courts
393
(overlapping jurisdictions, lack of qualified court-appointed attorneys, etc.) affect a
defendant’s constitutional rights?
3) If you were appointed to a judicial reform commission, what reforms would you advocate
and why? Talk to a local lawyer to see, from his or her experience in court, if he/she
agrees with your assessments.
4) Examine the claims of “tort reform” advocates who wish to restrict citizens’ rights to
civil courts. What are the bases of their claims? Are the cases claimed to be “frivolous”
actually unjustified? What procedures do Texas judges use to eliminate frivolous lawsuits
before they ever go to trial? What groups are behind the “tort reform” movement in
Texas? Who is paying the bill for the movement and who benefits?
5) The death penalty has come under criticism from many citizens and groups recently.
Texas is one of the leaders in the nation in putting prisoners to death.
What are some of the arguments against the death penalty and some of the arguments
for? George W. Bush, when Governor of Texas, commuted the death sentence of only
one individual on death row to a life sentence. Who was the inmate, and why did Bush
do this?
Web Sites
Texas Courts Online is a state judicial system Web site that offers information on a variety of
topics: the structure of the judiciary, judicial agencies and groups, judicial records, resource
materials, and much more.
www.courts.state.tx.us
The Texas Online: Official Portal of Texas offers a list of links to the Web sites of various
courts, state laws, court rulings, and much more.
www.state.tx.us/portal/tol/en/gov/8
The Texas Supreme Court home pages provide attorneys and the public with information about
Justices, opinions and orders, and information about cases before the court.
www.supreme.courts.state.tx.us
The Texas Court of Criminal Appeals maintains a Web site that provides information
regarding opinions and rules of procedure and practice for attorneys and court reporters.
www.cca.courts.state.tx.us
The State Bar of Texas is an administrative agency of the judicial branch in Texas. Every
licensed attorney is a member of the State Bar, which provides a wide array of services to its
members and the public.
www.texasbar.com
The Texas Trial Lawyers Association is the professional organization for civil trial lawyers in
Texas and works to keep the civil courts open to citizens in the face of the “tort reform”
onslaught by business and corporate interests.
www.ttla.com
394
The Center for Economic Justice is a nonprofit organization that works to increase the
availability, affordability, and accessibility of insurance, credit, utilities, and other economic
goods and services for low-income and minority consumers. Its Web site includes a page
debunking the arguments of “tort reform” advocates.
www.cej-online.org/tortrefo.php
Texans for Lawsuit Reform is an organization created and funded by big business and
corporate interests promoting the tort reform agenda in Texas.
www.tortreform.com
Texas Watch is a nonpartisan advocacy organization working to improve consumer and

insurance protections for Texas families. This consumer watchdog group works in opposition to
tort reform activities backed by big insurance and corporate interests in Texas.
www.texaswatch.org/index.html
The Texas Criminal Defense Lawyers’ Association is the professional organization for
criminal defense lawyers. Its Web site provides a great deal of information about the criminal
justice system in Texas and governmental threats to civil liberties.
www.tcdla.com
The Texas District and County Attorneys Association a nonprofit organization for Texas
prosecutors and attorneys providing government representation and other services and
information for district and county attorneys offices across the state.
www.tdcaa.com
Practice Tests
1) Why are there 254 constitutional county courts in the State of Texas?
A) because under the law establishing these courts, the Texas Legislature set a cap of 254
statewide for the courts in 1929, a number which was reached just after the start of the
Korean War
B) because there are 254 counties in the State of Texas
C) because the Texas Supreme Court, acting as the chief administrative body of the Texas
judicial system, authorized the creation of 254 of these courts, as authorized by the Texas
Constitution
D) because under the state constitution, counties are given, under their home-rule authority,
the power to create a constitutional county court when needed and as of 2007, some 209
counties have created a total of 254 constitutional county courts throughout the state
2) Which court represents the lowest level of the courts, with limited jurisdiction?
A) Constitutional county courts
B) Local trial courts (municipal and justice of the peace)
C) Statutory county courts
D) District courts
E) Courts of appeal
395
3) Magistrate functions of the municipal court include all but which of the following?
A) Conduct preliminary hearings
B) Issue search warrants
C) Issue arrest warrants
D) Provide statutory warnings
E) All of the above are part of the magistrate functions of a municipal court
4) Which courts were created to relieve county judges in urban counties of their judicial
function so they could concentrate on their duties as presiding officers of the commissioner's
court?
A) Constitutional county court
B) County court at law
C) Justice of the Peace
D) Municipal courts
E) Local trial courts
5) Most district courts exercise

A) only criminal jurisdiction.
B) only civil jurisdiction.
C) only civil jurisdiction in cases involving less than $200.
D) only appellate jurisdiction.
E) both criminal and civil jurisdiction.
6) Cases heard by ________ never involve juries.

