Government For Everybody Text

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GOVERNMENT
FOR
EVERYBODY
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GOVERNMENT
FOR
EVERYBODY
Second Edition
Steven L. Jantzen
AMSCO SCHOOL PUBLICATIONS, INC.

315 Hudson Street, New York, N.Y. 10013
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To the memory of my mother, Elizabeth Lauckhardt Jantzen, from whom I learned

the pleasure of reading widely and the importance of writing well.
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About the Author

Steven L. Jantzen began his career in education and publishing as a high school teacher of histo-
ry and government. Since 1971, when he published his first book, he has been writing and edit-
ing educational materials. Previous books by Mr. Jantzen include a history of World War I and
textbooks in citizenship, American history, and world history.
Reviewers
Michael Bunitsky Carl Murset
Curriculum Specialist, Social Studies Social Studies Department Chair
Frederick Public Schools South Philadelphia High School
Frederick County, MD Philadelphia, PA
Jacquelin Salvatto McCord Chris Totaro

Social Science Manager Social Studies Department Chair
Chicago Public Schools West Jefferson High School
Chicago, IL Harvey, LA
Arthur K. McCormack
Director of Student Research
Fordham Preparatory School
Bronx, NY
Cover & Text Design: Delgado and Company

Composition: Stratford Publishing Services
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R 512 H or GOVERNMENT FOR EVERYBODY, SECOND EDITION, Hardbound
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ISBN: 978-1-56765-681-7 / NYC Item 56765-681-6 (Hardbound edition)

ISBN: 978-1-56765-680-0 / NYC Item 56765-680-0 (Electronic edition)
Copyright 2010 by Amsco School Publications, Inc.
No part of this book may be reproduced in any form without written permission from the
publisher.
Printed in the United States of America
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Introduction

Whenever the people are well-informed, they can be trusted with their
own government.
Thomas Jefferson, 1789
Before you begin to read this book about the United States government, take
a moment to think about what year it is now and your current age. In what
year will you be 35 years old? On your birthday in that year is when you,
according to Article II, Section 1, of the United States Constitution, will be old
enough to run for president of the United States. The Constitution also
requires that a presidential candidate be a citizen by birth and a resident of
the country for 14 years. If you do not meet all these requirements, or cannot
wait until you are 35, you can consider a career in Congress. To run for the
Senate, you need to be only 30 years old and a citizen for at least nine years.
To run for the House of Representatives, you need to be only 25 years old and
a citizen for at least seven years. If your ambition is to hold an elected posi-
tion in the U.S. government, your reason for studying this book will be obvi-
ous: you are preparing for your career. If your ambitions lie elsewherein the
worlds of the arts, science, or business, for exampleyou might wonder why
you should study government. Here are the editors top ten reasons:
Why Study Government?

1. To understand the influence government has on your daily life
2. To understand why the government produces the policies it does
3. To understand and interpret current events in a rapidly changing world
4. To understand how the United States attempts to resolve conflicts and
seeks to establish order and security
5. To develop the ability to solve problems and make good decisions when
current events and economic and social issues affect you directly
6. To apply your understanding when voting, petitioning, and speaking
publicly
7. To deal with the government effectively in your future profession
8. To prepare for a career that requires a strong knowledge of government
9. To use your understanding of government to participate and bring about
change in your community or country
10. To contribute to the success of a democracy that depends on your under-
standing and active participation
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viii WHY STUDY GOVERNMENT?
Government for Everybody, Second Edition, is organized into eight units. As you
progress through the units, you can expect to learn: (Unit I) how the U.S. sys-
tem of government was established and how it differs from other govern-
ments, (Unit II) how and why the U.S. Constitution divides powers among
three branches of government, (Unit III) how the president is elected and
what the presidents duties and responsibilities are, (Unit IV) how the
Supreme Court and lower federal courts work and how the Supreme Court
upholds the U.S. Constitution and the Bill of Rights, (Unit V) how Congress
is structured, how it functions, and what roles it plays in decisions made in
the nations capital, (Unit VI) how the federal government makes domestic
and foreign policy, (Unit VII) how decisions are made in state capitals and city
halls of the nation, and (Unit VIII) how a citizen can influence government
decisions at every level.
While progressing through the units, refer back from time to time to the
Why Study Government? list on page vii. Try to express in your own words
why it is important to study government. As you learn more about the U.S.
government and state and local governments, you will see more clearly the
importance of studying this subject.
The Editors
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Contents

Introduction vii
UNIT I The U.S. Government: An Overview 1

Chapter 1 The Origins of the United States Government 3
1.1 Why Are Governments Organized? 4
1.2 How Can the Governments Power Be Limited to
Protect Peoples Rights? 6
1.3 How Did the United States Become a Land of the Free? 9
1.4 What Does the Declaration of Independence Say
About Liberty? 15
1.5 What Are the Goals of the U.S. Government? 18
Chapter 1 Review 19
Chapter 1 Skills Exercise Understanding and Developing a Time Line 23
Chapter 2 The U.S. Government and Other Systems

Compared 24
2.1 Autocracy and Totalitarian Systems 25
2.2 Characteristics of True Republics 29
2.3 How Does the United States Compare With Other Free
Republics? 31
2.4. Should the National Government Control the Local
Government? 34
2.5 How Does Capitalism Differ From Other Economic
Systems? 37
Chapter 2 Review 43
Chapter 2 Skills Exercise Completing and Analyzing a Chart 46
UNIT II The U.S. Constitution 47

Chapter 3 The Making of the U.S. Constitution 49
3.1 In What Ways Was the First U.S. Government Weak? 50
3.2 What Issues Were Debated at Philadelphia? 53
3.3 How Did the Delegates Settle Their Differences? 56
3.4 How Was the Constitution Debated and Ratified? 58
Chapter 3 Review 60
Chapter 3 Skills Exercise Identifying and Developing a Main Idea 64
Chapter 4 Understanding the Constitution 66

4.1 How Is the Constitution Organized? 66
4.2 How Is the Governments Power Divided Among the
Legislative, Executive, and Judicial Branches? 68
ix
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x CONTENTS
4.3 What Procedures for Governing Are Spelled Out in the

Constitution? 76
Chapter 4 Review 78
Chapter 4 Skills Exercise Analyzing a Diagram 82
Chapter 5 Changing the Constitution 83

5.1 How Can the Constitution Be Changed? 84
5.2 What Amendments Have Made the Constitution More
Democratic? 85
5.3 Which Amendments Made Our Government More
Efficient? 91
5.4 How Can the Constitution Be Changed in Informal Ways? 95
Chapter 5 Review 97
Chapter 5 Skills Exercise Interpreting a Political Map 100
UNIT III The President 101

Chapter 6 Electing a President 103
6.1 How Do Americans Elect a President? 103
6.2 How Do Presidential Candidates Compete? 110
6.3 What Is the Role of the Vice President? 114
Chapter 6 Review 119
Chapter 6 Skills Exercise Interpreting and Developing Line Graphs 123
Chapter 7 The Presidents Duties and Responsibilities 125

7.1 What Powers Does the Constitution Give the President? 126
7.2 Why Do Americans Expect the President to Provide
Leadership? 133
7.3 Who Helps the President Set Policy? 137
7.4 How Do Presidents Win Support for Their Policies? 141
Chapter 7 Skills Exercise Analyzing a Table 149
UNIT IV The Supreme Court 151

Chapter 8 The Supreme Court and the Lower Courts 153
8.1 What Does the Constitution Say About the Judiciary? 153
8.2 How Does the Supreme Court Interpret the
Constitution? 156
8.3 How Does the Supreme Court Make Its Decisions? 162
Chapter 8 Skills Exercise Reading and Summarizing an Editorial 173
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CONTENTS xi
Chapter 9 The Supreme Court and the Bill of Rights 176

9.1 The Bill of Rights 177
9.2 The Freedoms of the First Amendment 178
9.3 The Rights of the Accused 187
9.4 The Other Freedoms of the Bill of Rights 192
Chapter 9 Skills Exercise Analyzing and Developing Political
Cartoons 197
UNIT V Congress 199

Chapter 10 The Two Houses of Congress 201
10.1 What Are the Duties of a Member of Congress? 201
10.2 How Does the Senate Differ From the House? 207
10.3 Who Are the Leaders of Congress? 212
Chapter 10 Skills Exercise Interpreting and Developing Bar Graphs 220
Chapter 11 Lawmaking in Congress 222

11.1 What Kinds of Bills Does Congress Consider? 222
11.2 The Committee Process 226
11.3 The Final Steps for Turning a Bill Into a Law 231
11.4 How Do Lawmakers Win Support for Their Bills? 232
Chapter 11 Skills Exercise Analyzing and Developing Flowcharts 238
UNIT VI The Making of Domestic and Foreign

Policy 241
Chapter 12 Domestic Policy: Cabinet Departments and
Independent Agencies 243
12.1 What Are the Oldest Departments in the
Executive Branch? 244
12.2 Why Were Departments Added to the Cabinet? 250
12.3 Independent Agencies 258
Chapter 12 Skills Exercise Classifying 268
Chapter 13 Domestic Policy: The Bureaucracy and the

Budget 270
13.1 Who Works for the Federal Government? 270
13.2 How Is the Federal Bureaucracy Organized? 272
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xii CONTENTS
13.3 How Are the American People Taxed? 274

13.4 How Much Money Should the Government Borrow? 279
Chapter 13 Skills Exercise Developing and Comparing Pie Graphs 286
Chapter 14 U.S. Foreign Policy 287

14.1 Who Makes U.S. Foreign Policy? 288
14.2 How Does the U.S. Use Diplomacy to Settle Disputes? 299
14.3 What Policies Have Guided the United States
in the Past? 302
14.4 What Is the Future of U.S. Foreign Policy? 310
Chapter 14 Skills Exercise Making and Evaluating Generalizations 316
UNIT VII State and Local Government 319

Chapter 15 Comparing State Governments 321
15.1 In What Ways Are the State Governments Similar to
the U.S. Government? 321
15.2 In What Ways Are the State Governments Different
From the U.S. Government? 325
15.3 In What Ways Are the State Governments Different
From One Another? 330
Chapter 15 Skills Exercise Drawing Inferences 338
Chapter 16 Comparing Local Governments 341

16.1 Different Types of Local Government 341
16.2 How Are Municipalities Governed? 346
16.3 How Are Counties Governed? 350
16.4 Metropolitan Areas Today 354
Chapter 16 Skills Exercise Writing a Letter to the Editor 359
UNIT VIII Government and You 361

Chapter 17 Your Right to Vote 363
17.1 How Do Candidates Compete for Your Vote? 363
17.2 Who Can Be Prevented From Voting? 368
17.3 How Do Voters Indicate Their Choices in
an Election? 370
Chapter 17 Skills Exercise Completing a Chart 378
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CONTENTS xiii
Chapter 18 Choosing a Political Party 379

18.1 Why Do We Have Political Parties? 379
18.2 How Do Parties Nominate Candidates? 383
18.3 How Do Democrats Differ From Republicans? 386
18.4 Third Parties and Independent Candidates 393
Chapter 18 Skills Exercise Selecting Reference Works 403
Chapter 19 Influencing Government 404

19.1 How Special Interest Groups Influence Policy 404
19.2 How Does Public Opinion Influence Policy? 407
19.3 How Do Politicians Seek to Influence Voters? 411
Chapter 19 Skills Exercise Understanding and Developing
Editorial Cartoons 419
Chapter 20 Citizenship: You and the Law 421

20.1 What Are the Rights and Obligations of Citizens? 421
20.2 How Do Citizens Serve on Juries, Pay Taxes, and
Register With the Military? 424
20.3 How Do Immigrants Become U.S. Citizens? 427
Chapter 20 Skills Exercise Distinguishing Between Facts
and Opinions 433
The Declaration of Independence 435
The Constitution of the United States of America 440
Landmark Supreme Court Cases 463
Glossary 471
Index 489
Acknowledgments 511
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UNIT I
THE U.S.
GOVERNMENT:
AN OVERVIEW
Washington Monument
F
or thousands of years, human beings have depended on some
type of system of government in order to organize their affairs
and protect themselves from internal and external dangers.
The chapters in this first unit define what government is, along
with the related concepts of nation and politics. You will then learn
the history, traditions, and ideas that led to the establishment of the
United States government. The role and purpose of government in
the American context will be explored in depth by studying two of the
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most important documents in American history: the Declaration of

Independence (1776) and the U.S. Constitution (1787).
What makes the U.S. government similar to and different from the
many types of government that have existed in history and exist today
around the world? How do free governments differ from one another?
The second chapter will compare different types of government in
detail. A nations government is an important factor in determining the
type of economic system it has for producing goods and services for its
people. You will learn the differences among the free-market, mixed,
Socialist, and Communist systems.
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Chapter 1

The Origins of
the United States
Government
KEY TERMS
government Bill of Rights corporate
politics (English) colony
nation natural right Preamble
sovereignty constitution due process
right unconstitutional domestic
Mayflower tranquility
privilege
Compact general welfare
Magna Carta
royal colony liberty
Petition of
Right proprietary
colony
What is government, and what is it supposed to do? What motivated the

colonists in 1776 to break away from England, which had democratic institu-
tions, and form a new nation, the United States? What principles is the United
States government based on, and what are its goals? This chapter answers these
questions by explaining the practical need for government, showing how the
power of the government over its people can be limited, and discussing the
Declaration of Independence (1776) and the Preamble of the United States
Constitution (1787).
3
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4 UNIT I THE U.S. GOVERNMENT: AN OVERVIEW
1.1 Why Are Governments Organized?

In the media, we often hear journalists and broadcasters talk about govern-
ment, politics, and nations. Although they recognize these words, most
people are unsure of how to define them.
What Is Government?
Government is a system for managing a community or nation and the lead-
ers or lawmakers who control that system. For example, local governments
such as the ones in cities, towns, and counties, install traffic signals and signs
on streets to regulate the flow of traffic and increase safety. Without traffic sig-
nals and signs, the streets would be disorderly, chaotic, and dangerous to both
drivers and pedestrians.
A traffic enforcement officer, employed by New York City, helps preserve public safety by
directing cars and pedestrians.
People expect their leaders in government to take responsibility for the

welfare of the entire community and keep order during times of crisis. For
example, in 1794, farmers in western Pennsylvania violently resisted efforts of
the federal government to collect excise taxes (ones imposed on specific
items) that were lawfully passed on whiskey. President George Washington
responded by sending about 15,000 troops to suppress the Whiskey Rebellion
and preserve the authority and legitimacy of the federal government.
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What Is Politics?
Politics is the process of deciding who gets to run the government and make
its laws. The people of a nation or community often disagree about who
should be governing them. One group of people may want changes in the
laws, while others are satisfied and oppose any change. Different groups com-
pete for the right to govern the nation. To settle their argument, one group
may even use force against the other. More often, the argument is settled
through peaceful means such as holding an election.
What Is a Nation?
A nation is a people with common customs whose government has sover-
eignty, meaning exclusive and independent, control over a certain defined ter-
ritory. A nation may be as large as the United States, Russia, China, and Canada.
Nations may also be as small as San Marino and Luxembourg in Europe and the
islands of Fiji and Vanuatu in the Pacific. All of these places are rightly called
nations because they have the following characteristics: (1) land with definite
boundaries; (2) people living on the land who share much in common such as
language, culture, and customs; (3) a system of government; and (4) sover-
eignty. The United States is considered a sovereign nation because its govern-
ment is free to make laws for its people without any interference from any
foreign government.
Comparing Canada and San Marino
Beaufort Sea
Baffin Bay
Great
Bear Lake
SAN
N MARINO

Great San Marino
Slave Lake W E
Hudson Bay S
CANADA SAN
MARINO
Lake
Winnipeg
Ottawa

Atlantic
Ocean
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Why Are Governments Organized?

Why do people need to be governed? Why do nations have governments? Let
us start with three important reasons for organizing governments:
1. Order. People generally feel insecure without some system of order. They
want to know what the rules are for living and working in a group. The
government provides such rules or laws.
2. Protection. Everyone can face danger from natural disasters, disease, acci-
dents, fire, crime, terrorism, and war. Government is expected to protect its
people from such dangers and provide relief to victims.
3. Public good. Governments are expected to enact policies and provide ser-
vices that promote the interests of the entire nation or community. On the
state and local levels, governments set up hospitals and public schools for
the benefit of their citizens.
REVIEW
1. Define: government, politics, nation, and sovereignty.
2. In what ways can political disputes be resolved?
3. What are the characteristics of a nation?
4. Why are governments organized?
1.2 How Can the Governments Power Be

Limited to Protect Peoples Rights?
In England, the ideas that the governments power should be limited and
should respect peoples rights developed gradually. Many people in the 13
colonies in America strongly held these views as well. In this section, we will
examine the concept of rights.
Rights and Privileges

A right is something that all persons justly claim. For example, every Ameri-
can has the right to attend public high school. It is also every citizens right to
be treated fairly in a court of law. Rights are not the same thing as privileges.
A privilege is an opportunity that some people may attain, while others do
not. In the past, in Europe, different groups in society enjoyed special privi-
leges. Nobles were more privileged than peasants. Masters were more privi-
leged than slaves. However, the idea of rightssomething possessed equally
by allwas rare. In England, peoples rights became respected only after cen-
turies of bitter struggle between the common people and their kings.
The Defeat of Three English Kings

King John (11661216) was the first English monarch forced to grant rights to
his people. In 1215, English nobles refused the kings demand for more taxes
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King John signs the Magna Carta, which

limited his power over his subjects.
to finance a war against France. They forced King John to sign a document,
later called the Magna Carta (Great Charter), that limited his power. For
example, he promised that no noble would be arrested and imprisoned
unless by the lawful judgment of a jury.
The Magna Carta was important because it established a new principle. It
stated that the law was more powerful than a monarch. After 1215, the kings
power was limited.
A 17th-century English king, Charles I, was also forced to recognize the
rights of his subjects. To pay for a costly war against the French, he needed to
raise taxes. But Parliament refused unless he consented to its Petition of
Right of 1628. Among the rights of English citizens were the following:
Taxes could not be levied (collected from the people) unless Parliament agreed.
Soldiers could not be housed in private homes without the consent of
Parliament.
The king defied this petition and tried to rule without Parliament. But his ene-
mies revolted against him, took him prisoner, and finally beheaded him in 1649.
The third king whose tyranny provoked revolt was James II. In 1688, leaders
of Parliament raised an army against him, forcing him to flee England. In the
next year, 1689, they drew up a Bill of Rights, which included:
An army could not be maintained without the consent of Parliament.
Taxes could not be raised without the consent of Parliament.
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Cruel and unusual punishments for those accused of crimes were prohibited.
Unless found guilty by a jury, no one could be punished for a crime.
The revolt against James II affected the American colonies as well as England.
It was celebrated as the Glorious Revolution because peoples rights had pre-
vailed against a kings claim of unlimited power. The rights won by the English
prepared the way for many of the rights now enjoyed by Americans.
Ideas of John Locke

The ideas of the English philosopher John Locke (16321704) influenced
many people in Europe and America. Locke was one of the many lovers of lib-
erty who cheered the Glorious Revolution of 1688. In his book, Two Treatises
of Government (1690), he argued:
The first human beings on earth lived in
a state of nature without any govern-
ment. In this original state, they had nat-
ural rights that belonged equally to all.
They were completely free.
In time, people decided to live in groups
and to surrender some of their freedom
to a ruler or monarch. They gained secu-
rity from the governments laws.
Only some freedoms were given up.
Others were permanent. They could
never be surrendered. Such unalienable
rightsor natural rightsincluded
the right to life and private property.
Sometimes monarchs tried to violate a
citizens natural rights. It was every citi- John Locke
zens duty to disobey the tyrants laws
and rise up in revolt.
Lockes ideas about liberty were talked about not only in London, but in
the towns of colonial America. His ideas influenced the framers of the U.S.
Constitution.
Government Limited by a Supreme Law

From the Magna Carta to Lockes writings, one idea was stated again and again.
All government officialseven kingsmust obey a higher law. The name most
commonly given to this highest, or supreme, law was a constitution (plan of
government). The English people thought of their constitution as a set of polit-
ical customs and long-established rights. It set limits on what kings could and
could not do. Certain actions of government were allowed by the constitution.
But tyrannical actsanything that threatened basic rightswere forbidden.
Why? Such acts were contrary to the constitution, or unconstitutional.
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A nations constitution may be either a single written document, or it can be

a number of documents and laws that were written down over the course of cen-
turies. Britains constitution is an example of the latter. The constitution consists
of the Magna Carta, the Petition of Right, the Bill of Rights, and later documents
that describe the plan of government and the rights of the people. No single
British document says it all. By contrast, the full U.S. Constitution was written all
at once, in 1787, and just 27 amendments to it have been made since. The people
who wrote the U.S. Constitution had been born as subjects under the British sys-
tem. They cherished the idea of citizens rights and a limited government. That is
why the Constitution that they wrote listed things that the U.S. government
both could do and could not do. Their written Constitution was the supreme
law that government officials would have to obey, serve, and protect.
REVIEW
1. Define or identify: rights, privileges, Magna Carta, Petition of Right, Bill of
Rights (English), constitution, and unconstitutional.
2. Why is the Magna Carta considered part of the foundation of English and
American democracy?
3. How did the overthrow of King James II of England in 1688 (the Glorious
Revolution) affect the American colonies?
4. How did the English Bill of Rights of 1689 limit the power of the king?
5. How did John Lockes Two Treatises of Government (1690) affect America?
1.3 How Did the United States Become

a Land of the Free?
Decades before American colonists had even considered breaking away from
England, they had already developed certain habits of thinking and acting.
Many colonists were used to self-government and supported the ideas of reli-
gious toleration and limited government. Before 1776, Americans had more
than 150 years of experience in making laws for their own towns and colonies.
In the American colonies, different Protestant denominations and Catholics
learned to tolerate people of different faiths. By 1776, religious liberty for
almost all groups became the norm. Colonists, in 1776, believed that they had
fundamental rights that no government could take away. As discussed in the
previous section, this idea of rights combined with limited government was
rooted in almost 600 years of English history.
Laws of the First Colonial Assembly

In May 1607, a band of English adventurers decided to explore for gold along
the banks of the James River in Virginia. They called their town of crude huts
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Meeting of the House of Burgesses in the Virginia colony
Jamestown. It became the first permanent English settlement in North America.

It was also the beginning of the colony (and later the state) of Virginia.
At first, the laws of Jamestown were dictated by just one man. This gover-
nor took orders from a business firm in London, the Virginia Company, which
had put up the money for colonizing Virginia.
In 1619, the companys directors decided to try out an entirely different plan
of government. They appointed a new governor and six men to assist him as
his council. They also set up a lawmaking group, or assembly, called the House
of Burgesses. Colonists themselves could decide who would represent them in
this assembly. Each tobacco plantation outside Jamestown was entitled to
choose two property owners who could vote upon new laws for the colony.
For six days in the summer of 1619, 22 men from 11 plantations met with
the governor in a church in Jamestown. They passed laws prohibiting such
acts as getting drunk, gambling at dice and cards, stealing canoes from Native
Americans, and selling hounds or any English dog of quality to the Native
Americans. These were among the first laws of the first representative assem-
bly in North America.
Mayflower Compact
On November 21, 1620, after a hard voyage across the storm-tossed Atlantic,
Pilgrim families were still living on their crowded ship, the Mayflower. Quarrels
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broke out among the weary travelers. In order to settle their quarrels, they
decided to draw up a compact, or written agreement, aboard ship; 41 male pas-
sengers signed a document that was later called the Mayflower Compact.
They pledged in the presence of God and one another to join together for
our better ordering and preservation. Furthermore, they agreed to make just
and equal laws . . . for the general good of the colony.
The second English colony in America started with the Pilgrims town of
Plymouth in Massachusetts. The Pilgrims found out right away that they
could not rely upon the laws of far-off England. In the American wilderness,
settlers had to make their own laws for their own benefit.
The Mayflower Compact was another sign that Americans would be a self-
governing people. Even before they settled into houses, the Pilgrims had rec-
ognized that government was crucial to thema government of their own
making.
Consent of the Governed

The Plymouth colony eventually became part of a larger colony called Massa-
chusetts Bay (or just Massachusetts). Other English colonies were also founded
on the Atlantic Coast. By 1733, there were 13 colonies in all, each with its own
government.
There were differences among the colonial governments at first. The gover-
nors for some of them were appointed by the English king. These royal
colonies were Georgia, Massachusetts, New Hampshire, New Jersey, New York,
North Carolina, and South Carolina. The governors for so-called proprietary
colonies, Pennsylvania, Maryland, and Delaware, were appointed by individ-
ual owners, or proprietors. For example, Pennsylvanias proprietor was William
Penn. The governors for two corporate colonies, Rhode Island and Connecti-
cut, were elected by the people.
The Pilgrims sign the Mayflower Compact.

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The colonies were alike in more ways than they were different. All 13
colonies had assemblies like Virginias House of Burgesses. Members of the
assemblies were elected by farmers, tavern keepers, blacksmiths, and other
property-owning men. In effect, they represented and spoke for their neigh-
bors. If a proposed law threatened to injure the voters who elected them,
assembly members would refuse to give their consent to it. In this way, they
prevented governors from acting like tyrants.
Power of the Purse

No government can function without income collected from taxes. At the
same time, taxes are a burden for the people who must pay them.
In the 1700s, most governments of the world forced people to pay taxes
without asking their consent. However, this was not true in England. English
citizens elected representatives to sit in a lawmaking body called Parliament.
Members of Parliament could vote either for or against the taxes requested by
the king.
In the English colonies in America, a similar practice was adopted. Each
colonial assembly claimed the power of the purse, the power to vote to col-
lect taxes. The royal governor could not tax the people of a colony unless the
assembly first consented to it. The power of the purse gave the peoples elected
representatives more real power than the governor, who represented the king.
Religious Toleration
In the 1600s and 1700s, religious strife troubled Europe. In France, Catholics
persecuted Protestants. Spanish Catholics persecuted anyone suspected of
being Jewish, Protestant, or Muslim. British Protestants banned Catholicism.
In fact, religious freedom was not common in any European country except
Holland.
The situation was different in the American colonies. One reason that
settlers came to the New World was to escape religious persecution in the Old
World. Pennsylvania, for example, was a haven for Quakers, whose religion
was not tolerated in England.
As a practical matter, it made no sense to require all settlers to worship in the
same way. The colonists were a mixed group, coming from all parts of Europe.
There were English Puritans, English Quakers, German Baptists, German Jews,
Dutch Reformed Protestants, Scottish Presbyterians, and many others. The
energy and labor of every group were needed to settle the American wilderness.
Religious faith gave many colonists the courage to face risks and hardships.
George Calvert, the founder of the Maryland colony, was Catholic. He
quickly realized that religious differences should not get in the way of settle-
ment. Calverts government granted freedom of worship to both Protestants
and Catholics.
The founder of the Rhode Island colony, Roger Williams, went even far-
ther. His colonial government extended tolerance to Protestants, Catholics,
Jews, Muslims, and even nonbelievers.
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Not all the colonies were as tolerant as Maryland and Rhode Island. For
many years, the laws of colonial Massachusetts required people to attend only
Puritan churches. Over time, however, Massachusetts too granted religious
freedom to its citizens.
By the year 1750, religious toleration became more common throughout
the colonies. Toleration was important in making America a land of the free.
REVIEW
1. Define or identify: Mayflower Compact, royal colony, proprietary colony,
and corporate colony.
2. How did the Mayflower Compact help make the Pilgrims a self-governing
body?
3. How were colonial governments alike? How were they different?
4. How did the power of the purse help to limit the royal governors power
over their American colonies?
5. How was there more religious freedom in the American colonies than in
most of Europe?
PATRICK HENRY: An Early American Patriot

Patrick Henry is often remembered today for concluding a speech he
delivered with the bold words, Give me liberty or give me death! Henry
spoke these words in Richmond, Virginia, on March 23,
1775, about one month before the Battle of Lexington
and Concord took place in Massachusetts, the first
skirmish in the American Revolutionary War between
British troops and American patriots. Who was Patrick
Henry?
Patrick Henry was born in Hanover County, Virginia, on
May 29, 1736. After studying law on his own, he was
admitted to the Virginia Bar in 1760. Henrys political
Patrick Henry career began in 1765 when he was elected to the House
of Burgesses, the Virginia colonys legislative assembly. In
the same year, Henry earned considerable attention for his passionate
opposition to the Stamp Act, a tax passed by the British Parliament that
required all lawyers, merchants, and printers to buy a stamp from officials of
the British government and attach it to all newspapers, contracts, and other
documents. Many colonists objected to the Stamp Act because it was forced
on them without their consent or input. While many Virginians applauded
Henrys efforts, many critics believed that his fiery oratory crossed the line
from principled opposition to unjust policies into treason against the British king.
Over the next ten years, the relationship between the British crown and
the American colonists rapidly deteriorated to the point where war seemed
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PATRICK HENRY: An Early American Patriot (Continued)
Angry colonists protest the Stamp Act.
inevitable. On March 23, 1775, the House of Burgesses met to decide whether
to commit troops to fight against British rule. Many representatives held out
hope that war could be avoided. Henry got up and spoke. He noted that the
colonists previous appeals to the British government had all been ignored, and
the colonists had to take armed action to defend their rights. There is no longer
any room for hope, he said. If we wish to be freeif we mean to preserve
inviolate those inestimable privileges for which we have been so long
contendingif we mean not basely to abandon the noble struggle in which we
have been so long engaged, and which we have pledged ourselves never to
abandon until the glorious object of our contest shall be obtained-we must
fight! Henry then concluded his speech with some of the most famous words
ever spoken in history: Is life so dear, or peace so sweet, as to be purchased at
the price of chains and slavery? Forbid it, Almighty God! I know not what course
others may take; but as for me, give me liberty or give me death!
Patrick Henry went on to serve as governor of Virginia in two separate stints
(17761779 and 17841786). He later strongly opposed the U.S. Constitution,
thinking it gave the federal government too much power. Henry supported
adding the Bill of Rights to the Constitution, which alleviated his fears.
In 1795, Henry declined President George Washingtons request to serve as
U.S. Secretary of State. Patrick Henry died in his native Virginia on June 6, 1799.
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1.4 What Does the Declaration of Independence

Say About Liberty?
How and why did 13 English colonies become 13 independent states? What
caused them to form a new nationthe United Statesin 1776?
Events Leading to Revolution

Between 1765 and 1775, Americans became even more alarmed at British
behavior. They resented the British troops that marched and drilled in the
center of Boston. Growing resentment and fear led to acts of violence. Angered
by rebellious acts in Boston, King George III ordered the British navy to close
Bostons harbor. Outraged Americans regarded the kings harsh measures as
acts of tyranny and war. By the summer of 1776, there had been two major
battles between the British army and the American colonists.
How were American liberties to be defended from the menace of
British arms? To decide this question, delegates from 13 colonies traveled to
Philadelphia to meet together as the Second Continental Congress. At first,
only a few of the delegates wanted to break away completely from British
rule, but their arguments on behalf of independence finally persuaded the
others.
Who would write the document announcing to England and the world
the colonies decision? The delegate chosen for the task was a young Virginian
named Thomas Jefferson. In an upstairs room of a Philadelphia boarding-
house, Jefferson wrote four pages of arguments for independence. He showed
his work to an older writer, Benjamin
Franklin, who made a few changes to it. On
the evening of July 4, 1776, the Continen-
tal Congress voted to accept Jeffersons doc-
ument as its official declaration to the
world. The document was titled, The
Unanimous Declaration of the Thirteen
United States of America. We celebrate it
today as the Declaration of Independence.
It has much to say to Americans, even
today. Let us examine the document.
First Paragraph
Jefferson began by announcing that the
time had come for the American colonies to
Benjamin Franklin (left), John Adams become a separate nation. The purpose of
(center), and Thomas Jefferson (right) the Declaration was to declare the causes
discuss Jeffersons draft of the for wanting to be independent from
Declaration of Independence. English rule.
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Middle Paragraphs
This paragraph is the most famous. It presents a theory about government and
peoples rights. Governments one function, said Jefferson, is to protect peoples
rights to life, liberty, and the pursuit of happiness. Governments power to
make laws comes from the consent of the governed themselves. If any govern-
ment forgets this fact, then people have a right and a duty to rebel against it. As
Jefferson wrote:
We hold these truths to be self-evident: that all men are created equal;
that they are endowed by their Creator with certain unalienable rights,
that among these are life, liberty, and the pursuit of happiness.
That to secure these rights, governments are instituted among men,
deriving their just powers from the consent of the governed. That,
whenever any form of government becomes destructive of these ends,
it is the right of the people to alter or to abolish it. . . .
Why did some American people think it right to revolt against British
rule? Jefferson explained:
The history of the present King of Great Britain is a history of repeated
injuries and usurpations [seizures of power by illegal means], all having
in direct object the establishment of an absolute tyranny over these
states.
Grievances Against the King

The longest section of the Declaration of Independence lists grievances against
King George III of England.
Six of the declarations 27 grievances are quoted below with explanations
in parentheses.
He has dissolved representative houses repeatedly. (When colonial assem-
blies defied the wishes of the royal governors, they were ordered to stop
meeting.)
He has kept among us, in times of peace, standing armies, without the con-
sent of our legislatures. (The king kept British troops in the colonies during
peacetime.)
For quartering large bodies of armed troops among us. . . . (Britain required
colonists to use their homes for lodging soldiers.)
For imposing taxes on us without our consent. . . . (One such tax was the
Stamp Act. Other taxes were placed on tea and other goods imported from
England. Colonists defied these taxes by refusing to purchase British goods
and by dumping British tea into Boston Harbor.)
For cutting off our trade with all parts of the world. . . . (To punish Boston
for destroying British tea, the British navy closed the city to trade.)
He has abdicated government here by declaring us out of his protection
and waging war against us. (In April 1775, British soldiers marched from
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Members of the First Continental Congress sign the Declaration of Independence.
Boston to the town of Lexington. They opened fire on a small troop of armed
farmers, the Minutemen. Marching on to Concord, the British were attacked
by other farmers in the first battle of the American Revolution.)
Conclusion
The last paragraph declared the United States to be a new nation:
We, therefore . . . solemnly publish and declare: that these united colonies
are, and of right ought to be, free and independent states. . . . And for
the support of this declaration, with a firm reliance on the protection of
Divine Providence, we mutually pledge to each other our lives, our for-
tunes, and our sacred honor.
The 56 signers of the declaration risked their lives and fortunes. If their
side had lost the war, they might have been executed as traitors. Instead,
George Washingtons army endured eight hard years of war, 17751783, and
finally prevailed.
REVIEW
1. What did Thomas Jefferson explain was the purpose of the Declaration of
Independence?
2. Why did Jefferson believe the American people were justified in revolting
against British rule?
3. List at least three grievances against King George III that are mentioned in
the Declaration of Independence.
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1.5 What Are the Goals of

the U.S. Government?
The government of the United States is the work of a group of talented leaders,
including George Washington, James Madison, Alexander Hamilton, and Ben-
jamin Franklin. The system of government that they created in 1787 has
lasted to this day.
The document that describes our national government is the United States
Constitution. The Constitution begins with three simple words: We the
people. The Preamble, the beginning of the Constitution, presents the six
goals of the peoples government:
We the people of the United States, in order to form a more perfect
Union, establish justice, insure domestic tranquility, provide for the
common defense, promote the general welfare, and secure the blessings
of liberty to ourselves and our posterity, do ordain and establish this
Constitution for the United States of America.
The Preambles goals are explained below.
1. Form a more perfect union. In 1787, states such as New York and Vir-
ginia were nearly sovereign. They could not be forced to obey the laws passed
by a weak U.S. Congress. Therefore, a stronger system of government, under
the Constitution, was thought needed. Greater unity among the states, a
more perfect union, was the new governments first important goal.
2. Establish justice. Justice refers to the governments methods of
enforcing the law through due process (government must respect all of
the legal rights that are owed to a person according to the law of the land)
and settling disputes between people impartially. In the modern context,
justice means that the government treats all people equally and fairly
regardless of their economic status, race, religion, ethnicity, and sex.
3. Insure domestic tranquility. Domestic tranquility means pre-
serving the peace, law, and order within the nation. The government
pledges to uphold the rule of law and suppress threats such as armed rebel-
lion. The words imply that the government will seek to pursue sound and
just policies that will not spark violence and rebellion.
4. Provide for the common defense. The federal government pledges
to defend the nation from armed attacks by other nations.
5. Promote the general welfare. The government promotes the well-
being of the American people by building roads, regulating commerce
among the states, establishing post offices, and issuing money. (In the 20th
century, the federal government assumed a greater role in regulating the
economy and began providing a safety net for the poor, unemployed,
sick, and elderly.)
6. Secure the blessings of liberty. The Constitution promises individ-
ual freedoms to Americans. (Over the next two centuries, liberty was gradu-
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ally extended to include African Americans, Native Americans, and

women.) Liberty, in the context of the Constitution, means that the gov-
ernment respects everyones basic rights to think, speak, and act freely
without fear of persecution.
In the 18th century, most rulers in Europe had no interest in protecting
the individual liberties of their subjects. By including liberty among the aims
of government, as important as national defense and the rule of law, the
framers of the U.S. Constitution did something original.
REVIEW
1. Define: Preamble, due process, domestic tranquility, general welfare, and
liberty.
2. Briefly explain each of the six goals of the U.S. government outlined in the
Preamble of the Constitution.
3. Show how the six purposes of government listed in the Preamble to the
Constitution work together to make the United States a democracy.
CHAPTER 1 REVIEW
Multiple-Choice Questions
Read each question carefully and choose the best answer.
1. Government is best defined here as a system for (a) collecting taxes
(b) managing a community or nation and the officials who run that sys-
tem (c) making war (d) building highways and bridges.
2. Politics is best defined as the process of (a) gaining and keeping control of
a government (b) deal making and debate (c) making full use of a nations
resources (d) providing jobs for everyone.
3. A nation cannot exist without (a) a king (b) a legislature (c) sovereignty
(d) free elections.
4. Laws in the American colonies were made by the (a) British Parliament
(b) colonial governor (c) British monarchy (d) colonial assemblies.
5. The significance of the establishment of the Virginia House of Burgesses in
1619 was that it (a) led to our system of checks and balances (b) brought an
end to all conflicts with Native Americans (c) was the first elected assembly
in North America (d) introduced the confederate system of government.
6. Long before the Revolutionary War, Americans had become used to self-
government because (a) royal colonies had disappeared by 1700 (b) their
assemblies used the power of the purse to check the power of colonial
governors (c) Parliament was eager to allow the colonies to run their own
affairs (d) the British monarchy encouraged self-government.
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7. The Magna Carta, the Petition of Right, and the English Bill of Rights
all attempted to (a) limit the power of the English kings (b) extend the
right to vote to all citizens (c) extend full rights to the American colonies
(d) unite England and the American colonies.
8. The ideas of John Locke (a) opposed democracy (b) influenced the
colonists in their struggle against George III (c) supported tyranny
(d) stressed religious toleration.
9. The Declaration of Independence shows the influence of John Locke by
stressing the importance of (a) a strong court system (b) a standing army
(c) colonial assemblies (d) natural rights.
10. Thomas Jefferson states in the Declaration of Independence that the
main purpose of government is to (a) maintain law and order (b) provide
jobs for all (c) protect the peoples rights (d) provide safety for its citizens.
Document-Based Questions
Read and analyze each document and answer the question that follows it.
Then read the task and write your essay. Essays should include references to
most of the documents along with additional information based on your
knowledge of U.S. government.
Historical Context: Beginning in the Middle Ages, a government evolved

in England that limited royal power and protected basic legal rights and liberties
of the English people. When English colonies were established in America, the
colonists developed governments of their own that continued these traditions.
DOCUMENT 1
No freeman shall be arrested or imprisoned . . . unless by a lawful trial

and judgment by a jury of his peers, or by the law of the land.
Article 39, Magna Carta (1215)
1. Which right or freedom is guaranteed by the above section of the Magna
Carta?
DOCUMENT 2
To the Kings Most Excellent Majesty

. . . by which statutes and other good laws . . . your subjects have inher-
ited this freedom, that they should not be compelled to pay any tax . . .
not set by common consent in Parliament.
. . . no man should be put out of his land . . . nor arrested, imprisoned,
nor put to death without being brought to answer by due process of law.
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Whereas great companies of soldiers and sailors have been sent

throughout the kingdom, and the inhabitants have been compelled to
receive them into their houses against their wills, Your Majesty will be
pleased to remove the said soldiers and sailors so that your people may
not be so burdened.
Petition of Right (1628)
2. How did the Petition of Right attempt to limit the kings powers?
DOCUMENT 3
An Act of Parliament Declaring the Rights and Liberties of the Subjects

and Settling the Succession of the Crown
The power of suspending laws by royal authority without the consent
of Parliament is illegal. . . .
The levying of money for the use of the King without the grant of Par-
liament . . . is illegal.
Keeping a standing army within the kingdom in time of peace, unless it
be with the consent of Parliament, is against the law.
Excessive bail ought not to be required, nor excessive fines imposed,
nor cruel and unusual punishment inflicted.
English Bill of Rights (1689)
3. List one right or freedom mentioned in the English Bill of Rights.
DOCUMENT 4
Men being, by nature, all free, equal and independent, no one can be put
out of this state and subjected to the political power of another without
his own consent. The only way whereby anyone gives up his natural lib-
erty, and agrees to be bound by the laws of civil society, is by agreeing with
other men to join and unite into a community for their safe and peaceable
living, one amongst the other. . . .
But though men when they enter into society give up the equality, lib-
erty and power they had in the state of nature, into the hands of the
society, . . . it is only with an intention . . . to better preserve themselves,
their liberty, and their property.
John Locke, Two Treatises of Government (1690)
4. According to Locke, what do people gain when they agree to give up their
liberty and be bound by the laws of society?
DOCUMENT 5
that they are endowed by their Creator with certain unalienable rights;
that among these are life, liberty and the pursuit of happiness.
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That to secure these rights, governments are instituted among men,

deriving their just powers from the consent of the governed. That,
whenever any form of government becomes destructive of these ends,
it is the right of the people to alter or abolish it and institute a new gov-
ernment, . . . as shall seem to them most likely to effect their safety and
happiness.
Declaration of Independence (1776)
5. According to the Declaration of Independence, what is the purpose of gov-
ernment?
Task: Using information from the documents and your knowledge of govern-
ment, write an essay in which you:
show how American government evolved from a tradition that protected
individual rights and liberties
explain how Americans had come to expect that their governments would
have limited power
show how by definition a constitutional democracy protects the peoples
rights and limits governmental power at the same time
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Chapter 1 Skills Exercise

Understanding and Developing a Time Line
A. Answer these questions about time lines.
1. What is the purpose of a time line?

2. How does a time line accomplish this purpose?
3. In the time line below, where does the earliest date appear? Where is
the latest date?
4. In what other direction have you seen time lines progress?
B. Answer these questions related to the timeline below.
Events in England Related to Limiting the Power of the Monarchy

1681 Dissolution of Parliament
by Charles II
1215 Limitation of 1659 Restoration of 1690 Publication of

monarch's power through Rump Parliament John Locke's
Magna Carta Two Treatises
1660 King Charles II of Government
takes throne
1625 King Charles I 1628 Petition of Right 1658 Death of Oliver Cromwell 1689 Establishment of
takes throne Succession of Cromwell's England's Bill of Rights
son, Richard, Lord 1679 Passage of Act
Protector of Habeas Corpus,
1653 Rump Parliament mandating trial prior
dissolved by Cromwell to imprisonment
1649 Beheading of King Charles I Petitions calling for

new Parliament
England declared a commonwealth rejected by Charles II
Suppression of Catholic rebellions in Establishment of terms

Ireland by Oliver Cromwell; Cromwell Whigs (royalists) and Tories
declares self Lord Protector (opponents of royalists)
5. Was Englands Bill of Rights established before or after Charles II

took the throne?
6. List two events that occurred during the same year that England was
declared a commonwealth.
7. Could King Charles I have read Two Treatises of Government? Explain.
8. Could Oliver Cromwell have observed the passage of the Act of
Habeas Corpus?
9. Is it reasonable to assume that John Locke could have used the terms
Whigs and Tories? Explain.
C. Follow the directions to create a time line.
10. Create a time line that includes significant events in the development
of American government from 1607 through 1776. Include at least
five events. Provide a title for your time line.
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Chapter 2

The U.S.
Government and
Other Systems
Compared
KEY TERMS
autocracy unitary prohibited
dictator government powers
totalitarian confederate capitalism
government communism
republic
federal socialism
direct
government
democracy democratic
delegated socialism
indirect
powers
democracy privatize
reserved
presidential social
powers
democracy insurance
concurrent
parliamentary
powers
democracy
24
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Chapter 2 The U.S. Government and Other Systems Compared 25
In 1776, the 13 American colonies formally broke away from Great Britain to
form a new nation, the United States. Although British rule in the colonies grad-
ually became more repressive, Great Britain wasas it is todaygoverned by
a constitutional monarchy and a powerful Parliament, which had one house
composed of elected members. When the framers drafted the Constitution, they
decided against copying the British system. In order to protect the rights of
their citizens and establish freedom, the nations of the world do not need to
have the same, exact political system. This chapter discusses the different
types of political systems that exist in free nations. We will also cover the
types of political systems that have existedand continue to existin coun-
tries that are widely considered repressive and frequently violate the human
rights of their people. A nations economic system may play a large role in
determining its political system. The rest of the chapter will compare the free-
market system with the Socialist and Communist systems.
The 13 American colonies
MA
NH
NY
MA
CT RI
PA NJ
MD
DE
VA
NC
Atlantic Ocean
SC
N
GA Maine was
part of Mass. at W E
this period.
S
2.1 Autocracy and Totalitarian Systems

A political system with one ruler who makes all decisions in government is called
an autocracy. The ruler, an autocrat, is commonly known as a dictator, despot,
tyrant, or absolute monarch. Throughout human history, most governments
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have been autocratic. Examples of autocratic governments include the Roman

Empire in ancient times, the absolute monarchy of King Louis XIV from 1643 to
1715 in France, the dictatorship in Italy under Benito Mussolini from 1922 to
1943, and North Korea today. Autocrats rule without any legal limit on their
power.
Totalitarian Systems
To maintain their power, dictators often try to establish total control over
their nations. They use their power over the government, the armed forces,
and the police to eliminate any opposition and threats to their rule. In the
20th century, dictators such as Adolf Hitler in Germany, Joseph Stalin in the
Soviet Union, and Mao Tse-tung in China demanded more than the passive
acceptance of their citizens. They also wanted their active support and partici-
pation in the system. A political system that establishes total control over
every aspect of life and demands the active participation of its people is called
a totalitarian dictatorship.
During the 1930s and 1940s, Hitler and Stalin used the same methods for
ruling their countries. Free elections and other political parties were outlawed.
Soviet dictator Joseph Stalin

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The two dictators controlled all media outlets such as radio stations and
newspapers and had them disseminate government propaganda. Millions of
people condemned as enemies, traitors, and subversives were sent to concen-
tration camps, where they died or were murdered.
Fear and terror are key tools of repression in totalitarian nations. The
police and special security services arrest anyone suspected of opposing the
government. Totalitarian societies are also known as police states.
REVIEW
1. Define: autocracy, totalitarian, and dictatorship.
2. What do radio stations and newspapers in totalitarian countries usually
disseminate?
3. What do some dictators require of their citizens?
4. Briefly discuss the means of control used by totalitarian systems.
These prisoners survived a concentration camp in Nazi-occupied Austria during World War II.
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How the Nazis Came to Power

In Russia, China, and Cuba, the Communists came to power through armed
revolution and established totalitarian states. By contrast, the Nazis in
Germany gained power through democratic means.
After Germanys defeat in World War I, the German monarchy was
abolished in 1918. Elected representatives to a special National Assembly
met in the city of Weimar and drafted a new constitution for Germany that
established a republic and guaranteed human rights. The constitution, which
gave birth to the Weimar Republic, created an elected parliament, the
Reichstag, and a president, who was elected separately by the German people
and served as the head of state. The president appointed a chancellor, who
served as the head of government much like a prime minister.
Adolf Hitler
As the head of the National Socialist German Workers Party (Nazi Party),
Adolf Hitler, an unsuccessful artist, World War I veteran, and powerful orator,
stressed extreme nationalism and blamed the Jews, Communists, and other
groups for Germanys defeat in the war and other problems.
In elections for seats in the Reichstag during the 1920s, the Nazi Party
received little support. The Nazi Partys appeal increased substantially with the
arrival of the Great Depression, which increased unemployment and forced
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How the Nazis Came to Power (Continued)

many businesses to close. In the early 1930s, the Nazis were the largest party
in the Reichstag, but lacked a majority. During electoral campaigns, the Nazis
paramilitary unit, the SA, engaged in numerous acts of violence and terrorism
against political opponents such as the Communists and Social Democrats in
order to discourage and intimidate any opposition.
The Nazis had enough strength so that on January 30, 1933, President Paul
von Hindenburg appointed Hitler chancellor. Once in power, Hitler moved
ruthlessly to destroy the Weimar Republic and create a totalitarian state based
on the Nazi ideology.
Less than a month after Hitler took power, fire destroyed the Reichstag
building. Hitler blamed the Communists for the fire and convinced President
Hindenburg to sign a decree that suspended the constitutions guarantee
of human rights and civil liberties in order to protect public safety. After
winning more seats in the Reichstag in March 1933, the Nazis secured
passage of the Enabling Act, which the president signed into law. The act
gave the German Cabinet, which Hitler headed, the power to make laws
without the consent of the Reichstag. After Hindenburg died in 1934, Hitler
combined the offices of president and chancellor and proclaimed himself
Fhrer (leader).
With his power firmly established, Hitler soon outlawed all other political
parties, imprisoned political opponents in concentration camps, and imposed
strict censorship. By the mid-1930s, Germany was a totalitarian state.
Hitler pursued a belligerent foreign policy, which led to the outbreak of
World War II in 1939. During the war, the Nazis exterminated six million Jews
and many other civilians. By the time the Allies managed to defeat Nazi
Germany in 1945, most of Europe was devastated by the war, and tens of
millions of people, both civilian and military, had died.
2.2 Characteristics of True Republics

A republic is a type of government in which the people freely choose their
leaders. In republics, the people have the right to vote in elections, join the
political party of their choice, and publicly criticize government leaders and
policies. Examples of republics include the United States, Canada, Great
Britain, and France.
Some repressive nations actually have the word republic in their official
names, such as the Peoples Republic of China. In practice, however, they are
governed by autocrats who frequently violate human rights and outlaw any
opposition. True and legitimate republics require the three rights mentioned
above.
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Cuban Ballot
check box for vote
Castro
Fidel
Fidel Castro
Democracy in Cuba
Right to Vote
In republics, candidates compete to hold office for a specific term through free
elections. In the United States, all persons who are at least 18 years old may
vote in elections. However, in order to reduce the possibility of fraud, people
have to register and have their identities and residencies verified before they
are allowed to vote. Candidates run for executive positions, such as president,
governor, mayor, or county executive, and legislative offices, such as seats in
the U.S. Congress, state legislature, city council, or county board. (Although
most judges are appointed, some on the state and local levels are elected.)
In an election between two major candidates, the candidate who receives
the majority, usually anything more than 50 percent of the vote, is declared the
winner. If there are at least three candidates running, the one who receives the
plurality, or the most votes, wins.
Right to Join a Political Party

A political party is an association of people who, for the most part, share the
same philosophy and ideas about public policy. Some run for office under the
partys banner. (We will study political parties in detail later in this book.) Dic-
tatorships are one-party states. Republics have two or more political parties,
which have differing ideas and compete for votes at election time. Citizens
can formally join the party of their choice or be classified as independent.
Right to Criticize and Oppose Government Policies

Criticizing government policies in a dictatorship can be dangerous. Political
opponents and dissidents are usually imprisoned and even killed by the
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dictatorship. By contrast, in a republic, criticism of government policies and

leaders is not only a right, but it is widely encouraged as essential to the polit-
ical process and the development of sound public policies.
REVIEW
1. What is a republic?
2. Why are some nations that claim to be republics not real republics?
3. Name some of the offices candidates run for.
4. Why is it important to have more than one political party in a free govern-
ment?
2.3 How Does the United States Compare

With Other Free Republics?
In this section, we will consider only the democratic type of government.
Democratic systems include both direct democracy and indirect democracy.
Additionally, indirect democracy divides into presidential and parliamentary
forms. This section explains why the United States has chosen the presidential
form.
Direct Democracy
In one form of democracy, direct democracy, the citizens themselves make
the laws of the state by direct vote. At a certain time of the year, they may
assemble in one large meeting place. Anyone in the gathering may propose a
new law. Then a vote is taken on the proposal. If a majority votes yes, it is
passed. If not, it is rejected. Another change in the law is suggested and voted
upon. Finally, someone proposes that the assembly be adjourned, or dismissed.
The great advantage of this system is that government is clearly in the
hands of the people. In fact, government is the people meeting in assembly.
Such a system, however, is extremely rare in todays world, for two reasons.
First, the national and global issues of our times are extremely compli-
cated. How to address issues such as terrorism, pollution, water and energy
resources, and health care requires months and years of study. People cannot
vote intelligently on dozens of complex issues if they meet for only a week
or two.
Second, most nations of the world have populations that total into the
millions. How can a million or more people conduct business together and
debate laws in the same meeting place?
A famous example of direct democracy was the ancient Greek city-state of
Athens. Between the years 500 and 400 B.C., about 10,000 citizens of Athens
had the right to sit in an outdoor arena and raise their voices for or against
proposed laws.
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Indirect (Representative) Democracy

In a modern democracy like ours, the most practical way to make laws is to
elect a number of representatives who meet as a lawmaking body. The voters
then do not make laws directly, but they still have a voice over the republics
laws. After all, if a majority of voters disagree with their representatives deci-
sions, they can turn them out of office and elect others.
Great Britain is one example of an indirect democracy or representa-
tive democracy. British laws are made by a group of over 650 officials, who
represent the same number of local areasor voting districtsthat make up
the nation. In a general election, the voters of a district choose between the
candidates of different political parties. The winning candidates go to London
to make laws in a large building called the Parliament.
Parliament is divided into two houses. The House of Commons is elected
by the people and makes the laws. The House of Lords once represented
Britains noble families, who retained individual seats through hereditary
right. Over the centuries, the power of the House of Lords was gradually cur-
tailed. Today, the House of Lords can only temporarily delay any legislation
passed by the House of Commons for one year, and members, who are called
peers, are almost all appointed for life by the prime minister.
Great Britains Houses of Parliament
Why is the House of Commons an example of indirect democracy? It is

democratic because its members are responsible to the people who elected
them. It is indirect because elected officials make the laws instead of the
people themselves.
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In certain ways, the U.S. system of indirect democracy is similar to the

British system. American voters elect representatives to a Congress that meets
in Washington, D.C. Note these characteristics of the U.S. Congress:
1. Two separate groups of lawmakers are elected: one is the Senate; the other
is the House of Representatives.
2. Senators are elected from each of the different states.
3. Representatives are elected from special districts in each state.
Leadership Question
A democracy is direct or indirect depending on who makes the laws. Whether it
is a presidential or parliamentary democracy depends on who is elected to
enforce the laws. As you might guess, a presidential democracy calls its
leader a president. In the second main type, parliamentary democracy, a
prime minister leads the lawmaking group, which is called parliament.
Prime Ministers and Parliaments

Many governments of the modern world, including Canada, Japan, and
Israel, have a parliament similar to the British one. All parliamentary democ-
racies have a top official known as the prime minister. He or she has the duty of
leading the parliament and the nation as a whole, but the prime minister is not
elected by popular vote. Instead, members of the countrys parliament decide
which of them shall be the prime minister. After an election, the political party
that wins the most seats in the parliament gets to make this choice.
Italys Prime Minister Silvio Berlusconi

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Presidents
Those who wrote the U.S. Constitution rejected the parliamentary system for
choosing top officials. In our system, the head of state is the president. Instead
of being chosen by lawmakers, the president is elected by popular vote, fol-
lowed by a special vote of a group of electors, who come from every state in
the union. Unlike the prime minister, the president has no seat and therefore
no vote in the lawmaking body.
Why is this an important difference? The practical effect is that an elected
president has less power to influence laws than a prime minister. The laws pro-
posed by U.S. presidents are often rejected or changed by the separately
elected lawmakers in Congress. But in the British Parliament, all the prime
ministers ideas for major laws are expected to pass. If just one law fails to pass,
that means that the majority party has turned against its own leader. It is
taken as a sign that the British people have lost confidence in their representa-
tives and their prime minister. At that point, the prime minister and all the
elected lawmakers resign and an election is held. The newly elected House of
Commons then chooses a prime minister to lead a new government.
REVIEW
1. Define: direct democracy and indirect democracy.
2. Why are direct democracies extremely rare in todays world?
3. How are the British and the American systems of government similar, and
how are they different?
4. Why does the American president have less power to influence the passage
of laws than the British prime minister?
2.4 Should the National Government

Control the Local Government?
So far, we have classified governments according to how they answer two
questions:
1. Does the government control the people, or do the people control their
government? Governments of the first kind are either old-fashioned
monarchies or modern dictatorships. Governments of the second kind are
either direct or indirect democracies.
2. Do lawmakers elect the head of government? If they do, the government is
classified as parliamentary. If they do not, it is called presidential.
Relationship Between Governments

Here is a third important question about governments: What shall be the rela-
tionship between the national government and local governments? A nation
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of any size may be divided into many regions that are known by different
names: provinces, states, territories, counties, districts, townships, and munic-
ipalities. Should each local unit have the power to make its own laws? Or
should the lawmaking power belong only to the national government?
Here are the ways that three political systems answer these questions:
1. Unitary government. In a unitary system, a strong central government
gives powers to local units. The central government can take these powers
back whenever it chooses.
2. Confederate government. In a confederate system, or confederation,
local governments have far more power than the national government.
3. Federal government. In a federal system, both the national government
and local governments have power to make important laws.
Types of Unitary States

Many unitary states function democratically. The United Kingdom is one of
these. It has no single written constitution like the U.S. Constitution. Our
Constitution gives a substantial amount of power to the governments of sub-
national units, such as states. Nonetheless, regions of the United Kingdom
Northern Ireland, Wales, and Scotlandhave strong local governments. Their
powers are protected by laws, traditions, and complex electoral systems.
The unitary state, however, can become the tool of a dictator. In the first
decades of its liberation from Pakistan in 1971, Bangladesh (a country on
Indias eastern border) was torn by inner conflict. Military leaders took over
and ruled for decades.
Beginning in the 1990s, the people of Bangladesh worked to democratize
their government. While keeping their unitary state, they established a multi-
party government with an elected president and prime minister.
Confederate Government of the American South

For an example of the confederate systemor confederationwe can look
at the states of the American South in the mid-1800s. In 1860 and 1861, South
Carolina, Florida, Texas, and eight other states decided to secede from the
Union. They said that they had created a new nation called the Confederate
States of America. Elected representatives from each state met in the Confed-
eracys capital, Richmond, Virginia.
This national government had few powers compared to the powers of
each of the 11 Confederate states. It had great difficulty collecting taxes and
had to rely on issuing paper money, which became nearly worthless.
For about four years (18611865), each of the Southern states had autonomy,
a great deal of freedom from outside control. Eventually, however, each Southern
state lost its autonomy in the American Civil War. By 1865, Northern armies had
defeated the South and brought the Confederate experiment to an end.
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Federal System in the United States

The federal system for dividing power is the one used in the United States.
Fifty states are included within our nation. Each state makes laws for the citi-
zens within its borders. At the same time, the national government in Wash-
ington, D.C., makes laws for all the people of the United States.
Our nations Constitution lists the powers that are granted to the federal
government and the states. It also lists the powers that are denied to the fed-
eral government and the states.
a. Delegated Powers. These are powers that are given, or delegated,
only to the federal government. Among them are printing money, waging
war, maintaining diplomatic relations with foreign nations, and regulating
commerce among the states.
b. Reserved Powers. These are powers that belong to the states alone.
These include regulating business within a state; protecting the health,
safety, and morals of the citizens of the state; setting laws about marriage
and the family; establishing licensing requirements for professionals such
as doctors, teachers, builders, and lawyers; and regulating both state and
federal elections.
c. Concurrent Powers. These are powers that are held in common, or
shared, by both the states and the federal government. They include the
powers to tax, borrow money, and establish a court system.
d. Prohibited Powers. These are powers that are forbidden, or pro-
hibited, to the federal government and/or the state governments. For
example, neither the federal government nor the states may issue titles of
nobility.
REVIEW
1. Define: unitary government, confederate government, federal government,
autonomy, delegated powers, reserved powers, concurrent powers, and
prohibited powers.
2. For each of the following imaginary newspaper headlines, indicate whether
the power referred to is delegated, reserved, concurrent, or prohibited.
a. New Jersey Governor Pardons Death Row Inmate
b. Congress Approves Tax Cuts Proposed by President
c. Ohio Lowers Legal Marriage Age to 14
d. Nevada Governor Plans to Send National Guard Troops to Iran
e. U.S. Supreme Court Bans Arizonas Attempt to Name Senator Smith
Duke of Phoenix
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2.5 How Does Capitalism Differ From

Other Economic Systems?
The nations of the world today differ not only in the ways their governments
are organized. They also differ in terms of how muchor how littlethey
direct the economic activities of the people. Think of the immense variety of
products sold to American consumers at supermarkets, suburban shopping
malls, and city department stores. Think of the services that are provided by
our economy, such as haircuts, airplane trips, and Internet search engines.
Who decided what to produce and how to sell all these products and services?
Was it a central government, a local government, or no government at all?
The U.S. economic system is a prime example of capitalism. Capitalism
dominates the economic life of the world in the 21st century. Capitalism is
practiced in democratic countries and even in non-Communist autocratic
nations. Until the late 20th century, a Communist system was practiced by
Russia (then the Soviet Union), most of Eastern Europe, China, and other
nations. A third system, socialism, is followed today in several countries. Some
countries combine elements of capitalism and socialism. These economic sys-
tems are described below.
Capitalism
A capitalist is someone who believes that all important economic decisions
should be made by individuals and private businesses, not by government.
One of the most famous capitalists in U.S. history was the inventor Thomas
Edison. In the 1870s and 1880s, Edison invested his money (or capital) in a
New Jersey laboratory where new products could be created. No government
encouraged him to open the laboratory or told him to develop an electric
lightbulb or a phonograph.
It was Edisons own decision to risk his money on new products, in the
belief that people would want to buy them. In fact, they did buy Edisons
inventions, and he became rich as a result. But this success was not guaranteed.
Other capitalists of the time lost their money in failing businesses because they
could not sell enough of their products to make a return on their investment.
Capitalism is a system of free enterprise. Anyone who wishes may start a
business by selling goods or services to the public. The owner of the business is
free to decide what shall be sold and at what prices. The owner strives to take
in more money from customers than he or she pays out in wages and other
costs. If the business succeeds, it makes a profit (the sum left over after costs are
subtracted from sales). A business leaders desire for profits is the incentive
that drives every capitalist economy.
Since Edisons time, the capitalist economy of the United States has grown
enormously. In the 21st century, the United States is the worlds largest and
most productive economy. Each year, it churns out goods and services that are
valued in the trillions of dollars.
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Thomas Edison, an avid capitalist, spent his own capital to

invent new products, which in turn made him wealthy.
Capitalism in the 21st Century

Capitalism has spread around the world to become the dominant economic sys-
tem of the 21st century. Many people believe that a global capitalist economy
now exists. Goods and services move quickly from one nation to another
around the world. Nations that less than a century ago produced mainly agricul-
tural goods for their own use now have huge, privately owned manufacturing
and service industries. Their industries utilize advanced technology and employ
highly trained people to run them.
In the 1990s, Russia and the nations of Eastern Europe abandoned the
system of communism, in which the central government controlled all eco-
nomic decisions. They chose instead to develop capitalist, free-enterprise
economies. This is not to say, however, that all the nations that have adopted
capitalism have also adopted the democratic form of government. Some
remain autocracies or oligarchies, ruled by one person or only a few people.
Other nations are democratic socialist governments.
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Communism
For much of the 20th century, two of the worlds major nations practiced the
economic system known as communism. These nations were the Soviet
Union (now Russia) and China. Other Communist nations were North Korea,
Vietnam, Cuba, and much of Eastern Europe. The dominant idea behind
20th-century communism was that the central government should determine
what goods and services should be produced. Capitalismprivate ownership
and operation of businesseswas outlawed.
In theory, the workers in a Communist country would run the govern-
ment and manage the economy so that everyone would have decent jobs,
education, housing, medical care, and other benefits. In practice, however,
communism proved to be an autocratic, dictatorial system of government.
There were no free, democratic elections. There was only one political party,
which ran the central government. The great mass of people did as they were
ordered to do by this central government. The leaders exercised total, auto-
cratic control of the people through terror and repression.
The Soviet Union and China also attempted to spread communism to
other nations. The period from the late 1940s to the late 1980s was known as
the cold war, because the means used fell short of an overt military conflict.
(Wars on a smaller scale did occur, in Korea, Vietnam, and Afghanistan.) These
communist governments, especially the Soviet Union, spent huge amounts of
money developing and producing conventional and nuclear weapons. They
kept large, combat-ready armies. Western nations, led by United States, armed
themselves against these threats.
A food shortage sparks a fight at one Moscow market in November 1990.

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In the 1980s and early 1990s, discontent in the Soviet Union and Eastern
Europe grew into antigovernment protests and finally into revolutions. The
Communist governments of the Soviet Union, Poland, Romania, Czechoslo-
vakia, East Germany, and Bulgaria collapsed. They were replaced by more
democratic leaders, who encouraged free enterprise and economic develop-
ment. China did not experience a political revolution. It brutally suppressed
opposition and free expression and jailed those who dared to demonstrate
and speak out. But China did make a major change in its economic policies in
the late 20th century. It began permitting capitalist business activities. Earn-
ing a profit was now permitted. The Chinese economy, which had been stag-
nant for decades, suddenly sprang to life and began to expand rapidly. Instead
of following government orders, people were now able to make their own eco-
nomic decisions. They were free to decide where to live, what to study, and
what kind of work they wanted to do. However, China has continued to con-
trol its newspapers, television, and other publications. Certain religious
groups are forbidden to practice openly, and the government censors unfavor-
able information on the Internet. Public disagreement with most government
policies is often forbidden.
In the 21st century, little remains of the Communist economic policies of
the 20th century. The switch to free-enterprise capitalism has raised the living
standards of millions of people. Russia, China, and Eastern Europe have been
welcomed into the global economic community. They have joined the World
Trade Organization (WTO) and much of Eastern Europe has joined the Euro-
pean Union (EU).
POLAR OPPOSITES: Adam Smith and Karl Marx

In order to better understand capitalism and communism, it is necessary to
examine the ideas of two of their most prominent thinkers.
Adam Smith (17231790) was a Scottish
philosopher who is widely considered the father
of economics. In An Inquiry into the Nature and
Causes of the Wealth of Nations (1776), or
simply The Wealth of Nations, Smith explained
how the free-market economic system worked.
In order to purchase the necessities of life and
attempt to satisfy their unlimited desires, human
beings earned money by working. Businesses
sought profits by manufacturing and selling
products to consumers. In turn, businesses used
profits to expand by hiring more workers and investing capital in new factories
and machines.
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POLAR OPPOSITES: Adam Smith and Karl Marx (Continued)

Smith argued that by rationally pursuing their own self-interest, human
beings and businesses actually benefitted society as a whole. Since workers
had to compete for jobs, it served their self-interest to work hard and be
productive. Since businesses had to compete for customers and make a
profit, it served their self-interest to sell high-quality goods and pay good
wages to attract talented workers. It is not from the benevolence of the
butcher, the brewer or the baker, that we expect our dinner, but from their
regard to their own self-interest, Smith wrote. We address ourselves, not to
their humanity but to their self-love, and never talk to them of our own
necessities but of their advantages. For Smith, the repeated interaction of the
pursuit of rational self-interest and honest competition by people and
businesses led to increased productivity and prosperity.
The German philosopher Karl Marx (18181883), who adamantly rejected
both the free market and private property, helped give birth to communism,
which became one of the most influential
ideologies of the 20th century. Marx believed that
all of history had been the history of class
struggles. Throughout history, the ruling class had
exploited and oppressed the lesser class. As
examples, he and his longtime friend and
collaborator Friedrich Engels (18201895) cited
the patricians and plebeians in ancient Rome and
the lords and serfs in the Middle Ages. In his time,
Marx believed the bourgeoisie, or capitalist class,
was exploiting the proletariat, or working class.
Unlike Smith, Marx believed that capitalism
gradually resulted in greater unemployment,
poverty, and misery. The modern laborer, on the
Karl Marx contrary, instead of rising with the progress of
industry, sinks deeper and deeper below the
conditions of existence of his own class, Marx and Engels wrote in The
Communist Manifesto (1848). He becomes a pauper, and pauperism
develops more rapidly than population and wealth.
As more and more workers lost their jobs, Marx wrote that they would
eventually reach a point where they had no choice but to violently rebel
and overthrow the capitalists. Once the workers controlled the means of
production, the class struggle and the oppression of workers would end. Marx
predicted that when society made the final transition from capitalism to
communism, even the state would be obsolete. In place of the old bourgeois
society, with its classes and class antagonisms, we shall have an association, in
which the free development of each is the condition for the free development
of all, Marx and Engels wrote.
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Socialism
Socialism is another type of economic system. Often, in a socialist economy,
there is a mix of capitalist free enterprise and government, or public, ownership
of business. Sweden is an example of a country where privately owned busi-
nesses and publicly owned ones exist side by side. Its economic and political
system is called democratic socialism. For decades in the 20th century, a
socialist political party, the Social Democrats, ran the Swedish government
almost continuously. Under its leadership, some industries, such as automobile
manufacturing, remained privately owned. Others, such as telecommunica-
tions, electric power plants, railroads, airports, and a few banks, were owned and
operated by the government.
In the 1990s, Sweden began to privatize (sell to privately owned busi-
nesses) many of its holdings. This change took place partly because Swedens
economy had slowed down and partly because the Swedish people had voted
in favor of joining the EU, where both economic freedom and wider coopera-
tion among nations are encouraged. (See the EU, page 307.) The Swedish gov-
ernment sold telecommunications, postal, electrical, and financial services to
private investors. Sweden also began to invite foreign companies to invest
money in Swedish industries.
In spite of the economys shift toward capitalism, Sweden retains many
socialist features. The government still pays the operating costs of several
major newspapers, television stations, and radio broadcasting companies.
Moreover, Sweden provides more social insurance (payment of some or all
of the costs of health care, education, and raising families) for its people than
most capitalist countries do. Most Swedish people have good health insurance
coverage. They pay only moderate amounts for doctor visits, medications, and
hospital care.
The government compensates both parents when they stay home from
work to care for a newborn child. Either parent may take a 450-day paid leave
of absence from work for that purpose.
Swedens children have complete health coverage until their eighth birth-
day, and their parents receive a government allowance to care for each child.
Education is free for all children between the ages of seven and 15. The gov-
ernment also finances Swedens universities, so most qualified students can
afford higher education. Adults too have wide educational opportunities. Care
of the elderly who have no one to provide for them is a public responsibility.
The government also gives its older people pensions, inexpensive housing,
and health care.
REVIEW
1. Define: capitalism, communism, socialism, free enterprise, democratic social-
ism, privatize, and social insurance.
2. Why has the desire for profits been called the incentive that drives a capi-
talist economy?
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3. Why did the Communist government of the Soviet Union collapse in the
early 1990s?
4. How did some of Chinas domestic policies change but others remain the
same in the late 20th and early 21st centuries?
5. Briefly explain how the Swedish systems of health, education, and general
welfare differ from those of the United States. Do you think that the United
States could or should attempt to adopt the Swedish systems?
CHAPTER 2 REVIEW
1. Autocrats or dictators (a) govern without legal limits on their power
(b) are responsible to the people (c) must run for reelection (d) inherit
their power.
2. Which could we expect to find in a totalitarian system? (a) secret police
(b) government censorship of the media (c) government control of all
educational institutions (d) all of the above
3. Which of the following represents the will of more than half the people?
A/An (a) plurality (b) oligarchy (c) majority (d) minority
4. The United States became fully democratic only after (a) the Declaration
of Independence was written (b) the right to vote was given to all adult
citizens (c) the slaves were freed (d) George Washington was elected
president
5. Which of the following is the best example of a direct democracy?
(a) United States (b) ancient Athens (c) Great Britain (d) Soviet Union
6. A major difference between the U.S. president and the British prime min-
ister is that the prime minister is (a) elected by a majority of voting citi-
zens (b) an inherited position (c) elected by that nations lawmakers
(d) responsible only to the king or queen
7. Which of the following terms best describes the government of the
United States? (a) federal system (b) unitary system (c) confederacy
(d) parliamentary system
8. The delegated powers are those that the Constitution gives to the
(a) states (b) both the states and the federal government (c) local gov-
ernments (d) federal government
9. An example of concurrent powers would be the power to (a) regulate
marriage and divorce (b) tax (c) declare war (d) print money
10. Under a capitalist system, who decides how many goods and services will
be purchased? (a) the government (b) private companies (c) consumers
(d) an oligarchy
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ESSAY
Write a well-organized essay that includes an introduction, several paragraphs,
and a conclusion discussing the theme below.
Theme: Democracy vs. Dictatorship

A basic difference between democracy and dictatorship is their oppos-
ing views about the relationship between the individual and the gov-
ernment.
Task: Show how democracy and dictatorship are fundamentally different.

Explain how democracies show a greater respect for the individual than dicta-
torships do. In answering the question, consider the following: the right to
vote, the right to join a political party of your choice, the right to criticize the
government, and the way political leaders are chosen.
Then read the task below and write your essay. Essays should include refer-
ences to most of the documents along with additional information based on
your knowledge of government.
Historical Context: During the 16th and 17th centuries, the divine right
theory taught that kings should have absolute power in their countries
(absolute monarchies) because they received their authority from God. Later,
during the Age of Enlightenment, new writers argued in favor of democratic
government where all power came from the people. In the 20th century, vari-
ous dictators have used force to maintain their power.
DOCUMENT 1
that they are endowed by their Creator with certain unalienable rights;
that among these are life, liberty, and the pursuit of happiness.
Declaration of Independence (1776)
1. What rights does the Declaration state that all men have?
DOCUMENT 2
All political power comes out of the barrel of a gun!

