Principles of Government: Definitions

1. Principles of Government: Definitions • Government: The institution through which a society makes and enforces its public policies • Public policies: All the things a government decides to do (ex: tax cuts, maintaining military, social programs, road building). Also includes things government decides NOT to do! EX: AIDS, Bin Laden in 1996, Spanish-American War telephone tax* • Politics: Who gets what, when, and how

2. More Definitions--Government • Power—the ability of actor A to make actor B comply with actor A’s intentions • Authority—the right to use power Granted by: law, states, constitution • Legitimacy—a characteristic that makes institutions that grant authority have a legal right to do so. • No government in the United States would be considered legitimate if it was not democratic Examples of legitimacy: Ratification of the Constitution; Civil War was a test of legitimacy, states’ rights.

3. Two Political Questions • Who governs? • To what ends? • These are two distinct questions, but they are related. • 1st Q: Whoever has power will use it to their advantage, to get their policies into law and stifle opposition. EX: LBJ and Great Society, Bush tax cuts • 2nd Q: Power-owners can also decide how much control government has over your life—ex: taxation used to be only on extremely rich, civil rights legislation • All governments combined in America spend 1/3 of $8T GDP

4. 4 Characteristics of States • State: A body of people, living in a defined territory, organized politically, and having the power to make and enforce law without the consent of higher authority. • Population • Territory • Sovereignty—the exclusive right to control your external and internal affairs • Government

5. Theories About the Origins of the State • Force Theory • Evolutionary Theory—primitive family leads to a clan, clan leads to a tribe, tribe gives up nomadic behavior • Divine Right Theory—rule by the grace of God, etc. • Social Contract Theory (Locke/Harrington/Hobbes/Rousseau)

6. Purposes of Gov’t: Why have States? Reasons can be found in Preamble of U.S. Constitution: • To form a more perfect union • To Establish Justice • To Insure Domestic Tranquility (Fed #51 and Madison, “If Men were angels…” • To Provide for the Common Defense (US Military, National Guard) • To Promote the General Welfare (schools) • To Secure the Blessings of Liberty (Life, Liberty, PropertyHappiness) • Also: police power, provide public goods, socialize young into political culture (schools)

7. Classifying Governments by the # who participate • Democracy– rule by majority* • Consists of: equality in voting, effective participation, free press/speech/citizen knowledge, citizens control agenda, and inclusion of all • Sidepoint: Democracy was not universally agreed upon, even at the 1787 Constitutional Convention! • Oligarchy--rule by the few • Monarchy/dictatorship—rule by one • Dictatorships can be authoritarian or totalitarian—most modern are Totalitarian.

8. Flavors of Democracy • Can be direct, Aristotelian “Pure democracy” or indirect, representative democracy). • Pure Democracies rare, ex: Greek polis, NE “Town Meeting”….late “devolution revolution” • Impracticable in today’s world—population size, people are emotional, not rational • Representative democracy—government by popular consent by which the people, who are sovereign, elect representatives to carry out their wishes in government. • Representative democracy mediates views—it is not designed to do what you exactly want it to do! • Communists/Dictators make “Democratic Centralism” claim—they rule on behalf of the good of people, so they are democratic. PRC and Cuba are classic examples. • Lenin: Elections are survival strategy of bourgeoisie • 99.92% example in Iraq

9. Basic Democratic Concepts • Fundamental Worth of the Individual—each person’s worth and dignity must be recognized and respected • Equality (of opportunity and before the law)—everyone must be treated the same, although results are not guaranteed • Majority Rule/Minority Rights—Majority wins, but cannot “stomp out” the minority views. • Necessity of Compromise—two dissenting views must cut “deals,” work together to get things accomplished. Example: new Education bill, tax cut of 2001

10. Classifying Democratic Governments by Relations between Executive and Legislative Branches • Definitions: • Legislative Branch—makes the laws (Congress in the U.S.) • Executive Branch—carries out the laws (The Presidency and the 14 (15? 16?) Cabinet departments • 2 types: • Presidential Gov’t—President and Cabinet not members of Leg. Branch (US) • Parliamentary Gov’t—PM and cabinet are part of Leg. Branch (Britain) Lack of gridlock in Parl. System, less stable though. Vote of No Confidence can remove government.