A) county trial courts
B) municipal courts
C) state intermediate appellate courts
D) justice of the peace courts
E) local trial courts of limited jurisdiction
7) In the 14 courts of appeals in 2006, how many of those where held by Democrats?
A) Eleven
B) Nine
C) Seven
D) Three
E) One
8) The Texas Constitution requires that supreme court judges be

A) 25 years of age and a practicing attorney or judge for a court of record for at least 3 years.
B) 35 years of age and a practicing attorney or judge for a court of record for at least 10
years.
C) 40 years of age and a practicing attorney or judge for at least 5 years.
D) 45 years of age and a practicing attorney or judge for a court of record for at least 20
years.
E) 50 years of age and a practicing attorney for 25 years.
396
9) The two supreme courts consist of ________ members each.
A) 3
B) 6
C) 7
D) 9
E) 12
10) Which judges must have the most experience (at least 10 years), and must be at least 35 years
of age?
A) Appellate judges
B) Supreme Court justices
C) District judges
D) Municipal judges
E) County court at law judges
11) Municipal judges generally serve terms that are how long?
A) 2 years
B) 4 years
C) 6 years
D) 1 year
E) 3 years
12) Except for municipal judges, Texas judges are

A) appointed by the governor and approved by the Senate.
B) appointed by the governor and approved by the legislature.
C) elected in partisan elections.
D) elected in nonpartisan elections.
13) A suspect is usually fingerprinted and photographed during the ________ phase.
A) arraignment
B) booking
C) pretrial motions
D) arrest
E) interrogation
14) In a criminal trial in state district court, in order to find a defendant guilty or not guilty, what
type of jury verdict is required?
A) 10 out of 12 in agreement
B) 5 out of 6 in agreement
C) a simple majority
D) unanimous verdict
397
15) In the sentencing phase of a capital murder trial in Texas, the jury considers which of the
following?
A) whether the defendant is likely to commit further violent crimes and is a threat to society
B) whether the defendant actually caused, intended to cause, or anticipated that a human life
would be taken
C) whether mitigating circumstances warrant a sentence of life imprisonment rather than
death
D) All of the above
16) Which of the following is not part of the "guilt" phase of a trial?
A) Death penalty deliberations
B) Reading of the indictment
C) Testimony by witnesses (if any)
D) Charging of the jury
E) Presentation of the state's case
17) Questions about what evidence is admissible and what witnesses may testify about are
determined in the
A) pretrial motion phase.
B) magistrate appearance phase.
C) grand jury indictment phase.
D) arraignment phase.
E) post-trial motions
1) Justice of the peace courts have only criminal jurisdiction.
2) All Texas courts are constitutionally created.
3) If a party wants the Texas Supreme Court to review the suit, the party must file a petition for
a trial de novo.
4) County courts at law cost the state nothing.
5) The Texas Supreme Court deals strictly with civil matters.
6) Texas has the death penalty.
7) A petition for review is a request for Court of Criminal Appeals review.
8) Most people are arrested on a warrant.
9) The right to a jury trial cannot be waived in a capital case.
10) All district court judges in large urban counties are elected on an at-large, countywide
partisan basis in Texas.
398
1) What is the difference between original and appellate jurisdiction? Which Texas courts have
original jurisdiction and which have appellate jurisdiction?
2) Why were county courts at law created?
3) Discuss some of the differences between the Texas Supreme Court and the Texas Court of
Criminal Appeals.
4) How and why do Texas judges differ in education and training?
5) Discuss the ethnic and racial composition of the Texas judiciary.
6) justice of the peace courts and municipal courts
7) Texas’s highest appellate courts and intermediate appellate courts
8) the Supreme Court and the Court of Criminal Appeals
9) judicial qualifications and the selection process for municipal judges and justices of the peace
10) the criminal justice process and civil justice process
399
400
CHAPTER 21
POLITICAL PARTIES, INTEREST GROUPS, ELECTIONS, AND CAMPAIGNS IN
TEXAS
Political parties and interest groups link citizens to government; however, the goals of the two
entities differ. Political parties seek to control government, and interest groups seek to influence
government. Elections are the mechanism through which political parties gain control of
government and campaigns bind together political parties, interest groups, candidates, and the
public.
This chapter is designed to introduce you to political parties, campaigns, elections and interest
groups in Texas. The main topic headings for this chapter are:
• Roots of Political Parties, Interest Groups, Elections, and Campaigns in Texas