Mao Tse-tung, chairman of the
Chinese Communist Party (19431976)
2. What does Mao believe is needed to hold political power?
42389 1-46 r7sp.qxp 12/23/09 2:08 PM Page 45
DOCUMENT 3
The people surrender their freedoms to the government or ruler, in return

for which the government is obligated to uphold just laws which protect
the rights of the people. When governments forget or violate these
laws, they no longer have claim to the power that the people have given
them. The people then have the right to claim their original liberty.
John Locke, Two Treatises of Government (1690)
3. Where does Locke believe political power comes from?
DOCUMENT 4
The dictatorship of the Communist Party is maintained by recourse to

every form of violence.
Leon Trotsky, Communist theorist and Soviet
official (18791940), Terrorism and Communism (1920)
4. How does Trotsky believe that Communist governments hold on to power?
Task: Using information from the above documents and your knowledge of
government, explain how democracies and dictatorships disagree about the
source of political power. Discuss to what degree democracies and dictator-
ships respect the individual rights and liberties of their people.
42389 1-46 r7sp.qxp 12/23/09 2:08 PM Page 46

Completing and Analyzing a Chart
A. Use information from the chapter as you copy and complete the chart
below.
Powers Granted to the Federal Government and the States

Type of Power Definition Examples
1. These powers are given 2.

only to the federal 3.
government. 4.
5.
Reserved 6. 7.
8.
9.
10.
11. 12. taxation
borrowing money
establishing court
system
Prohibited 13. 14.
B. Using information from the chart, answer the question below. Support
your response with details from the chart, name relevant types of power,
and include examples.
15. Why is it important that state and federal governments not share all
powers?
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UNIT II
THE U.S.
CONSTITUTION
The Liberty Bell, with Independence Hall in

the background, where both the Declaration
of Independence and the U.S. Constitution
were signed
T
he U.S. Constitution, written in 1787, is the blueprint for our
government. Subsequent amendments and Supreme Court
decisions have given the Constitution even more power to help
protect individual rights, freedom, and democracy.
The three chapters in this unit discuss how the Constitution was
drafted, what the Constitution says, and how the Constitution can be
changed. Chapter 3 explains why the founders decided to discard the
Articles of Confederation, which had governed the United States for
close to a decade, and create a stronger central government. You will
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learn about the delegates who played the most important roles in
writing the Constitution, the different ideas that influenced its devel-
opment, and the compromises the delegates made that allowed them
to finish their work and submit a final document to the states for ratifi-
cation.
Chapter 4 explores the Constitutions basic structure, examining
each of its seven articles. The separation of powers among the execu-
tive, legislative, and judicial branches and powers granted to and pro-
hibited by the federal government and the states are covered in detail.
Chapter 5 explains how the Constitution can be changed through
the difficult process of passing an amendment. This chapter covers the
Bill of Rights, the first 10 amendments to the Constitution, and the
subsequent 17 amendments. You will learn about which amendments
have made the Constitution more democratic. This chapter also dis-
cusses how the Constitution can be changed in informal ways such as
through decisions of the Supreme Court.
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Chapter 3

The Making of
the U.S.
Constitution
KEY TERMS
Articles of New Jersey ratification
Confederation Plan Federalists
Shays Rebellion Great Antifederalists
Constitutional Compromise
Bill of Rights
Convention Three-fifths
Virginia Plan Compromise
While the Declaration of Independence gave birth to the United States as a

new nation in 1776, the U.S. Constitution gave birth to a new national gov-
ernment in 1787. But why did the founders wait 11 years to write the Consti-
tution? This chapter discusses how the United States functioned under the
Articles of Confederation (17811787), which created a weak central govern-
ment and protected the sovereignty of the individual states. When the
national government was unable to respond to an internal crisis that threat-
ened public safety, the Founding Fathers decided that they had to revise the
Articles of Confederation. This chapter describes how delegates at the Consti-
tutional Convention in Philadelphia resolved their differences through
compromise and successfully wrote the U.S. Constitution, which upon its rat-
ification created a strong central government with limited power.
49
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50 UNIT II THE U.S. CONSTITUTION
3.1 In What Ways Was the First

U.S. Government Weak?
Loyalty to State Governments
The first constitution of the United States established a government with a con-
federate system. The constitution, known as the Articles of Confederation,
was drafted by the Second Continental Congress in 1777 and finally ratified by
the states in 1781.
In the 1780s, the United States of America was a brand-new idea. By com-
parison, the colonial governments of Massachusetts and Virginia had existed
for more than 150 years. Most other colonies were at least 100 years old.
People were used to being citizens of New Hampshire, Pennsylvania, or North
Carolina. They were not used to being citizens of a new nation, the United
States. Also, they feared that a strong, central government might eventually
crush their liberties. In 1781, most Americans wanted their familiar state gov-
ernments to be stronger than an untried national government.
Articles of Confederation
The Articles of Confederation stated the following:
1. Each state was to keep its sovereignty, freedom, and independence.
2. All states pledged to enter into a firm league of friendship and to assist
one another if threatened by foreign armies.
3. Delegates from each state would meet together as a United States Congress.
4. A state could send as many as seven delegates to Congress. But the state
delegation (group of delegates) had to vote as a single unit. (For example,
the seven delegates from Pennsylvania could cast only one vote for or
against a proposed law.)
5. No state could go to war unless Congress consented to it.
6. States were to pay what taxes they could into a common treasury. Money
collected in this way would be used to pay Congresss expenses.
7. A committee of Congress could elect a president for a term of one year. But
this president had no real power.
8. Any change in the Articles of Confederation had to be approved by all 13
state legislatures.
Weaknesses of the Articles

The Articles gave Congress very little power. The individual states frequently
did not supply Congress with the taxes it needed to operate efficiently. Since
the required number of delegates were rarely present, Congress was unable to
conduct business. Congress lacked the means to enforce its laws, and its presi-
dent had little authority.
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Shays Rebellion
In 1786, a violent revolt shook the faith of many Americans in the ability of
their young nation to survive. In western Massachusetts, many poor farmers,
unable to pay state taxes, faced the loss of their farms and debtors prison. A
small group of farmers led by Daniel Shays, a former officer in the Revolutionary
War, violently rebelled. Since the Articles did not give Congress any real power,
it was unable to take any action against the rebels. The Massachusetts state mili-
tia eventually suppressed Shays Rebellion in 1787. (Shays and the other leaders
of the rebellion were sentenced to death, but were later pardoned.)
Shays Rebellion. Massachusetts militia attacked rioting farmers.
News of Shays Rebellion shocked George Washington and other promi-

nent Americans. They realized that they needed to create a stronger national
government in order for the United States to survive.
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Three Views of Shays Rebellion

Shays Rebellion took place ten years after the 13 American colonies
declared their independence from Great Britain and three years after the
formal end of the American Revolution. How did some of the founders, who
had supported war with Britain to secure their freedom and independence,
view the rebellion?
In a letter dated October 31, 1786, to Henry Lee, a member of the Second
Continental Congress, George Washington wrote: [The rebels] exhibit a
melancholy proof of what our trans-Atlantic foe has predicted; and of another
thing perhaps, which is still more to be regretted, and is yet more
unaccountable, that mankind when left to themselves are unfit for their own
Government. Washington offered suggestions on how to respond to the
rebels. Know precisely what the insurgents aim at, he wrote. If they have
real grievances, redress them if possible; or acknowledge the justice of them,
and your inability to do it in the present moment. If they have not, employ the
force of government against them at once.
In 1786, Samuel Adams, who had helped sway public opinion against
Great Britain in the years leading up to the American Revolution, was serving
as the president of the Massachusetts State Senate. Adams strongly
condemned the rebellion, which took place in his state. The next year, he
opposed pardoning the rebels, saying, Rebellion against a king may be
pardoned, or lightly punished, but the man who dares to rebel against the
laws of the republic ought to suffer death. In Adamss view, the American
colonists rebelled against a tyrannical government. By contrast, Shays rebelled
against a free government.
Unlike Adams, Thomas Jefferson viewed Shays Rebellion quite favorably.
In his letter to James Madison dated January 30, 1787, Jefferson wrote:
I hold it that a little rebellion now and then is a good thing, and as nec-
essary in the political world as storms in the physical. Unsuccessful
rebellions, indeed, generally establish the encroachments on the rights
of the people which have produced them. An observation of this truth
should render honest republican governors so mild in their punishment
of rebellions as not to discourage them too much. It is a medicine nec-
essary for the sound health of government.
In Jeffersons view, unjust government caused people to rebel. Rebellions,
including unsuccessful ones, are necessary because they draw attention to the
governments violation of the rights of its people.
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Call for a Convention

In 1786, delegates from five states met in Annapolis, Maryland, to discuss
certain pressing issues, including the problem of weak government. They
wrote members of Congress and asked them to call a special convention of
delegates from all 13 states. The convention would discuss revising the
Articles of Confederation. Congress agreed and invited the state legislatures to
send delegates to Philadelphia in May 1787. Only Rhode Island failed to send
a delegation.
REVIEW
1. Define or identify: the Articles of Confederation and Shays Rebellion.
2. Briefly list three weaknesses of the Articles of Confederation.
3. How did Shays Rebellion show the need for a stronger national govern-
ment?
4. What led Congress to invite delegates from the 13 states to a convention
that would discuss revising the Articles?
3.2 What Issues Were Debated

at Philadelphia?
One of the first decisions of the delegates at the Constitutional Conven-
tion in Philadelphia was to hold their meetings in secret in the State House
(now known as Independence Hall). Until they finished their work, the press
and public would be told nothing. The delegates wanted their work on a con-
stitution to be free of outside pressures. This goal would have been impossible
if newspapers kept stirring up peoples emotions.
Delegates View of Politics

The delegates in Philadelphia were all experienced. Most of them had served
a year or two in the previous Congress. They saw how Congress could not
enforce its own laws.
Because they understood politics, the delegates realized that people
tended to be self-interested. In any political assembly, individuals will try to
get for themselves all that they can. For this reason, laws can never be com-
pletely neutral. They may favor either one interest group in society or another.
In Philadelphia, each delegate was expected to speak up for the interests of his
own state.
The delegates were also American patriots. They wanted the United States
to hold together and to function successfully as a nation. For this larger pur-
pose, they were willing to compromise.
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Noteworthy Framers of the Constitution

A total of 55 delegates representing 12 states met at the Constitutional
Convention in Philadelphia. (Rhode Island refused to participate.) Five of
them played the most important role in shaping the document that became
the U.S. Constitution.
George Washington of Virginia. The retired general was 56 years old in
the summer of 1787. He was chosen unanimously by the other delegates to
serve as the conventions president. Washingtons chief contributions were
presiding over the conventions sessions with fairness and giving the public
confidence in the delegates decisions.
James Madison of Virginia.
Scholars later described Madison as
the father of the Constitution.
Madison came up with the Virginia
Plan, which called for the power of
the federal government to be
divided into three separate, coequal
branches. He also kept detailed
notes of the proceedings.
Gouverneur Morris of Pennsyl-
vania. Morris was a skillful debater.
Although he had lost one leg in a
carriage accident, Morris had a lot of
energy. His contributions included
James Madison
successfully arguing for many of the
provisions of the Constitution and
turning the delegates ideas into written form. Morris was mainly responsible for
writing the text of the Constitution.
James Wilson of Pennsylvania. A scholarly lawyer, Wilson exerted a major
influence on other delegates. Listening to Wilsons speeches, one delegate
concluded that he understood all the political institutions of the world.
Wilson came up with the plan for how the president would be elected and
persuaded the other delegates that all of the federal governments power
came from the American people instead of the states.
Roger Sherman of Connecticut. Sherman saved the convention from
dissolving by coming up with the Great Compromise, which settled how the
states would be represented in both houses of Congress. Without these five
men, the Constitutionand the government that it establishedmight have
been extremely different. Or, the convention might have adjourned without
producing any Constitution.
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Virginia Plan
How could the national government be strengthened without destroying the
independence of the states? The major ideas of Madisons Virginia Plan
were:
1. a legislature consisting of two houses
2. members of one of the legislative houses would be elected by the people
3. members of the second house would be elected by the first house
4. an executive (or president) with real power to enforce the laws
5. a system of courts for interpreting Congresss laws
In effect, the Virginians proposed that a new government take the place of
the old one. They did not openly say that the Articles of Confederation should
be scrapped, but that is what they intended.
New Jersey Plan

Although many favored the Virginia Plan, others feared it. William Paterson
of New Jersey fought the plan. He objected to the Virginians idea for repre-
senting the different states in the new government. Under the Virginia Plan,
he said, both houses of the new Congress would be controlled by representa-
tives from states with the most people: Virginia, Pennsylvania, and Massachu-
setts. The states with fewer people, including New Jersey, would have much
less power to make the laws of Congress.
According to the Virginia Plan, each state would send representatives in
proportion to the size of its population. Virginia, being several times more pop-
ulous than New Jersey, would then be able to outvote Patersons little state.
Paterson therefore presented the New Jersey Plan. It proposed keeping
the one-house Congress of the Articles of Confederation. Paterson said that
amendments could be added to the Articles to make Congress much stronger.
But the system for representing the 13 states would be the same as before.
Each state, whether large or small, would be entitled to just one vote.
After almost a month of debate, the state delegations voted on the two
plans. A majority favored the Virginia Plan. But Paterson and his allies from
states with smaller populations would not yield. They threatened to walk out
of the convention unless their states were given equal representation.
REVIEW
1. Define or identify: Constitutional Convention, Virginia Plan, and New Jersey
Plan.
2. Why were many of the delegates willing to set aside some of their interests?
3. Briefly list what you believe to be the three most important provisions of
the Virginia Plan and explain how each provision you have chosen was
intended to strengthen the national government.
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4. Why did William Paterson object to the Virginia Plan? How did the New
Jersey Plan propose to protect the interests of the small states?
3.3 How Did the Delegates Settle Their

Differences?
Roger Sherman of Connecticut suggested a way to alleviate the concerns of both
big states and small ones. His idea became known as the Great Compromise.
The Great Compromise

Shermans idea for compromise was to represent the states differently in two
houses of Congress. The larger housethe House of Representativeswould
be designed to favor the larger states. Representation in the House would be
proportional to the size of a states population. But the second house of
Congressthe Senatewould be more to the liking of smaller states. Each
state, no matter what its population, would elect two senators. Thus, in the
Senate, the states would have equal power. But in the House, the states power
would be in proportion to their population.
Few delegates loved Roger Shermans plan. James Madison liked it least of
all. Many recognized, however, that compromise was needed to save the con-
vention from dissolving. Five states voted for the compromise, while four
states voted against it. A bare majority approved the Great Compromise.
The Great Compromise
Two houses of Congress One House of Congress

One elected by public Each state one vote
2nd elected by 1st house Supreme Court
Representation based on each
state's population
President
Courts
Virginia Plan New Jersey Plan
Legislature
Two houses of Congress

The House is representational of each state based on its population.
The Senate (representation) has two representatives for each state.
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Compromise on Slavery
After the Great Compromise, another conflict divided the convention. North-
ern delegates clashed with Southern delegates over slavery. In 1787, both
Northern and Southern states had black slaves. In the Southern states, slavery
was more common and crucial to their economies, which centered on farming.
Some Northern delegates called for an end to importing slaves from Africa. The
Southern delegates opposed this proposal.
One delegate from South Carolina wanted to insert a clause in the new
constitution that prohibited Congress from interfering with the slave trade.
Many Northern delegates rejected it.
The convention agreed to another compromise. The delegates agreed that
Congress could not pass any laws affecting slavery until 1808.
The Three-fifths Compromise

The delegates disagreed on how slaves should be counted in the population of
each state. Although slaves had no rights, Southern delegates wanted to
include them in the population totals because it would increase their strength
in the House of Representatives. Northern delegates fought this plan.
The two sides reached a compromise. Under the Three-fifths Compro-
mise, every five slaves would be considered equal to three free persons in a
states total population for purposes of representation in the House.
Signing the Constitution

The final text of the Constitution was completed in September 1787. Of the 55
original delegates at the convention, only 42 remained in Philadelphia. Three
of them refused to approve the document. Although many delegates
remained dissatisfied by the conventions results, 39 delegates approved the
Constitution, thinking it provided a more effective government than the
Articles of Confederation.
REVIEW
1. Define or identify: Great Compromise and the Three-fifths Compromise.
2. Explain Roger Shermans ideas for compromise between the views of the
large and small states.
3. Explain how Northern and Southern delegates disagreed about the practice
of importing slaves from Africa and the compromise that resolved the
dispute.
4. How and why did the Northern and Southern delegates disagree about the
way slaves should be counted? Explain how the Three-fifths Compromise
resolved the dispute over counting slaves.
5. Why did many of the delegates sign the Constitution even though they
still had some doubts?
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3.4 How Was the Constitution

Debated and Ratified?
The Constitution was created in secret behind closed doors. Before leaving
Philadelphia for home, however, the delegates gave printed copies of their
work to the newspapers. Before long, American citizens everywhere were read-
ing and talking about the proposed plan of government. Many were pleased
with the Constitution and said it would be much better than the Articles of
Confederation. But others argued that it was worse.
Rules for Ratifying the Constitution

Whether the Constitution was better or worse was left to the American people
to debate and decide. The seventh and final article of the document stated:
The ratification of the conventions of nine states shall be sufficient for the
establishment of this Constitution between the states so ratifying the same.
The delegates wanted to give voters the chance of either ratifying or reject-
ing the proposed Constitution. They decided that in every state there should
be special conventions of delegates elected by the people of that state. If nine
such conventions voted for ratification, the Constitution would establish a
new national government.
George Washington (standing behind desk) presided over the Constitutional

Convention in Philadelphia.
Federalists
For months, American newspapers carried weighty arguments both for and
against the Constitution. Supporters of the new plan called themselves Feder-
alists. Their leaders included the influential Benjamin Franklin and George
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Washington. Three other leaders, James Madison, John Jay, and Alexander
Hamilton, forcefully presented their arguments in defense of the Constitution
in a series of essays. These essays were collected and published in book form as
the Federalist Papers. Many historians credit the Federalist Papers with turning
the tide of public opinion in favor of ratification for the new Constitution.
By the end of the year, the Federalists had won victories in three states.
Delegates to Delawares convention voted unanimously to ratify the Constitu-
tion. Pennsylvania and New Jersey followed quickly with approving votes.
Life
Rights
Liberty
Does the illustration express the Federalist or Antifederalist

point of view?
Antifederalists
Starting in 1788, opponents of the Constitution began fighting the Federalist
campaign. They were known as Antifederalists. They also had famous leaders
to influence public opinion. In Virginia, they cheered the Antifederalist speeches
of Patrick Henry. In New York, they hoped their strong-willed governor, George
Clinton, could overcome the arguments of the youthful Alexander Hamilton.
Antifederalist writers and speakers distrusted the Constitution. They said
it gave too much power to the national government. They warned that the
independence of the states would soon be lost. Even worse, there were no
guarantees in the Constitution about the rights of citizens.
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Ratification
Once again, a compromise saved the Constitution from defeat. In the ratifying
convention in Massachusetts, Federalist delegates promised to add a bill of
rights. They would do it, they said, as soon as the Constitution was adopted. The
Federalist promise alleviated some of the fears of the Antifederalists. In February
1788, Massachusetts voted for ratification by a thin majority, 187 to 168.
After this key victory, Federalists in other states had an easier time. By July
1788, ten of the 13 states had approved the Constitution, creating a new
national government.
Adding a Bill of Rights

In early 1789, Americans elected new leaders according to rules laid down by the
Constitution. George Washington was every electors choice for president. James
Madison was one of ten Virginians to sit in the new House of Representatives.
The Federalists kept their promise. One of their first actions was to draw
up a Bill of Rights in the form of ten amendments to the Constitution.
Again, the states had to ratify these changes. The Bill of Rights was ratified in
1791. Although other amendments would be added later, the basic plan of
government under which we live today was complete.
REVIEW
1. Define or identify: ratification, Federalist, Alexander Hamilton, Federalist
Papers, Antifederalist, and Bill of Rights.
2. Explain the rules required for the ratification of the Constitution.
3. Briefly discuss the role played by the Federalist Papers in the ratification of
the new constitution.
4. Why did the Antifederalists oppose the Constitution?
5. Why was the Bill of Rights added to the Constitution, and how did it
alleviate the fears and objections that the Antifederalists had about the
Constitution?
CHAPTER 3 REVIEW
1. A major weakness of the U.S. government under the Articles of Confeder-
ation was that (a) Congress remained as the lawmaking body (b) immi-
gration declined rapidly (c) the South attempted to secede (d) the states
were much stronger than the national government.
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2. Which of the following exposed the weaknesses of the Articles of Confed-

eration? (a) the Continental Congress (b) the New Jersey plan (c) Shays
Rebellion (d) the Federalist Papers
3. A strong belief in which of the following helped the delegates at the
Philadelphia Convention to settle many of their differences? (a) free
enterprise (b) compromise (c) interest groups (d) a one-house Congress
4. Who is known as the father of the Constitution? (a) James Madison
(b) Gouverneur Morris (c) George Washington (d) Benjamin Franklin
5. Which of the following was an important part of the Virginia Plan?
(a) basing congressional representation upon a states population (b) lim-
iting the power of the national government (c) reducing the influence of
the large states (d) abolishing slavery
6. How were the differences between the Virginia and New Jersey Plans
resolved? (a) calling a constitutional convention (b) a Supreme Court rul-
ing (c) the Great Compromise (d) special election
7. The Three-fifths Compromise dealt with the issue of (a) free trade
(b) counting slaves in the population of a state (c) the number of houses
in Congress (d) settlement of the West.
8. Supporters of the Constitution were known as (a) Antifederalists
(b) Whigs (c) patriots (d) Federalists.
9. The Bill of Rights was added to the original Constitution to (a) quiet the
objections of the French (b) gain the support of those who did not think
the Constitution went far enough in protecting personal liberties
(c) model the American government on the British system (d) follow the
New Jersey Plan more closely.
10. The Federalist Papers (a) were written by Roger Sherman and George
Washington (b) supported the Articles of Confederation (c) were repealed
by the Antifederalists (d) helped to gain public support for the new Con-
stitution.
ESSAY
Write a well-organized essay that includes an introduction, several para-
graphs, and a conclusion discussing the theme below.
Theme: Reconciling Opposing Views.

Compromise helped to resolve conflict between differing interest
groups at the Constitutional Convention in Philadelphia.
Task: Choose one area of conflict between interest groups at the convention.
Explain the positions of both the differing groups and show how the conflict
was resolved through compromise. In answering the question you may wish
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to refer to the following issues: representation in Congress, slavery, the slave

trade, the relationships of the states to the national government, and the
regulation of commerce.
knowledge of government.
Historical Context: Weaknesses in the Articles of Confederation led the

framers of the Constitution to create a much stronger central government
than the one that had existed under the Articles. Many Americans hesitated,
however, to approve the new Constitution unless a Bill of Rights was added to
protect individual liberties.
DOCUMENT 1
I need not take much pain to show, that the principles of this Constitu-
tion are extremely dangerous. . . . Is giving up our freedom an action
worthy of free men?
Our main concern should be to protect our rights and liberties! After all
is said and done, the primary purpose of our government is to secure
and protect the unalienable rights of our people.
I declare that if all the other citizens in our land adopted this Constitu-
tion, I would still . . . reject it!
Patrick Henry (1788)
1. Why does Patrick Henry oppose the ratification of the Constitution?
DOCUMENT 2
While I have never opposed a bill of rights, I have never really sup-
ported one either. The addition of a separate bill of rights is not really
necessary, as the Constitution already protects individual rights and
liberties. The system of checks and balances, which we have adopted,
gives great protection for the people against abuses of power by the
government.
James Madison, letter to Thomas Jefferson, 1788
2. Explain why Madison does not feel that the addition of a Bill of Rights is as
important as some others believe it is.
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DOCUMENT 3
The establishment of the writ of habeas corpus [a legal action that allows
a person to seek relief in the courts against arbitrary punishment by the
authorities], the prohibition of ex post facto laws [which punish people
retroactively for committing acts that were not against any law at the
time], and of titles of nobility . . . are perhaps greater securities to lib-
erty and republicanism than any [the Constitution] contains. The cre-
ation of crimes after the commissions of the fact, or in other words, the
subjecting of men to punishment for things which, when they were
done, were breaches of no law, and the practice of arbitrary imprison-
ments, have been, in all ages, the favorite and most formidable instru-
ments of tyranny.
Alexander Hamilton, Federalist No. 84 (1788)
3. How does Hamilton believe the Constitution protects liberty despite not
having a bill of rights?
Task: Using information from the documents and your knowledge of govern-
ment, write an essay in which you compare or contrast the different view-
points about the addition of the Bill of Rights to the Constitution. Discuss the
role that the addition of the Bill of Rights played in the ratification of the U.S.
Constitution.
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Identifying and Developing a Main Idea
You can better understand, analyze, evaluate, and remember what you read
through identifying the main idea of each paragraph. In your writing, a clear
main idea and strong supporting details will help make your paragraphs
clear and interesting. Your intent in writing will be quickly understood by
readers.
To identify the main idea of a paragraph, think about the umbrella state-
ment that covers all the ideas in the paragraph. Ask yourself: What is the big
statement? What is the major point the author wishes to make? What is the key
idea? Which idea is supported by all the details in the paragraph?
Some main ideas are explicit. They are stated directly in the paragraph
often, but not always, in the first sentence. Other main ideas are implicit; they
are not stated directly. You must think about all the details and then deter-
mine the biggest, most important idea in the paragraph.
A. Read each paragraph below. Then answer the questions that follow.
Paragraph 1
There were three main responses from the founders regarding Shays
Rebellion. George Washington stated that the force of government
should be utilized if, after hearing the rebels grievances, it was deter-
mined that the grievances were not true grievances. Samuel Adams
opposed pardoning the rebels, saying that there is a difference between
American colonists rebelling against a tyrannical government and
Shays rebelling against a free government. Thomas Jefferson, by con-
trast, had a favorable view of the rebellion. He commented that a little
rebellion could catalyze healthy government.
1. What is the main idea of the paragraph?

2. Is the main idea explicit or implicit? Explain.
3. What process did you use to identify the main idea? Include
specifics from the paragraph in your response.
Paragraph 2
The Great Compromise was one proposed method for settling differ-
ences among delegates. This idea, proposed by Roger Sherman, called
for two houses of Congress. Overall, Shermans idea was not received
well by the delegates. They debated the issue and finally approved it by
a slight margin. Another area of disagreement among the delegates
related to the method of counting the enslaved in each states popula-
tion. Delegates discussed and debated two diametrically opposed ideas.
Ultimately, they arrived at the Three-fifths Compromise. The delegates
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also had difficulty coming to an agreement in regard to bringing in

humans from Africa for the purpose of enslavement. After a great deal
of debate, a compromise was reached; the practice was not halted, and
it was agreed that until 1808, delegates would not pass any laws
designed to have an impact on the enslaved.
4. What is the main idea of the paragraph?

5. Is the main idea explicit or implicit? Explain.
6. What process did you use to identify the main idea? Include
specifics from the paragraph in your response.
B. Follow the instructions to write two paragraphs.
7. Using information from the chapter, write a cohesive paragraph

about the provisions of the Articles of Confederation. Include and
underline an explicit main idea.
8. Using information from the chapter, write a cohesive paragraph
with an implicit main idea to discuss the major ideas of Madisons
Virginia plan. Write and underline the implicit main idea below the
paragraph.
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Chapter 4

Understanding
the Constitution
KEY TERMS
article checks and electoral
amendment balances college
separation of treaty federal
powers impeachment supremacy
legislative elastic clause strict
branch construction
implied powers
executive loose
reserved
branch construction
powers
judicial branch electors
In order to understand how the federal government works and what it can and
cannot do, it is necessary to know what the U.S. Constitution actually states.
This chapter covers the basic structure of the Constitution, specifically the Pre-
amble and seven articles. (The Bill of Rights and subsequent amendments to
the Constitution will be discussed in later chapters.) We then give detailed
attention to important concepts such as separation of powers and checks and
balances. This chapter then discusses the different types of powers authorized
and prohibited to the federal government and the states. Finally, we end with
contrasting philosophies about how the Constitution is interpreted.
4.1 How Is the Constitution Organized?

The Constitution begins with its most famous phrase: We the people. These
three words carry tremendous meaning. They suggest that the peopleyou
and your neighborscontrol their lives. Back in the 1780s, We the people
established a federal plan of government. Today, We the people strongly
influences the U.S. government and makes it respond to our wishes.
66
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The United States Constitution
Preamble
The Preamble to the Constitution states that the purposes of the national gov-
ernment are to form a more perfect Union, establish justice, insure domestic
tranquility, provide for the common defense, promote the general welfare,
and secure the blessings of liberty to ourselves and our posterity [people living
at the time and future generations].
Seven Articles
An article is a major section of a document. After the Preamble, the Consti-
tution is divided into seven articles, which explain each branch of the federal
government and defines their powers and duties:
Article I establishes the two houses of Congress: the House of Representa-
tives and the Senate.
Article II explains the powers of the president and describes the unusual
system for electing the president.
Article III establishes the Supreme Court, other federal courts, and explains
the cases of law that they may judge.
Article IV governs the relations among the states. It guarantees to each state
a republican form of government. It also describes the process for admitting
new states into the Union.
Article V explains how the Constitution may be amended, or changed.
Article VI declares that the Constitution shall be the supreme law of the land.
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Article VII explains that 9 of the original 13 states must ratify the Constitu-
tion before it can take effect as the supreme law.
Twenty-seven Amendments
The development of the Constitution did not end in Philadelphia in 1787. It has
continued to our own times through the amendment process. There are 27
amendments that were subsequently added. An amendment is an article or
portion of an article added to a document after it has been written and accepted.
For example, an amendment approved in 1865 ended the practice of slav-
ery. Another amendment, adopted in 1920, guaranteed women the right to
vote. We will study these and other amendments in later chapters.
REVIEW
1. Define: article and amendment.
2. Using your own words, list the six goals of government outlined in the Pre-
amble of the Constitution.
4.2 How Is the Governments Power Divided Among

the Legislative, Executive, and Judicial Branches?
The Constitution articulates the purposes and powers of the federal government
and the procedures for passing laws and electing officials. The Constitution
specifies what the president, Congress, and federal judges can and cannot do.
U.S. SYSTEM OF
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LEGISLATIVE JUDICIAL
BRANCH BRANCH
Sets up lower courts Ratifies appointments (Senate)
Sets judicial salaries Impeaches judges
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Separation of Powers
The framers of the Constitution feared a national government that might
abuse its power and destroy liberty. To avoid this danger, they incorporated an
idea proposed by the French philosopher Montesquieu (16891755). In his
book, The Spirit of the Laws, Montesquieu proposed that the functions of a
republic should be divided into three separate branches, the executive, legisla-
tive, and judicial. The division of power among three, coequal, interdependent
branches is known as the separation of powers.
Under the Constitution, Congress (the legislative branch) makes the
laws. The president (the executive branch) enforces the laws. The federal
courts (the judicial branch) interprets the laws to ensure that they are con-
sistent with the Constitution.
President Lyndon Johnson signs the 1964 Civil Rights Act into law.
Checks and Balances

Although they have different functions, the executive, legislative, and judicial
branches of government are interdependent. If one branch gets too powerful,
the other two have the means to curtail its power. This system of checks and
balances keeps the federal government from getting too powerful and repres-
sive. Let us see how the system works and cite examples from history.
Congress and the President

Congress can pass bills proposing new laws or changes in existing laws, but
the president must sign them into law. In 1964, Congress passed the landmark
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Montesquieu on the Need for the Separation of Powers

In his book The Spirit of the Laws (1748), Montesquieu observed that all
governments exercise three kinds of power: legislative, executive, and judicial.
By virtue of the first [legislative], the prince or magistrate enacts temporary
or perpetual laws, and amends or abrogates those that have been already
enacted, Montesquieu explained. By the second [executive], he makes
peace or war, sends or receives embassies, establishes the public security,
and provides against invasions. By the third [judicial], he punishes criminals, or
determines the disputes that arise between individuals.
Montesquieu believed that if the same person or agency exercised two
or all three powers at the same time, it would endanger liberty. When the
legislative and executive powers are united in the
same person, or in the same body of magistrates,
there can be no liberty; because apprehensions
may arise, lest the same monarch or senate
should enact tyrannical laws, to execute them in a
tyrannical manner, he wrote. Again, there is no
liberty, if the judiciary power be not separated from
the legislative and executive. Were it joined with the
legislative, the life and liberty of the subject would
be exposed to arbitrary control; for the judge would
be then the legislator. Were it joined to the
executive power, the judge might behave with
violence and oppression.
To support his ideas, Montesquieu offered two
Montesquieu: the architect
examples. Most kingdoms in Europe enjoy a
of the separation of
moderate government because the prince who is
powers
invested with the two first powers leaves the third
[judicial] to his subjects, he wrote. In Turkey, where these three powers are
united in the Sultans person, the subjects groan under the most dreadful
oppression. Montesquieu found there was more liberty in the British and
French monarchies than in the Italian republics, which have the three powers
united. As a result, the Italian republics were as oppressive as Turkeys
sultanate and often turned to violence to keep the support of their citizens.
In order to ensure liberty and avoid tyranny, Montesquieu believed that the
governments powers should be divided into three separate, but interrelated
branches. If one branch got too powerful or attempted to act repressively,
the other two branches could effectively stop it. These three powers should
naturally form a state of repose or inaction, he wrote. But as there is a
necessity for movement in the course of human affairs, they are forced to
move, but still in concert. The separation of powers protects liberty, but in
order to pass laws and enact policies that a society will certainly need, all three
branches have to cooperate to serve their citizens.
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Civil Rights Act, which outlawed racial discrimination. President Lyndon

Johnson signed it into law, and it took effect.
If the president vetoes the bill, Congress has the power to override the veto
with a two-thirds majority. In 1947, Congress overrode President Harry Tru-
mans veto of the Taft-Hartley Act, which curbed the power of labor unions.
Presidential Appointments
The president may appoint officials to serve in the Cabinet and on the
Supreme Court, but the Senate with a majority vote has to approve them. In
1989, the Senate rejected President George H. W. Bushs appointment of
former Senator John Tower of Texas to serve as the secretary of defense
because of questions relating to his personal character.
Negotiating Treaties
The president has the power to negotiate treaties (agreements) with other
countries, but they must be ratified by the Senate with a two-thirds vote in
order to take effect. The Senate ratified President Ronald Reagans 1987 Inter-
mediate-Range Nuclear Forces Treaty (INF) an agreement with the Soviet
Union that banned intermediate nuclear weapons. In 1920, the Senate refused
to ratify the Treaty of Versailles, which formally ended the war with Germany
and had been negotiated by President Woodrow Wilson. As a result, the
United States never joined the newly created League of Nations.
President Ronald Reagan (left) and Soviet Premier Mikhail Gorbachev shake
hands after signing the 1987 INF Treaty.
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The Supreme Court

The Supreme Court has the power to hear cases and strike down any federal,
state, and local law that it finds unconstitutional. In Marbury v. Madison
(1803), the Supreme Court struck down a section of the Judiciary Act (1789)
and asserted its right to declare any law unconstitutional. In order to change
how the Supreme Court decides cases, the president may appoint justices who
have different philosophies (with the Senates approval). Multiple
appointments by Presidents Franklin Roosevelt, Richard Nixon, Ronald Rea-
gan, Bill Clinton, and George W. Bush changed the direction of the Supreme
Court.
Impeachment
The Constitution gives the House of Representatives the power to impeach all
federal officials in the executive and judicial branches. Impeachment means
formally charging federal officials with official misconduct such as treason,
bribery, abusing the power of their offices, and other offenses. The House
needs a majority vote to approve an article of impeachment. If a federal offi-
cial is successfully impeached, the Constitution specifies that the Senate must
conduct a trial and act as the jury. If a person is convicted of the charges in the
Senate by a two-thirds vote, he or she is immediately removed from office. If
the Senate fails to convict by a two-thirds vote, the person is formally acquit-
ted of the charges and allowed to remain in office. (Once removed, officials
may be indicted on criminal charges in federal or state court, and if found
guilty, fined, imprisoned, or even executed.)
Only 17 people have been impeached in the history of the United States.
In 1804, the House of Representatives impeached John Pickering, a federal
judge in New Hampshire, for drunkenness and issuing unlawful rulings. The
Senate convicted Pickering of the charges by a two-thirds margin, and he was
removed from the First Circuit Court of Appeals.
In 1805, President Thomas Jefferson encouraged his Democratic-
Republican allies in the House of Representatives to impeach Samuel Chase, an
associate justice of the Supreme Court and a Federalist, for making improper
rulings during trials he presided over. Although the House impeached Chase,
he was acquitted by the Senate and remained on the High Court.
In U.S. history, only two presidents have been impeached. In 1868, Presi-
dent Andrew Johnson, a Democrat, was impeached for violating the Tenure of
Office Act by firing Secretary of War Edwin Stanton. The Senate acquitted
Johnson, and he remained in office. In 1999, President Bill Clinton was
impeached for lying under oath in a civil case to cover up an extramarital
affair and obstruction of justice. A sufficient number of senators believed that
Clintons offenses were not serious enough to remove him from office, and
the president was acquitted.
In 1974, President Richard Nixon was facing impeachment for his role in
the Watergate scandal. Realizing that he would be impeached and likely con-
victed by the Senate, Nixon resigned.
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Senator Frank Church of Idaho
Congressional Oversight
Congress serves an important role by overseeing both the executive and judi-
cial branches. Congress holds hearings and has the power to subpoena wit-
nesses. In 1975, a special Senate committee chaired by Senator Frank Church
of Idaho, a Democrat, revealed that the CIA had engaged in numerous illegal
activities such as plotting to assassinate foreign leaders and overthrowing the
regime of Salvador Allende in Chile. The disclosures led to sweeping reforms
of the nations intelligence services, including the signing of an executive
order by President Gerald Ford outlawing the assassination of foreign leaders.
Delegated or Enumerated Powers

The Constitution gives the federal government and the state governments
other specific powers. All powers granted to the federal government are
known as delegated or enumerated powers (discussed previously on p. 36).
The longest list of such powers is found in the 18 clauses of Article I, Sec-
tion 8. Congress has the power to lay and collect taxes, borrow money, and
regulate trade with foreign nations and among the states.
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The list continues with the power to coin and print money and punish
counterfeiters. Congress may establish post offices and build roads. It may
raise an army and provide for a navy. It may declare war. It may set aside a
piece of land not exceeding ten miles square, which shall be developed into
the nations capital city. (Congress later used this power to create the District
of Columbia, or Washington, D.C.)
The list ends with the most important power of all. In Clause 18 (of Article I,
Section 8), Congress is given power to make all laws which shall be necessary
and proper for carrying into execution the foregoing powers. In other words,
because of Clause 18, Congress may carry out its 17 other delegated powers in
any way that it decides is necessary. For example it could order coins to be
made from gold or silver, copper or tin, wood or plastic.
Clause 18, commonly known as the necessary-and-proper clause, is also
known as the elastic clause. It gives Congress the ability to adapt to chang-
ing times. For example, the necessary-and-proper clause has been used to
create a national bank, the Federal Reserve System, the FBI, and the CIA.
When Congress established these agencies, it was using its implied
powers. For example, when Medicare and Medicaid were created in 1965,
Congress was fulfilling its constitutional responsibility to promote the gen-
eral welfare, as well as using the elastic clause.
The power to establish marriage laws is reserved to states. In New York

City, this couple married at the Office of the City Clerk.
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Powers Reserved to the States

There are many political powers not mentioned in the Constitution. The Con-
stitution created a division of powers between the states and the federal gov-
ernment.
In the federal system, there are other governments besides the national
one. Governments of the separate states have powers of their own to make
and enforce laws. They build roads and bridges, schools and firehouses, court-
houses and jails. They provide many public services for a states residents. The
power to do these things is reserved (set aside) for state governments by one
important clause in the Constitution. According to the Tenth Amendment
reserved powers are The powers not delegated to the United States by the
Constitution, nor prohibited by it to the states, are reserved to the states
respectively. . . .
Concurrent Powers
As we have just seen, the federal system divides the powers of government
between the federal government, with its delegated powers, and the states,
with their reserved powers. The powers that the federal government and the
states share in common are called concurrent powers. For example, both the
federal government and the states have the power to tax and spend, borrow
money, and regulate commerce. The federal government regulates international
and interstate commerce, and the states regulate commerce within their own
borders. In addition, both levels of government maintain their own judicial
systems.
Powers Denied to the Federal

Government and the States
The Constitution prohibits both the federal government and the states from
taking certain actions. These are called prohibited powers. Both the federal
and state governments are barred from passing bills of attainders, laws that
convict individuals of a crime without trials, and issuing titles of nobility. The
First Amendment prohibits the federal government from establishing any reli-
gious denomination as the official religion of the nation. States cannot issue
money, regulate commerce from other states, or make treaties with foreign
governments.
REVIEW
1. Define: separation of powers, legislative branch, executive branch, judicial
branch, checks and balances, impeachment, delegated powers, reserved
powers, implied powers, prohibited powers, and concurrent powers.
2. How does the power to appoint judges give both Congress and the presi-
dent the ability to check or limit the power of the federal courts?
3. How do Congress and the president share in the lawmaking process?
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4. Why did the framers of the Constitution create the system of checks and
balances?
5. Why do many historians believe the elastic clause, or the necessary-and-
proper clause, contains the most important of all Congresss powers?
4.3 What Procedures for Governing

Are Spelled Out in the Constitution?
Besides spelling out the purposes and powers of government, the Constitution
also describes basic procedures for choosing leaders.
How U.S. Leaders Are Chosen

The Constitution sets basic requirements for those elected to federal office.
The president must be a native-born citizen. By contrast, members of Con-
gress can be citizens who were born in other countries. A president serves a
four-year term. A senator serves a six-year term, and members of the House of
Representatives serve two-year terms.
The Constitution specifies that a president be at least 35 years old.
Senators must be at least 30 years old, and members of the House should be at
least 25.
Supreme Court justices serve for life. However, most usually retire. The
Constitution does not set a minimum age for Supreme Court justices. In fact,
it doesnt even require them to be lawyers.
HOW LEADERS ARE CHOSEN

Congress President Supreme Court
House Senate
How chosen Elected Elected Elected Appointed by

president, confirmed
by Senate
Term of office 2 years 6 years 4 years Until justice dies or

retires
Age requirement At least 25 At least 30 At least 35 None
Special Role of the Electors

The longest paragraph in the Constitution describes the procedures for elect-
ing the president and vice president. This paragraph (II, 1, 3) tells how a small
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group of officials from the different states shall cast ballots for president. The
citizens, who are known as electors, belong to the Electoral College.
The electoral college votes for a president after the public votes in
November. The electors ballots, when counted in Congress, officially determine
the winner of the election. In a later chapter, you will learn more about the electors.
Federal Supremacy
Article VI of the Constitution states, This Constitution, and the laws of the
United States . . . and all treaties made . . . shall be the supreme law of the
land. . . . This means that the Constitution is higher than state laws and state
court decisions. The Supreme Court has interpreted federal supremacy to
mean that the federal government takes precedence over the states whenever
federal and state laws conflict. Interpreting federal supremacy remains contro-
versial to the present day, with conservatives favoring limited use and liberals
leaning toward wider application.
Strict or Loose Construction?

Our national government is built upon the words of the Constitution. Partly
because these words are so important, they have been the subject of much
argument.
For example, the Constitution gives Congress the power to collect taxes
and to borrow money. That is perfectly clear because Article I, Section 8, men-
tions taxing and borrowing. Not clear, however, is what shall be done with the
money that the government collects. Of course, the money could be put in a
bankperhaps a bank that Congress creates. But banks are not mentioned
anywhere in the Constitution. Does that mean that Congress has no power to
create a bank for the governments convenience?
A much broader question was this: Could the U.S. government do only
those things specifically mentioned in the Constitution? Those who wanted
the words of the Constitution to be strictly interpreted are known as strict
constructionists. Those who wanted the same words to be loosely inter-
preted are known as loose constructionists.
Victory of the Loose Constructionists

In 1819, the Supreme Court applied the necessary-and-proper clause to McCul-
loch v. Maryland, a case involving the national bank. Lawyers for Maryland
argued that the national bank created by Congress in 1816 was unconstitu-
tional since the Constitution said nothing about banks. But the Supreme
Court ruled that such a bank was allowed because it was a necessary-and-
proper means of carrying out Congresss other powersto tax and to borrow.
As a result of McCulloch v. Maryland and other court cases, thousands of laws
made by Congress are allowed by the necessary-and-proper clause. The Internal
Revenue Service (IRS) is not mentioned specifically in the Constitution. How-
ever, since Congress has been delegated the power to tax, the Supreme Court has
said that the necessary-and-proper clause allows Congress the authority to
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create the IRS or any other institutions that are needed to help Congress carry
out its constitutional responsibilities.
Every day, lawyers question the meaning of different words and clauses of
the Constitution. It is the Supreme Courts job to settle these questions.
REVIEW
1. Define or identify: electors, federal supremacy, strict construction, loose
construction, and McCulloch v. Maryland.
2. How is the president of the United States selected?
3. How are the strict constructionist and loose constructionist interpretations
of the Constitution different?
4. According to the Constitution, how old must members of the House of
Representatives, senators, presidents, and justices of the Supreme Court be
in order to serve?
5. Arnold Schwarzenegger, who was born in Austria, became governor of Cal-
ifornia in 2003. According to the Constitution, could he serve as president
of the United States?
CHAPTER 4 REVIEW
1. The Preamble to the U.S. Constitution (a) explains the system of checks
and balances (b) outlines the major purposes of government (c) estab-
lishes a federal system of government (d) defines the crime of treason.
2. Constitutional amendments (a) must be unanimous (b) are relatively easy
to put in place (c) must be approved by the Supreme Court (d) are addi-
tions to, or changes in, the Constitution.
3. The framers of the Constitution separated the powers of the federal gov-
ernment among three branches (a) to check or limit the governments
power (b) to create more jobs (c) because the French system had done this
(d) to settle differences between the North and South.
4. The judicial branch (a) enforces the law (b) makes the law (c) interprets
the law (d) manages the federal bureaucracy.
5. The elastic clause has (a) been found to be unconstitutional (b) been
generally supported by conservatives (c) helped our government change
with the times (d) never been a source of controversy.
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6. Which powers was Congress using when it approved the creation of agen-
cies like the CIA, FBI, and IRS? (a) prohibited (b) concurrent (c) reserved
(d) implied
7. How can Congress check the misuse of power by the president?
(a) through the process of impeachment and removal from office
(b) through public criticism (c) by preventing the president from running
again (d) by asking the Supreme Court to investigate the president
8. A bill becomes a law when it is (a) passed by the president (b) approved by
both houses of Congress and signed by the president (c) passed by the
Supreme Court (d) approved by a majority of American voters.
9. An important result of the decision of McCulloch v. Maryland was that
(a) the Supreme Court approved the use of the elastic clause (b) the
Supreme Court declared a state law to be unconstitutional (c) slavery was
abolished (d) women received the right to vote.
10. Which of the following aided the growth of the federal governments
power? (a) strict construction (b) the federal supremacy clause (c) the
states rights theory (d) the Antifederalists
ESSAY
and a conclusion discussing the theme below.
Theme: Interpreting the Constitution
How to interpret the Constitution has been a source of controversy

almost since the day it was written.
Task: Contrast the views of strict and loose constructionists. Show how the
loose-constructionist view has been used to expand the powers of the federal
government. In answering this question, you may wish to refer to the Supreme
Court decision in McCulloch v. Maryland, the creation of the FBI and CIA, or
any other relevant example of your choosing.
Read and analyze each document and answer the question that follows. Then
read the task and write your essay. Essays should include references to most of
the documents along with additional information based on your knowledge
of U.S. government.
Historical Context: The United States Constitution created a system of checks
and balances based on three separate and equal branches of government. The
writers of the Constitution hoped to prevent misuse of power, thereby protect-
ing democracy and individual liberty.
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DOCUMENT 1
The placing of legislative, executive, and judicial power in the same

hands is the very definition of tyranny! . . . In forming a govern-
ment . . . the great difficulty is: you must first enable the government to
control the people; and in the next place require the government to
control itself.
James Madison, Federalist No. 51 (1788)
1. What argument does Madison make in favor of the separation of powers?
DOCUMENT 2
All legislative powers herein granted shall be vested in a Congress of the

United States, which shall consist of a Senate and House of Representa-
tives.
U.S. Constitution, Article I, Section 1
The executive power shall be vested in a president of the United States

of America.
U.S. Constitution, Article II, Section 1
The judicial power of the United States shall be vested in one Supreme
Court, and in such inferior [lower] courts as the Congress may from
time to time . . . establish.
U.S. Constitution, Article III, Section 1
2. How does the Constitution separate the powers of the United States gov-
ernment?
DOCUMENT 3
We conclude that when the grounds for using executive privilege as

protection against producing subpoenaed materials, . . . it cannot pre-
vail over the fundamental demands of due process of law. . . .
Accordingly we affirm the order of the District Court that President
Richard M. Nixon must supply the subpoenaed materials to that court
immediately.
U.S. Supreme Court decision, United States v. Nixon (1974)
3. What did the United States Supreme Court decide in United States v. Nixon?
How did the decision of the Supreme Court illustrate the principle of
checks and balances?
DOCUMENT 4
Having examined and considered the bill entitled An Act incorporat-

ing the Protestant Episcopal Church in the town of Alexandria, in the
42389 47-100 r7sp.qxp 12/24/09 5:31 PM Page 81
District of Columbia, I now return the bill to the House of Representa-

tives, in which it originated, with the following objections:
Because the bill exceeds the rightful authority to which governments
are limited by the essential distinction between civil and religious func-
tions, and violates in particular the article of the Constitution of the
United States which declares that Congress shall make no law respect-
ing a religious establishment. The bill enacts into and establishes by
law sundry rules and proceedings relative purely to the organization
and polity of the church incorporated, and comprehending even the
election and removal of the minister of the same, so that no change
could be made therein by the particular society or by the general
church of which it is a member, and whose authority it recognizes. This
particular church, therefore, would so far be a religious establishment
by law, a legal force and sanction being given to certain articles in its
constitution and administration.
President James Madison, veto message to Congress,
February 21, 1811
4. What reason did Madison give for vetoing the bill?
Task: Using information from both the documents and your knowledge of
government, write an essay in which you show how the separation of govern-
mental powers into three individual branches protects democracy. Explain
how the constitutional system of checks and balances protects against misuse
of power.
42389 47-100 r7sp.qxp 12/24/09 5:31 PM Page 82

Analyzing a Diagram
A diagrama visual with labelsgenerally shows how a system works or how

an item is made. As you read, a diagram can help you better understand the
text. A diagram you develop yourself can be a useful tool as you read or study,
helping you understand and remember the content of the text.
A. Study the diagram on page 68, and then answer the questions below.
1. What is the topic of the diagram? How can you tell?

2. Which labels on the diagram are entirely in capital letters? What is
the reason for using capital letters for these labels?
3. Which branch has the power to veto laws?
4. Which branch has the power to declare executive actions
unconstitutional?
5. How do the arrows help you understand the information in the
diagram?
6. Which branch has the power to set up lower courts? Which branch
does this power have an impact on within the system of checks and
balances?
7. Which branch has the power to impeach the president? Which
branch does this power have an impact on within the system of
checks and balances?
8. Who leads the executive branch? How does the executive branch
have an impact on the other two branches?
9. What would happen to the balance of power if the legislative branch
were dissolved?
B. Respond to the questions and instructions to write a paragraph.
10. Was the diagram useful in helping you understand the chapter? Are
there other features that might have been added to the diagram to
make it clearer and easier to understand? Explain. Discuss reasons
why you might create diagrams in the future as you read and study.
Include clear examples in your paragraph.
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Chapter 5

Changing the
Constitution
KEY TERMS
amendment Eighteenth Twenty-third
Eleventh Amendment Amendment
Amendment abolitionist Twenty-fourth
Twelfth suffragist Amendment
Amendment woman income tax
Thirteenth suffrage Prohibition
Amendment Nineteenth Twenty-fifth
Fourteenth Amendment Amendment
Amendment Twentieth Twenty-seventh
Fifteenth Amendment Amendment
Amendment Twenty-first
Sixteenth Amendment
Amendment Twenty-second
Seventeenth Amendment
Amendment
Since the Constitution was written in 1787, the United States has grown from
13 to 50 states. It has changed from a nation of farmers and merchants to a
nation of office and factory workers. Americans way of life has also changed
enormously.
More than two centuries later, Americans still recognize the Constitution
as our supreme law. Today, the Constitution still gives us a stable and practi-
cal form of government. How could one form of government last for over two
centuries?
While the Constitution gives the government enough power to preserve
83
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order, it also limits the governments power. Another reason for the Constitu-
tions long life is its flexibility. The framers expected their young country to
grow and change. They made it possible for the Constitution to change as the
nation grew and American society changed.
In this chapter, we will discuss how the Constitution can be changed
and what amendments have made the documentand our countrymore
democratic.
5.1 How Can the Constitution Be Changed?

Formally changingor amendingthe Constitution is not easy. To be adopted, a
proposed amendment must be voted upon by different groups of lawmakers.
The process is described in Article V of the Constitution.
Amendment Process
An amendment may be first proposed by the U.S. Congress and then submit-
ted to state legislatures for their approval, or ratification. Article V requires at
least two-thirds of the members of both houses of Congress to approve an
amendment. Once passed in this manner, three-fourths of the state legisla-
tures must ratify the amendment, and once that happens, it becomes part of
the Constitution.
Article V offers other ways of amending the Constitution. However, they
are more difficult than the usual method. One method is for Congress to pass
an amendment, but instead of sending it to the state legislatures for ratifica-
tion, it is voted on by state conventions. A state convention consists of
delegates elected from different districts of the state. If three-fourths of the state
conventions vote to ratify the amendment, it becomes part of the Constitu-
tion. Such a method has been successfully done once. In 1933, the Twenty-first
Amendment, which repealed Prohibition, was adopted in this manner.
The First Ten Amendments (Bill of Rights)

During the presidency of George Washington, ten amendments were pro-
posed and ratified at the same time. They are known as the Bill of Rights. More
than any other part of the Constitution, the Bill of Rights protects the basic
liberties of Americans such as the freedoms of speech, press, religion, petition
the government for a redress of grievances, and assemble peacefully.
James Madison was among those who persuaded Congress to propose a Bill
of Rights. In 1789, Madison became a member of the new House of
Representatives. He realized that the Constitution was not complete. Many
Americans complained that it lacked specific rights such as protecting the
freedoms of speech and religion. Madison was determined to correct these flaws.
In 1789, Madison drafted 17 amendments. Congressional committees
finally agreed that 12 of them should be submitted to the states for ratifica-
tion. By 1791, 10 of the 12 amendments were ratified by three-fourth of the
states. These first 10 amendments became known as the Bill of Rights.
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The First Amendment to the Constitution protects

freedom of religion.
REVIEW
1. Define: amendment.
2. Briefly describe the usual process to amend the Constitution and an alter-
native method.
3. Why did James Madison believe that the Constitution was incomplete?
5.2 What Amendments Have Made the

Constitution More Democratic?
In the 1790s, the only Americans who were allowed to vote were white, male
property owners. In effect, only a small minority of people had a voice in
government. As more amendments to the Constitution were added, the
United States became more democratic.
Reformers Before the Civil War

In the 1850s, the majority of adult Americans could not vote. Women, who
were about half of the population, could not vote. The right to vote was
denied to most blacks, both men and women, most of whom lived in the
South as slaves.
In the Northern states, many people, including Frederick Douglass, hoped
to set blacks free by abolishing slavery. Douglass also supported equality for all
women. In 1848, he signed the Declaration of Sentiments, which was drafted
at the Womens Rights Convention at Seneca Falls, New York. The declaration
stated that men and women are created equal and called for women to be
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Elizabeth Cady Stanton
given the rights to vote and own property. Elizabeth Cady Stanton, who
drafted the Declaration of Sentiments and worked for womens rights until
her death in 1902, was also a prominent abolitionist.
But many white Southerners were outraged by the antislavery ideas of
Northern abolitionists. Conflicting beliefs finally led to war between North
and South. In 1861, 11 states in the South declared that they had withdrawn
from the Union and they set up an independent government. In four years,
Southern soldiers fought Northern soldiers in a civil war that took the lives of
about 620,000 people. The South was defeated in 1865. The U.S. Congress was
then controlled by Northerners who wanted to free all slaves and guarantee
their rights as citizens.
Civil War Amendments

To accomplish this purpose, Congress proposed three amendments. Between
1865 and 1870, all three were ratified by the necessary number of states. The
Thirteenth Amendment abolished slavery in the United States. The Four-
teenth Amendment guaranteed that all persons born or naturalized in the
United States are citizens of the United States and of the state wherein they
reside. In other words, full citizenship was given to freed blacks. They were now
entitled to the same political rights as whites. The Fourteenth Amendment also
stated that all citizens (both blacks and whites) had to be granted equal protec-
tion of the laws by their state government. In effect, this amendment extended
the Bill of Rights, especially the due process of law, to the state level. The
Fifteenth Amendment guaranteed blacks the right to vote in any federal or
state election. No government could deny this right because of a persons race,
color, or previous condition of servitude [the fact of having once been a slave].
As a result of the Civil War, the United States took three huge steps toward
becoming a truly democratic nation.
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Frederick Douglass: Freedoms Advocate

A young African American named Frederick Augustus Bailey (later Frederick
Douglass) cherished freedom as much as the framers of the Constitution, but
for a very different reason. He was born into slavery on a farm in Maryland
around 1817. For the first 21 years of his life, Frederick was a slave and sold
from one owner to another.
Unlike most slaves, Frederick taught himself to read and write. The few books
that he read, in secret, led him to conclude that slavery was unnatural and
immoral. By the time he was 12 years old, Frederick had acquired a passion for
liberty. Frederick eventually came to prefer death over living as a slave. As he
later wrote, I often found myself regretting my own existence, and wishing
myself dead; and but for the hope of being free, I have no doubt that I should
have killed myself, or done something for which I should have been killed.
An owner in Baltimore, Maryland, eventually bought Frederick. He worked
in a shipyard and was paid a salary but was forced to turn over most of his
earnings to his owner. Frederick, however, kept enough money to buy a
railroad ticket. Disguised as a sailor, in 1838 he boarded a train and rode into
freedom in the North. In New York City, he
adopted a new name, Frederick Douglass.
From his escape in 1838 until his death in 1895,
Frederick Douglass devoted himself to winning
freedom for other slaves. Joining with white
reformers of the North, he delivered speeches and
wrote books about his former life as a slave. He
became famous as an abolitionist. In 1845, he
began publishing his own independent newspaper,
the North Star. Owned and operated completely by
free blacks, Douglasss newspaper was the first of
its kind to succeed.
During the Civil War (18611865), Douglass
Frederick Douglass helped persuade President Abraham Lincoln to
take a strong stand against slavery. The Norths
victory in the war resulted in federal laws and amendments to the U.S.
Constitution that freed the slaves in the South, gave full U.S. citizenship to
former slaves, and abolished the practice of slavery in the United States.
After slavery was abolished, Douglass turned to rights for women.
Campaign for the Nineteenth Amendment

To give women the right to vote, many suffragists believed the most effective
way was to work for an amendment to the U.S. Constitution. Susan B.
Anthony of New York led the effort for woman suffrage. The map on p. 89
shows when the individual states granted women some or full voting rights.
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Lilla Day Monroe: A Lawyer Who Could Not Vote

In 1887, Americans celebrated the 100th anniversary of the signing of the
Constitution. At the time, some citizens believed the Constitution had at least
one very serious flaw. The document did not give women the right to vote. State
governments, which made the voting laws, said that only adult males could vote.
Among those who wanted to change the Constitution was Lilla Day Monroe
of Kansas. In 1895, Monroe passed an
examination to practice law in Kansas. She
became the first woman lawyer to argue
cases before the states highest court.
Because of her profession, she knew
more about government and the law than
most men. Yet, like other women, she
was legally barred from voting.
Born in 1858, Monroe lived during a
period of great change in American
society. A number of women devoted
themselves to winning the right to vote.
The first major drive to win the vote for
American women took place in Kansas
Lilla Day Monroe in 1867, when Monroe was nine years
old. At that time, many young
suffragists, as the activists were known, spent months on dusty roads and
trails making speeches for their cause.
This first campaign for womans suffrage in Kansas was defeated like many
other campaigns. Lilla Day Monroe played a leading role in another campaign,
which began in 1901. It has always been my belief that everyone, whether
man or woman, should render public service to his or her community
according to ability, she explained. I did not feel that I was neglecting my
family in working for the public good, their good.
In 1912, volunteers for the Kansas State Suffrage Association persuaded a
majority of male voters to change the state constitution and give women in the
state the right to vote. As the associations president, Monroe had led the drive.
Within eight years, all American women would be able to vote in all elections.
In 1878, Congress considered a proposed amendment that read, The right

of citizens of the United States to vote shall not be denied or abridged by the
United States or by any state on account of sex. Congress rejected it. For 41
years, the Anthony Amendment, as it was called, was introduced in Congress
and defeated. Finally, in 1919, it passed. It took only one more year for state
legislatures to ratify it. In 1920, the Anthony Amendment became the
Nineteenth Amendment to the Constitution. Unfortunately, Susan B.
Anthony did not live to see the Nineteenth Amendment. She had died in 1906.
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Direct Election of U.S. Senators

In the election of 1920, every American man and woman over 21 had an oppor-
tunity to vote not only for president but also for U.S. senators. The Constitution,
as originally written in 1787, specified that senators were to be chosen by state
legislatures. The Seventeenth Amendment, adopted in 1913, changed this
provision by allowing the voters of a state to elect their U.S. senators. This was
another important step toward making U.S. government more democratic.
Adding Electors, Abolishing the Poll Tax

To remove other obstacles to voting, two more amendments were added in
the 1960s, at the height of the civil rights movement.
The Twenty-third Amendment, ratified in 1961, gave adult residents of
Washington, D.C., the right to vote in presidential elections. Under the origi-
nal Constitution, only states were assigned electors to cast ballots for president.
The city of Washington was not part of any state, so it did not have a voice in
presidential elections. The Twenty-third Amendment gave three electors to the
nations capital. (In Congress, the city of Washington, D.C., is represented by a
single delegate, who is elected to the House of Representatives and may speak
during debates and vote in committees, but not vote for legislation.)
The Twenty-fourth Amendment, ratified in 1964, abolished poll taxes,
which had kept many poor people from voting. In many Southern states, poll
Woman Suffrage in the United States
WA
1910 ME
MT ND MA VT NH 1919
1914 1917
OR MN
1912 ID NY RI
SD 1919 WI 1917
1896 WY 1918 1919 MI 1917
1869 1918 CT
NE IA PA
NV 1919 OH NJ
1914 1917 IL IN 1919
UT DE
CA 1870 CO 1913 1919
KS WV VA MD
1911 1893 MO
1912 1919 KY
TN NC
AZ OK 1919
1918 AR
1912 NM 1917 SC
MS AL GA
TX LA
1918
FL
AK
1913
Suffrage
Full
Presidential
HI Primary
None (gained in 1920 with the passage

of 19th Amendment)
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taxes had been enacted to keep African Americans, many of whom were poor,
from voting. Democracy advanced one more step with this amendment.
Suffrage for 18-Year-Olds

In the 1960s, tens of thousands of young men were drafted to fight in the Viet-
nam War. Most of them were between the ages of 18 and 21. If they were old
enough to risk their lives in war, why werent they old enough to vote? This
reasoning inspired an amendment that was ratified by the states in 1971. The
Twenty-sixth Amendment lowered the voting age to 18.
I just got drafted. I hope

I survive the war so I can
vote in my first election.
REVIEW
1. Define or identify: Woman suffrage; abolitionist; suffragists; Susan B.
Anthony; Thirteenth, Fourteenth, Fifteenth amendments; Seventeenth
Amendment; Nineteenth Amendment; Twenty-third Amendment; and
Twenty-fourth Amendment.
2. Briefly explain how each of the civil rights amendments attempted to
extend the rights of African Americans.
3. What further protections are contained in the Fourteenth Amendment?
4. How did women finally achieve the right to vote?
5. How and why was suffrage extended to 18-year-olds?
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5.3 Which Amendments Made Our

Government More Efficient?
As a practical plan for governing a nation, the Constitution has worked well,
but it has not always worked perfectly. In this section, we will see how flaws in
the original Constitution were gradually corrected by amendments.
Flaw in the Court System

The first flaw showed up very early during the presidency of George Washing-
ton. In the 1790s, a British citizen had sued the state of Georgia for failing to
pay its debts. After hearing the case, judges on the Supreme Court ruled in
favor of the British citizen. The Courts decision angered the people of Georgia
and worried the citizens of other states as well.
In 1794, Congress passed a constitutional amendment, which was ratified
the following year. The Eleventh Amendment states that the Supreme
Court has no power to settle disputes between a state and the citizen of
another state or a foreign country.
Flaw Concerning Congress

Until a century ago, Congress was unable to collect income taxes on individu-
als. Article I of the Constitution stated that Congress could tax people directly
What does the photo suggest about taxes and individual savings?
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only if the amount of taxes collected from each state was proportional to the
states population.
This method was not fair to people of the poorer states. Therefore, for
many years, no income tax was collected under the terms of the original Con-
stitution.
Finally, in 1913, the Constitution was amended to allow Congress to col-
lect an income tax. The Sixteenth Amendment reads, Congress shall have
power to lay and collect taxes on incomes, from whatever source derived,
without apportionment among the several states. . . . Because of these words,
over $1 trillion is collected by the U.S. Treasury from taxpayers every year.
Flaws Concerning the Presidency

The other flaws in the Constitution concerned the presidency. To correct
them, four amendments were added.
Flaw in the Electoral College

Article II states that the president and vice president would be chosen by the
electoral college. A flaw in the electoral college system surfaced in 1800. In that
year, Americans voted for electors, and the electors then voted for president and
vice president. A majority of voters wanted Thomas Jefferson to be president
and Aaron Burr to be vice president. But the system described in the Constitu-
tion did not allow electors to cast separate ballots for president and vice presi-
dent. So, voting for two candidates, they gave exactly the same number of votes
to both Jefferson and Burr. To break the tie, the House of Representatives had to
choose a president. After much confusion and bitter argument, a majority of the
House members voted finally for Jefferson after 36 ballots. An amendment was
needed to prevent a situation like this from happening at every election. The
Twelfth Amendment, ratified in 1804, states that electors are to cast one set
of ballots for president and another set of ballots for vice president.
Flaw in the System for Changing Leaders

Franklin Roosevelt was elected president for the first time in November 1932.
He was to assume the presidency in March 1933, four months later. During this
interim period, President Herbert Hoover, who lost the election, had almost no
power because his term of office was coming to an end. A president who has
little or no power because he or she will leave office within a short time period
at the end of his or her term is known as a lame duck. Roosevelt could not lead
the nation either, since the Constitution required him to wait until Inaugura-
tion Day in March. The Twentieth Amendment, ratified in 1933, shortened
the waiting period to about two and a half months. Instead of a presidents
term beginning in March, the amendment set an earlier date: January 20.
Too Many Terms?

After winning election in 1932, Franklin D. Roosevelt was reelected in 1936,
1940, and 1944. No other president had ever been elected to serve more than
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two terms. A few Americans worried that some future president might hold
office permanently and thus become a kind of dictator. Others wanted the
Constitution changed for reasons of party politics. Many Republican politi-
cians disliked seeing the White House occupied for so many years by a popular
Democrat. In 1951, the Twenty-second Amendment was ratified. It says
that no one can be elected president more than twice. The amendment, how-
ever, backfired on Republicans. In 1960, President Dwight Eisenhower, a pop-
ular Republican, was barred from running for a third term.
Incapacitation
In November 1963, President John Kennedy was assassinated. People won-
dered what might have happened if Kennedy had simply been incapacitated
and unable to carry out his duties and responsibilities. Who would then have
carried on the duties of president? Under Kennedys successor, Lyndon Johnson,
the Twenty-fifth Amendment was ratified in 1967. It describes in detail a
Outgoing President Herbert Hoover (left) rides with incoming President Franklin
Delano Roosevelt (right) on March 4, 1933, the last time a newly elected president
would be inaugurated in March.
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system for determining whether a disabled president can or cannot perform

his or her duties. If not, then the vice president takes over for as long as the
president is unable to return to the office.
One Amendment That Was Repealed

All amendments are added to the Constitution with the hope that they bene-
fit the nation. One amendment may have had the opposite effect. This was
the Eighteenth Amendment, which prohibited the manufacture, sale, or
transportation of wines, beers, liquors, and other alcoholic beverages.
Adopted in 1919, it went into effect in 1920.
People who wanted Prohibition thought it would prevent alcoholism,
which led to breakdowns of families and other social problems. Opponents of
Prohibition thought that people had a right to consume alcoholic beverages.
Many Americans had no respect for a law that they thought was wrong. There-
fore, during the 1920s, gangsters made a fortune selling beer and liquor ille-
gally to millions of customers. The violence associated with organized crime,
which sold alcohol illegally, alarmed many Americans.
By 1933, it was clear that the Prohibition experiment had not worked. In
that year, the Eighteenth Amendment was repealed by the ratification of the
Authorities dump kegs of beer in the street in enforcement of Prohibition laws.

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Twenty-first Amendment. Today, the sale of alcohol is regulated by state

laws and is not prohibited by federal law.
Amendment Proposed by James Madison

The most recent amendment to the Constitution, the Twenty-seventh, is as old
as the First Amendment. It was proposed by James Madison in the first
Congress of 1789, but never ratified. In fact, it was not ratified by three-fourths
of the states until 1992more than two centuries after it was originally
proposed.
The Twenty-seventh Amendment restricts Congresss ability to raise
the salaries of its own members. It states, No law varying the compensation
for the services of the Senators and Representatives shall take effect until an
election of Representatives shall have intervened. If the current Congress
raises the salaries of its members, the raise does not go into effect until the
election of the new Congress.
REVIEW
1. Define or identify: Eleventh Amendment, Twelfth Amendment, income tax,
Sixteenth Amendment, Eighteenth Amendment, Twentieth Amendment,
Twenty-first Amendment, Twenty-second Amendment, Twenty-fifth Amend-
ment, and Twenty-seventh Amendment.
2. How did the introduction of the income tax make possible the huge
growth of the federal government in the 20th century?
3. Explain the crisis that led to the adoption of the Twelfth Amendment. How
did the Twelfth Amendment correct flaws in the electoral college?
4. Why and how are limits placed on the numbers of terms a president may
hold office?
5. Why and how was the Eighteenth Amendment repealed?
5.4 How Can the Constitution Be

Changed in Informal Ways?
Adding amendments to the Constitution is the only formal way of amending it.
But there are also informal ways of changing the document. These have been as
important as the amendments in keeping the Constitution alive and well.
Action of Congress and the President

Constitutional powers are used by Congress whenever it passes new laws.
They are also used daily by the president in carrying out executive duties.
Change of the informal type occurs naturally and easily as time passes. For
example, one president may decide to act in a certain way, and afterward other
presidents may do the same. George Washington decided to meet regularly with
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a Cabinet of top officials. The presidents after him followed his example. Today,
holding Cabinet meetings is just as much a habit as holding presidential elec-
tions every four years. Here are other examples of informal changes:
Congress now uses committees to consider different types of bills.
Whenever there is a crisis, the president is expected to speak to the nation
about it in a special address on radio and television.
Every four years, political parties hold conventions to nominate candidates
for president and vice president.
The Constitution says nothing about Cabinet meetings, congressional
committees, televised speeches to the nation, or political parties. Yet they are
now a popular part of our system of government. The Constitution does not
forbid these or other habits of our political life. So they may continue to exist
as long as they are needed.
Decisions of the Supreme Court

In the Fourteenth Amendment, we find the phrase equal protection of the
laws. What does this mean? Does it guarantee that African-American stu-
dents can go to the same schools as white students? Once the answer was no
because, according to the Supreme Court in the 1890s, the words equal pro-
tection did not apply to African-American students. Since the 1950s, the
answer has been yes because, according to a Supreme Court decision, the same
words do ensure equal treatment for all students.
How can the same phrase change its meaning? It is because the Constitu-
tion is interpreted by nine human beings who have different points of view.
They are the nine justices who sit on the U.S. Supreme Court and review many
cases every year.
Each case involves a question about a certain clause of the Constitution.
How does a clause written in 1787 apply to a case involving admission to college
today, for example? It is hard to know. Supreme Court justices listen to lawyers
arguments in a case and then reach a decision by majority vote. They do not
always agree among themselves. Those who were in the majority 15 years ago
may not be in the majority today. So the opinion of the Supreme Court shifts
from time to timeand so does the interpretation of the Constitution.
REVIEW
1. Briefly explain the difference between formally and informally changing

the Constitution and give two examples of how the Constitution may be
changed informally.
2. How do the decisions of the Supreme Court allow the Constitution to
change with the times?
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CHAPTER 5 REVIEW
1. One important result of the complicated system of amending the
Constitution is that (a) many unwanted amendments are approved (b)
some amendments are declared unconstitutional (c) only changes that
have overwhelming support are approved (d) many amendments are
repealed.
2. James Madison agreed to add the Bill of Rights to the Constitution
because (a) the New England states threatened to secede (b) more guaran-
tees of personal liberty were needed (c) the Supreme Court asked him to
do so (d) another Shays Rebellion had to be prevented.
3. The civil rights amendments to the Constitution were written to guaran-
tee the rights of (a) ex-slaves (b) the handicapped (c) women (d) immi-
grants.
4. How did women finally achieve the right to vote? Through a/an (a) law of
Congress (b) Supreme Court decision (c) executive order of the president
(d) constitutional amendment.
5. Which major event helped 18-year-olds gain the right to vote?
(a) World War II (b) the Civil War (c) the civil rights movement (d) the
Vietnam War
6. Why was the number of presidential terms eventually limited to two? (a)
to weaken the system of checks and balances (b) to meet the challenges of
the cold war (c) to prevent possible abuse of power (d) to strengthen third
parties
7. Why was Prohibition finally repealed? (a) Its failure increased widespread
disrespect for the law. (b) The Democrats were defeated in Congress. (c)
The liquor industry was successful in putting pressure on Congress. (d)
Protests by the Western states succeeded.
8. The Constitution may be changed formally by (a) congressional practice
(b) amendments (c) a presidential order (d) a Supreme Court decision.
9. Which of the following best helps our government adapt to changing
times? (a) the separation of powers (b) the use of concurrent powers (c)
Supreme Court decisions (d) the system of checks and balances
10. How many amendments were added to the Constitution since its ratifica-
tion? (a) ten (b) none (c) twenty-seven (d) forty
ESSAY
and a conclusion discussing the following theme.
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Theme: Changing the Constitution

Although the Constitution was written more than 200 years ago, it has
been amended fewer than 30 times. The changes that have been made
fall into two categories: amendments that have made our government
more democratic, and amendments that have made it more efficient.
Task: Propose one amendment that would make our government more
democratic. Explain how or why your amendment makes our government
more democratic. Propose one amendment that would make our government
more efficient. Explain how or why your amendment makes our government more
efficient.
In writing your essay you may refer to any of todays controversies such as gay
marriage, abortion, the rights of minorities, the death penalty, national secu-
rity, or any other you choose.
Historical Context: Changing the Constitution is just one of many ways of

helping the government adapt to changing times. Over the years, several amend-
ments were adapted which helped to bring about important social changes.
DOCUMENT 1
Neither slavery nor involuntary servitude . . . shall exist within the

United States. . . .
Thirteenth Amendment (1865)
1. What change was brought about by the Thirteenth Amendment?
DOCUMENT 2
All persons born or naturalized in the United States . . . are citizens of

the United States and of the state in which they reside. No state shall
make or enforce any law which shall abridge the privileges . . . of citi-
zens of the United States; nor shall any state deprive any person of life,
liberty, or property, without due process of law; nor deny to any person
within its jurisdiction the equal protection of the laws.
Fourteenth Amendment (1868)
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2. How did the Fourteenth Amendment attempt to expand the rights of the
former slaves?
DOCUMENT 3
The right of citizens of the United States to vote shall not be denied or
abridged by the United States or by any state on account of sex.
Nineteenth Amendment (1920)
3. How did the Nineteenth Amendment attempt to extend equality to
women?
DOCUMENT 4
The right of citizens of the United States to vote in any primary or other
election for president or vice-president . . . shall not be denied . . . by
reason of failure to pay any poll tax or other tax.
Twenty-fourth Amendment (1964)
4. How did the Twenty-fourth Amendment attempt to protect the rights of
poor people and minorities?
DOCUMENT 5
The right of citizens of the United States, who are eighteen years of age
or older, to vote shall not be denied or abridged by the United States or
by any state on account of age.
Twenty-sixth Amendment (1971)
5. How did the Twenty-sixth Amendment expand the rights of younger
persons?
Task: Using the documents above and other amendments and your knowledge
of government, write an essay that shows how the amending process has
brought about important social change. Evaluate the extent to which amend-
ments have helped our Constitution keep up with changing times.
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Interpreting a Political Map
A. Study the map on page 89. Then answer the following questions.
1. What is the subject of the map?

2. What is suffrage?
3. What do the letters on the map represent?
4. How/why did the developers of the map select these letters?
5. Why are some of the letters set outside of the map with lines leading
from the map to the letters?
6. Why are the states in the map shaded differently?
7. How can you determine the meaning of each type of shading?
8. What do the numerals in the map represent?
9. Why are there no numerals on the map greater than 1919?
10. In which state were full voting rights first granted to women?
11. When were women in North Dakota granted the right to vote in
presidential elections?
12. Were women in Texas granted the right to vote in primary elections
before or after women in Arkansas were granted this right?
13. Why is there a section in the key representing None?
B. Follow the instructions to write a paragraph.
14. Considering historical events in the country, why is it not surprising

that the states depicted as None found themselves in this position
at this time?
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UNIT III
THE PRESIDENT
An aerial view of the White House
T
he president is widely seen as the leader of the United States.
According to the Constitution, however, the president is only
one-third of the federal government.
Chapter 6 discusses how a president is elected. To win their partys
nomination, presidential candidates compete in primaries. To be elected
president, a candidate today needs at least 270 votes in the electoral
college. You will learn what characteristics candidates need in order to
become president. The role of the vice president is also discussed, along
with how an incapacitated president can be replaced.
Chapter 7 covers the presidents duties and responsibilities. As the
head of the executive branch, the president must appoint people to run
the 15 different departments in his or her Cabinet and lesser agencies.
You will learn what powers and specific responsibilities the Constitu-
tion gives the president, such as granting pardons, nominating federal
42389 101-150 r6sp.qxp 12/23/09 9:07 PM Page 102
judges and Supreme Court justices, and delivering an annual State of

the Union address to Congress. How the presidency gradually changed,
especially in the 20th century, will also be examined in detail. The
chapter also explains why Americans look to the president to provide
leadership during a crisis and how a president wins support for his or
her policies.
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Chapter 6

Electing a
President
KEY TERMS
electoral vote plurality Inauguration
electoral state Day
college system primaries line of
popular vote succession
Election Day
The United States has a presidential election every four years. How do the
major parties settle on one candidate? What do credible candidates for presi-
dent need? This chapter discusses how the electoral college, which is estab-
lished by the Constitution, elects a president, and how a president is chosen if
no candidate gets the required majority of electoral votes. This chapter also
covers the important role of the vice president, who is expected to assume the
office if the president dies or becomes incapacitated.
6.1 How Do Americans Elect a President?