11. Classifying Governments byGeographic Distribution of Power • Unitary Government—All powers held by single, central agency; Local Governments exist only for administrative convenience EX: Great Britain, 50 state governments in the U.S., France, Italy, Sweden • Confederation—alliance of independent states; government only has specifically delegated powers (U.S. under the Articles, the Confederacy, CIS) • Federal Government-Powers divided between central government and state, local or regional governments, and the existence of subnational governments is specifically protected (US, Germany, India, Canada, Switzerland, Australia

12. Federalism in the U.S. • 50 state governments are UNITARY in form. Central government is FEDERAL. Remember where sovereignty is located. • Dual Federalism—Most power to the states, BASICALLY DEAD NOW. Commerce clause has been broadly interpreted, Necessary and Proper Clause gives Federal government more power as it is stretched. • New Deal Federalism—Most power to the federal government • “New Federalism”—return of “stolen powers” to states (Republican initiative)

13. How Power is Distributed in a Democracy: Theories of “Who Governs” • Majoritarian politics: Leaders are constrained to follow the people’s wishes closely, applies when issues are clear. Doesn’t always explain behavior. • Elitist Theories: When one group has a disproportionate share of power • Pluralist Theories: Many elites/centers of influence compete, no one dominates.

14. 4 Theories of Who Governs: • #1: Marxist Theory (Karl Marx): government reflects underlying economic forces. Bourgeoisie v. Proletariat (Factory owners/businessmen v. workers) • #2: Elitist (C. Wright Mills): Corporate leaders, military officers, and key political leaders govern. Wealth is the basis of class power

15. Theories of Who Governs • #3 Bureaucratic Model (Max Weber): Bureaucracy: Civil, day-to-day administration of government. Necessary because experts know what’s best and legislative agencies cannot provide for all contingencies. Criticized Marxist position for exclusively attributing government to economic roles • #4 Pluralist Model: No single elite has a monopoly on power. The power shifts, depending on issues…military will have lots of say on whether to build B-2 bomber, but no role on abortion policy. Multiple access points to government exist (Presidency, Congress, Bureaucracy) • Hyperpluralism: Pluralism “gone sour”—too much competition stifles government, can get little done. Recent explosion of interest groups

16. 4 Kinds of Politics • Majoritarian Politics: Almost everybody benefits from a policy and almost everyone pays. Revolve around questions of public opinion, ideological debate, world view, and party alliances…ex: Social Security • Interest Group Politics: One small group bears the cost, and other small group reaps the benefits… ex: Affirmative Action • Client Politics: One small group receives the benefits of a policy, and everyone pays… ex: Farmer Aid • Entrepreneurial Politics: Policies that benefit society as a whole and charge a small, identifiable portion of the population…often hinge on imaginary threats (Red Scare, most entrepreneurial politicians use symbols, buzz words like “pure food and water”)

17. Majoritarian Politics • Majoritarian politics: distributed benefits, distributed costs • Gives benefits to large numbers • Distributes costs to large numbers • Involves appeals to large blocs of voters, to find a majority • Debate is conducted in ideological or cost terms, e.g., military budgets.

18. Interest Group Politics • Interest group politics: concentrated benefits, concentrated costs • Gives benefits to a relatively small and identifiable group • Costs are imposed on another small and identifiable group. • Debate is carried on by interest groups with minimal involvement by the wider public (e.g., labor unions versus businesses).