• Political Parties in Texas
• Interest Groups in Texas
• Elections and Political Campaigns in Texas
• Toward Reform: Recent Reforms in Elections and Campaigns
ideas, dates, facts, events, people, etc., are more difficult to pull from the narrative. (Keep in
mind that studying for objective tests is different than studying for essay tests. See the Study
Guide section on test taking for hints on study skills.)
following:
• the roots of political parties, interest groups, elections, and campaigns in Texas;
how these institutions and processes developed and reformed
• political parties in Texas as well as party organization, parties in the electorate,
and parties in government
• interest groups in Texas and how the various types work to influence public
policy in the state
• elections and political campaigns in Texas including types of elections; electoral
participation; campaigns and voting behavior; the influence of money, media, and
marketing in campaigns; and factors influencing voter turnout and choice
• recent reforms in elections and campaigns focusing on changes in election and
campaign procedures
401
dominant political party in Texas—
2004 Republican gubernatorial primary and eventual candidate—
2004 independent gubernatorial candidacies of Carole Keeton Strayhorn and

Kinky Friedman—
petition requirement for independent candidates—
2004 Democratic Party candidate for governor—
focus of interest groups—
focus of political parties—
what elections provide—
what campaigns create—
Roots of Political Parties, Interest Groups, Elections, and Campaigns in Texas
the slow development of political parties in Texas—
political parties in Texas before and during Civil War—
Republican Party from 1868 to 1874—
era of one-party Democratic Party dominance in Texas (1874-1986)—
feuds among contending factions within Democratic Party during era of

dominance—
the slow development of interest groups in Texas—
the Grange and interest group development—
preeminence of business interest groups—
change from personal loyalty to candidates to partisan contests—

402
importance solely of Democratic primaries until early 1960s—
legal impediments to voting—
Political Parties in Texas
Party Organization
what party organization consists of—
Formal Organization:
role of Texas state law—
temporary party organization—
party conventions—
election precincts—
precinct convention—
Democratic precinct conventions in presidential election year—
county convention—
state senatorial district convention—
party platform—
principal purpose of county or senatorial district conventions—
state convention—
state convention in presidential election years—
delegate allocation to national convention by Republicans—
delegate allocation to national convention by Democrats—
permanent party organization—
electoral districts—
precinct chairperson—
county chairperson—
403
county executive committee—
party’s duties at the county level—
state executive committee—
state party chairperson—
Party Organization in Texas (Figure 21.1)—
Tina Benkiser and Boyd Richie—
Functional Organization:
real story of how organization functions and where decisions made—
what the formal organization provides—
Democratic Party Unity:
liberal influence since 1976—
Ralph Yarborough—
Jim Mattox, Jim Hightower, Garry Mauro, Ann Richards—
conservative Democrats becoming Republicans—
recent study of Democratic Party activists—
Republican Party Unity:
greater ideological cohesiveness—
intraparty conflicts—
percentage of conservatives, moderates, and liberals—
pragmatists or economic conservatives—
ideologues or social conservatives—
clash between factions evident in every Republican state convention since

1994—
Christian Coalition—
Kay Bailey Hutchinson—
404
Susan Weddington—
“partial birth abortion” ban—
control of party by social conservatives—
2002, the social conservatives and the Republican platform—
2006 Republican Party platform—
Party Effectiveness: What’s at Stake?:
effectiveness at state level—
two ways state party’s performance is measured;
1)
2)
Republican Party’s advantage in party building—
party organization activities at local level—
difference between Republican and Democratic chairpersons—
organizational challenges for Republicans and Democrats—
Party in the Electorate
most important function for the party organization—
what party in the electorate consists of—
Texans don’t register by political party—
party identification—
importance of partisan attachments—
Distribution of Party Attachments:
change in party affiliation from 1952 to 1991 to 1999, and in 2007—
Party Identification in Texas: Republican Rise and Democratic Decline

(Figure 21.2)—
increase in independents—
405
percentage of population identifying with Democratic or Republican Party
in 1952 and in 2007—
significance of increase in independents—
Party Realignment in Texas:
evidence of “attenuated” or “secular” realignment—
young voters—
some Democrats switched to the Republican Party—
new residents of Texas—
party identification important in determining vote choices—
Republicans won more counties—
Republican and Democratic Strength in Texas by County (1970s) (Figure

21.3)—
Republican and Democratic Strength in Texas by County (2000s) (Figure

21.4)—
Republican strength in 2008 elections—
party dealignment in Texas—
Contemporary Party Coalitions:
Republican coalitions—
Democratic coalitions—
The Party in Government
party in government—
the theory of party in government—
In the Executive Branch:
impediments to cooperation created by Texas Constitution—
independent election of most important executive officers in