On Election Day, millions of eligible voters go to their local polling places to
vote for the candidate of their choice. Their votes are then counted. The can-
didate who receives the most votes is declared the winner.
That may be the simplest and most democratic way to choose a president.
But it is not the method used in the United States. Instead, the U.S. Constitu-
tion provides for a more complicated procedure known as the Electoral
College system.
Electoral College
Here is how the electoral college system elects a president for us every four
years.
103
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104 UNIT III THE PRESIDENT
1. The president is officially elected by a small group of individuals called

electors who belong to a body called the electoral college. An electors only
task is to cast two separate ballots: one ballot for president and the other for
vice president.
2. Every state is assigned a different number of electors, depending on the
states population. For example, because it has a large population, California
has more electors (55) than the sparsely populated state of Alaska (3). The
number of electors for each state is determined by adding the number of its
seats in the House of Representatives with its two U.S. Senate seats. Since
California has 53 seats in the House of Representatives and two U.S. sena-
tors (like every other state), it is assigned 55 votes in the electoral college.
3. On Election Day in November, the voters of a state elect the number of electors
to which that state is entitled. While they may think they are voting directly
for a president and vice president, they are in fact electing a group of electors.
4. To be elected president, one candidate must receive a majority of the electors
ballots. In recent elections, there have been a total of 538 electors assigned
to the 50 states and the District of Columbia. For a majority, the winning
candidate has to receive at least 270 electoral votes. In the 2000 election,
George W. Bush received 271 electoral votes. In 2004, Bush was reelected,
increasing the number of electoral votes he received to 286.
How Lincoln Won

To see how the electoral college works, let us study one of the most important
presidential elections in U.S. history. The 1860 election featured four major
candidates. The Republican Party, which was founded only six years before,
nominated Abraham Lincoln, a former one-term congressman from Illinois
and unsuccessful candidate for the U.S. Senate in 1858. The Democrats were
bitterly divided over the extension of slavery in the territories and produced
two candidates. Northern Democrats nominated Senator Stephen Douglas of
Illinois. Southern Democrats nominated Vice President John C. Breckinridge.
Remnants of the defunct Whig Party and the anti-Catholic Know-Nothing
Party joined forces to form the Constitutional Union Party, which nominated
John Bell, a former House Speaker and U.S. senator from Tennessee.
In the general election, Lincoln won a plurality of the popular vote with
40 percent. Plurality means a number greater than any other. Douglas fin-
ished second with about 29 percent. Breckinridge received 18 percent and Bell,
13 percent. Sweeping the North and winning two Western states, Lincoln won
180 electoral votes. Breckenridge did well in the South and two Mid-Atlantic
states with 72 electoral votes. Bell won three states to win 39 electoral votes.
Despite his second-place finish in the popular vote, Douglas won only one
state, receiving Missouris nine electoral votes and three of New Jerseys seven
electoral votes. Even if the Democrats were united, Lincoln still would have
won the election because he received over 50 percent of the popular vote in
enough states to give him a majority in the electoral college. At the time, a
majority consisted of 152 votes.
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1860 Electoral College Votes
Washington MA VT NH
Territory 13 5 5 ME
Unorg 8
OR Territory MN
3 4 NY RI
WI 4
Nebraska MI 35
5 CT
Territory 6
IA PA 6
4 OH 27
Utah IL IN NJ
CA Territory 11 13 23 R-4 ND-3
Kansas VA DE
4 MO KY 15
Territory 9 12 3
NC MD
New Mexico Unorg TN 12 10 8
Territory AR SC
Territory
4 AL GA 8
MS
9 10
TX 7
LA
4 6
FL
3
Republican (Lincoln), 180
Southern Democratic (Breckinridge), 72 Northern Democratic (Douglas), 12
Constitutional Union (Bell), 39 Territories
Predicting an Electors Vote

Although they are human beings, electors usually vote as expected. In theory,
they may freely decide whether to vote for one presidential candidate or
another. In fact, however, long before the actual election, they have already
made up their minds. They will vote for the candidates of their own political
party. Republican electors will certainly vote for the Republican Partys nomi-
nee for president. Democratic electors will vote for the Democratic nominee.
(On occasion, an elector will break with his or her party and support another
candidate. For example, in 1972, one elector pledged to Richard Nixon in Vir-
ginia cast his vote for John Hospers, the candidate of the Libertarian Party.)
The Role of the House of Representatives

What if a candidate wins more electoral votes than any other candidate, but
they are not a majority of the total electoral votes? How is the presidential
election decided?
Fortunately, the framers of the Constitution thought about this pos-
sibility. Article II, Section I, of the Constitution assigns the task of settling an
undecided election to the House of Representatives. The rules are these:
1. Each state represented in the House is allowed to cast just one vote.
2. Only three candidates who received the most electoral votes are considered
for election.
3. To be elected, one of the three candidates has to receive a majority of the
Houses votes. If necessary, House members have to keep voting until one
candidate receives a majority.
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To date, the House of Representatives has settled two elections. In 1800,

Thomas Jefferson was tied with Aaron Burr. The House chose Jefferson after
a long and bitter struggle. In 1824, the electors divided their votes among
four candidates. Though Andrew Jackson came closest to having an electoral
majority, the House picked his main rival, John Quincy Adams.
Electing the Vice President

The electors who choose a president also have the job of choosing a vice presi-
dent. Each elector casts two separate ballotsone for president, the other for
vice president. To be elected, a candidate for vice president must receive a
majority of the electors ballots.
Is There a Better Way?

The delegates to the Constitutional Convention devised the electoral college
in 1787. At that time, political parties had not come into existence in the
United States. Democracy was not yet fully accepted as a good way to govern.
Many of the delegates did not trust the average person to use good judgment
when choosing leaders. They expected that electors would be wiser and better
informed than most citizens. Electors would therefore be able to vote for a
president and a vice president with special care.
That was the delegates thinking. Many critics of the electoral college
believe that the body should be abolished. Their arguments are:
The system is undemocratic because people cannot vote directly for presi-
dent and vice president.
The system is so complicated that many Americans do not fully understand it.
The system gives an unfair advantage to the more populous states, such as
California, Texas, and New York. Since these states cast so many electoral
votes, candidates may spend most of their time campaigning there while
devoting little attention to the less populous states.
The system is outdated.
There have been dozens of proposals for reforming the electoral college sys-
tem or abolishing it. One proposal would divide a states electoral vote in propor-
tion to the popular vote. (For example, if a candidate won 60 percent of Ohios
popular vote, he or she would receive only 60 percent of that states electoral vote
instead of 100 percent.) A second proposal would guarantee that the majority
choice of the people would always be the majority choice of the electors. Ideas for
reform have been introduced in Congress but have never won enough support.
Most people are confident that the candidate who wins the popular vote
will win the electoral vote. In most elections in the recent past, the electors
have usually confirmed the peoples choice. After George W. Bushs disputed
victory in the 2000 presidential election, in which he won the electoral vote
but lost the popular vote, critics of the system felt that their dissatisfaction with
the electoral college was justified. Bush had fewer popular votes and only five
more electoral votes than Vice President Al Gore, his Democratic opponent.
Critics charged that the electoral college frustrated the will of the people.
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Notable Presidential Elections

Election of the First President. George Washington became the nations
first president when he was elected by the electoral college in 1789. No other
candidate challenged him.
Election of 1800. John Adams became the first incumbent president not
to be re-elected . However, due to a flaw in the Constitution, both Thomas
Jefferson and Aaron Burr received the same number of electoral votes. After
36 ballots, the House of Representatives finally chose Jefferson thanks to the
efforts of Alexander Hamilton, who persuaded enough representatives in his
Federalist Party to support Jefferson.
Election of 1824. Andrew Jackson finished first in both the popular and
electoral vote, but he did not receive a majority in the electoral college.
The House of Representatives elected John Quincy Adams, who was favored
by House Speaker Henry Clay, a bitter opponent of Jackson. (Four years
later, Jackson defeated Adams.)
Election of 1860. A split in the Democratic Party produced two Democratic
candidates, one in the North and one in the South. In a four-way race (including
the candidate of the newly formed Constitutional Union Party), Abraham
Lincoln became the nations first Republican president. After Lincolns election,
the Southern states seceded from the Union, sparking the Civil War.
Election of 1876. The Democratic candidate, Samuel Tilden of New York,
won a solid majority in the popular vote. However, with widespread
allegations of voter fraud and intimidation, Republican-controlled election
boards in Florida, South Carolina, and Louisiana gave the electoral votes of
those states to Rutherford B. Hayes, the Republican candidate. A special
Election Commission set up by Congress to resolve the election ended up
certifying the results, giving the presidency to Hayes.
Election of 1888. Although he won a majority of the popular vote,
incumbent President Grover Cleveland lost the vote in the electoral college to
Benjamin Harrison, the Republican. (Four years later, Cleveland ousted Harrison
and became the only president to hold the office two separate times.)
Election of 1912. With the Republican vote divided between President
William Howard Taft and former President Theodore Roosevelt, who ran
as an independent, Woodrow Wilson, a Democrat, won an easy victory in the
electoral college despite winning only about 42 percent of the popular vote.
Four years later, Wilson was re-elected with slim margins in both the electoral
and popular vote.
Election of 1940. President Franklin Delano Roosevelt broke the two-term
tradition and easily won an unprecedented third term in office. He won a fourth
term in 1944 but died a few months after his final inauguration in 1945.
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Notable Presidential Elections (Continued)

Election of 1948. President Harry Truman won unexpectedly against
Republican Thomas Dewey despite having two Democrats, J. Strom Thurmond
(who won the support of segregationists in the South) and former Vice
President Henry Wallace (the candidate of the left) running as independents.
Election of 1980. Jimmy Carter became the first elected president to be

voted out of office since Herbert Hoover in 1932. Ronald Reagan won a
landslide in the electoral college and a majority in the popular vote against
Carter and John Anderson, a liberal independent.
Election of 1992. Bill Clinton became the first Democratic president since
Jimmy Carter, ousting President George H. W. Bush, whose postDesert
Storm popularity was eroded by an economic recession. Ross Perot, an
independent candidate, won 19 percent of the popular vote, but failed to win
a single electoral vote. (See map below.) Clinton won only 43 percent of the
popular vote, the lowest percentage for a winner since Richard Nixon in 1968.
WA MA VT NH
11 12 3 4 ME
MT ND
3 4
OR 3 RI
ID MN
7 SD 10 WI NY 4
4 11 MI 33 CT
WY 3
3 18 8
IA PA
NE 7 23 NJ
NV 5 IL IN OH
15
CA
4 UT
CO 22 12 21 WV VA DE
5 KS 5 13
54 8 MO KY 3
6 11 8 MD
NC
TN 14 10
AZ OK 11 Washington
NM 8 AR SC
8 5 6 D.C.
MS AL GA 8 3
7 9 13
TX LA
32 9
FL
AK 25
3
Democratic (Bill Clinton), 370
Republican (G.H.W. Bush), 168

HI
4
Election of 2000. A close vote in Florida kept the race between George W.
Bush, the Republican, and Vice President Al Gore, the Democrat, unresolved
until December. The U.S. Supreme Court, by a 54 margin in Bush v. Gore,
ordered the Florida recount to stop, giving Bush the states electoral votes and
the presidency. Gore narrowly won the popular vote.
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Notable Presidential Elections (Continued)
Election workers in Florida attempt to recount ballots in the 2000 presidential election.
Election of 2008. The Democrats made history by nominating Senator

Barack Obama of Illinois, who became the first African-American president on
January 20, 2009.
WA MA VT NH
11 12 3 4 ME
MT ND
3 4
OR 3 RI
ID MN
7 SD 10 WI NY 4
4 10 MI 31 CT
WY 3
3 17 7
IA PA
NE 7 21 NJ
NV 5 IL IN OH
15
CA
5 UT
CO 21 11 20 WV VA DE
5 KS 5 13
55 9 MO KY 3
6 11 8 MD
NC
TN 15 10
AZ OK 11 Washington
NM 7 AR SC
10 5 6 D.C.
MS AL GA 8 3
6 9 15
TX LA
34 9
FL
AK 27
3
Democratic (Barack Obama), 370
Republican (John McCain), 168

HI
4
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REVIEW
1. Define: electoral college system, popular vote, and electoral vote.
2. Briefly explain how the electoral college works.
3. What rules apply if no presidential candidate receives a majority of the
electoral vote?
4. Why did the framers of the Constitution create the electoral college instead
of allowing American citizens to vote for the president directly?
5. What are some criticisms of the electoral college?
6.2 How Do Presidential Candidates Compete?

What does it take to be elected president of the United States? Most presi-
dents, especially in the electronic age, have many of the same characteristics
regardless of their political affiliation or ideology.
Characteristics of a Successful Candidate

Here is a basic list of the characteristics that successful candidates for presi-
dents share:
1. Name recognition. The candidate is usually a household name who is
familiar to tens of millions of voters. Most people will not vote for a candi-
date they never heard of or know nothing about.
2. Experience in politics or leadership role. The great majority of successful
presidential candidates have been U.S. senators (e.g., John Kennedy, Lyn-
don Johnson, and Barack Obama), state governors (e.g., Franklin D. Roo-
sevelt, Jimmy Carter, Ronald Reagan, Bill Clinton, and George W. Bush), or
vice presidents (e.g., Theodore Roosevelt, Harry Truman, Richard Nixon,
and George H. W. Bush). The few who had little or no experience in politics
became well known through serving in leadership roles in the military. For
example, because General Dwight Eisenhower had led the Allied armies in
Europe to victory in World War II, many people thought he might also
make a fine president. Other generals who became successful candidates
include George Washington (Revolutionary War), Andrew Jackson (War of
1812), William Henry Harrison (Indian Wars), Zachary Taylor (Mexican
War), and Ulysses S. Grant (Civil War).
3. A pleasing appearance on television. Television is the most persuasive
medium of our time. Voters now rely upon it to make judgments about
candidates (just as they make judgments about entertainers). Does a certain
candidate come across to them as exciting or boring, as confident or
nervous? The answer may influence millions of voters one way or the
other.
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Dwight Eisenhower (standing in back seat of car) campaigns for the presidency in
1952.
4. Money. It costs tens of millions of dollars to run a successful campaign for

president. Candidates of the two major parties have to compete in a rigor-
ous primary system to win enough delegates to become the nominee of
their party. Most of the money comes in the form of campaign contribu-
tions from supporters.
5. Being scandal-free. Voters expect candidates for president to be honest
and moral in their public and private lives. Any hint of misconduct in their
past may cost the candidate votes.
6. A strong desire to be president. Campaigning for the presidency is
hard, grueling work. The candidate must be willing to spend seven days a
week, day and night, and months and even years on the campaign trail.
Delivering speeches, sometimes in different cities and states on the same
day, greeting voters, and speaking to the press can be a brutal and tiring
process.
7. The support of a major political party. The nomination of either the
Democratic or Republican parties is essential to a candidates chances of
success.
To stand a chance of winning the presidency, a candidate needs to meet
most of the above seven requirements.
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2008 was a historic year in American politics for two reasons. For the first
time a woman made history by emerging as a leading candidate for a major
political partys presidential nomination: New York Senator Hillary Clinton.
Also for the first time, an African-American candidate, Illinois Senator Barack
Obama, also emerged as a leading candidate. The race between the two was so
close leading up to the Democratic National Convention in August that con-
cerns were raised that the superdelegates (designated, unpledged party officials
who hold significant influence within the party) would cast the decisive bal-
lots. Obama defused those worries by winning a majority of both pledged del-
egates and superdelegates.
What is the cartoonist saying about the long and bitter fight in
2008 for the Democratic nomination between Barack Obama
and Hillary Clinton?
The New Hampshire Primary

In recent elections, the presidential candidates of the two major parties
won their partys nomination by successfully competing in a series of state
primaries, or party elections. Candidates compete for delegates, who sit
at their partys convention and pick their nominee for president. To win their
partys nomination, candidates need to win a specific number of delegates.
Up until the middle of the 20th century, the partys leaders often picked a
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The New Hampshire Primary (Continued)

candidate. The primary system, as it is known today, gradually evolved in the
latter half of the 20th century.
The first primary of the election year is traditionally the important New
Hampshire Primary, which dates back to 1916. Years before the scheduled
primary, prospective presidential candidates from all over the country will visit
this small state to meet voters.
The New Hampshire Primary first gained national importance in 1952. On
the Republican side, General Dwight Eisenhower defeated Senator Robert Taft
of Ohio and went on to win the GOPs nomination. On the Democratic side,
Senator Estes Kefauver of Tennessee unexpectedly defeated President Harry
Truman, which led to his decision not to run for a second full term.
The New Hampshire Primary sank a second president in 1968 when
Senator Eugene McCarthy of Minnesota did surprisingly well against President
Lyndon Johnson in the Democratic race. Although Johnson won the primary,
his narrow margin of victory revealed that he would face a tough battle for
re-election. Johnson then dropped out of the race.
Starting in the 1960s, the primary system gradually expanded nationally. In
order to retain its status
as the nations first
primary, New
Hampshires legislature
often moved up the
date of its primary. In
1953, the primary was
held on March 11. In
2008, the primary was
held on January 8.
In recent decades,
the New Hampshire
Primary often made or
broke presidential
campaigns. Candidates
Dixville Notch, New Hampshire, ceremoniously casts the who were favored to
first ballot, commencing the nations presidential primary win their partys
season. nomination often did
poorly, while other
candidates who were thought to have little or no chance of winning the
nomination did better than expected. A victory or even a strong showing in
New Hampshire gives candidates momentum for later primaries.
The primary became so important that no president was elected unless he had
won the New Hampshire Primary earlier in the campaign. This changed in 1992
when Governor Bill Clinton of Arkansas, a Democrat, lost the primary to Senator
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The New Hampshire Primary (Continued)

Paul Tsongas of Massachusetts, but managed to win the Democratic nomination
and then the presidency in a three-way race. In 2000, Governor George W. Bush
of Texas, a Republican, lost New Hampshire to Senator John McCain of Arizona but
won the Republican nomination and the election.
In recent elections, instead of acting as king maker, the New Hampshire
Primary has just trimmed the number of presidential candidates. Those who
perform poorly in the primary usually drop out. Candidates who do well or
better than expected immediately spin the results to show they are building
momentum and impressing the voters of their party.
REVIEW
1. List the seven characteristics of successful presidential candidates in
what you believe is the order of importance and explain why they are
important.
6.3 What Is the Role of the Vice President?

The Constitution states that the president shall hold his office during
the term of four years. After being elected, most presidents serve out a term
of exactly four years. Eight of them, however, died in office. Four of them
William Henry Harrison, Zachary Taylor, Warren G. Harding, and Franklin
Delano Rooseveltdied from illness. The other fourAbraham Lincoln,
James Garfield, William McKinley, and John F. Kennedywere assassinated.
Judge Sarah T. Hughes administers the oath of office to

Lyndon Johnson aboard Air Force One after President
John F. Kennedys assassination on November 22, 1963.
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The death of a president places the entire nation in a state of temporary

danger. The duties of the president are so important that somebody must
perform them at all times. There must be no break in presidential leadership,
not even for an hour. In case of emergency, we must have a system for decid-
ing instantly who will be the new president.
The Constitution spells out the procedure for a president taking formal
control of the office from his or her predecessor and who takes over if the pres-
ident dies or is killed.
Inaugurating a President
There are 11 weeks between the presidential election and the inauguration.
This period starts in November of an even-numbered year divisible by 4 (for
example, 2004, 2008, 2012, but not 2010) and ends on Inauguration Day, Jan-
uary 20 of the next year (2005, 2009, 2013). By law, Election Day takes place
on the Tuesday that follows the first Monday in November. The running
mates who win the popular election are known as the president-elect and the
vice presidentelect. They have no official duties, however, until the inaugura-
tion. During this time, the president-elect is busy, considering Cabinet mem-
bers and public policy initiatives for the new term.
John F. Kennedy, Americas youngest elected president, delivers his

inaugural address on January 20, 1961.
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From November to January, the president remains the same as before the
election. On Inauguration Day, the new president takes over. The day is
filled with fanfare and ceremony. Immense crowds gather outside the Capitol.
On a decorated platform, the chief justice of the United States stands and faces
the president-elect. Microphones, television cameras, and loudspeakers broad-
cast the new presidents words to the American people and to people around
the world: I do solemnly swear that I will faithfully execute the office of Presi-
dent of the United States, and will, to the best of my ability, preserve, protect,
and defend the Constitution of the United States.
When the applause stops, the new president makes a speech to the nation
known as the inaugural address. For the rest of the afternoon, marching bands
and floats parade down Pennsylvania Avenue in honor of the inaugurated
president.
Two-Term Limit
The new president on Inauguration Day may or may not be different from
the old one. Bill Clinton took over from himself on Inauguration Day in 1997.
Every president is allowed to serve a second term, provided of course that he
or she wins reelection.
The Twenty-second Amendment to the Constitution says that no person
may be elected to the office of president more than twice. The amendment
went into effect in 1951. Since January 1951, four presidentsDwight Eisen-
hower, Ronald Reagan, Bill Clinton, and George W. Bushhave been in office
for two full terms (eight years). Franklin D. Roosevelt was elected to four
terms, but that was before the Twenty-second Amendment was adopted.
The Death of the President

The chief function of a vice president is to take over the executive branch in
case of the presidents death. According to the Constitution, the vice president
serves as president of the U.S. Senate and presides over its meetings. Recent
presidents have given their vice presidents other responsibilities as well. They
may be sent abroad, for example, to meet with foreign leaders or attend major
world conferences (as Clintons Vice President Al Gore did by attending envi-
ronmental conferences at Rio de Janeiro, Brazil, and Kyoto, Japan).
What would happen if both the president and vice president died or were
assassinated at once? In 1947, Congress passed a law listing the government
officials who could step into the presidents job in an emergency. Backing up
the vice president is the Speaker of the House of Representatives. If the
Speaker too were dead, the next in line is the Senates leading officerits pres-
ident pro tempore, or temporary leader. Next come various heads of Cabinet
departments, beginning with the secretary of state. (In order to legally serve as
president, the Speaker, president pro tempore, and members of the Cabinet
also have to satisfy the requirements in the Constitution.) The following table
lists the current presidential line of succession:
42389 101-150 r6sp.qxp 12/23/09 9:08 PM Page 117
1. Vice President
2. Speaker of the House of Representatives
3. President Pro Tempore of the Senate
4. Secretary of State
5. Secretary of the Treasury
6. Secretary of Defense
7. Attorney General
8. Secretary of the Interior
9. Secretary of Agriculture
10. Secretary of Commerce
11. Secretary of Labor
12. Secretary of Health and Human Services
13. Secretary of Housing and Urban Development
14. Secretary of Transportation
15. Secretary of Energy
16. Secretary of Education
17. Secretary of Veterans Affairs
18. Secretary of Homeland Security
Impeachment
In 1868, the House impeached President Andrew Johnson for defying a law of
Congress. The Senate, however, acquitted him by one vote.
The impeachment processor its threatmay lead to the removal of a pres-
ident. In 1974, the House Judiciary Committee recommended that President
Richard Nixon be impeached for covering up the Watergate scandal and abus-
ing his power. Realizing he would be impeached and then convicted by the Sen-
ate, Nixon decided to resign. Vice President Gerald Ford then became president.
In 1998, the House impeached President Bill Clinton for perjury and
obstruction of justice. The president was acquitted because the Senate did not
have the votes needed to remove him from office.
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President Andrew Johnsons impeachment trial in the Senate

drew a large, interested crowd.
Incapacitation
What if the president became physically or mentally incapacitated and
unable to carry out his or her duties? On July 2, 1881, President James Garfield
was seriously wounded by a gunman in an assassination attempt. Garfields
condition continued to deteriorate before he finally died on September 19,
1881, allowing Vice President Chester A. Arthur to become president. In 1919,
President Woodrow Wilson suffered a stroke, which left him physically dimin-
ished for months. The presidents condition was kept from the publicand
even the vice presidentand Wilsons wife helped discharge the duties of the
office.
The Twenty-fifth Amendment, adopted in 1967, spells out procedures for
replacing a president who becomes too sick to exercise the duties of the office.
If the president becomes incapacitated, the vice president meets with the pres-
idents Cabinet. If a majority agrees that the president is disabled, they inform
Congress in writing. The vice president immediately begins serving as presi-
dent. But the vice president is only the acting president. He or she cannot
become the official president unless the president dies.
At times, the president may temporarily transfer presidential authority to
the vice president. For example, in 1985, President Ronald Reagan underwent
surgery to remove a cancerous tumor from his colon. Before the operation,
Reagan formally transferred presidential authority to Vice President George
H. W. Bush. If an emergency requiring immediate presidential action took
place while Reagan was undergoing surgery, Bush could take the necessary
action as acting president. When Reagan fully regained his faculties after the
operation, he automatically took back his authority as president.
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REVIEW
1. Define: inaugural address and line of succession.
2. What are the vice presidents main duties?
3. Who would become president if both the president and vice president were
killed?
4. Describe how the vice president can become acting president if the
president becomes incapacitated.
CHAPTER 6 REVIEW
1. In order to be elected president, a candidate must (a) receive a majority of
the popular vote (b) be approved by the House of Representatives
(c) belong to one of the major parties (d) receive a majority of the elec-
toral vote.
2. Which of the following can happen under the electoral college system? It
is possible for a candidate to be elected president (a) with just a plurality
of the electoral vote (b) without a majority of the popular vote (c) with
the least number of electoral votes (d) if the House of Representatives
awards him or her disputed electoral votes.
3. In case of a tie in the electoral college, the election is resolved by a
(a) recount (b) vote in the House of Representatives (c) completely new
election (d) run-off election.
4. In order to be nominated for president, a candidate must (a) win a major-
ity of his or her partys convention delegates (b) be a war hero (c) be a suc-
cessful governor (d) campaign in primary elections.
5. The first presidential primary in the nation is held in the state of (a) Alaska
(b) Iowa (c) New Hampshire (d) California.
6. A number of presidents who have never held elective office have been
(a) generals (b) business leaders (c) religious leaders (d) journalists.
7. Which amendment allows the vice president to assume the presidency in
case the president becomes incapacitated? (a) First (b) Tenth (c) Twenty-
second (d) Twenty-fifth
8. A newly elected president officially begins his or her term (a) on the day
after Election Day (b) on the day after the electoral college meets (c) on
Inauguration Day (d) as soon as the election results become official.
9. The vice president also serves as president of the (a) United States
(b) Supreme Court (c) House of Representatives (d) U.S. Senate.
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10. In 1985, President Ronald Reagan temporarily transferred presidential

authority to (a) Vice President George H. W. Bush (b) First Lady Nancy
Reagan (c) House Speaker Thomas Tip ONeill (d) former Secretary of
State Alexander Haig.
ESSAY
graphs, and a conclusion discussing how a candidate gets elected president. Be
sure to cite examples from history in your answer.
knowledge of U.S. history.
Historical Context: Many people in the United States believe the electoral
college is undemocratic and unnecessary and should be abolished. However,
other people believe that the electoral college continues to serve a useful
purpose.
DOCUMENT 1
Since the passage of the twelfth amendment of the United States Con-
stitution in 1804, there have been hundreds of attempts to radically
change the electoral college system of electing the President and Vice
President. . . . There are some very good reasons why the electoral col-
lege system has not been changed and should not be changed, and this
reasoning is as sound today as ever.
. . . Protecting the Constitution is among our most important respon-
sibilities. It should not be taken lightly. The Constitution should only
be amended as a last resort to resolve a pressing national dilemma. The
idea of amending the Constitution and abolishing or reforming the
electoral college has been illegitimately considered in many previous
sessions of Congress. A careful review of the record reveals that propos-
als before us today are not much different from proposals that have
been considered and rejected by previous Congresses for many good
reasons.
As an initial consideration we must ask what is the pressing national
dilemma that can only be cured by changing the Constitution? The
central argument of direct election proponents is that without direct
elections, we run the risk of electing Presidents that, despite getting
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more popular votes than their opponents, lose the election because
their opponent wins more electoral votes. I am not convinced that this
minority President concerned is all the problem it is made out to be.
First, our national government is a federalist system composed of States
and the District of Columbia. With our current system candidates seek-
ing national office must address the needs of these States consistent
with the manner in which our government is organized. Any change in
this system would lead to significant decline in our federalism and in
the sovereignty of the States.
Rep. Robert C. Scott, Democrat of Virginia, meeting of the House
Subcommittee on the Constitution, September 4, 1997
1. Why does Congressman Scott support the electoral college?
DOCUMENT 2
The main problem with the Electoral College is that it builds into every
election the possibility, which has been a reality three times since the
Civil War, that the president will be a candidate who lost the popular
vote. This shocks people in other nations who have been taught to look
upon the United States as the worlds oldest democracy. The Electoral
College also heavily favors small states. . . .
The majority does not rule and every vote is not equalthose are rea-
sons enough for scrapping the system. But there are other conse-
quences as well. This election has been making clear how the Electoral
College distorts presidential campaigns. A few swing states take on
oversized importance, leading the candidates to focus their attention,
money and promises on a small slice of the electorate.
New York Times editorial, Making Votes Count;
Abolish the Electoral College, August 29, 2004
2. Why does the New York Times believe that the electoral college should be
abolished?
DOCUMENT 3
James Madisons famous Federalist No. 10 makes clear that the Founders
fashioned a republic, not a pure democracy. To be sure, they knew that
the consent of the governed was the ultimate basis of government, but
the Founders denied that such consent could be reduced to simple
majority or plurality rule. In fact, nothing could be more alien to the
spirit of American constitutionalism than equating democracy with the
direct, unrefined will of the people.
Recall the ways our constitution puts limits on any unchecked power,
including the arbitrary will of the people. Power at the national level
is divided among the three branches, each reflecting a different
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constituency. Power is divided yet again between the national govern-

ment and the states. Madison noted that these twofold divisionsthe
separation of powers and federalismprovided a double security for
the rights of the people.
What about the democratic principle of one person, one vote? Isnt that
principle essential to our form of government? The Founders handi-
work says otherwise. Neither the Senate, nor the Supreme Court, nor
the president is elected on the basis of one person, one vote. Thats why
a state like Montana, with 883,000 residents, gets the same number
of Senators as California, with 33 million people. Consistency would
require that if we abolish the Electoral College, we rid ourselves of the
Senate as well. Are we ready to do that?
John Samples, Cato Institute
Web site, November 10, 2000
3. Why does Samples believe the electoral college is consistent with American
constitutional traditions?
DOCUMENT 4
We are a very different country than we were 200 years ago. I believe
strongly that in a democracy, we should respect the will of the people
and to me, that means its time to do away with the Electoral College
and move to the popular election of our president.
Senator-elect and First Lady Hillary Clinton,
November 17, 2000
4. What argument does Hillary Clinton make against the electoral college?
Task: Using the documents above and your knowledge of U.S. government,
write an essay that discusses the merits and disadvantages of the electoral col-
lege system of electing a president.
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Interpreting and Developing Line Graphs
A. Read the information below. Then answer the questions about the
graph.
A PAC is a political action committee. PACs generate and make contribu-

tionssometimes very large contributionsfor the purpose of electing or
defeating candidates. They have been in existence since the mid-1940s.
PAC Contributions to All Federal Candidates, 19922006

,
4
$372.1
3 $310.5
Dollars (Millions)
$282.0
Contributions
$259.8
$188.9
2 $219.9
$217.8
$189.6
1992 1994 1996 1998 2000 2002 2004 2006

Year
Data source: Federal Election Commission Sources
www.fec.gov/press/press2007/20071009pac/20071009pac.shtml
www.opensecrets.org/pacs/pacfaq.php
B. Answer the following questions regarding the line graph.
1. What is the topic of the graph?

2. What period of time is covered by the graph? How can you tell?
3. What are the labels for the graphs vertical axis?
4. What do the vertical axis labels represent? How can you tell?
5. What are the labels for the graphs horizontal axis?
6. What do the horizontal axis labels represent?
7. When did the contributions total more than $3 million?
8. When did the contributions total less than $2 million?
9. What general statement can you make about the contributions
from the late 1900s through the early 2000s?
10. Use the following information to create a line graph. Provide a
title for your graph. In your graph, display the percentage of the
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voting-age population voting in presidential elections from

19802004. The data and source appear below:
198052.6% 199649.1%
198453.1% 200051.3%
198850.2% 200455.3%
199255.2%
Data source: American Presidency Project,

University of California, Santa Barbara
www.presidency.ucsb.edu/data/turnout.php
11. Write three questions based on your line graph.

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Chapter 7

The Presidents
Duties and
Responsibilities
KEY TERMS
chief executive amnesty Executive Office
commander in filibuster of the President
chief chief of state budget
state militia Office of
censure
ambassador Management
bureau and Budget
State of the
Union address agency coattail effect
pardon administration tariff
The executive branch of the United States government is the only branch that
is headed by a single individual, the president. In this chapter, we discuss the
presidents duties, as specified by the Constitution. The Constitution names
the president the commander in chief of the armed forces, and authorizes
him or her to negotiate treaties with other nations. In domestic policy, the
president appoints officials to serve as Cabinet secretaries and to lead smaller
agencies. We will also see how the presidency has been gradually transformed
by some of its most notable occupants. Today, Americans expect the president
to provide strong leadership. This chapter also describes the ways the presi-
dent wins support for his or her policies by appealing to the American people,
members of his or her own party, Congress, and foreign leaders.
125
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7.1 What Powers Does the Constitution

Give the President?
The Constitution, in Article II, Section 2, presents a brief list of the presidents
powers and duties. The following powers are the most important:
Enforce the Laws

Congresss main job is to make the nations laws. Once laws are made, the
president has the duty of seeing that they are properly enforced or executed.
Thus, the president is called the chief executive, and the branch of govern-
ment that the president directs is the executive branch.
According to the Constitution, the president may require the opinion, in
writing, of the principal officer in each of the executive departments. The
Constitution says nothing more about these departments or the officials in
charge of them. It leaves to Congress and the president the question of how
many executive departments to create.
The first president, George Washington, asked Congress to create three
departments, each to be managed by a different secretary. He appointed a
secretary of the treasury, Alexander Hamilton, to head a department for col-
President George Washington (sitting at right) consults with

two members of his Cabinet, Secretary of State
Thomas Jefferson (sitting at left) and Secretary of the
Treasury Alexander Hamilton (standing).
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THE UN
OF I
T
TE
N
PRESIDE
DS
TATES
President
Army Navy Air Force Marines

The president oversees all branches of the military and is thus
called the commander in chief.
lecting taxes and paying the expenses of the executive branch. He appointed
Thomas Jefferson to be secretary of state and Henry Knox to administer the
armed forces as secretary of war. These officials made up a group called the
presidents Cabinet. The attorney general was a Cabinet member but did not
head an executive department (the Department of Justice) until 1870.
Since Washingtons time, the executive branch has grown tremendously.
Today, it consists of 15 departments as well as many other separate agencies.
Each of the major departments is headed by a different member of the presi-
dents Cabinet. These Cabinet members help the president to administer, or
execute, thousands of U.S. laws. But the final responsibility for executing the
laws rests with the president as chief executive.
Command the Armed Forces

The Constitution states, The president shall be commander in chief of the
army and navy. We still use the term commander in chief to describe the
president. In this role, the president is responsible for the military defense of
the United States. Generals and admirals in the Army, Navy, Air Force, and
Marines must obey the presidents orders. Thus, military officers are always
under the control of a civilian officialthe president. Civilian control of the
military protects our democracy from being taken over by a military dictator.
The Constitution gives the president the authority to call the state mili-
tia into the service of the United States. The militia consists of citizens who
serve as part-time soldiers and may be called to duty in a time of emergency.
Another name for the militia is the National Guard.
Congress also makes important decisions about the armed forces. For
example, Congress can either grant or refuse the presidents request for money
to arm and equip U.S. troops. Thus, there are limits to what the president can
do as commander in chief. Even so, the president is still responsible for the
defense of the country.
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Appoint Ambassadors
Ambassadors are officials who live abroad in the capitals of foreign coun-
tries. Their main job is to represent the U.S. government to the leaders of for-
eign governments. All ambassadors to foreign countries are appointed by the
president. The appointments, however, must be confirmed by the Senate.
Negotiate Treaties
A treaty is an agreement signed by the heads of government of two or more
nations. The Constitution gives the president the power to make and sign
treaties. After a treaty is signed, the Senate must vote on whether to accept it.
For the treaty to be valid, at least two-thirds of the senators must ratify it.
Inform Congress About the State of the Union

Every year, in January, it is the presidents constitutional duty to deliver a
speech to Congress about the nations welfare. The president also calls for new
laws and programs to improve the country. This important speech is known as
the presidents State of the Union address.
Giving a speech is only the beginning of the presidents attempt to lead Con-
gress. Almost every day of the week, the president and White House aides con-
sult with members of Congress to try to persuade them to vote for certain laws.
U.S. Ambassador to the Philippines Kristie A. Kennedy answers

questions from reporters in Jolo, Philippines.
Veto Acts of Congress

Congress is chiefly responsible for making federal laws. But the president is
also involved in the lawmaking process. The president may choose either to
sign or veto an act of Congress. Usually, the president sends the vetoed legisla-
tion back to Congress and gives reasons for rejecting it.
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President Bill Clinton delivers his State of the Union address in 1997.
Grant Pardons
The Constitution gives the president the power to grant pardons and reprieves
for offenses against the United States. A pardon absolves an individual of the
legal penalties for any crime he or she may have been convicted of.
In 1921, President Warren G. Harding pardoned Eugene Debs, the labor
leader and perennial Socialist Party presidential candidate. After making a
speech objecting to U.S. involvement in World War I, Debs was convicted
in federal court of violating the 1917 Espionage Act and sentenced to 20 years
in prison. After being pardoned by Harding, Debs was released from prison. In
August 1974, President Richard Nixon, who was facing impeachment over his
involvement in the Watergate scandal, resigned. About one month later, Pres-
ident Gerald Ford pardoned Nixon for any crimes he may have committed
while in office. Fords pardon shielded Nixon from any criminal prosecution.
In order to minimize or even escape the political consequences, presidents
will grant many pardons just before leaving office. After losing his reelection
bid in 1992, President George H. W. Bush pardoned six individuals involved
in the Iran-contra affair. Right before leaving office in 2001, President Bill
Clinton pardoned his own brother, who was facing drug charges, and a
wealthy fugitive whose ex-wife had made a large campaign contribution to
First Lady Hillary Clintons campaign for U.S. Senate in New York in 2000.
Presidents may also declare an amnesty, which absolves large numbers of
people from facing criminal charges. In 1977, President Jimmy Carter granted
an amnesty to thousands of young men had who illegally avoided military
service during the Vietnam War. Many of these men had fled the country to
escape the draft or remained in hiding in the United States. The presidents
amnesty absolved the draft evaders from facing any criminal charges.
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Presidents have the power to grant pardons to those accused of misdeeds. An annual
tradition at the White House is to pardon a Thanksgiving turkey.
Nominate Federal Judges

Federal courts are located in every state. The judges who run these courts are
appointed by the president. Among them are the nine justices of the U.S.
Supreme Court in Washington, D.C.
The presidents nominations to office must be submitted to the Senate for
a vote. But before a vote is scheduled, the candidate must be debated by the
Senate Judiciary Committee. Usually, the Senate confirms the presidents
choices. But there are times when a majority of senators vote against the pres-
idents nominee. Then the president must name someone else. The Senate
votes again on the second choice.
In 2003 and 2004, President George W. Bush made several controversial
appointments to federal judgeships. There were not enough Democrats on the
Senate Judiciary Committee to vote against the nominees. The Democratic
senators proceeded to mount filibusters to stall the confirmation hearings. A
filibuster is a long, continuous speech by a senator, often on a topic that has
nothing to do with the matter being debated, and which may go on for hours.
(A group of senators often take turns speaking, creating a lengthy filibuster
that can last for days.) The filibusters purpose is to stop the legislative process.
Filibusters are used only in the Senate, either on the floor of the Senate cham-
ber or in committee. The House of Representatives does not permit the fili-
buster.
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In 1957, Senator Strom Thurmond set

the record for the longest filibuster in
Senate history, speaking for 24 hours
and 18 minutes.
Formal Qualifications for President

According to the Constitution, anyone may be president who is a natural-
born citizen, at least 35 years old, and a U.S. resident for at least 14 years. Mil-
lions of Americans today meet these formal requirements for being president.
However, only a few have the experience, the finances, the stamina, and the
will to be a candidate for president.
The first 43 people who served as president were all white men. Until
recently, it was widely believed that women and racial, ethnic, and religious
minorities could never be elected president. In recent decades, however, voter
attitudes have been changing. In 1960, John F. Kennedy was the first Roman
Catholic elected president. In 1984, Congresswoman Geraldine Ferraro of New
Geraldine Ferraro
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Barack Obama was elected the 44th president

of the United States on November 4, 2008.
York, a Democrat, made history when she became the first woman nominated for
vice president by one of the two major parties. In 1988, the Rev. Jesse Jackson, an
African American and civil rights activist, was a leading candidate for the Demo-
cratic nomination for president. In 2000, Senator Joseph Lieberman of Connecti-
cut, a Democrat and an Orthodox Jew, was the Democratic Partys nominee for
vice president. In 2008, Senator Barack Obama of Illinois, a Democrat, became
the first racial minority to win a major partys nomination. (His closest rival for
the Democratic nomination was a woman, Senator Hillary Clinton of New York.)
REVIEW
1. Define: chief executive, state militia, commander in chief, State of the
Union address, pardon, and amnesty.
2. Name the three original executive departments and the Cabinet members
who headed each. Explain how the executive branch has grown since
Washingtons time.
3. Which powers make the president largely responsible for the nations for-
eign policy? Briefly explain how these powers work.
4. How can Congress check or limit the presidents powers as commander in
chief and treaty negotiator?
5. How does the presidents power to nominate federal judges give him or her
influence over the judicial branch?
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7.2 Why Do Americans Expect the President

to Provide Leadership?
Is it the presidents duty to provide leadership in a time of crisis? Almost all
Americans would say yes. But why do they look to the president for leadership
instead of Congress? Four reasons may be given.
1. In two places, the Constitution names the president as the chief (or
leader) of the government. It states that the president is to act both as chief
executive (leader of the executive branch) and as commander in chief
(head of the armed forces).
2. There is only one president. In the Senate, power is divided among 100 sen-
ators. In the House, power is divided among 435 representatives. In the
Supreme Court, power is shared by nine justices. Disagreements are com-
mon in all three of these government groups. Making decisions is slow and
difficult.
Only one branch of government is under the control of a single person.
Though advised by many, the president alone directs the executive branch.
The president alone makes final decisions for the Army, Navy, FBI, and
hundreds of other government agencies. When the nation is threatened by
war or internal crisis, the president can take immediate action. Later, there
may be time for debate. Then Congress may challenge the presidents deci-
sions, but some leader in government must be able to act without delay in
an emergency. In the United States, that leader can be only the president.
3. The president has great prestige as chief of state. We often think of the pres-
ident as a symbol of our nation. Why is the president regarded as a symbol,
President Dwight Eisenhower throws out the ceremonial first pitch before a
baseball game. What role was the president playing?
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while members of Congress are not? It is because the president is the nations
one and only chief of state. This role is quite different from the more practical
role of chief executive. A chief of state is like a master of ceremonies. In this
role, the president conducts patriotic ceremonies and honors citizens for out-
standing service. It is the presidents custom, for example, to throw out the
first pitch of a major league baseball game. As chief of state, a president may
do many things. Presidents have done everything from calling astronauts to
congratulate them about landing on the moon to visiting U.S. troops in war
zones. At the White House, the president may greet Boy Scouts, senior citi-
zens, artists, musicians, and Olympic athletes.
None of these activities are listed in the Constitution. But a president
devotes a lot of time to them anyway. Being chief of state adds to the pres-
tige and dignity of the presidency. It also increases the presidents power
and ability to lead.
4. Modern presidents have given strong leadership. In the late 19th century
(after Abraham Lincoln), presidents were not very strong leaders. They
performed their duties as narrowly defined by the Constitutionand did
not do much more.
President Theodore Roosevelt (center) earned

international acclaim and a Nobel Peace Prize for his role
in helping to end the Russo-Japanese War.
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In the 20th century, the American presidency changed. President Theodore

Roosevelt, an older cousin of future president Franklin Delano Roosevelt,
thought it was his job to make America strong. A coal strike in 1902 made
Americans fearful of a winter without heating fuel. Roosevelt used all of his
power as president to see that the strike was settled. In 1902, Roosevelt amazed
Americans by moving to break up a powerful railroad company with the
Sherman Antitrust Act of 1890. In foreign policy, Roosevelt brokered a peace
agreement that ended the 19041905 war between Japan and Russia. For his
role in ending the Russo-Japanese War, President Roosevelt was honored with
the Nobel Peace Prize in 1906.
Many scholars assert that Theodore Roosevelt changed the office of presi-
dent. He impressed Americans by the bold way that he faced problems. Many
people admired his strong style of leadership and came to expect it of later
presidents.
President Woodrow Wilson also exercised strong leadership. In 1913, Wil-
sons first year as president, he proposed many major laws and succeeded in
persuading a majority in Congress to vote for them. Wilson also took firm
control of Americas relations with foreign countries. As commander in chief,
he sent U.S. troops to Europe to fight in World War I. After the war, Wilson
went to France to help negotiate a peace treaty. No president before Wilson
had ever traveled abroad to make his leadership felt in person.
Franklin Delano Roosevelt took office in the middle of the Great Depres-
sion. He was elected president in 1932, and reelected in 1936, 1940, and 1944.
No other person was president this longa total of 13 years. No other person
used the powers of the presidency as Roosevelt used them.
World War II was the second great challenge that Roosevelt faced. At his
request, more laws were passed to help fight the war. More workers were added
to the government payroll. When the war ended, the executive branch was
larger than it had ever been. The president, as the head of this branch, had
much greater power than ever before. Presidents were now expected to offer
solutions to the nations problems. Giving leadership was thought to be their
main job.
REVIEW
1. Why does the nation look to the president for leadership in times of emer-
gency?
2. Explain the difference between the presidential roles of chief of state and
chief executive.
3. Explain how the following presidents strengthened the presidency in
the 20th century: Theodore Roosevelt, Woodrow Wilson, and Franklin
Roosevelt.
4. Explain how providing leadership has become the main job of modern
presidents.
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How the Media Has Shaped U.S. Politics

The growth of electronic media in the 20th century had a major impact
on U.S. politics. Even before radio was developed, politicians used public
speeches, newspapers, magazines, and campaign literature to get their
messages out to the people.
By the time Franklin Roosevelt was elected president in 1932, most
American homes had a radio set. President Roosevelt frequently used the radio
to reassure Americans who were struggling through the Great Depression and
to articulate the details of his New Deal reforms. The presidents fireside
chats, as his radio speeches were known, drew millions of listeners then and
during World War II.
Television swept postwar America, and it quickly impacted politics.
Presidents Harry Truman and Dwight Eisenhower both delivered televised
speeches.
Millions of viewers watched John Kennedy and Richard Nixon debate on

television during the 1960 presidential election campaign.
Television helped discredit Senator Joseph McCarthy, who had gained

national attention during the early 1950s for his investigations of alleged
Communist infiltration of the U.S. government. In 1954, McCarthys hearings
investigating the U.S. Army were broadcast live on television. Many viewers
were disgusted by McCarthys tactics, which included bullying and interrupting
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How the Media Has Shaped U.S. Politics (Continued)

witnesses and making false charges. In one dramatic confrontation, Army
counsel Joseph Welch asked Senator McCarthy, Have you no sense of
decency, sir? After the Army-McCarthy hearings, the senators influence
declined significantly, and the U.S. Senate formally censured him in
December 1954.
In 1960, television helped elect a president. Vice President Richard Nixon,
the Republican candidate, met Senator John F. Kennedy, the Democratic
candidate, in four televised debates. In the first debate, which drew over 80
million viewers, Nixon looked tired and in ill health. By contrast, Kennedy, who
unlike Nixon agreed to wear makeup and was well rested, looked great on
television. Subsequent studies revealed that a majority of people who watched
the debate on television concluded that Kennedy won it. However, a majority
of those who heard the candidates on the radio concluded that Nixon won the
debate. Since he was more suited to television than Nixon, Kennedys looks
and style helped him in the campaign. In fact, many historians believe that the
first debate helped turn public opinion in Kennedys favor. Kennedy went on to
win a narrow victory over Nixon in November. Presidential candidates would
not debate again until 1976.
During the mid-1990s, politicians and candidates began to look to the
Internet to communicate with voters and constituents. In 2004, Governor
Howard Dean of Vermont, a Democrat, successfully used the Internet to
attract many campaign donors. Deans sizable campaign coffers made him a
leading contender for the Democratic nomination for president.
In the 2006 midterm election and the 2008 presidential election, YouTube,
a video-hosting site on the Internet, became important. Many candidates
posted videos on the site discussing their campaigns and stands on the major
issues. YouTube also served as a repository for any embarrassing footage of
candidates, such as showing them making controversial and offensive
statements and previously having different positions on issues such as taxes,
guns, abortion, and gay marriage than they did in the latest campaign.
Unlike radio and television, however, the Internet has turned millions of
ordinary people into journalists and commentators, thus allowing them to play
greater roles in political campaigns.
7.3 Who Helps the President Set Policy?

Americans expect a great deal of a president. They expect that the president
will make good decisions concerning national and international problems,
take effective action on these decisions, and convince others that the deci-
sions are right and necessary. It is extremely difficult for a president to accom-
plish all of this alone.
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Selecting a Team of Advisers

Fortunately, modern presidents have plenty of help in dealing with problems
and making decisions. In the White House, they surround themselves with
special assistants and advisers. The heads of the different departments work in
government buildings located throughout the nations capital. The secretary
of defense, for example, has an office in the huge five-sided building known as
the Pentagon. This adviser often calls the president or visits the White House.
Other department heads also keep in close touch with the president.
Selecting a strong team of advisers is one of the presidents most impor-
tant tasks. Top advisers are chosen even before the president officially takes
office. As you know, a president is elected in November but takes office in
January of the following year. During this interim period, the president-elect
is extremely busy trying to decide which men and women to appoint to differ-
ent offices.
The president-elect has hundreds of jobs to fill. The judges appointed to
run federal courts are in the judicial branch. All other appointments are in the
executive branch. The most important of the presidents executive appoint-
ments are the following:
1. Cabinet members (department heads). As you know, the executive
branch is divided into 15 departments.
Who heads each of these departments? The person in charge of the
department is usually called the secretary. The Department of State, for
example, is headed by the secretary of state. The only department head
with a different kind of title is the attorney general, who runs the Depart-
ment of Justice.
The 15 department heads (Cabinet members) are regularly called to the
White House to meet with the president.
2. Bureau chiefs. Each department of the executive branch consists of many
smaller units. Some units are called bureaus. A well-known example is the
Federal Bureau of Investigation (FBI). Other units are called agencies
(Central Intelligence Agency, CIA) and administrations (Social Security
Administration). Administrators who direct these units have two bosses.
Their day-to-day work is supervised by a department head (Cabinet mem-
ber). But they may also receive orders from the person who appoints them
to their jobs, the president.
3. Advisers in the Executive Office. One division of the executive branch
reports directly to the president himself. It is not headed by any of the 15
Cabinet members. Many of the officials in this division have meeting
rooms and offices right inside the White House itself. This special division
of government is called the Executive Office of the President.
The Executive Office consists of several smaller divisions. The one that
serves the president directly is called the White House Office. Another
draws up the yearly budget for the federal government. A budget is a plan
for collecting and spending money.
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President George W. Bush meets with his Cabinet at the White House.
Every fiscal year (which begins on October 1), the Office of Manage-
ment and Budget (OMB) helps the president decide how to spend tril-
lions of dollars. The director of the OMB can be as influential as any
Cabinet member.
4. Members of the White House staff. One part of the White House is home
for the presidents family. Another part contains a large, oval-shaped room
that is the presidents office. Inside the Oval Office, the president is visited
regularly by staff members. These special assistants carry out a number of
vital tasks. They schedule the presidents meetings, sort White House mail,
and answer reporters questions. The daily reports that they write keep
their chief informed about hundreds of problems.
Recent presidents have given a chief of staff the job of organizing and
managing the White House staff. The chief of staffs power can be consider-
able, since he or she determines whom the president meets and how the
president schedules the daily workload.
5. Vice president. The advisers mentioned so far are all appointed to their
jobs by the president. Only one presidential adviser sits in Cabinet meet-
ings and performs other duties as a result of being elected to office. That
person is the vice president.
The Constitution states that the vice president shall preside over meet-
ings of the Senate. The vice president may vote for or against a bill only
when the senators are deadlocked in a tie vote. The vice presidents role as a
tiebreaker decides which party controls the Senate if both parties have an
equal number of members. For example, after the 2000 election, both the
Democrats and the Republicans held 50 seats. Since the vice president at the
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time, Dick Cheney, was a Republican, his vote decided that the Republicans
would control the Senate. Most vice presidents have found that presiding
over the Senate is often a meaningless responsibility. On most days, a vice
president will turn over the presiding officers chair in the Senate to a sena-
tor of the majority partythe Senates president pro tempore. However, the
vice president may or may not be given an active role to play in the execu-
tive branch. All depends on whether the president wishes to assign special
tasks and duties to the vice president. President Eisenhower, for example,
sent Vice President Richard Nixon on diplomatic missions to Latin America
and the Soviet Union.
As discussed in the previous chapter, the vice presidents most impor-
tant role is to be available in case anything should happen to the president.
To date, eight vice presidents have been elevated to the presidency after the
death of the president.
Vice presidential candidate Joseph Biden drives to the polls

to cast his vote the day of his and Barack Obamas victory.
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REVIEW
1. Define or identify: bureau, agency, administration, budget, Executive Office
of the President, and Office of Management and Budget (OMB).
2. How do members of the White House Staff assist the president?
3. Explain how the presidents chief of staff has considerable power.
4. If the Senate is evenly divided according to party lines, how does a vice
president determine which party controls the Senate?
7.4 How Do Presidents Win Support

for Their Policies?
A president counts upon the loyal support of the Cabinet members, the chief
of staff, and other advisers. Outside this team, however, the president cannot
be certain of anyone elses support. Many groups will surely oppose the presi-
dents policies. Ideas for new laws will meet resistance at home, while ideas for
treaties and foreign policy will meet resistance both at home and abroad.
Even so, a president hopes to persuade four main groups to follow his or
her leadership. They are: (1) members of Congress, (2) other politicians,
(3) American voters, and (4) heads of foreign governments. What can a presi-
dent do to influence each group?
Influencing Congress
Assisted by advisers, the president develops a legislative program. This is a set
of bills that the president thinks Congress should enact into law. Usually,
Congress passes some of the presidents measures, while rejecting others.
One president was, very briefly, an exception to this rule. Franklin Roo-
sevelt sent dozens of bills to Congress in early 1933. Without delay, Democratic
majorities in both houses of Congress passed every one of Roosevelts bills.
There was an emergency bill to save the banks from failure and another bill to
save the railroads. There was a bill to aid farmers and another to aid businesses.
Every bill from the presidents office was a major one. Roosevelt got almost all
that he wanted from Congress in only 100 hectic days of lawmaking.
How did he do it? First, Congress understood the need for action. The Great
Depression was frightening. In times of crisis, Congress tends to follow wher-
ever the president leads. Second, in 1933, large majorities in both the House
and the Senate were Democrats. The president was also a Democrat. Member-
ship in the same party makes it easier for a president to work with Congress.
Influencing a Political Party

A presidents success depends, in part, on being a success as a party leader. An
American political party is not tightly organized. Its members are not required
to think alike or vote alike on any issue. It is very difficult to lead such a
loosely organized group of voters and politicians.
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But a president who is a skillful politician can have a strong influence on

party members. Two methods of influence are highly important. First, the presi-
dent has hundreds of federal jobs to assignCabinet posts, judgeships, and so
on. Jobs can be given in return for promises to support the presidents programs.
Second, the president can do favors for politicians at election time, such as
visiting a candidates home state and urging voters to elect that candidate.
Politicians know how important it is to be seen with a popular president. In a
close election, it can often mean the difference between victory and defeat.
Politicians speak of riding the presidents coattails into office. This
coattail effect means that voters elect members of the presidents party
simply because they like the president. Popular presidents such as Franklin
Roosevelt, Dwight Eisenhower, Lyndon Johnson, Ronald Reagan, and George
W. Bush used the coattail effect to give leadership to their parties.
Influencing the American People

A presidents ability to lead depends partly on his or her popularity with the
American people. The more popular the president, the greater the chance he
or she has of influencing members of Congress and other politicians.
President Woodrow Wilson knew this well. He was admired by many Amer-
icans because of his reputation for honesty and intelligence. In 1913, Wilson
wanted Congress to reduce the federal tariff (tax on imported goods). He
feared that lobbyists were spending a lot of money on behalf of powerful busi-
ness interests to defeat his tax bill. At that time, there was widespread concern
that big business controlled the votes of lawmakers. So President Wilson wrote
an alarming message about what the lobbyists and special interests were
doing. Newspapers all over the country printed the presidents message on their
front pages. Citizens responded by sending angry letters to Congress urging
them to stand behind the president. Wilsons tax bill then passed both houses.
President Wilson relied upon newspaper stories to win popular support for
his ideas. Later presidents discovered ways of using the electronic media for
this purpose. The first president to win popularity through television was John
Kennedy. But the greatest master of television for political purposes was the
former movie actor Ronald Reagan.
Television is an especially powerful medium because the speakers face and
voice come directly into peoples homes. Thus, a president who looks and
sounds great on television can have a powerful effect on the thinking of mil-
lions of people.
Influencing Foreign Governments

The more popular a president is, the greater his or her ability to influence leaders
of other countries. It works the other way too. Presidents who show strength as
world leaders tend to become more popular with voters. As examples, consider
the leadership of two presidents, Dwight Eisenhower and John Kennedy.
In his first term as president, opinion polls showed that Eisenhower was
popular with a large majority of Americans. He became even more popular in
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President John F. Kennedy talks with his advisers at the White House during the Cuban
missile crisis.
1955 after traveling to Geneva, Switzerland, to meet with the heads of state of
France, Great Britain, and the Soviet Union. The president was praised for try-
ing to bring about more peaceful relations with the Soviet Union.
In May 1960, Eisenhower was embarrassed when an American spy plane
was shot down over the Soviet Union. Soviet leader Nikita Khrushchev
accused the United States of spying on the USSR. At first, Eisenhower denied
the charge. But he later admitted that U-2 spy planes had been flying over the
Soviet Union for some time. Eisenhowers popularity and his influence were
undermined by this incident.
John Kennedy succeeded Eisenhower as president. In October 1962,
Kennedy faced an international crisis when a U.S. spy plane discovered that
the Soviets were installing nuclear missiles in Cuba, a Communist ally in the
Caribbean Sea. Kennedy and his advisers agreed that the presence of nuclear
missiles in Cuba would represent a major security threat to the United States.
After consulting with his advisers, Kennedy decided to blockade Cuba and
prevent Soviet ships from delivering any additional nuclear warheads and
missiles. Kennedy announced his policy in a televised address to the nation.
Nuclear war between the United States and the Soviet Union seemed
likely. Kennedy and Khrushchev frantically negotiated behind the scenes to
defuse the crisis. The two leaders eventually reached a settlement. In exchange
for U.S. promises to remove Jupiter nuclear missiles (which were obsolete any-
way) from Turkey and to not invade Cuba, the Soviets agreed to abandon their
plans and withdraw nuclear missiles from Cuba.
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Some of Kennedys advisers had pressed for an air strike to destroy the mis-
siles or even an invasion of Cuba, which might have escalated into war.
Kennedys decision to blockade Cuba allowed him to prevent the Soviets from
completing the installation of nuclear missiles and gave him time to negotiate
a peaceful settlement to the crisis.
President George H. W. Bush and the Persian Gulf War

To be an effective leader, a president must try to win support for his or her
policies from the American people, the press, and Congress. In foreign policy,
lining up the support of allies and the United Nations (UN) is also crucial.
Another example is President George H. W. Bushs handling of the inva-
sion of Kuwait by Iraq in August 1990. Bush responded swiftly to this act of
aggression. He went on television to condemn the attack and explain why it
endangered the peace of the Middle East. He consulted with leaders of Con-
gress and talked by phone with the leaders of several foreign countries. Using
his powers as commander in chief, the president ordered 200,000 U.S. troops
to Saudi Arabia to prevent Iraq from invading that country too.
In the fall of 1990, Bush increased the pressure on Iraqi dictator Saddam
Hussein. Responding to U.S. leadership, the United Nations approved several
economic sanctions against Iraq. Opinion polls showed that a majority of
Americans supported the president.
In December, the president made it clear that war with Iraq was a strong
possibility if Hussein did not withdraw from Kuwait. More troops were sent to
Saudi Arabia. The UN voted for a resolution demanding that Iraq pull its
troops out of Kuwait no later than January 15, 1991. Then Bush urged mem-
bers of Congress to vote for a resolution authorizing the use of U.S. troops in
the Persian Gulf under certain conditions. Millions of Americans watched
Congress debate the proposal. It passed.
In January 1991, Iraqs deadline for withdrawing from Kuwait came and
went. The result was a war that took the United States and its allies just six
weeks to win.
REVIEW
1. Define: coattail effect and tariff.
2. Why did Franklin Roosevelt enjoy great success in influencing Congress?
3. How do presidents manage to have a strong influence on members of their
own political party?
4. Explain how the presidents handling of foreign affairs can affect his or her
popularity.
5. How did President George H. W. Bushs ability to enlist the support of the
UN and U.S. allies contribute to Americas success during the first Persian
Gulf War?
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President George H. W. Bush greets two airmen who returned to the United States after
serving in the Persian Gulf War in 1991.
CHAPTER 7 REVIEW
1. According to the Constitution, the president (a) may serve an unlimited
number of terms (b) must be a natural-born U.S. citizen (c) must give a
certain number of press conferences each year (d) may not be from the
same political party as the vice president.
2. An example showing how voter attitudes are changing is that (a) third-
party candidates can now run for president (b) campaign financing has
been reformed (c) it is now considered possible that a woman or African
American might become president (d) the foreign born may now run for
president.
3. When the president sends U.S. troops abroad, he or she is using the con-
stitutional power of (a) commander in chief (b) chief executive (c) chief
administrator (d) chief legislator.
4. The president has a greater leadership role than Congress because the
president (a) is just one person and can act more quickly (b) does not
have to run for reelection as often as members of the House of Represen-
tatives (c) can be impeached (d) is elected by the entire nation.
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5. Modern presidents are expected to provide strong leadership because

(a) they are required to do so by the Constitution (b) the American people
cannot make their own decisions (c) they have to deal with Congress
(d) the nation is a world leader.
6. The presidents chief of staff has considerable power because he or she
(a) is second in line to the presidency (b) determines who gets to see the
president (c) has been selected by Congress (d) heads one of the Cabinet
departments.
7. The group that has traditionally advised and assisted the president is
known as the (a) Cabinet (b) bureau chiefs (c) White House staff
(d) Executive Office.
8. The president attempts to lead Congress by (a) touring the nation
(b) developing and promoting a legislative program (c) visiting foreign
leaders (d) cutting the budget.
9. Which of the following is of the greatest help to the president in influenc-
ing public opinion? (a) a good sense of humor (b) good decision-making
ability (c) a strong television image (d) an attractive family
10. The coattail effect refers to the presidents ability to (a) influence the
garment industry (b) work with foreign nations (c) cut taxes (d) carry
members of his party to election and reelection.
ESSAY
Write a well-organized essay discussing the theme below that includes an
introduction, several paragraphs, and a conclusion.
Theme: Presidential Leadership
American presidents exerted strong leadership throughout the 20th

century. Show how one event in the 20th century promoted the growth
of presidential leadership.
Explain how presidential leadership helped to resolve the problem you chose.
You might want to refer to the problems of labor, regulating monopolies,
World War I, the Great Depression, World War II, or the cold war.
of U.S. history.
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Historical Context: An important factor in a presidents success is his or her

ability to influence the American people, members of Congress, members of
his or her own party, and foreign leaders.
DOCUMENT 1
I am certain that my fellow Americans expect that on my induction

into the Presidency I will address them with a candor and a decision
which the present situation of our Nation impels. This is preeminently
the time to speak the truth, the whole truth, frankly and boldly. Nor
need we shrink from honestly facing conditions in our country today.
This great Nation will endure as it has endured, will revive and will
prosper. So, first of all, let me assert my firm belief that the only thing
we have to fear is fear itselfnameless, unreasoning, unjustified terror
which paralyzes needed efforts to convert retreat into advance. In every
dark hour of our national life a leadership of frankness and vigor has
met with that understanding and support of the people themselves
which is essential to victory. I am convinced that you will again give
that support to leadership in these critical days.
President Franklin Delano Roosevelt,
first inaugural speech, March 4, 1933
1. How did President Roosevelt attempt to convince the American people to
support his policies?
DOCUMENT 2
I speak tonight for the dignity of man and the destiny of democracy.
I urge every member of both parties, Americans of all religions and of all
colors, from every section of this country, to join me in that cause. . . .
Wednesday I will send to Congress a law designed to eliminate illegal
barriers to the right to vote.
The broad principles of that bill will be in the hands of the Democratic
and Republican leaders tomorrow. After they have reviewed it, it will
come here formally as a bill. I am grateful for this opportunity to come
here tonight at the invitation of the leadership to reason with my
friends, to give them my views, and to visit with my former col-
leagues. . . .
This bill will strike down restrictions to voting in all electionsFederal,
State, and localwhich have been used to deny Negroes the right to
vote.
This bill will establish a simple, uniform standard which cannot be
used, however ingenious the effort, to flout our Constitution.
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It will provide for citizens to be registered by officials of the United

States Government if the State officials refuse to register them.
It will eliminate tedious, unnecessary lawsuits which delay the right to
vote.
Finally, this legislation will ensure that properly registered individuals
are not prohibited from voting.
President Lyndon Johnson, address to a special
joint session of Congress, March 15, 1965
2. How did President Johnson propose to secure the rights of African Ameri-
cans to vote?
DOCUMENT 3
And now the Soviets themselves may, in a limited way, be coming to

understand the importance of freedom. We hear much from Moscow
about a new policy of reform and openness. Some political prisoners
have been released. Certain foreign news broadcasts are no longer being
jammed. Some economic enterprises have been permitted to operate
with greater freedom from state control.
Are these the beginnings of profound changes in the Soviet state? Or
are they token gestures, intended to raise false hopes in the West, or to
strengthen the Soviet system without changing it? We welcome change
and openness; for we believe that freedom and security go together,
that the advance of human liberty can only strengthen the cause of
world peace. There is one sign the Soviets can make that would be
unmistakable, that would advance dramatically the cause of freedom
and peace.
General Secretary Gorbachev, if you seek peace, if you seek prosperity
for the Soviet Union and Eastern Europe, if you seek liberalization:
Come here to this gate! Mr. Gorbachev, open this gate! Mr. Gorbachev,
tear down this wall!
President Ronald Reagan, speech at the Brandenburg
Gate in West Berlin, West Germany, June 12, 1987
3. According to President Reagan, how could Soviet President Mikhail Gor-
bachev have shown that the reform efforts being carried out in the Soviet
Union were serious and not just token gestures?
Task: Using the documents above and other examples from U.S. history,
write an essay discussing how presidents win support for their policies
through persuasiontrying to influence the American people, Congress, and
foreign leaders.
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Analyzing a Table
A. Study the table and then answer the questions that follow.
U.S. Presidential Vetoes

President Number of Terms Congresses Number of
Served (including Vetoes (pocket
partial terms) vetoes and
regular vetoes)
Calvin Coolidge 68th70th 50

Herbert Hoover 71st72nd 37
Franklin D. Roosevelt 73rd79th 635
Harry S. Truman 79th82nd 250
Dwight D. Eisenhower 83rd86th 181
John F. Kennedy 87th88th 21
Lyndon B. Johnson 88th90th 30
Richard M. Nixon 91st93rd 43
Gerald R. Ford 93rd94th 66
Jimmy Carter 95th96th 31
Ronald Reagan 97th100th 78
George H. W. Bush 101st102nd 44
Bill Clinton 103rd106th 37
George W. Bush 107th110th 10
Source: Congressional Research Service through Office of the Clerk; U.S. House of Representatives
http://clerk.house.gov/art_history/house_history/vetoes.html
1. What is the subject of the table?

2. What are the four column labels?
3. From where was the information for this table obtained?
4. Is the table organized alphabetically, chronologically, by number
of terms served, or by number of vetoes?
5. Which president in the table served the longest? Why has no
president since this time served so long?
6. Which president included in the table exercised the greatest
number of vetoes? Discuss at least one likely factor in the large
number of vetoes.
7. Which president included in the table exercised the next highest
number of vetoes?
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B. Write a short, cohesive paragraph to fully discuss your responses to the

question below.
8. One column of the table has not been completed. What is the
label for this column? Could you complete this column with
information already included in the table? Would the
incomplete column be more valuable if it were completed?
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UNIT IV
THE SUPREME
COURT
The Supreme Court Building
I
n Federalist No. 78, Alexander Hamilton described the judiciary as
the least dangerous branch of government, meaning that it did
not have much power to oppress people. Starting in the early 19th
century, the Supreme Court became an active part of the federal gov-
ernment by establishing judicial review.
Chapter 8 describes how the Supreme Court and lower federal courts
work. You will learn how Chief Justice John Marshall established the
right of the Court to declare acts of Congress unconstitutional. You will
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also learn about the politically charged process of nominating and con-
firming new justices to the Court.
Chapter 9 covers the Supreme Court and the Bill of Rights. Many
landmark cases involving freedom of speech, freedom of the press,
freedom of religion, and the rights of criminal defendants will be
covered.
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Chapter 8

The Supreme
Court and the
Lower Courts
KEY TERMS
district courts appellate judicial restraint
court of appeals jurisdiction circuit
acquit
judiciary concurring
Supreme judicial review opinion
Court unconstitutional dissenting
jurisdiction confirmation opinion
original hearing precedent
jurisdiction judicial activism
The judicial branch of government consists of the Supreme Court and all
lower federal courts. The judicial branchs main responsibility is to see that
laws and policies enacted by the president and Congress (and subsequently
the states) are consistent with the U.S. Constitution. This chapter discusses
the Supreme Court, how its members are appointed, and how it makes its
decisions. We will also cover the roles of the U.S. district courts and the U.S.
courts of appeals in the federal system.
8.1 What Does the Constitution

Say About the Judiciary?
The judiciary (a system of courts of law) is one of the three branches of the
federal government. Article III of the Constitution states, The judicial power
of the United States shall be vested in one Supreme Court, and in such inferior
153
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154 UNIT IV THE SUPREME COURT
courts as Congress may from time to time . . . establish. The term judicial
power means the authority of courts to hear criminal and civil cases and
interpret the meaning of the Constitution and the law when disputes arise.
The Federal Judiciary

Three types of courts make up the federal judiciary. At the bottom are the 94
United States district courts, which hear civil and criminal cases. The dis-
trict courts cover the 50 states, Washington, D.C., and the U.S. territories of
Puerto Rico, Guam, the Northern Mariana Islands, and the U.S. Virgin Islands.
The number of district courts in each state and territory is determined by its
population. For example, Alaska, which is sparsely populated, has one district
court. By contrast, larger populated states such as California, Texas, and New
York each have four district courts. As the United States expanded, Congress
created additional district courts.
The United States Courts of Appeals are above the U.S. district courts. The
courts of appeals are divided into 13 circuits or districts. Twelve circuits cover
the 50 states and Washington, D.C. A special federal circuit, which was cre-
ated in 1982, hears specific cases involving trademarks, patents, and contracts.
The courts of appeals review the decisions of the district courts, either uphold-
ing or reversing them. Both the district courts and the courts of appeals are the
inferior courts that the Constitution authorizes Congress to establish.
The United States Supreme Court has the highest authority in the fed-
eral judiciary. The Supreme Court, which sits in Washington, D.C., has nine
justices, or judges.
Jurisdiction of Federal and State Courts

Every state, territory, and Washington, D.C., has its own system of courts.
How does anyone know whether a certain case should be heard in a federal
court or a state court?
The Constitution settles the question of jurisdiction, which means an
area of authority: The judicial power [of federal courts] shall extend to all
cases . . . arising under this Constitution, the laws of the United States, and
treaties made, or which shall be made, under their authority. . . .
In other words, cases go to federal district courts for trial when a law or
treaty of Congress is involved. When a state law is involved, the state courts
usually have jurisdiction. However, cases involving disputes between states
and citizens of different states are heard in federal court.
Original and Appellate Jurisdiction

There are two other kinds of jurisdiction. Original jurisdiction is the abil-
ity of a lower court to hold trials. Appellate jurisdiction is the power of
certain courts to review the decisions of trial courts. In the federal judiciary,
the district (trial) courts have original jurisdiction, while courts of appeals
have appellate jurisdiction. The court system of each state also has both trial
courts and appeals courts.
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Jurisdiction of the Supreme Court

The U.S. Supreme Court is the only court in the federal system that has both
original jurisdiction and appellate jurisdiction. It can hold trials in certain
cases while hearing appeals in other cases.
According to the Constitution, the Supreme Courts original jurisdiction
applies to two kinds of cases: all cases affecting ambassadors and most federal
cases in which a state government is involved.
The U.S. Supreme Court is best known as an appeals court. All cases
brought to the highest court on appeal must first be tried in either a federal
or a state court. They may then be appealed to one of the middle-level appeals
courts. Finally, if a case is thought to be important enough, it may be heard by
the Supreme Court.
In all cases that it hears, the Supreme Courts decision is final. Both the
state courts and the lower federal courts must abide by it.
Life Tenure
The Constitution gives federal judges lifetime appointments. However, many
judges often step down voluntarily.
According to the Constitution, judges can be impeached (accused) by the
House of Representatives for certain offenses and then tried by the Senate. If
found guilty, a judge is forced to step down. In the history of the United
States, only seven federal judges have been removed after being impeached.
One Supreme Court justice, Samuel Chase, was impeached by the House in
1804, but he was acquitted (found not guilty) by the Senate.
Judges sitting on a U.S. court of appeals hear a case.