19. Client Politics • Client politics: concentrated benefits, distributed costs • Relatively small group receives the benefits; that group has an incentive to organize and build coalitions (logrolling) • Costs are distributed widely—so there is little incentive for the opposition to mobilize (e.g., pork barrel projects) • Beneficiaries become “clients” of the government, because the policy serves their needs

20. Entrepreneurial Politics • Entrepreneurial politics: distributed benefits, concentrated costs • Gives benefits to large numbers • Costs are imposed on a small and identifiable group. • Success often depends on the people who work on behalf of unorganized majorities—policy entrepreneurs (e.g. Ralph Nader). • Or a large number of voters or legislators become disgruntled with another’s benefits or sees the need for a new policy. • Legitimacy of client claims is important (e.g., Superfund).

21. Debunking Cynicism • Surprisingly, politics is not always self-seeking • Alexis de Tocqueville commented on this • AFL-CIO supported civil rights in 1960s, without personal or organizational gain • Parties, elections, interest groups, and the media are key linkage institutions between citizens and government • No single theory adequate; reliance on history • Government is still evolving and responds to changing beliefs (more social security, also more intervention—both parties give and take, are moved by waves of change)

22. Early Political Thought • European enlightenment grows out of the Scientific Revolution of the 16th and 17th Centuries. Science creates confidence in the power of reason, which could be applied to human nature in the form of natural laws. Every problem could be solved through reason. • 2 prominent English thinkers of the 1600s: Thomas Hobbes and John Locke

23. Thomas Hobbes • Wrote The Leviathan • Believed that people are naturally selfish and greedy, self-centered. • Life in the state of nature is “solitary, poor, nasty, brutish, and short.” • People fear violence and death, so they allocate power to an absolute monarch which imposes order and demands obedience • Innate human greed makes people unable to govern themselves

24. John Locke • Wrote Two Treatises of Government • Agreed with Hobbes that humans are basically self-centered, but believed humans can be rational and moral • Locke argued that people have natural rights from the state of nature—the right to life, liberty, and property • To secure these rights, people form a government through social contracts. • The only valid or legitimate government is one that is based on the consent of the governed • If, for any reason, government breaks the contract by neglect or violating rights, the people have the opportunity to replace the government. • Thomas Jefferson later argues people have an “obligation” to eliminate oppressive regimes.

25. Linkage Institutions • There is a role of institutions (Executive, Legislative, Judicial) in the enactment of policy • There is also a role of the bureaucracy and courts in policy implementation and interpretation • But in both situations, policymakers must be aware of the demands of citizens. • Linkages between the policy process and citizens: 1. Political Parties 2. Interest Groups 3. Media 4. Elections

26. Political History • Political agenda has lengthened and government’s responsibilities have increased throughout U.S. history • Puzzling because the Constitution creates structures that make it difficult for the federal government to act Until well into the twentieth century … a) Few people cared about national politics. b) Governors and mayors were more visible than presidents. c) Federal government was small and predictable. For the first 150 years, the government grew slowly--restrained • Supreme Court defined government authority narrowly—Interstate Commerce. • Popular opinion supported a limited governmental role. • Political system was designed to limit government. • Large government is now permanent, mostly because it is supported by the people.

27. The Old System of U.S. Politics 1. Small agenda of political issues 2. Limited leadership circle, with movement activists excluded 3. Small congressional staffs; stable congressional coalitions that extended across many issues 4. Importance of state’s rights was generally accepted 5. Focus of policy debate was domestic 6. Debate was over the “legitimacy” of new issues 7. Presidency was less powerful and Congress protected local constituencies 8. Only crisis forced government into bold action – extraordinary powers were exercised only during the crisis

28. Why Change?? • Two periods in U.S. politics changed the political landscape • 1. Early 1930s: Depression / New Deal • 2. Mid-1960s: intellectual / political ferment; LBJ election in 1964 – Great Society and War on Poverty • 3. The 1960s probably had the greater impact because of the changes in leadership. • Individual members of Congress more powerful now.