Texas—
406
little incentive to campaign together or coordinate campaigns
among executive office candidates—
In the Legislative Branch:
partisan considerations minimized—
party caucuses and committees—
Democratic caucus in Texas House of Representatives—
Democratic caucus in Texas Senate—
Republican caucus in legislature—
effects of Republican gains in the legislature—
Texas legislature continues to work under strong institutional

leaders—
In the Judicial Branch:
partisan election of all but what type judge?—
role of party in appointment of judges when a vacancy occurs—
governor’s judicial appointments and his ideology—
difference in how Democrats and Republicans interpret the law

and decide civil cases—
Interest Groups in Texas
Types of Interest Groups
Business Groups and Trade Associations:
general purpose—
business interest groups—
trade associations—
examples of both—
Professional Associations:
examples—
407
what they try to influence—
Labor Groups:
where they have any strength in Texas—
examples—
Racial and Ethnic Groups:
what they promote—
examples—
Public-Interest Groups:
what they advocate—
examples—
what public policies they seek—
Political Activities of Interest Groups
three distinct but related, political activities engaged in by interest groups—
Lobbying:
lobbying definition—
who they lobby—
growth of registered lobbyists from 1987 to 2007—
lobbyists’ pay—
what is required in lobbying registration in Texas—
limits on money used in lobbying—
two trends in late 1980s which characterized lobbyists—
hired guns—
ex-legislators turned lobbyists—
greater ethnic and gender diversity among lobbyists—
lobbying based on shared characteristics—
408
principal job of lobbyists, according to lobbyists—
access—
personal friendships with legislators—
former public officials—
"real job" of lobbyist, according to former legislator and current lobbyist

Bill Messer—
relying on information and integrity—
substantive (technical) information from lobbyists—
political information from lobbyists—
interests that are always present—
top-down strategy—
focusing on committees—
lobbying agencies and departments—
grassroots lobbying—
activating members of interest group—
Astroturf lobbying—
Astroturf groups and 2003 tort reform—
Electioneering:
price of access—
PACs in Texas—
preference for incumbents and committee chairs—
Top General Purpose PACs, 2006 (Table 21.1)—
PACs concentrate their spending on what?—
example of how PACs target their contributions—
Politics Now: Hefty Gift to Bailey has Craddick Ties—
409
Litigation:
new judicial federalism—
purpose of litigation by interest groups—
Elections and Political Campaigns in Texas
Types of Elections
frequency—
ballot tends to be long—
uniform dates for general and special elections—
elections can also occur at other times—
Primary Elections:
which parties, by Texas law, must hold primaries?—
history of primary elections in Texas—
Terrell Election Law—
1907 and 1918 amendments to Terrell Election Law and their

requirements—
must win primary by majority—
run-off elections—
why Texas’s supposedly closed primary elections operate more like open
primaries—
participation low in primaries—
2008 participation in party primaries—
parties responsible for run administering primaries—
Special Elections:
dates set—
access to ballot—
410
candidates in—
participation in—
bond elections—
General Elections:
Tuesday after the first Monday in November of even-numbered years—
governor and other statewide official elected when?—
nonpresidential year elections—
win general elections by plurality—
general elections funded and administered by the state—
Texas secretary of state—
Local Elections:
municipal elections and special district elections are nonpartisan—
when held?—
Political Campaigns in Texas
ideally, what do campaigns do?—
the “three M’s—
Money: the Mother’s Milk of Politics:
money in elections—
in 2002 what do Perry and Sanchez spend?—
2006 Texas House and Senate campaigns—
effect of Texas’s geographic size on campaign costs—
high cost of television—
individual and group contributions to campaigns—
few restriction in Texas—
major 1973 reform—
411
“Bo” Pilgrim—
Texas Ethics Commission—
no limit on what contributions in Texas?—
Media: Linking the Candidates and the Voters:
why personal political contact less effective—
size of Texas and number of media markets—
importance of TV in Texas campaigns—
increasing role of Internet—
Ideas into Action: Blogging on Texas Politics—
political consultants—
Marketing: Selling the Candidate:
transition from party-centered to candidate-centered campaigns—
effect of candidates’ dependence on media and commercial advertising