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REVIEW
1. Define: judiciary, jurisdiction, district courts, courts of appeals, original
jurisdiction, and appellate jurisdiction.
2. Why is the Supreme Court the most important court in the United States?
3. How many U.S. district courts and U.S. courts of appeals circuits does the
judiciary have?
4. What is the basic reason why some cases are heard in federal courts and
other cases are heard in state courts?
8.2 How Does the Supreme Court

Interpret the Constitution?
The Constitution is the supreme law of the land. Many people, however, often
disagree on what the Constitution means. The Supreme Court has the respon-
sibility and the final authority for interpreting the Constitution.
John Marshalls Contribution

In the 1790s, the first Supreme Court saw its role as modest and limited. It did
not even try to interpret different clauses of the Constitution. The justices sit-
ting on the Court did not think interpreting the Constitution was part of their
responsibilities.
At that time, the Supreme Court consisted of five justices, one of whom
acted as chief justice. When John Jay, the first chief justice, retired, President
John Adams appointed John Marshall, a Virginia lawyer, as chief justice. When
he took office in 1801, Marshall found the Supreme Court lacking the power
that he thought rightfully belonged to it. Marshall worked the rest of his life
34 yearsto increasing the Courts power. When he died in 1835, the power of
the Supreme Court was about equal to that of Congress and the president.
Marbury v. Madison
Right before leaving office in 1801, President John Adams appointed members
of his Federalist Party to serve as federal judges. Upon taking office, President
Thomas Jefferson, a member of the rival Democratic-Republican Party, sought
to block these last-minute appointments. Jefferson ordered James Madison,
the secretary of state, to withhold the commissions (legal papers granting
power to perform a job) of the appointees so they could not take their posi-
tions and frustrate the policies of the new administration.
William Marbury, one of the appointees, sued Madison in order to obtain
his commission. Marbury petitioned the Supreme Court to issue a writ of man-
damus, a court order forcing Madison to deliver the commission. Marbury
based his case on a section of the Judiciary Act of 1789 that expanded the
Supreme Courts jurisdiction and authorized it to issue writs of mandamus.
Marbury lost his case. In the Supreme Courts decision in Marbury v. Madison,
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John Marshall
Marshall explained that although Marbury was entitled to his commission, the
Supreme Court could not issue a writ of mandamus compelling Madison to
deliver it. Marshall ruled that the Constitution did not give Congress the power
to expand the Supreme Courts original jurisdiction. The Supreme Court struck
down (declared unconstitutional) the section of the Judiciary Act that gave it the
power to issue writs of mandamus.
Judicial Review
In Marbury v. Madison, Marshall established the principle known as judicial
review, the right of the Supreme Court to review any laws passed by Congress
and declare them unconstitutional (contrary to the Constitution).
Today, judicial review means that the Supreme Court and other federal
courts may rule upon the acts of Congress, the president, and the govern-
ments of the 50 states. Through judicial review, the Court tries to act as a final
interpreter and protector of the Constitution.
How does the nation benefit from the practice of judicial review? It is an
important check against the misuse of government power. Sometimes,
whether intentionally or not, a federal or state official may violate the Consti-
tution. Because of its power of judicial review, the Supreme Court can stop
laws it judges to be unconstitutional. It can also review acts of the president to
determine whether or not the Constitution permits them.
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What does the cartoon say about the Supreme Courts political views?
Politics of Supreme Court Justices

Like other people, judges have opinions about politics. Their opinions often
influence how they think about the Constitution.
A good example is the politics of John Marshall. Before becoming a
Supreme Court justice, Marshall belonged to the Federalist Party. He was
appointed by another Federalist, President John Adams. The Federalists
wanted the federal government to become stronger than the state govern-
ments. Thomas Jeffersons Democratic-Republican Party was more interested
in protecting the rights of states.
Marshall did not abandon his Federalist ideas when he became the chief
justice. Instead, he used his position to strengthen the federal government.
Many of the cases that went to the Court involved conflicts between states on
the one hand, and the federal government on the other. Marshall usually
decided in favor of the federal government.
Another famous example of the influence of politics on the Supreme
Court happened during Franklin Roosevelts presidency. In the 1930s, most of
the judges on the Court were conservatives. President Roosevelt was more lib-
eral. Using the power of judicial review, the conservative judges declared some
of Roosevelts New Deal programs unconstitutional.
Frustrated, Roosevelt asked Congress to pass a law that would have
allowed him to appoint additional justices to the Court. The justices he
wanted would have upheld his programs.
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Critics accused the president of trying to pack the Court with judges
who would agree with him and refuse to check his power. Roosevelts proposal
was rejected. Since Roosevelt was in office so many years, from 1933 to 1945,
he was able to appoint nine justices who shared his philosophy.
How Justices Are Nominated and Confirmed

A vacancy on the Court is filled by a two-step process. First, the president
nominates someone for the position. The nominee may or may not have
previous experience as a judge. Usually, he or she has at least been trained
as a lawyer. The nominee usually belongs to the presidents own political
party.
The second step in the process is for the Senate to study the presidents
choice. The nominee is called to appear in person at a hearing of the Senate
Judiciary Committee. It is called a confirmation hearing because its pur-
pose is to decide whether or not to confirm (approve) the presidents choice.
Senators, usually from the opposing party, may ask tough questions.
Sometimes, they put up a bitter and determined fight against the presidents
choice. In rare cases, the Senates opposition succeeds, and the president must
nominate another candidate. On most occasions, however, the Senate votes to
approve the presidents choice.
Independence of the Justices

Once seated on the Court, justices are secure. They know that they can hold
their jobs for life and can make decisions independently, without any political
pressures.
Because of their independence, justices may make decisions that surprise
the president who appointed them. For example, in 1953, Republican Presi-
dent Dwight Eisenhower picked California Governor Earl Warren to be the
new chief justice. Eisenhower expected Warren, a Republican, to live up to his
conservative reputation. Instead, during his 16 years on the Court, Warren
made decisions that delighted liberals while alarming conservatives. In fact,
Eisenhower later said that appointing Warren to the Supreme Court was his
biggest mistake as president. (Eisenhower also said that his second biggest
mistake as president was appointing William J. Brennan to the Court in 1956.
Brennan, who sat on the Court until his retirement in 1990, became a leading
liberal justice.)
Role of the Chief Justice

The Supreme Court consists of eight associate justices and one chief justice.
The chief has more administrative duties than the others and must see
that the lower courts in the federal system are properly managed.
Several chief justices were very influential in the history of the Supreme
Court. However, the eight associate justices do not take orders from the chief
justice. They form their opinions independently. No chief justice can tell the
others how to vote.
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Samuel Alito, who was nominated to the Supreme Court in 2006 by President
George W. Bush, testifies before the Senate Judiciary Committee. The Senate
eventually confirmed Alito.
Activism or Restraint?
The Supreme Court consists of justices who were appointed at different times
by different presidents. Often, the justices disagree among themselves about
the role that the Supreme Court should play in American society.
Some are known for judicial activistism because they think the High
Court should use its judicial power actively, often overturn harmful laws,
and promote justice and expand civil liberties and rights. Other justices think
the Supreme Court should use its power with extreme caution, overturning
laws only in rare cases and defer to the wishes of Congress and state legisla-
tures. Such justices argue for a policy of judicial restraint.
In the past, when activists held a majority on the Court, they overturned
many laws. For example, during the Great Depression of the 1930s, important
laws were passed by Congress to help the nations economy recover. Two of its
most important laws were ruled unconstitutional. In separate cases, activist
judges said that the Constitution did not grant government the power to
enact either the National Recovery Act (regulating business and labor) or the
Agricultural Adjustment Act (regulating farm production). The activist justices
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Chief Justice William Rehnquist served on the Supreme Court from

1986 to 2005.
said it was their duty to interpret the Constitution as the framers in the 1780s
meant it to be interpreted.
A minority of judges on the Supreme Court in the 1930s disagreed. They
thought the activists were wrong to impose their conservative views on the
nation. Justice Louis Brandeis and other critics of the activist majority said
that Congress should be given the benefit of the doubt. If its laws were at least
loosely based on the Constitution, the Supreme Court had no business stand-
ing in the way. Brandeis, in other words, argued for judicial restraint.
The conflict between activism and restraint took a different turn in the 1950s
and 1960s. At the time, Chief Justice Earl Warren and most of the associate jus-
tices were concerned about promoting equal rights for women and minorities.
They were judicial activists who thought the Supreme Court had a responsibility
to improve society. In case after case, they ruled that state laws discriminating
against African Americans and other minorities were unconstitutional.
During the 1960s, the Warren Court made a number of controversial rul-
ings, such as expanding the rights of defendants in criminal cases and abolish-
ing prayer and Bible reading in public schools. Some critics thought the
Supreme Court was overstepping its bounds and undermining the right of
Congress and state legislatures to set policy.
Eager to change the direction of the Supreme Court, presidents began
paying more attention to nominees views and decided to appoint justices
who shared their philosophies. By each appointing more than one justice,
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Chief Justice John Roberts joined the Supreme Court

in 2005.
Presidents Richard Nixon, Ronald Reagan, George H. W. Bush, Bill Clinton,

and George W. Bush have changed how the Supreme Court votes.
These days, Senate confirmation hearings for appointments to the
Supreme Court are extremely partisan. Members of the Senate Judiciary Com-
mittee scrutinize nominees past writings and ask tough questions. Activist
organizations representing every shade of the political spectrum attempt to
mobilize public support for or opposition to individual nominees.
In recent years, the Supreme Court has pleased and upset both liberals and
conservatives with its decisions. In Zelman v. Simmons-Harris (2002), the
Supreme Court upheld a taxpayer-supported voucher program in Cleveland,
Ohio, that allows students to attend private schools, including religiously affili-
ated ones. In Lawrence v. Texas (2003), the Supreme Court invalidated a Texas law
that made consensual homosexual sex between two consenting adults a crime.
8.3 How Does the Supreme Court

Make Its Decisions?
In John Marshalls time, the Supreme Courts justices met in Washington,
D.C., for only two or three months a year. During the rest of the year, they
traveled around the country. Each justice was assigned a different circuit, or
territory, to cover. One justice, for example, might ride circuit in the South,
while another traveled throughout New England.
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Factions in the Supreme Court

Supreme Court justices who share the same philosophies on the law and the
proper role of the judiciary in American society are often closely associated
with one another. Although the justices may rarely work togetheror even like
one anotherif they share the same views, they will be placed in the same
faction, wing, or bloc by Court observers. The types of rulings on controversial
issues that justices will issue can often be predicted. It is common to read in
the press or hear on television of the Supreme Courts conservative wing,
liberal wing, and moderate wing. At different times with different justices, a
Supreme Courts wing can have anywhere from two to five justices.
During the 1930s, the Supreme Court was divided between two strong
factions known as the Four Horsemen and the Three Musketeers. The Four
Horsemen were conservative Justices George Sutherland, James Clark
McReynolds, Willis Van Devanter, and Pierce Butler. By contrast, The Three
Musketeers were liberal Justices Benjamin Cardozo, Louis Brandeis, and
Harlan Stone. (Chief Justice Charles Evans Hughes and Justice Owen Roberts
staked out a middle ground between the two factions. Their votes often gave
one side the majority.) The Four Horsemen drew the ire of President Franklin
Roosevelt and his supporters because the justices were successful in getting
major pieces of his New Deal program declared unconstitutional. The influence
of the Four Horsemen gradually declined as its
members retired one by one.
The Supreme Courts wings (as of the
20092010 session) were as follows. Chief
Justice John Roberts and Justices Antonin Scalia,
Clarence Thomas, and Samuel Alito formed the
Courts conservative wing. Justices David Souter
(who was appointed by President George H. W.
Bush in 1990, but retired in 2009), Ruth Bader
Ginsburg, and Stephen Breyer belonged to the
Courts liberal wing. The most senior justice, John
Paul Stevens (appointed by President Gerald Ford
in 1975), has been often described as a
Justice Clarence Thomas maverick or independent whose rulings are
belongs to the Supreme unpredictable. However, in recent decades,
Courts conservative faction. Stevens has often ruled with the Courts liberals.
Appointed by President Ronald Reagan in 1987,
Justice Anthony Kennedy began as a conservative but became more moderate
during the early 1990s. With the appointments of Roberts and Alito by
President George W. Bush, Kennedys vote often tips the balance.
No doubt, future appointments to the Supreme Court will alter its factions,
as they have done in the past.
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REVIEW
1. Define or Identify: judicial review, unconstitutional, confirmation hearing,
judicial activism, judicial restraint, and Earl Warren.
2. How did John Marshall increase the power of the U.S. Supreme Court?
3. In the 1930s, President Franklin Roosevelt asked Congress to pass a law
that would allow him to appoint additional justices to the Supreme Court.
Why did Roosevelt want to appoint additional justices? How did Congress
respond to Roosevelts request?
4. Describe the two-step process for filling a vacancy on the United States
Supreme Court.
Old Judicial Circuits

The purpose of the justices circuit riding was to hear cases appealed to them
from the lower trial courts. When a justice rode into town, he would be met
by two trial judges. Together the visiting justice and the local judges formed
an appeals, or circuit, court. Lawyers in the area whose clients had been disap-
pointed by a jurys verdict would ask the appeals court to hear their argu-
ments. Then, after the appeals in one place had been heard, the justice would
pack up and ride on to the next town in the regular circuit.
The justices workload was heavy and the travel wearying. Year after year,
the country expanded westward. The American population grew. The judicial
circuits expanded across the Mississippi River and the Rocky Mountains to the
Pacific coast. Even with railroads to speed them on their way, the circuit-riding
justices could not keep up with all the cases waiting for them.
Finally, in 1891, Congress gave the travel-weary justices some relief. An act
was passed creating new judgeships in the federal system. Judges appointed to
these offices rode circuit within an assigned territory. They had the authority
to hear appeals from the trial courts. In short, they did much of the work pre-
viously done by the Supreme Court justices.
New Courts of Appeals

Today, the middle-level court in the federal system is known as a court of
appeals. The country is served by 13 such courts (11 regional courts, a court
for Washington, D.C., and a court that hears specific cases). Each operates
within a territory that is still called a circuit.
The map on page 165 shows the judicial circuits today. Note that the Ninth
Circuit covers an immense area from Arizona all the way to Alaska and Hawaii.
The First Circuit in New England is much smaller. The smallest are the special
Federal Circuit, which hears cases related to patents, international trade, con-
tracts, and related matters, and a circuit serving only Washington, D.C.
Cases brought to a court of appeals are usually reviewed and decided by
three appellate judges. Occasionally, all the appellate judges of a circuit will
hear a case together in one courthouse.
The appeals courts may either agree or disagree with the decisions made
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U.S. Court of Appeals Circuits
WA MA VT NH
ME
MT ND
OR MN 2 1
ID RI
SD WI NY
WY MI CT
8 3
IA PA NJ
NV
NE 7 OH
UT IL IN DE
CA CO 6 WV VA
9 KS MO MD
KY 4
10 NC
TN
AZ OK D.C. Circuit
NM AR SC Federal Circuit
AL GA
MS
LA 11
TX
5
FL
AK
PR VI
HI 1 3
MP GU
by the trial courts within their jurisdiction. If they agree, we say they uphold,
or affirm, the verdict of a lower court. If they disagree, we say they overturn or
reverse the lower courts judgment.
Appeals judges never conduct trials involving witnesses and juries. (Only
trial courts do that.) Appeals judges want to know: (1) Does the U.S. Constitu-
tion permit the government to act as it did in the case? (2) Was a law of Con-
gress correctly applied at the trial? and (3) Did the defendant in the case
receive a fair trial? If the appellate judges answer no to one of these questions,
the trial courts decision is reversed.
Final Court of Appeal

Recall that trial or district courts have original jurisdiction. Appeals or circuit
courts have appellate jurisdiction. In other words, a case is originally tried in a
district court. It may then be appealed to a higher courtthe appropriate court
of appeals.
Take, for example, a hypothetical case involving the robbery of a bank in
Cheyenne, Wyoming. Defendants in the case would stand trial in the district
court of Wyoming. Let us suppose they are convicted and sentenced. An
appeal could then be made to the court of appeals of the Tenth Circuit.
Now suppose the appeals judges uphold, or affirm, the lower courts deci-
sion. The lawyer for the convicted robbers could make one last appealto the
U.S. Supreme Court. The lawyer could send to the highest court a paper argu-
ing that the defendants constitutional rights to a fair trial had been violated.
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The Supreme Court now has a choice. It may either hear the appeal or
refuse to consider it. The Court cannot possibly hear all the thousands of cases
and petitions that arrive each year. It can give careful consideration to an aver-
age of only a few hundred cases a year. Any case it selects for review must meet
two tests. First, the case must involve a question about one or more sections of
the Constitution. Second, the case must have significance for American soci-
ety as a whole (not just for the individual petitioner).
Now suppose that the Supreme Court refuses to hear the case of the
Wyoming bank robbery. Then the decision of the court of appeals is final.The
Supreme Court has the last word in a case only if it wants the last word.
Supreme Court Schedule

The Supreme Court is not in session during the summer. For the justices,
summer is a time for traveling on judicial business. Each justice is assigned a
different circuit where he or she meets with the judges of one of the courts of
appeals. On the first Monday in October, the justices are back in Washington.
For the next 36 weeks, the Supreme Court is in session.
Each week, the nine justices follow the same routine. On monday morn-
ing at 10 oclock, they enter the courtroom and sit side by side in their high-
backed chairs. (The public is welcome to attend sessions. Supreme Court
proceedings, unlike those of Congress, are not televised. However, audio
recordings are made of the sessions.) Two lawyers for opposing sides of a case
stand and orally present their arguments. After an hour (sometimes longer),
the justices dismiss the one case and take up the next. At noon, they adjourn.
Then two more cases are heard in the afternoon.
Tuesdays and Thursdays are just like Mondays. On Wednesday afternoon and
all day on Friday, the justices retire to a private conference room. Nobody else
can gain admission to this locked room, not even the justices own law clerks.
When meeting in conference, the justices make their decisions about the cases
argued during the week. For each case, the chief justice is the first to express an
opinion. The most junior justice (the one appointed most recently) speaks next,
and the most senior judge speaks last. The majoritys decision is final.
Writing the Opinion of the Court

Of great importance are the reasons that the Supreme Court gives for its deci-
sions. The reasons are carefully presented in a formal essay written by one of
the nine justices who voted with the majority. If the chief justice agrees with
the majority, then it is usually his or her responsibility to write the majority
opinion.
Other justices may, if they wish, write their own opinions in the case. If a
justice generally concurs (agrees) with the majoritys decision, the opinion is
known as a concurring opinion. A justice in the minority may choose to
write an argument in a dissenting opinion.
After the justices finish drafting and redrafting their opinions in a
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case, they send them to the Courts print shop. On Monday morning
(decision Monday), the Courts printed decisions are given to members of
the press.
Judges and lawyers throughout the country carefully study the latest opin-
ions of the High Court. The arguments found there will guide the decisions in
their own courtrooms for months and years to come. Again and again, lawyers
will remind trial judges of what the Supreme Court justices decided. Both trial
judges and lawyers place great importance on a precedent (a ruling by a
court on an earlier case) established by the Supreme Court.
REVIEW
1. Define: circuit court, precedent, concurring opinion, and dissenting opinion.
2. In the early history of the United States, why did Supreme Court judges
ride circuit through different parts of the country?
3. Describe the responsibilities of U.S. courts of appeals and U.S. district
courts.
Thurgood Marshall and the Desegregation of Public Schools

During the early 1950s, Thurgood Marshall, a lawyer with the National
Association for the Advancement of Colored People (NAACP), represented
African-American clients from four states. One of them, Linda Brown, was an
eight-year-old student who attended a public school only for African
Americans in Topeka, Kansas. The Topeka schools were racially segregated.
The white schools were often superior to those restricted to African
Americans.
The parents of Linda Brown wanted their daughter to attend one of
Topekas white schools where she ould receive a better quality education.
Topekas Board of Education refused to change its segregationist policy. The
Browns sued the board in a federal district court. The trial judge there
decided in favor of the school board.
On behalf of the NAACP, Marshall aided the Browns, who appealed their
case. The Supreme Court decided that the case of Brown v. Board of
Education of Topeka was important enough to be heard. It also agreed to
review three other cases involving school segregation in the states of
Delaware, Virginia, and South Carolina.
Long before Marshall was born, racial segregation was part of American
society. In the 1880s and 1890s, Southern states enacted laws to keep blacks
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Thurgood Marshall and the Desegregation of Public Schools

(Continued)
and whites separated. Restaurants,
hotels, washrooms, railroads, and
schools were all segregated. Like
the schools, facilities for whites were
often superior to those reserved for
blacks.
In 1952, Marshall argued his
case before the Supreme Court.
After months of delay, the Courts
decision was announced in May
1954. By a 90 vote, the Supreme
Court declared that segregated
schools were unconstitutional
because they violated the equal
protection clause of the Fourteenth
Amendment.
Chief Justice Earl Warren wrote
the majority opinion. He wrote that
Thurgood Marshall speaks to the press after
segregated schools had negative
the Supreme Court outlaws racially
effects on African-American
segregated schools.
children, making them feel inferior
to white children. We conclude
that, in the field of public education, the doctrine
of separate but equal has no place, Warren
wrote. Separate educational facilities are
inherently unequal.
Segregation was a custom that was hard to
change. But gradually, schools that had been
all-white began opening their doors to African-
American students. Across the country, racially
integrated schools took the place of segregated
ones.
In 1961, President John F. Kennedy appointed
Thurgood Marshall as a judge on the United
Justice Thurgood Marshall States court of appeals. In 1965, President
became the Supreme Courts Lyndon Johnson appointed Marshall the United
first African-American justice. States solicitor general, in which he represented
the United States government before the
Supreme Court. Two years later, Johnson appointed Marshall to the Supreme
Court, where he became well known as a liberal justice. Marshall retired from
the Court in 1991.
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REVIEW QUESTIONS
1. Define or identify: Fourteenth Amendment and Thurgood Marshall.
2. Why did the Supreme Court accept the separate-but-equal argument in
Plessy v. Ferguson but reject the same argument in Brown v. Board of Educa-
tion of Topeka, Kansas?
CHAPTER 8 REVIEW
1. The Constitution established the United States Supreme Court, but left
the creation of all other federal courts to (a) the Supreme Court (b) the
United States Congress (c) the president (d) a two-thirds vote of all state
legislatures.
2. The United States court of appeals (a) never holds trials (b) has original
jurisdiction over all federal cases (c) is the highest court in the United States
(d) has original and appellate jurisdiction over federal cases.
3. All of the following would explain why there is a vacancy on the United
States Supreme Court, except (a) a justice retires (b) a justice dies (c) a jus-
tice is impeached and then removed from office by the Senate (d) a justice
decides not to run for reelection to the Court.
4. The Supreme Courts decisions in Marbury v. Madison and Brown v. Board
of Education of Topeka, Kansas are considered landmark decisions because
(a) they brought about a fundamental change in the role of government
(b) they reversed previous Supreme Court decisions (c) they are widely
popular with Americans (d) they resulted in new amendments being
added to the Constitution.
5. The principle of judicial review gives the Supreme Court the authority
to (a) pass laws (b) add riders to laws (c) declare laws unconstitutional
(d) bring lawsuits against Congress and the president.
6. Which president led an unsuccessful attempt to get Congress to pass a
law that would allow him to appoint additional judges to the Supreme
Court? (a) Thomas Jefferson (b) Franklin Roosevelt (c) Richard Nixon
(d) George W. Bush
7. Justice Louis Brandeis once said that as long as the laws that Congress
passes are loosely based on the Constitution, the Supreme Court has no
business declaring them unconstitutional. From this comment, you can
conclude that Brandeis supported (a) congressional activism (b) judicial
activism (c) judicial restraint (d) congressional restraint.
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8. Which chief justice is known for expanding the rights of criminal defen-
dants? (a) John Roberts (b) John Marshall (c) William Rehnquist (d) Earl
Warren.
9. A justice who disagrees with a decision of the courts majority may write a
(a) dissenting opinion (b) writ of mandamus (c) concurring opinion
(d) petition.
10. Why does New York have four federal district courts while Alaska has
only one? (a) New York has been a state much longer than Alaska. (b)
New York has a much larger population than Alaska. (c) A Supreme Court
ruling decided it. (d) New York had more resources to buy more district
courts than Alaska.
ESSAY
Theme: The Origin of Judicial Review
Chief Justice John Marshall was not one of the delegates who wrote the
Constitution in 1787. But historians often refer to him as a founder
because he began the practice of judicial review.
Explain how Marshall increased the power of the United States Supreme Court
through the principle of judicial review.
DOCUMENT 1
A free Negro of the African race, whose ancestors were brought to this
country and sold as slaves, is not a citizen within the meaning of the
Constitution of the United States.
When the Constitution was adopted, they were not regarded in any
of the States as members of the community which constituted the
State, and were not numbered among its people or citizens. Conse-
quently, the special rights and immunities guaranteed to citizens do
not apply to them. And not being citizens within the meaning of the
Constitution, they are not entitled to sue in that character in a court
of the United States, and the Circuit Court has no jurisdiction in such
a suit.
Chief Justice Roger Taney, majority opinion,
Scott v. Sanford (1857)
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1. Why did Taney believe that African Americans had no right to bring any
lawsuit in federal court?
DOCUMENT 2
We consider the underlying fallacy of the plaintiffs argument to consist

in the assumption that the enforced separation of the two races stamps
the colored race with a badge of inferiority. If this be so, it is not by rea-
son of anything found in the act, but solely because the colored race
chooses to put that construction upon it. The argument necessarily
assumes that if, as has been more than once the case, and is not
unlikely to be so again, the colored race should become the dominant
power in the state legislature, and should enact a law in precisely simi-
lar terms, it would thereby relegate the white race to an inferior posi-
tion. We imagine that the white race, at least, would not acquiesce in
this assumption. The argument also assumes that social prejudices may
be overcome by legislation, and that equal rights cannot be secured
to the Negro except by an enforced commingling of the two races. We
cannot accept this proposition. If the two races are to meet upon terms
of social equality, it must be the result of natural affinities, a mutual
appreciation of each others merits, and a voluntary consent of individ-
uals. . . . Legislation is powerless to eradicate racial instincts, or to abol-
ish distinctions based upon physical differences, and the attempt to do
so can only result in accentuating the difficulties of the present situa-
tion. If the civil and political rights of both races be equal, one cannot
be inferior to the other civilly . . . or politically. If one race be inferior to
the other socially, the constitution of the United States cannot put
them upon the same plane.
Justice Henry Billings Brown, majority opinion,
Plessy v. Ferguson (1896). This decision established
the doctrine of separate but equal.
2. Why did Justice Brown reject the idea that segregation would make the
black race inferior to the white race?
DOCUMENT 3
In approaching this problem, we cannot turn the clock back to 1868

when the [Fourteenth] Amendment was adopted, or even to 1896 when
Plessy v. Ferguson was written. We must consider public education in the
light of its full development and its present place in American life
throughout . . . the Nation. Only in this way can it be determined if
segregation in public schools deprives these plaintiffs of the equal pro-
tection of the laws.
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Today, education is perhaps the most important function of state and

local governments. Compulsory school attendance laws and the great
expenditures for education both demonstrate our recognition of the
importance of education to our democratic society. It is required in
the performance of our most basic public responsibilities, even service
in the armed forces. It is the very foundation of good citizenship. Today
it is a principal instrument in awakening the child to cultural values, in
preparing him for later professional training, and in helping him to
adjust normally to his environment. In these days, it is doubtful that
any child may reasonably be expected to succeed in life if he is denied
the opportunity of an education. Such an opportunity, where the state
has undertaken to provide it, is a right which must be made available to
all on equal terms.
We come then to the question presented: Does segregation of children
in public schools solely on the basis of race, even though the physical
facilities and other tangible factors may be equal, deprive the chil-
dren of the minority group of equal educational opportunities? We
believe that it does. . . .
We conclude that in the field of public education the doctrine of sepa-
rate but equal has no place. Separate educational facilities are inher-
ently unequal. Therefore, we hold that the plaintiffs and others
similarly situated for whom the actions have been brought are, by rea-
son of the segregation complained of, deprived of the equal protection
of the laws guaranteed by the Fourteenth Amendment. This disposition
makes unnecessary any discussion whether such segregation also vio-
lates the Due Process Clause of the Fourteenth Amendment.
Chief Justice Earl Warren, majority opinion,
Brown v. Board of Education of Topeka, Kansas (1954)
3. According to Warren, how does segregation hurt African Americans?
Task: Using the documents above and your knowledge of government, write
a well-organized essay describing how the Supreme Courts attitude toward
African Americans evolved over the course of 100 years.
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Reading and Summarizing an Editorial
As a student, you might summarize to better comprehend a selection. You

might summarize for the purpose of later study. You might summarize to
develop an outline. Moreover, in writing an essay, you might summarize as you
develop an introduction or conclusion.
A summary is a short version of what you have read. It contains the main
idea and only the most important ideas. You can use the authors words, your
own words, or a mixture of both. To write an effective summary:
Cut away unimportant or less relevant points, focusing on the

meat of the selection.
Omit any repeated content.
Combine lists by creating an umbrella statement that covers them all.
Be certain to include the main idea.
A. Read the letter to the editor below. Then answer the questions that
follow.
Letter to the Editor

Dear Editor:
The majority of city council members favor building a new sports coli-
seum. I, however, believe such a venue will drain our city of much-
needed funds. It will also create substantial debt for the city for decades.
The coliseum may even require the city to raise taxes to pay for its con-
struction and maintenance. Additionally, it will tie up traffic as streets
are closed during construction, and it will cause massive traffic jams
during events. My own neighborhood will suffer due to traffic tie-ups
and debris from the construction site. I have never been so disap-
pointed in the city councils failure to see the big picture. Everyone in
my family is truly upset. I dont even like sports. And we really dont
want to see higher taxes. If the sports fans want the coliseum, they
should pay for it.
City council members have turned their backs on many worthwhile
endeavors. They have refused to support new libraries, schools, and
parks. While doing so, they have moved forward to push programs of the
supporters who have made the most substantial campaign contributions.
Such bias cannot be tolerated. There should be no new sports coliseum
built in our town at taxpayers expense.
Sincerely,
Town Dweller
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Summary
Town Dweller opposes a new sports coliseum. Dweller believes the coliseum is
costly and will have a negative impact on the city. Further, Dweller believes city
council members have refused to fund more important city projects while pro-
moting projects of those who have given the most money to their campaigns.
1. As stated in the summary, what is the main idea of the letter to the
editor?
2. Discuss features that make the summary strong and effective. Include
points made in the introductory material to this skills exercise.
B. Read the following editorial regarding the Supreme Courts ruling in

Miranda v. Arizona.
3. After reading the editorial, write a strong, effective summary.
Editorial
In Miranda v. Arizona, the U.S. Supreme Court decided that people
accused of a crime are entitled to be given warnings by police officers.
After an arrest, police officers must take the time to tell the person
arrested about the right to remain silent; the right to have an attorney;
and the right to have an attorney appointed if the accused is unable to
afford one. If officers dont give this warning, everything an accused
says can be thrown out of court and not used against the accused in any
way. Prosecutors cannot even introduce a confession in evidence at a
trial if the accused hasnt been given these warnings or has not under-
stood them.
Last year, one of our citys residents was brutally assaulted after two
people broke into his house in the middle of the night to steal. The vic-
tim spent weeks in the hospital before he died from his injuries. His chil-
dren were devastated. The whole family has fallen apart. And there is no
way the family will ever be able to pay all the medical bills. They cant
even sell the housebecause everyone knows about the crime that
happened there. And the police found out later that the people who
committed this crime had committed many other crimes before that
night.
Everyone in this neighborhood is angry. The victims family is angry.
Things will never be the same again in this neighborhood. I am truly
furious. It turns out that the police officers caught up with the people
suspected of murdering the victim. The police gave them the Miranda
warnings. The officers asked the accused if they understood, and they
both nodded to show that they did. When they started to give their
confessions, the officers could not understand them very well. Officers
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had to call in interpreters to take the statements and then translate

them into English.
When it came time for the case to go to trial, the judge decided that the
defendants had not really understood the warnings, so they could not
have waived their rights. The judge threw out the confessions, saying
that the statements could never be used for any purpose against the
defendants. So the murderers went free!
The Supreme Court decision about the Miranda rulings is wrong. It
should be overturned. It is just one more technicality that lets criminals
get off free without suffering any penalties for the crimes they have
committed and the lives they have ruined. If this decision is not over-
turned soon, criminals will continue to walk free and commit crime
after crime, and all the rest of us will suffer!
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Chapter 9

The Supreme
Court and the
Bill of Rights
KEY TERMS
established eminent Seventh
church domain Amendment
separation of First Eighth
church and state Amendment Amendment
symbolic Second Ninth
speech Amendment Amendment
exclusionary Third Tenth
rule Amendment Amendment
capital crime Fourth right to bear
grand jury Amendment arms
double Fifth quartering of
jeopardy Amendment troops
Miranda Sixth right to privacy
rights Amendment
The Bill of Rights is often considered the most cherished part of the Constitu-
tion. Every year, the Supreme Court hears cases to see if federal or state
laws violate any of the first ten amendments to the Constitution. Naturally,
different justices have different interpretations. This chapter covers each
176
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amendment in detail and discusses a number of relevant Supreme Court deci-

sions.
9.1 The Bill of Rights

Background and Purpose of the Bill of Rights
The first ten amendments to the Constitution, which were added in 1791, are
known as the Bill of Rights. They were adopted in order to alleviate the fears
that many Americans had that their new government might abuse its power
and violate their rights just as the British government had done. In fact, many
of the British governments repressive measures in the American colonies were
The justices of the Supreme Court have the responsibility of applying the Bill of
Rights to current cases.
passed by Parliament, a democratic institution. Without any restraint, even

democratic governments can become repressive. The purpose of the Bill of
Rights is to limit the power of the federal government.
The Bill of Rights and State Governments

When adopted, the Bill of Rights applied only to the federal government. It
did not apply to the states, which have their own individual constitutions
defining the rights of their citizens and limiting the power of their govern-
ments. Each state constitution is different, and the rights protected and limits
on government may differ from state to state. In fact, from 1791 to 1868, the
U.S. Constitutions only provision against the abuse of state power is that it
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What is the cartoonist saying in this editorial cartoon?
required the federal government to guarantee a republican form of govern-

ment in every state. This means that governors could not abolish legislatures
and declare themselves the absolute rulers of their states.
In 1868, the Fourteenth Amendment was added to the Constitution. It reads,
No state shall make or enforce any law which shall abridge the privileges or
immunities of citizens of the United States; nor shall any state deprive any
person of life, liberty, or property, without due process of law; nor deny to any
person within its jurisdiction the equal protection of the laws. The Four-
teenth Amendment applied the Bill of Rights to the states.
In this context, due process means following the laws and using fair and
proper procedures. Therefore, according to the Fourteenth Amendment, state
governments may not deprive their citizens of their life, liberty, or property
without due process of law or a fair trial.
The Supreme Court has the final authority in deciding whether acts of the
federal and state governments violate the Bill of Rights.
REVIEW
1. Why was the Bill of Rights added to the Constitution?
2. How was the Bill of Rights applied to the states?
9.2 The Freedoms of the First Amendment

In one sentence, the First Amendment guarantees five important rights:
freedom of religion, speech, the press, to petition the government, and to
assemble peacefully.
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President Thomas Jefferson believed that the

First Amendment built a wall of separation
between church and state.
Freedom of Religion
The First Amendment reads, in part, Congress shall make no law respecting
an establishment of religion, or prohibiting the free exercise thereof. . . .
When the United States was born in 1776, some states had established
churches or official religions. For example, Anglicanism was the established
church in Georgia, Virginia, and South Carolina. By contrast, the Congrega-
tional church was the established faith in Massachusetts, New Hampshire,
and Connecticut. The states supported their established churches with money
collected through taxation of their citizens, regardless of their religious affilia-
tion. In some states, citizens were required to belong to the established
church. As religious toleration grew and the religious population of the
United States became more diverse, the states gradually disestablished
their churches. The last state to do so was Massachusetts, in 1833.
In order to avoid religious conflicts, the First Amendment prohibits the
United States from declaring any religious sect the official religion of the
nation. In his letter dated January 1, 1802, to the Danbury Baptist Association
in Connecticut, President Thomas Jefferson wrote, I contemplate with sover-
eign reverence that act of the whole American people which declared that their
legislature should make no law respecting an establishment of religion, or pro-
hibiting the free exercise thereof, thus building a wall of separation between
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church and state. The phrase separation of church and state became part
of the political vocabulary and is associated with freedom of religion.
The First Amendment protects the freedom of religion of all Americans as
well as the freedom not to practice religion.
Many Americans have long disagreed about the specific application of the
First Amendment to such issues as prayer and Bible reading in public schools;
state support for private, religiously affiliated schools and the presence of reli-
gious symbols on government property. The Supreme Courts decisions in
cases on church-state matters have pleased some Americans while disappoint-
ing others.
School Prayer and Bible-Reading Cases

In New York State, teachers in many public schools once began the day by lead-
ing their students in prayer. Officials of the New York State Board of Regents
composed the text of the prayer: Almighty God, we acknowledge our depend-
ence upon thee, and we beg thy blessings upon us, our parents, our teachers
and our country. Amen. In Engel v. Vitale (1962), the Supreme Court declared
state-sponsored prayer in public schools unconstitutional. We think that by
using its public school system to encourage recitation of the Regents prayer,
the State of New York has adopted a practice wholly inconsistent with the
Establishment Clause, Justice Hugo Black wrote in the majority opinion.
When the power, prestige and financial support of government is placed
behind a particular religious belief, the indirect coercive pressure upon religious
minorities to conform to the prevailing officially approved religion is plain.
What constitutional right does this cartoon address?

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In Abington School District v. Schempp (1963), the Supreme Court ruled that
teachers reading passages of the Bible to students also violated the establish-
ment clause (Congress cannot establish a national or state-sponsored reli-
gion). In his dissent, Justice Potter Stewart wrote that a refusal to permit
religious exercises thus is seen, not as the realization of state neutrality, but
rather as the establishment of a religion of secularism, or at least, as govern-
mental support of the beliefs of those who think that religious exercises
should be conducted only in private.
Religious Symbols on Government Property

In Lynch v. Donnelly (1984), the Supreme Court ruled that municipalities may
include religious symbols such as crches that depict the birth of Jesus Christ
as part of their annual Christmas displays, which also include more secular
symbols such as Christmas trees and images of Santa Claus. In the majority
opinion, Chief Justice Warren Burger wrote, If the presence of the crche in
this display violates the Establishment Clause, a host of other [government
actions] taking official note of Christmas, and of our religious heritage, are
equally offensive to the Constitution.
School Vouchers
In Zelman v. Simmons-Harris (2002), the Supreme Court upheld a program in
Cleveland, Ohio, that provided vouchers, which are financed by the state, to
parents to send their children to schools of their choice, including private or
religiously affiliated ones. Supporters of school vouchers argue that such pro-
grams create additional educational opportunities for children in poor neigh-
borhoods. By contrast, opponents argue that school vouchers undermine
public schools and may violate the Establishment Clause if the vouchers are
used for religiously affiliated schools.
In the majority opinion, Chief Justice William Rehnquist wrote that the
program did not violate the Establishment Clause because it had a valid secu-
lar purpose, offered a broad range of choices to parents, provided vouchers
directly to parents instead of to the schools, did not favor one religion over
another, and included many nonreligious choices.
Freedom of Speech
The First Amendment guarantees freedom of speech. Anyone can speak on
any issue without harassment by the government. The right, however, is not
absolute. Not protected by the First Amendment are perjury, making physical
threats, sexual harassment, defamation of character, inciting riots, and pro-
viding military secrets to foreign governments.
Schenck v. United States

When the United States entered World War I in 1917, Charles Schenck, a
Socialist, distributed flyers urging men to resist the draft. Schenck was arrested
and convicted of violating the Espionage Act (1917). Schenck appealed his
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Justice Oliver Wendell Holmes
conviction to the Supreme Court, arguing that his actions were protected
speech under the First Amendment. In Schenck v. United States (1919), the
Court upheld Schencks conviction. The most stringent protection of free
speech would not protect a man in falsely yelling Fire! in a crowded theater
and causing a panic, Justice Oliver Wendell Holmes wrote in the majority
opinion. The question in every case is whether the words used are used in
such circumstances and are of such a nature as to create a clear and present
danger that they will bring about the substantive evils that Congress has a
right to prevent.
Symbolic Speech
The Supreme Court has ruled that the free speech clause of the First Amend-
ment also protects symbolic speech, expression in nonverbal forms. For
example, in Tinker v. Des Moines Independent School District (1969), the
Supreme Court ruled that three students, two in high school and one in junior
high school, who were suspended for wearing black armbands to protest the
Vietnam War, were exercising their First Amendment rights and not disrupt-
ing the school.
In a controversial decision, Texas v. Johnson (1989), the Supreme Court
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In Tinker v. Des Moines, the Supreme Court upheld Mary Beth and John Tinkers right to
wear antiwar armbands in school.
concluded that desecrating the American flag, which was illegal in nearly
every state, was also symbolic speech protected by the First Amendment.
Freedom of the Press

In 1734, the New York Weekly Journal, a newspaper owned by John Peter Zenger,
published several articles that criticized Sir William Cosby, the royal governor of
New York. Cosby responded to the criticism by having Zenger indicted in crim-
inal court for libel and sedition (incitement to disobey laws). A jury later acquit-
ted Zenger of the charges, arguing that his newspaper printed the truth. The
Zenger case was important in establishing the principle of freedom of the press.
The First Amendment protects the press, which includes the electronic
media, from government censorship. A free and independent press is widely
seen as necessary in any democratic society. Newspapers, radio stations, televi-
sion stations, and Internet Web sites scrutinize government actions and poli-
cies and keep people informed. On the basis of the information they learn
from the press, people may express support for or opposition to public policies
and candidates for office.
The Pentagon Papers

In 1971, President Richard Nixon took legal action to prevent the New York
Times from publishing the Pentagon Papers, a classified study that chronicled
the history of the U.S. governments involvement in Vietnam up to the
administration of President Lyndon Johnson. Daniel Ellsberg, a disillusioned
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Newspaper publisher John Peter Zenger stands trial for criticizing a government official in
1734. Zengers acquittal promoted freedom of the press in the colonies.
state department official, provided photocopies of the Pentagon Papers to the

New York Times, which began publishing them. Nixon believed that the publi-
cation of the papers might undermine his efforts to negotiate an end to the
Vietnam War and sought to prevent their further dissemination. In New York
Times Co. v. United States (1971), the Supreme Court upheld the First Amend-
ment rights of the New York Times (and other newspapers) to publish the
Pentagon Papers. In seeking injunctions against these newspapers and in its
presentation to the Court, the Executive Branch seems to have forgotten the
essential purpose and history of the First Amendment, Justice Hugo Black
wrote in the majority opinion. In revealing the workings of government that
led to the Vietnam War, the newspapers nobly did precisely that which the
Founders hoped and trusted they would do.
Obscenity
In Miller v. California (1973), the Supreme Court affirmed that obscene mate-
rials were not protected by the First Amendment, and their dissemination
could be regulated by the states. The Court, however, specified that in order
for something to be considered obscene, it must meet the following criteria:
(1) the average person, applying contemporary community standards,
would find that the material, taken as a whole, appeals only to the prurient
interest (satisfying sexual desires); (2) the work depicts or describes, in a
patently offensive way, sexual conduct specifically defined by the applicable
state law; and (3) the work, taken as a whole, does not have any literary,
political, artistic, or scientific value. The Miller case rejected a national stan-
dard for defining obscenity, but allowed the states to set such standards.
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In 1963, Dr. Martin Luther King Jr. addresses over 200,000 participants in the March on
Washington, an example of peaceful assembly.
Freedom of Assembly and Petition

The First Amendment guarantees Americans the rights to assemble peacefully
and petition the government for a redress of grievances. Peaceful protests
and rallies on behalf of different causes are common in the United States
today. Such actions help draw attention to issues and influence public opin-
ion. One of the most famous exercises of the right to peaceful assembly took
place on the National Mall in Washington, D.C., on August 23, 1963. On that
day, hundreds of thousands of Americans from all over the country joined
Dr. Martin Luther King Jr. and activists in lobbying for the passage of civil
rights legislation. Many historians believe the March on Washington, as the
event was called, helped win crucial public support for the 1964 Civil Rights
Act and the 1965 Voting Rights Act.
Today, the right to petition is often exercised by lobbyists, professionals
who represent corporations, unions, and political organizations. In Washing-
ton, D.C., and the state capitals, lobbyists attempt to influence lawmakers into
voting for legislation that their clients support.
In Edwards v. South Carolina (1963), the Supreme Court upheld the constitu-
tional rights of African-American students who were arrested in 1961 for protest-
ing peacefully at the State House in Columbia, South Carolina. After refusing to
obey police orders to disperse, the students were arrested and subsequently con-
victed of breach of the peace. The Court reversed the convictions, arguing that
the students First and Fourteenth amendment rights were violated.
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The First Amendment and Hate

Many Americans cherish the First Amendment rights that protect the
freedoms of speech, press, and peaceful assembly, which are widely seen as
essential to any democracy and free society. At the same time, however, many
Americans question whether those rights are absolute and apply to individuals
and groups that promote hatred.
In the late 1970s, a village in the state of Illinois became the national
flashpoint in the debate over protecting unpopularand even hatespeech. The
National Socialist Party of America, a neo-Nazi hate group, wanted to hold a
public meeting in Skokie, a suburb of Chicago. We demand only the same right
to free speech guaranteed every American, regardless of political bent, Frank
Collin, the groups leader, wrote in his letter to village officials.
In 1978, neo-Nazi leader Frank Collin (sitting) sued for his right to march in
Skokie, Illinois.
At the time, over half of Skokies residents were Jews, a large number of
whom had survived the Holocaust. Worried that such an event might lead to
violence between the group and outraged residents, Skokie officials were
determined to prevent the neo-Nazis from publicly gathering in their village. The
Skokie Village Board passed several ordinances drafted in general terms, but
clearly aimed at the group: (1) groups that requested a permit to hold a march
first had to purchase an indemnity bond (an insurance policy) worth $350,000;
(2) any material that promoted hate against any group was outlawed; and
(3) people could not march in military-style uniforms. After the village denied
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The First Amendment and Hate (Continued)

the Nazis request for a permit, the case went to both an Illinois state and a
federal court. The American Civil Liberties Union (ACLU) represented the Nazis.
On February 23, 1978, Judge Bernard Decker of the United States District
Court for the Northern District of Illinois ruled that Skokies ordinances were
unconstitutional. In his opinion, Judge Decker wrote that it is better to allow
those who preach racial hate to expend their venom in rhetoric than to be
panicked into embarking on a dangerous course of permitting the government
to decide what its citizens may say and hear.
The village then filed an appeal with the United States Court of Appeals for
the Seventh Circuit, but it upheld Judge Deckers ruling. With their legal
options exhausted, village officials gave the National Socialist Party of America
a permit to gather in front of Skokies Village Hall on June 25, 1978.
On June 23, however, Collin announced the cancellation of the march in
Skokie after his group was finally allowed to march in Chicagos Marquette
Park. Skokies residents were relieved, and life in the now-famous village
gradually returned to normal. But the issues that the controversy raised remain
hotly debated to this day.
REVIEW
1. Define or identify: First Amendment, established church, separation of
church and state, symbolic speech, John Peter Zenger, and the Pentagon
Papers.
2. Discuss how the Supreme Court decided the following cases: Engel v. Vitale
(1962), Tinker v. Des Moines Independent School District (1969), New York
Times Co. v. United States (1971), Texas v. Johnson (1989), and Zelman v.
Simmons-Harris (2002).
9.3 The Rights of the Accused

Governments sometimes abuse the criminal justice system by harassing and
persecuting innocent people. The Bill of Rights protects Americans by placing
limits on the governments power in criminal cases.
The Fourth Amendment

The Fourth Amendment reads, The right of the people to be secure in
their persons, houses, papers, and effects against unreasonable searches and
seizures shall not be violated; and no warrants shall issue but upon probable
cause. . . . Before searching someones residence and seizing evidence that
will be used in a criminal trial, the police must obtain from a judge a search war-
rant, which specifically describes what they are looking for. In Weeks v. United
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States (1914), the Supreme Court ruled that if the law enforcement authorities
violate the provisions of the Fourth Amendment, any evidence they seize
must be excluded from criminal trials in federal court. The Supreme Court
extended the exclusionary rule, as this principle was known, to state courts
in the decision Mapp v. Ohio (1961). The Supreme Court has also used the
Fourth Amendment to articulate a right to privacy.
The Fifth Amendment

The Fifth Amendment offers several important protections. It mandates
that no one may be tried for a capital crime (one for which the punishment
can be death) or other serious crimes unless first indicted by a grand jury. A
grand jury decides if there is enough evidence to bring someone to trial.
Grand juries in federal and state courts typically hear cases involving such
serious crimes as murder, kidnapping, bribery, and narcotics trafficking.
The Fifth Amendment also prohibits double jeopardy, placing someone
on trial for the same crime more than once. For example, if a defendant is
found not guilty of murder, he or she can never be tried again for the same
crimeeven if prosecutors discover new evidence that might result in a convic-
tion. There are several exceptions. If the presiding judge declares a mistrial
(a trial that ends early and without a judgement), the trial ends in a hung jury
(a jury unable to come to a final decision), or an appellate court overturns the
verdict, the case may be tried again until another verdict is reached. Addition-
ally, defendants acquitted in state courts are occasionally brought to trial in
federal courts on charges relating to the original crime. For example, in 1992,
four police officers in Los Angeles were acquitted of assaulting an African-
American motorist. The officers were later tried in federal court. Although
acquitted of assault in state court, the officers were indicted in federal court for
violating the motorists civil rights. The retrial was permitted because the offi-
cers were indicted on different charges relating to the same crime.
The Fifth Amendment reads, No person . . . shall be compelled in any
criminal case to be a witness against himself. . . . This means that the prose-
cution cannot call defendants to testify against themselves during trials.
(Defendants may testify if they wish.) While in custody, suspects have the
right to remain silent and refuse to answer any questions.
Miranda v. Arizona
In 1965, the Supreme Court agreed to hear an appeal filed by attorneys repre-
senting Ernesto Miranda, who was convicted in Arizona for rape and kidnap-
ping. During his interrogation by the police, Miranda admitted his guilt.
Mirandas confession was then used to convict him in court. The police, how-
ever, never informed Miranda of his Fifth Amendment right to remain silent.
In Miranda v. Arizona (1966), the Supreme Court overturned Mirandas con-
viction and set strict guidelines for interrogation. At the outset, if a person in
custody is to be subjected to interrogation, he must first be informed in clear
and unequivocal terms that he has the right to remain silent, Chief Justice Earl
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Warren wrote in the majority opinion. Warren added that suspects must also be
informed that anything they say can and will be used against them in court, and
that they have the right to have an attorney present during interrogations.
When making arrests, the police, FBI, and other law enforcement agencies must
inform suspects of their Miranda rights: (1) the right to remain silent; (2) that
anything suspects say can and will used against them in court; (3) the right to
see an attorney and have one present during questioning; and (4) if they cannot
afford an attorney, one will be provided to represent them at state expense.
The Fifth Amendment states that no one may be deprived of life, liberty,
or property without due process of law. . . . This means that the state and fed-
eral governments can execute, imprison, and punish only those individuals
who have been given a fair trial and convicted in a court of law.
The Fifth Amendment specifies that if the government seizes private prop-
erty for public use, just compensation must be given to the owner. Through
the power of eminent domain, the government can seize private property
(even without the owners consent) and use it to build bridges, railroads, high-
ways, and anything that benefits the public. In a controversial decision, Kelo v.
City of New London (2005), the Supreme Court expanded eminent domain,
giving governments the power to transfer property from one private owner to
another in order to further economic development.
Whose side do you take on the eminent domain issue?

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The Sixth Amendment

In all criminal prosecutions, the accused shall enjoy the right to a speedy and
public trial by an impartial jury of the state and district wherein the crime
shall have been committed, the Sixth Amendment reads, and to be
informed of the nature and cause of the accusation; to be confronted with the
witnesses against him; to have compulsory process for obtaining witnesses in
his favor, and to have the assistance of counsel for his defense.
Gideon v. Wainwright
In 1961, Clarence Gideon was charged with burglary in Panama City, Florida.
Since he was too poor to hire counsel to represent him in court, Gideon asked
the presiding judge to assign him an attorney paid by the state. The judge
denied Gideons request because the state law specified that poor defendants
could be assigned counsel only in capital cases. At his trial, Gideon repre-
sented himself, and he was convicted. Gideon was then sentenced to five
years in prison.
In 1962, Gideon successfully petitioned the Supreme Court to review his
case. In a unanimous decision, Gideon v. Wainwright (1963), the Court over-
turned Gideons conviction because he had been denied his Sixth Amend-
ment right to counsel. In the majority opinion, Justice Black argued that in
order to receive a fair trial, a defendant must be represented by counsel. The
Supreme Court mandated that states must provide counsel to defendants who
cannot afford to hire their own attorneys. In his second trial, Gideon, then
represented by an attorney, was acquitted.
Escobedo v. Illinois
In 1960, police in Chicago, Illinois, arrested Danny Escobedo for the murder
of his brother-in-law. The police refused Escobedos request to see a lawyer.
Escobedo subsequently confessed, and he was later found guilty of murder.
Escobedo appealed his conviction, and the Supreme Court agreed to hear his
case. In Escobedo v. Illinois (1964), the court overturned Escobedos conviction
and ruled that defendants, if they request them, must have attorneys present
while being interrogated.
The Eighth Amendment

The Constitutions Eighth Amendment states, Excessive bail shall not be
required, nor excessive fines imposed, nor cruel and unusual punishments
inflicted. The ban on cruel and unusual punishments often refers to torture,
but it sometimes refers to the death penalty. In Furman v. Georgia (1972), the
Supreme Court ruled that the death penalty, as it was being applied in the
United States at the time, was unconstitutional because it violated the Eighth
and Fourteenth amendments. The court argued that states were applying the
death penalty arbitrarily, and that African Americans were far more likely to
be executed than whites. In response to the Furman decision, many states
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A death penalty opponent protests outside the court on the first day of the trial against the
Washington-area sniper suspect Lee Malvo.
passed new death penalty statutes that addressed the Courts concerns and set
strict guidelines for its application. The death penalty was abolished for lesser
crimes such as rape. In Gregg v. Georgia (1976), the Supreme Court upheld the
death penalty.
REVIEW
1. Define: Fourth Amendment, exclusionary rule, capital crime, Fifth Amend-
ment, grand jury, double jeopardy, eminent domain, Miranda rights, and
Sixth Amendment.
2. Describe five rights protected by the Fifth Amendment.
3. Explain how a defendant acquitted in a state court may be tried in a federal
court for the same crime.
4. How did Gideon v. Wainwright (1963), Escobedo v. Illinois (1964), and
Miranda v. Arizona (1966) protect the rights of the accused?
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9.4 The Other Freedoms of the Bill of Rights
The Second Amendment

In the United States today, a debate rages over the meaning of the Second
Amendment, which states, A well-regulated militia being necessary for the
security of a free state, the right of the people to keep and bear arms shall not be
infringed. Opponents of gun control argue that the Second Amendment pro-
hibits the state and federal governments from regulating private ownership of
firearms. By contrast, supporters of gun control legislation argue that the Second
Amendment applies only to state militias such as National Guard units and does
not create an unlimited right of people to own firearms. In United States v. Miller
(1939), the Supreme Court upheld the right of the federal government to regu-
late the sale of certain types of firearms. In 2008, in District of Columbia v. Heller,
the Court struck down a District of Columbia gun control law, saying that the
right to bear arms is not limited to militia members. The court also said that
the right to bear arms is not without limits. It declined to list these limits.
The Third Amendment

In 1774, the British Parliament passed the Quartering Act, which allowed
British troops to stay in private homes without the consent of the owners.
A man exercises his First Amendment rights to protect

what he believes are government infringements on his
Second Amendment right to possess firearms.
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Many colonists bitterly resented this practice, which was occurring during a
time of peace. The Third Amendment bans such quartering of troops:
No soldier shall, in time of peace, be quartered in any house without the con-
sent of the owner, nor in time of war, but in a manner to be prescribed by law.
The Seventh Amendment

According to the Seventh Amendment, any civil lawsuit filed in federal
court that seeks damages exceeding $20 must be heard by a jury. To date, the
Supreme Court has not extended the Seventh Amendment to the state level.
The Ninth and Tenth Amendments

Unlike the first eight amendments, the Ninth and Tenth amendments are
written in general terms. The Ninth Amendment states, The enumeration
[listing] in the Constitution of certain rights shall not be construed to deny or
disparage [weaken] others retained by the people. In Griswold v. Connecticut
(1965), the Supreme Court struck down the state of Connecticuts ban against
the use of contraceptives, arguing that the law violated the right to privacy.
In his concurring opinion, Justice Arthur Goldberg cited the Ninth Amend-
ment to justify the courts decision. Although the right to privacy is not men-
tioned in the Constitution, many Americans consider it one of their protected
rights.
The Tenth Amendment reads, 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. The amendment recognizes the sov-
ereignty of the states and provides another check on the power of the federal
government.
REVIEW
1. Define or identify: United States v. Miller, quartering of troops, right to pri-
vacy, Ninth Amendment.
2. Which amendment has not been applied to the state level yet?
3. How did Justice Goldberg justify the Supreme Courts decision in Griswold
v. Connecticut?
CHAPTER 9 REVIEW
1. The Bill of Rights is mostly concerned with protecting the rights of (a) the
people (b) political governments (c) state governments (d) the federal
government.
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2. The Fourteenth Amendment (a) gives state governments the right to

enact their own Bill of Rights (b) limits the federal governments power
over state governments (c) prevents state governments from denying
their residents any right guaranteed by federal law (d) requires the federal
government to protect states rights.
3. Which right upholds the principle that a person is innocent until proven
guilty? (a) trial by jury (b) due process of law (c) freedom of speech
(d) equal protection of the law.
4. According to the principle of separation of church and state, (a) reli-
gious leaders cannot hold public office (b) public schools must remain
open on all religious holidays (c) organized religions must establish their
own school systems (d) the government cannot establish a state-
sponsored religion.
5. The United States Supreme Court has ruled that the free-speech protec-
tions of the First Amendment do not apply to speech that (a) publicly
insults the president (b) will anger the American people (c) presents a
clear and present danger to the public (d) opposes U.S. government pol-
icy with a foreign country.
6. The right to petition the government to change a law is guaranteed by
the (a) First Amendment (b) Third Amendment (c) Fourth Amendment
(d) Eighth Amendment.
7. Which is an example of unreasonable search and seizure? (a) A person
formally charged with a crime is denied bail. (b) The police search a crime
scene months after the crime took place. (c) Finding a gun on a suspect,
the police search the suspect for additional weapons. (d) Without getting
a search warrant, the police inspect a suspects home.
8. As a result of the Supreme Courts Miranda decision, (a) a person accused
of a crime must be given a fair and speedy trial (b) the police must inform
a person they are arresting of his or her rights (c) the police must not ask a
crime suspect questions without the presence of a lawyer (d) a person
accused of a crime must be given a trial by jury.
9. A person called to testify against the accused at a trial is (a) a self-
incriminating witness (b) a witness for the defense (c) a witness for the
prosecution (d) an exclusionary witness.
10. The right of the accused to be represented by a lawyer is guaranteed in the
(a) Fourth Amendment (b) Sixth Amendment (c) Seventh Amendment
(d) Ninth Amendment.
of U.S. government.
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Historical Context: The Supreme Court has often upheld freedom of speech
and expression, but with some exceptions.
DOCUMENT 1
Under our Constitution, free speech is not a right that is given only to
be so circumscribed that it exists in principle but not in fact. Freedom of
expression would not truly exist if the right could be exercised only in
an area that a benevolent government has provided as a safe haven for
crackpots. The Constitution says that Congress (and the States) may
not abridge the right to free speech. This provision means what it says.
We properly read it to permit reasonable regulation of speech-connected
activities in carefully restricted circumstances. But we do not confine
the permissible exercise of First Amendment rights to a telephone
booth or the four corners of a pamphlet, or to supervised and ordained
discussion in a school classroom. . . .
As we have discussed, the record does not demonstrate any facts which
might reasonably have led school authorities to forecast substantial dis-
ruption of or material interference with school activities, and no distur-
bances or disorders on the school premises in fact occurred. These
petitioners merely went about their ordained rounds in school. Their
deviation consisted only in wearing on their sleeve a band of black
cloth, not more than two inches wide. They wore it to exhibit their
disapproval of the Vietnam hostilities and their advocacy of a truce,
to make their views known, and, by their example, to influence others
to adopt them. They neither interrupted school activities nor sought to
intrude in the school affairs or the lives of others. They caused discus-
sion outside of the classrooms, but no interference with work and no
disorder. In the circumstances, our Constitution does not permit offi-
cials of the State to deny their form of expression.
Justice Abraham Fortas, majority opinion,
Tinker v. Des Moines Independent Community
School District (February 24, 1969)
1. How does Justice Fortas balance freedom of speech with the right of the
school to maintain student discipline and foster a learning environment?
DOCUMENT 2
We admit that in many places and in ordinary times the defendants in

saying all that was said in the circular would have been within their
constitutional rights. But the character of every act depends upon the
circumstances in which it is done. The most stringent protection of free
speech would not protect a man in falsely shouting fire in a theatre
and causing a panic. It does not even protect a man from an injunction
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against uttering words that may have all the effect of force. The ques-
tion in every case is whether the words used are used in such circum-
stances and are of such a nature as to create a clear and present danger
that they will bring about the substantive evils that Congress has a right
to prevent. It is a question of proximity and degree. When a nation is at
war many things that might be said in time of peace are such a hin-
drance to its effort that their utterance will not be endured so long as
men fight and that no Court could regard them as protected by any
constitutional right.
Justice Oliver Wendell Holmes, majority opinion, Schenck v. United
States (March 3, 1919), upholding criminal conviction of Socialist
leader Carl Schenck, who distributed leaflets urging men
to resist being drafted for military service in World War I
2. Under what circumstances does Justice Holmes believe that free speech and
expression may be censored by the government?
DOCUMENT 3
Whoever knowingly or willfully advocates, abets, advises, or teaches

the duty, necessity, desirability, or propriety of overthrowing or destroy-
ing the government of the United States or the government of any
State, Territory, District or Possession thereof, or the government of any
political subdivision therein, by force or violence, or by the assassina-
tion of any officer of any such government . . .
Shall be fined under this title or imprisoned not more than twenty
years, or both, and shall be ineligible for employment by the United
States or any department or agency thereof, for the five years next fol-
lowing his conviction.
Alien Registration Act (1940),
commonly known as the Smith Act
3. This act outlaws advocating the violent overthrow of the United States gov-
ernment and advocating the murder of government officials. Do you con-
sider this law to be reasonable or a violation of ones First Amendment
rights? Explain your reasons.
Task: Using the documents above and your knowledge of U.S. government,
write a well-organized essay with an introduction, several paragraphs, and a
conclusion discussing under what circumstances the government might limit
freedom of speech and expression or why no such limits should ever be
imposed.
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Analyzing and Developing Political Cartoons
A. Respond to the following questions as you analyze the political cartoon

on page 180.
1. What season is represented in the cartoon?

2. How does the cartoonist make the season clear?
3. In which part of the city is the scene located? How can you tell?
4. Is this a private area or a public/government property?
5. What holiday is represented in the cartoon?
6. What are the elements of the cartoon that help you understand
which holiday is represented?
7. Which elements represent a religious facet of the season?
8. Which elements represent a more secular (nonreligious) facet of the
season?
9. Who are the people speaking in the cartoon?
10. Are the words they speak important to the meaning of the cartoon?
Explain.
11. Why does this cartoon appear at this point in the chapter?
12. Overall, what is the message of the cartoon?
13. Is the cartoonist successful in conveying the cartoons message?
Explain.
B. Follow the instructions to develop a political cartoon.
14. Select one of these topics: freedom of speech, freedom of the press,
freedom of assembly and petition, the right to speedy trial, or right
to bear arms.
Then do the following:
State the topic of your cartoon.

State the overall message of your cartoon.
Recreate and complete the chart started below to reflect the content
of your cartoon.
Use your personal knowledge and information from the chapter as you work.
SPECIFIC ITEM/STATEMENT/CAPTION SYMBOLISM
15. Use information from your chart to sketch your cartoon on a

separate sheet of paper.
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UNIT V
CONGRESS
The Preamble of the U.S. Constitution
T
he United States Congress is unique among the three branches
of government because it consists of two equal houses, the Sen-
ate and the House of RepreSentatives.
Chapter 10 discusses the basic structure of Congress and its func-
tion as the elected voice of the American people. The chapter describes
the function of both houses, covering the different terms representa-
tives and senators serve and the different constituencies they repre-
sent. Additionally, you will learn about the roles of the leaders that
each house elects and how they shape legislation.
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Chapter 11 details the specific powers that the Constitution gives

to Congress, such as taxation, regulating commerce among the states,
and passing laws that are needed to carry out the governments respon-
sibilities. The role of the different House and Senate committees and
how they affect bills will also be covered. The chapter concludes by
explaining how a bill becomes a law. You will also see how the
legislative process works by learning about the wheeling and dealing
in both houses in 1977 and 1978 over a plan to impose tolls on the
nations waterways.
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Chapter 10

The Two Houses

of Congress
KEY TERMS
bill census party caucus
roll-call vote gerrymandering majority leader
constituent Speaker of the minority leader
interest groups House majority whip
lobbyist presiding officer minority whip
bicameral president pro
tempore
reapportion-
ment seniority
The U.S. Congress is divided into two houses, the Senate and the House of
Representatives. In this chapter, we will discuss the different duties that sena-
tors and representatives have, how the House differs from the Senate, and
how Congress chooses its officers.
10.1 What Are the Duties of a Member of Congress?

The main duties of senators and representatives are to make laws and repre-
sent the people of their states and districts in Congress. To carry out their
duties, senators and representatives must have considerable knowledge of the
important issues of the day. They must also understand how these issues affect
the people they represent. Their main concern should be to promote the wel-
fare of those people.
201
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202 UNIT V CONGRESS
Lawmaking
Article I of the Constitution states, All legislative powers herein granted shall
be vested in a Congress of the United States, which shall consist of a Senate
and House of Representatives.
What does it mean for senators and representatives to have legislative
power? It means that he or she may vote either yea (yes) or nay (no) on
written proposals for new federal laws. Such written proposals are called bills.
Voting on a bill takes place in the Capitol in Washington in two immense
rooms, or chambers. The House chamber is the main room in one wing of the
Capitol. The smaller Senate chamber is in a second wing. Like students in a
classroom, senators and representatives are assigned to seats of their own in
their respective chambers.
Unlike a classroom, however, members of each house rarely sit in their
seats for very long. They are free to come into the chamber and to leave it at
any time. If bills that they care about are being debated, they will probably be
there. If not, they may be in their office or in one of the many committee
rooms. Buzzers tell them when they are needed in the House or Senate to vote
on a proposed law.
A group of female senators gathers at a womens conference.
Voting by Roll Call

Voting in the Senate is not too much different from taking attendance in a
classroom. A clerk reads down a list of senators names. One by one, the sena-
tors call out their votes, either yes or no. The method of collecting votes one
person at a time is known as the roll-call method.
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In the House, voting by roll call is speeded up by a push-button system.

Entering the House chamber, representatives pull out plastic cards with their
names on them. They insert the cards into one of the numerous voting slots
located around the chamber. Near each slot are three buttons, marked yea,
nay, and present. As they push these buttons, their votes on a particular bill are
instantly recorded beside their names on a huge electronic board hanging on
one wall. (To push the present button means that a member has decided not
to vote either for or against the bill but indicates that he or she has showed up
to participate in the process.)
After voting, certain lawmakers may decide to leave the floor or cham-
bers to take on other duties such as attending committee hearings or meeting
with constituents.
The Representative Function

Lawmakers spend a lot of time studying and making laws. They must also keep
in touch with their constituents, the people they represent in Congress.
Constituents generally fall into groups. First, there are the organized
interest groups. They may send lobbyists to Washington to meet with
senators and representatives. Members of Congress may also be invited to
deliver speeches to local organizations in their states and districts.
A second group of constituents are those who want a lawmakers help
with personal problems or to influence his or her vote in Congress. Older con-
stituents may have problems with Medicare or veterans benefits. Younger
constituents may seek an appointment to a U.S. military academy. The con-
stituents letters, telephone calls, faxes, and e-mails express their views on
issues such as terrorism, taxes, education, and pollution.
A third group are ordinary people in the members district or state who
never contact their representative or senator. They are the most numerous.
The Will of the People

In a democracy, elected officials are supposed to serve the will of the people.
But how are lawmakers to know what policies and laws are wanted by the
people? They can know and serve the peoples will only if they stay in close
touch with their constituents. Thus, in Congress, the representative function
(responding to constituents problems) and the lawmaking function (voting
on bills) go hand in hand.
Before voting on a bill, members of Congress are careful to consider public
opinion in their home state or district. However, their vote may or may not
agree with the opinions of the majority on an issue. They are influenced by
public opinionbut rarely controlled by it.
Staff Support
Members of Congress need a lot of help. There are simply too many bills to
study and too many committee meetings to attend. Those who assist senators
and representatives are their personal staff.
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204 UNIT V CONGRESS
Staff members are assigned to various jobs. Some help out with lawmak-
ing. They research bills, draft bills, write reports about bills, and even recom-
mend how their boss should vote on certain bills.
Another group of assistants specialize in what they call casework. When
a constituent writes to a senator or representative about a problem, it is usu-
ally a staff member who reads the letter and acts on it.
Salary and Other Benefits

The Constitution specifies that members of Congress be compensated for their
services. Members of the first Congress in 1789 were paid $1,500 per year. In
2009, most senators and representatives earned $174,500 per year. They also
receive benefits such as medical insurance, pensions, and reimbursement for
travel expenses.
REVIEW
1. Define: bill, constituents, interest group, lobbyist, and roll-call vote.
2. What are the two main functions of a member of Congress?
3. Describe three ways staff members support the senator or representative
they work for.
4. Describe the two types of constituents that a member of Congress generally
has.
JEANNETTE RANKIN: Milestone Elections to Congress

The gradual expansion of democracy in American society in the 19th and
20th centuries created opportunities for women and racial, ethnic, and
religious minorities to be elected to the U.S. Congress.
In 1916, Jeannette Rankin (18801973), a Republican from Montana,
became the first woman to serve in Congress, winning a seat in the House
of Representatives. A college graduate, Rankin had worked as a seamstress
and then as a schoolteacher. After observing slum conditions in Spokane
and Seattle in Washington State, she became a social worker. Rankin also
joined the growing suffragist movement. Her activism played a large role in
persuading the Montana state legislature to give women the right to vote
in 1914.
In 1916, Rankin ran for Congress. Her campaign platform called for woman
suffrage on a national level, compulsory education for children, an end to child
labor, and nonintervention in the European war. Rankin, who used her familys
wealth to finance her campaign, became one of Montanas two congressional
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JEANNETTE RANKIN : Milestone Elections to Congress

(Continued)
representatives. At the time of her election, many women in the United
States still could not vote.
As a member of congress, Rankin voted against the declaration of war
against Germany on April 6, 1917. Her vote sparked widespread criticism in
the press and alienated suffragist
groups around the country. Rankin
did, however, vote for the military
draft.
After serving only one term in
the House, Rankin ran for the U.S.
Senate in 1918. In the primary
election, however, she failed to win
the Republican nomination. After
leaving Congress, Rankin spent the
next two decades lobbying for
different causes.
Concerned that the United States
might become involved in another
European war, Rankin embarked on
a political comeback. In 1940, she
was elected to Congress from
Montana on an antiwar and
isolationist platform. On December
U.S. Representative Jeannette Rankin
8, 1941, the day after the Japanese
of Montana
attacked Pearl Harbor, Rankin cast
the sole vote in Congress against
declaring war against Japan. As a woman, I cant go to war, and I refuse to
send anyone else, she explained. Rankin later abstained from the declara-
tions of war against Germany and Italy, voting present. Facing certain defeat
in 1942 because of her antiwar vote, Rankin decided against running for re-
election.
Jeannette Rankin continued her political activism after leaving Congress.
During the 1960s, she campaigned for civil rights and against the Vietnam
War. She died in 1973.
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206 UNIT V CONGRESS
EDWARD BROOKE: Milestone Elections to Congress

Edward Brooke wasnt the first African American to serve in the United States
Senate. During Reconstruction, in 1870, the Mississippi state legislature
elected Hiram Revels to the Senate. Since he was elected to fill an unexpired
term, Revels served only one year.
In 1966, Edward W. Brooke, a
Republican from Massachusetts,
became the first African American
elected to the U.S. Senate by direct
vote. Brooke had previously served
two terms as the attorney general of
Massachusetts.
Brooke was a liberal Republican
at a time when his party was moving
to the right. In 1964, Brooke
refused to support Senator Barry
Goldwater of Arizona, the Republican
nominee for president, who Brooke
thought was too extreme a
conservative.
In the Senate, Brooke championed
civil rights, urban renewal, and anti-
poverty programs. In 1968, Senator
Brooke cowrote the Fair Housing Act,
Senator Edward Brooke of Massachusetts which outlawed racial discrimination in
the sale, financing, or rental of housing.
In foreign policy, Brooke supported arms control and opposed escalating the war
in Vietnam.
Brooke was easily re-elected in 1972, when Massachusetts went against the
national trend and supported Senator George McGovern, a Democrat, over
President Richard Nixon, a Republican, in the presidential election. Brooke lost
a bid for a third term in 1978. Since Brookes departure from Congress, only
two other African Americans have been elected to the Senate: Illinois
Democrats Carol Moseley Braun, who served one term (19931999), and
Barack Obama, who was elected in 2004.
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10.2 How Does the Senate Differ From the House?

In the previous section, we talked about senators and representatives as if their
jobs were the same. They are the same in some ways, but not in others. This
section explains the differences between senators and representatives.
Bicameral Congress
The Senate meets in one wing of the Capitol and the House of Representatives
in the other. The House has 435 members, while the Senate has 100. As you
learned in Chapter 3, the Constitution established these two houses, or legis-
latures, for the national government. Thus, the House and Senate are two sep-
arate lawmaking groups, or bodies. Each considers different bills at different
times. Because of this separation into two lawmaking houses, we say that the
U.S. Congress is bicameral.
Senators and Representatives Compared

Being a U.S. senator is different from being a U.S. representative in several ways:
Length of Term
A representative has a short term: only two years. A senators term is six years,
three times as long. There are no term limits for any Congress members. Sena-
tors and representatives may be reelected repeatedly. Senator Robert Byrd, a
Democrat from West Virginia, was first elected to the Senate in 1958. Byrd was
subsequently re-elected seven times, and, as of 2009, he held the record for
the longest term in the Senate: 50 years. (Only 19 senators, including Byrd,
have served at least 35 years.) In 2009, Congressman John Dingell, a Democrat
from Michigan, became the longest serving member in the House of Represen-
tatives. Dingell won a special election to the House in 1955 and has been
re-elected to every succeeding Congress.
Constituencies
A senator serves all the people of a state. A representative usually serves just a
fraction of the states population: the people who live in his or her congres-
sional district.
Power and Influence

The average senator has more power than the average representative for sev-
eral reasons. First, senators derive their power from being elected statewide;
they have a larger constituency than representatives. Second, it is easier to
influence a small group of people (100 senators) than a group four times as
large (435 representatives). Senators (as well as representatives) from states
with small populations may be reelected many times, and they often have far
more power in Congress than their colleagues from large states.
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208 UNIT V CONGRESS
Senator Robert Byrd of West Virginia
Rules of Debate
Because the Senate is smaller, its members are allowed more freedom to talk
and debate. A senator may stand on the floor of the Senate and talk for hours
about a bill. In the House, rules for debating a bill are much stricter. Opportu-
nities to make a speech on the House floor are limited to only a few minutes
per speaker.
Representation in the Senate

Recall the dispute in 1787 between delegates to the Constitutional Conven-
tion at Philadelphia. One group of delegates wanted states to be represented
equally in Congress. A second group wanted states to be represented accord-
ing to the size of their populations. The two groups were finally satisfied by
the Great Compromise, which gave states equal representation in one house
(the Senate) but representation based on population in a second house (the
House of Representatives).
Representation in the House

A states population matters in the House even if it does not in the Senate. The
populous state of California has 53 representatives in the House. By contrast
the sparsely populated state of Alaska has only one representative.
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Apportionment of the U.S. House of Representatives

for the 111th Congress (20092011)
WA MA VT NH
9 10 1 2 ME
MT ND
1 2
1 RI
OR MN
5 ID 8 NY 2
2 SD WI
1 MI 29 CT
WY 8
1 15 PA 5
IA
NE 5 19 NJ
NV 3 IL IN OH 13
3 UT 19 9 18
CA 3 CO WV VA DE
53 7 KS MO KY3 11 1
4 9 6 MD
NC
TN 13 8
AZ OK 9
NM 5 AR SC
8 3 4
MS AL GA 6
4 7 13
TX LA
32 7
FL
AK 25
1
HI
2
Apportionment of House Seats

Changes in a states population affect the number of representatives it is allot-
ted. For example, when California joined the Union in 1850, it was one of the
least populous states. Today, it is the most populous.
How does representation in the House adjust to changes in the popula-
tion? It does so by a system called reapportionment. Once every ten years,
the U.S. government takes a census, a count of the population of each state.
The first census was completed in 1790, shortly after the Constitution was
adopted. It has been conducted every ten years since 1797.
The results of each census determine how seats in the House will be
U.S. Census Bureau employees conduct the official count

of the U.S. population.
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210 UNIT V CONGRESS
TH E GROWTH OF CONGRESS, 17891963

Selected Years in Session Number of Number of
Congresses Senators Representatives
1st 17891791 13 65
10th 18071809 34 142
20th 18271829 48 213
30th 18471849 60 230
37th 18611863 50 183
40th 18671869 68 226
50th 18871889 76 325
60th 19071909 90 391
70th 19271929 96 435
86th 19591961 100 437
88th 19631965 100 435
apportioned, or distributed, among the states. The Constitution sets two rules
for apportionment: (1) Every state is entitled to a minimum of one representa-
tive. (2) The number of people served by a representative must be at least
30,000.
In 1929, Congress added another rule for apportionment. The law said
that the total number of representatives in the House would always be the
same: 435. (The total number of representatives temporarily went up to 437
when Alaska and Hawaii were admitted to the Union. However, it went back
down to 435 after the districts were reapportioned after the 1960 census.)
From the census that is taken every ten years, we know each states popula-
tion. By applying a mathematical formula, the 435 House seats are distributed
fairly among the 50 states. From one census to the next, states may gain or
lose House seats, or the number may remain the same. Some states have only
one representative, who serves all the people. The more populous states are
divided into districts. Each district has one representative.
The table above shows how Congress gradually expanded with the admis-
sion of more states into the Union. The number of members who serve in each
house has been the same since 1963. If you compare the data for the 30th
and 37th Congresses, you see that the number of members in the Senate and
House actually declined. What happened? After Abraham Lincoln was elected
president in 1860, 11 states eventually left the Union, and their senators
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and representatives no longer served in the U.S. Congress. As they were read-
mitted into the Union after the Civil War, the former Confederate states
regained their representation in Congress.
Drawing District Boundaries

Congressional district boundaries can be redrawn after each census by the leg-
islature of each state. For example, in the census of 2000, Florida gained two
seats in the House, which meant that its state legislature had to redraw the dis-
trict boundaries. They divided their state into 25 congressional districts, up
from 23 in the 1990s.
Lawmakers are politicians. They want to stay in office. They try to draw
district boundaries so that candidates of their own party have an advantage
on Election Day. In the past, politicians had two ways of doing this. One way
was to create districts with unequal populations. Another way was to twist dis-
trict boundaries into strange shapes.
Wesberry v. Sanders
The first method is no longer practiced because the Supreme Court ended it.
In 1964, the Supreme Court ruled in the case of Wesberry v. Sanders that dis-
tricts with unequal populations were unconstitutional. In its decision, the
Court said that people in one district must not be better represented than
people in another district.
Wesberry v. Sanders requires state lawmakers to draw district boundaries
so that districts are as nearly equal in population as possible. After the 2000
Colorado's Seven Congressional Districts

WY
Sedgwick
Weld Logan
Moffat Jackson Larimer Phillips
Routt NE
Denver Morgan
Rio Blanco Grand Boulder
Gilpin 7 Yuma
Adams Washington
2
Su
Jefferson
Clear
1 Arapahoe 4
m
Creek
Garfield
m
Eagle
it
s
u gla 6 Elbert Kit Carson
Pitkin Do
Lincoln
Mesa Lake Park

Teller
UT
Chaffee
Delta El Paso Cheyenne

Gunnison 5
Montrose 3 Fremont Kiowa
Ou Crowley KA
ra Pueblo
San Miguel y Saguache Custer
Hinsdale
Bent Prowers
Otero
Mineral
Dolores San
Juan
Rio Alamosa Huerfano
Montezuma Grande
La Plata Las Animas Baca
Archuleta Conejos Costilla
AZ NM OK
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212 UNIT V CONGRESS
census, the average size of one congressional district is about 647,000 people.
Since the population of the United States has increased in the past decade, the
average number of people represented by one congressional district will likely
increase over the decades.
Gerrymandering
The second method for redrawing district boundaries to benefit political par-
ties is still used today. Gerrymandering involves carefully drawing districts
in odd shapes to secure advantages for one party. In more densely populated
states, areas and neighborhoods (which may be miles apart) that are likely to
support one party may be included in one district to maximize the partys
chances of winning the seat or placed in different districts in order to reduce
the partys electoral strength. The term gerrymandering dates back to Mas-
sachusetts in 1812 when legislators of the majority party drew an oddly
shaped district that looked like a salamander. Governor Elbridge Gerry
approved the plan to redraw the districts that benefited his party. The Boston
Gazette newspaper described the district as a gerry-mander. Gerrymandering
has come to mean redrawing district boundaries to benefit a political party.
Today, gerrymandering is often done with computer databases of population
and voting patterns.
REVIEW
1. Define: bicameral, reapportionment, census, and gerrymandering.
2. Do you agree or disagree that a senator has more power than a representa-
tive? Explain your answer.
3. How does the Senate differ from the House in terms of office, constituen-
cies, and rules of debate?
4. Why are congressional districts redrawn after a census?
10.3 Who Are the Leaders of Congress?