29. The “New System” 1. Large policy agenda 2. End of the debate over the legitimacy of government action, except in regard to the First Amendment 3. Diffusion and decentralization of congressional power 4. Multiplication of interest groups 5. Debate over “managing” rather than “ruling” (examples, Social Security, civil rights, budget deficits, Medicare) • Old – new systems, the essential differences: 1. Hard to start a new program (old) vs. hard to change existing programs (new) 2. Power somewhat centralized (old) vs. power decentralized (new)

30. Results of “New System” • Preoccupation with rights (not responsibilities); assumption that affected groups have a right to participate in policy formation • Effects of rights on government functions—citizens must be informed • More “red tape”—government efficiency/effectiveness limited (Rosenbloom) • Debate about equality of opportunity versus equality of results. • More decentralized/fragmented government --more ideas surface • Competing ideas and divided public opinion make change difficult. • Difficult for gov’t to satisfy the public’s expectations—what is “the public?” • Courts have changed their interpretation of the Constitution--Bill of Rights has been extended to the states by the doctrine of incorporation and citizens can use federal courts to alter state policies; there is now easier access to the federal courts • Business is now regulated • Broad discretion is granted to administrative agencies—experts make policy under the radar • New standard for enacting program: Previously, examined a new program to see if it was a legitimate government activity. Changed, so now test is whether the program will be effective. • Wide distribution of political resources--# of interest groups has grown • TV and mass protests – information disseminated more widely/rapidly • Political candidates must present a wider, mass appeal

31. Answering the Enduring Questions • Why has the federal government become bigger and more complicated? 1. Public opinion and Supreme Court interpretations of the Constitution have both changed, and no longer restrain the growth of government. 2. Still, checks-and-balances has limited growth, in comparison with many other parliamentary systems. • What would our national government be like if it were based on a parliamentary system? 1. Quick adoption of broad new policies, as favored by temporary majorities 2. More national power, less local authority, over education, police, and land-use policies 3. Fewer chances for small groups of citizens to block change.

32. Consequences of an Activist Government • A. Costs and benefits of programs need to be assessed individually. • B. General political consequences of enlarged scope of activity: 1. Bureaucratization of all organizations—more time is spent managing the organization than creating the programs. 2. Rise of competing policies and agencies results in diffused accountability and control, and more paperwork. 3. Less control by the electorate because parties and turnout have less impact on government programs than do interest groups and lobbies 4. As government is held responsible for more, there is a greater risk of government failure and a consequent decline in public confidence.

33. Terms the Author Uses in Ch. 1 (Without telling you what the heck he’s talking about) • 4 parts of Federal Government: Presidency, Congress, Bureaucracy, and Judiciary • Imperialist Presidency—President’s power has grown, making him like a King, can act independently • Obstructionist Congress—Congress’s minority party tries like heck to frustrate the majority and block new initiatives • “Captured” Regulatory Agencies—special interests “buy” people and cause agencies to be lax in law enforcement • Policy “Gridlock”: Occurs when Congress and/or the Presidency are deadlocked on issues, usually caused by competing political interests

34. Ch. 1 Learning Objectives After reading and reviewing the material in this chapter the student should be able to do each of the following: • List the two basic questions to be asked about government in the United States (or any other nation) and show that they are distinct questions. • Explain what is meant by power, and by political power in particular. Relate the latter to authority, legitimacy, and democracy. • Distinguish among the three concepts of democracy mentioned in the chapter, explaining in which of three senses the textbook refers to United States government as democratic. • Differentiate between majoritarian politics and elitist politics, explaining the four major theories on the latter. • Explain how political change tends to make political scientists cautious in stating how politics works or what values dominate it. • Identify the key factors associated with the growth of government. • Describe the restraints on the growth of government. • Discuss the consequences of activist government. • Assess the influence of the political structure and of ideas on the process of serving some goals rather than others.