techniques—
benchmark poll—
tracking polls—
focus groups—
campaign consultant's role—
ultimate goal—
The Voters’ Decisions
two decisions potential voter faces—
low voter turnout in Texas—
Voter Turnout:
the cost of voting—
legal restrictions prior to the mid-1960s—
412
legal requirements for voting in Texas—
registration for voting—
motor voting—
early voting—
impact of early voting—
effect of early voting and 2006 gubernatorial election—
characteristics of early voters—
electronic voting—
Join the Debate: Are Electronic Voting Systems Better than Paper Ballots?
—
benefits of voting—
selective benefits of voting—
connection to politics—
trends in nonpresidential year gubernatorial election voter turnout—
Analyzing Visuals: Voter Turnout in Texas—
factors contributing to variation in Texas voter turnout—
changing composition of electorate and voter turnout—
results of attempts to reduce the effort required to vote in Texas—
The Vote Choice: Parties, Issues, and Candidates:
vote choice during entire nineteenth and first part of twentieth century—
current vote choice—
413
psychological factors influencing vote choice:
1)
2)
3)
comparison of 1986 and 2002 gubernatorial elections—
Toward Reform: Recent Reforms in Elections and Campaigns
campaign and election procedure reforms considered in 80th legislature—
proposal to move primary election date from first Tuesday in March to first
Tuesday in February—
2008 increase in front-loading of presidential primaries and caucuses—
opposition to reforms by Republican County Chairmen's Association—
other proposals—
successful reforms from the 80th legislative session—
1) Select two different types of interest groups operating in Texas and compare the type of
activities in which they engage. How are the activities different and why are they
different? Compare the Texas interest groups you selected to their national counterparts.
What differences or similarities in organization and purpose do you note?
2) Voter turnout in Texas is quite low. If you were a member of the legislature, what type of
legislation would you support to increase voter turnout in Texas?
3) In 2006,Republican candidates won every statewide election. What forces contributed to

that sweeping victory?
4) Media is as significant a factor in elections as anything in modern politics. What factors

come into play with regard to media campaigns? What role does television play in
statewide and local campaigns? Is radio useful to a candidate? What about newspapers
and direct mail? Does the Internet play a role in Texas campaigns?
414
5) What are some of the factors in the growth of the Republican Party in Texas over the
past 30 years? What happened to the Democratic Party, once dominant in Texas, in terms
of elected officials and voter identification? What can the Democratic Party in Texas do
to regain parity with the Republicans? What impact did the Obama presidential campaign
have on Democratic Party success in the 2008 elections? Do you believe it will be a
lasting effect and way?
Web Sites
The Secretary of State’s Elections Division Web site offers voter information, election returns
and forms, election law information, and election reports.
www.sos.state.tx.us/elections/index.shtml
Texas Democratic Party maintains a Web site at

www.txdemocrats.org
The Republican Party of Texas maintains a Web site at

www.texasgop.org
The Texas Libertarian Party maintains a Web site at

www.tx.lp.org
The Reform Party of Texas maintains a Web site at

www.texasreformparty.org
Based in Houston, the Texas Politics Resource Page is hosted by Texas political consultant
George Strong, and presents facts and gossip about Texas elections and politics. An outstanding
links page for current political candidates across the state. (Portions of the Web site are for paid
subscribers.)
georgestrong.com
The Texas Community College Teachers Association, an interest group representing educators
in Texas community colleges, provides its members with a guide on how to help the association
lobby members of the Texas Legislature.
tccta.org/legis/publications/TCCTA-Guide-07-08.pdf
The Texas Ethics Commission maintains an online list of registered lobbyists in Texas.
www.ethics.state.tx.us/dfs/loblists.htm
The College of Liberal Arts at the University of Texas at Austin maintains a Texas Politics
Web site. This page features the cost of local newspaper space and television time space across
Texas.
www.laits.utexas.edu/txp_media/html/vce/features/0701_01/slide1.html
Texans for Public Justice is a nonprofit organization working to research and reform campaign
financing and lobbying practices in Texas.
www.tpj.org/index.jsp
415
Practice Tests
1) The temporary party organization consists of

A) standing chairpersons and committees.
B) conventions.
C) permanent chairpersons.
D) committees.
2) The principal purpose of a precinct convention is to

A) select delegates to the party’s county or state senatorial convention.
B) increase voter turnout in local precinct elections.
C) select delegates to the state convention and reform platform measures.
D) elect state party chairpersons.
3) When is a state senatorial district convention held?

A) When electing a US Senator
B) Between the county and the state convention
C) Between the precinct and the county convention
D) When a county is part of more than one senatorial district
E) When a county has multiple seats in the Texas Senate
4) The final results of each party's primary votes are certified at the
A) primary conventions.
B) state conventions.
C) county conventions.
D) precinct conventions.
E) national party headquarters.
5) Evidence for realignment in Texas is derived from the following indication(s):

A) young voters are more likely to identify with the Republican Party than the Democratic
Party.
B) some Democrats are switching to the Republican Party.
C) in 2002, Republican candidates won every statewide election.
D) All of the above.
6) Which of the following is not one of the reasons for secular realignment in Texas?
A) Younger people favor the Republican party
B) Democrats who were part of the upper-level socio-economic bracket switched parties
C) New residents in Texas are more likely to be Republican
D) Party identification is more important in the elections, especially for Republicans
E) Dissatisfaction with a string of "liberal" governors
416
7) All public officials who are appointed or elected under the same party and work to
implement party policies while in government are known as
A) party in the electorate
B) party organization
C) party in government
D) party executive
E) party caucus
8) In Texas, the Governor and the Lieutenant Governor are generally elected
A) on the same ticket/ballots
B) on different tickets/ballots
C) in odd year elections
D) based on the decision of party caucuses
E) all of the above
9) Just like national-level groups, interest groups in Texas are involved in which of the
following activities?
A) Lobbying
B) Electioneering
C) Litigation
D) Lobbying an electioneering
E) Lobbying, litigation, and electioneering
10) Lobbyists provide which of the following information/services to government officials?