Now that we have studied the differences between the House and the Senate,
we can examine how each body functions.
The Majority Party Rules

The most important fact to know about a newly elected Congress is the num-
ber of members who belong to each party. Are there more Democrats than
Republicans or more Republicans than Democrats? This fact determines
which party controls each house.
In the 2000 election, the Republicans won 221 seats in the House of Repre-
sentatives, and the Democrats won 212 seats. (The remaining two seats were
won by independent candidates.) Even though the Republicans majority was
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A Demographic Look at the 110th Congress (20072009)

When the first U.S. Congress convened in 1789, its 26 senators and 65
representatives were all white males. The overwhelming majority were
Protestant. Only three members of the 1st Congress were Catholic. The
growth of the United States and demographic changes in society through the
20th century gradually transformed Congress into an institution that today
includes women and members from nearly every racial, ethnic, and religious
group. A report written in 2007 by Mildred Amer for the Congressional
Research Service offers a demographic look at the 110th Congress, which met
from 2007 to 2009.
Ninety women served in the 110th Congress, 74 in the House of Represen-
tatives, and 16 in the Senate.
The 110th Congress included 43 African Americans, with 42 in the House
and one in the Senate, and 29 Hispanic or Latino members with 26 in the
House and three in the Senate. Ten other members were Native Americans,
Asians (including one Indian), native Hawaiian, or Pacific Islanders.
A majority of members in the 110th Congress were Protestant, mostly from
the Episcopalian, Methodist, Baptist, and Presbyterian churches. Roman
Catholics constituted the second largest religious group in Congress. Other
religious groups represented in the 110th Congress included Jews, Greek
Orthodox, Christian Scientists, Quakers, and Mormons. The 110th Congress
also included two Buddhists, one Muslim, and one atheist.
small, it still gave them the ability to elect the Speaker of the House of Repre-
sentatives and the bodys other leaders.
The 2000 election also resulted in the Democrats and Republicans each
having 50 seats in the Senate. How was the leadership question resolved since
both parties were tied? The new vice president, Dick Cheney, was a Republi-
can, so he was able to use his constitutional position as the president of the
Senate to break tie votes. With Cheneys vote, the Republicans retained con-
trol of the Senate and elected the bodys leaders.
In May 2001, the Republicans lost control of the Senate when Senator
James M. Jeffords of Vermont, a liberal Republican, left the party and declared
himself an independent. Jeffordss defection immediately gave the Democrats
a one-seat majority and allowed them to place Democrats in leadership posi-
tions. In the November 2002 election, the Republicans won a majority in the
Senate, and control of the Senates leadership offices changed once more. In
2006, the Democrats swept the Republicans out of office and won control of
both houses. Congressperson Nancy Pelosi of California was elected Speaker
of the House, and Senator Harry Reid of Nevada was elected Senate majority
leader.
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214 UNIT V CONGRESS
After the 2006 elections, Democrat Nancy Pelosi

became Speaker of the House of Representatives,
the first woman to do so, and Democrat Harry Reid
became Senate majority leader.
Positions of Leadership and Power

What are the leadership positions that the majority party wins? In the House
of Representatives, the most powerful job belongs to the Speaker of the
House. The Speakers powers include:
deciding what bills will be sent to the different committees
enforcing rules of order
deciding which representatives will be called upon to speak for or against a bill
In the Senate, the presiding officer is the vice president of the United
States and not a senator. The vice president, however, is usually absent from
the Senate, attending to other duties. A senator from the majority party pre-
sides over the body anytime the vice president is not present. The official sub-
stitute for the vice president is known as the president pro tempore of the
Senate. The main duty of the Senates presiding officer is to carry out formal
rules of order during a debate on a bill. Since they are little more than man-
agers of debates, the vice president and the president pro tempore have much
less power than the Speaker of the House.
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Congressional business is also conducted in the many committee rooms

of the Capitol. Lawmakers who preside over meetings of the different commit-
tees are their chairmen, chairwomen, or chairs. A senator or representative
who chairs a committee is more powerful than the other members of the com-
mittee. He or she has the power to decide which bills the committee will seri-
ously consider. The committee chair may decide to kill a bill by filing it away,
or pigeonholing it. Every committee chair in the House and Senate is a
member of the majority party.
Seniority Custom
In addition to party membership, power in Congress depends on seniority,
how long a lawmaker has served in the House or Senate. Those who have served
many terms are called senior members. By contrast, those who have served only
one or two terms are called junior members. The greater seniority that a senator
or a representative has, the more likely he or she will have a leadership position.
Party Caucuses
As we have seen, the reason the majority party rules is that it has the voting
strength to elect officers. Before the election of officers takes place, members
of the majority party get together in a party caucus. The senators attending
one caucus decide who among them shall be president pro tempore and who
shall head the different Senate committees. In their caucus, members of the
majority party of the House vote on their leaders.
The actual vote for leaders on the House and Senate floors is just a formal-
ity. Everyone knows in advance who will be chosen. The majority party nomi-
nates its list of leaders who were previously chosen in the party caucus. Then
every member of the party votes in favor of the list. Since it has a majority
behind it, the list always wins.
Majority and Minority Leaders

In addition to choosing official leaders of Congress, party caucuses in both
houses choose people to act as their leaders. Thus, there is a majority leader of
the House and a majority leader of the Senate.
In the Senate, the majority leader wields a great deal of power and influ-
ence. By talking to party members, trying to rally support for certain bills, and
setting the legislative calendar, the majority leader often has a major influence
on the Senates decision to pass or defeat a bill. The House of Representatives
also has a majority leader, but he or she is subordinate to the speaker.
Meeting in their own caucuses, members of the minority party in both
houses also choose their leaders, the minority leader of the House and the
minority leader of the Senate.
Party caucuses also elect the majority whip and minority whip. The
job of the whips is to assist the majority and minority leaders in the work of
getting certain bills passed or defeated. Whips ensure that their members will
be in attendance when important votes are scheduled and pressure members
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216 UNIT V CONGRESS
to vote the party line. Senators and representatives who defy their party fre-
quently or on important votes may be punished by not receiving important
committee assignments or other positions of influence.
Terms and Sessions of Congress

A new Congress begins its session in the first week in January in an odd-
numbered year. Congresses have been numbered in sequence since the 1st
Congress met in New York City from 1789 to 1791. The Congress that was
elected in 2006 was the 110th Congress. It was followed by the 111th Con-
gress, which was elected in November 2008.
Every Congress usually has two sessions, one for each year of its existence.
A session has no fixed length. Before 1940, Congress would be in session for
only about five months. Both houses would then vote to adjourn until the
next year. In recent decades, however, the workload of Congress has substan-
tially increased. A typical session now lasts as long as ten or eleven months.
On the first day of its new term, which begins January 3, Congress gets
organized. New members take their oaths of office. The leaders of each house
are elected, and members are assigned to committees. The leadership and
organization continue for two years.
If the majority retains control of the House or Senate in the election, their
leaders will usually remain the same. A member in a leadership position who
retires, resigns, dies in office, or is even defeated for re-election is usually
replaced by another senior member.
REVIEW
1. Define or identify: majority party, Speaker of the House, presiding officer of
the Senate, president pro tempore, seniority, majority leader, minority
leader, party caucus, majority whip, and minority whip.
2. How did the Democrats win control of the Senate in 2001, a nonelection
year?
3. Which members usually get leadership positions?
4. Why is a committee chair important?
CHAPTER 10 REVIEW
1. The main duty of senators and representatives is to (a) enforce federal reg-
ulations (b) pass laws for the nation (c) appoint justices to the U.S.
Supreme Court (d) choose candidates to run for political office.
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2. The method of voting one person at a time is known as (a) voice voting
(b) counting heads (c) census taking (d) roll-call voting.
3. A session of Congress lasts (a) one year (b) two years (c) four years (d) six
years.
4. All of the following are powers of the Speaker of the House of Representa-
tives, except (a) deciding what bills shall be sent to different committees
(b) enforcing rules of order (c) deciding which representatives will be
called upon to speak for or against a bill (d) naming the majority and
minority leaders of the House.
5. What factor determines who the leaders of the House and Senate are
likely to be? (a) the preferences of the president (b) the political party that
has the most seats in each house (c) ruling of the Supreme Court (d) the
political affiliation of the nations 50 governors
6. Which process determines how many representatives each state gets after
the census has been taken? (a) redistricting (b) realignment (c) reappor-
tionment (d) readjustment
7. What is the most important factor in deciding how congressional district
lines are redrawn? (a) a states population (b) the party that controls the
House of Representatives (c) the political affiliation of the states legisla-
ture (d) the wishes of the voters
8. Which Supreme Court decision ruled that all congressional districts must
represent about the same number of people? (a) Wesberry v. Sanders
(b) Marbury v. Madison (c) Bush v. Gore (d) Plessy v. Ferguson
9. The people in an individual representatives district or a senators state are
called (a) voters (b) contributors (c) constituents (d) letter writers.
10. The process of redrawing congressional district boundaries to benefit one
political party is called (a) redistricting (b) gerrymandering (c) caucusing
(d) political partisanship.
ESSAY
Write an essay discussing the various duties that senators and representatives
have and how they are helped in carrying them out.
Historical Context: The House of Representatives and the U.S. Senate exist
to represent their constituents in government and serve their interests. Such
representation requires representatives and senators to be accessible to their
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218 UNIT V CONGRESS
constituents, have knowledge of different issues, have the courage of their

convictions, but also know when to compromise.
DOCUMENT 1
I am not only the Senator from Maryland, but also the Senator for
Maryland. I take great pride in my work on behalf of my constituents.
My office can assist Marylanders with casework with the federal govern-
ment, in obtaining federal grants, nominations to the military acad-
emies, Washington tours, internships, and flags flown over the U.S.
Capitol. . . .
Caseworkers in my state offices will make every effort to assist you.
Whether its obtaining information from federal agencies related to
programs or benefits for which you may be eligible, a problem youre
having with a federal government program such as Social Security,
Medicare or veterans benefits, or an issue that needs to be resolved with
a federal government agency such as the Internal Revenue Service, my
staff stands ready to help.
Senator Barbara Mikulski, Democrat of Maryland,
message on her Senate Web site to her constituents
1. How does Senator Mikulski offer to serve the constituents she represents?
DOCUMENT 2
It is a sound and important principle that the representative ought to

be acquainted with the interests and circumstances of his constituents.
But this principle can extend no further than to those circumstances
and interests to which the authority and care of the representative
relate. An ignorance of a variety of minute and particular objects, which
do not lie within the compass of legislation, is consistent with every
attribute necessary to a due performance of the legislative trust. In
determining the extent of information required in the exercise of a par-
ticular authority, recourse then must be had to the objects within the
purview of that authority.
What are to be the objects of federal legislation? Those which are of
most importance, and which seem most to require local knowledge, are
commerce, taxation, and the militia.
James Madison, Federalist No. 56 (1788)
2. According to Madison, what type of knowledge do members of the House
of Representatives need in order to successfully represent their constituents
in Congress?
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DOCUMENT 3
I think all men recognize that in time of war the citizen must surrender
some rights for the common good which he is entitled to enjoy in time
of peace. But sir, the right to control their own Government according
to constitutional forms is not one of the rights that the citizens of this
country are called upon to surrender in time of war. . . .
More than all, the citizen and his representative in Congress in time of
war must maintain his right of free speech. More than in times of peace
it is necessary that the channels for free public discussion of govern-
mental policies shall be open and unclogged. I believe, Mr. President,
that I am now touching upon the most important question in this
country todayand that is the right of the citizens of this country and
their representatives in Congress to discuss in an orderly way frankly
and publicly and without fear, from the platform and through the
press, every important phase of this war; its causes, the manner in
which it should be conducted, and the terms upon which peace should
be made. The belief which is becoming widespread in this land that this
most fundamental right is being denied to the citizens of this country is
a fact the tremendous significance of which, those in authority have
not yet begun to appreciate. I am contending, Mr. President, for the
great fundamental right of the sovereign people of this country to make
their voice heard and have that voice heeded upon the great questions
arising out of this war, including not only how the war shall be prose-
cuted but the conditions upon which it may be terminated with a due
regard for the rights and the honor of this Nation and the interests of
humanity.
I am contending for this right because the exercise of it is necessary to
the welfare, to the existence, of this Government to the successful con-
duct of this war, and to a peace which shall be enduring and for the best
interest of this country.
Senator Robert LaFollette, Republican of Wisconsin,
speech delivered in the U.S. Senate, October 6, 1917
3. Why does Senator LaFollette, who had previously voted against declaring
war against Germany, insist on the right of free speech during wartime?
Task: Write a well-organized essay with an introduction, several paragraphs,

and a conclusion discussing how members of Congress should represent the
people who elect them to office. Make references to the documents and your
knowledge of U.S. history in your essay.
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220 UNIT V CONGRESS

Interpreting and Developing Bar Graphs
A. Study the bar graph below and then answer the questions that follow.
Women in the U.S. CongressFrom Selected Congresses

100
95
90
85
80
75
70
65
Number of Women
60
55
50
45
40
35
30
25
20
15
10
5
0
Se e
te
th
Se e
te
th
Se e
te
th
Se e
te
th
Se e
te
th
s
s
na
Bo
na
Bo
na
Bo
na
Bo
na
Bo
ou
ou
ou
ou
ou
H
65th 75th 87th 103rd 110th

(19171919) (19371939) (19611963) (19931995) (20072009)
Congress

2. Does the graph cover all U.S. Congresses? Explain.
3. What is the range of labels for the graphs vertical axis?
4. What does each data set of three bars show?
5. In a set, what does each of three bars represent?
6. How many women were in the House in 1937?
7. How many women were in the Senate in 1918?
8. As shown in the graph, the number of women in the Senate during
each session has always been smaller than the number of women in
the House during the same session. Why is this the case?
9. Which is true of the third bar in each data set? Explain your answer.
a. It always represents a number greater than the total number
represented by the other two bars.
42389 199-240 r7sp.qxp 12/24/09 5:34 PM Page 221
b. It always represents the same number as the total number

represented by the other two bars.
c. It sometimes represents a number less than the number
represented by the combination of the other two bars.
d. It sometimes represents a number greater than the number
represented by the combination of the other two bars.
10. What is the trend in the number of women in the U.S. House,
Senate, and the Congress overall? Do you predict that this trend will
continue? Explain.
B. Follow the instructions to develop a bar graph.
11. Use the information below to create a triple-bar graph. Provide a

title for your graph. In your triple-bar graph, show the average
amount spent by winners and losers in U.S. senatorial races during
selected election cycles from 1990 to 2006. Additionally, show
the difference between the amount spent by the winners and the
losers.
1990
Average spent by winners: $3.9 million
Average spent by losers: $1.7 million
1994
1998
2004
2006
Data source: OpenSecrets.org: Center for Responsive Politics

www.opensecrets.org/bigpicture/elec_stats.php?cycle=2006
12. Write three questionsand a response for eachbased on your

graph.
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Chapter 11

Lawmaking
in Congress
KEY TERMS
hopper standing filibuster
Senate bill clerk committee cloture
public bill subcommittee conference
private bill select committee
committee logrolling
resolution
joint committee pork barrel
foreign
commerce Committee of rider
the Whole
interstate
commerce quorem
This chapter covers how Congress helps shape government policy by passing
legislation. You will learn what specific powers the Constitution gives to Con-
gress and how the committee process works. The chapter also discusses the
many steps of how a bill becomes law and, to illustrate the legislative process,
recalls the complicated history of one bill.
11.1 What Kinds of Bills Does Congress Consider?

In legislative jargon, a bill is a formal proposal for a new law. Bills are referred
to by number (e.g., H.R.123) or name, such as the Sherman Antitrust Act. In
the House, the bills number is preceded by the letters H.R. In the Senate, the
bills number is preceded by an S.
222
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Putting a Bill Into the Hopper

Any citizen or lobbyist can draft a bill and send it to his or her senator or rep-
resentative. If the member approves the idea for the bill, it may be given to a
staffer to be written in legal language. Then the representative, acting as the
bills sponsor, walks onto the House floor and drops the bill into a wooden box
called the hopper. By contrast, senators present bills to the Senate bill
clerk. The bills are thus introduced for consideration.
Only a small percentage of bills are passed into law by the two houses of
Congress. The thousands of bills that are introduced every year in the House
and the Senate may either live or die. Most of them die.
Public Bills, Private Bills, and Resolutions

There are three kinds of bills. The most common concerns a variety of
national problems. They are known as public bills because they affect the
American public as a whole.
A small number of bills are not proposals for laws that would apply to
everyone. They are known as private bills because they are written for the
benefit of only a few people, or perhaps just one person.
The last type of bill is marked either H. Res. (in the House) or S. Res.
(in the Senate). The Res. stands for resolution. A resolution of the House or
the Senate refers only to the business of that body. It might be a proposal for a
change in the rules of the body. It might be a statement expressing either
approval or disapproval of an action by the president or some other party. A
resolution is usually the act of only one house. It goes no farther than that
house and never becomes a law of the land. An exception is a joint resolution,
which is passed jointly by both houses.
Lawmaking Powers of Congress

Public bills may deal with almost any subject, but they must not violate the
Constitution. According to Article I, Section 8, of the Constitution, Congress
has 18 different powers:
1. Collect taxes.
2. Borrow money to pay the debts of the U.S. government.
3. Regulate foreign and interstate commerce.
4. Make rules for immigration and bankruptcy. Congress may determine how
an immigrant to this country may become a U.S. citizen and how an indi-
vidual or business may be declared bankrupt (unable to pay its debts).
5. Coin money. Congress may authorize the kinds and amounts of money
issued to the public.
6. Punish counterfeiters. Only the U.S. government may legally print and
coin money. Private persons who attempt to manufacture money may be
charged with counterfeiting, a federal crime.
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224 UNIT V CONGRESS
7. Establish post offices and post roads. Congress may set up a system
for distributing mail and building roads to be used as mail routes.
8. Protect authors and inventors. Congress may grant copyrights (exclu-
sive legal right to reproduce, publish, sell, or distribute the form of
something) and patents (official documents conferring a right or
privilege) to people who create or invent original works.
9. Establish federal courts. Congress may set up courts (other than the
Supreme Court) to hear federal cases.
10. Punish acts of piracy. Congress may determine how crimes committed
at sea are to be defined and punished.
11. Declare war. The United States is officially at war with another nation
only if Congress votes to declare that a state of war exists. (As
commander in chief, however, the president may order troops and
ships into battle whether or not war has been officially declared. The
Civil War and the Vietnam War were both undeclared wars.)
1214. Support and regulate the armed forces. Congress may decide how
much money to spend for an army and navy.
1516. Call the state militia into federal service. Congress may draw up rules
for organizing the militia (state National Guard units) when they are
called into federal service during an emergency.
17. Govern the nations capital. All laws governing the District of Colum-
bia (Washington, D.C.) are made by Congress, not by any state gov-
ernment.
18. Pass any other laws that are necessary and proper to carry out the
governments responsibilities.
Other Powers of Congress

Besides its power for making laws, Congress has several other powers as well.
It may:
1. Propose amendments. Congress may start the process for amending the
Constitution. If each house passes a proposed amendment by a two-thirds
vote, it goes to the states for ratification.
2. Ratify treaties. The Senate alone has the power to review the treaties
negotiated by the president. For a treaty to go into effect, two-thirds of the
Senate membership must vote for it.
3. Investigate public issues. Committees of the House and Senate may
investigate public issues. The results of investigations may lead to the pas-
sage of new laws that address any problems found.
4. Confirm the presidents nominees for office. The Constitution gives
the president, as chief executive, the power to nominate ambassadors,
members of the Cabinet, other top officials in the executive branch, federal
judges, and justices of the Supreme Court. The Senate, however, must
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approve all of the presidents nominees by a majority vote before they can
officially assume their offices.
5. Impeach and remove officials. The House of Representatives may
impeach, or bring charges against, the president, officials in the executive
branch, and members of the federal judiciary. The Senate then holds a trial
and decides whether the impeached person should be removed from office.
Three Most Important Powers

Congresss powers to impeach or to punish acts of piracy are rarely used. By con-
trast, other powers are used all the time. Of the 18 powers specified in the Consti-
tution, three may be viewed as most important because many laws are based on
them. They are: (1) collecting taxes, (2) regulating commerce, and (3) passing laws
that are necessary and proper to facilitate the governments responsibilities.
Power to Tax
One of the most important of Congresss powers is to determine the types of
taxes that may be collected from citizens and businesses. The power to tax is
also called the power of the purse. Government by the people and for the
people could not exist unless the peoples representatives had the power to
either approve or reject proposals for new taxes.
The Constitution makes one special rule about those bills that deal with
taxes and public money. It states that such bills must be introduced first in the
House of Representatives. The Constitution, however, adds that any bill
passed by the House must also be approved by the Senate, and it can propose
amendments. Thus, the Senate also shares in the power of the purse.
What advice would the cartoonist give members of Congress who

are voting on spending projects?
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Power to Regulate Foreign and Interstate Commerce

Foreign commerce involves the shipping of U.S.-made goods to countries
abroad and the receiving of foreign-made goods in U.S. cities. Interstate
commerce is any trade that crosses state lines or any business that exists
in two or more states. For example, a truck carrying office supplies from New
Jersey into Pennsylvania is engaged in interstate commerce. Therefore, it is
subject to laws made by Congress.
The commerce clause (Congress has the power to regulate commerce with
foreign nations, among the states, and with Indian tribes) gives Congress a lot
of power to regulate many types of businesses. That is because, in recent
decades, the clause has been interpreted broadly by the Supreme Court.
Power to Make Laws That Are Necessary and Proper

The Constitution mentions interstate commerce in general but says nothing
about specific businesses. To justify specific legislation, Congresss 18th power
is extremely helpful. According to the elastic clause (Article I, Section 8), Con-
gress has the power to make all laws which shall be necessary and proper for
carrying into execution the foregoing powers.
Congresss 18th power is elastic because it may be stretched to fit a wide
variety of specific topics. Congress may pass legislation affecting many areas if
it is deemed necessary and proper.
REVIEW
1. Define: hopper, Senate bill clerk, public bill, private bill, resolution, and
elastic clause.
2. What are the three most common kinds of bills introduced in Congress?
3. Why is Congresss 18th power often called the elastic clause?
11.2 The Committee Process

Of the thousands of bills introduced each year in the House and Senate, only a
fraction of them ever make it to the floor for a vote. If both houses of Congress
approve a bill, and it is then signed by the president, it becomes a law and is
then printed in a book of public statutes. Most bills, however, are killed by the
committee process.
Committees and Subcommittees

Since the House and Senate do not have the time to carefully study and then
vote on every piece of legislation that is introduced every year, they rely on a
small group of lawmakers to evaluate the bills. These permanent standing
committees focus on a specific area such as foreign policy, national defense,
and finance.
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Once introduced in the House or Senate, a bill is assigned a number. For

example, a bill numbered H.R. 123 is the 123rd bill introduced in the
current session of the House of Representatives. Bills are sent to the committee
that specializes in the proposed legislations subject matter. A Senate bill on
farm subsidies is sent to the Senate Agriculture, Nutrition, and Forestry Com-
mittee, not the Senate Foreign Relations Committee.
A single lawmaker chairs the committee, and he or she has a powerful role
in approving legislation. Committee chairs are members of the majority party
and are usually selected by seniority.
In turn, committees are divided into smaller subcommittees, which
have a narrower focus. The Senate Committee on Energy and Natural
Resources is divided into the Senate Subcommittee on Energy, the Senate Sub-
committee on National Parks, the Senate Subcommittee on Public Lands and
Forests, and the Senate Subcommittee on Water and Power. A single lawmaker
chairs a subcommittee and answers to the committee chair.
Most bills never leave committees. House and Senate committees kill bills
primarily in two ways. First, the committee chair may conclude that the bill
concerns a trivial matter and does not deserve further attention. The commit-
tee head simply pigeonholes the bill. Second, the chair may decide to seri-
ously consider the bill. The committee holds hearings to study the bill and
considers what effect it will have if it becomes law. Expert witnesses, represen-
tatives of special interest groups, and even ordinary people testify at a commit-
tee hearing, expressing support for or opposition to the legislation. After the
hearings are concluded, a majority of lawmakers on the committee may
decide to kill the bill.
Committee members also have the power to introduce changes or
amendments to bills. The changes can be minor or extensive. The final ver-
sion of a bill approved by a committee may be substantially different than the
version that was originally introduced.
Members of the Senate Armed Services Committee listen to a witness.

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Select Committees
Congress occasionally sets up temporary committees, known as select com-
mittees, to investigate special problems. Both the House and the Senate have
the power to abolish select committees or create new ones. In 1892, the Senate
established the Committee on Canadian Relations. In 1921, the Senate abol-
ished the committee. In 1975, the House abolished the controversial Commit-
tee on Un-American Activities (HUAC), which gained much publicity during
the late 1940s and 1950s for investigating alleged Communist influence in
Hollywood.
In 1973, the Senate created the Select Committee on Presidential Campaign
Activities to investigate the emerging Watergate scandal during the administra-
tion of President Richard Nixon. Chaired by Senator Sam Ervin, a Democrat
from North Carolina, the committee heard testimony from John Dean, the for-
mer White House counsel, who implicated himself, Nixon, and the presidents
top aides in criminal behavior. Ervins committee later discovered that Nixon
had many of his personal conversations at the White House secretly recorded on
tape. The subsequent release of the tapes revealed that Nixon had participated
in the Watergate cover-up. This revelation led to his resignation.
In 1976, the House established the Select Committee on Assassinations,
which reexamined the assassinations of President John F. Kennedy in 1963
and the civil rights leader the Rev. Dr. Martin Luther King Jr. in 1968. The
committee was created in response to growing public suspicions that both
Kennedy and King were assassinated as the result of conspiracies and not just
Former Nixon White House Counsel John Dean prepares to testify under oath
before members of a Senate select committee investigating the Watergate
affair.
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the victims of lone assassins. In 1979, the committee issued a report that reaf-
firmed the basic conclusions of previous investigations, but added that there
may have been conspiracies behind the assassinations of Kennedy and King.
Joint Committees
A committee that is composed of members of both the House and the Senate
is called a joint committee. Congress currently has four permanent joint
committees: the Joint Economic Committee, which studies economic issues;
the Joint Taxation Committee, which studies tax-related issues; the Joint
Committee on the Library, which oversees the administration of the Library
of Congress; and the Joint Committee on Printing, which oversees the Gov-
ernment Printing Office.
REVIEW
1. Define: standing committee, select committee, subcommittee, and joint
committee.
2. Why was it necessary for Congress to establish committees and subcom-
mittees?
3. What are two types of committee actions that could kill a bill?
What is the cartoonist trying to say about the Watergate affair?

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C-SPAN: Broadcasting Congress
The C-SPAN channel broadcasts the final vote tally as Congress passes
historic legislation to bail out the troubled financial industry.
Today, Americans who wish to see how the House of Representatives and the
Senate work no longer have to visit Washington, D.C., and sit in the visitors
gallery of both houses. They can simply turn to C-SPAN, which is available on
all cable systems.
The Cable-Satellite Public Affairs Network (C-SPAN) first went on the air in
1979, broadcasting sessions of the House of Representatives and the Senate
in their entirety. The service soon became popular, and millions of Americans
often tuned in to see their lawmakers at work. Many viewers of different
political viewpoints appreciated C-SPANs political neutrality since it provides
unfiltered, gavel to gavel coverage of the House and Senate instead of the
brief sound bites that are typical of many television news programs.
C-SPAN eventually expanded into three separate channels. In addition to the
sessions and committee meetings of the House and Senate, C-SPAN offers
news coverage, discussions of noteworthy books, live coverage of important
events, including the meetings and press conferences of many liberal and
conservative activist organizations.
C-SPAN is financed exclusively by the nations cable companies as a public
service. C-SPAN receives no government funding or any advertising revenue
from corporations.
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11.3 The Final Steps for Turning a Bill Into a Law

After leaving committees, bills head to the House and Senate floors for a for-
mal vote. Both chambers require a number of steps before voting.
House
In the House, all 435 members are rarely present at the same time. In order to
conduct business, the Committee of the Whole must be present. The Com-
mittee of the Whole is a device that comes into existence when at least 100
members are present in the House chamber. Once the committee is estab-
lished, the House may conduct its day-to-day business.
The House begins by debating a bill. Members are permitted to speak for a
short period of time, usually a few minutes. After the debate is concluded, the
reading clerk of the House of Representatives reads the text of the entire bill.
During the reading, members may propose amendments to the bill. The rules
of the House specify that any amendments must be relevant to the subject
covered by the bill. For example, a member cannot introduce an amendment
that increases criminal penalties for bribing federal judges to a bill on farm
subsidies. House members, as the Committee of the Whole, approve or reject
each amendment.
In order for a vote to take place on the entire bill, a quorum, a simple
majority of the total House membership, 218, must be present in the chamber.
House members then vote on the bill.
Senate
In the Senate, the majority leader sets the schedule for voting on bills that
have been approved by committee. Senators debate the proposed legislation
and can introduce any amendments. Unless a limit is agreed to in advance,
senators can speak for as long as they want. In order to delay or prevent the
passage of a bill, a group of senators may engage in a filibuster (to speak
continuously). Senators may speak on any subject even if it is not relevant to
the bill. In fact, some senators have read names out of a telephone book. A fil-
ibuster may be stopped through cloture, the vote of three-fifths of the Sen-
ate, or 60 senators. The current record for the longest filibuster by one senator
is held by Senator Strom Thurmond of South Carolina. In 1957, he spoke for
24 hours and 18 minutes in his effort to block the 1957 Civil Rights Act,
which eventually passed.
When recognized by the president of the Senate (the vice president or the
president pro tem), a senator can make a motion to vote on a bill. If at least one-
fifth of the senators present second the motion, a vote is ordered. Like the House,
a quorum must be present in the Senate before a formal vote can take place.
Conference Committee
The House and the Senate may pass different versions of the same bill. In order
to produce the exact same bill, a small group of Senate and House members
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232 UNIT V CONGRESS
meet in a conference committee to resolve differences. The final version of

the bill then goes to the House and Senate for approval. At this stage, no fur-
ther amendments may be introduced.
Once it passes both houses of Congress, the bill then goes to the president,
who must sign it into law or veto it. In case of a veto, if two-thirds of Congress
overrule the presidents veto, the bill becomes law.
REVIEW
1. Define: Committee of the Whole, quorum, filibuster, conference commit-
tee, and cloture.
2. Explain the differences between how the House and the Senate debate bills.
3. How do the House and the Senate resolve differences after passing the same
bill?
11.4 How Do Lawmakers Win Support for Their Bills?

Many important bills encounter a lot of opposition and face numerous
obstacles. Here is how one bill went through the legislative process and
became law. In 1977, Senator Pete Domenici, a Republican from New Mexico,
introduced a bill to require barges using the nations waterways to pay a toll.
The bill affected river barge companies directly and railroad companies indi-
rectly. Both types of companies had competed for shipping farmers crops to
market. The railroads were faster, but barge rates were cheaper.
Free Passage on the Nations Rivers

The railroads accused the barge companies of having an unfair advantage.
According to the railroad industry, the U.S. government saved barge owners
the trouble and expense of keeping river channels open. The government paid
the entire cost of dredging rivers, digging canals, and building dams. Barge
owners benefited directly from the governments costly service, but were not
charged a toll of any kind.
Opponents of the River Toll

Barge companies strongly opposed Senator Domenicis bill. These companies
had powerful friends in Congress, including Senator Russell Long, a Democrat
from Louisiana. The Louisiana barge companies that traveled up and down the
Mississippi River were important to the states economy. Not surprisingly, Sena-
tor Long sided with these companies when their interests were threatened.
Elected in 1948, Senator Long had greater seniority than Senator
Domenici, who was elected in 1972. Longs Democratic Party controlled the
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Senate at the time. Long was the chairman of the powerful Senate Finance
Committee. All bills concerning taxes had to pass through his committee.
Approval by the Environment and Public Works Committee

A skillful legislator, Senator Domenici managed to have his bill, S. 790,
referred to the Senate Environment and Public Works Committee, which he
belonged to, instead of the Finance Committee. The Environment and Public
Works Committee changed a few words in the bill and then sent it to the Sen-
ate floor for a vote.
Senator Russell Long of Louisiana
Senate Vote on S. 790

Barge companies hired lobbyists to defeat the bill. Senator Long promised
them that he would do everything in his power to defeat S. 790. Long con-
sulted with other senators, many of whom had no opinion on the waterways
toll. If they opposed the bill, however, Long pledged to support their pending
legislation.
Members of Congress often ask each other for political favors. They under-
stand that the favors will probably be returned some day. The lawmakers
practice of trading favors is called logrolling. (The word comes from the days
when pioneers would help one another in the heavy labor of rolling logs into
one place to clear the land and then help build fences and cabins.) In response
to Longs efforts, Senator Domenici also did some logrolling.
After concluding that the bill might pass, Senator Long was prepared to
conduct a filibuster against S. 790. However, the barge companies lobbyists
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234 UNIT V CONGRESS
advised him against a filibuster, believing that the bill would be rejected. The
lobbyists were incorrect in their estimate, and S. 790 passed by a 51 to 44 vote.
Substitute Bill From the House

Leaders in the House of Representatives refused to consider Domenicis bill
because they thought that such a bill, which would have generated substantial
revenue for the government, should have originated in the House. (The Consti-
tution states that all bills for raising revenue must always originate in the House.)
Speaker of the House Thomas Tip ONeill, a Democrat from Massachu-
setts, arranged for an entirely new waterways bill to be created. It was given
the number H.R. 8309.
Senator Domenici thought the House version of the bill was poor. It
proposed collecting only a small tax on the fuel oil used by river barges. H.R.
8309 passed the House and came to the Senate. Senator Long found the House
version of the bill acceptable and advised the barge companies to support it.
However, they refused.
Too Much Pork Barrel

One section of H.R. 8309 called for the building and repair of a dam near
Alton, Illinois. In political language, the dam was an example of a pork
barrel project, which is a costly government project that benefits only one
state or congressional district. Although wasteful, pork barrel projects help
incumbent politicians win re-election.
Illinois U.S. Senators Charles Percy, a Republican, and Adlai Stevenson III,
a Democrat, were delighted with the dam-building project included in H.R.
8309. Senators from other states wanted their fair share of pork barrel as
well. On the Senate floor, they added dozens of amendments to H.R. 8309.
President Jimmy Carter announced his intention of vetoing any bill that con-
tained too much pork.
The Bingo Rider

Despite the opposition of the barge lobbyists, Senator Long was determined to
get a waterways bill enacteda bill just like H. R. 8309 but without any pork
barrel projects. As a veteran lawmaker, the Louisiana senator was skilled in
finding ways to win support for his legislation. A minor tax bill was being
reviewed by his Finance Committee. The House had already passed it as H.R.
8533. It concerned taxes on church-sponsored bingo games. The original bill
did not make any references to dams and waterways. But Senator Long sug-
gested to his committee that the bingo bill be amended. One section of the
bill, he said, would cover fuel taxes to help pay for dam construction.
Senator Longs amendment was an example of a rider, an additional pro-
vision attached to a bill. The bingo/fuel tax bill came to the floor of the Senate,
and it passed by a wide margin. Senator Domenici also voted for it. He
thought his original bill, S. 790, was much better, but he also recognized that
Senator Longs bingo/fuel tax bill was better than nothing.
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In the House, the bingo bill had to be passed once more, this time with the
Senates rider attached. The House Rules Committee rushed it to a final vote, and
it passed. Despite his earlier veto threat, President Carter signed this bill into law.
REVIEW
1. Define: pork barrel, rider, and logrolling.
2. In your opinion, is it a good idea that riders can be added to bills? Explain.
3. Does logrolling always result in pork barrel projects? Explain.
CHAPTER 11 REVIEW
1. The most common type of bill that Congress considers is a (a) private bill
(b) public bill (c) joint bill (d) committee bill.
2. How many specific powers does Article I, Section 8, of the Constitution
give to Congress? (a) none (b) ten (c) 18 (d) unlimited number
3. The Constitutions elastic clause is also known as the (a) banking clause
(b) taxation clause (c) commerce clause (d) necessary-and-proper clause.
4. What is responsible for killing most bills introduced in Congress? (a) the
committee process (b) the presidents vetoes (c) public opinion (d) the
Supreme Court
5. What is one way a committee chairman or chairwoman can kill a bill?
(a) by sending it to another committee (b) by pigeonholing it (c) by ask-
ing the Supreme Court to declare it unconstitutional (d) by asking the
president to veto it
6. What type of committee investigated the Watergate scandal? (a) standing
committee (b) subcommittee (c) joint committee (d) select committee
7. The process of senators speaking continuously in order to delay or defeat
a bill is called (a) filibuster (b) freedom of speech (c) cloture (d) seniority
system.
8. The device that allows the House of Representatives to conduct its day-to-
day business is (a) Committee of the Majority (b) Committee of the
House (c) Committee of the Whole (d) Committee of the Constitution.
9. The practice of representatives and senators securing government
projects in their districts or states in order to impress voters is called
(a) logrolling (b) pork barrel (c) pigeonholing (d) filibuster.
10. In Congress, a rider is (a) a motion to bring a bill for a full vote (b) a
motion to refer a bill back to a committee for further study (c) an addi-
tional provision attached to a bill (d) a constitutional amendment intro-
duced during the committee process.
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236 UNIT V CONGRESS
ESSAY
Write an essay describing the process of how a bill becomes law.
Historical Context: The leaders of the House of Representatives and the Sen-
ate play major roles in passing and defeating legislation.
DOCUMENT 1
[The Johnson Treatments] tone could be supplication, accusation,

cajolery, exuberance, scorn, tears, complaint, the hint of threat. It was
all of these together. It ran the gamut of human emotions. Its velocity
was breathtaking, and it was all in one direction. Interjections from the
target were rare. Johnson anticipated them before they could be spo-
ken. He moved in close, his face a scant millimeter from his target, his
eyes widening and narrowing, his eyebrows rising and falling. From his
pockets poured clippings, memos, statistics. Mimicry, humor, and
genius of analogy made The Treatment an almost hypnotic experience
and rendered the target stunned and helpless.
Rowland Evans and Robert Novak, Lyndon B. Johnson:
The Exercise of Power (1966), describing the leadership style of
the Democratic Senate majority leader
1. How did Lyndon Johnson, as Senate majority leader, win support for his
policies?
DOCUMENT 2
I am not a compromiser. Id rather be known as a persuader. I try to

compromise by getting people to think my way. Of course, there are
times when you havent got the votes, then you have to make
concessions.
Sam Rayburn, Democrat of Texas,
Speaker of the House of Representatives, 1943
2. How would you describe Speaker Rayburns leadership style?
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DOCUMENT 3
With the greatest of harmony, and out of a recognition, I think, that the
Senate is a two-way street, and if the two leaders do not get along, then
very easily, through [delaying] motions and otherwise, it could be ren-
dered into a shambles and you wouldnt get anything done. I could take
a half a dozen or a dozen people on our side, if we set ourselves to it,
and conduct a filibuster and just withhold action on legislation week
after week, but every Senator is a patriot, he is devoted to the well-being
of his country, and in consequence the Senate program has to move
along. You cant afford to have it stalemated at some place. And so the
leaders have got to understand each other, and [Senate Majority Leader]
Lyndon Johnson and I always understood each other, even though we
did disagree sharply on many things, but in the best of grace.
Everett Dirksen, Republican from Illinois,
Senate minority leader, interview on
Meet the Press, March 5, 1961
3. According to Senator Dirksen, what type of relationship should the minor-
ity leader party have with the majority leader in the Senate?

and a conclusion on how the leaders of the House and Senate seek to influ-
ence their members and impact legislation. Make references to the documents
as well as your knowledge of U.S. government in your answer.
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238 UNIT V CONGRESS

Analyzing and Developing Flowcharts
A flowchart provides information in a succinct, visual way that makes the infor-
mation easy to understand. It provides a sequential overview. Making a flowchart
as you study can help you organize and better understand the information. The
flowchart below shows the steps in a process.
A. Study the flowchart and then answer the questions that follow.
Federal Confirmation for Presidential Appointees
Nomination by President
Review of Appointee by Members

of Executive Branch
Financial Disclosure by Appointee
Investigation by Federal Bureau

of Investigation (FBI)
Confirmation Hearings by Senate to

Interview and Discuss Appointee
Vote by Senate
Confirmation of Appointment Subsequent Denial of Confirmation Due to Lack

to Majority Vote of Senate of Majority Vote of Senate
1. What process does the flowchart show? How can you tell?
2. What is the first step in the process as shown in the flowchart?
3. What is required to confirm the appointment?
4. Why are there two boxes at the bottom of the flowchart?
5. Why is a flowchart an effective way to present this information?
6. Suppose you were studying for an exam covering the confirmation
of federal appointees. How could creating a flowchart help you
understand the information in the text and prepare for the exam?
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B. Follow the instructions to create a flowchart.
7. Use information from the chapter to create a flowchart showing the

steps in the process of a bill becoming law. Create two columns for
your flowchart, one for House action and one for Senate action. Give
your flowchart a title.
8. Write three questionsand responsesbased on your flowchart.
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UNIT VI
THE MAKING OF
DOMESTIC AND
FOREIGN POLICY
At the Annapolis Conference in 2007, President George W. Bush met with Israeli
Prime Minister Olmert, Palestinian President Abbas, and other leaders to develop
a two-state solution for the Israeli-Palestinian conflict.
I
n the United States, the federal government makes public policy
through the interaction of the president, Congress, and the
Supreme Court. The chapters in this unit discuss domestic and
foreign policy.
Chapter 12 examines the Cabinet departments, their subsidiary
agencies, and independent agencies in the executive branch that make
domestic policy. The president appoints the Cabinet secretaries and
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other top officials, while many staffers are career civil service employ-
ees. Congress appropriates funding for the departments and agencies.
Chapter 13 discusses how the federal budget is passed every year.
Often, the president and Congress have sharply contrasting ideas
about budgetary priorities and must compromise in order to finalize a
budget for the nation. You will also learn about taxation and how the
government borrows money to pay its bills, resulting in budget deficits
and a constantly growing national debt.
Chapter 14 covers the formation of U.S. foreign policy. The presi-
dent is largely responsible for setting the nations foreign policy. The
Department of State and the Department of Defense help the president
carry out the diplomatic and military ends of foreign policy. You will
learn how U.S. foreign policy evolved from isolation and neutrality in
the late 18th and 19th centuries to active intervention and inter-
national leadership in the 20th century.
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Chapter 12

Domestic Policy:
Cabinet
Departments
and Independent
Agencies
KEY TERMS
Cabinet attorney independent
executive general regulatory
department independent agency
secretary agency
In terms of personnel and the money it spends, the executive branch is the
largest of the three government branches. The president is the head of a
branch that includes 15 Cabinet departments and their subsidiary agencies.
This chapter discusses how the Cabinet evolved from four departments into
15 departments from 1789 to the present day. The chapter explains what the
departments and independent agencies devoted to domestic policy are
assigned to do by the president who leads them and Congress who regulates
them.
243
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244 UNIT VI THE MAKING OF DOMESTIC AND FOREIGN POLICY
12.1 What Are the Oldest Departments in

the Executive Branch?
In 1789, when George Washington became president, the United States was a
nation of farmers and merchants, with a population of fewer than 4 million.
The nations first capital, New York City, had a population of only 33,000.
Origins of the Cabinet

In 1789, one of the first acts of Congress was to create three executive
departments to assist the president in running the country. Each depart-
ment was headed by a secretary. Congress also created the office of attor-
ney general, to help the president enforce the nations laws. But the attorney
general did not receive a department to manage until the late 1800s.
At first, George Washington met separately with the three department
heads and the attorney general. In 1791, he decided to ask the advice of all
four of them meeting in a group. The group was then referred to as the Cabi-
net. Thereafter, Cabinet meetings became a standard part of U.S. government.
Alexander Hamilton, the first secretary of the

treasury
The Cabinet has grown, just as the nation has grown. Today, the president
meets with 15 department heads, instead of the original three and the attor-
ney general. Two of the 15 are mainly concerned with U.S. foreign policy. The
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Chapter 12 Domestic Policy 245
departments led by the secretary of state and secretary of defense will be

described in Chapter 14. This chapter examines the Cabinet officers in charge
of domestic policy. In this section, we will see how the early departments of
the federal government were created, one by one, between 1789 and 1933.
Secretary of the Treasury

In 1789, one of President Washingtons major concerns was how to pay the
bills of the federal government. Washington recruited Alexander Hamilton,
who had extensive financial expertise, to serve as his secretary of the treasury.
Managing money successfully involves keeping track of two things. On
the one hand, there are expenses to be recorded and bills to be paid. On the
other hand, there are revenues, or income, to be collected. The secretary of the
treasury must try to make sure that government expenses are about equal to
revenues. How to achieve this goal was a major problem for Alexander Hamil-
ton in 1789. (It is still a problem today.)
Hamiltons second problem concerned the coins and paper notes that
Americans used as money. In 1789, most of the gold and silver coins Americans
carried had been minted in foreign countries. Spanish coins (escudos) were
mixed with French coins (cus) and British coins (shillings). It was hard to
know what an escudo was worth compared to a shilling. To end the confu-
sion, Congress in 1792 created the American dollar as the standard currency
of U.S. money. In the same year, a mint was established in Philadelphia for
making gold coins and stamping them with their value in U.S. dollars.
The Treasury Department Today

Today, the chief duties of the Department of the Treasury are much the same
as in Hamiltons time. The treasury maintains both the United States Mint,
which manufactures our coins, and the Bureau of Engraving and Printing,
which prints the paper money.
The Department of the Treasury keeps track of a staggering amount of gov-
ernment revenues and expenses. Most of the revenues are now collected by
the departments Internal Revenue Service (IRS).
At major U.S. airports and seaports, the Treasury Department posts other
tax-collecting agents. They work for the United States Customs Service and
collect taxes on goods imported from foreign countries. These taxes may also
be called tariffs, duties, or customs.
As for expenses, more than half of the money spent by George Washing-
tons government was to pay off debts. Today, the government is still in debt.
The department responsible for managing the debt and paying interest on it is
the Department of the Treasury.
In making domestic policy, the secretary of the treasury can play an
extremely important role. Usually, the secretary is someone who knows a
great deal about business and the economy. Therefore, at Cabinet meetings,
the president may rely upon the secretarys opinions in deciding whether or
not a proposed policy will be good for the economy.
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Attorney General
Besides needing a financial expert to collect taxes and pay the bills, President
Washington needed a legal expert to help him enforce the laws. Therefore, in
September 1789, Congress created the position of attorney general. Washing-
ton named Edmund Randolph as the nations first attorney general.
Justice Department Today

The Justice Department and its head, the attorney general, have three main
responsibilities:
Giving legal advice to the president. A staff of lawyers in the depart-
ment advise the president about the legal and constitutional meaning of dif-
ferent bills.
Defending the government in court. Like other organizations, the
government can be sued for causing accidental harm. Lawyers who defend
the government in such suits work for the Justice Department.
Investigating and punishing violators of federal laws. It is a federal
crime to sell narcotics across state lines, to kidnap someone, to evade federal
tax laws, and to use the mails to swindle consumers. Officials who investigate
and arrest persons suspected of breaking federal laws work for the Federal
Bureau of Investigation (FBI).
Created in 1973, the Drug Enforcement Administration (DEA) works
closely with the FBI. DEA investigators work not only in the United States but
in many foreign countries as well. They try to stop narcotics smuggling into
the United States and arrest those in the United States who are dealing in
illicit drugs. The DEA also trains local and state police forces to assist in the
nations war against drugs.
Special agencies within the Justice Department enforce other laws. The
Antitrust Division investigates corporations that might be undermining com-
petition in the free market by attempting to create monopolies. The U.S. Com-
mission on Civil Rights enforces federal laws designed to protect the rights of
minorities. The Tax Division helps the IRS identify and prosecute tax cheaters.
Department of the Interior

The Cabinet post of secretary of the interior was created in 1849. In that year,
most of the lands west of the Mississippi River were not yet states. They were
divided into territories and governed by laws of Congress. Native Americans
lived on the Great Plains as independent peoples.
However, the situation changed rapidly as the West was settled by farmers,
miners, and ranchers. Defeated by U.S. troops, the Native Americans were
forced to live on mostly barren tracts of land called reservations, which no one
else wanted. One state after another was formed out of the Western lands from
the 1860s on. But much of the lands in the new states, including the reserva-
tions, were still under federal control.
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Interior Department Today

The first major job of the Department of the Interior was to manage the vast
Western territories. Its second job was to send agents onto reservations to
work with the different Native American peoples. Today, two agencies in the
department still perform these functions: the Bureau of Land Management
and the Bureau of Indian Affairs.
Bureau of Land Management

Over 300 million acres of public landssome in the East, but most in the
Westare managed by the U.S. government. The agency that controls their
use is the Bureau of Land Management. On the public lands, there is a huge
amount of timber that could either be cut down or preserved. There are also
oil and gas resources to be explored and minerals to be tapped. Should some of
the public lands be leased to private mining, lumber, and oil companies?
Within limits set by Congress, the bureau has the authority to decide.
Bureau of Indian Affairs

Adjusting to life on the reservations remains difficult for the Native Ameri-
cans. To help them, the Bureau of Indian Affairs today operates schools and
provides extensive social services. Job-training programs are available to
young people who wish to leave the reservations. Nevertheless, many Native
Americans still have grievances against the U.S. government. They have sued,
often successfully, to reclaim title of ownership to lands that they claim past
U.S. governments took from them illegally.
Stress on Conservation
In the days of the pioneers and the Wild West, the government encouraged
settlers to make free use of land and water resources. After 1900, however, some
people began to realize that overdevelopment could harm the nation: wildlife
could die, rivers might become heavily polluted, and entire forests could disap-
pear. Conservation (the careful use of land, water, and wildlife resources) became
the major concern of the secretary of the interior.
The Interior Department now protects endangered species such as the
spotted owl and the bald eagle (the symbol of the United States) and other
form of American wildlife. The U.S. Department of Fish and Wildlife Service
oversees wildlife refuges, waterfowl protection areas, and fish hatcheries.
The National Park Service, an agency of the Interior Department, adminis-
ters national parks that were created by the federal government. These include
Yellowstone National Park in Wyoming, the Great Smoky Mountains National
Park in North Carolina, and the Cape Cod National Seashore in Massachu-
setts. The Park Service maintains hundreds of scenic parkways, river ways,
seashores, lakeshores, and historic buildings. In Washington, D.C., the
National Park Service administers many of the nations memorials.
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A National Park Service worker steam cleans the Lincoln Memorial. The
monument, in Washington, D.C., is cleaned annually to combat the effects
of air pollution, birds, and grime.
Department of Agriculture
In the 1860s, people were just beginning to understand how important sci-
ence could be to the progress of the nation. At that time, farming was still the
occupation of the great majority of Americans. Using agricultural science and
technology to increase farm production was the main idea behind the cre-
ation of the Department of Agriculture in 1862. Its secretary joined the presi-
dents Cabinet in 1889.
The first goal of the department was to teach farmers scientific ways of
working the land. Farmers were taught advanced methods for growing crops
and saving their livestock from various diseases. With the departments help,
colleges were founded for the purpose of studying agriculture as a science.
Within a 50-year period (18621912), American farmers used the new science
and technology to triple their output of wheat and corn and double their out-
put of cotton and tobacco.
The most prosperous years for farmers were those just before the outbreak
of World War I in 1914. After the war, in the 1920s, farmers still produced huge
crops. But they ran into economic problems as farm income often fell below
farm costs. In other words, farming became, for many, a losing business.
Agriculture Department Today

Since the 1930s, the Department of Agriculture has tried to give farmers a help-
ing hand. It runs programs that pay farmers different subsidies. One department
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program helps farmers find markets for their crops. Another program pays them
to set aside part of their land for conservation and not plant crops there.
Food Stamps
The Department of Agricultures Food Stamp Program helps individuals or
families with very low incomes. Food stamps are presented at grocery or super-
market checkout counters as if they were money. Food stamps have kept mil-
lions of persons from going hungry or living on unhealthy diets. More than
26 million persons received food stamps in 2008. (When the economy wors-
ens, the number of persons needing food stamps increases.) The federal gov-
ernment pays all of the costs of the food stamp program, but food stamps are
distributed through state and local agencies.
Department of Commerce
Americas businesses were the next group to receive special government serv-
ices and support. In 1903, Congress created the Department of Commerce and
Labor. The secretary who ran the department gave most of his time to helping
business and much less time to helping labor. In 1913, the original department
was split into the Department of Commerce and the Department of Labor.
One of the Commerce Departments chief functions is to collect informa-
tion on the U.S. economy. A fact-gathering agency in the department is the
U.S. Bureau of the Census. Every ten years, the bureau conducts a census, or
count, of the U.S. population. Based on the census, we know the current pop-
ulation of every town, city, county, and state in the nation. We also know
whether the population, on average, is becoming younger or older, whether
the birthrate is rising or falling, and whether women outnumber men, or vice
versa. The census count, as you learned earlier, determines the number of seats
allotted to each state in the House of Representatives.
Department of Labor
The Department of Labor serves the interests of workers. The department
describes its purposes in these terms: to foster the welfare of the wage earners
of the United States, to improve their working conditions, and to advance
their opportunities for profitable employment.
The secretary of labor advises the president on employment-related matters
such as the minimum wage, working conditions, and unemployment insurance.
Another bureau in the department, the Bureau of Labor Statistics, pub-
lishes an annual publication about changes in the labor force. This Occupa-
tional Outlook Handbook gives information about salaries and qualifications for
various kinds of jobs. It can be read on the Internet.
Suppose that you find conditions at your place of business to be unsani-
tary or unsafe. You try to persuade your employer to correct the problem, but
nothing is done. In this situation, a government bureau that might be able to
help is the Occupational Safety and Health Administration (OSHA).
Its main function is to see that employers provide safe and healthy working
conditions for their workers.
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Cabinet Members Before World War II

Until the 1930s, members of the presidents Cabinet had always been men. In
1933, the first woman to join the Cabinet table was Frances Perkins, a social
worker from New York. For 12 years, Perkins served as the secretary of labor and
one of President Franklin Roosevelts trusted advisers on domestic policy.
REVIEW
1. Define: attorney general, executive department, Cabinet, and secretary.
2. What were two problems faced by the first secretary of the treasury,
Alexander Hamilton? Do those problems still exist today? Explain your
answer.
3. What does the creation of new Cabinet positions and federal agencies say
about the expanding responsibilities of U.S. presidents over the past 200
years?
12.2 Why Were Departments Added to the Cabinet?

In the 1930s, the federal government was large, and it continued to grow.
President Franklin Roosevelt asked Congress for dozens of major new laws to
help different groups struggle through the Great Depression. Many new agen-
cies were created to run the new programs.
In December 1941, the United States entered World War II. To manage the
war effort at home and abroad, the size of the government increased. When
the war ended in 1945, the government eliminated some of its war bureaus.
Most of Roosevelts New Deal programs continued to operate, and other pro-
grams were eventually created.
Statistics show the growth of government. The growth of the federal gov-
ernment can be measured by the amount of money it spent in different years:
$3.3 billion in 1930, $9.4 billion in 1940, and $92 billion in 1945.
Reason for Growth

The Great Depression and World War II both resulted in a substantial increase
in the size of the federal government. Since the Constitution states that two
aims of government are to provide for the common defense and to pro-
mote the general welfare, many Americans believed that the increase, which
was needed to address changing times, had a legal justification.
After the Allied victory in World War II, the United States faced a new
threat from the Soviet Union, which was imposing Communist governments
on the nations of Eastern Europe and threatening to expand its influence
around the world. To counter the Soviet threat and keep the United States pre-
pared in case of another war, President Harry S. Truman and the leaders of Con-
gress decided to maintain a powerful and sizable military during peacetime.
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In 1947, President Truman signed the National Security Act into law. This
act expanded the nations armed forces and unified them under the Depart-
ment of Defense, which replaced the Department of War. The Department
of the Navy lost its Cabinet status and became a subsidiary agency alongside
the Army and the newly created Air Force in the Defense Department.
In response to the terrorist attacks of September 11, 2001, President George
W. Bush signed legislation into law that created a new Cabinet post, the
Department of Homeland Security, in 2003. This department seeks to deter ter-
rorist attacks in the United States. Existing agencies such as the Federal Emer-
gency Management Agency (FEMA), United States Coast Guard, the
United States Citizenship and Immigration Services, and the United States
Secret Service were transferred to the Department of Homeland Security. In
2005, FEMA received extensive criticism for its slow and incompetent response
to Hurricane Katrina, which devastated New Orleans and areas in nearby states.
HURRICANE KATRINA: When Government Fails

In late August 2005, Hurricane Katrina swept through the southeast part of
the United States. The hurricane, which reached category-5 strength when it
made landfall, caused extensive flooding in New Orleans, Louisiana, and
severe damage to nearby areas in Florida, Alabama, and Mississippi. Hurricane
Katrina took more than 1,800 lives and caused more than $80 billion in
damage, making it the costliest storm in U.S. history and one of the deadliest.
After the hurricane dissipated, millions of television viewers around the
country were shocked to see images of desperate survivors in flooded areas
still waiting to be rescued from the roofs of their homes. Many people were
asking, Where is the government?
Many people blamed the extensive loss of life on the slow and inadequate
response of the federal government and singled out the city and state
governments for criticism as well. In response to the widespread public outcry,
the House of Representatives established a special bipartisan committee to
investigate the governments failures in response to Hurricane Katrina.
On February 15, 2006, the committee released its report. Among its
findings are:
New Orleans levees, which were designed and built by the U.S. Army
Corps of Engineers, were not built to protect the city from severe
hurricanes and failed to hold back the water.
FEMA management lacked situational awareness of existing requirements
and of resources in the supply chain. An overwhelmed logistics system
made it challenging to get supplies, equipment, and personnel where and
when needed.
The Homeland Security Operations Center failed to provide valuable
situational information to the White House and key operational officials
during the disaster.
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HURRICANE KATRINA: When Government Fails (Continued)
A New Orleans family surveys the neighborhood from

their porch after Hurricane Katrina.
The White House failed to realize the damage assessments and discounted
information that ultimately proved accurate.
Earlier presidential involvement [by President Bush] might have resulted in
a more effective response.
Despite adequate warning 56 hours before [Hurricane Katrina made]
landfall, Governor [Kathleen] Blanco [of Louisiana] and Mayor [Ray] Nagin
[of New Orleans] delayed ordering a mandatory evacuation in New Orleans
until 19 hours before landfall.
The incomplete levee breach evacuation led to deaths, thousands of
dangerous rescues, and horrible conditions for those who remained.
Federal, state, and local officials failure to anticipate the levee breach
conditions delayed levee breach evacuation and support.
Embarrassed by their collective failures, federal, state, and local officials
then sought to redeem themselves by concentrating on the rebuilding of New
Orleans and hoping that they will be better prepared in the future.
Once an agency of the Department of the Treasury, the Secret Service pro-
tects the president and other important government officials. At personal risk,
Secret Service agents have saved Presidents Gerald Ford (twice in 1975) and
Ronald Reagan (in 1981) from being killed by assassins. The Secret Service also
has the responsibility for investigating criminals who produce and distribute
counterfeit dollars and treasury bonds.
New Departments and Their Secretaries

Several new departments were gradually added to the executive branch to pro-
mote the constitutional goals of the national defense and the general welfare.
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A secretary who runs each department serves in the presidents Cabinet. The
following departments were added to the Cabinet after World War II: Defense,
1947; Housing and Urban Development (HUD), 1965; Transportation, 1967;
Energy, 1977; Education, 1979; Health and Human Services, 1979; Veterans
Affairs, 1989; and Homeland Security, 2003.
Helping People Who Endanger Their Own Health

Millions of Americans endanger their health by smoking, taking illegal drugs,
and having poor eating habits. The Department of Health and Human Ser-
vices Public Health Service provides free information about quitting smoking,
treating substance abuse, and adopting healthy eating habits.
Seeking Causes and Cures for Diseases

Scientists employed by the Department of Health and Human Services (at the
National Institutes of Health and the Centers for Disease Control and Preven-
tion) work to discover the causes of and cures for cancer, heart disease, AIDS,
and other diseases and to pass their findings along to other scientists and to
the general public. Every year, the federal government provides financial assis-
tance to hospitals and medical schools for research and to maintain and raise
their levels of patient care.
Helping to Protect Consumers From Harmful Foods and Drugs

The Food and Drug Administration (FDA) tries to ensure that the prod-
ucts sold to consumers are safe. Every year, investigators from the FDA visit
thousands of factories and processing plants throughout the country. The FDA
reviews new drugs for safety before allowing them to reach the market. The
approval process can take several years. (On several occasions, products and
The Secret Service scurries to protect President Gerald Ford after a gunshot is
fired at him during a trip to San Francisco on September 22, 1975.
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drugs that the FDA previously approved were withdrawn from the market
after problems surfaced with them.)
Social Security Administration

In 2008, the Social Security Administration sent over $610 billion in benefits
to over 50 million people. More than half of them were retired workers.
Others who received benefits were disabled workers, and widowed spouses
with children under 18.
Retired citizens receiving Social Security payments are getting back
income that was deducted from their paychecks in the years that they worked.
For them, Social Security is an insurance system for saving money in their
earning years. When they worked, a certain percentage of their income from
each paycheck had to be put into a special Social Security retirement fund
backed by the government.
867-53-0900
HAS BEEN ESTABLISHED FOR
Patricia Pearce
SIGNATURE
FOR SOCIAL SECURITY AND TAX PURPOSESNOT FOR IDENTIFICATION
Doctors bills are covered under Medicare if senior citizens voluntarily

enroll in the program. Those who decide to join the program must pay a
monthly fee. A visit to the doctor is then much less costly, since the Medicare
plan pays for almost all of it. Hospital stays and home care are covered after
patients pay a certain deductible (minimum amount).
In 2003, Congress passed a new law setting up a government program to
pay a percentage of the cost of prescription drugs for retired persons. Some
retired persons over 65 began receiving coverage in 2004. The rest became eli-
gible in 2006.
The Social Security system is currently so expensive that the government
worries about finding enough money to keep it going in the 21st century. In
the coming decades, the number of people paying into the Social Security
fund will decrease, while the number receiving Social Security will increase.
Helping Workers Who Are Unemployed or Injured

Without Social Security, most retired persons would have little income to
live on. The same is true of a younger person who has the misfortune of either
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losing a job or becoming disabled by an accident on the job. To make up for

these workers loss of income, the Social Security Administration has two
programs.
An unemployment insurance program helps unemployed workers by issu-
ing checks to them for a limited period of time.
A workers compensation program issues checks to those who have been
injured on the job. If a married person is killed in an accident at work, the
spouse is entitled to receive survivor benefits.
Both the federal government and the states finance these programs, but
only the states operate them.
Medicaid
A program known as Medicaid is frequently confused with Medicare. But
Medicaid is not an insurance program. It is for low-income Americans. A per-
son who is too poor to pay the expenses of a doctor or a hospital may apply for
Medicaid. If the person qualifies, the federal government and the state in
which the person lives will jointly pay part or all of the persons medical-care
costs. More than 49 million people received Medicaid benefits in 2007.
Department of Veterans Affairs

Until the late 1980s, the Veterans Administration employed a workforce of
nearly 250,000 people to serve the needs of over 30 million veterans who
had served in the armed forces. Partly because of the agencys great size, Con-
gress decided to elevate it to Cabinet-level status as the Department of Vet-
erans Affairs (VA). In 1989, President George H. W. Bush appointed Edward
J. Derwinski the departments first secretary.
For the benefit of veterans, the department operates hundreds of facilities,
including clinics and medical centers. It also works with private hospitals,
doctors, and dentists to see that veterans receive high-quality medical care at
low cost.
Department of Housing and Urban Development

In the 1940s and 1950s, millions of housing units in cities and suburbs were
built with bank loans insured by the government. The federal government
continues to insure a banks mortgage to some buyers of new homes. In 1965,
housing functions were taken over by a Cabinet department, the Depart-
ment of Housing and Urban Development (HUD).
Two of HUDs major priorities are housing and rebuilding cities. HUDs
Community Renewal and New Markets Initiative, which was enacted in 2000,
attempts to rebuild communities that have been devastated by poverty and
crime. In many cities, there are neighborhoods where abandoned buildings
have broken windows, peeling paint, and gutted interiors. In rural areas, a
significant number of towns and villages are sparsely populated. HUDs initia-
tive seeks to revitalize these communities by offering generous tax incentives
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designed to attract businesses. In exchange for setting up operations in these

areas, businesses pay less tax than they would normally pay for a certain num-
ber of years. The initiatives goals are to assist residents and business owners in
these areas to open new businesses, repair and build affordable housing, and
create new jobs.
Department of Transportation
In 1966, the Department of Transportation (DOT) was added to the Cabinet.
The DOTs mission statement reads, The national objectives of general wel-
fare, economic growth and stability, and the security of the United States
require the development of transportation policies and programs that con-
tribute to providing fast, safe, efficient, and convenient transportation at the
lowest cost consistent with those and other national objectives, including
the efficient use and conservation of the resources of the United States.
Federal Aviation Administration (FAA)

The FAA regulates the use of navigable U.S. airspace. All aircraft must meet
FAA standards for safety, and pilots must pass demanding tests. The FAA over-
sees a national air-traffic-control system for civilian and military aircraft. On
the morning of September 11, 2001, in response to the terrorist attacks, the
FAA grounded thousands of flights in the United States. Since 2001, FAA sur-
veillance of air traffic, passengers, and baggage has increased enormously.
Federal Highway Administration (FHA)

Without the money distributed by the FHA, travel by car would be slower and
more frustrating. Thousands of miles of highways have been built, repaired, and
improved with federal tax dollars. State governments contribute to the road
building and road improvement, but most of the money comes from DOT. Run-
ning highway safety programs is another of the agencys important functions.
Department of Energy
The 1973 oil embargo by the Organization of Petroleum Exporting Countries
(OPEC) created economic difficulties in the United States. The U.S. economy
experienced a recession, and the price of gasoline increased substantially.
Gasoline shortages forced the government to enact a rationing program and
impose price controls. Long lines at gasoline stations were common. Many
Americans realized that their heavy dependence on oil from the Middle East, a
politically troubled and strife-torn region, made them vulnerable.
In 1977, President Jimmy Carter signed legislation that created a new Cab-
inet post, the Department of Energy (DOE). The department promotes energy
conservation and promotes research into new sources of energy.
Nuclear Energy
The splitting of a single atom releases vast amounts of energy. But can such
energy be made available without major risks? DOE is looking for ways to
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increase the safety of the more than 100 nuclear power plants that currently
operate in the United States.
Department of Education
Millions of students benefit from the Department of Educations work. In our
system, state and local government have traditionally had complete respon-
sibility for hiring public school teachers and principals and deciding what
courses should be taught. The federal government has aided local schools by
providing funds for certain purposes.
Congress has authorized money for certain types of school programs.
Some that have received federal aid are for the education of handicapped chil-
dren, non-English-speaking children, and others who need special help with
the English language.
In 2001, at the initiative of President George W. Bush, Congress passed
legislation aimed at improving the quality of public education in the United
States. The No Child Left Behind Act set higher standards for public educa-
tion. It established national test requirements and held schools responsible for
students achievement. This law greatly increased the federal governments
involvement in education.
The Department of Education allocates funding for programs that seek to improve the
quality of public schools.
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REVIEW
1. Define or identify: FDA, VA, HUD, DOT, and FAA.
2. What two major events in the 20th century led to the expansion of govern-
ment?
3. Why do you think President George W. Bush created a separate Depart-
ment of Homeland Security in 2003 when there was already a Department
of Defense?
12.3 Independent Agencies

Independent agencies are government agencies that do not belong to any
Cabinet department. Congress authorizes their creation and allocates funding
so they can operate. Although they are not under the jurisdiction of any Cabi-
net department, they still belong to the executive branch. The president
appoints their directors.
U.S. Postal Service

Over 800,000 employees deliver over 200 billion pieces of mail every year to
homes, businesses, and post office boxes in the United States.
In the past, the Post Office was part of the Cabinet and represented by its
chief officer, the postmaster general. Postage stamps were sold cheaply, at a
cost of only a few cents for the average letter. The Post Office was expected to
lose money every year, and it did.
In 1970, Congress decided that the Post Office should sell its services at rates
high enough to break even. The Post Office was therefore organized as a public
corporation and changed its name to the U.S. Postal Service. As a corporation, it
was supposed to operate in a businesslike manner and collect enough revenue
to cover its costs. No longer could it pay for its operations using tax dollars.
The cost of a first-class postage stamp rose from 12 cents in 1970 to 44
cents in 2009. In recent decades, the Post Office has faced frequent criticism
for inefficiency and taking too long to deliver mail. Private companies such as
Fedex and UPS directly compete with the Post Office.
Tennessee Valley Authority

The Tennessee Valley Authority (TVA), a federal corporation, provides services
for only one region of the country. It is a southern region of farms and forests
through which the Tennessee River flows. In the 1920s, before the TVA was
created, people in the Tennessee River Valley had a hard time making a living.
The river often overflowed, destroying homes and crops. No private company
could take the risk of supplying electric power to the region, since people were
too poor to pay the electric bills.
Congress went to the rescue of the depressed region in 1933 by creating
the TVA. Its purpose was to control the river for the benefit of the farmers and
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A postal worker delivers mail.
other people living near its banks. The TVA built a series of dams along the
rivers many branches, stopping it from flooding. Now boats for commerce
and for pleasure could travel safely over the Tennesses entire length. The
TVAs dams and power plants brought electricity into peoples homes. Soon
the region sprang to life.
Today, the TVA is a government-owned corporation. It sells electric power
to the people of seven states. The TVAs managers try to run the corporation as
a profit-making business. The TVA pays state and local taxes.
Environmental Protection Agency

In 1970, President Richard Nixon established the Environmental Protection
Agency (EPA) through an executive order to combat pollution. Today, the EPA
ensures the safety of drinking water, sets emission standards for vehicles, regu-
lates the disposal of toxic waste, and fines companies for illegally dumping
toxic waste and polluting the environment.
Federal Reserve System

The Federal Reserve (or Fed for short) is a system for regulating the nations
banks and the amount of money that banks must keep in reserve.
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Federal Reserve District Map
9
Minneapolis Cleveland
1
2 Boston
Chicago
12 7 3 New York
Kansas City 4
Philadelphia
San Francisco 10 St. Louis Board of
5 Governors
8
11 Richmond
Dallas Atlanta
6
Puerto Rico
is served by the
Alaska and Hawaii New York District
are part of the
San Francisco District
The Federal Reserve is divided into 12 regional districts in the country

with a Federal Reserve bank located in a major city of each district. These
banks get their money or currency from the Treasury Department and then
issue it to commercial banks in their district.
A board of governors manages the Federal Reserve System. The board
influences how much money U.S. banks are likely to lend to businesses by
either raising or lowering its interest rates. Its decisions have a powerful effect
on the nations economy.
National Transportation Safety Board

The National Transportation Safety Board (NTSB) was established in 1967. The
NTSB investigates accidents involving civilian aircraft, ships, and trains. For
example, in 1996, TWA Flight 800 crashed in the Atlantic Ocean off the coast
of Long Island in New York, killing all 230 people on board. The NTSB
reassembled the aircraft from the wreckage to determine the cause. After four
years of investigations, the NTSB concluded a spark in the airliners fuel tank
caused it to explode.
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Independent Regulatory Agencies

The Federal Reserve is an example of a special kind of government agency.
Neither the president nor a Cabinet head directs its work. Congress checks it
occasionally but rarely interferes. The Supreme Court can overrule certain
decisions of an independent agency, but it usually does not.
Agencies of this special kind are called independent regulatory agen-
cies. They are independent because no outside authority sets policy for them.
They are free to make policies and judgments as they see fit, but they are
always under the watchful eye of Congress. They are regulatory because
their chief function is to regulate, or make rules for, the operation of different
kinds of businesses. For example, the Federal Reserve Board (the Fed) regulates
the banking business. The Federal Communications Commission (FCC) regu-
lates the broadcasting privileges of radio and television stations. The Securities
and Exchange Commission (SEC) regulates the buying and selling of stocks
and bonds.
In recent years, there has been criticism of some regulatory agencies for
failing to do their jobs properly or for acting against the public interest. For
example, the Federal Reserve Board was criticized for encouraging President
George W. Bush to make steep cuts in taxes during a time of federal budget sur-
pluses. The result was large federal budget deficits in 2003 and 2004, because
government tax revenues had declined during the recession in 20002002.
Financial Crisis and the Governments Reply

In 2008, a number of the nations leading financial institutions ran low on
cash. After years of writing profitable subprime mortgages (home loans made
What does the cartoonist believe is former Federal Reserve Chairman Alan Greenspans
solution for the ailing American economy?
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to borrowers with poor credit ratings), housing prices slumped and homeown-
ers fell behind on their payments. When banks foreclosed on these homes,
they found themselves saddled with too many properties that nobody wanted
to buy.
In March 2008, Secretary of the Treasury Henry M. Paulson Jr. announced
that the government would guarantee loans made by the investment bank
Bear Stearns, one of the nations largest underwriters of mortgage bonds. This
move did little to defuse the growing crisis. The Federal Deposit Insurance
Corporation (FDIC) had to step in to guarantee deposits in several failing
banks. Prominent investment bank Lehman Brothers suffered huge losses in
the mortgage market and slipped into bankruptcy. Hoping to stem the tide,
the Treasury Department spent billions to rescue the nations largest mortgage
buyers, Fannie Mae and Freddie Mac, and insurance titan American Inter-
national Group (AIG).
In September, Congress loosened its purse strings further. After adding
a number of special-interest incentives, the House and Senate approved a
450-page, $700 billion bailout bill known as the Troubled Asset Relief
Program (TARP). The law directed Secretary Paulson to use the funds to
encourage financial institutions to lend money more freely. After releasing
$350 billion to several different banks, however, the treasury was criticized for
failing to require the banks to account for how they were spending the pub-
lics money.
At the same time, the auto industry began facing its own financial crisis. A
reluctant Congress agreed on a $14 billion rescue strategy to stimulate job cre-
ation in the industry. Added to the other new commitments that seemed to
surface almost daily, bailout costs soared to $8.5 trillionhalf of the nations
yearly economic output. As job losses mounted and the recession deepened,
Americans tightened their belts and waited for the next act in this high-stakes
drama.
In the first weeks of 2009, Barack Obama proposed Congress pass a $1
trillion economic stimulus package. But he warned Americans of the trillion-
dollar deficits that would burden the nation for the first years of his
administration. He spoke also of increased oversight of the bailout, and
a more hands-on approach to distributing the second half of the bailout
money.
Federal Communications Commission

The Federal Communications Commission (FCC) regulates the activities of
radio and television stations. Until 1987, the FCC enforced its controversial
Fairness Doctrine, which forced television and radio stations to present
both sides of controversial public issues. President Ronald Reagan refused to
renew the Fairness Doctrine when it officially expired. The FCC often receives
complaints from viewers and listeners about offensive programming on televi-
sion and radio and occasionally imposes fines on the companies holding the
broadcast licenses.
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The NTSB is responsible for investigating all accidents involving civilian aircraft such as
this corporate jet that skidded off a runway at Teterboro Airport in New Jersey in 2005.
Securities and Exchange Commission

The Securities and Exchange Commission (SEC) regulates the buying and sell-
ing of stocks and bonds. In the early 2000s, the SEC came under criticism for
not enforcing strong regulatory procedures for these transactions.
The laws that established regulatory agencies give them broad power to
make rules and to enforce them. Independent regulatory agencies may act like
both a legislature and a court.
In these agencies, power to make policy belongs to a small group of com-
missioners or board members. Each member is appointed by the president and
confirmed by a vote of the Senate.
Commissioners and board members serve for terms of at least seven years,
sometimes longer. The long terms help an agency to be independent of out-
side influence and control.
Among the many independent government agencies, a number have
become well known to the American public (see the following table).
Some Independent Government Agencies

AMTRAC (National Railroad Passenger Corporation)
Central Intelligence Agency (CIA)
Consumer Product Safety Commission
Equal Employment Opportunity Commission

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Farm Credit Administration
Federal Deposit Insurance Corporation
Federal Trade Commission
General Services Administration
National Aeronautics and Space Administration (NASA)
National Archives
National Foundation on the Arts and Humanities
National Labor Relations Board
Nuclear Regulatory Commission
Peace Corps
Selective Service
Small Business Administration
U.S. Agency for International Development (AID)
REVIEW
1. Define: independent regulatory agency.
2. Describe the functions of the Social Security Administration (SSA).
3. Name and describe the functions of three independent regulatory agencies.
How are they independent?
CHAPTER 12 REVIEW
1. The presidents Cabinet is an advisory body (a) responsible only to the
president (b) established in the Constitution (c) immune from having
to testify before Congress (d) whose members do not need Senate confir-
mation.
2. Which Cabinet position did not exist during George Washingtons presi-
dency? (a) State (b) War (c) Treasury (d) Agriculture
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3. The U.S. Bureau of the Census is part of the Department of (a) Commerce
(b) State (c) Transportation (d) Labor.
4. All of the following agencies belong to the Department of the Interior,
except (a) Bureau of Land Management (b) Bureau of Indian Affairs
(c) National Park Service (d) Tennessee Valley Authority.
5. Which president named the first woman to serve in the Cabinet? (a) Abra-
ham Lincoln (b) Franklin Roosevelt (c) Lyndon Johnson (d) Ronald Reagan
6. The most recent department to be added to the Cabinet is (a) Health and
Human Services (b) Housing and Urban Development (c) Energy
(d) Homeland Security.
7. Which agency is responsible for a safe food supply? (a) FDA (b) FHA
(c) FAA (d) FCC
8. The key factor for the rise in postage stamps from 12 cents in 1970 to 44
cents in 2009 is (a) Congress has needed extra revenue to offset military
expenditures (b) the law requires the Postal Service to collect enough rev-
enue to cover its costs (c) Congress has not allowed the Postal Service to
become a public corporation (d) the rate of inflation increased from 1970
to 2009.
9. Which agencys policies determine how much money U.S. banks are
likely to lend to businesses and individuals? (a) Federal Reserve System
(b) Federal Trade Commission (c) Securities and Exchange Commission
(d) Consumer Product Safety Commission
10. Nuclear power plants in the nation are supervised by (a) Department of
Defense (b) Department of Homeland Security (c) Department of the
Interior (d) Department of Energy.
ESSAY
Based on what you read in this chapter and your knowledge of government,
do you believe independent regulatory agencies are more effective in carrying
out their duties than agencies that belong to departments in the Cabinet, or is
there no real difference? Write an essay explaining your response.
of U.S. government.
Historical Context: New government agencies, whether they are indepen-

dent or subsidiaries of Cabinet departments, have been created in the history
of the United States in order to serve some important need.
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DOCUMENT 1
Despite its complexity, for pollution control purposes the environment

must be perceived as a single, interrelated system. Present assignments
of departmental responsibilities do not reflect this interrelatedness.
Many agency missions, for example, are designed primarily along
media linesair, water, and land. Yet the sources of air, water, and land
pollution are interrelated and often interchangeable. A single source
may pollute the air with smoke and chemicals, the land with solid
wastes, and a river or lake with chemical and other wastes. Control of
the air pollution may produce more solid wastes, which then pollute
the land or water. Control of the water-polluting effluent may convert it
into solid wastes, which must be disposed of on land.
Similarly, some pollutantschemicals, radiation, pesticidesappear in
all media. Successful control of them at present requires the coordi-
nated efforts of a variety of separate agencies and departments. The
results are not always successful.
A far more effective approach to pollution control would:
Identify pollutants.
Trace them through the entire ecological chain, observing and
recording changes in form as they occur.
Determine the total exposure of man and his environment.
Examine interactions among forms of pollution.
Identify where in the ecological chain interdiction would be most
appropriate.
In organizational terms, this requires pulling together into one agency
a variety of research, monitoring, standard-setting and enforcement
activities now scattered throughout several departments and agencies.
It also requires that the new agency include sufficient support ele-
mentsin research and in aids to state and local anti-pollution pro-
grams, for exampleto give it the needed strength and potential for
carrying out its mission. The new agency would also, of course, draw
upon the results of research conducted by other agencies.
President Richard Nixon, special message to Congress,
July 9, 1970, announcing the establishment of
the Environmental Protection Agency (EPA)
1. Why does President Nixon believe that one agency would be more effective
in protecting the environment than several?
DOCUMENT 2
Today a hope of many years standing is in large part fulfilled. The civi-
lization of the past hundred years, with its startling industrial changes,
has tended more and more to make life insecure. Young people have
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come to wonder what would be their lot when they came to old age.
The man with a job has wondered how long the job would last.
This social security measure gives at least some protection to thirty mil-
lions of our citizens who will reap direct benefits through unemployment
compensation, through old-age pensions and through increased serv-
ices for the protection of children and the prevention of ill health.
We can never insure one hundred percent of the population against
one hundred percent of the hazards and vicissitudes of life, but we have
tried to frame a law which will give some measure of protection to the
average citizen and to his family against the loss of a job and against
poverty-ridden old age.
President Franklin Roosevelt, speech announcing the signing
of the Social Security Act into law, which created the
Social Security Administration, August 14, 1935
2. Why does the president believe that the elderly require protection?
DOCUMENT 3
The eighth principle [of our national energy policy] is that government
policies must be predictable and certain. Both consumers and producers
need policies they can count on so they can plan ahead. This is one rea-
son I am working with the Congress to create a new Department of
Energy, to replace more than 50 different agencies that now have some
control over energy.
President Jimmy Carter, televised speech, April 18, 1977
3. According to President Carter, how would a Department of Energy serve
energy consumers and producers?
Task: Using the documents and your knowledge of U.S. government, write a
well-organized essay with an introduction, several paragraphs, and a conclu-
sion discussing how presidents have justified the creation of new depart-
ments, agencies, and government programs.
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Classifying
A. Read the information below and then follow the directions to complete
the chart.
Within the executive branch, there are executive departments and indepen-
dent agencies. Each head of an executive department is headed by a mem-
ber of the presidents Cabinet. These departments are established to address
specific interests and needs. Independent agencies are also part of the exec-
utive branch, but they are not part of any Cabinet departments. While the
president exercises some control over the independent agencies, each stands
on its own. Government corporations are not part of a federal depart-
ment. They can work independently from the authority of the executive
branch. Government corporations exercise functions that could be exercised
within the private sector. A government corporation provides a market-ori-
ented public service. It must produce revenues that meet or approximate its
expenditures. In setting up these corporations, Congress determined that
such agencies should have a tie to the federal government rather than operate
entirely independently of the government.
1. Classify the organizations listed below by placing each in the correct

section of a chart such as the one on page 269. Use information in
the chapter and additional research to do your work. Underline each
government corporation.
Agriculture Housing and Urban

Central Intelligence Agency Development
Commerce Institute of Museum and Library
Services
Defense
Interior
Education
Labor
Energy
National Aeronautics and Space
Environmental Protection
Administration
Agency
National Archives and Records
Export-Import Bank
Administration
Federal Financing Bank
National Railroad Passenger
Federal Prison Industries Corporation
Health and Human Services Overseas Private Investment
Homeland Security Corporation
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Presidio Trust of San Francisco Transportation

Selective Service System Treasury
Small Business Administration U.S. Postal Service
State Veterans Affairs
Tennessee Valley Authority
Executive-Branch Organizations
Executive Departments Independent Agencies/Government
Corporations
Department of:
Here are some Web sites you could look up to research this topic:
www.whitehouse.gov/government/independent-agencies.html
www.loc.gov/rr/news/fedgov.html
B. Answer the question below. Support your response with information

relevant to specific federal corporations.
2. Why did Congress decide to create federal corporations? Do you

agree with this decision? Explain.
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Chapter 13

Domestic Policy:
The Bureaucracy
and the Budget
KEY TERMS
spoils system regressive tax national sales
civil service estate tax tax
bureaucracy gift tax bond
red tape balanced budget deficit
budget budget national debt
progressive tax flat tax budget surplus
Most Americans are troubled by the fact that despite all of the money the
federal government collects every year, it often fails to pay for all of its
expenses. This chapter discusses how government employees get their jobs,
how the federal bureaucracy is organized, and how the federal government
collects revenue through taxation and formulates a budget for the nation
every year.
13.1 Who Works for the Federal Government?

In the 1870s, the requirements for becoming a civil servant were very different
from todays requirements. What mattered then was a persons political affilia-
270
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Chapter 13 Domestic Policy: The Bureaucracy and the Budget 271
What does this 19th-century cartoonist say about

President Andrew Jackson and the spoils system?
tion. If you belonged to the party in power, you could hope to get a govern-
ment job. If not, you had no chance.
End of the Old Spoils System

The old system for employing government workers was known as the spoils
system. To the victor belong the spoils, said U.S. Senator William Marcy of
New York, a Democratic supporter of President Andrew Jackson, in 1831.
Spoils is another word for the loot seized by conquering armies. Applied to
politics, the spoils to be seized after an election were hundreds of jobs in
government. Under the spoils system begun by Jackson, a winning candi-
date for president would dismiss government workers from a rival party and
replace them with workers from his own party.
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Jackson and others thought the spoils system was fair and democratica
good way to reward party workers. Also, because of the rapid turnover of jobs,
it gave many citizens an opportunity to be in government service.
There was one major question about the spoils system, however. Were
party workers qualified to carry out their duties? Many were, but many others
were not. After the Civil War, scandals connected with the civil service became
a major issue. But nothing was done until a tragedy occurred. In a Washing-
ton, D.C., railroad station in 1881, President James Garfield was shot by an
assassin. The killers motive was revenge for not having been appointed to a
federal job after Garfield took office.
In 1883, Congress passed civil service reform, which was signed into law
by Garfields successor, President Chester A. Arthur. This system required
applicants for certain federal jobs to take a test. Those who scored highest on
the test would be hired. Thus, a persons competence and not his or her poli-
tics became the chief requirement for being placed in a government job.
The reform of 1883 affected only a few hundred jobs. Most jobs were still
filled through party politics. Over time, however, the original civil service law
was amended. Today, it covers all lower- and middle-level jobs. In other
words, civil service jobs are filled strictly on the basis of merit.
Today, only the top jobs in government such as Cabinet secretaries and
agency directors are appointed by the president. The presidents choices for
these jobs are still guided by party politics. Republican presidents usually
choose Republicans for the top jobs while Democratic presidents tend to
choose Democrats.
REVIEW
1. Define: civil service and spoils system.
2. What is the purpose of civil service exams? In your opinion, is there any
disadvantage to using civil service exams? Explain.
13.2 How Is the Federal Bureaucracy Organized?

The executive branch of the U.S. government is one of the largest and most
complex organizations in the world. It is an example of a bureaucracy, a
large organization whose work is performed at different levels of responsibil-
ity. Workers at the lower levels of the organization take orders from middle-
level managers, who in turn take orders from top-level managers.
One Departments Agencies

The entire federal bureaucracy is far too large to be described in one book. But
we can learn about its overall structure by looking at just one department, the
Department of Agriculture.
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Department of Agriculture Organizational Chart

Secretary
Deputy Secretary
Chief Chief Inspector Executive Director General

Information Financial General Operations of Counsel
Officer Officer Communications
Under Secretary Under Secretary Under Secretary Under Secretary Under Secretary Under Secretary Under Secretary
for Natural for Farm and for Rural for Food, for Food Safety for Research, for Marketing
Resources and Foreign Development Nutrition and Education and and Regulatory
Environment Agriculture Consumer Economics Programs
Services Services
Forest Service Farm Service Rural Utilities Food and Food Safety Agricultural Agricultural
Natural Agency Service Nutrition and Inspection Research Marketing
Resources Foreign Rural Housing Service Service Service Service
Conservation Agricultural Service Center for Cooperative Animal and
Service Service Rural Nutrition Policy State Plant Health
Risk Business and Promotion Research, Inspection
Management Cooperative Education and Service
Agency Service Extension Grain
Service Inspection,
Economic Packers and
Research Stockyard
Service Administration
National
Agricultural
Library
National
Agricultural
Statistics
Service
Assistant Secretary Assistant Secretary Assistant Secretary

for for for
Congressional Relations Administration Civil Rights
Below the secretary is the deputy secretary. Six top officialsthe chief
information officer, chief financial officer, inspector general, director of execu-
tive operations, director of communications, and the general counselserve
the department as a whole. The director of communications writes press
releases and handles inquiries from the media. Seven undersecretaries admin-
ister the departments 19 agencies. The department also has three assistant
secretaries, who are responsible for congressional relations, administration (pro-
viding management to the department in order to help it meet its needs, carry
out its policies, and accomplish its goals), and civil rights (ensuring that the
departments employees do not encounter any kind of discrimination).
Bureaucratic Red Tape

Businesses and citizens who deal with government agencies sometimes com-
plain about getting tangled up in a lot of bureaucratic red tape, delays that
can occur in the operations of a government agency. Often, decisions by
lower-ranking officials must be approved by higher-ranking officials. Thus, it
may take a long time for a simple matter to be passed around the bureaucracy
until action is finally taken.
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A certain amount of red tape seems to be a fact of life in all large organiza-
tions (businesses as well as government agencies). Can at least some of it
be reduced by simplifying an agencys paperwork and streamlining its man-
agement? Many presidents have tried to reform and simplify the federal
bureaucracybut with little success.
REVIEW
1. Define: bureaucracy and red tape.
2. According to the organizational chart on page 273, which agencies in the
Department of Agriculture does the Under Secretary for Rural Develop-
ment supervise?
3. How does red tape obstruct government operations?
13.3 How Are the American People Taxed?

The various agencies of the U.S. government employ millions of persons. All
of these employees must be paid salaries and given benefits. Additional
money must be spent on military weapons, government office buildings,
dams, highways, public assistance, farmers assistance, and other needs.
Federal Budget
Paying for government services costs a lot of money. How much should we
pay for these services? The president and Congress share responsibility for
answering two questions about government money: (1) How many billions of
dollars need to be spent for different purposes? and (2) Where is all the money
for these expenditures going to come from?
Every year these questions are answered in a budget, a detailed, written
plan outlining the spending and collecting of money. Every institution uses a
budget of some kind to manage expenses. Businesses draw up budgets, as do
schools, churches, clubs, and families. But by far the largest budget is the one
for the U.S. government, which totaled nearly $3.6 trillion in 2010.
The Cost of Policy Choices

The Department of Agricultures Forest Service must be supported with money
along with every other program and activity of government. In next years
budget, should the Forest Service spend more money or less than the year
before? In the Defense Department, should budget dollars be divided evenly
among the Army, Navy, and Air Force? Or should one branch of the military
service receive more than the others? The same kind of question may be asked
about every agency and department. How the president answers the budget
questions tells us what his or her priorities are. In short, how dollars are spent
in the budget are a clear sign of our governments policies.
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Budget Preparation
Preparing the federal budget is a long and complicated process. First, a book-
length proposal is drafted at the White House. The person chiefly responsible
for creating this proposal is the director of the Office of Management and Bud-
get (OMB).
In January, the deadline arrives for printing the full budget proposal. It
comes to about 1,000 pages. The budget begins with the presidents message
to Congress explaining the proposal.
Congress and the Budget

At this point, Congress takes over the process of shaping the budget. Not a
single dollar of federal money can be spent unless an act of Congress directs
that it be spent for a certain purpose. That means that bills concerning the
appropriation of funds must now be introduced, debated, and passed in the
House and the Senate. The thick book containing the presidents spending
plan is only the starting point for the lawmakers work. They can reject parts
of the budget plan and change other parts.
Because the budget is so complicated and important, Congress takes many
months to decide what to do about it. The committees that work on it daily
are the Senate Budget Committee and the House Budget Committee. Financial
experts advise the congressional committees on the likely effects of every
proposed addition and subtraction. These experts work for the Congressional
Projected Federal Outlays, 2009
Other
12.8%
Medicare/Medicaid
20.1%
Interest
7.9%
Social Security
20.8%
Defense
38.4%
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Budget Office (CBO), providing the same function for Congress that the OMB
performs for the president. They give expert help in the budget-making
process.
Members of Congress feel the pressure to spend money even more strongly
than the OMB director. Lobbyists, political activists, and special-interest orga-
nizations watch their every move. Labor unions, for example, might oppose
any budget cuts that would weaken the Department of Labor. Conservation
groups fight any move to take money away from their favorite programs in the
Department of the Interior. Veterans groups protest strongly if any bill pro-
poses cutting back benefits for veterans. Farmers groups argue that certain pro-
grams in the Department of Agriculture must receive more funding, not less.
Every item in the federal budget benefits one group, while any cut likely
displeases another group.
September 30 is the absolute deadline for making a decision about the
budget. It is the last day of the U.S. governments fiscal year. The old budget
the one voted upon the previous yearis good for only one fiscal year. After
the last day of the fiscal year, no more money may be spent by any agency
until a new budget is approved. Usually, Congress is working hard on the
budget through the last week of September. Finally, a budget of some kind is
passed and sent to the White House for the presidents signature.
The new fiscal year begins October 1. If Congress does its work, every fed-
eral agency will have sums of money to spend under the new budget. In 1995,
however, Congress failed to produce a budget that President Clinton would
sign. On October 1, the government did not have a budget. The government
was forced to utilize emergency spending measures in order to pay operating
costs and salaries for essential services while the budget was still being negoti-
ated. Many nonessential government offices temporarily closed.
Where the Money Comes From

Let us say that, in one year, Congress votes to appropriate exactly $3 trillion.
At the same time, Congress must also find ways to find $3 trillion. If it suc-
ceeds, the budget is balanced.
As you might expect, collecting $3 trillion in revenues is not easy. Govern-
ment has three ways of raising the money: (1) It can collect taxes from busi-
nesses and individuals; (2) It can chargeor increasefees for some services;
and (3) It can borrow the money.
The first methodtaxationis the one the government counts upon to
pay nearly two-thirds of its bills. What are the different types of taxes?
The Progressive Tax

A progressive tax requires those with higher incomes to pay a larger
percentage of their income than those with lower incomes. By contrast, a
regressive tax requires those with lower incomes to pay a higher percentage
of their income than people with higher incomes. The present U.S. income
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tax is a type of progressive tax, with different tax brackets for people making
different incomes.
Other progressive taxes are the estate tax and gift tax. The estate tax is
collected after a person dies. Before the persons property (house, car, and
other assets) can be turned over to the children or other heirs, the government
may tax a percentage of the money value of the property. If a person chooses
to give away a house, car, or other assets before he or she dies, then he or she
may have to pay a gift tax.
Corporate Income Taxes

Individuals are not the only ones who must pay income taxes to the federal
government. Corporations must also pay taxes on their annual earnings.
A corporation is an organization that has a legal existence as if it were a
person. It is born when a state charter (legal document) brings it into exis-
tence. It dies only when its owners apply to the state to dissolve (end) the
corporation.
Like individuals, corporations must report their yearly income to the IRS.
They may also deduct a number of expenses. The difference between business
income and business expenses is the taxable income of a corporation. The cor-
porate income tax rate is also progressive. The higher a companys profits, the
higher its tax rate will be.
Government Receipts
At the end of its fiscal year, the government adds up all the taxes and fees that
it has collected. Only then can it know whether or not its revenue is enough
to pay all expenses for the year.
Do the percentages add up to 100 percent of outlays? If so, then the

federal budget is balanced. In fact, however, the revenues often fall far short
of expenses. The difference must then be made up with billions of dollars
of borrowed money. The consequences of borrowing are discussed in the next
section.
Alternatives to the Personal Income Tax?

The personal income tax brings in about one-half of the federal governments
revenue every year. Many people find the tax system so complicated that they
usually pay professionals to help them with their returns, which must be filed
by April 15 each year. Critics who believe that the tax system is both
complicated and unfair have frequently called on Congress to reform the tax
system or abolish it completely and replace it with a new system. Two
common alternative proposals are the flat tax and the national sales tax.
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Alternatives to the Personal Income Tax? (Continued)
What is the cartoonist saying about the present tax system?
Under a flat tax, all incomes would be taxed at the same rate. For
example, a chief executive officer (CEO) of a large, multinational corporation
would pay the same rate, say 10 percent, as a worker earning minimum wage.
The flat taxs proponents argue that it would greatly simplify the tax system,
encourage savings, promote economic expansion, and end class warfare. By
contrast, critics believe that the flat tax will not result in the revenue that the
government needs to maintain its level of spending. As a consequence,
opponents of the flat tax argue, the government would be forced to set a high
tax rate, make drastic cuts in vital services, or a combination of both.
The national sales tax would impose a tax on most goods (exempting
food and medicine) and services sold in the United States. Supporters of this
system believe it would encourage savings, affect those who choose to spend
their money, and even eliminate the tax burden for many people. The plans
critics believe it would discourage consumer spending that is needed for
economic growth and also fail to provide the government with the revenues it
needs.
Despite all of the complaints the present tax system generates, no plan to
overhaul or replace the personal income tax system has ever received enough
support to win the approval of Congress.
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REVIEW
1. Define: federal budget, progressive tax, regressive tax, flat tax, and national
sales tax.
2. Compare and contrast the Office of Management and Budget (OMB) with
the Congressional Budget Office (CBO).
3. Describe four basic ways the federal government raises revenue to pay its
expenses.
13.4 How Much Money Should

the Government Borrow?
For 32 years, from 19651997, the federal government spent over $5 trillion
more than it collected in revenues. In those years, the government made up
the difference by borrowing the money.
Government Bonds
The government borrows the money it needs by selling bonds to the Ameri-
can public and to foreign investors. A bond is a promissory note issued by the
government that pledges to repay the person who buys it with interest. In
other words, if you bought one of its bonds, you would actually be lending
money to the government.
The government promises to pay back the face value of the bond with
interest after a certain period of time, or when it matures. The government
sells several different types of bonds for borrowing. Some mature in a short
period of only 30 days. Others are for a longer periodfive, ten, even 20 years.
The government guarantees that holders of bonds will be repaid when
their bonds mature. Corporations also make similar promises when selling
their bonds. But the federal government is thought to be more reliable than
any corporation in paying its debts. Thus, buying government bonds is a solid
and practically risk-free investment.
Budget Deficits
Why does the national debt keep growing? The simple explanation is that
government has great difficulty balancing its budget. Members of Congress
are hesitant to raise taxes and/or cut vital programs, both of which are unpop-
ular with voters. Congress prefers to cut taxes and increase spending for popu-
lar government services and programs. Thus, the government finds it must
borrow moreand add to its total debtbecause its total expenses exceed its
total tax income. The budget gap between expenses and receipts is called the
budget deficit.
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National Debt
The U.S. government is in debt to the millions of peopleboth Americans
and foreignerswho buy its bonds. The money that the government owes is
called the national debt. The size of the debt keeps increasing. In 1940, it
was $50 billion. In 1950, after heavy borrowing to fight World War II, the debt
climbed to more than $250 billion. As of 2009, the national debt was over $11
trillion.
From the 1980s into the mid-1990s, the national debt increased over five
times, to more than $5 trillion. Then for several years in the late 1990s and
early 2000s, there was a small budget surplus. But from 2001 on, the budget
was once again unbalanced, meaning there was a deficit. Some economists
looked at the deficit fearfully, as if it were some all-devouring monster threat-
ening our way of life. By contrast, other economists thought the danger posed
by deficits was exaggerated.
The Economic Effects of Deficits

Economists disagree about the effect of deficits. British economist John May-
nard Keynes (18831946) argued that deficit spending by the government
What does the clock above tell us about our economy?

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could boost the economy by increasing the demand for goods and services.
During the Great Depression, President Franklin Roosevelt implemented
many of Keyness ideas to improve the economy.
Other economists believe that deficits might cause inflation and under-
mine economic growth in the long-term because the government might be
forced to substantially raise taxes to pay its bills.
A Balanced Budget?
Many experts insist that budgets must be balanced, or the cumulative effect of
deficits will cause the nation great economic difficulties in coming decades. A
number of politicians, economists, and activists have called for the passage of
a law andeven a constitutional amendmentthat would force the federal
government to balance its budget. Critics, however, charge that such a law
could force the government to raise taxes and cut spending on defense and
other popular programs such as Social Security and Medicare.
During the 1990s, the combination of increased revenues and a growing
economy under President Clinton and reduced spending by a Republican-
controlled Congress eliminated the budget deficit and resulted in the first
budget surplus in decades.
Under President George W. Bush, however, the deficit returned in 2002.
The government cut taxes, and receipts fell. After the terrorist attacks of
Why does the cartoonist use a sponge cartoon character to represent how the stimulus
money reaches everyday consumers?
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September 11, 2001, spending soared for antiterrorism efforts at home and
wars in Afghanistan and Iraq.
The Emergency Economic Stabilization Act of 2008 was enacted to bail
out the U.S. financial system. In early 2009, in response to the continued eco-
nomic downturn, Congress passed the American Recovery and Reinvestment
Act. It called for spending of almost $800 billion to provide a stimulus to the
U.S. economy. This stimulus spending exceeded the Defense Department's
entire budget. The acts hundreds of provisions touched many aspect of Amer-
ican lifeincluding workers paychecks and unemployment benefits, educa-
tion budgets from kindergarten through college, conversion to electronic
health records, and road and bridge construction. Not since the Great Depres-
sion had Congress so dramatically expanded and redefined the governments
role in the economy, all in one enormous and complex act.
REVIEW
1. Define: bond, national debt, budget surplus, and budget deficit.
2. Why do some economists say that budget deficits are good and other econ-
omists say that budget deficits are bad?
CHAPTER 13 REVIEW
1. Which one of the following statements is true? (a) The president has the
right to fill all jobs in the executive branch of government. (b) Congress
approves the hiring of all federal employees. (c) All employees of the fed-
eral government must pass a civil service test. (d) All low- and middle-
level federal jobs are filled according to results on civil service tests.
2. The assassination of President James Garfield in 1881 led to (a) civil
service reform (b) the establishment of the spoils system (c) the end of the
spoils system (d) the end of the civil service system.
3. Which term applies to any large organization whose work is performed at
different levels of responsibility? (a) civil service (b) red tape (c) bureau-
cracy (d) spoils system
4. The Office of Management and Budget (a) prepares the annual budget
proposal that the president sends to Congress (b) administers the Con-
gressional Budget Office (c) resolves differences between Senate and
House versions of the federal budget (d) insures that budget money allo-
cated for a specific purpose is used for that purpose.
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5. Every dollar that the federal government spends must be approved by

(a) the president (b) Congress (c) the United States Supreme Court (d) all
three branches of the federal government.
6. When the federal government spends only what it collects in receipts, it
is said to have (a) avoided red tape (b) ignored the national debt (c) bal-
anced the budget (d) updated its budget requests.
7. If a new budget is not signed into law by the last day of September, (a) the
United States Supreme Court can order a 30-day extension of the previ-
ous budget (b) no new budget can be acted upon until after the Novem-
ber elections (c) no more money can be spent by any agency of the
federal government until there is a new budget (d) independent federal
agencies can borrow money from the U.S. Treasury.
8. When the federal government borrows money from the public or other
sources, (a) it does not have to pay it back until the budget is balanced (b)
it pays back interest in addition to the amount of money borrowed (c) it
prints more money (d) it cannot borrow more money until the original
loan is paid back.
9. Why did federal spending during President George W. Bushs two terms
increase substantially? (a) Congress forced through increases in domestic
spending. (b) The government collected more money than expected. (c)
The government had to pay for antiterrorism initiatives and the wars in
Afghanistan and Iraq. (d) The Supreme Court declared spending cuts
unconstitutional.
10. During the 1930s, President Franklin Delano Roosevelt implemented
which economists ideas to boost the U.S. economy? (a) John Maynard
Keynes (b) John Kenneth Galbraith (c) Friedrich von Hayek (d) Milton
Friedman.
ESSAY
Write an essay describing how you, as president, would balance the federal
government in your first term. Would you raise income and business taxes,
cut government spending, or a combination of all three? How would the vot-
ers react to your decisions?
Document-Based Question
of U.S. government.
Historical Context: While they hate paying taxes, most Americans realize
that taxes are necessary to support the government and many of the services it
provides.
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DOCUMENT 1
Money is with propriety considered as the vital principle of the body

politic; as that which sustains its life and motion, and enables it to per-
form its most essential functions. A complete power therefore to pro-
cure a regular and adequate supply of it, as far as the resources of the
community will permit, may be regarded as an indispensable ingredi-
ent in every constitution. From a deficiency in this particular, one of
two evils must ensue; either the people must be subjected to continual
plunder as a substitute for a more eligible mode of supplying the public
wants, or the government must sink into a fatal atrophy, and in a short
course of time perish.
Alexander Hamilton, Federalist No. 30 (1787)
1. What evils did Hamilton envision if the government collects too little in
tax revenue?
DOCUMENT 2
An unlimited power to tax involves, necessarily, a power to destroy;

because there is a limit beyond which no institution and no property
can bear taxation.
Chief Justice John Marshall, majority opinion,
McCulloch v. Maryland (1819)
2. Why did Marshall believe that the power to tax can be destructive?
DOCUMENT 3
Taxes are what we pay for a civilized society.

Justice Oliver Wendell Holmes, dissenting opinion,
Compania General de Tabacos de Filipinas v.
Collector of Internal Revenue (1927)
3. What do you think Justice Holmes meant by his statement?
DOCUMENT 4
A strong and sound Federal tax system is essential to Americas future.

Without such a system, we cannot maintain our defenses and give lead-
ership to the free world. Without such a system, we cannot render the
public services necessary for enriching the lives of our people and fur-
thering the growth of our economy.
The tax system must be adequate to meet our public needs. It must
meet them fairly, calling on each of us to contribute his proper share to
the cost of government. It must encourage efficient use of our resources.
It must promote economic stability and stimulate economic growth.
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Economic expansion in turn creates a growing tax base, thus increasing

revenue and thereby enabling us to meet more readily our public needs,
as well as our needs as private individuals.
President John F. Kennedy,
message to Congress, April 20, 1961
4. How did President Kennedy believe that a strong and sound tax system
serves the United States?

and a conclusion that discusses the role that taxation plays in the govern-
ments duty to serve the public. Are there times when taxes can be too high or
too low? Make references to the documents and your knowledge of U.S. gov-
ernment in your essay.
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Developing and Comparing Pie Graphs
A. Respond to the following questions as you analyze the pie graph on

page 275.

2. What makes up the greatest portion in the graph?
3. Which portion is closest in size to the greatest portion? What is the
difference between the two?
4. Is a larger portion devoted to Medicare/Medicade or to defense?
5. Which portions are the same?
6. How does the pie graph help you understand the information?
7. Does the graph represent the amount actually spent by the federal
government during 2009? Explain.
B. Follow the instructions to develop a pie graph.
8. Use the data below to create a pie graph. Provide a title for your
graph. In your graph, show the projected federal income in 2009:
Federal Receipts, 2009

Individual Income Taxes 48%
Corporate Income Taxes 11%
Social Security Taxes 34%
Excise Taxes 3%
Estate and Gift Taxes 1%
Customs Duties 1%
Other 2%
Data source: Office of Management and Budget:
Executive Office of the President of the United States.
www.infoplease.com
9. Write three questionsand a response for eachto compare and

contrast the pie graph on page 275 and the pie graph you created.
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Chapter 14

U.S. Foreign
Policy
KEY TERMS
foreign policy National Monroe
weapons of Security Agency Doctrine
mass destruc- (NSA) Good Neighbor
tion (WMD) freedom of the Policy
Joint Chiefs of seas Open Door
Staff preemptive war Policy
National diplomacy superpower
Security Council ambassador containment
(NSC)
embassy cold war
intelligence
summit mutual defense
counter- pact
consul
intelligence
consulate NATO
Central
neutrality OAS
Intelligence
Agency (CIA) isolationism EU
On the world stage, the United States is often defined through its foreign pol-
icy, its relations with other countries. The Constitution gives the president
considerable power in shaping United States foreign policy, but that power is
checked by Congress. In this chapter, we will discuss the role of the executive
branch in formulating the nations foreign policy and what goals that policy
seeks to achieve. We will also study the role of diplomacy between the United
States and other nations and how foreign policy changed from neutrality to
intervention from the time of President George Washington to the present.
287
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14.1 Who Makes U.S. Foreign Policy?

In its relations with other countries, the United States has certain goals. Gov-
ernment leaders have a wide range of choices in deciding on actions to
achieve those goals. The choices actually made by the president and others
make up what we call U.S. foreign policy.
Long-Term Goals
Four goals have guided the making of U.S. foreign policy since the beginning
of our history:
1. Peace. If it possibly can, the U.S. government will avoid going to war with
other nations. By their nature, wars are costly and destructive. Therefore,
preserving peace is an important goal.
2. Prosperity. Naturally, Americans want a strong and growing economy that
supplies plenty of jobs. In part, such prosperity depends on trading with
other countries. The United States wants to make sure that it can buy all
that it needs (such as oil, coffee, and other commodities) from foreign
sources. It also wants businesses and farms to sell large quantities of
American-produced goods in foreign markets.
3. Security. Bordered by two oceans, the United States has been fortunate. It
has been attacked only twice by a foreign nation and once by terrorists
After stepping off Air Force One during his historic visit to China in 1972,
President Richard Nixon extends his hand to Chinese Premier Chou
En-lai. Nixons visit helped improve relations with Communist China.
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who were protected by a foreign nation. During the War of 1812, the
British captured Detroit and inflicted extensive damage to the cities of Buf-
falo and Washington, D.C., the nations capital. On December 7, 1941, the
Japanese attacked the U.S. Pacific naval fleet at Pearl Harbor in Hawaii,
which was then an American territory. On September 11, 2001, terrorists
flew hijacked airplanes into the World Trade Center in New York City and
the Pentagon near Washington, D.C. (A fourth hijacked airliner crashed in
Shanksville, Pennsylvania, after its passengers fought back against the ter-
rorists.) After the attacks, the United States tightened security at all U.S. air-
ports, harbors, and borders. In October 2001, the United States attacked
Afghanistan, which was controlled by an extremist group of Islamic clerics
known as the Taliban. Afghanistans Taliban government protected the ter-
rorist leader Osama bin Laden, who had orchestrated the attacks, allowing
him to use the country as a base of operations.
4. Freedom. The U.S. government is committed to the freedom of its own
citizens. However, it is also concerned about the freedom of people outside
its borders. Working with other nations and the United Nations (UN), the
United States does what it can to promote democracy and human rights.
Ideally, the United States would like to craft a foreign policy that serves all
four goals at once. However, the United States must often make painful
choices, temporarily sacrificing one goal for another. Here are two examples:
(1) When Japan bombed Pearl Harbor, U.S. security was under direct attack;
and (2) When North Korean forces attacked South Korea in 1950, President
Harry Truman believed that U.S. security (and the security of other free
nations) was threatened. In both cases, security was thought to be more
important than peace. That is why the United States got involved in World
War II in 1941 and the Korean War nine years later.
Going to war is only a temporary action. It is a short-term policy, not a
long-term goal. War is a detour from the main road of American foreign pol-
icy. Even in wartime, the goals on the distant horizon remain the same: peace,
prosperity, security, and freedom.
Short-Term Strategies
Foreign policy involves knowing what choices are available in a given situa-
tion. For example, President Truman had a number of choices after learning of
the invasion of South Korea:
1. Do nothing. Wait and see what happens.
2. Make a speech condemning North Korea for its aggression.
3. Send arms and supplies to the South Koreans (but no American troops).
4. Send American troops to defend South Korea only if the United Nations
Security Council approves military action.
5. Send American troops to South Korea whether or not the UN approves.
6. Bomb North Korea and, if necessary, fight an all-out war against its allies
such as China and the Soviet Union.
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Truman Chose Fourth Option

If someone else had been president, a different choice might have been made.
But no matter who decides, the procedure for making a decision is the same. It
consists of these steps: (1) obtain reliable information about the crisis; (2) list
different ways of responding; (3) think of the effect each choice is likely to
have on the nations goals; (4) make a choice; and (5) act on the decision.
After the terrorist attacks on the World Trade Center and the Pentagon
on September 11, 2001, President George W. Bush, like President Truman,
obtained the approval of the UN for going to war against Afghanistan. In his
decision to go to war against Iraq in March 2003, however, President Bush dis-
regarded the UN. Critics argued that he ignored some steps in the decision-
making process as well. For example, many of the opponents of the war noted
that when Bush made his decision, he ignored the UN weapons inspectors
reports that they had not found weapons of mass destruction (WMD).
One of Bushs justifications for going to war was that he said Iraq had chemi-
cal and nuclear weapons. The presidents critics also faulted Bush for failing to
consider peaceful methods, such as diplomacy and economic sanctions, in
dealing with Iraq.
Many Advisers to the President

As commander in chief of the armed forces, the president has the final respon-
sibility for making decisions about national security. But before making a
decision, the president consults with his or her top advisers.
A U.S. Army tank patrols a street in Baghdad, Iraq, one year after Iraqi dictator Saddam Hussein
was overthrown by invading U.S. forces.
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Secretary of State
Secretary of State Dean Acheson informed President Truman about the inva-
sion of South Korea. Why was this adviser the one who informed the presi-
dent about a crisis abroad? The secretary of state is the member of the Cabinet
who specializes in foreign affairs. He or she has a triple responsibility.
First, as an administrator, the secretary of state directs the ambassadors
and other foreign service officers who make up the Department of State.
Second, as a diplomat, the secretary of state meets with foreign ambassa-
dors living in Washington, D.C. Also, the secretary composes diplomatic let-
ters and notes. With the presidents approval, these are sent to the foreign
ministers and heads of state of other countries. When letters are not sufficient,
the secretary may travel abroad to meet face-to-face with foreign leaders.
Third, the secretary advises the president about international problems
that concern the United States. Such problems may arise in places that few
Americans have ever heard about. Consulting with other experts, the secretary
of state should be able to tell the president whats causing a particular situa-
tion and how it may affect U.S. security and interests. Meeting with the presi-
dent, the secretary proposes different ways that the United States might
respond to the crisis.
Since the end of World War II, the role of secretary of state has become
more visible in the media. As President Trumans secretary of state, Dean
Acheson (19491953) played a key role in the formation of the North Atlantic
Treaty Organization (NATO) and the implementation of the European Recov-
ery Program and the Truman Doctrine. Acheson defended the State Depart-
ment against attacks made by Senator Joseph McCarthy, a Republican from
Wisconsin, who alleged that the agency was riddled with Communists.
In 1973, President Richard Nixon appointed Henry Kissinger, who was serv-
ing as his national security adviser, as secretary of state. Kissinger was the first
Jew to run the state department. Kissingers intellect and knowledge of foreign
affairs helped make him an international celebrity. His pragmatic approach to
foreign policy, however, drew controversy from both liberals and conservatives.
Under President Bill Clinton, Madeleine Albright became the first woman
to serve as secretary of state. In 2000, Albright visited North Korea and dis-
cussed several issues, including arms control, with Kim Jong-Il, the Commu-
nist nations dictator.
In 2001, President George W. Bush named retired General Colin Powell
secretary of state. The first African American to hold the position, Powell
helped coordinate the war on terror with the United States allies after the Sep-
tember 11, 2001, terrorist attacks. In February 2003, Powell testified before the
UN Security Council, insisting that Iraq possessed weapons of mass destruc-
tion. After the U.S.-led invasion overthrew the regime of Saddam Hussein,
such weapons were never found.
In 2005, Condoleezza Rice, an African-American woman, replaced Powell.
Along with the United States continuing difficulties with battling terrorist
groups and trying to establish a lasting, stable democracy in Iraq, Rice faced
new challenges, such as Irans determination to develop a nuclear program
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U.S. Secretary of State Condoleezza Rice participates in a vote

at the United Nations.
despite international opposition and a hostile Russian government wishing to

reassert its power over its neighbors, such as Georgia.
Secretary of Defense
Until the end of World War II, two Cabinet members, the secretary of war and
the secretary of the navy, ran the armed forces. The National Security Act
(1947) reorganized the Department of War into the Department of Defense
and stripped the Department of the Navy of its Cabinet-level status. The
Department of the Navy, the Department of the Army, and the newly created
Department of the Air Force were unified under one command in the Depart-
ment of Defense. Each of these subsidiary agencies has its own secretary, who
reports to the secretary of defense.
The secretary of defense helps the president decide how much money to
spend on military expenditures, what new weapons systems to develop, and
where to station military personnel. The secretary of defense is also one of sev-
eral members of the executive branch who help plan military operations.
Joint Chiefs of Staff

The president receives advice on national defense from both civilians and
members of the military. The Joint Chiefs of Staff is a group of high-
ranking military officers such as generals and admirals who advise the presi-
dent on defense matters. The body is composed of the chiefs of the Army,
Navy, and Air Force, the commandant of the Marine Corps, the vice chairman
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of the Joint Chiefs of Staff, and the chairman of the Joint Chiefs of Staff, who
is the military counterpart to the secretary of defense.
National Security Council

The National Security Act also created the National Security Council (NSC),
a forum at the White House where members of the Cabinet and other officials
discuss matters relevant to national security and foreign policy. The president
chairs NSC meetings and listens to its participants make recommendations on
policies and courses of action, especially during crises. In addition to the pres-
ident, NSC meetings are attended by the vice president, secretary of state, sec-
retary of defense, secretary of the treasury, the chairman of the joint chiefs,
the director of national intelligence, and the national security adviser. Other
officials in the executive branch such as the presidents chief of staff, counsel,
and the attorney general may be invited to participate in NSC meetings.
A worker sweeps the lobby of CIA headquarters in Langley, Virginia.
Intelligence Agencies
In political language, intelligence means the collection of information about
foreign governments, terrorist organizations, guerrilla groups, and anything
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believed to be relevant to the security of the United States. Counterintelli-

gence means preventing foreign governments from obtaining U.S. secrets
such as advanced military technology. Created by the National Security Act in
1947, the Central Intelligence Agency (CIA) works in both areas. It gath-
ers information through public sources, such as newspapers and the Internet,
and through covert means, such as spies, informants, electronic devices,
reconnaissance aircraft, and satellites. The CIA provides the information it
collects to the president and the NSC, who use it to make important foreign
policy decisions.
The National Security Agency (NSA), which was created in 1952, col-
lects information from foreign communications, such as radio transmissions,
telephone calls, e-mail, and other means. The NSA also works to protect U.S.
confidential communications from being breached by foreign intelligence
agencies. For many years, the U.S. government refused to acknowledge the
NSAs existence. In fact, it was joked that the initials NSA stood for No Such
Agency.
Policies of the President

In foreign policy, the president receives advice from some of the brightest
minds and experts in the country. Most advisers, however, rarely agree com-
pletely with one another. In a certain situation, some advisers might favor one
strategy while other advisers favor a different strategy. For example, during the
Cuban missile crisis in October 1961, General Maxwell Taylor, the chairman
of the Joint Chiefs of Staff, believed that the United States should invade Cuba
in order to destroy Soviet missile installations under construction. By con-
trast, Secretary of Defense Robert McNamara favored blockading Cuba in
order to prevent the Soviets from finishing their work of installing missile
sites. President John F. Kennedy eventually decided to implement Mc-
Namaras approach as the U.S. response to the crisis. A strong president does
not always side with the majority.
When taking office, the president should have goals in foreign affairs.
Then it becomes easier to exercise leadership and know how to act in a crisis.
Here are some examples of three presidents whose goals guided the way they
reacted to global challenges:
1. President Thomas Jefferson (18011809) wanted to keep the United States
out of a war being fought between the French and the British, which began
in 1803. To facilitate this goal, he announced a policy of strict neutrality
and eventually signed a series of laws (collectively known as the Embargo
Act) that restricted and then banned trade with the belligerent nations. Jef-
ferson accomplished his goal of keeping the United States out of the war,
but the Embargo Act hurt the U.S. economy.
2. When war broke out in Europe in 1914, President Woodrow Wilson
(19131921) insisted on the principle of freedom of the seas (the right
of merchant ships to travel freely in international waters) for U.S. ships. Wilson
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wanted to keep the United States out of the European war. However, Ger-
man submarines continued to attack U.S. ships despite repeated warnings.
In 1917, Wilson asked Congress to declare war against Germany.
3. Although he condemned the Soviet Union as an evil empire, President
Ronald Reagan (19811989) made arms control a top priority. After nearly six
years of setbacks and delays, President Reagan signed the 1987 Intermediate-
Range Nuclear Forces (INF) Treaty with Soviet Premier Mikhail Gorbachev.
The treaty, which was ratified by the Senate, banned all nuclear missiles
with ranges of 300 to 3,400 miles. In June 1982, the Reagan administration
began the Strategic Arms Reduction Talks (START) with the Soviets. The
talks continued under President George H. W. Bush (19891993), who
signed the START I treaty with Gorbachev in 1991 and the START II treaty
with Russian President Boris Yeltsin in January 1993. The treaties forced
both sides to reduce their nuclear arsenals. The Senate ratified START I in
October 1992. Political problems delayed the ratification of START II for
several years. With the support of President Bill Clinton (19932001), the
Senate finally ratified the treaty in 1996.
Policies of Congress
The president bears most of the responsibility for making foreign policy. But
Congress also plays an important role. Under our system of checks and bal-
ances, Congress has various ways of defeating the presidents policies if a
majority of its members oppose them.
Congress can refuse to appropriate the funds that the president wants to
spend on defense and foreign affairs. A second check belongs to the Senate
alone. It concerns the presidents power to negotiate treaties with other coun-
tries. Aided by diplomats in the State Department, the president negotiates
treaties on many subjects such as borders between nations, the extradition of
criminals, arms control, and the use of international airports.
The Constitution requires that treaties must be approved in the Senate by
a two-thirds vote. Most treaties are ratified, but there have been notable excep-
tions. In 1920, the Senate rejected the Treaty of Versailles, which was negoti-
ated by President Woodrow Wilson the year before. The treaty ended World
War I between the Allies and Germany. It also established the League of
Nations, an international organization that would allow nations to peacefully
resolve disputes. Many senators opposed the treaty because they feared that
the league would undermine the independence of the United States.
A third check on the president concerns his powers as commander in
chief. This power enables the president to respond quickly to an enemy attack
or foreign crisis. Within minutes, troops can be ordered overseas. Missiles can
be launched against enemy targets. In an emergency, the president can take
these actions without first getting Congresss approval. However, the Consti-
tution gives Congress alone the power to declare war. To stop presidents from
fighting a long war without their approval, Congress passed the War Powers
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Act in 1973. It states that: (1) The president must inform Congress of his
actions and the reasons for them within 48 hours; and (2) Military operations
must end after 90 days unless Congress votes to continue them.
Members of Congress argued that the War Powers Act was a proper check
on the president. Richard Nixon and subsequent presidents have said that it is
improper and is unconstitutional because it limits a presidents power in ways
not mentioned in the Constitution. (Congress overrode Nixons veto of the
act, and it became law.)
The Role of Public Opinion

A final check on the presidents foreign policies belongs to the American
people. By expressing their opinions, citizens can make it either easier or
harder for a president to follow a certain policy. As a rule, unpopular policies
do not last long. Here are just two examples of how public opinion can influ-
ence foreign policy. In 1937, Japanese troops invaded northern China. With-
out specifically mentioning Japan, President Franklin Roosevelt called on the
peaceful nations of the world to quarantine or isolate nations (through eco-
nomic and diplomatic means) that engaged in military aggression and threat-
ened the peace and freedom of other nations. Many Americans were alarmed
by the presidents Quarantine Speech and saw it as a step to getting involved
in another war. As a result of the negative public reaction to the speech,
Roosevelt was unable to pursue the initiatives he wanted to punish aggressor
nations.
In the mid-1960s, President Lyndon Johnson kept sending large numbers of
American troops to South Vietnam in order to fight North Vietnamese troops
and Vietcong guerrillas, who were both Communist. By 1968, public opinion
polls showed that millions of Americans had come to oppose President John-
sons war policies. Johnsons successor, President Richard Nixon, began with-
drawing troops and entered into secret negotiations with the North Vietnamese
to end the war. A peace treaty was finally signed in 1973. However, North Viet-
nam eventually defeated South Vietnam in 1975, and the two nations were
united under a Communist dictatorship.
Growing Foreign Intervention

In the following decades, the United States became more and more involved
in the affairs of other countries, especially when regional security and human-
itarian issues were involved. U.S. soldiers have been sent to distant lands to
fight the activities of dictators and to help achieve and maintain peace. U.S.
troops are a part of an international force that is made up of UN members or
our NATO allies. Some U.S. actions have been more successful than others
have. But by the 1990s, the U.S. had become the worlds only superpower, and
it was showing its might.
In 1983, President Ronald Reagan sent U.S. Marines to Lebanon in the
Middle East to help bring a settlement to a violent civil war. A suicide attack on
a Marine barracks in October of that year killed 241 Marines. President Reagan
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East Africa
LIBYA
SAUDI ARABIA
Red
Sea OMAN
CHAD ERITREA
Khartoum YEMEN
Asmara Sanaa
SUDAN Gulf of Aden

DJIBOUTI Djibouti
Addis Ababa
SOMALIA
CENTRAL
AFRICAN ETHIOPIA
REPUBLIC
UGANDA
Kampala Mogadishu
KENYA

CONGO
RWANDA Nairobi INDIAN OCEAN
Kigali
Bujumbura
BURUNDI
N
TANZANIA Dar es Salaam W E
Deployment of U.S. soldiers in Somalia is an example of the United States growing

intervention in foreign affairs.
then bowed to negative public reaction and withdrew all U.S. troops from the
country in 1984.
In 1992, President George H. W. Bush sent U.S. troops to Somalia as part of
an international force bringing aid to the starving Somali people. They were
caught in a civil war between rival warlords. However, when American soldiers
were killed by a Somali militia in 1993, U.S. public opinion turned against the
American presence. That year, President Bill Clinton withdrew U.S. forces.
In 1995, President Clinton sent U.S. troops to join an international coali-
tion attempting to stop the civil war in the former Yugoslavia. This war was
part of a Serbian attempt to expel or exterminate the large Muslim population
from the Yugoslav province of Bosnia. The Serb policies were known as eth-
nic cleansing and evoked horrors of the Holocaust in World War II. Most
Americans supported the intervention. Later that year, the United States
brought the opposing sides together near Dayton, Ohio, and negotiated a
cease-fire. U.S. troops were stationed in Bosnia for several years to help keep
the peace and oversee free elections.
In 1999, the U.S. public once again supported U.S.-led military interven-
tion in the former Yugoslavia, this time with NATO allies. Serbia had once
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more attempted to expel a Muslim population, this time from the south Ser-
bian province of Kosovo. UN peacekeeping forces entered Kosovo after two
and a half months of NATO bombing, and the Serbs withdrew.
There was much public criticism, however, when the United States did not
intervene to stop the mass killing of the minority Tutsi people in the African
nation of Rwanda in 1994. Nearly one million people died. (After leaving
office, President Clinton admitted that his failure to intervene in Rwanda was
the biggest mistake of his presidency.)
President George W. Bush pursued a policy of preemptive war against
Iraq in 2003. The rationale of preemptive war is to strike and defeat a hostile
nation before it strikes first. The purpose of the Iraq invasion was to seek out
and destroy the weapons of mass destruction that Iraqi leader Saddam Hussein
was alleged to be producing. At first, most Americans supported the war in
Iraq. However, other Americans questioned the use of American military force
instead of diplomacy to oust a dictator, especially in a region as unstable as the
Middle East. Some U.S. allies joined in the war, but major ones such as France
and Germany did not. After about one year of U.S. occupation of Iraq,
national and international support for the war substantially eroded. No
nuclear, chemical, or biological weapons were found. Thousands of American
soldiers were killed by anti-American Iraqis and international terrorists. Tens
of thousands of Iraqi civilians also died as a result of the war. The huge finan-
cial cost of the war and revelations of abuse of Iraqi prisoners of war by Amer-
ican troops also greatly undermined support for the war.
What is the cartoonist saying about the search for weapons of mass destruction?
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REVIEW
1. Define or identify: weapons of mass destruction (WMD), Joint Chiefs of
Staff, National Security Council (NSC), intelligence, counterintelligence,
CIA, NSA, freedom of the seas, and preemptive war.
2. Describe the four long-term goals of U.S. foreign policy. Why is war called a
short-term strategy?
3. Describe three responsibilities of the secretary of state. What role, if any,
does the secretary of defense play in foreign policy?
4. Describe four checks on how a president conducts foreign policy.
14.2 How Does the U.S. Use Diplomacy

to Settle Disputes?
The wars in Korea, Afghanistan, and Iraq are just some of the many wars that
have been fought in world history. The United States has fought in only a
dozen of them:
Revolutionary War (17761783)
War of 1812 (18121815)
Mexican War (18461848)
Civil War (18611865)
Spanish-American War (1898)
Cold-war allies British Prime Minister Harold Macmillan, U.S. President Dwight
Eisenhower, French President Charles de Gaulle, and West German Chancellor
Konrad Adenauer meet for a summit in Paris, France, in 1959.
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World War I (19171918)

World War II (19411945)
Korean War (19501953)
Vietnam War (19641973)
Persian Gulf War against Iraq (1991)
War against the Taliban in Afghanistan (2002present)
The second war against Iraq (2003present)
(U.S. troops fought Native American tribes at different times until the end of
the 19th century, but these violent episodes were not full-scale wars from the
governments point of view.)
Nations manage to get along peacefully with one another most of the
time. Every day, citizens of different countries travel back and forth across
international borders. Tons of merchandise is shipped across the worlds
oceans in a typical day of trade. In other words, peaceful relations are normal,
and the normal way to maintain such relations is through diplomacy.
Ambassadors Abroad
Diplomacy is an orderly system by which the government of one nation com-
municates with the government of another nation. It is a system used by all
nations of the world.
Some of the key players in diplomacy are ambassadors. These officials
are appointed by the heads of state of their own countries. For example, the
U.S. president appoints an American ambassador to Brazil. In turn, Brazils
president appoints the countrys ambassador to the United States. The ambas-
sadors travel to the capital cities of their assigned countries. The American
ambassador to Brazil travels to Braslia. The Brazilian ambassador travels to
Washington, D.C. They reside in diplomatic residences called embassies that
are considered part of their home countries.
An ambassadors main job is to officially represent his or her own country
and government. Governments give ambassadors instructions about how to
deal with certain problems. The ambassador carries out instructions by meet-
ing with officials in the foreign government and even the head of state or
head of government. The ambassador explains the concerns of the home gov-
ernment about an event or issue.
Diplomacy at the Highest Levels

Every government has a special department, or ministry, specializing in for-
eign affairs. Ambassadors and other diplomats of lower rank work under the
direction of this home department.
U.S. embassies receive their instructions from the Department of State in
Washington, D.C. Problems between countries are often too difficult for
ambassadors to solve. It may then be necessary to hold a meeting among the
highest officials of different nations. As you know, the president is the U.S.
head of state. Heads of state of different countries spend much of their time as
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diplomats. They exchange letters and notes with one another. They even
arrange to travel to other countries to try to solve international problems.
When heads of state meet face-to-face, the event is often known as a summit.
At summits, the leaders may reach agreements of great importance. In
1977, Egypt and Israel had been bitter enemies for 30 years. Then Egypts
leader, Anwar al-Sadat, visited with Israels Prime Minister Menachem Begin,
in Jerusalem, Israels capital. Sadats trip seemed to be a step toward peace. It
was a bold diplomatic move that impressed U.S. President Jimmy Carter.
Carter invited Sadat and Begin to meet again, this time as his guests in the
United States. In 1978, the three heads of state talked and argued for several
days in the presidents retreat at Camp David, Maryland. Finally, they told
reporters important news. Sadat and Begin had agreed to a plan for settling their
countries differences. President Carter offered to back the plan with U.S. aid.
The agreement at Camp David was hailed as a diplomatic triumph. It probably
could not have happened if the three leaders had not met together in person.
Routines of Trade and Travel

Diplomacy can sometimes involve world-shaking matters of war and peace.
More often, it involves simply smoothing the way for tourists and business
leaders to travel safely abroad. The government officials who are most con-
cerned with matters of travel and trade are called consuls. Their offices
abroad are called consulates. Tourists and visitors who lose their passport or
get into trouble while visiting a foreign country often turn to their consulate
for help.
Egyptian President Anwar al-Sadat, President Jimmy Carter, and Israeli Prime
Minister Menachem Begin shake hands after the signing of the Camp David
Accords at the White House in 1978.
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Besides helping American tourists, consuls and their staffs help American
businesses find foreign, or international, markets for their products. U.S. con-
sulates are located in more than a hundred major cities throughout the world.
They form one of two major divisions of the U.S. Foreign Service (American
diplomats serving abroad). The other division consists of ambassadors and
their staffs at U.S. embassies.
REVIEW
1. Define: diplomacy, ambassador, embassy, summit, consul, and consulate.
2. Why was the 1978 Camp David agreement hailed as a diplomatic triumph?
3. Describe the duties of ambassadors.
14.3 What Policies Have Guided the

United States in the Past?
Looking back at past policies will help us to see where current policies origi-
nate. In the history of U.S. foreign policy, World War II (19391945) forms a
major turning point. First, let us examine policies before that war toward three
regions of the world: Europe, Latin America, and Asia.
Policy Toward Europe

In colonial times, the British, the French, and the Spanish were often at war.
They fought not only in Europe but also in the lands they claimed in North
America. American colonists were dragged into these wars on the British
side.
After revolting against British rule in 1776, Americans wanted to be free
from European politics. As their first president, George Washington refused to
take sides in the wars between France and Britain. In his Farewell Address, in
1796, Washington warned the nation to avoid any alliances that could drag it
into war. Washingtons successors adopted this policy.
The policy of avoiding involvement in Europes wars was known as neu-
trality. For many years, this policy seemed to work, keeping the United
States safely removed from external conflicts. There were no airplanes or mis-
siles in the 19th century, so foreign armies could reach U.S. shores only on
slow-moving ships. Vast oceans to the east and west gave Americans a sense of
security against a surprise attack.
Neutrality, however, applied to politics only, not to business and trade.
U.S. presidents insisted on the right to freedom of the seas for U.S. ships
trading in European ports. Germany did not respect this right when World
War I broke out. Its submarines sank American ships without warning. There-
fore, in 1917, President Woodrow Wilson asked Congress to declare war
against Germany. American troops sailed to Europe to fight in the trenches
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alongside the British and the French. As soon as World War I ended, however,
the American people turned their backs on Europe, wanting never to become
involved again in a foreign war. This policy became known as isolationism.
Policy Toward Latin America

Americans were far more willing to become involved in the affairs of Central
and South America. They considered these lands to be in their own backyard.
In 1823, President James Monroe sent a warning to the governments of
Europe. He said the United States would firmly oppose any attempt by a Euro-
pean nation to interfere in the politics of Latin America. His diplomatic mes-
sage became famous as the Monroe Doctrine.
Though Europeans were not supposed to interfere in Latin America, the
United States often did. In 1903, President Theodore Roosevelt used the U.S.
Navy to support an uprising in Panama against the government of Colombia.
His action enabled the United States to build and operate the Panama Canal.
Later, President Wilson sent marines into Nicaragua and Haiti to keep order.
The use of military force to bring about political change is known as a policy
of intervention.
In the 1930s, President Franklin Roosevelt changed U.S. policy toward
Latin America. He recognized that the peoples of this region resented the
interventionist policies of the past. In the future, Roosevelt said, the United
States would follow a Good Neighbor Policy and treat the countries to the
south with respect.
A 19th-century cartoon depicts the United States (as a soldier holding rifle) protecting Latin
America from the nations of Europe. What U.S. policy does it illustrate?
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President Franklin Roosevelt signs the declaration of war

against Japan on December 8, 1941.
Policy Toward Asia

When thinking about Asia, policy makers were mainly concerned with promot-
ing business. In the second half of the 19th century (18501900), U.S. factories
turned out vast amounts of cloth, steel, machinery, and other goods. Businesses
needed to find millions of consumers for their products. They hoped to sell
them to the peoples of Asia, especially the Chinese.
Several European nations, however, were trying to win exclusive control
of the China trade. Therefore, in 1900, the United States announced its Open
Door Policy. It declared that Chinas markets should be left open to all
nations, and that Chinas territory and independence should be respected.
When Japanese armies occupied part of China in the 1930s, this posed a
direct challenge to the Open Door Policy. In 1940, President Franklin Roo-
sevelt began placing economic and diplomatic pressure on Japan to withdraw
from China. But instead of withdrawing, the Japanese military decided in
1941 to bomb the U.S. naval base at Pearl Harbor in Hawaii. The attack
brought the United States into World War II against Japan and its allies, Ger-
many and Italy.
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Cold War Policies After World War II

The United States and its allies (Britain, China, and the Soviet Union) won the
war in Europe and Asia. But the great victory in 1945 also brought problems
that Americans had never faced before.
For the first time, the United States had greater military power than any
other nation in the world. This fact placed the United States in a position of
world leadership and responsibility. Additionally, a powerful nation and for-
mer ally now looked upon the United States as its enemy. This country, the
Soviet Union, had the largest army in the world. Its power was second only to
that of the United States. As a Communist country, the Soviet Union dis-
trusted countries, such as the United States, that had democracy and free
enterprise. The Soviet government was committed to a policy of aggressively
promoting communism in other countries of the world. Finally, atomic
weapons capable of destroying entire cities came into existence. The dropping
of two atomic bombs on Japan in 1945 ended World War II in the Pacific. The
Soviets tested their first atomic bomb in 1949. Since then, people throughout
the world have lived in fear that nuclear weapons, which have become more
destructive, might be used in a future war.
These conditions and the experience of World War II caused the United
States to abandon the neutrality and isolationist policies of the past. It was
now a superpower confronting another superpower, the Soviet Union. U.S.
leaders decided that they could not stand by and watch Soviet-sponsored
communism spread to other countries. American diplomats and military lead-
ers thought the United States should contain (actively oppose) communism
everywhere in the world. This policy came to be known as containment.
Harry Truman was the first president to apply the policy of containment. He
persuaded Congress to give billions of dollars in aid to the democracies of West-
ern Europe. The money helped strengthen France, Greece, and Italy so that the
Communist parties in those countries would not come to power. Truman con-
tained communism in Asia by sending U.S. troops to Korea. He also provided
military aid to Greece and Turkey, which both defeated Communist guerrillas.
The fighting in Korea was a hot war, which involved shooting and bomb-
ing. But the larger conflict between the two superpowers was a cold war, one
involving heated rhetoric and threats but without large-scale violence.
Throughout the 1950s and 1960s, Soviet and American leaders often expressed
their distrust and fear of each others governments without any direct con-
frontation or military action. This period in history is called the cold war.
Defensive Alliances Around the World

Other countries besides the United States felt threatened by the Soviet Union.
For their mutual protection, the anti-Communist countries signed a number
of treaties of alliance. Such treaties are also called mutual defense pacts.
Nations agreeing to each pact promised to come to one anothers defense if
just one of them was ever attacked.
In 1949, the United States, Canada, and the nations of Western Europe
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NATO Members in 1949
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established the North Atlantic Treaty Organization (NATO), a mutual

defense pact. NATO now maintains an army and air force staffed by personnel
from every participating country, including the United States.
The United States is committed to the defense of nations around the
world. In Asia, it signed defense pacts with the Philippines, Japan, South
Korea, Australia, and New Zealand. In our own part of the world, Latin Amer-
ica and the United States belong to a mutual defense system called the Orga-
nization of American States (OAS). Members of this organization are
pledged to aid one another in fighting aggression. Almost all the countries of
Central and South America belong to the OAS. One exception is Cuba, which
dropped out of the alliance in 1960 after becoming a Communist nation.
End of the Cold War

Until the late 1980s, it seemed that the cold war between the United States
and the Soviet Union would never end. Then, almost overnight, revolutionary
changes occurred in both the Soviet Union and Eastern Europe. Soviet leader
Mikhail Gorbachev began to make the politics of his country more open and
democratic. For the first time, candidates who were not Communists could
run for election.
Reform in the Soviet Union led to revolution in the countries of Eastern
Europe. For the first time, citizens were allowed to vote freely either for or
against continued rule of the Communist Party. The Polish people voted the
Communists out of office. The Hungarians, Czechs, Bulgarians, and Romani-
ans eventually deposed their Communist governments as well, finally making
them free of Communist domination.
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At the same time, 12 nations of Western Europe looked forward to a major

change in their economic life. These nations (including all European members of
NATO except Norway and Turkey) belonged to a Common Market, or Economic
Community (EC). The EC nations agreed in 1992 to place their economies under
a single governing body. It became the European Union (EU), which eventu-
ally admitted other European countries. In the last two decades, the EU has
acquired more political power in governing its member states.
U.S. foreign policy makers understood that the world of the 21st century
would be radically different from the past. In this fast-changing world, how
could the United States best achieve its four historic goals of freedom, peace,
prosperity, and national security?
REVIEW
1. Define or identify: neutrality, isolationism, Monroe Doctrine, Good Neigh-
bor Policy, Open Door Policy, superpower, containment, cold war, mutual
defense pact, NATO, OAS, and the EU.
2. Why did the United States abandon its policy of isolationism after World
War II?
Presidential Doctrines
Since the start of the cold war in the late 1940s, it has been common for
presidents to follow President James Monroes example (see below) and
publicly declare a foreign policy doctrine. By issuing a doctrine, a president
lets Congress, the public, and foreign countries know what foreign policy
goals he or she intends to pursue. Here are some of the most noteworthy
presidential doctrines:
Monroe Doctrine. In 1823, President James Monroe told the nations of
Europe that they may no longer seek colonies or interfere with the affairs of
any sovereign nation in the Americas. In return, the United States pledged to
remain neutral in any wars involving European nations and respect their
existing colonies. In the latter half of the 20th century, Presidents John
Kennedy, Jimmy Carter, and Ronald Reagan invoked the Monroe Doctrine as
justification for seeking to stop the spread of Soviet-sponsored communism
in Central America.
Roosevelt Corollary. In 1904, President Theodore Roosevelt added a
provision to the Monroe Doctrine in order to stop European countries from
using force against nations in the Western Hemisphere that refused to pay
back their loans. The Roosevelt Corollary to the Monroe Doctrine stated that
the United States would exercise international police power by intervening in
the affairs of any nation in the Caribbean and Central America that failed to
pay its debts to other nations.
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Presidential Doctrines (Continued)

Truman Doctrine. In 1947, President Harry Truman said that the United
States would support free peoples who are resisting attempted subjugation
by armed minorities or by outside pressures. Under the Truman Doctrine, the
United States sent military and economic aid to Greece and Turkey in order to
prevent the Soviet-backed Communist forces from taking control of the
governments.
Eisenhower Doctrine. President Dwight Eisenhower became concerned
with growing Soviet influence in the Middle East. In 1957, Eisenhower told
Congress that the United States would give economic aid and military assistance
to any nation in the Middle East that requested them in order to secure and
protect [their] territorial integrity and political independence . . . against overt
armed aggression from any nation controlled by international Communism.
The following year, Eisenhower sent troops to Lebanon at the request of its
pro-Western president, who was in danger of being violently deposed.
Johnson Doctrine. In 1965, President Lyndon Johnson sent troops to the
Dominican Republic in order to prevent Communists from coming to power
there. Johnsons justification that the American nations cannot, must not, and
will not permit the establishment of another Communist government in the
Western Hemisphere became known as the Johnson Doctrine.
Nixon Doctrine. In 1969, President Richard Nixon announced that the
United States now expected its Asian allies to bear the burden of their own
defense by providing the manpower. The United States, however, would
continue to honor its treaty commitments and also extend nuclear protection
How does the cartoonist fault President George W. Bushs foreign policies?
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Presidential Doctrines (Continued)

to its Asian allies. The Nixon Doctrine led to Nixons Vietnamization plan,
which called for training South Vietnamese soldiers so they could take a larger
part in defending their country against Communist aggression, and a gradual
withdrawal of U.S. military personnel from Southeast Asia.
Carter Doctrine. In his State of the Union address in 1980, President
Jimmy Carter said, An attempt by any outside force to gain control of the
Persian Gulf region will be regarded as an assault on the vital interests of the
United States of America, and such an assault will be repelled by any means
necessary, including military force. Carters words were aimed at the Soviet
Union, which had invaded Afghanistan in December 1979.
Reagan Doctrine. In his State of the Union speech in 1985, President
Ronald Reagan said that the United States must not break faith with those
who are risking their liveson every continent, from Afghanistan to
Nicaraguato defy Soviet-supported aggression and secure rights which have
been ours from birth. Under the Reagan Doctrine, the United States gave
military and humanitarian aid to armed rebels who were fighting to overthrow
Communist dictatorships in Nicaragua, Afghanistan, and Angola.
Bush Doctrine. On September 17, 2002about one year after the
September 11 terrorist attacksPresident George W. Bush announced a major
shift in U.S. foreign policy with the release of the National Security Strategy of
the United States of America by the White House. The major elements of
what became known as the Bush Doctrine are contained in this document.
The greater the threat [to the national security of the United States], the
greater is the risk of inactionand the more compelling the case for taking
anticipatory action to defend ourselves, even if uncertainty remains as to the
time and place of the enemys attack, the document states. To forestall or
prevent such hostile acts by our adversaries, the United States will, if
necessary, act preemptively. Regarding any U.S. military action, the document
states that while the United States will constantly strive to enlist the support
of the international community, we will not hesitate to act alone, if necessary,
to exercise our right of self-defense by acting preemptively. The Bush
Doctrine also calls for the United States to maintain its military superiority
and to actively promote democracy in every part of the world.
In March 2003, despite vocal opposition from some of its longtime allies,
the United States invaded Iraq in order to remove the Iraqi dictator Saddam
Hussein, whom the United States and several other countries believed had
weapons of mass destruction (WMDs). President Bush believed that Hussein,
with these WMDs, could pose a future threat to the United States and other
nations. However, after the United States deposed Husseins regime, no
WMDs were found.
It remains to be seen what foreign policy doctrines, if any, President Barack
Obama and future presidents will issue.
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14.4 What Is the Future of U.S. Foreign Policy?

Many Americans consider the Japanese attack on Pearl Harbor on December 7,
1941, and the terrorist attacks on September 11, 2001, to be turning points in
American history. There are differences between the two attacks.
Pearl Harbor was attacked by a sovereign nation with geographical
boundaries and a government. The United States responded by declaring war
on Japan, which was subsequently defeated in 1945. By contrast, the Septem-
ber 11, 2001, attacks were committed by members of Al Qaeda, a terrorist net-
work with thousands of members in many countries and whose leaders stay
hidden. The United States responded to the terrorist attacks by tightening
security within its borders and attacking Afghanistan, which had a hostile,
anti-U.S. government that allowed Al Qaeda to use its country as a base of
operations. Although the war in Afghanistan damaged Al Qaeda, it did not
destroy or defeat the terrorist organization, which has orchestrated other
attacks in other parts of the world since 2001.
Global Problems
For hundreds of years, governments, for the most part, acted on the assump-
tion that events or problems within their countries did not affect other coun-
tries. Today, with instant communication and rapid transportation, problems
such as disease, crime, terrorism, and poverty transcend national borders and
require the cooperation of different nations in order to be adequately addressed.
For example, in 2003, China experienced an outbreak of severe acute respira-
tory syndrome (SARS), a communicable disease. People who were unknowingly
infected with SARS then traveled to other countries and spread the disease.
More than 8,000 people in many countries eventually became infected and
Terrorists used hijacked airliners to attack

the World Trade Center in New York City on
The burning wreckage of the U.S.S. Arizona sinks September 11, 2001, killing over 2,600
during the surprise Japanese attack on Pearl people.
Harbor on December 7, 1941. The United States
declared war on Japan the next day.
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over 750 people died. To contain SARS, governments had to share information
with one another and the public.
Economic Interdependence
Today, the economies of many nations are interdependent. The economic
health of one nation directly affects others. Many corporations cannot sustain
themselves in the long run by selling products only in their countries. To
make profits, corporations need access to foreign markets. In order to obtain
that access for its corporations, the United States must negotiate with other
countries and maintain friendly relations with them.
Arms Control
Despite the end of the cold war, arms control remains a top priority for the
United States. The U.S. government seeks to stop the proliferation of nuclear,
biological, and chemical weapons around the world. U.S. leaders are con-
cerned that such weapons of mass destruction may end up in the hands of so-
called rogue states such as Iran and North Korea, or even terrorists.
The Role of the United States in the World Today

As the only superpower, the United States faces questions about its role in the
world. Some Americans think the United States should use its economic,
What is the cartoonist saying about nuclear weapons?

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diplomatic, political, and military resources and actively spread democracy

around the world, especially in the volatile Middle East. Other Americans think
the United States should be more cautious and work with the UN and other
nations to address problems and gradually promote democracy and human
rights without inflaming tensions in trouble spots and creating new problems.
REVIEW
1. How was the Japanese attack on Pearl Harbor different from the September
11, 2001, terrorist attacks?
2. What types of problems transcend national borders today?
3. Why does arms control remain a priority for the United States?
4. How do Americans differ on what the role of the United States in todays
world should be?
CHAPTER 14 REVIEW
1. What is not a long-term goal of U.S. foreign policy? (a) freedom (b) peace
(c) reducing its sovereignty (d) prosperity
2. The Department of Defense replaced which Cabinet agency? (a) Depart-
ment of Commerce (b) Department of War (c) Department of Justice
(d) Department of State
3. Who is the military counterpart to the secretary of defense? (a) the Chair-
man of the Joint Chiefs of Staff (b) the commandant of the Marine Corps
(c) the chief of the army (d) the chief of the navy.
4. Which military branch was created after World War II? (a) marines
(b) navy (c) army (d) air force
5. The National Security Council (NSC) is a forum of the (a) United Nations
(b) executive branch (c) judicial branch (d) legislative branch.
6. According to the Constitution, the power to declare war rests with (a) the
president (b) the Supreme Court (c) the Department of Defense (d)
Congress.
7. Which treaty was rejected by the U.S. Senate? (a) Treaty of Versailles (1919)
(b) INF treaty (1987) (c) START I treaty (1992) (d) START II treaty (1993).
8. The system by which the government of one nation communicates with
the government of another nation is known as (a) ambassadorial courtesy
(b) summit meetings (c) sanctuary (d) diplomacy.
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9. The Monroe Doctrine and the Good Neighbor Policy both relate to U.S.
foreign policy toward (a) Europe (b) Asia (c) Africa (d) Latin America.
10. The attacks of September 11, 2001, were orchestrated by (a) Iraq (b) Japan
(c) Al Qaeda (d) Black September.
ESSAY
Write an essay describing how U.S. foreign policy evolved from a policy of
neutrality in the presidency of George Washington to a policy of active inter-
vention and a leading role on the world stage after World War II. What factors
led the United States to alter its policies? Be sure to identify the merits, dan-
gers, and costs of neutrality and interventionism.
the documents and additional information based on your knowledge of U.S.
history.
Historical Context: Unexpected crises often force presidents to change

their foreign policies and implement courses of action that might have grave
consequences for the United States.
DOCUMENT 1
Yesterday, Dec. 7, 1941a date which will live in infamythe United

States of America was suddenly and deliberately attacked by naval and
air forces of the Empire of Japan.
The United States was at peace with that nation and, at the solicitation
of Japan, was still in conversation with the government and its emperor
looking toward the maintenance of peace in the Pacific.
Indeed, one hour after Japanese air squadrons had commenced bomb-
ing in Oahu, the Japanese ambassador to the United States and his col-
leagues delivered to the Secretary of State a formal reply to a recent
American message. While this reply stated that it seemed useless to con-
tinue the existing diplomatic negotiations, it contained no threat or
hint of war or armed attack.
It will be recorded that the distance of Hawaii from Japan makes it obvious
that the attack was deliberately planned many days or even weeks ago.
During the intervening time, the Japanese government has deliberately
sought to deceive the United States by false statements and expressions of
hope for continued peace.
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The attack yesterday on the Hawaiian Islands has caused severe damage
to American naval and military forces. Very many American lives have
been lost. . . .
As commander in chief of the Army and Navy, I have directed that all
measures be taken for our defense. But always will our whole nation
remember the character of the onslaught against us. . . .
I ask that the Congress declare that since the unprovoked and dastardly
attack by Japan on Sunday, December 7th, 1941, a state of war has
existed between the United States and the Japanese empire.
President Franklin Delano Roosevelt, address to
joint session of Congress, December 8, 1941
1. What measures did President Roosevelt, as commander in chief, say he
implemented after the Japanese attack on Pearl Harbor, and what did he
ask Congress to do?
DOCUMENT 2
This Government, as promised, has maintained the closest surveillance

of the Soviet military buildup on the island of Cuba. Within the past
week, unmistakable evidence has established the fact that a series of
offensive missile sites is now in preparation on that imprisoned island.
The purpose of these bases can be none other than to provide a nuclear
strike capability against the Western Hemisphere. . . .
Acting, therefore, in the defense of our own security and of the entire
Western Hemisphere, and under the authority entrusted to me by the
Constitution as endorsed by the Resolution of the Congress, I have
directed that the following initial steps be taken immediately:
. . . To halt this offensive buildup a strict quarantine on all offensive
military equipment under shipment to Cuba is being initiated. All ships
of any kind bound for Cuba from whatever nation or port will, if found
to contain cargoes of offensive weapons, be turned back.
. . . It shall be the policy of this Nation to regard any nuclear missile
launched from Cuba against any nation in the Western Hemisphere as
an attack by the Soviet Union on the United States, requiring a full
retaliatory response upon the Soviet Union.
. . . Under the Charter of the United Nations, we are asking tonight that
an emergency meeting of the Security Council be convoked without
delay to take action against this latest Soviet threat to world peace.
[Finally] I call upon Chairman Khrushchev to halt and eliminate this
clandestine, reckless, and provocative threat to world peace and to
stable relations between our two nations.
President John F. Kennedy, televised address
to the nation, October 22, 1962
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2. What military and diplomatic steps did President Kennedy take in order to
have the Soviet missile bases removed from Cuba?
DOCUMENT 3
Immediately following the first attack, I implemented our govern-

ments emergency response plans. Our military is powerful, and its pre-
pared. Our emergency teams are working in New York City and
Washington, D.C. to help with local rescue efforts.
Our first priority is to get help to those who have been injured, and to
take every precaution to protect our citizens at home and around the
world from further attacks.
The functions of our government continue without interruption. Fed-
eral agencies in Washington, which had to be evacuated today, are
reopening for essential personnel tonight, and will be open for business
tomorrow. Our financial institutions remain strong, and the American
economy will be open for business, as well.
The search is underway for those who are behind these evil acts. Ive
directed the full resources of our intelligence and law enforcement com-
munities to find those responsible and to bring them to justice. We will
make no distinction between the terrorists who committed these acts
and those who harbor them.
President George W. Bush, televised address to
the nation, September 11, 2001
3. What measures did President Bush take after the September 11, 2001, ter-
rorist attacks?

and a conclusion discussing how unexpected crises have forced presidents to
change their foreign policies. Make references to the documents and your
knowledge of U.S. government in your essay.
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Making and Evaluating Generalizations
Understanding generalizations can help you evaluate what you read. A gener-
alization is a type of conclusion. It is a very broad statement that is applied to
a great number of examples. As you encounter and develop generalizations,
think in terms of negative and positive framing, as you can see in the follow-
ing examples.
All foreign policy decisions are inherently motivated by a politicians desire

to enhance his or her prestige.
No foreign policy decisions are motivated solely by a politicians interest in
aiding the country.
Generalizations can be easy to recognize or difficult to ferret out. First, try

to isolate generalizations by looking for words such as: in general, generally,
always, sometimes, some, occasionally, consistently, seldom, many, few, all, most,
everyone, rarely, overall, for the most part, none, never, at no time in history, not
always.
Once you have found a generalization, consider whether it is valid or

faulty. If a generalization is strongly supported by distinct facts and logic, it is
a valid generalization. If not, it is a faulty generalization. As you evaluate general-
izations, look to the content you are considering, your personal knowledge,
and other factual resources you have at your disposal. Read the paragraph
below and note the examples that follow it.
There has been a call for the city to purchase the large vacant lot next to
Eagle Lake. The city has made numerous investments throughout the
past year. Of these, 58 have been acquisitions in real estate, each of
which has resulted in solid income to the city. This can be verified
through the profit-and-loss statements filed in the Office of the Clerk at
City Hall. The income through real estate investments of the past year
is matched by the income from such investments for the five preceding
years.
Examples:
Valid Generalization: Our city has generated income every time City
Council has mandated a real estate investment during the past six years.
Faulty Generalization: The investments made by our city through
City Council vote have consistently resulted in a profit.
The first generalization is strongly supported by facts in the paragraph.