A) Content of legislation
B) Affect of legislation of constituents and supporters
C) Experts to testify at legislative hearings
D) What other states have done on issues
E) Lobbyists provide all of the above
11) Political Action Committees (PACs) are groups formed to solicit funds that are used to
A) elect or defeat candidates.
B) boost lawmakers' salaries.
C) improve public education.
D) fund interest groups.
E) support third parties.
12) Litigation was practiced extensively by _______ and _______ interest groups in the
1950s and 1960s.
A) professional, labor
B) business, professional
C) civil rights, environmental
D) professional, environmental
417
13) Special elections are held in Texas to
A) fill vacancies in state legislative offices.
B) approve local bond proposals.
C) fill vacancies in U.S. congressional offices.
D) All of the above.
14) Which election does not have a primary?

A) Presidential
B) Special
C) Run-off
D) General
E) All elections have a primary
15) Voter turnout in Texas is highest in which type of election?

A) special elections
B) local elections
C) primary elections in presidential election years
D) congressional elections
E) presidential elections
16) General elections are administered and funded by

A) political parties.
B) the state government.
C) the national government.
D) local government.
E) the victorious candidate.
17) What body receives the contribution and expenditure reports for candidates for state office?
A) Secretary of State’s office
B) Ethics Office
C) Texas Bar Association
D) Ethics Commission
E) No Such Body Exists
18) How long is the early voting period in Texas?

A) One month.
B) One week.
C) Two weeks.
D) 5 days.
E) There is no early voting in Texas.
19) The effect of the motor-voter-registration system has been to