The second generalization is not supported by facts in the paragraph. While
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the paragraph references other types of investments, the facts address the
income only from real estate investments.
A. Read the selections from Chapter 14 and answer the questions.
1. Select the valid generalization (Y or Z below) that is supported

by the following paragraph. Write the generalization on your
own paper, and explain why the generalization you have chosen
is validand why the other generalization is faulty.
Bordered by two oceans, the United States has been fortunate. It has
been attacked only twice by a foreign nation and once by terrorists who
were protected by a foreign nation. During the War of 1812, the British
captured Detroit and inflicted extensive damage to the cities of Buffalo
and Washington, D.C., the nations capital. On December 7, 1941, the
Japanese attacked the U.S. Pacific naval fleet at Pearl Harbor in Hawaii,
which was then an American territory. On September 11, 2001, terror-
ists flew hijacked airplanes into the World Trade Center in New York
City and the Pentagon, near Washington, D.C. (A fourth hijacked air-
liner crashed in Shanksville, Pennsylvania, after its passengers fought
back against the terrorists.) After the attacks, the United States attacked
Afghanistan, which was controlled by an extremist group of Islamic
clerics known as the Taliban. Afghanistans Taliban government pro-
tected the terrorist leader Osama bin Laden, who had orchestrated the
attacks, allowing him to use the country as a base of operations.
Generalization Y: Attacks on America have consistently been the result of a pres-

idents failure to adequately prepare the armed forces.
Generalization Z: There have been relatively few attacks on America throughout

the history of the country.
2. Locate three valid generalizations in paragraph below. Note words

and phrases that aid you in identifying the statements as
generalizations. Then explain why each generalization is valid.
In foreign policy, the president receives advice from some of the bright-
est minds and experts in the country. Most advisers, however, rarely
agree completely with one another. In a certain situation, some advisers
might favor one strategy while other advisers favor a different strategy.
For example, during the Cuban missile crisis in October 1961, General
Maxwell Taylor, the chairman of the Joint Chiefs of Staff, believed that
the United States should invade Cuba in order to destroy the Soviet mis-
sile installations under construction. By contrast, Secretary of Defense
Robert McNamara favored blockading Cuba in order to prevent the
Soviets from finishing their work of installing missile sites. President
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John F. Kennedy eventually decided to implement McNamaras

approach as the U.S. response to the crisis. A strong president does not
always side with the majority.
B. Locate a print or online article or speech related to U.S. foreign policy,

and then follow the directions below. Be certain the piece you select
includes at least three generalizations. These generalizations may be
faulty or valid.
3. Print, cut out, or photocopy the article or speech, and attach it to

your own paper. Highlight at least three generalizations. On your
own paper, explain whether each is a faulty or valid generalization.
Support your statements with examples from the piece you have
selected.
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UNIT VII
STATE AND
LOCAL
GOVERNMENT
The Ohio State Capitol in Columbus
I
n addition to being affected by the federal government, Americans
are greatly affected by their state and local governments.
Chapter 15 looks at state government. The 50 state govern-
ments are organized just like the federal government, with their own
constitutions and powers divided among the executive, legislative, and
judicial branches. This chapter also examines how states differ from
the federal government, how states differ from one another, how they
raise revenue, and what services they provide to their residents.
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Chapter 16 covers local government. The 50 states contain many

cities, counties, and towns that play important roles in the lives of
Americans. You will learn how local government is organized and how
it functions.
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Chapter 15

Comparing State
Governments
KEY TERMS
state comptroller full-faith-and-
constitution public works credit
legislative grant-in-aid interstate
district compact
territory
State of the
commonwealth
State address
The United States grew from 13 states in 1776 to 50 states by 1959. This chap-
ter will discuss how the individual states are governed, their relations with the
federal government, and their relationship with one another. You will also
learn about individual state constitutions, officials, and finances.
15.1 In What Ways Are the State Governments Similar

to the U.S. Government?
State governments are organized very much like the U.S. government. They
exist to serve their residents.
All states have constitutions. Each of the 50 states has its own written con-
stitution. Most state constitutions begin with a preamble, similar to the
Preamble of the U.S. Constitution.
Every state government also lists the rights of its citizens. In Floridas
constitution, this list is called a Bill of Rights. In most state constitutions,
the list of peoples rights comes before any mention of the governments pow-
ers. Many of the rights in state constitutions are similar to those in the U.S.
Constitution.
321
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322 UNIT VII STATE AND LOCAL GOVERNMENT
Powers Are Separated Among Three Branches

All state governments divide power as follows:
Legislative power belongs to elected representatives meeting in the state
capital.
Executive power belongs to several elected officials, chief of whom is the
states governor.
Judicial power belongs to a number of state courts, one of which is the final
authority.
Two Houses Enact State Laws

The legislatures of 49 states are divided into an upper house and a lower
house. These state legislatures are bicameral. Nebraska is the only exception.
Its legislature is unicameral: Its laws are made by just one house.
The U.S. House of Representatives has a larger membership than the
U.S. Senate. Similarly, the two houses of a typical state legislature are unequal
in size. Lawmakers represent legislative districts. Most states are divided
into two kinds of legislative districts. One set of districts is for electing
lawmakers to the upper house, or the state senate. The other set of districts
is for electing lawmakers to the lower house. To ensure that all citizens
are represented equally, a states legislative districts must be about equal
in population.
Committees Lawmaking Work

Lawmaking procedures of the state legislatures are much the same as in Con-
gress. A bill is given a number and assigned to a committee of either the upper
or lower house. The committee may either pigeonhole (put aside) the bill or
approve it. If the committee approves the bill, it goes to the floor of the full
house for a vote. If the majority vote aye, the other house must take up the
bill. A committee in that second house reviews it. If approved there, another
floor vote is taken.
If there are differences in two versions of a bill (an upper-house version
and a lower-house version), a conference committee meets to draw up a com-
promise bill. The committee is made up of members from both houses. If
passed by both houses, the bill goes to the governor, who either signs it or
vetoes it.
Checks and Balances

A governors veto can check an act of the state legislature. Most state constitu-
tions also provide for a countercheck. A governors veto can be defeated if two-
thirds of the members of both lawmaking houses vote to override it. (In
Nebraska, with its one house, overriding the governors veto is easier to achieve
than in the two-house legislatures of other states.)
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Governors Executive Powers

The governor, as the chief executive, is responsible for seeing that state laws
are enforced. The governor is also the commander in chief of the state militia
(National Guard), which may be called to active duty in times of emergency.
For example, the governor may call upon the National Guard to control a riot
or to rescue people from a disaster. In wartime, Guard units may be federal-
ized to serve within the Army and Air Force.
People in state government look to the governor to provide leadership.
At the beginning of each year, the legislature receives direction when the
governor delivers a state of the state address. This message identifies
issues that the governor thinks are important and includes recommendations
for new laws. Then, the governor tries to persuade lawmakers to vote for this
program.
A strong governor can do wonders for the economy of the state and the
well-being of the states citizens. Being governor is the best job in politics
right now, Republican Governor Tom Kean of New Jersey (19821990) told
the New York Times. Its the job where you can get the most accomplished.
However, governors are also in a position of executive authority, very similar
to the president, but on a smaller scale of state government. With such
authority there is easy opportunity for the position to be abused. Corruption
and immoral doings brought down Eliot Spitzer of New York in 2008, and
Gray Davis of California in a special recall vote at the end of 2003. In 2009,
Illinois Governor Rod Blagojevich was impeached on corruption charges for
trying to sell the vacated Senate seat of President Barack Obama.
Governor David Paterson (right) of New York

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A cartoonists view of Illinois Governor Rod Blagojevich, who was

impeached in disgrace in 2009
Cabinet Advisers
The governor needs a lot of help in executing the states laws. He or she con-
sults often with the top state officials who run the executive departments
(such as transportation, health, and education). These officials, who both
administer state laws and advise the governor, are known as the cabinet.
The word cabinet does not appear in the U.S. Constitution, but it does
appear in many state constitutions.
Judicial Branch
The justice system that provides for trials and appeals in the state courts is
similar to the federal system. First, trials of both civil and criminal cases take
place in lower, or trial, courts. Then a lawyer who wants to challenge a trial
courts decision may appeal it to a higher state court. A state appeals court, like
the U.S. Supreme Court, has greater power than all the others in the state sys-
tem. This highest court usually meets in the state capital.
REVIEW
1. Define: legislative district and state of the state address.
2. Describe three ways Congress and most state legislatures are similar.
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Nebraskas Unicameral Legislature

Nebraska is unique because it is the only state that has a one-house
legislature. The other 49 states have a typical bicameral legislature, with an
upper house and a lower house.
Admitted to the Union in 1867, Nebraska long had a bicameral legislature.
In the early 1930s, Nebraskas U.S. Senator George W. Norris, a Republican,
began a campaign to have the state convert to a unicameral legislature.
During a trip to Australia in 1931, Norris was impressed with the unicameral
legislature that operated there in the state of Queensland.
Norris believed that a unicameral legislature would be more efficient than a
bicameral one. The constitutions of our various states are built upon the idea
that there is but one class, he said. If this be true, there is no sense or
reason in having the same thing done twice, especially if it is to be done by
two bodies of men elected in the same way and having the same jurisdiction.
Critics charged that Norriss plans
would undermine the traditional checks
and balances against the abuse of power.
Norris said that Nebraskas governor and
Supreme Court would check the
legislature if it got too powerful.
Norriss proposal was placed on the
ballot in 1934, and it passed. Nebraskas
unicameral legislature began meeting in
1937. The result was that it substantially
reduced government costs, and it
operated more efficiently. Important bills
were passed quickly.
Today, the Nebraska State Legislature
has 49 members, called senators, who
represent individual districts. The
legislature is also nonpartisan, meaning
U.S. Senator George Norris
that candidates are not listed on the
ballot with any political party. Candidates compete in a primary. The two
candidates who receive the most votes then compete in a general election.
Senator Norris hoped that every state would see the benefits of a
unicameral legislature and eventually adopt it. However, the other states
decided to keep their bicameral legislatures.
15.2 In What Ways Are the State Governments

Different From the U.S. Government?
Despite sharing a number of similarities with the federal government, state
governments are different in several ways.
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States Not Completely Sovereign

The United States is a completely sovereign nation. The states within it, how-
ever, are not. They are prohibited by the U.S. Constitution from such actions as
issuing money, declaring war, negotiating treaties with foreign nations, collect-
ing taxes on trade with foreign nations, and collecting taxes on interstate trade.
A states sovereign power to pass laws is limited by rules of a higher law:
the U.S. Constitution. What happens, for example, when a state contradicts
either a rule in the Constitution or a law of Congress? Then the state action or
law may be declared unconstitutional by a federal court. The states governor
must abide by and respect the U.S. courts ruling because the U.S. Constitution
is supreme.
Lengthy State Constitutions

State constitutions are long partly because they contain many details that the
U.S. Constitution leaves out. For example, Article IV, Section 19 of the Texas
Constitution reads: The Seal of the State shall be a star of five points encircled
by olive and live oak branches and the words The State of Texas. A states
constitution may set a limit on taxes or declare a fixed amount of tax. The U.S.
Constitution does not. Laws passed by Congress and signed by the president
set tax rates.
Some critics argue that state constitutions contain too many details. They
think the shorter U.S. Constitution is better because it gives only broad polit-
ical principles. The trouble with including a lot of details in a constitution is
that they tend to go out of date quickly. Then the only way to change them
is by a formal amendment. Amending a constitution many times adds to its
length. Californias constitution, for example, has been amended several hun-
dred times.
In most states, the amendment process is relatively easy. It involves just
two steps: (1) An amendment is proposed in a bill adopted by the state legisla-
ture. (Passage could be by a majority vote, as in Missouri, or by a two-thirds
vote, as in Texas.) (2) The proposed amendment is voted upon by the people
of the state. If a majority vote yes, the amendment is ratified and added to the
constitution.
As a general rule, legislators tend to vote no on proposed amendments,
while voters tend to vote yes. One reason for this is that politicians must be
careful not to offend powerful interest groups and constituencies.
State Constitutions May Be Old or New

Besides being longer, many state constitutions were also written much later
than the U.S Constitution. Floridas basic document, for example, was created in
1968 (compared to 1787 for the U.S. Constitution). Before 1968, Floridians had
been governed under four earlier constitutions, the first one going back to 1839.
The people who write state constitutions often meet in special conven-
tions for this exact purpose. Each state has its own procedures for calling such
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constitutional conventions. Take New York as an example. First, majorities in

the New York legislature must pass a proposal for holding a constitutional
convention. A majority of voters must then approve the idea.
Judges and Cabinet Officers May Be Elected

State constitutions allow the voters many opportunities to elect state officials
in both the executive and judicial branches. New Yorkers, for example, vote
for a governor (and a lieutenant governor who runs on the same ticket), an
attorney general, a comptroller (one who oversees the states financial
affairs), and judges for the New York Supreme Court, which hears civil cases.
In most states, several top jobs in a states executive branch are filled on
Election Day. In many states, including Florida, Missouri, and California, vot-
ers may elect a secretary of state. Unlike the U.S. secretary of state, this official
has nothing to do with foreign affairs. His or her main function is to keep state
records and administer elections.
Most states also provide for the election of judges by its citizens. Massachu-
setts is one of the few exceptions. The governor appoints all of the states judges.
Election of Judges
In a democracy such as ours, is it better for state judges to be elected by popular
vote or appointed by the governor? Here are arguments for both points of view:
a. Elect the Judges. The governor is elected. All members of the state leg-
islature are elected. Why then shouldnt top officials in the third branch,
the judiciary, also be elected? Democratic government means that all top
officials are responsible to the people. Judges will be careful to serve the
people only if their jobs depend on winning elections.
b. Appoint the Judges. Judges should be highly trained specialists in the
law. Their only concern should be conducting trials that are fair and just.
They should not be politicians trying to win popularity by their courtroom
decisions. If judges are appointed to office, they can concentrate on justice
rather than on the next election.
Serving the General Welfare

Probably the most important difference between state governments and the
federal government is not of organization but of function. One of the federal
governments main functions is to deal with foreign governments and pro-
vide for the common defense against foreign dangers. By contrast, a state
governments main function is to promote and protect the general welfare of
citizens living within that state.
State governments try to promote the general welfare of their citizens in
the following ways:
1. Education. Because of state laws, all citizens have the opportunity to obtain
an education. State laws (not federal laws) are responsible for operating
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Re-elect
Local judges are usually selected by election.
public schools. They determine what courses students take from kinder-
garten through high school.
2. Licensing. The state protects the public by issuing licenses only to quali-
fied individuals. Examples of the state licensing function include: (1) issu-
ing marriage licenses to those who meet state requirements; (2) issuing
liquor licenses to owners of stores and restaurants; and (3) issuing licenses
to doctors, lawyers, nurses, and teachers if they meet minimum standards
for practicing their profession in the state. State laws determine the stan-
dards for either granting or denying licenses.
3. Business incorporation. Businesses wishing to operate as corporations
within a state must apply to the state government for permission to incor-
porate. The document, or charter, granted by the state gives the corpora-
tion its legal existence.
4. Business regulation. Whether a business is incorporated or not, it must
comply with laws enacted by the state legislature. All states have laws
designed to prevent businesses from polluting the environment, operating
unsafe factories, and dealing unfairly or dishonestly with customers.
5. Aid to citizens. No society can afford to be indifferent to the special
needs of certain groups: the sick, the elderly, the disabled, and the poor.
Many families either cannot or do not provide for the basic needs of their
members. Private charities can do only so much for those in need. Recog-
nizing this fact, states have laws giving public assistance (welfare) to
people who need it. Before the Great Depression of the 1930s, the states
alone bore the responsibility for helping the homeless and the unem-
ployed. Then the federal government stepped in to support the states
efforts.
6. Police protection. State laws prohibit and set penalties for serious crimes
such as murder, rape, robbery, and burglary. The state police patrol high-
ways. Most criminal cases are tried in state courts, and most prisoners are
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confined in state prisons. As of 2009, 35 states have the death penalty for
murder.
7. Elections. State legislatures make the rules for determining who is eligible
to vote and how candidates may have their names included on the official,
state-printed ballot.
8. Public works. The thousands of bridges in the country were erected as
public works of state governments. Other public works authorized by state
laws are tunnels, subway systems, reservoirs, roads, highways, and airports.
Sources of State Revenue

How do states pay for their many services? According to U.S. Census data, in a
recent year the total revenue collected by the 50 states was over $1.6 trillion.
Most of it, $1.2 trillion, came from state taxes and other fees. Over $386 billion
came from the federal government.
Federal funds given to the states for specific purposes are known as
grants-in-aid. Different departments of the state government apply for
grants to finance various projects. For example, a states department of high-
ways and transportation could apply for a federal grant-in-aid to build or
repair the states road system.
While the states receive financial aid from the U.S. government, they do
not aid the U.S. government in return. This is one crucial difference between
state and federal finances.
A second difference concerns the kind of tax that brings in the most revenue.
What is the cartoonists criticism of the Florida state legislature?

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The federal government gets most of its revenue from the personal income tax.
The tax that contributes the largest sum to most state treasuries is the state sales
tax. This tax is collected from consumers whenever they purchase a taxable item.
State laws determine which consumer items are subject to tax. They also deter-
mine the percentage to be charged.
REVIEW
1. Define: comptroller, public works, and grant-in-aid.
2. Describe the two-step procedure for adding an amendment to most state
constitutions.
3. Describe at least two ways states obtain revenue.
4. Give three examples of professions that are licensed by states.
15.3 In What Ways Are the State Governments

Different From One Another?
No state in the Union is exactly like any other. This section points out major
differences among the states.
Terms of office differ from state to state. Every state constitution gives the
number of years or terms that an elected official may serve. Many states limit
governors to serving two consecutive four-year terms. The state of Virginia
limits the governor to serving only one four-year term.
New States Differ From the Original Thirteen States

New York and Massachusetts are among the 13 oldest states in the nation.
These 13 states existed before the U.S. Constitution was drafted and ratified.
The other 37 states joined the Union after the Constitution became law.
Today, these new states are equal in status to the original states. However,
their histories are different.
The land that is now Missouri was once part of a vast Western wilderness
called the Louisiana Territory. The U.S. government purchased the territory
from France in 1803 and divided it into two parts: Upper Louisiana and Lower
Louisiana.
In the next few years, thousands of pioneers crossed the Mississippi River
and settled there. By 1812, enough people had settled in Upper Louisiana to
divide it into smaller U.S. territories. One such territory was the Missouri
Territory. Its boundaries and a territorial government were established by an
act of Congress. Then, in 1818, the settlers of the Missouri Territory petitioned
Congress for the privilege of turning part of the territory into a state. They
drew up a state constitution and submitted it for Congresss approval.
For two years, members of Congress considered whether to make Missouri
a state. Northerners tended to oppose the idea since many of Missouris settlers
owned slaves. But finally, in 1820, a majority of both houses of Congress
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voted to admit Missouri into the Union. On August 10, 1821, it became the
24th state.
Every other new state went through a similar process for gaining admis-
sion to the Union. First, it was a territory with a governor appointed by Con-
gress. Next, after enough people moved into the territory, a state constitution
was created and submitted to Congress. Finally, Congress approved the consti-
tution and the former territory became a full-fledged, self-governing state. The
last two states to go through this process were Alaska and Hawaii, which were
admitted to the Union in 1959. However, Texas was an independent republic
before gaining statehood in 1845.
Puerto Rico Has a Special Status

U.S. territory extends far into the Caribbean Sea. The island of Puerto Rico lies
about 1,000 miles east and south of Miami, Florida. Puerto Ricans speak Span-
ish since their island had been ruled by Spain for almost 400 years. In 1898,
the United States acquired the island after its victory in the Spanish-American
War, and it became a U.S. territory.
Because they are born in a U.S. territory, Puerto Ricans are U.S. citizens. But
their island is not a state. It is a commonwealth (a nation, state, or political
unit of law in which supreme authority is vested in the people) with a governor
Luis G. Fortuo, a Republican, was elected in

2004 as Puerto Ricos resident commissioner,
a nonvoting member of Congress.
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and a two-house legislature elected by the people. It has its own constitution
and is represented in the U.S. House of Representatives by a nonvoting mem-
ber. This representative, called the resident commissioner, can participate in
floor debates but cannot vote on bills. Puerto Rico is not represented in either
the U.S. Senate or the electoral college.
If its people voted to do so, Puerto Rico could apply for admission to the
United States to become the 51st state. Its population of more than 3 million
is greater than that of several states. At the moment, however, most Puerto
Ricans prefer to keep their status as a self-governing commonwealth. There is
also a sizable minority who want independence for the island.
States Compete With One Another

Each of the 50 states takes pride in the special resources that make it unique.
California has its redwood forests, Hollywood, and San Franciscos cable cars.
Florida has its citrus groves, sandy beaches, and Disney World. Texas has its oil
wells, rodeos, and the Dallas Cowboys. Massachusetts has its historic sites at
Bunker Hill, Lexington and Concord, and Plymouth Rock.
Besides giving a lift to state pride, the unique resources of a state boost its
economy. Tourism is a major industry. Residents who travel out of their state
to visit national sites such as the Alamo or Niagara Falls spend billions of dol-
lars a year. Therefore, every state government has a tourism office that runs
Web sites and prints and distributes colorful brochures that promote the
states individual charms.
Besides competing for tourist dollars, states compete to attract businesses.
Take Massachusetts as a case in point. A computer company can decide to
locate its office headquarters and assembly plants in Massachusetts or in any
The Alamo in San Antonio, Texas, is a popular tourist attraction.

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other state. Massachusettss economy would gain if the company decided to

locate there. It would give employment to hundreds of Massachusettss resi-
dents and also pay millions of dollars in taxes for the support of state and local
governments. On the other hand, if a company decides to locate in California,
for example, Massachusetts misses an opportunity.
In the 1960s and 1970s, the older industrial states of the Northeast
(including Massachusetts and New York) lost ground economically. Compa-
nies discovered that the costs of doing business were lower in the South and
West than in the Northeast. Therefore, a number of corporations relocated
their operations out of New York City and Boston to such Sunbelt cities as
Miami, Houston, and Los Angeles. Thus, the sunnier states tended to prosper
at the expense of the Northern states, whose factories closed down.
In the 1980s, however, many of the Northeast states made a dramatic
comeback as new industries replaced old ones. New office and manufacturing
plants in Massachusetts turned that state into a leading producer of micro-
computers, cameras, jet engines, and missile parts.
The U.S. Constitution sets limits on interstate competition. Competition
among the states can go only so far. The U.S. Constitution prohibits several
types of state laws. For example, New York State cannot prevent motorists
with Florida license plates from using New York highways. Also, a Texas family
that moves to California cannot be kept out of Californias public schools.
Two clauses of the Constitution guarantee that no state discriminates
against the citizens of other states. They are:
Full faith and credit shall be given in each state to the public acts, records,
and judicial proceedings of every other state.Article IV, Section 1
The citizens of each state shall be entitled to all privileges and immunities
of citizens in the several states.Article IV, Section 2
The full-faith-and-credit clause means that every state must accept as
valid the court decisions and official records of other states. The privileges-
and-immunities clause means that visitors from other states are entitled to
the same services and protection as residents of that state.
States Help One Another to Solve Common Problems

The states competebut they also cooperate. Neighboring states cooperate
by helping each other to govern a shared resource. For example, the Hudson
River flows between New York and New Jersey. To govern the heavy traffic
crossing between states, New York and New Jersey created an independent
governing board called the Port Authority of New York and New Jersey. This
interstate organization operates the bridges, tunnels, airports, and heliports
used daily by millions of New Yorkers and New Jersey citizens. The agreement
creating the Port Authority is an example of an interstate compact.
Another way that states cooperate is through friendly meetings of their 50
governors. As shared problems grow, governors meet and exchange ideas
about improving education, building new schools, keeping their air and water
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The Holland Tunnel, which connects New York and New Jersey, is administered by the Port
Authority of New York and New Jersey, an interstate organization.
clean, eliminating budget deficits, maintaining adequate defenses against ter-

rorism, and other shared goals.
The 50 state governments continue to experiment with different laws and
programs for solving problems. If a certain program succeeds in one state,
other states can benefit by adopting a similar program. Progress in govern-
ment comes about from learning both what works and what does not.
REVIEW
1. Define: territory, commonwealth, full-faith-and-credit, and interstate
compact.
2. Describe Puerto Ricos unique status.
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CHAPTER 15 REVIEW
1. State governments are similar to the federal government in that they
(a) function according to the English parliamentary system (b) are
required by the U.S. Constitution to have a bill of rights (c) appoint
judges that must be approved by the U.S. Senate (d) are divided into leg-
islative, executive, and judicial branches.
2. Nebraska is unique among the 50 states because (a) it has a unicameral
legislature (b) it does not have a governor (c) it has no term limits for state
judges (d) its governor is also a member of the legislature.
3. A states lieutenant governor is similar to the (a) vice president of the
United States (b) Speaker of the House of Representatives (c) U.S. Senate
majority leader (d) U.S. secretary of state.
4. Which statement is untrue? (a) Some state judges are appointed to the
bench. (b) Some state judges are elected by the people. (c) State judges are
not appointed for life. (d) The U.S. Congress must approve all state judges
before they can sit on the bench.
5. All of the following are positions in the executive branch of state govern-
ment, except (a) lieutenant governor (b) attorney general (c) comptroller
(d) assembly member.
6. In state legislative procedures, (a) all bills must be passed by a two-thirds
vote of both houses (b) if one house approves a bill, the other house must
take up the bill for consideration (c) all bills must be introduced in the
upper house (d) if one house votes against a bill, the other house may not
vote on a similar bill.
7. In addition to being the chief executive of the state, a governor, by law, is
also (a) the commander in chief of the state militia (b) a member of the
presidents National Security Council (c) a member of the state legislature
(d) the chief justice of the states court system.
8. Because the U.S. Constitution is the supreme law of the land, (a) each
state is required to have a bill of rights in its constitution (b) each state is
sovereign (c) each state is not completely sovereign (d) each state cannot
elect its officials.
9. To amend most state constitutions, the proposed amendment (a) must be
approved only by the state legislature (b) must be approved by the gover-
nor (c) must be approved by a vote of the people of the state (d) must be
approved only by the state supreme court.
10. Which statement is true? (a) The U.S. Constitution is older than any
states constitution. (b) State constitutions have traditionally been writ-
ten at constitutional conventions. (c) Most state constitutions are shorter
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than the U.S. Constitution. (d) A proposed amendment to a state consti-

tution must originate in a constitutional convention.
ESSAY
Write an essay discussing the impact of granting statehood to Puerto Rico,
Guam, U.S. Virgin Islands, or the Northern Mariana Islands in the Pacific.
DOCUMENT 1
No state shall enter into any treaty, alliance, or confederation; grant let-
ters of marque and reprisal [government authorization to an individual
to seize or destroy property of a foreign party]; coin money; emit bills of
credit [promissory notes or IOUs]; make anything but gold and silver
coin a tender [offer] in payment of debts; pass any bill of attainder
[punishment of someone for a crime without benefit of a trial], ex post
facto law [punishment of someone for an act that was legal when it was
committed], or law impairing [changing] the obligation of contracts, or
grant any title of nobility.
Article I, Section 10, U.S. Constitution
1. What does the Constitution prohibit the states from doing?
DOCUMENT 2
The United States shall guarantee to every state in this Union a republi-
can form of government, and shall protect each of them against inva-
sion; and on application of the legislature, or of the executive (when
the legislature cannot be convened), against domestic violence.
Article IV, Section 4, U.S. Constitution
2. According to the Constitution, what does the federal government pledge to
every state in the Union?
DOCUMENT 3
No state shall make or enforce any law which shall abridge the privi-
leges or immunities of citizens of the United States; nor shall any state
deprive any person of life, liberty, or property, without due process of
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law; nor deny to any person within its jurisdiction the equal protection
of the laws.
Fourteenth Amendment, Section 1, U.S. Constitution
3. How does the Fourteenth Amendment force states to protect individual
liberties?

and a conclusion discussing the relationship between the states and the fed-
eral government. Make references to the documents and your knowledge of
U.S. government in your essay.
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Drawing Inferences
Drawing inferences helps you understand what you read. Often, you draw
inferences naturallywithout even recognizing that you are exercising this
important skill. At other times, though, it can be more difficult to draw
inferences. Recognizing how to use this skill can guide you in understanding
difficult material. A valid inference is logicalbased on the material and per-
sonal knowledge and experience. If the inference is not logical, it is a faulty
inference.
Suppose you read about an ice sculptor who creates a magnificent sculp-
ture for an August wedding in Houston, loads the sculpture into his van, cant
find his car keys, races inside his studio to look for them, and is then distracted
by a 20-minute phone call. You can infer that the sculpture has melted. You
can further infer that the sculptor will face problems because he is unable to
deliver the sculpture he has promised. You make these inferences by consider-
ing details of the piece you are reading: An ice sculpture sits in a van for 20 min-
utes on an August day in Houston. You then apply your personal knowledge and
experience: August temperatures are hot in Houston, and ice melts in hot tempera-
tures, so the sculpture melts. Because the sculpture has melted, the sculptor cannot
deliver it. When someone fails to deliver a promised item, problems result.
Study the diagram, which illustrates the process of drawing an inference.
Then answer the questions that follow.
Apply your
personal
experience relative
to the material.
Consider details of
Arrive at logical
the information + & =
inference.
you are reading.
Apply your
personal
knowledge relative
to the material.
1. How does the diagram help you understand the process of making
an inference?
2. Explain how relevant personal experience and knowledge are
important in drawing a logical inference. Include the importance of
the relevance of the personal experience and knowledge.
3. Discuss factors that might lead to an illogical inference.
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Certainly, authors, speakers, and journalists do not always state all the infor-
mation required to understand material. If they did, the material could be
dense, boring, and quite difficult to slog through and complete. Consider infer-
ences that can be easily drawn from the following example from your textbook.
The governor, as the chief executive, is responsible for seeing that state
laws are enforced. The governor is also the commander in chief of the
state militia (National Guard), which may be called to active duty in
times of emergency. For example, the governor may call upon the
National Guard to control a riot or to rescue people from a disaster. In
wartime, Guard units may be federalized and serve within the Army
and Air Force.
The author mentions rescue from a disaster. The author could go into great
detail about what constitutes a disaster. However, the reader likely knows
based on personal experience and knowledgewhat a disaster is.
Read the following statements and inferences. Tell whether each inference
is valid or faulty. Explain your reasoning.
4. The governor needs a lot of help in executing the states laws. He or

she consults often with the top state officials who run the executive
departments (such as transportation, health, and education). These
officials, who both administer state laws and advise the governor, are
known as the cabinet. The word cabinet does not appear in the
U.S. Constitution, but it does appear in many state constitutions.
Inference: Cabinet members should be carefully chosenwith an eye toward

expertise and experience in government.
5. All state governments divide power as follows:
Legislative power belongs to elected representatives meeting in the

state capital.
Executive power belongs to several elected officials, chief of whom is
the states governor.
Judicial power belongs to a number of state courts, one of which is
the final authority.
Inference: Federal legislators take their responsibilities more seriously than state
legislators and judges do.
6. A governors veto can check an act of the state legislature. Most

state constitutions also provide for a countercheck. A governors
veto can be defeated if two-thirds of the members of both
lawmaking houses vote to override it. (In Nebraska, with its one
house, overriding the governors veto is easier to achieve than in
the two-house legislatures of other states.)
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Inference: There have historically been more successful vetoes in Nebraska than in
any other state in the United Statesdue to the governors weak power.
7. Whether a business is incorporated or not, it must comply with

laws enacted by the state legislature. All states have laws
designed to prevent businesses from polluting the environment,
operating unsafe factories, and dealing unfairly or dishonestly
with customers.
Inference: States have a vested interest in regulating the businesses operating

within their borders.
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Chapter 16

Comparing Local
Governments
KEY TERMS
county ordinance prosecuting
county seat mayor-council attorney
municipality system coroner
charter weak-mayor county clerk
system recorder
township
strong-mayor
borough tax assessor
system
parish auditor
council-
school district manager system superintendent
home rule city commission of schools
metropolitan town meeting community
area policing
board of
metropolitan commissioners gentrification
statistical area sheriff municipal bond
Americans directly experience local government every day. Most local govern-
ments in the United States pick up garbage, run local schools, install traffic
signals, pass zoning ordinances, and provide police and fire protection. Like
the federal and state governments, local government is financed primarily
through taxation.
16.1 Different Types of Local Government

As the third largest city in the United States, with a population of nearly 3 mil-
lion people, Chicago is one of the nations major commercial, educational, and
cultural centers. By contrast, the city of Jonesboro, which is located in Union
341
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An aerial view of downtown Chicago from Air Force One
County in southern Illinois, has a small population of just a little more than
1,800 people. Although they may have different lifestyles and interests, the resi-
dents of both Chicago and Jonesboro have many of the same public needs. All
residents need good schools, well-maintained roads, police and fire protection,
safe drinking water, protection against environmental hazards, public recreation
areas such as parks and playgrounds, and a means of deciding whether new busi-
nesses and construction projects should be permitted in certain neighborhoods.
In Chicago, Jonesboro, and other communities, some form of local gov-
ernment provides the type of services mentioned above. Services delivered at
the local level may be even more vital to peoples way of life than services pro-
vided by the state and federal governments.
The many types of local government vary from state to state. In their com-
munities, people are served by two or sometimes three local governments at
the same time.
Counties and Municipalities

A county is the largest division of the state for administering state laws. In
most states, a countys chief functions are keeping records, building and main-
taining roads, providing social services (such as aid to the poor), holding elec-
tions, and conducting judicial proceedings.
A county seat is a city where the county has its court and chief offices.
(It is like the countys capital.) Each county seat is also an example of a type of
community known as a municipality. A municipality is a city or town of any
size that is incorporated by state law and has certain powers of self-government.
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NU M BER OF LOCAL GOVERNM ENTS I N TH E

U NITED STATES I N 2002
Counties 3,136
Municipalities 19,429
Townships 16,504
School districts 13,506
Special districts 35,052
Total 87,527
Source: U.S. Census
When it becomes incorporated as a municipality, the town or city receives

from the state a legal paper called a charter. The charter is like a constitution.
It states the kinds of powers that city officials have. It tells the local govern-
ment how it is to be organized, what taxes it may collect, and what services it
may provide.
In 2002, there were 19,429 municipal governments in the United States. Illi-
nois had the greatest number of municipal governments in the nation: 1,291.
John McCain held town hall meetings during his presidential bid in 2008.
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Small, Unincorporated Communities

Since it has a population of fewer than 500 people, Wolf Lake in Union
County, Illinois, has not been issued a municipal charter. It is an example of
an unincorporated village or town. It has no government of its own. Services
for Wolf Lake and other unincorporated places in Union County are provided
by the county government.
Townships, Boroughs, and Parishes

Communities call themselves by different names. A township form of gov-
ernment is used in 20 states in the Midwest and Eastern United States. Nearly
15,000 of the 16,000 townships in the United States have populations of fewer
than 10,000 people. Some township governments may do nothing more than
distribute aid from the federal government, while others are so strong that
county government is ineffective. Towns and townships are considered the
governments closest to the people. Many townships elect a board of officers to
run their daily affairs. These officers are called selectmen or supervisors. In
smaller towns, an annual town meeting sets the towns policy. In addition,
elected boards are responsible for running the towns daily affairs.
In other parts of the country, the local form of government is known as
the borough. In some areas, a borough is just another name for a township.
An essential service, garbage collection is often provided by local government.

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Boroughs may be small communities or huge areas of a state, as in Alaska.

New York Citys five huge communities, with populations of up to several
million persons each, are the boroughs of Manhattan, Brooklyn, the Bronx,
Queens, and Staten Island. Louisiana is the only state in the nation in which
the main subdivisions of the government are called parishes instead of
counties.
School Districts and Other Special Districts

Besides being divided into counties (or boroughs or parishes), states are divided
into districts for carrying out special services. Public education, for instance, is
a service not provided by the municipal government. Instead, a board of educa-
tion, elected by the voters, runs the schools for a certain area. The area is
known as a school district. In 2002, there were over 13,500 school districts in
the United States. In New York City, things are run differently. The mayor con-
trols the Department of Education. An official appointed by the mayor sets
school policy and curriculum for each grade. All public schools in the five bor-
oughs of the city are required to follow this policy.
Besides school districts, state laws may create other districts for special
purposes. Special districts may provide services such as sanitation, water,
garbage collection, sewage disposal, hospitals, and public libraries. A different
board of officials is in charge of each special district.
Problems of Overlapping Functions

Several local governments in the same area may be responsible for law
enforcement, sanitation, or other services. Their functions overlap. Thus, it is
often hard to know who is responsible for what.
One criticism of local governments is that there may be too many of
them. They often get in one anothers way. Citizens then become confused,
not knowing which local government to go to for help.
On the other hand, many people like the idea of having several units of
local government, each with a different function. The more units there are,
the greater is the average citizens opportunity to take part in democratic gov-
ernment at the local level. For example, parents who are concerned about the
education of their children can speak up at meetings of the local school board.
If educational decisions were all made in the state capital, parents influence
on local schools would be greatly reduced.
Relations With Their State Governments

Most local governments are not free to do whatever they wish. They must
obey and carry out laws made by their state legislature. For example, the state
directs county governments to keep records of births and deaths. It also
instructs them on how to run elections. The states approval may be needed
before a local governments yearly budget can go into effect.
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Home Rule
Some states allow their counties and municipalities a certain amount of
autonomy, or home rule. Under home rule, local governments are then able to
set up and carry out their own programs without authorization from the state.
Municipalities in a majority of the states are permitted to decide how their
city governments should be organized. At a special election, voters decide
whether to accept or reject a proposed charter about the organization of their
citys government. The voters thus choose the type of local government they
want.
In states where there is no home rule, communities are governed accord-
ing to the charters given to them by the state.
Metropolitan Areas
One local area may be the most important of alland the most complicated. A
metropolitan area is a large core area containing a large population
nucleus, with surrounding areas that have a high degree of economic and social
integration with the core. Metropolitan areas include areas known as metro-
politan statistical areas (MSAs). An MSA is a large urban area consisting of
two kinds of communities: a central city of at least 50,000 people and a cluster
of counties surrounding one or more central cities that meet certain require-
ments for population. If an MSA has a population of over one million people,
the central city becomes a primary metropolitan statistical area (PMSA) and the
entire area becomes a consolidated metropolitan statistical area (CMSA).
Chicago is the central city of a huge CMSA that includes many cities,
including Kankakee, Illinois; Gary, Indiana; and Kenosha, Wisconsin. The
total population of this CMSA is over 9 million people. The city of Chicago is a
primary metropolitan statistical area with nine counties, while Gary is a PMSA
with two counties. Both Kankakee and Kenosha are PMSAs consisting of one
county (itself).
REVIEW
1. Define: county, county seat, municipality, charter, township, borough,
parish, school district, home rule, metropolitan area, and metropolitan sta-
tistical area.
2. What is the difference between an incorporated village and an unincorpo-
rated village?
3. Why are towns and townships considered the government closest to the
people?
16.2 How Are Municipalities Governed?

At the local level, most municipalities carry out the idea of separation of pow-
ers. They give judicial power to judges who preside over traffic, criminal, and
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small claims courts. These courts hear cases involving: (1) traffic violations, (2)
lesser crimes and misdemeanors, and (3) civil suits for small sums of money.
Methods of separating legislative and executive powers differ from one
city to the next. In the larger cities, the most common method is to give leg-
islative power to an elected group called a council and executive power to an
elected official called a mayor. Council members enact ordinances, which
are local rules or laws. Jonesboro and Chicago are two examples of the
mayor-council system of city government.
Weak-Mayor System of Small Cities

The mayor of a small city such as Jonesboro, Illinois, has fewer powers than
the council. He or she cannot appoint many officials. The few he or she can
appoint have to win the approval of the council. Additionally, the mayor can
neither hire nor fire the city clerk, since this official is elected by the voters.
Jonesboro has what is sometimes called a weak-mayor system. In
such a system, the council makes most of the major decisions of local govern-
ment. The council passes the ordinances that it drafts. Also, in many cities, the
councilnot the mayormay appoint the heads of city departments (the fire
chief, the police chief, and others). In some cities such as Jonesboro, the coun-
cil has the power either to accept or reject appointments made by the mayor.
A system such as this (strong council, weak mayor) is more common in small
cities of fewer than 5,000 people.
Mayor Antonio Villaraigosa (behind podium) of Los Angeles is an example of a strong

mayor.
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Strong-Mayor System of the Largest Cities

The three largest cities in the United States are New York, Los Angeles, and
Chicago. All three have a system of local government known as the strong-
mayor system. In this system, the city charter gives the mayor several
important powers, including the power to draw up a budget for the city, the
power to hire and fire the heads of city departments, and the power to veto
acts of the council.
These powers enable a big-city mayor to provide leadership in governing
the city and solving its problems. But sometimes the problems get worse
instead of better. In that case, it is usually the mayor who is blamed by the
press and the voters.
Unlike the part-time mayors of small cities, big-city mayors devote all
their time to governing. They are paid a salary in keeping with their respon-
sibilities. Mayors of the nations largest cities generally receive the largest
salaries.
Council-Manager Form of Government

Most cities, large and small, elect a mayor and council as their chief officers.
But there are also hundreds of cities that use a different systemthe council-
manager system. These cities may have no mayor at all. Or they may have a
powerless mayor whose only duties are to greet visitors to the city and speak at
local ceremonies. The real executive power in such cities belongs to a city
manager, who is not elected. This official is appointed by the city council.
Since they are not elected, city managers do not have to worry about win-
ning votes and can concentrate on the job of managing city business. Most of
them have learned about the needs and problems of city government through
their undergraduate and even graduate education and then by gaining experi-
ence as public servants. Government is their specialty, just as medicine is a
doctors specialty.
The city council has the power both to hire and to fire a city manager.
Once hired, the city manager acts as a strong mayor does. He or she decides
how the city government should be run and directs the work of other city
employees. The council retains the power either to approve or to reject the
city managers policies. The council-manager form of government is common
among both large- and medium-sized cities.
Some cities do not have an elected mayor, an appointed city manager, or
even a city council. Instead, they have a commission form of government. In
other communities, lawmaking power is given to a town meeting.
Commission Form of City Government

A typical city commission consists of five officials, each known as a com-
missioner. All five are elected by the voters. A commissioner of finance sees
that taxes are collected and bills are paid. A commissioner of public safety
heads the police and fire departments. A commissioner of public works is in
charge of streets and sewers. A fourth commissioner is in charge of parks and
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recreation. A fifth is in charge of public welfare. Working as individuals at city

hall, the commissioners run their separate departments.
They also hold regular meetings as a board of commissioners. In this
group, their powers are similar to those of a city council. They propose and
enact ordinances. And they vote upon the city budget. In other words, the
commissioners combine two kinds of powers. They have legislative power
when meeting as a board, and executive power when working as department
heads. Under the commission form of government, there is no separation
of powers. Portland, Oregon, is a large city that has a commission form of
government.
Town Meeting
The final type of local government is one of the oldest. The town meeting
dates back to early colonial times. Today, in small communities of New
England, it is still a common form of government.
The town meeting allows the voters of a community to make laws
directly. It is thus a form of direct democracy, unlike the indirect form, in
which laws are made by elected representatives. Once a year, adult citizens of
the town are invited to gather in a meeting hall to discuss town business.
Everyone attending may vote directly on any public issue affecting the town.
Citizens argue about how much tax money should be spent for different pur-
poses. The towns budget for the year is proposed and voted upon right there
in the meeting hall.
At the same meeting, townspeople also elect officials to carry out their
decisions. Usually, they choose three people to meet regularly as a board of
selectmen. The selectmens job is to see that town business is properly admin-
istered during the year. A town clerk and a town treasurer may also be elected
for the one-year term between meetings.
Advantages and Disadvantages

The different types of local government have both advantages and disadvan-
tages.
1. The town meeting is the most democratic form of local government. But it
is practical only for small communities.
2. The commission system is also democratic. It gives voters the power to
elect all the department heads of city government. However, commission
government lacks overall leadership. Being equal in power, the several
commissioners seldom agree on a common policy. In general, the commis-
sion system does not deliver services as efficiently as other systems.
3. Most efficient of the four systems is the council-manager system. After all,
the professional manager is trained to take expert care of a citys business.
On the other hand, though the council is elected by voters, the city manager
is not elected. So the council-manager system may be considered less demo-
cratic than the others.
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4. A mayor-council government may be both democratic and efficient. Or it

may be just the opposite. All depends on the ability and honesty of the
elected officials. In big cities such as Chicago and New York, strong mayors
may be so powerful that they sometimes act like dictators. On the other
hand, if a mayor gives weak leadership, city business will be poorly man-
aged. Such problems, however, can be corrected by democratic means. If a
mayor is thought to be too weak or too strong, voters can elect a new one
when his or her term is up for reelection.
REVIEW
1. Define: ordinance, mayor-council system, weak-mayor system, strong-mayor
system, council-manager system, city commission, and town meeting.
2. Why is it said that some cities have a weak-mayor system and other cities
have a strong-mayor system?
3. Explain how each of the following forms of government operate: (1)
mayor-council system; (2) council-manager system; (3) commission sys-
tem; and (4) town meeting system.
16.3 How Are Counties Governed?

Counties in Hawaii, Rhode Island, and Connecticut are extremely unusual.
They are either far more important or far less important than the counties of
other states.
Counties of Hawaii
County government in Hawaii is the only local government that matters.
Hawaii has hundreds of towns and villages, but they are unincorporated. The
only governments that deliver services and collect taxes at the local level are
Hawaiis four counties. One of the four is the county that governs Hawaiis
largest city, Honolulu.
Voters of each Hawaiian county elect a county executive called a mayor,
and a county legislature called a county council. In other words, county gov-
ernment in Hawaii is much like city government in other states.
Counties of Connecticut and Rhode Island

At the other extreme are counties of two New England states: Connecticut and
Rhode Island. On a map of these states, you will see boundaries dividing Con-
necticut into eight counties and Rhode Island into five counties. But no
county officials are elected. That is because, in these two states, county gov-
ernment does not exist. There, township governments and town meetings are
very important. Counties are little more than areas on a map.
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Government of a Typical County

In the other 47 states, county governments play an important role. In the
Southern states, they are especially important. Each state organizes its coun-
ties differently and gives them different functions. Even so, the great majority
of counties are similar in many ways.
The typical county in the United States has these characteristics:
1. Population: fewer than 25,000 people
2. Elected officials: sheriff, coroner, tax assessor, superintendent of schools,
prosecuting attorney, recorder of deeds, board of commissioners
3. Most costly service: welfare
4. Other services: record keeping, maintaining roads, enforcing state laws,
judging civil and criminal cases, issuing licenses, and overseeing elections
5. Chief source of revenue: property tax.
Board of Commissioners
The board of commissioners is a group of elected officials who have both
legislative and executive powers. It is usually a group of five commissioners,
each elected to a four-year term.
As county legislators, the commissioners meet regularly to set the county
tax rate and adopt a county budget. They may also pass ordinances about local
matters. All county ordinances must comply with the constitution and laws of
the state.
As county administrators, each commissioner looks after a different
The seven-member board of commissioners of Pinellas County, Florida

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service. One sees that elections are properly held. Another sees that welfare
assistance is provided. A third sees that roads are maintained.
The board of commissioners is much like the city commission. Meeting as
a group, board members have legislative power. Working in their separate
offices, they have executive power. In the county as well as the city, commis-
sioners are equal in power. No one is officially in charge as the top executive.
Therefore, county business may suffer from lack of leadership.
In some states, counties are governed by a much larger group than five
commissioners. Their top officials are called supervisors. Each supervisor may
represent a different city or township in the county. Thus, if a county has 50
municipalities, there may be 50 people on the countys board of supervisors.
This governing group has the same functions of the board of commissioners.
It administers services, adopts a yearly budget, and passes local ordinances.
Judges at the County Courthouse

The busiest and most important government building in the county is its
courthouse. It is the place where the countys citizens come to seek justice in
both civil and criminal cases. Most of the criminal trials that are reported on
television and in the newspapers are held there. The countys prosecuting
attorney attempts to convict those accused of murder, robbery, and other
felonies. Citizens are called by the hundreds to serve on different juries in dif-
ferent courtrooms.
The judges who preside in the courtrooms may be either elected or
appointed to office, depending on the state constitution. Their task is to con-
duct trials in a fair manner and to sentence those convicted of crimes. The
County sheriffs help maintain law and order in their communities.

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laws that they interpret are state laws and the state constitution. Thus, they
are key officials in the judicial branch of state government.
Officials Who Maintain Law and Order

Executive powers in the county are divided among elected officials besides
the commissioners. Three of thema sheriff, a prosecuting attorney, and a
coronershare responsibility for law enforcement.
The sheriff heads the countys department of law enforcement. The sher-
iff serves warrants for the arrest of suspected lawbreakers and supervises condi-
tions in the county jail.
The prosecuting attorney (also called a district attorney) is active in
every criminal case tried in the county courthouse. First, the prosecuting
attorney tries to convince a grand jury that a certain person should be
indicted. Then the attorney tries to convince a trial jury that the indicted per-
son is guilty of the crime.
If a person dies outside of a hospital or not under a doctors care, the
county coroner investigates the cause of death. In a murder trial, the coroners
testimony is often crucial.
Officials Who Keep Records

Keeping complete and accurate records is an important function of local gov-
ernment. The county clerk keeps a file of the countys legal papers and busi-
ness records. He or she also supervises elections and issues licenses for
marriage, hunting, and fishing. Another official, the recorder (registrar of
deeds), keeps track of property ownership in the county. Filed away in the
recorders office are records of land and house sales.
Officials Who Collect and Spend Tax Money

Most of the countys revenue comes from a property tax on privately owned
houses, farms, and businesses. The countys tax assessor visits the taxable
properties in the county to assess, or determine, the value of each. In the
county, a homeowner has to pay taxes on only a certain percentage of the
propertys appraised value.
Once taxes are collected, another official makes sure that they are spent in a
lawful and correct manner. The county auditor should be skilled at checking
financial records to see that all payments for county services are promptly and
properly processed.
Officials Who Administer Services

The countys roads must be kept in good condition. Its schools must maintain
the educational standards required by state law. The health and welfare of its cit-
izens must be safeguarded.
An elected superintendent of schools administers the countys educa-
tional services. The other county services (roads, health, welfare) are supervised
by the countys most powerful group of officials: the board of commissioners.
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REVIEW
1. Define: board of commissioners, sheriff, prosecuting attorney, coroner,
county clerk, tax assessor, recorder, auditor, and superintendent of schools.
2. How is county government in Hawaii different from county government in
Connecticut?
3. Explain how county boards of commissioners have both legislative and
executive powers.
16.4 Metropolitan Areas Today

Starting in the early 1960s, many major cities began experiencing substantial
increases in violent crime. Many experts blame the increase in crime on different
factors such as the illegal drug trade, poverty, racism, the decline of the two-par-
ent family, and changes in policing. Many poor neighborhoods in inner cities
were overwhelmed with crime. Murder, armed robbery, and burglary became
common. Similar crimes also took place in middle-class and rich neighborhoods.
Many city dwellers lived in fear of being victims of violent crime. Outraged by
the level of violence, they looked to their elected leaders for solutions.
The increase in crime had several effects. First, many residents were afraid
to walk the streets and stayed in their homes. Second, more affluent residents
opted to abandon the cities and went to live in the suburbs, which were safer.
Third, business owners moved their establishments out of crime-ridden neigh-
borhoods, and budding entrepreneurs refused to set up new ones there. The
loss of jobs made poverty worse.
In the 1990s, however, many cities witnessed a noticeable turnaround.
Police departments across the country experimented with new strategies such
as community policing. With this policy, the police increased the number
of foot patrols in neighborhoods and worked closely with the community to
fight serious crimes and quality-of-life crimes such as graffiti, prostitution,
excessive noise, and fare-beating. Within a few years, crime rates declined sig-
nificantly in many cities. Many residents began to feel safe again.
As a result of the reduction in crime, many people began returning to
cities and living in renovated housing. This trend is known as gentrifica-
tion. Many businesses were also opened in cities, creating many new jobs.
Public Schools
Cities depend on public schools to educate their children. In the last few
decades, many parents have worried that the quality of public education has
declined. Critics cite the increase in the number of students who perform
poorly on standardized tests that measure their abilities in reading and mathe-
matics, and then drop out of school.
Elected officials in cities from members of the city council to the mayor
always look for ways to improve public education. Proposed reforms and
solutions often include: (1) revising the school curriculum; (2) increasing
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teachers salaries to attract better teachers; (3) increasing funding for schools;
(4) increasing the number of vocational-training programs; (5) running
schools in the same way as private businesses; and (6) making public schools
compete directly with private schools by giving parents vouchers to send their
children to the school, public or private, of their choice.
Bond Issue
Tax rates are determined by the vote of elected officials at city hall. Voters are
rarely given a chance either to accept or reject their local governments deci-
sion about taxes.
Voters, however, often decide one kind of issue. That is the question of
whether or not the city or county should borrow a large sum of money to pay
for a major building project. The building of a school, highway, jail, sports
stadium, or library is known as a capital project. Because of their huge cost,
such projects can be paid for only with borrowed money.
A city borrows money by selling municipal bonds to investors. A bond
is a contract between the investor who buys it and the government that sells
it. The city promises to repay the sum printed on the bond after a certain
number of months or years. Since interest is added, borrowed money often
costs more in the long run than money raised through taxes.
The voters decide whether or not a project will be built. A question about
the proposed bond issue is placed on the ballot. If a majority vote yes, the
San Francisco Police Chief Heather Fong (center) has used old-fashioned foot patrols to reduce
crime in neighborhoods.
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city may sell enough bonds to build the project. If a majority votes no, then
the bond issue is defeated, and it cannot be built.
REVIEW
1. Define: gentrification, community policing, and municipal bond.
2. Describe how the increase in crime affected many major cities in the 1960s.
3. How did many cities manage to reduce crime during the 1990s?
4. Explain how cities can obtain funding for capital projects other than from
tax revenue.
CHAPTER 16 REVIEW
1. The many types of local government in the United States reflect (a) the
American belief in self-government (b) the failure of states to enforce
their constitutions (c) the willingness of Americans to pay high taxes
(d) the historical importance of judicial review.
2. The largest political division within a state is a (a) county (b) county seat
(c) town (d) township.
3. Most school districts in the United States are run by (a) state governors
(b) school boards that are elected by the people in those school districts
(c) school boards that are appointed by governors (d) mayors of the com-
munities in which the districts are located.
4. The right of a local government to make some of its own laws rather than
follow state regulations is known as (a) concurrent power (b) states rights
(c) city management (d) home rule.
5. All of the following are powers usually exercised by strong mayors,
except (a) the power to call up the state militia to put down a riot (b) the
power to hire and fire the heads of city departments (c) the power to veto
acts of the city council (d) the power to draw up a budget for the city.
6. A person attains the office of city manager (a) when the mayor resigns
from office (b) by winning a citywide election (c) by being appointed by
the city council (d) by taking a test.
7. Which form of government is closest to direct democracy? (a) mayor-
council system (b) manager-council system (c) commission system (d)
town meeting system
8. The chief source of revenue for most counties in the United States is the
(a) income tax (b) sales tax (c) property tax (d) license fees.
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9. The decisions of county judges in legal hearings are based mostly on

(a) federal law (b) state laws (c) city ordinances (d) town regulations.
10. Which one of the following is usually determined by a direct vote of the
people? (a) enacting a commuter tax (b) setting tax rates (c) floating a
municipal bond (d) authorizing the town or city budget
ESSAY
Write an essay discussing which functions and services of the federal, state,
and local governments overlap. Do you think such overlap is beneficial for
people or counterproductive? Be sure to explain your reasons.
Historical Context: Americans experience the impact of their local govern-

ments every day because they provide the most basic services such as
education, sanitation, police and fire protection, and assistance to the elderly,
the sick, and the poor. Local governments, however, are not completely
autonomous and must comply with federal and state regulations.
DOCUMENT 1
For decades, Washington thought nothing of passing legislation

which created costly regulations to be satisfied by state and local
governments. . . . Since the 1970s, dozens of laws imposing new regula-
tions, or expanding existing regulations have been created. The costs of
implementing these regulations, however, have not been assumed by
the federal government. They have been passed down to the states and
localitiesand ultimately to local taxpayers. Washingtons practice of
imposing, but not funding, these mandates, coupled with the cuts
made in federal aid to cities throughout the 1980s and into the 90s,
exacerbated already serious financial problems for cities throughout the
nation.
Mayor Richard M. Daley of Chicago,
Illinois Municipal Review (December 1996)
1. According to Mayor Daley, how is the federal government impacting the
budgets of cities?
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DOCUMENT 2
The only way there will be real property tax relief for our residents is if
[the state government in] Albany declares a moratorium on unfunded
mandates not only imposed on the county, but on our school districts
and local governments as well. There must be no new mandates, no
expansion of current mandates and no cuts in state aid for mandated
programs. State government must change the way it relates to the coun-
ties, municipalities and school districts. Decisions must be made to help
local property taxpayersnot hurt themand all of us must be
included in the decision-making process.
Andrew J. Spano, county executive of Westchester County,
New York, State of the County address, April 10, 2008
2. How does Spano believe that state government can alleviate the financial
burdens of local governments?
Task: Using the above documents and your knowledge of government, write
an essay explaining how laws passed by federal and state government impact
cities, counties, and towns.
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Writing a Letter to the Editor
Suppose you read an editorial in a newspaper and want to write a response to

the newspapers editor. When you respond to an editorial, it is important to
craft as credible a response as possible. You would support your opinion and
add credibility through methods such as stating facts; using statistics; offering
specific examples; providing strong, clear, cohesive organization; including
powerful quotes where appropriate; referring to relevant articles in news-
papers and magazines; and utilizing powerful language with devices such as
idioms, analogies, similes, and metaphors.
A. Read the excerpt below from an editorial calling for a softening of

penalties for those convicted of driving while under the influence of
alcohol. Then read excerpts from two responses to the editorial, and
explain which response is more effective and why.
Everyone does it. Everyone drives and drinks at some point. Its just
that some people get caught, and others dont, so the penalties for a
first conviction should be lighter.
Response A
The person who wrote this editorial should be stuck away in a corner
somewhere and not allowed to interact with anyone else. He clearly is
an idiot. I know that laws should not be changed to make things lighter
on these crazy people who drive while theyre drunk. And I know what
Im talking about. Its absolutely ridiculous to think that drunk drivers
should get easy treatment. What was this guy thinking when he wrote
the editorial?
Response B
Clearly, penalties for DUI (driving under the influence) convictions
should not be made lighter for first-time criminals. Perhaps the person
who wrote this editorial could benefit from learning of statistics
published in a national magazine. A large percentage of those convicted
of a first DUI go on to commit the crime again and again. In our town
alone in a single year, there have been 2,000 DUI arrests of the same
criminals after the first DUI. This is a topic that strikes close to home, as
my grandmother was killed by a drunk driver. The drunk driver ripped
away our familys security blanket and happiness.
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B. Read the editorial below. Then write an editorial response that expresses
the opposite position from that which is expressed in the editorial. Note
that this need not be your personal opinion, but should be the opinion
expressed in the response you write. Be certain to support the opinion
by utilizing as many of the methods discussed above as possible. You
may use reference resources. Note that you may fabricate personal
experiences for purposes of supporting the opinion.
Editorial: The Death Penalty

The death penalty is a strong and appropriate punishment for heinous
crimes. It should not be repealed in our state. Criminals need to know
that the ultimate punishment is waiting for them when they commit
the most serious crimes.
I believe that the crime rate in our state dropped substantially after the
death penalty was approved. When you think of the victims who have
died as a result of robberies, assaults, and the like, it is only fair that the
criminal receive dire consequences.
When prisoners are behind bars, they often discuss their crimes and the
consequences. While some oddly consider their prison time a bizarre
badge of honor, these prisoners cannot wear a badge of honor if they
are no longer allowed to return to the streets to brag about their crimes.
Thoughts of a death penalty possibly awaiting them will deter potential
felons from finding glory in committing crimes and serving prison
time.
Lets send a message to our legislators to let them know that we want
the death penalty to remain in place in our state. Lets NOT repeal the
death penalty.
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UNIT VIII
GOVERNMENT
AND YOU
A polling place in Florida
N
ow that we have covered federal, state, and local governments
in detail, we turn to the relationship between you, as an indi-
vidual, and government. Chapters in this unit cover your role
in the government, specifically voting, deciding whether to belong to
a political party, how to influence government, and rights and obliga-
tions related to citizenship.
Chapter 17 discusses your right to vote. In this chapter, you will
learn how American citizens can register to vote and what the actual
process of voting involves. The chapter also discusses why people vote
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or decide not to participate in an election and how political candidates

compete for your vote.
Chapter 18 covers the party system in the United States. As a voter,
you have the right to join a political party or remain unaffiliated or
independent. This chapter discusses the history of the two major par-
ties in the United States today, the Democrats and Republicans, and
several notable third parties.
Chapter 19 examines influencing government. You will learn
about the role of lobbyists, special interest groups, political action
committees (PACs), and laws that regulate campaign contributions.
Chapter 20 looks at citizenship. Topics in this chapter include
rights and obligations, the legal system, jury duty, paying taxes, regis-
tering for the draft, and immigration and naturalization.
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Chapter 17

Your Right
to Vote
KEY TERMS
incumbent poll tax voting machine
challenger absentee straight ticket
liberal ballot split ticket
conservative voter registra- referendum
tion
moderate initiative
voter fraud
front-runner recall
ballot
dark horse special election
ballot box
grandfather
clause Australian
ballot
literacy test
The right to vote is widely regarded as one of the most important rights that
citizens have in a free society. This chapter examines such topics as the rea-
sons why people decide to vote or not vote, the voting process, and voting
patterns. Students will learn how the right to vote was gradually expanded to
African Americans, women, and citizens who are at least 18 years old and
which groups can still be legally excluded from voting and why.
17.1 How Do Candidates Compete for Your Vote?

U.S. citizens can be divided into two types: those who usually vote and those
who rarely or never vote.
363
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364 UNIT VIII GOVERNMENT AND YOU
Reasons for Voting

Why do many citizens feel it is important to vote in elections? These are three
of their reasons:
1. Concern about public issues. Committed citizens are likely to have
strong feelings about one or more issues in the news. One person may like a
candidates stand on certain issues. But other voters may not like what a
candidate has said on these or other issues. For that reason, they plan to
vote and even campaign against the candidate.
2. Feeling of civic duty. Committed citizens believe that the American sys-
tem of government needs to be supported. They think that voting regularly
is the least they can do to express their support.
3. Interest in politics. Some people are attracted to politics because they see the
fun and excitement in it. For them, election campaigns are like sporting con-
tests. Whos the best candidate? Whos going to win? Interest in such questions
motivates people not only to vote but also get involved in political campaigns.
Incumbents Against Challengers

Politicians who are currently in office are known as the incumbents. Candi-
dates who seek to defeat incumbents are called the challengers.
Why would voters want to remove some people from office and replace them
with others? Perhaps economic conditions are bad, and the voters hope that a
change in government will help to improve conditions. At other times, a scandal
may cause voters to wonder whether their officials are honest. In a democracy,
elections provide voters with a powerful means of cleaning house and ridding
government of those who, in their opinion, are not properly fulfilling their duties.
Another reason for replacing one group of officials with another has to do
with the voters political values. At times, people may favor a liberal approach to
public problems, while at other times they favor a more conservative approach.
Liberals Against Conservatives

Some candidates for office are often described as either liberal or conservative.
What is meant by these terms?
In the context of contemporary U.S. politics, liberals and conservatives dis-
agree about governments role in society. Many liberals support an activist
government, thinking the government should take the lead in helping the
elderly, poor, and sick and promoting social justice. By contrast, many conser-
vatives believe that government is often inefficient and creates more prob-
lems than it solves. To help the poor, sick, and elderly, conservatives believe
that private charitable organizations are more effective than government.
Additionally, conservatives argue that smaller government facilitates economic
growth, which in turn produces jobs and increases prosperity for all people.
In the course of a campaign, words such as left and right are used to
describe a politicians views on issues. Anyone with liberal ideas is said to be
on the left. Anyone with conservative ideas is on the right.
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Moderates In the Middle of the Road

President Dwight Eisenhower once told voters that he was neither a liberal nor
a conservative. Instead, he liked to stay in the middle of the road. In other
words, he followed policies that were neither left (liberal) nor right (conserva-
tive). His policies were somewhere in the middle. Middle-of-the-roaders are
also known as moderates. Most American politicians prefer the middle or
moderate path because they can usually attract a larger following there than
in the narrower road of the left or right. Moderate politicians are also described
as being in the center, in the middle of the left and the right.
Front-Runners and Dark Horses

Which candidate stands the best chance of winning? In many ways, following
an election campaign in the newspapers and on television is like watching a
horse race. The competing candidates are even described as if they were horses
racing to beat each other to the finish line. We say that they are in the race
for the presidency or for a seat in Congress.
The candidate who seems to be leading in the race is referred to as the front-
runner. But behind him or her are several others who might surprise everyone by
catching up. Those who, in the beginning, are not expected to win are called dark
horses. In 1991, few voters had ever heard of presidential candidate Bill Clinton,
President James K. Polk: The First Dark Horse

The term dark horse first entered the American political lexicon in 1844, when
the Democrats gave their partys presidential nomination to James K. Polk of
Tennessee. A supporter of Andrew Jackson,
Polk had been elected to Congress in
1824. A decade later, he was elected
Speaker of the House of Representatives.
After serving two terms as Speaker, Polk
left Congress after he was elected
governor of Tennessee in 1839. Polk,
however, suffered a setback when he lost
his bid for re-election in 1841. He lost
another race for governor two years later.
In 1844, Democratic Party leaders met
at their convention in Baltimore,
Maryland, to nominate their presidential
candidate for the general election. Former
President Martin Van Buren was the
favorite, but his opposition to the
annexation of Texas had alienated many
President James K. Polk delegates. After Van Buren failed to win
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President James K. Polk: The First Dark Horse (Continued)

the required votes of two-thirds of the delegates, the convention then looked
to Polk as a compromise candidate. With the support of former President
Andrew Jackson, a revered figure among Democrats, Polk was nominated on
the ninth ballot.
Polk was considered a dark horse because he lacked national recognition.
The Whig Party, which nominated former House Speaker and U.S. Senator
Henry Clay of Kentucky, hoped to exploit the fact that most Americans had
never heard of Polk. Clay was the front-runner in the campaign.
A believer in Manifest Destiny, Polk favored the annexation of Texas and the
Oregon Territory, which was the subject of a major border dispute with Great
Britain. After a nasty campaign, Polk won a razor-thin plurality over Clay in the
popular vote and a narrow victory in the electoral college.
As president, Polk annexed Texas and negotiated a treaty with Great Britain
that divided the Oregon Territory between the two countries. In 1846, Polk
provoked a war with Mexico with the aim of acquiring California. Mexicos
defeat in 1848 led to the Treaty of Guadalupe Hidalgo, which gave the United
States territory in the Southwest that included present-day California, Utah,
Nevada, and parts of Wyoming, Arizona, Colorado, and New Mexico.
President Polk fulfilled a campaign pledge to serve only one term. He died
on June 15, 1849, a few months after leaving office. Among many presiden-
tial scholars, James Polk enjoys a favorable reputation and is often considered
a successful president who accomplished his goals in a short time.
the governor of Arkansas. But early in 1992, the dark horse candidate from
Arkansas received the media attention and political support he needed to become
the Democratic nominee. Candidate Clinton went on to win the election.
Mandate After a Victory

The excitement of a political campaign reaches a climax on Election Day in early
November. Who will win: the incumbent or the challenger, the liberal, moderate or
the conservative? Until now, politicians and the press have given their expert
opinions about who will win hundreds of times. But opinions are not facts. On
Election Day, the great question of who will win is left finally to the voters to decide.
The 2008 Presidential Race

In the 2008 presidential election, Democratic voters quickly narrowed
the field to three candidates: United States Senators Hillary Clinton, John
Edwards, and Barack Obama. On the Republican side, the choice was made
in the state primaries months before the Republican Convention in August.
Senator John McCain from Arizona was the 2008 Republican candidate
for president, quickly disposing of his only real competition in former
Massachusetts governor Mitt Romney and former Arkansas governor Mike
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President Barack Obama and his wife Michelle Obama getting their daughters Malia and Sasha
ready for their first day of school in Washington, D.C.
Huckabee. McCain burnished his reputation as a maverick by choosing a

womanAlaska Governor Sarah Palinas his vice presidential running mate.
Governor Palin earned a place in the history books by becoming the first
Republican woman chosen to run for the nations second-highest office.
The 2008 presidential race came down to Barack Obama and John McCain.
While polls showed the race a virtual tie for most of the campaign, Obamas
ability to utilize modern technology (e.g., the Internet) to spearhead his cam-
paign, and a larger than usual youth turnout, allowed him to win the 2008 pres-
idential election. Obama was also able to connect McCain to the unpopularity
of the Bush White Houses decision to go to war in Iraq, as well as to a deterio-
rating economy. The final electoral college vote was Obama 365, McCain 173.
Nonvoting
The number of people who turn out to vote in an election plays one of the
most important roles in deciding who governs us. However, year after year,
millions of registered voters never bother to exercise this right. This
fact troubles many people who consider voting an important civic duty that
is essential to any democracy. Why dont people vote? Political scientists have
offered several explanations: (1) people do not believe that their vote will
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count or make a difference in an election that involves tens of millions of

people; (2) people have become disillusioned by the political process, specifi-
cally the mudslinging that characterizes many election campaigns and
well-publicized scandals in government such as Watergate; (3) people are too
busy to vote or have other things to do on Election Day; (4) people are dissat-
isfied with the quality of the candidates running for office; and (5) people
might be satisfied with the current state of affairs and believe that their vote is
unnecessary.
SECTION REVIEW
1. Define: incumbent, challenger, liberal, conservative, moderate, front-
runner, and dark horse.
2. Briefly explain why concerned citizens vote regularly.
3. How can democracy motivate public officials to serve the needs of the pub-
lic? Why would voters want to replace the party officials who serve the
needs of the public?
4. How do liberals and conservatives disagree about the proper role of
government?
5. Why do many American politicians prefer to follow a moderate approach?
6. What are the reasons that people decide not to vote?
17.2 Who Can Be Prevented From Voting?

State governments, not the federal government, enact the most important
laws about voting. These state laws, however, must not violate the U.S. Consti-
tution. For example, because of the Twenty-sixth Amendment, which lowered
the voting age to 18, states cannot limit the vote, for example, to citizens who
are at least 21. But within the bounds set by the Constitution, states may decide
which of their residents can and cannot vote.
Early Barriers to Voting

When George Washington was president from 1789 to 1797, there were
numerous barriers to voting. Women, black slaves, Native Americans, men
younger than 21, and even many white men who did not own property were
ineligible to vote. In fact, in President Washingtons time, those who could
not vote greatly outnumbered those who could.
Gradually, the laws in many states changed. White males who did not
own property were the first group to benefit. By 1830, most states permitted
them to vote.
The next group who gained the right to vote were African-American
males. Their status changed right after the Civil War as a result of the
Thirteenth, Fourteenth, and Fifteenth amendments. The Fifteenth Amend-
ment said that no state could stop a person from voting because of his race.
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Therefore, in the late 1860s, all state laws that made blacks ineligible to vote
were legally invalidated.
But some states still found ways of keeping African Americans from voting.
In the South in the 1890s, voting laws commonly included a grandfather
clause. It guaranteed the vote to citizens whose grandfathers had voted before
the Civil War. Southern blacks could not claim voting rights under this clause
because their grandparents had been ineligible. Only Southern whites were in a
position to inherit the right to vote from their ancestors. Thus, the grandfather
clause made it easy for whites to vote but very difficult for blacks.
For many years, states defied the Fifteenth Amendment, and the federal
government in Washington did nothing to stop them. In 1965, Congress passed
the Voting Rights Act, which removed barriers to voting for African Americans.
In the 1960s, the literacy test and the poll tax, which had prevented many
African Americans from voting, were both abolished. Today, by enforcing the
Voting Rights Act, the federal government makes sure that African Americans
and other minorities are given an equal opportunity to vote in all elections.
The third group who won the right to vote were women. In 1920, the Nine-
teenth Amendment, which extended full voting rights to women, was ratified.
Current Barriers to Voting

The electorate is everyone in the population who is permitted to vote. Today,
the American electorate is huge. Many more people are included in it than
excluded. Even so, there are millions who would be turned away at the polls if
they tried to vote. Who are these Americans who are not allowed to vote?
Children and Teenagers

People under age 18 cannot vote. When citizens turn 18, all states must allow
them to vote. The Twenty-sixth Amendment to the Constitution, adopted in
1971, guarantees this right.
Noncitizens
All states require voters to be either native-born or naturalized citizens of the
United States. Foreign-born immigrants to the United States cannot vote until
they gain their citizenship.
Mentally Incompetent
Many states (but not all) have laws preventing people in mental hospitals from
voting. Severely mentally challenged persons may also be kept from the polls.
Criminals
People who are convicted in court of committing felonies may lose their right
to vote. State laws differ. Some permit felons to vote, while others do not.
Why are the above groups stopped from voting? Some State lawmakers have
concluded that these groups cannot be trusted to vote responsibly. Some of the
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justifications given for the prohibitions have been: A five-year-old child obviously
does not know enough about government to vote. A foreign-born noncitizen has
not yet proved his or her loyalty to the United States. By breaking the law, crimi-
nals show that they lack respect for government and society. Someone who is
mentally challenged or mentally ill may not be capable of making decisions.
Residency Requirement
Another requirement temporarily stops thousands of people from voting each
year. Many states require that citizens reside in a state for a certain number of
days before the election. Suppose that, shortly before Election Day, a family
moves from one state to another. Chances are that members of the family will
not qualify to vote in that years election.
Even then, however, citizens can take steps to vote in their native states,
the one they plan to leave. Special absentee ballots (for state residents who
are either ill or away from home) are mailed to voters who request them and
then mailed back to election officials. Those who wish to vote must be sure to
apply for an absentee ballot several weeks before the date of the election.
People Who Fail to Register

Before eligible voters are allowed to vote, they must register with their local
election board. This involves filling out a voter registration form, which is
available in government offices or can be obtained through the election board.
In most states, citizens have to register only once. As long as they do not
change their address, registered voters can continue to show up at the polls and
cast a ballot. In some states, the registration must be renewed after a certain
period. Eligible citizens who are not registered are not allowed to vote. Registra-
tion ensures that an election is conducted honestly and reduces the chances of
voter fraud, such as one person casting many votes for one candidate.
REVIEW
1. Define: grandfather clause, literacy test, poll tax, voter registration, and
absentee ballot.
2. Which level of government supervises voting?
3. Which groups were not allowed to vote in the early days of the United
States? Explain how these groups gained the right to vote.
17.3 How Do Voters Indicate Their Choices

in an Election?
When you enter a voting booth, nobody is allowed to look over your shoulder.
All states require that you make your choice of candidates in secret. Why do
Americans cast ballots in secret instead of in the open?
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History of the American Ballot

A ballot is anything that voters mark or manipulate in order to make their
choices known on Election Day. Today, candidates names are printed on a
piece of paper, displayed by a machine, or shown on a computer screen.
It is not completely necessary to use a ballot in elections. In colonial times,
qualified voters would simply call out candidates names in a practice known as
voice voting. In colonial Virginia, for example, voters would walk up to a table
where an election official sat with a book of blank pages. The candidates them-
selves might be sitting right next to the official. Looking one candidate in the
eye, a voter announced: It is my privilege to vote for Mr. Smith. As Smith
nodded, the officials book would be marked to record the vote.
After 1800, the most common practice was to drop paper ballots in a
boxa ballot box. Some ballots were just blank slips of paper on which vot-
ers had written down the names of the candidates they preferred for different
offices. At other election places, voters would be handed ballots that had can-
didates names already printed on them. One ballot might be colored green
and give the name of only the Republican candidates. A second ballot, colored
blue, would list the Democrats running for different offices. As they lined up
to vote, most people would ask for either the Democratic ballot or the Repub-
lican ballot and drop it in the box.
It was very easy to count the colored ballots. It was also too easy to win
elections by cheating. In the middle of the 19th century, politicians used to do
personal favors for people in their neighborhood. Shortly before Election Day,
they might pass out hundreds of turkeys and hams to needy families. They
expected the favors to be repaid in the polling place. Politicians helpers
would be posted there to see that voters asked for ballots of the right color.
Another trick of those times was to teach voters how to hide one ballot
inside another and then drop both into the box. Of course, it was unlawful
for anyone to vote twice. But the system made it easy to get around the law. In
the 1860s and 1870s, stuffing ballot boxes with illegal votes was especially
common. How could this voter fraud be stopped? Beginning in the 1880s, a
few states experimented with the Australian ballot, a voting system that
Voting methods today vary from county to county.