A) increase the voter turnout.
B) increase the number of individuals registered to vote.
C) increase the number of individuals registered to vote and increase the voter turnout.
D) None of the above.
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20) Texas has early voting, which ends four days in advance of the actual election and lasts about
how long?
A) Four days
B) Six days
C) Ten days
D) Twelve days
E) Fourteen days
1) Political parties' permanent organizations are tied to electoral districts.
2) Because Texans do not register by party, it is up to polls to identify voting trends.
3) Independent voters have grown more numerous in Texas in recent years.
4) Party identification among Texans tends to favor the Republican Party.
5) Texas professional associations are represented by some of the weakest interest groups in
Texas.
6) Interest groups usually engage in lobbying, electioneering, and litigation.
7) The groups most likely to pursue litigation are those that have been unsuccessful at lobbying
and electioneering.
8) There are no limits on the amount PACs and individuals can donate to legislative candidates.
9) Much of the increased use of litigation by interest groups can be attributed to the new judicial
federalism, which has made state courts more likely to entertain such lawsuits.
10) Texas places few restrictions of the use of money in political campaigns.
1) How has the influence of the Democratic and Republican Parties changed? Be sure to
include changes in the party in the electorate and changes in the party in government
2) Briefly explain the political activities of interest groups.
3) Explain the four different types of elections.
4) Briefly explain Texas laws regulating campaign contributions.
5) Why are political consultants so important to modern campaigns?
6) permanent party organization and temporary party organization
419
7) interest groups and political parties
8) dealignment and realignment
9) party-in-the-electorate and party in the government
10) primary elections, special elections, and general elections
420
ANSWER SECTION
Chapter 1: The Political Landscape Chapter 2: The Constitution
Multiple Choice Answers Multiple Choice Answers
1) A 1)A
2) C 2)D
3) B 3)B
4) D 4)B
5) E 5)B
6) D 6)E
7) D 7)C
8) B 8)C
9) C 9)E
10) B 10) B
11) A 11) D
12) A 12) E
13) A 13) B
14) C 14) D
15) D 15) B
16) A 16) A
17) A 17) E
18) A 18) E
19) A 19) A
20) D 20) A
True/False Answers True/False Answers
1) true 1) true
2) false 2) true
3) true 3) false
4) false 4) true
5) true 5) true
6) false 6) true
7) true 7) false
8) false 8) true
9) true 9) true
10) true 10) false
421
Chapter 3: Federalism Chapter 4: Civil Liberties
1) E 1) A
2) A 2) B
3) C 3) A
4) C 4) E
5) A 5) C
6) C 6) B
7) D 7) A
8) E 8) C
9) D 9) C
10) A 10) E
11) D 11) A
12) B 12) C
13) D 13) D
14) A 14) C
15) E 15) B
16) D 16) C
17) B 17) E
18) A 18) A
19) B 19) E
20) A 20) D
1) false 1) true
2) false 2) true
3) true 3) true
4) false 4) true
5) true 5) true
6) false 6) true
7) true 7) false
8) true 8) true
9) false 9) false
10) true 10) false
422
Chapter 5: Civil Rights Chapter 6: Congress
1) B 1)C
2) E 2)D
3) C 3)B
4) D 4)D
5) E 5)B
6) D 6)B
7) B 7)C
8) A 8)A
9) A 9)A
10) A 10) B
11) A 11) C
12) E 12) C
13) B 13) A
14) D 14) E
15) E 15) C
16) A 16) A
17) A 17) D
18) C 18) B
19) A 19) C
20) B 20) E
1) true 1) false
2) false 2) true
3) true 3) true
4) false 4) false
5) true 5) false
6) false 6) false
7) true 7) true
8) false 8) false
9) true 9) false
10) false 10) true
423
Chapter 7: The Presidency Chapter 8: The Executive Branch and the
Federal Bureaucracy
1) A 1)D
2) A 2)C
3) D 3)E
4) B 4)C
5) C 5)E
6) C 6)D
7) E 7)D
8) D 8)A
9) C 9)D
10) C 10) B
11) A 11) A
12) E 12) E
13) D 13) B
14) E 14) E
15) D 15) D
16) A 16) D
17) A 17) B
18) D 18) D
19) B 19) C
20) D 20) A
1) false 1)false
2) true 2)true
3) false 3)true
4) true 4)true
5) false 5)false
6) false 6)true
7) false 7)true
8) false 8)true
9) false 9)true
10) true 10) true
424
Chapter 9: The Judiciary Chapter 10: Public Opinion and the News
Media
1) A 1)D
2) C 2)E
3) E 3)C
4) C 4)B
5) D 5)C
6) C 6)B
7) B 7)A
8) D 8)C
9) C 9)C
10) E 10) E
11) B 11) B
12) E 12) A
13) D 13) A
14) E 14) B
15) D 15) C
16) C 16) D
17) B 17) E
18) D 18) D
19) D 19) D
20) A 20) A
1) true 1) false
2) false 2) false
3) true 3) true
4) true 4) true
5) true 5) false
6) false 6) true
7) true 7) true
8) true 8) true
9) false 9) true
10) true 10) false
425
Chapter 11: Political Parties and Interest Chapter 12: Voting, Elections, and
Groups Campaigns
1) A 1)C
2) B 2)D
3) E 3)E
4) B 4)B
5) B 5)C
6) D 6)A
7) A 7)A
8) A 8)C
9) C 9)A
10) C 10) A
11) A 11) A
12) E 12) C
13) E 13) C
14) D 14) C
15) B 15) D
16) B 16) B
17) B 17) A
18) A 18) D
19) C 19) A
20) C 20) C
1) false 1) true
2) false 2) true
3) true 3) true
4) false 4) true
5) true 5) true
6) true 6) false
7) true 7) true
8) true 8) true
9) false 9) false
10) true 10) true
426
Chapter 13: Social and Economic Policy Chapter 14: Foreign and Defense Policy
1) B 1)A
2) B 2)C
3) B 3)E
4) B 4)C
5) B 5)E
6) A 6)B
7) D 7)E
8) C 8)B
9) A 9)E
10) B 10) D
11) C 11) D
12) B 12) E
13) A 13) A
14) C 14) D
15) A 15) D
16) D 16) C
17) A 17) E
18) D 18) C
19) B 19) E
20) B 20) C
1) true 1) false
2) false 2) false
3) false 3) false
4) true 4) false
5) true 5) true
6) true 6) false
7) false 7) false
8) false 8) false
9) true 9) false
10) true 10) false
427
Chapter 15: The Context for Texas Politics Chapter 16: The Texas Constitution
and Government
1) D 1) D
2) A 2) A
3) B 3) A
4) B 4) B
5) A 5) B
6) E 6) C
7) D 7) A
8) A 8) C
9) E 9) E
10) A 10) B
11) E 11) B
12) B 12) B
13) C 13) E
14) B 14) A
15) A 15) A
16) B 16) B
17) C 17) E
18) B 18) E
19) C 19) E
20) E 20) B
1) true 1) true
2) true 2) false
3) true 3) true
4) false 4) true
5) true 5) true
6) true 6) false
7) true 7) false
8) true 8) true
9) true 9) false
10) false 10) true
428
Chapter 17: Local Government and Politics Chapter 18: The Texas Legislature
in Texas
1) E 1) D
2) D 2) C
3) B 3) A
4) C 4) B
5) C 5) A
6) E 6) B
7) C 7) A
8) C 8) E
9) B 9) D
10) B 10) A
11) C 11) A
12) A 12) C
13) D 13) C
14) C 14) B
15) C 15) D
16) B 16) B
17) E 17) E
18) C 18) C
19) B 19) E
20) B 20) E
1) false 1) false
2) true 2) true
3) false 3) false
4) true 4) false
5) true 5) true
6) false 6) false
7) true 7) false
8) false 8) true
9) false 9) false
10) false 10) false
429
Chapter 19: The Governor and Chapter 20: The Texas Judiciary
Bureaucracy in Texas
1) D 1)B
2) D 2)B
3) B 3)E
4) E 4)B
5) E 5)E
6) D 6)C
7) E 7)E
8) C 8)B
9) C 9)D
10) D 10) A
11) D 11) B
12) B 12) C
13) A 13) B
14) B 14) D
15) B 15) D
16) D 16) A
17) D 17) A
18) A
19) C
20) E
1) false 1) false
2) true 2) false
3) true 3) false
4) false 4) true
5) false 5) true
6) false 6) true
7) false 7) false
8) true 8) false
9) true 9) true
10) true 10) true
430
Chapter 21: Political Parties, Interest
Groups, Elections, and Campaigns in Texas
Multiple Choice Answers
1) B
2) A
3) D
4) B
5) D
6) E
7) C
8) B
9) E
10) E
11) A
12) C
13) D
14) B
15) E
16) B
17) D
18) C
19) B
20) E
True/False Answers
1) true
2) true
3) true
4) true
5) false
6) true
7) true
8) true
9) true
10) true
431

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Study Guide

Essentials of American Government

John Ben Sutter

Copyright © 2009 Pearson Education, Inc.

Chapter 1 The Political Landscape....................................................................................1

Chapter 2 The Constitution............................................................................................ 17

Chapter 4 Civil Liberties.................................................................................................49

Chapter 5 Civil Rights.....................................................................................................69

Chapter 7 The Presidency..............................................................................................107

Chapter 8 The Executive Branch and the Federal Bureaucracy....................................123

Chapter 9 The Judiciary................................................................................................137

Chapter 10 Public Opinion and the News Media............................................................155

Chapter 11 Political Parties and Interest Groups.............................................................179

Chapter 12 Voting, Elections, and Campaigns................................................................203

Chapter 13 Social and Economic Policy.........................................................................231

Chapter 14 Foreign and Defense Policy..........................................................................253

Chapter 15 The Context for Texas Politics and Government.........................................271

Chapter 16 The Texas Constitution.................................................................................287

Chapter 17 Local Government and Politics in Texas......................................................301

Chapter 18 The Texas Legislature...................................................................................319

Chapter 19 The Governor and Bureaucracy in Texas.....................................................341

Chapter 20 The Texas Judiciary......................................................................................361

Chapter 21 Political Parties, Interest Groups, Elections, and Campaigns in Texas........379

Answer Section ......................................................................................................................403

Chapter Goals and Learning Objectives

• the roots of American government and the significance of those roots

Chapter Outline and Key Points

Preamble to the United States Constitution—

meaning and goals in the Preamble—

2007 presidential elections in Kenya and Pakistan—

“to form a more perfect union”—

Thinking Globally: The European Union—

Ideas Into Action: The American's Creed—

ensuring domestic tranquility—

providing for the common defense—

promoting the general welfare—

Allocation of the Federal Budget, 2008 (Figure 1.1)—

securing the blessings of liberty—

Aristotle’s Classifications of Government (Table 1.1)—

majority of governments worldwide—

divine right of kings—

Reformation and Enlightenment—

Hobbes, Locke, and a Social Contract Theory of Government

social contract theory—

“solitary, poor, nasty, brutish, and short”—

Second Treatise on Civil Government (1698) and Essay Concerning

Locke's refutation of the divine right of kings—

life, liberty, and property—

Locke believed which branch of government should be the most powerful

Thomas Jefferson and the original draft of the Declaration of

American colonists’ view on King George and the British government—

indirect democracy (representative democracy)—

Virginia House of Burgesses—

American Political Culture and the Basic Tenets of American Democracy

expansion from “freedom from” to “freedom to”—

Popular Consent, Majority Rule, and Popular Sovereignty —

protection of minority rights—

“certain unalienable rights”—

Religious Faith and Religious Freedom

religion and religious faith in America—

faith and political opinion in America—

Political Ideology: Its Role in the World and in American Politics