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First Lady Eleanor Roosevelt used a voting machine to cast her ballot in the 1936 election.
originated in Australia. The state printed thousands of copies of one official

ballot, which listed the names of all candidates for the two major parties and
perhaps some minor parties as well. This was the only ballot that was issued
to qualified voters at polling places. Voters were not allowed to make their
choices in public. Instead, they were required to take their ballots behind a
curtain and secretly mark Xs next to candidates names. After the voting
ended, election officials counted all the ballots. Any ballot that was marked
improperly was thrown out or put aside as not valid.
The Australian ballot did not eliminate voter fraud altogether. However, it
was found to be a great improvement. Eventually, all states adopted the basic
idea of the Australian ballot. That is why most voting today is done privately,
inside a curtained booth.
Voting Machines
Before he invented the phonograph and the lightbulb, Thomas Edison in 1868
invented a machine for voting and automatically tabulating votes. Edisons inven-
tion was ahead of its time. People started voting by machine for the first time in
the 1890s. Today, the practice of using machines is even more common than
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marking paper ballots. Since voting machines display an official ballot inside a
curtained booth, they are just another form of the Australian ballot idea.
Voting by machine may seem complicated. In fact, it is as simple as turn-
ing on a light switch. To cast a ballot, voters simply pull little levers next to the
names of the candidates they wish to support. Then they turn a big lever that
records the votes and clears the machine for the next voter.
Long Ballots and Short Ballots

It is a challenge to vote intelligently in American elections. Inside the voting
booth, you may face a ballot that lists more than a dozen offices. Some are
offices in the federal government such as president, senator, and representa-
tive. Others are offices in your state government such as governor, state legis-
lators, and perhaps state judges, and your county, city, or town such as mayor,
county executive, and city council.
Usually, there will be two candidates listed for each office, a Democrat and
a Republican. For some of the more important offices such as president and
governor, third-party or independent candidates may be on the ballot as well.
Voting a Straight Ticket or a Split Ticket

One way that Americans simplify their choices is to vote for all the candidates
of one party. This is known as voting a straight ticket. Some states make it
even easier to vote for a straight party ticket. They list Democrats in one col-
umn, and the Republicans in another. At the top of each column is a box or
circle. Voters simply place an X there if they want to vote for the partys entire
list of candidates from top to bottom.
Instead of a straight ticket, many voters will often vote for candidates of
different parties for different offices. For example, one person may decide to
vote for a Democrat for president and a Republican for senator. This is called
voting a split ticket. Split ticket voting became more common after World
War II, resulting in one party controlling the presidency and the other party
controlling one or both houses of Congress.
Referendum, Initiative, and Recall

The ballot often includes deciding important issues as well. In a referen-
dum, the people decide whether to approve or reject a new law. A simple
majority vote decides the outcome.
Who decides to put the proposed law on the ballot for referendum? The
state legislature may decide to do it. In some states, however, a group of ordi-
nary citizens may place a referendum on the ballot through a process known as
the initiative. The group interested in changing the law writes its proposal as
a petition and then tries to persuade eligible voters to sign it. If enough signa-
tures are collected, as required by state law, the proposal is either placed on the
election ballot as a referendum or voted upon by the state legislature.
Another type of special election is the recall. A group of citizens may
be unhappy with the actions of a certain state official. Unwilling to wait until the
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next election, the group circulates a petition proposing that the official be voted
out of office in a recall election. If enough signatures are collected, the election is
held. In a recall election, a majority vote can remove an official from office.
Recall elections are not common. In 2003, however, California held a suc-
cessful recall election that led to the removal of Governor Gray Davis, who
had become widely unpopular with the voters. The president of the United
States and any other federal officials cannot be removed by recall.
Special elections are held to fill vacancies of federal, state, and local offi-
cials who die while in office or resign before their term is up. Such elections
are held at the usual polling places. To fill vacancies in the U.S. Senate, how-
ever, many state governors have the power to appoint someone to the seat
until November of that year or for the rest of the term.
REVIEW
1. Define: voter fraud, straight ticket, split ticket, recall, special election, ballot,
ballot box, Australian ballot, and voting machine.
2. How was the Australian ballot an improvement over previous systems?
3. Compare and contrast referendum and initiative.
A recall election removed California Governor Gray Davis from office in 2003.
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CHAPTER 17 REVIEW
1. In an election, the person who is seeking reelection to the office is called
the (a) challenger (b) liberal (c) conservative (d) incumbent.
2. In the political spectrum, moderates are best described as being (a) on the
left (b) on the right (c) members of a third party (d) in the middle of the road.
3. Many American politicians prefer a moderate position because they
(a) can usually attract more voters this way (b) are usually flip-floppers
on issues (c) are extremists (d) dont think for themselves.
4. Which group is not allowed to vote today? (a) women (b) African Ameri-
cans (c) white males (d) 15-year-olds
5. The Fifteenth Amendment extended the right to vote to which group?
(a) women (b) noncitizens (c) adult black males (d) those between the
ages of 18 and 21
6. The Voting Rights Act (a) eliminated barriers that prevented many
African Americans from voting in the South (b) gave women the right to
vote (c) lowered the voting age to 18 (d) set the nations first voting
requirements, in 1789.
7. A person who votes on a ballot for all the candidates of one party votes
(a) a split ticket (b) a balanced ticket (c) an unbalanced ticket (d) a straight
ticket.
8. What measure allows the people to approve or reject a law? (a) referen-
dum (b) recall (c) split ticket (d) special election
9. In 2003, California Governor Gray Davis was removed from office
through (a) recall (b) general election (c) impeachment (d) referendum.
10. The purpose of a special election is to (a) pick the members of the elec-
toral college (b) elect candidates to fill vacancies (c) approve a treaty
(d) pick candidates for the general election.
ESSAY
graphs, and a conclusion discussing the voting process from registration to
casting a ballot on Election Day.
the documents and your knowledge of U.S. government.
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DOCUMENT 1
Let each citizen remember at the moment he is offering his vote that he
is not making a present or a compliment to please an individualor at
least that he ought not so to do; but that he is executing one of the
most solemn trusts in human society for which he is accountable to
God and his country.
Samuel Adams, 1781
1. How does Samuel Adams view voting?
DOCUMENT 2
Nobody will ever deprive the American people of the right to vote
except the American people themselvesand the only way they could
do this is by not voting.
President Franklin Delano Roosevelt, 1938
2. According to Roosevelt, how could Americans lose their right to vote?
DOCUMENT 3
It is easy to say that one vote doesnt count. My friends, there have been
three Presidents elected by one electoral vote in the electoral college;
and one of those Presidents, my friends, the vote that elected him,
because it was finally put in the House of Representatives, was by a rep-
resentative from Indiana, whose margin of victory was one vote. And
that one vote was from a sick constituent who insisted on being carried
from his bed to the voting booth so he could register his opinion on the
decisions of that day. And there have been five States admitted to the
Union by the margin of one vote. Now let me bring this closer to home.
How many of you remember the majority by which the Democrats won
Ohio in 1948?
Well, it was 7,100. And you had more than 8,000 election precincts.
One more vote in each election precinct on the right side and you
would have been in the right column. Now ladies and gentlemen, I am
trying to show you that your vote is important. Not only because you
owe it to yourself, to the Government under which you are living, to
register your convictions as to the political developments and programs
of this country, but because of the potential meaning of that vote in
what is going to happen to this country during the years to come.
President Dwight Eisenhower, October 19, 1954
3. How does President Eisenhower refute the claim that one vote can never
make a difference?
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DOCUMENT 4
In politics, an organized minority is a political majority.

Reverend Jesse Jackson, 1989
4. What do you think Reverend Jackson meant by his statement?

and a conclusion discussing why it is important for people to vote. Include
references to the documents and your knowledge of U.S. government in your
essay.
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Completing a Chart
A. Initially, voting rights in the United States were restricted to white, male
property owners. Throughout the decades, some but not all barriers to
voting were removed. Complete the chart to identify some of the
barriers to voting rights. You will find portions of the information you
need in the chapter. For additional information, you may use Internet
and library resources.
Barriers to the Right to Vote in Presidential Elections

Group Primarily Law Related to Voting Year Congress
Affected by Voting Barrier (Includes Passed or States
Barrier Brief Description) Ratified
1. Fifteenth Amendment; 2.
gives voting rights to
former slaves and all
adult male citizens
Women 3. 1920
4. 5. 1924
6. Twenty-third Amendment 7.
Those who are 8. 1964

economically
disenfranchised
Minorities and Voting Rights Act of 1965; 9.

those who were protects voting rights of
economically minorities; eliminates
disenfranchised literacy test and other
barriers
10. 11. 1971
B. Answer the questions below.
12. Why are these groups not included in the chart: felons and those
who are mentally incompetent?
13. Are citizens of Puerto Rico allowed to vote in U.S. elections? Explain.
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Chapter 18

Choosing a
Political Party
KEY TERMS
party boss convention two-party
patronage job primary system
divided closed primary trust
government open primary party platform
caucus system runoff
When covering U.S. politics, the media often talks about the Democratic and
Republican parties and even other political parties that seek votes. This chap-
ter discusses the role of political parties in the United States. You will learn
what political parties are, how they got started, and what it means to belong
to one. Additionally, the history and philosophies of the Democratic and
Republican parties are covered in detail along with the role of third parties and
independent candidates.
18.1 Why Do We Have Political Parties?

A political party is an association of individuals who share, for the most part, the
same ideas, philosophies, public policy positions, and agendas and seek to get its
members elected to office. In the United States, the two major political parties,
the Democratic Party and the Republican Party, compete with each other on the
federal, state, and local levels to obtain the right to govern for a fixed term.
How to Join a Political Party

When you register to vote, you are given the option of formally enrolling in a
political party. You can pick the Democratic, Republican, or one of the minor
379
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parties. If you do not make a choice or refuse to join any party, you will be
listed as independent.
Belonging to a party does not cost you anything. You are not required to
contribute any money to the party or any particular candidates. On Election
Day, you may still vote for the candidates of your choice regardless of their
party designation. The only advantage of belonging to a party is that you are
allowed to vote in its primary, an election in which candidates of the same
party compete for its nomination for a particular office in the general election.
(Some states such as California have open primaries, which allow all voters
regardless of their political affiliation to participate in a party primary.)
If you become disillusioned with the party you initially joined or find
another one more desirable, you can easily change your party affiliation by
filling out another voter registration form.
Four Kinds of Party Members

Some members of political parties are far more active than others. From the
least active to the most active, these are the groups that make up an American
political party:
1. Voters. In any party, this is the huge majority. Their only involvement is
to vote on Election Day.
2. Occasional volunteers and contributors. From time to time, some
voters may decide to take an active part in an election campaign. They may
take a special interest in a certain candidate and want to see that he or she
wins. So they volunteer their time. They may address envelopes and mail
out campaign letters. They may assist in calling up voters on the phone. Or
they may donate a small sum of money to help pay some of the candidates
campaign expenses.
3. Local leaders. For these members, politics is a major interest. They may
organize party meetings, encourage monetary contributions, send out
party literature, and administer Web sites.
4. Professional politicians, candidates, and bosses. The most active and
noticeable members of a party are candidates for different offices. Running for
office requires a lot of work. Candidates have to raise money, greet voters in
public places, give interviews to the media, and publicly debate opponents.
Candidates who win elections become public employees, earning a salary
and receiving benefits. Once in office, they must devote themselves to their
duties and the business of government. If they wish to remain in office, they
must run for re-election and persuade voters that they deserve another term.
In 2006, voters in West Virginia returned Robert Byrd, a Democrat, to the U.S.
Senate for his ninth consecutive six-year term.
Party bosses wield power behind the scenes. They serve the party as a
whole, choosing candidates, raising money, organizing campaigns, and enforc-
ing discipline among active members. Bosses seek to build a formidable party
organization that successfully mobilizes voters to support its candidates on
Election Day.
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Politicians from the president down to local county legislators and bosses
on the national, state, and local levels serve as the public faces of a political
party. Their decisions, actions, personal conduct, and performance can
increase or erode public support for the party.
Goal of Winning Elections

One purpose of American political parties is to win elections for their mem-
bers. In fact, this may well be the chief reason that parties exist in the United
States. The Republican and Democratic parties are little more than loose orga-
nizations for gaining votes at election time.
In other countries of the world, political parties exist for other reasons. In
China, for example, the Communist Party is the only legal party. Its chief pur-
pose is to decide how the government of China should be run.
American political parties also have a strong interest in running the gov-
ernment and setting policy. But they can do so only if their candidates are
voted into office. Therefore, parties in the United States concentrate their
efforts on winning elections.
Rewards of Victory
Why is it so important for parties to win elections? It is because of the political
rewards that go to the winner. The main rewards are: (1) top elected jobs in
government, (2) appointed jobs in government, and (3) power to make policy,
1. Top jobs in government. The most powerful jobs in the legislative and
executive branches of government are usually reserved for winners of
elections. In the national government, the president and all members
of Congress are elected. In state government, the governor and all mem-
bers of the state legislature are elected. In the government of cities and
towns, the mayor and members of the local council are elected. In some
state governments and most local governments, judges are elected.
2. Appointed jobs in government. A president, a state governor, and a city
mayor have the power to fill other jobs in government. The people they choose
to assist them are almost always members of their own party. Instead of being
elected, such people are appointed to their posts. They are often the most
important members in the winning candidates campaign. The reward for their
political work is a government job with a good salary. In 1989, President
George H. W. Bush appointed James Baker, who had managed his campaign
victory in the 1988 election, as secretary of state. Those jobs that can be given
out to party members are known as patronage jobs. Not all jobs in govern-
ment, however, are not filled by politicians. In fact, the great majority are filled
through the civil service system (described in Chapter 13). But the political, or
patronage, jobs that do exist are among the highest-paying in government.
3. Power to make policy. The party that controls the presidency and Con-
gress sets policy. In 1932, voters swept Franklin Roosevelt, the Democratic
presidential candidate, into the White House and substantially increased
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the Democratic majority in Congress. Roosevelt was able to get his New
Deal reforms to alleviate the Great Depression approved with little or no
difficulty.
Since the mid-1940s, divided government, a situation in which one
party controls the presidency while the opposing party controls one or both
houses of Congress, has been frequent. In such a case, the president and lead-
ers of Congress are forced to compromise in order to get things done.
REVIEW
1. Define: open primary, party boss, patronage job, and divided government.
2. What does it mean to be a registered member of a political party?
3. List the four types of political party members, and briefly describe the role
that each plays in his or her party.
4. What else are voters asked to do besides voting during an election?
5. Briefly discuss the rewards of political victory.
Divided Government: Republican House Speaker Newt Gingrich, Democratic President Bill
Clinton, and Republican Senate Majority Leader Robert Dole were forced to compromise after
the Republicans won control of both houses of Congress in the 1994 election.
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18.2 How Do Parties Nominate Candidates?

Just as an athletic team needs to recruit strong players, a political party needs
to recruit strong candidates. Among the millions who belong to a party, who
is best able to win the confidence of voters? A partys hope for success depends
on how well it can answer this question.
Recall that only a small percentage of party members spend much time
working at party business. Naturally, the most active members are the ones
with the most influence when it comes to choosing the partys candidates. We
call them the leadership group. The othersthe voters and occasional volun-
teersare sometimes referred to as the partys rank and file. In the past, the
members of the leadership group had much greater power than they do today.
Let us see how they gradually lost some of their power to the rank and file.
The Caucus and the Convention

In 1801, Thomas Jeffersons first year as president, the leaders of a party were
usually members of the U.S. Congress or of their state legislature. After a day
of lawmaking, they might meet together in a private room to discuss party
business. Such a closed gathering was called a caucus.
As they sat around a table, the party leaders would draw up a list of candi-
dates for different offices. Their choices then became the partys nominees for
office. A nominee is any candidate who is officially namedor nominatedby
a political party.
The caucus system for nominating candidates did not last long because
people viewed it as undemocratic. In the 1820s and 1830s, it became common
for parties to hold conventions. These were large gatherings that were open to
some members of the rank and file as well as the party leadership. At state
conventions, held every year or two, the chief business was to nominate
candidates for different offices. Thus, the closed-door caucus was replaced by
the convention, an open meeting of party members.
How Bosses Used to Control Parties

Not everybody could attend a partys convention. Those who did go were dele-
gates (party representatives) from different counties and communities. Each del-
egate could cast one vote for a candidate. Often, however, delegates voted the
way state bosses ordered them to vote. They could not vote their consciences.
Why would delegates allow themselves to be controlled? To understand it,
you must know how American parties are organized at the local level. As you
learned in Chapter 16, states are divided into counties, which are then subdi-
vided into smaller units called cities, villages, towns, and townships. A major
city may be divided again into sections called wards. Finally, each ward is sub-
divided into neighborhoods of only a few city blocks. Such neighborhood
areas are called precincts.
Every political unit, large or small, has its own committee of party leaders
to look after the politics of that area. Every county has a committee of party
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leaders. Every city ward has a committee, and so on. At the head of each com-
mittee is a chairperson.
In the late 19th century, before women could vote, only men could head a
committee. Often he was also very powerful and controlled other members of
the committee. If you opposed the boss, you would swiftly be fired from your
job in city hall. Delegates picked by a boss to go to a convention could be
counted upon to do as they were told. In theory, the party conventions of old
were supposed to speak and act for the rank and file. In fact, they often spoke
only for the bosses.
In the early 1900s, however, the bosses grip on power began to weaken.
Large numbers of voters began protesting against bossism. In one state after
another, a new system replaced the convention as the chief means for nomi-
nating party candidates. The system is the direct primary, and it is still in use
today.
How the Primary Works

A primary is a special election among party members that precedes the gen-
eral election in November. On a certain date earlier in the year, voters go to
their local polling places and make their choice of candidates on a ballot. The
day for this election is set by a states law. When the ballots are counted, a party
member receiving the most votes is declared the official nominee of his or her
party. Since two or more political parties exist in every state, several candidates
may be nominated for the same officebut only one candidate per party.
As an example, take the office of state governor. In 1982, Lt. Governor
Mario Cuomo and Mayor Edward Koch of New York City ran in the Demo-
cratic primary for governor of New York. Two Republicans, Lewis Lehrman, a
wealthy businessman, and Paul Curran, an attorney, also wanted their partys
nomination for governor of New York. Cuomo defeated Koch in the Demo-
cratic primary, and Lehrman won the Republican primary. The two winners
then competed against each other in the general election. Cuomo narrowly
defeated Lehrman to become governor of New York State.
Two Kinds of Primaries

Do you have to be registered as a member of a party before you can vote in
that partys primary? It depends on the state.
The most common method for nominating party candidates is the closed
primary. One ballot listing Democratic candidates is for voters who are regis-
tered as Democrats. A separate ballot listing Republican candidates is pre-
sented to registered Republicans. If you are Republican, you cannot cross over
to mark the Democratic ballot. Nor can a Democratic voter mark the Republi-
can ballot. What if a person is an independent and belongs to no party? The
independent cannot vote at all in the closed primary.
Different rules apply in states that have open primaries. People may
vote for a person on the ballot of another party if they wish. Democrats have
an opportunity to mark the Republican ballot, for example. The ballots are
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kept separate. With the exception of two states, you cannot choose among the
one partys candidates for governor and then switch parties to choose another
partys candidate for U.S. senator.
The two exceptions to this rule are Alaska and Washington. In their wide-
open primaries, you can switch back and forth between parties as often as
you like. Voting in such a primary is just like voting in a general election.
Instead of two party ballots, there is only one. It lists everyone who wants his
or her partys nomination.
The Runoff
Often in a primary election (whether open or closed), there may be a large
number of candidates in the same party competing for nomination to the
same office. Suppose that a candidate does not receive a majority (more than
half) of the votes cast. In some states, the nominee is the person who receives
a plurality (more votes than anyone else).
In other states, however, the law may require that there be a second primary
following the first. In this runoff primary, the two candidates winning the
most votes in the earlier election are placed on the ballot. Then voters decide
between them with the winner being the one who gets a majority of votes.
Role of the Partys Committees

What happened to the party bosses mentioned earlier? Because of the pri-
mary system, their power has declined. Even so, parties still rely on commit-
tees to lead them at different levels of government. Heading each committee
is a chairperson who devotes a lot of time to the business of party nomi-
nations.
What is the cartoonist saying about Americas political party

system?
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REVIEW
1. Define: rank and file, caucus system, convention, delegate, party boss,
open primary, run-off.
2. Evaluate the success of the party convention in correcting the faults of the
caucus system.
3. How did the introduction of direct primaries weaken the influence of party
bosses?
4. Explain why you believe political parties are a positive or a negative influ-
ence on American politics.
18.3 How Do Democrats Differ From Republicans?

So far in this chapter, only two parties have been mentioned: the Republican
Party and the Democratic Party. That is because for well over a century, almost
all nationally elected officials in the United States have belonged to one of
these parties. As we shall see, many other American parties have also existed
and continue to exist. But rarely do the minor parties nominees win elec-
tions. Therefore, the United States is said to have a two-party system.
Three Stages in American Political History

How and when did the two-party system originate? As time passed, how did
the two major parties change? These questions can be answered briefly if we
divide U.S. history into three periods of political development.
The first period lasted about 70 years from the election of George Wash-
ington in 1789 to the election of Abraham Lincoln in 1860. The second period
also lasted about 70 years. It began with the Civil War (18611865) and ended
with the Great Depression (19291933). The third period started with the
presidency of Franklin D. Roosevelt in the 1930s and continues to the present.
Let us see how two major parties developed in each of these historical periods.
Parties Before the Civil War

In 1796, near the end of his presidency, George Washington warned Ameri-
cans about the dangers of organizing political parties or factions. He said
parties would tend to divide the country. And yet, during Washingtons presi-
dency, two major parties were already taking shape. The leaders of both had
once been President Washingtons closest friends and advisers. They were
Thomas Jefferson of Virginia and Alexander Hamilton of New York.
Hamilton founded the Federalist Party in the 1790s. Its main support came
from bankers and merchants. To oppose Hamiltons policies and ambitions,
Thomas Jefferson founded the Democratic-Republican Party. Its main support
came from farmers. In 1800, the Democratic-Republicans scored their first great
victory by electing Jefferson president.
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The Federalists did poorly in the next few elections. After 1820, their party
ceased to exist. However, another party very similar to it came into being.
Members of this new party called themselves Whigs. Their most famous can-
didate was Senator Henry Clay of Kentucky. Although they won two presiden-
tial elections, the Whigs too failed to elect enough candidates. They also died
out as a major party. Their place was taken by a new party consisting mainly of
business leaders and Northerners opposed to slavery. They called themselves
Republicans. Founded in 1854, the Republican Party attracted a lawyer from
Illinois, Abraham Lincoln.
Through all these years (18001854), Jeffersons partythe Democratic-
Republicansgrew in strength. In the 1830s, during the presidency of Andrew
Jackson, it dropped the Republican part of its name. Ever since, it has been
called the Democratic Party.
During these years, the leaders of the two leading parties disagreed about
such issues as tariffs, the expansion of slavery into the territories, and states
rights. The Democrats, especially in the South, believed that the individ-
ual states should retain a great deal of autonomy. By contrast, their oppo-
nents (the Federalists, Whigs, and Republicans) supported a strong national
government.
Between the Civil War and the Great Depression

The argument over states rights was finally settled, not by party ballots, but by
soldiers bullets. Southern Democrats were furious when Republican Abraham
Lincoln was elected president in 1860. They feared that he meant to end the
practice of slavery in the South. War broke out between the North and the South
when Southern states tried to leave the Union. The former Democrat who led
the Southern states in these war years was Jefferson Davis of Mississippi.
The North won the war. Republican leaders of Congress accused Southern
Democrats such as Davis of treason. For many years afterward, Republican
politicians in the North won elections by reminding voters of the thousands
of Northern soldiers killed in the Civil War.
In the South, voters remembered all too well the occupation of their lands
by Northern troops during the postwar period called Reconstruction. They
had bitter feelings about the Republican government of the North, and, there-
fore, Southerners almost always elected Democrats to office.
The rising power of big business challenged the independence of both
parties. Many large corporations were established after the Civil War. Many
corporations that sold similar products eventually joined together to form
trusts, which operated as monopolies that undermined competition. Power-
ful trusts were formed in the steel, railroad, sugar, rubber, and oil industries. In
order to secure favorable legislation and other benefits, some business leaders
bribed politicians and contributed huge sums of money to political parties.
Growing public resentment of the abuse of power by trusts sparked Con-
gress to pass the Sherman Anti-Trust Act (1890), which gave the federal gov-
ernment the power to break up trusts that undermined competition. When he
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took office in 1901, President Theodore Roosevelt, a Republican, used this law
to dissolve many bad trusts. In 1914, President Woodrow Wilson, a Demo-
crat, signed the Clayton Anti-Trust Act into law, which strengthened the Sher-
man Act. The leadership of both Roosevelt and Wilson curbed the power of
big business and successfully reduced political corruption.
In 1929, the stock market crashed, and the Great Depression began. Over
12 million people, about one-fourth of the labor force, lost their jobs. Since
the Republicans controlled both the presidency and Congress, many people
blamed them for the widespread misery caused by the Depression. In the 1930
midterm election, Democrats won control of Congress. Two years later,
Franklin Roosevelt, a Democrat, was elected president by a landslide. Republi-
cans would not recapture Congress for another 16 years and win another pres-
idential election for 20 years.
Major Parties Since the 1930s

President Roosevelt changed the character of the Democratic Party and
domestic politics. The Democratic Congress quickly approved his New Deal
initiatives to provide relief to those suffering during the Great Depression and
reform the economy. Roosevelts initiatives included public works programs to
provide employment and Social Security pensions for the elderly. At the time,
many Republicans opposed the New Deal, arguing that its programs were too
costly, and that the federal government should not tamper with the economy.
The popularity of the New Deal with the electorate resulted in the Democrats
becoming the party of government activism. Acknowledging the shift in pub-
lic opinion, many Republicans accepted basic New Deal programs such as
Social Security. After the Japanese attack on Pearl Harbor, the Republicans
abandoned isolationism and embraced internationalism to fight the threat of
fascism.
During the mid-1960s, the Democratic-controlled Congress approved
Democratic President Lyndon Johnsons Great Society initiatives, which
included antipoverty programs, increased aid to education, and Medicare,
health care for the aged. In the same decade, the Republican Party moved to
the right. Many Republicans argued that government programs, although
well-intentioned, were inefficient, and that the taxes needed to fund
them were stifling economic growth. Republicans charged that Democrats
were weak on both crime and national defense. Starting in the 1970s, both
parties clashed on such divisive issues as abortion, affirmative action, the
direction of the Supreme Court, and most recently, gay marriage.
In 1980, Ronald Reagan, a former two-term governor of California and
conservative Republican, was elected president. Reagans platform of lower
taxes and spending and a tougher stance against the Soviet Union resonated
with many voters. In the same year, the Republicans took control of the
Senate for the first time since 1954 and made significant gains in the House of
Representatives. Reagan is widely credited with revitalizing the Republican
Party. In 1984, he was re-elected by a landslide.
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During the 1990s, the political landscape continued to shift. In 1992, Bill
Clinton, the Democratic governor of Arkansas and a moderate, was elected
president. He became only the second Democrat to win a presidential election
in the previous 20 years. Four years later, Clinton became the first Democratic
president since Roosevelt to win re-election.
President Ronald Reagan
Although they lost control of the presidency, the Republicans bounced

back in the midterm election in 1994. For the first time in 40 years, the Repub-
licans won control of both houses of Congress. Unlike the Republican con-
gressional victories of 1946 and 1952, which were for only one term, the
Republicans managed to retain control of Congress in subsequent elections.
For the remainder of the 1990s, Clinton and Republican leaders in Congress
often clashed over the federal budget and other issues.
Party Traditions
Politicians in both parties tend to be proud of what their party has accom-
plished in its long history. The Democrats love to talk about Thomas Jefferson,
Franklin Roosevelt, and John F. Kennedy. The Republicans are just as proud of
their own party and its heroes such as Abraham Lincoln, Theodore Roosevelt,
Dwight Eisenhower, and Ronald Reagan. The Republicans acquired the nick-
name Grand Old Party, and the initials GOP are used to refer to the Republi-
can Party.
A famous 19th-century cartoonist named Thomas Nast poked fun at the
two major parties. He portrayed the Republican Party as a clumsy elephant
and the Democratic Party as a stubborn donkey. After a while, members of
both parties took a liking to the animal characters and adopted them as party
symbols.
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Nineteenth-century cartoonist Thomas Nasts portrayal of the Republican

Party as an elephant and the Democratic Party as a donkey led both
parties to adopt the animals as their respective symbols.
Party Conventions
Each party has a huge membership, numbering in the millions. Each party
consists of thousands of local groups. Once every four years, party delegates
from all 50 states meet at a national convention, and draw up a party platform
and nominate a candidate for president.
, Jack
Lincoln s
Wilso on,
T R , n
ower, FDR ,
Eisenh an Kenn ,
Reag edy
Symbols of the two major parties today

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Party Platforms
A party platform is a written statement of ideas and principles. It states the
partys current positions on a number of issues. Specific parts of a platform are
known as planks.
Once written, a platform is almost always accepted by the delegates.
While they may not agree with everything in it, they realize it is necessary to
compromise. After all, an American political party consists of a great variety of
people from different regions of the country. If they are to win a national elec-
tion, the different groups must find a way to unite behind one platform and
one candidate. A unified platform helps the party to achieve its most impor-
tant goal: victory on Election Day.
REVIEW
1. Define: two-party system, trust, national convention, party platform, and
planks.
2. Why did white Southern voters overwhelmingly support the Democratic
Party in the years after the Civil War?
3. How did Democrats and Republicans react to the problems created by big
business in the early 20th century?
4. How did Democrats gain a reputation as the party of government activism
during the presidency of Franklin Roosevelt?
5. Why is Ronald Reagan credited with revitalizing the Republican Party?
Conservative Democrats and Liberal Republicans

In recent decades, the Democratic Party has been affiliated with liberalism,
while the Republican Party has been affiliated with conservatism. Does this
mean that all Democrats are liberals, and all Republicans are conservatives?
In fact, in both parties there have been a number of politicians who often
disagree with their party on many issues. Such politicians who are willing to
step outside their partys mainstream are often lauded for remaining true to
their principles. However, members of the party rank and file often consider
them disloyal and think they should join the opposing party.
Miller. In 2004, the keynote speaker at the Republican National Convention
was a Democrat, Senator Zell Miller of Georgia. Miller had previously served
as Georgias lieutenant governor (19751991) and two-term governor
(19911999). In fact, he was also the keynote speaker at the 1992 Demo-
cratic National Convention. In 2000, Millers successor as governor appointed
him to serve the rest of the term of Republican U.S. Senator Paul Coverdell,
who had died.
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Conservative Democrats and Liberal Republicans (Continued)

As a senator, Miller compiled a conservative voting record that rivaled those
of many Republican senators. Miller opposed legalized abortion, gay marriage,
gun control, and liberal activist judges. He voted for President Bushs tax cuts
and vocally supported his foreign policy, especially the war in Iraq. In his book,
A National Party No More (2003), Miller argued that the Democratic Party
had moved too far to the left and was now out of touch with many ordinary
Americans.
In 2004, Miller crossed party lines and announced his support for Republican
President George W. Bush over Democratic Senator John Kerry in the general
election. The same year, Miller did not seek a full term in the Senate. In addition
to supporting Bush, Miller supported a Republican
to succeed him in the Senate.
Javits. A former Republican congressman
from New York City and New York State attorney
general, Jacob K. Javits was elected to the U.S.
Senate in 1956. Javits saw himself as a liberal
Republican in the tradition of Fiorello LaGuardia,
who had been elected mayor of New York City
in 1933 and re-elected in 1937 and 1941. As a
senator, Javits strongly supported civil rights and
labor unions. He voted for President Lyndon
Johnsons Great Society programs to help the
sick, elderly, and poor. During the 1970s, Javits
Senator Zell Miller of Georgia became one of the Senates leading advocates
for legalizing abortion.
As the Republican Party moved to the right during the 1960s, Javits
remained one of its most prominent liberals. In 1964, Javits angered
numerous Republicans around the country by
refusing to support conservative Senator Barry
Goldwater of Arizona, the Republican nominee
for president. During the 1950s and 1960s,
however, most Republicans in New York State
were moderates or liberals. While Javits may
have been out of step with the Republican Party
nationally, he remained within the mainstream
of the Republican Party in New York. Javitss
liberalism appealed to many Democrats.
He was easily re-elected to the Senate in 1962,
1968, and 1974 (a bad year for the
Republican Party).
Senator Jacob Javits of In foreign policy, Javits originally supported
New York the Vietnam War, but later opposed the conflict
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Conservative Democrats and Liberal Republicans (Continued)

as it became clear that the war was not being won. In 1973, Javits sponsored
the War Powers Act, which requires the president to inform Congress within
48 hours if he or she sends troops into combat and obtain the approval of
Congress if the troops remain engaged in combat beyond 60 days. Congress
overrode President Richard Nixons veto of the War Powers Act, and it became
law. Critics charged the act was unconstitutional because it violated the
separation of powers and could undermine the presidents ability to defend
the nation in a time of crisis. Javits believed the act simply reasserted
Congresss constitutional right to declare war and curbed the executive
branchs ability to bring the United States into an extended conflict without
congressional approval.
In 1980, Javits ran for a fifth term despite the fact that his health was
deteriorating. Javits was defeated in the Republican primary by Alphonse
DAmato, a conservative Republican. Javits remained in the race, running as
the candidate of the states Liberal Party. His candidacy, as critics pointed out,
split the liberal vote with the Democratic candidate, Congresswoman Elizabeth
Holtzman, and enabled DAmato to win in the fall election.
18.4 Third Parties and Independent Candidates

The Democrats and the Republicans are the two largest political parties in the
United States today. When going to vote, many people are often surprised to
find candidates from other parties on the ballot. The United States has numer-
ous minor or third parties (representing the entire political spectrum) that
compete with the Democrats and Republicans for the presidency, seats in
Congress, and state and local offices. Other candidates run as independents
with no party affiliation. No third-party or independent candidate has ever
been elected president. (When Abraham Lincoln became the first Republican
elected president in 1860, the Republicans had already displaced the Whigs as
the major alternative to the Democrats.) Relatively few third-party and inde-
pendent candidates have been elected to Congress or to state and local offices.
The Trouble With Third Parties

Third parties have not often been successful for several reasons. First, third
parties often have little money to conduct campaigns and publicize their
candidates and platforms. Since third-party candidates are given little or no
chance of winning, most people will not contribute money to them. Second,
third-party candidates rarely receive the plurality of the vote needed to win
elections. Third, the Democrats and the Republicans are usually broad enough
to represent and absorb groups of disaffected voters who may be inclined to
support a minor party.
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Governor George Wallace of Alabama
George Wallace
Several third parties have been founded to enable a specific candidate to run
for office. For example, in 1968, Governor George Wallace of Alabama, a Dem-
ocrat and ardent segregationist, organized the American Independent Party
and ran as its candidate for president. Wallace himself did not believe that he
Electoral College Votes in 1968
WA MA VT NH
9 14 3 4 ME
MT ND
4 4 4
OR MN RI
6 ID 10 WI NY 4
4 SD
WY 4 12 MI 43 CT
3 21 8
IA PA
NE 9 29 NJ
NV 5 IN OH 17
IL 26
3 UT 26 13
CA 4 CO WV VA DE
40 6 KS MO KY 7 12 3
7 12 9 MD
NC
TN 12 10
AZ OK 11 Washington
NM 8 AR SC
5 4 6 8 D.C.
AL GA
MS 12 3
7 10
TX LA
25 10
FL
AK 14
3
Republican (Nixon), 301
Democratic (Humphrey), 191

HI
4
American Independent (Wallace), 46
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would win either the popular or electoral vote, ahead of both Richard Nixon,
the Republican candidate, and Hubert Humphrey, the Democratic candidate.
Wallace hoped to receive enough electoral votes to force the House of Repre-
sentatives to decide the election and enable him to play kingmaker. Wallace
failed, winning only 46 electoral votes and 13.5 of the popular vote. Nixon
won the popular vote narrowly and the electoral vote by a solid margin.
In 1972, Wallace ran for president again. This time, he ran in the Democratic
primary. (His campaign ended when an assassin seriously wounded him.) In the
general election, the American Independent Party fielded a candidate, John
Schmitz. He drew over one million votes, but did not win any electoral votes.
Although the party, which changed its name several times, fielded presidential
candidates in every subsequent election, it generated very little interest.
H. Ross Perot
In 1992, H. Ross Perot, a Texas billionaire, ran for president as an indepen-
dent. He used his wealth to finance his campaign. Perot hoped to attract
voters who were disillusioned with both major parties. In that year, a severe
recession and race riots in Los Angeles made incumbent Republican President
George H. W. Bush unpopular and vulnerable for defeat. Several well-
publicized scandals within the Democratic-controlled Congress undermined
the publics confidence with the Democratic Party. The eventual Democratic
nominee for president, Governor Bill Clinton, the longtime governor of
Arkansas, was weakened by allegations that he had had an extramarital affair,
Since polls showed independent candidate H. Ross Perot (center on stage) with
significant support, he was allowed to participate in the presidential debates in
the 1992 election.
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evaded the draft during the Vietnam War, smoked marijuana, reversed his
positions on different issues, and was inexperienced in foreign affairs.
Perots message resonated with millions of people, and his campaign
attracted thousands of volunteers across the country. Since many polls showed
him receiving significant support, Perot was allowed to participate in the
nationally televised debates with Bush and Clinton.
On Election Day, Perot drew about 19.7 million votes, the best total for
any independent or third-party candidate in U.S. history. But he failed to win
any electoral votes. In a three-way race, Clinton won the election, receiving 43
percent of the popular vote and 370 electoral votes.
Perot reorganized his campaign organization as the Reform Party and ran
as its candidate for president in 1996. He was less successful, receiving 8 mil-
lion votes but again no votes in the electoral college. Perot declined to run for
office again, and he relinquished control of the Reform Party, which then
became torn by infighting among its members. In both the 2000 and 2004
presidential elections, the Reform Party received less than 500,000 votes.
One-Issue Parties
Some third parties are organized over a single issue. For example, the Green-
back Party was organized after the Civil War. The party wanted the federal
government to issue paper money, or greenbacks, so it would be easier for
farmers and other debtors to pay their debts. Greenback candidates focused
only on the need for greenback dollars. After receiving relatively few votes in
Former professional wrestler Jesse Ventura

shocked the country with his third-party
victory in Minnesotas 1998 governors race.
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the presidential elections of 1876, 1880, and 1884, the Greenback Party even-
tually died out.
Influence of Third Parties and Independent Candidates

Third-party and independent candidates occasionally win elections. In 1970,
James L. Buckley was elected U.S. Senator of New York as the candidate of the
Conservative Party. Buckley won because his Democratic and Republican
opponents were both liberals and split the liberal vote. Six years later, running
as the candidate of both the Republican and Conservative parties, Buckley lost
his bid for a second term.
In 1990, Bernie Sanders, a Socialist and former mayor, was elected to Con-
gress from Vermont as an independent. From 1992 to 2004, Sanders was
reelected as an independent. In 2006, Sanders was elected to the U.S. Senate as
an independent.
The success of independent candidates is usually temporary. In 1994,
Angus King was elected governor of Maine as an independent. Four years later,
he was reelected as an independent. Barred from seeking a third term by state
law, King was succeeded by a Democrat. In 1998, Jesse Ventura, a former pro-
fessional wrestler, was elected governor of Minnesota. Ventura, however,
declined to run for a second term in 2002, and a Republican was elected to
succeed him.
Many Democrats believe that third-party

candidate Ralph Nader cost them the
presidential election in 2000.
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In presidential elections, third-party and independent candidates often

draw votes from one of the major parties. For example, in 1980, John
Anderson, a Republican congressman from Illinois, ran for president as an
independent. Since Anderson was liberal on many issues, he ended up taking
votes away from President Jimmy Carter, the incumbent Democrat, instead of
Ronald Reagan, the Republican challenger.
In 2000, Ralph Nader, the well-known consumer activist, ran for president
as the candidate of the liberal Green Party. Nader asserted that both the
Democratic and Republican parties were corrupt and controlled by corpora-
tions. Nader received 2.8 million votes. Many political analysts argued that
Nader took votes away from Al Gore, the Democratic candidate, and enabled
George W. Bush, the Republican candidate, to win a close (and disputed)
election.
Third parties can exercise influence by introducing ideas into the political
arena that one of the two major parties eventually adopts in order to avoid
losing votes. In the late 19th century, the newly organized Populist Party
attracted support from Southern and Western farmers, who believed that the
Democrats and Republicans were ignoring their interests. Although the Pop-
ulist Party was short-lived, several of its proposals were eventually embraced
by the Democratic Party. In 1913, two amendments advocating reforms cham-
pioned by Populists, the passage of an income tax and the direct election of
U.S. senators, were added to the Constitution.
REVIEW
1. What is a third or minor party?
2. Who are independent candidates?
3. Why do third-party and independent candidates often fail to win elec-
tions?
4. How do third parties and independent candidates impact presidential elec-
tions?
5. How can ideas advocated by third parties become policy without their win-
ning elections?
CHAPTER 18 REVIEW
1. In addition to running the government, a major goal of American polit-
ical parties is to (a) win elections (b) gain new members (c) increase the
involvement of local leader (d) make speeches.
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2. When a citizen registers with a particular political party, he or she (a) is

committed to make a campaign contribution (b) can still vote for any
candidate he or she chooses (c) must work for that party (d) can never
switch parties.
3. The practice of appointing party members to government jobs is known
as (a) grassroots politics (b) reform politics (c) patronage (d) nepotism.
4. The major differences between open and closed primaries is that closed
primaries (a) are less democratic (b) allow voters to switch parties (c) are
now prohibited by an act of Congress (d) prohibit members of one party
from voting in the primary of another party.
5. As a result of the Great Depression (a) the Republicans came to power
(b) the Democrats came to power (c) voters lost faith in the political sys-
tem (d) minor parties enjoyed great popularity.
6. A major difference between Democrats and Republicans is that Demo-
crats usually support (a) social welfare programs (b) tax cuts (c) cuts in
education (d) increased defense spending.
7. A party platform is best defined as a (a) program for election reform (b)
plan for a political campaign (c) written statement of political ideas and
principles (d) series of speeches.
8. The Democratic and Republican national conventions take place every
(a) year (b) two years (c) four years (d) ten years.
9. What statement is correct about third-party candidates? (a) Third-party
candidates have never won elections for seats in Congress. (b) Third par-
ties have enough registered members to displace one of the two major
parties. (c) Third-party presidential candidates are barred from receiving
any votes in the electoral college. (d) Ideas advocated by third-party can-
didates are often adopted by one of the two major parties.
10. How does an independent candidate differ from a third-party candidate?
(a) Independent candidates do not run as members of any political party.
(b) Independent candidates are better organized than third-party candi-
dates. (c) Independent candidates always receive fewer votes than third-
party candidates. (d) Independent candidates are allowed to participate
in debates, while third-party candidates are always excluded.
ESSAY
graphs, and a conclusion discussing the party system in the United States. Be
sure to include what you believe are its strengths and weaknesses.
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Historical Context: Critics often allege that there is very little difference
between the Democratic and Republican parties.
DOCUMENT 1
We believe that a strong America begins at home, with good jobs that
support families and an equal chance for all our people.
We believe in progress that brings prosperity for all Americans, not just
for those who are already successful. We believe that good jobs will help
strengthen and expand the strongest middle class the world has ever
known.
We believe the private sector, not government, is the engine of eco-
nomic growth and job creation. Governments responsibility is to cre-
ate an environment that will promote private sector investment, foster
vigorous competition, and strengthen the foundations of an innovative
economy.
2004 Democratic Party platform on the economy
Our goal is to make sure America remains the strongest economy in a

dynamic world and to make it possible for every American who wants a
job to find one. We must ensure that workers are equipped with the
education and training to succeed in the best jobs of the 21st century,
and we must encourage the strong spirit of innovation that has put
America at the forefront of new technology industries. . . . We must
maintain our commitment to free and fair trade, lower taxes, limited
regulation, and a limited, efficient government that keeps up with the
new realities of a changing world.
2004 Republican Party platform on the economy
1. How was the Democratic approach to creating jobs different than the
Republican approach? Are there any similarities?
DOCUMENT 2
Todays tax law provides big breaks for companies that send American
jobs overseas. Current deferral policies allow American companies to
avoid paying American taxes on the income earned by their foreign
subsidiaries. John Kerry and John Edwards [the Democrats 2004 nomi-
nees for president and vice president] will end deferral that encourages
companies to ship jobs overseas, and they will close other loopholes
to make the tax code work for the American worker. Theyll use the
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savings to offer tax cuts for companies that produce goods and create
jobs here at home.
2004 Democratic Party platform on taxes
Now we must keep our economy on the right path by preventing taxes
on families from going up next year, making the tax relief of the last
four years permanent, and reforming the tax code to make it simpler,
fairer, and more growth-oriented.
2004 Republican Party platform on taxes
2. How do the parties differ on taxes? Are there any similarities?
DOCUMENT 3
Because we believe in the privacy and equality of women, we stand

proudly for a womans right to choose, consistent with Roe v. Wade
[the 1973 Supreme Court ruling that legalized abortion], and regardless
of her ability to pay. We stand firmly against Republican efforts to
undermine that right. At the same time, we strongly support family
planning and adoption incentives. Abortion should be safe, legal,
and rare.
2004 Democratic Party platform on abortion
As a country, we must keep our pledge to the first guarantee of the
Declaration of Independence. That is why we say the unborn child has
a fundamental individual right to life which cannot be infringed.
We support a human life amendment to the Constitution, and we
endorse legislation to make it clear that the Fourteenth Amendments
protections apply to unborn children. Our purpose is to have legislative
and judicial protection of that right against those who perform
abortions. We oppose using public revenues for abortion and will not
fund organizations which advocate it. We support the appointment
of judges who respect traditional family values and the sanctity of
human life.
2004 Republican Party platform on abortion
3. How do the parties differ on the controversial issue of abortion?
DOCUMENT 4
We must put in place a strategy to winan approach that recognizes

and addresses the many facets of this mortal challenge, from the terror-
ists themselves to the root causes that give rise to new recruits, and uses
all tools at our disposal. Agents of terrorism work in the shadows of
more than 60 nations, on every continent. The only possible path to
victory will be found in the company of others, not walking alone.
2004 Democratic Party platform on combating terrorists
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There is no negotiation with terrorists. No form of therapy or coercion

will turn them from their murderous ways. Only total and complete
destruction of terrorism will allow freedom to flourish. We will extend
the peace by supporting the rise of democracy, and the hope and
progress that democracy brings, as the alternative to hatred and terror
in the broader Middle East.
2004 Republican Party platform on combating terrorism
4. Discuss the parties strategies for fighting terrorism.
Task: Write an essay discussing similarities and differences in the goals and
positions of the Democratic and Republican parties. Are there few or no differ-
ences between the parties as critics allege, or are there major differences that
give Americans sharply contrasting alternatives on governing the nation and
enacting public policy? Make references to the documents and your knowl-
edge of U.S. government in your essay.
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Selecting Reference Works
Read the information below and then answer the questions that follow.
Suppose you have been asked to write a research paper to respond to the fol-
lowing question: What was the impact of Ralph Nader as a candidate in presiden-
tial elections?
Read the following list of reference resources and consider which might be
helpful in your research.
Dictionary in library Fiction book titled My Dreams

Thesaurus in library of Being President by Janisha
Todays newspaper in library Salzar
World atlas in library Magazine article titled Third-
Local telephone directory in Party Candidates
library Online magazine database
Online newspaper database Glossary of science textbook
Encyclopedias in library Statistical index of the first
U.S. Library of Congress three U.S. Congresses
online database Personal interviews with local
Wikipedia accessed online politicians
Nonfiction book titled U.S. Database of transcripts from
Political Campaigns television news programs
Nonfiction book titled Grover
Cleveland as President
1. List each of the reference sources on your own sheet of paper. Follow
each source with one of the comments below regarding its
usefulness in your research. Explain reasons for each designation.
extremely useful
probably useful or fairly useful
likely not helpful
should not be used
2. In order, which would be the first five reference sources you would
utilize? Explain.
3. Which other reference sources would you want to utilize? Explain.
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Chapter 19

Influencing
Government
KEY TERMS
special interest public opinion random sample
group top-down exit poll
lobbyist theory public relations
junket bottom-up press release
political action theory
photo-op
committee public opinion
sound bite
(PAC) poll
The First Amendment of the U.S. Constitution guarantees the American

people the right to petition the federal government for a redress of grievances.
Today, many citizens, businesses, and private organizations seek to influence
the federal government. They may seek some benefit, prevent some benefit
from being taken away, or simply prefer to have public policy on a specific
issue reflect their views.
19.1 How Special Interest Groups Influence Policy

It is extremely difficult for a single, ordinary individual to influence the federal
government. The person may write his or her senator or representative in Con-
gress and call for specific action. A member of Congress, however, may not be
impressed by the opinion of one person. Therefore, individuals who share sim-
ilar views and interests may decide to join together and seek to influence gov-
ernment as a group. Politicians are far more likely to pay attention to a group of
people than to one person. Such groups who seek to influence public policy on
a specific issue are often called special interest groups or pressure groups.
404
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Those who try the hardest to influence the government usually have the
most to gain or lose. For example, corporations may oppose a new regulation
that would cost them revenue. Labor unions might want laws that increase
safety in the workplace. Senior citizens may want increases in their Social Secu-
rity benefits. The National Rifle Association (NRA) may oppose new gun-control
legislation, while the Brady Campaign to Prevent Gun Violence may support it.
The United States has thousands of special interest groups. They include
large multinational corporations such as Microsoft; civic organizations such as
Kiwanis International and the Rotary Club; labor unions; associations of pro-
fessional people such as teachers, doctors, and lawyers; associations repre-
senting businesses; organizations representing religious groups; and political
organizations that focus on one or several related issues such as the National
Organization for Women, the National Taxpayers Union, and the American
Israel Public Affairs Committee.
The Role of Lobbyists

Many special interest groups hire lobbyists, professionals who influence
members of Congress. The word lobbyist derives from lobby, the hallway
outside the House or the Senate chamber. In the past when visiting Congress,
the representatives of different groups gathered in the lobbies to meet with
lawmakers. Such persons soon became known as lobbyists.
Lobbyists Methods
Lobbyists use several approaches to influence lawmakers.
Wine-and-Dine Approach
This method was very effective in the 1880s and 1890s. Almost every
night, lobbyists would entertain leaders of the House and Senate. However, the
wine-and-dine approach gave lobbyists a bad reputation, and it was mostly
How does the cartoonist criticize the influence

of lobbyists on Congress?
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discarded. Some lobbyists may still throw lavish parties for lawmakers and pro-
vide them with tickets to sporting events and shows. Lobbyists may also help
lawmakers arrange junkets, trips paid for by the special interest group.
Informational Approach
To vote intelligently on bills, members of Congress need information about
the effect that laws will likely have on different groups. Lobbyists are eager to
provide them with information. Certainly, the information is one-sided. But
most lawmakers are careful to get information from many sources. They listen
to lobbyists supporting a particular bill and those opposing it.
Grassroots Approach
All lawmakers worry about getting reelected. Lobbyists can publicize an
impending vote and mobilize public opinion to influence senators and repre-
sentatives. Members of special interest groups call, write, fax, or email a law-
makers office. Some groups such as the National Rifle Association (NRA), the
American Israel Public Affairs Committee (AIPAC), and the American Associa-
tion of Retired Persons (AARP) can easily get thousands of people to contact
their representatives. At election time, many groups publicize how lawmakers
vote. This tactic helps voters decide whether to support or oppose an incum-
bent lawmaker.
Lobbyists work at the state and local levels as well. They can be found in
the corridors of state legislatures, carrying signs outside capitol buildings, and
at political gatherings of all kinds. Often, special interest organizations send
groups of people who are directly affected by a proposed law to provide legal
ways to talk with and attempt to influence lawmakers.
Influence of PACs
Special interest groups may gain the attention of lawmakers by organizing a
political action committee (PAC). The purpose of a PAC is to provide
a legal way to contribute money to candidates running for office.
A PAC will not give money to every candidate. It usually gives the largest
contributions to candidates who are most likely to win election and support
its position. For example, a gun-control PAC would not give money to a candi-
date who opposes restrictions on the ownership of firearms.
Members of Congress have come to rely more on PAC contributions.
After all, PACs help them pay the enormous costs of running for office. To
meet these costs, candidates gladly accept contributions from any legitimate
source.
From the publics point of view, however, there are dangers to be noted.
What would happen, for example, if a certain member of Congress came to
rely upon the contributions of one or two special interest groups and their
PACs? He or she might feel obliged to vote in the way being urged by lobbyists
representing those groups. Lawmakers may think twice before voting in a way
that offends a major contributor.
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Laws Regulating Lobbying and PACs

It is legal for lobbyists to influence lawmakers with information. It is illegal for
lobbyists to try to influence lawmakers with campaign contributions. Con-
gress has passed legislation regulating lobbying and reducing the possibility of
corruption. In 1946, Congress passed a law requiring every lobbyist and lob-
bying organization to register with the federal government. Lobbyists must
declare their names, the special interest group or corporation that employs
them, and the income they receive for their lobbying activities.
In 1971, Congress approved the Federal Election Campaign Act, which
regulates PACs. The law states that no member of a corporation or interest
group may contribute more than $500 to a PAC, and that no PAC may con-
tribute more than $5,000 to any one candidate.
In 2002, Congress passed the Campaign Finance Reform Act, which bans
gifts of unregulated amounts of money to political parties (soft money),
increases limits on direct contributions to candidates, and limits the number
of issue ads that can be paid for by special interest groups.
There is no limit, however, to the total number of PACs that can be orga-
nized. Therefore, the combined impact of PACs is enormous.
REVIEW
1. Define: special interest group, junket, lobbyist, and political action
committee (PAC).
2. Why do individuals and groups try to influence the government in their
favor?
3. Briefly explain the job of a lobbyist.
4. Discuss the methods used by lobbyists to influence the government.
5. Why have PACs become so powerful?
6. How did the Federal Election Campaign Act of 1971 regulate PACs?
19.2 How Does Public Opinion Influence Policy?

The term public opinion is defined in different ways. Some scholars say that
it is the dominant or main way of thinking of a particular group. For example,
it may be the opinion of most students in a school that Mr. X is an excellent
teacher. There may be several students who criticize the teacher, but their
opinion will not count if we are concerned only with the dominant opinion.
A second definition of public opinion simply tabulates everyones opinion
on a question or even a candidate for office. For example, an interviewer could
ask: Should the school year begin a week later and end a week later? If 1,000
people were asked this question, a large number might answer yes or no, but
some will say that they do not know. Such persons in the third category
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are unwilling to take a stand because they might not have devoted enough
thought to the issue or they might not have considered the merits and draw-
backs of the proposal. In this example, public opinion is the sum of the
opinions of all who answered the question.
How Public Opinion Is Created

Scholars who study public opinion offer two theories for explaining it: the
top-down theory and the bottom-up theory.
The top-down theory stresses the role played by opinion leaders. Such
people include college professors, newspaper editors, labor leaders, teachers,
lawyers, writers, business executives, and religious leaders. These leaders fre-
quently express opinions on public issues. It is assumed that their opinions
are listened to and respected. Thus, public opinion moves downward in soci-
ety from leaders to followers.
The bottom-up theory gives more importance to the average person.
For example, the question is whether the president of the United States is
doing a good job. There is some talk about the president in everyones daily
life. After a while, people may hear one another saying much the same thing.
They either grumble about the presidents actions or approve them. Eventu-
ally, a large part of the public recognizes that the president is either liked or
disliked.
How Public Opinion Is Measured

In the 19th century, there was no scientific way of measuring public opinion.
Politicians could make only reasonable guesses about it based on several signs:
how many people attended political rallies for a candidate and how loudly
they cheered, what people said to reporters when interviewed about their
opinions, and the opinions expressed on the editorial pages of newspapers.
Though useful, such signs of public opinion were often unreliable. Then,
in the 1930s, two social scientists, George Gallup and Elmo Roper, developed
techniques for polling opinion scientifically: the public opinion poll.
Gallup and Roper discovered a way to select a reliable sample of people to
interview. Those participating in their survey had to be representative of the
entire American population. It would be wrong, for example, to interview 800
women and 200 men since that would not be representative. In a public opin-
ion survey, if pollsters select a representative person to interview, that per-
son could safely be used to predict how all other Americans would answer the
same questions.
Gallup, Roper, and other researchers demonstrated that in most presiden-
tial elections their polling techniques were reliable. Their opinion polls
usually predicted how Americans voted.
Today, newspapers and television regularly report the results of opinion
polls. Usually, the number of people interviewed in each poll is only about
1,500. And yet, because the sample group is representative, a poll can accu-
rately represent public opinion for the whole country.
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Polling has become more reliant on

modern technology. Nate Silver, a
baseball statistician, used his own
formula to analyze polls and accurately
predict Barack Obamas presidential win.
How to Take a Random Sample

Suppose a group of people wanted to find out whether the American people
today approve or disapprove of the presidents leadership. What would they
do to poll opinion in a scientific manner? First, they would divide the country
into hundreds of areas of equal population and give each area a number.
Entered into a computer, a few of the numbers would be retrieved at random.
For example, the areas might be numbered 9, 112, 199, and 305.
Each of these areas may contain more than 100,000 peoplefar too many
to be interviewed. So the pollsters now take a random sample of their first
sample. They would, for example, divide area number 9 into hundreds of
mini-areas. Once again, these mini-areas are given numbers and entered into
the computer and scrambled. Again, three or four mini-areas are retrieved,
perhaps subdivided still further, and the process repeated. Finally, they arrive
at a small enough number of people to participate in the poll. Because they
were selected randomly, these peoples opinions should fairly represent the
opinions of the entire nation.
Questions in an Opinion Poll

Those who write questions for opinion polls may take many days doing it.
Every question must be worded carefully so that it does not influence or bias a
persons answer.
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When Polls Are Wrong

Polls predicting the outcome of a political campaign are common. If a
candidate is trailing in a poll, he or she may change strategy in order to attract
votes. If a candidates poll numbers surge, this usually generates interest by
the media (and perhaps panic in the opposing campaign). Although polls
have often correctly predicted the winner, there have been a number of
embarrassing exceptions.
1948 Presidential Election. In 1948, most polls showed that President
Harry Truman was unpopular with many voters. Since the Republicans had
captured both houses of Congress in 1946, it seemed that the nation had
finally tired of Democratic control of the White House since 1933. Two
Democrats, former Vice President Henry Wallace and Governor J. Strom
Thurmond of South Carolina, ran as third-party candidates and threatened to
take away votes from Truman. The Republican candidate, former New York
governor Thomas E. Dewey, looked like a sure winner.
President Truman, however, refused to go down without a fight. He
campaigned energetically around the country. Thinking he would win easily
against an unpopular incumbent, Dewey ran an overly cautious campaign and
took great pains not to alienate voters. Despite trailing in the polls up until
Election Day, Truman won an upset victory. In fact, Deweys victory was so
widely assumed that the Chicago Daily Tribune newspaper went to press with
the headline: Dewey Defeats Truman.
1982 Gubernatorial Election. In 1982, Mayor Tom Bradley of Los
Angeles, an African American and a Democrat, ran for governor of California.
The polls showed that he was leading his Republican opponent, state Attorney
General George Deukmejian. On Election Day, however, Deukmejian narrowly
won the election. Why were the pre-election polls wrong? Pollsters identified
the Bradley Effect. Since they were afraid of being suspected of bigotry for
opposing an African American, many voters who intended to vote for
Deukmejian lied to pollsters and said they would vote for Bradley. The Bradley
Effect later surfaced in a number of campaigns involving African Americans.
2000 Presidential Election. In 2000, pollsters were embarrassed again
during that years presidential election between Vice President Al Gore, a
Democrat, and Governor George W. Bush of Texas, a Republican. On Election
Night, pollsters employed by the media announced, on the basis of exit
polls, surveys of people who had just voted, that Gore had won the crucial
state of Florida. The prediction was announced before a significant percentage
of the states votes were counted. However, as the incoming returns showed
that Bush was maintaining a lead, the television and cable news networks
eventually withdrew their prediction. The result in Florida remained in dispute.
Since Florida was needed to decide the race between Bush and Gore in the
electoral college, Americans did not know who their next president would be.
Efforts to recount the Florida votes were marred by lawsuits and charges and
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When Polls Are Wrong (Continued)
President Harry Truman, who was re-elected in 1948, proudly displays a copy
of the Chicago Daily Tribune, which announced his defeat before all the
votes were counted.
countercharges of unfairness. In December, the U.S. Supreme Court stopped

the Florida recount, which resulted in Bush being declared the winner of the
state and the 2000 presidential election. After the Florida debacle, news
programs said that they would no longer be quick to declare winners on the
basis of exit polls until a sufficient number of votes were actually counted.
REVIEW
1. Define: public opinion, public opinion polls, top-down theory, bottom-up
theory, random sample, and exit poll.
2. Briefly discuss the different theories about public opinion.
3. Explain how random samples are chosen.
19.3 How Do Politicians Seek to Influence Voters?

In order to get elected to office, politicians have to convince a majority of vot-
ers to cast their ballots for them. In the course of a campaign, politicians use
different methods to get their messages out to attract votes.
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Public Relations
Politicians, candidates, government agencies, and special interest groups employ
people who excel in the field of public relations, which involves the creation
of a favorable image of a person, business, private organization, or product that is
then marketed to the public. In politics, people and groups use common public
relations techniques such as television, cable, and newspaper advertising, issuing
press releases, interviews with the media, photo-ops, and speeches.
Press Releases
A press release is a written statement that is made available to the media and
the public. Elected officials use press releases to announce the introduction of
new legislation and explain why they are supporting or opposing a particular
bill. Before the Internet became widely used, press releases were sent to media
outlets such as television stations, newspapers, and wire services such as the
Associated Press (AP) and Reuters. A news broadcast, newspaper article, or wire
service dispatch might have quoted or cited the press release and disseminated
its message to a large audience. Today, politicians, candidates, and groups
often post their press releases on their Web sites, where they can be read by
the media and the public.
Media Interviews
Politicians reach the public by giving interviews to members of the media.
How politicians respond to tough questions from reporters and interviewers
will influence how the public views them. Today, politicians are often the
most common guests on programs on 24-hour cable news stations such as
CNN, MSNBC, and FOX News. By appearing on these programs, politicians
will reach many of their constituents and millions of other viewers.
Photo-Ops
The purpose of a photo-op is to create a visual image for the public. For
example, an elected official may pose for photographs with schoolchildren
who come to visit him or her. The photographs are then posted on the elected
officials Web site and sent to local newspapers with the hope that they are
seen by as many people as possible and create a positive image of him or her in
the publics mind. A candidate who tours a factory or hospital is often accom-
panied by reporters, newspaper photographers, and television camera crews.
The dissemination of photographs and filmed footage of the visit also helps to
create a positive image of the candidate.
Speeches
Before the days of television, a politicians chief form of communication with
the public was speeches. Newspapers would quote an important speech at
length. Crowds gathered to listen to a speech and would feel cheated if it
lasted for only a few minutes. Many people liked long speeches and wanted to
hear them as a form of entertainment.
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When she was a U.S. senator, Hillary Clinton used interviews with the
media to help get her message across to her constituents.
Today, audiences are different. Accustomed to fast-changing images on

television, many people prefer shorter speeches. Despite the change, speeches
are still important in politics. When speaking, politicians will include sound
bites, a small part of the speechoften a few sentencesthat can be broad-
cast in a television or cable news segment. The sound bite often gives the
viewer a hint of what the entire speech is about and helps form his or her
opinion about the politician.
Common Techniques
Most politicians and candidates today rely on speechwriters, skilled profes-
sionals who write important speeches for them. Every word is carefully cho-
sen. Once the draft of the speech is completed, politicians and candidates will
look it over. They may decide to change a few words or sentences before
settling on the final version that will be delivered to the public.
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Most political speeches are written to affect peoples emotions. One

speech may arouse someones anger against a foreign enemy or danger.
Another speech may make a person feel a warm glow of pride in his or her
country. Some speeches do both at once, arousing anger and pride in turn.
When such speeches are heard, peoples minds can be swept away by the
powerful force of the speakers words. All too often, many speakers will
employ techniques to influence public opinion. Such tactics include:
1. Appeal to tradition. A candidate for office may deliver a speech that
mentions President George Washington and President Abraham Lincoln,
who are considered by many two of the greatest presidents in American his-
tory. The candidate states that he or she is following in Washingtons and
Lincolns footsteps, while his or her opponent is not. Although very effec-
tive, this tactic is often very misleading. By invoking Washington and Lin-
coln, the candidate implies that the policies he or she advocates would have
also been supported by these two great presidents and thus would be benefi-
cial for the nation. Obviously, it is not known how Washington, Lincoln, or
any revered political figure from the past would stand on many of todays
issues. Linking a campaign to the great presidencies of Washington and Lin-
coln does not make a candidates individual ideas valid or beneficial. A can-
didates ideas must be judged on their own merit.
2. Glittering generalities. A politician may deliver a positive and uplifting
speech in which he or she pledges to create more jobs, protect the environ-
ment, foster economic growth, and protect peace and democracy. If exam-
ined closely, however, the speech may not explain in detail what policies
the politician supports that will achieve these goals. Democratic and
Republican candidates may agree on the goals of creating more jobs and
protecting the environment, but they usually have sharply contrasting
ideas on how to achieve those goals.
3. Name-calling. A politician states that anyone who opposes his or her pro-
gram to protect airliners from being hijacked is helping terrorists and the
enemies of democracy. Some people who hear this speech might decide to
support the politicians program out of fear because they do not want to be
accused of helping terrorists. Others might conclude that the politicians
opponent, by opposing the program, is on the side of the enemies of
democracy. Such tactics are unfair because there may be good reasons for
opposing a particular program, even one designed to protect civilians from
terrorists.
4. Card stacking. In a speech, a politician or candidate cites numerous facts
and provides statistics to support his or her position. Although the facts
and statistics are accurate, they may not give a complete picture. The politi-
cian uses only facts and statistics that support his or her position and leaves
many others out. This tactic is called card stacking.
5. A candidates image on television and the Internet. A message
can be conveyed through pictures as well as words. Television is, of course,
a medium of pictures and sound, and the Internet has a video aspect to it
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also. The effect of such media on opinions can be quite powerful. When
listening to or watching a speech, it is important for people to recognize
the above-mentioned techniques and not be fooled by them.
REVIEW
1. Define: public relations, press release, photo-op, and sound bite.
2. How and why has the use of political speeches changed over the years?
3. Listed below are four deceptive techniques used by politicians and candidates
when they deliver speeches. For each one, briefly explain why it is effective,
and how the reasoning behind it is slanted toward one point of view: appeal
to tradition, glittering generalities, name-calling, and card stacking.
CHAPTER 19 REVIEW
1. The main job of a lobbyist is to (a) influence lawmaking (b) get reelected
(c) defend the nation (d) balance the budget.
2. The purpose of a Political Action Committee or PAC is to (a) propose new
legislation (b) register voters (c) contribute money to candidates running
for election (d) investigate political abuses.
3. Which law regulates PACs? (a) Campaign Finance Reform Act (b) Na-
tional Security Act (c) Patriot Act (d) Federal Election Campaign Act.
4. The Campaign Finance Reform Act (a) banned all soft money contri-
butions to political parties (b) banned all campaign contributions
(c) repealed the Federal Election Campaign Act of 1971 (d) required all
campaign ads be approved by Congress.
5. Early pollsters, such as George Gallup, were able to accurately predict elec-
tion results because they (a) interviewed millions of voters in each state
(b) made sure their sample group was typical of the larger American popu-
lation (c) used complex statistical formulas (d) used computers.
6. A technique to assure opinion polls are accurate is to make sure they are
(a) held in secret (b) randomly selected (c) well advertised (d) repeated the
next day.
7. The use of visual images in public relations is called (a) political speech
(b) press release (c) media interview (d) photo-op.
8. A speaker who uses only facts that support his or her opinion is using
which technique? (a) card stacking (b) name-calling (c) glittering general-
ities (d) appeal to tradition.
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9. A sound bite is (a) the conclusion of a speech (b) the full text of a speech
that is given to the media (c) the part of the speech that is likely to be
broadcast on news programs (d) the opening of the speech.
10. A politician who claims that President George Washington would
support his or her plan to reform Social Security is engaging in (a) card-
stacking (b) appeal to tradition (c) name-calling (d) glittering generalities.
ESSAY
graphs, and a conclusion discussing how political interest groups can be bene-
ficial but also act against the public interest.
Historical Context: The U.S. Constitution gives Americans the right to peti-
tion their government. However, there is concern that some people, groups,
or businesses might exercise too much influence on the government at the
expense of the common good.
DOCUMENT 1
A vital element in keeping the peace is our military establishment. Our

arms must be mighty, ready for instant action, so that no potential
aggressor may be tempted to risk his own destruction.
Our military organization today bears little relation to that known by
any of my predecessors in peacetime, or indeed by the fighting men of
World War II or Korea.
Until the latest of our world conflicts, the United States had no
armaments industry. American makers of plowshares could, with time
and as required, make swords as well. But now we can no longer risk
emergency improvisation of national defense; we have been compelled
to create a permanent armaments industry of vast proportions. Added
to this, three and a half million men and women are directly engaged in
the defense establishment. We annually spend on military security
more than the net income of all United States corporations.
This conjunction of an immense military establishment and a large
arms industry is new in the American experience. The total influence
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economic, political, even spiritualis felt in every city, every state

house, every office of the federal government. We recognize the imper-
ative need for this development. Yet we must not fail to comprehend its
grave implications. Our toil, resources and livelihood are all involved;
so is the very structure of our society.
In the councils of government, we must guard against the acquisition
of unwarranted influence, whether sought or unsought, by the military-
industrial complex. The potential for the disastrous rise of misplaced
power exists and will persist.
We must never let the weight of this combination endanger our liber-
ties or democratic processes. We should take nothing for granted. Only
an alert and knowledgeable citizenry can compel the proper meshing
of the huge industrial and military machinery of defense with our
peaceful methods and goals, so that security and liberty may prosper
together.
President Dwight Eisenhower, Farewell Address
to the Nation, January 17, 1961
1. Why is President Eisenhower concerned with the growing influence of the
military-industrial complex?
DOCUMENT 2
The only difference between the Republican and Democratic parties is

the velocities with which their knees hit the floor when corporations
knock on their door. Thats the only difference.
Ralph Nader, consumer activist and third-party presidential
candidate, speech at Amherst College in
Massachusetts, October 4, 2000
2. Who does Nader believe have too much influence with the two major par-
ties and thus the government?
DOCUMENT 3
The supporters of campaign finance reform have differences about

what constitutes ideal reform, but we have subordinated those differ-
ences to the common good. We all recognized one very simple truth:
that campaign contributions from a single source that run to the hun-
dreds of thousands or millions of dollars are not healthy to a democ-
racy. Is that not self-evident?. . .
The reforms I believe we are about to pass will not cure public cynicism
about politics. Nor will it completely free politics from influence ped-
dling or the appearance of it. But I believe it might cause many Ameri-
cans who are at present quite disaffected from the practices and
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institutions of our democracy to begin to see their elected representa-

tives value their reputations more than their incumbency.
Senator John McCain, Republican of Arizona, speech on the
Senates passage of the Campaign Finance Reform Act,
March 20, 2002
3. Why does Senator McCain seek to limit the amount of political campaign
contributions?
DOCUMENT 4
Mr. Speaker, this so-called reform legislation is clearly unconstitu-

tional. Many have pointed out that the First Amendment unquestion-
ably grants individuals and businesses the free and unfettered right to
advertise, lobby, and contribute to politicians as they choose.
Campaign reform legislation blows a huge hole in these First Amend-
ment protections by criminalizing criticism of elected officials. Thus,
passage of this bill will import into American law the totalitarian con-
cept that government officials should be able to use their power to
silence their critics.
Congressman Ron Paul, Republican of Texas, speech opposing
Campaign Finance Reform Act, February 13, 2002
4. Why does Congressman Paul oppose campaign finance reform?
Task: Write an essay on how some groups might exert too much influence on
the government and how such influence might be curtailed to serve the com-
mon good. Make references to the documents and your knowledge of U.S.
government in your essay.
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Understanding and Developing Editorial Cartoons
Editorial cartoons provide social commentary, generally humorous, about

ideas, people, or places. They do so through a variety of methods, generally
conveying a symbolicrather than a literalmeaning for the objects por-
trayed. Editorial cartoonists often use labels, captions, and speech bubbles to
convey their ideas through one or a combination of methods such as those
listed below. Note that some of these methods may overlap.
Satire: ridicule used to discredit someone or something. Example:

portrayal of a man convicted of running a dog-fighting enterprise as
being trapped in a cage while growling dogs circle inside the cage.
Analogy: comparing two objects, circumstances, or people. Example:
showing a political figure as a cowardly lion.
Caricature: exaggeration of physical appearance. Example: drawing Bill
Clintons nose and George Bushs ears as much bigger than they really
are.
Irony: the opposite of that which is expected or generally intended.
Example: depicting polar bears floating out to sea and slipping off
small ice floeswith a caption that reads, There is no global
warming.
A. Follow the instructions to develop ideas for an editorial cartoon.
1. Select a topic from the list below for your cartoon.
lobbyists media interviews

PACs photo-ops
influencing public opinion speeches by political
candidates or officeholders
creating questions for a
political opinion poll the publics view of politicians
reliability of opinion polls
press releases and political
campaigns
2. Flip through your textbook to locate three editorial cartoons that

interest you. Identify each cartoon by page number. For each one,
explain why you do or do not find it effective. Discuss topics from
this list relevant to each cartoon: labels, captions, speech bubbles,
satire, analogy, caricature, and irony. If you believe the cartoon
could be improved, explain how.
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B. Use information from Part A to respond to the questions below and to

create your own editorial cartoon.
3. Which topic did you choose in Part A?

4. Which of the following will you use in your cartoon: labels,
captions, speech bubbles, satire, analogy, caricature, irony? How will
you use each?
5. Create your editorial cartoon based on your responses to the
questions above.
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Chapter 20

Citizenship: You
and the Law
KEY TERMS
right injunction property tax
obligation plea toll
public property civil estate tax
private property disobedience Selective
civil suit grand jury Service System
plaintiff petit jury draft
defendant verdict naturalization
summons sales tax USCIS
What is the role of the individual in society? After discussing the topics of
rights and obligations, you will learn about the individuals role in American
society. All people are expected to obey the law. People who break the law or
violate the rights of others can be prosecuted in criminal court or sued in civil
court. This chapter also covers the civil duties of serving on juries, paying
taxes, and registering with the Selective Service. The final section looks at the
naturalization process, how immigrants become citizens of the United States.
20.1 What Are the Rights and Obligations of Citizens?

Citizenship involves both rights and obligations. Rights are what the nation
owes to every citizen. Obligations are what every citizen owes to the nation.
Example of Rights and Obligations

Borrowing books at the local library is one example of the rights and obliga-
tions idea. Local residents pay taxes for the support of the library. It is their
right to borrow from its collection of books, periodicals, CDs, and DVDs.
421
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There are also rules to be followed in borrowing a book. The book must be
returned by a certain date. It must be in the same condition as when it was
borrowed. The borrower follows rules for the sake of other borrowers, not just
for the sake of the library and its staff.
Public Property
A library is just one example of property built and operated by the government
for public use. Here are some other examples of public property: the Grand
Canyon, the Washington Monument, state courthouses, local parks, and public
beaches.
The federal government manages the Grand Canyon and the Wash-
ington Monument. State governments administer state courthouses. Local
governments run local parks and beaches. Governments only manage these
properties. They are not the real owners of them. The owners are the American
people.
Responsible Use of Private Property

In the United States, most property is privately owned by millions of individ-
ual citizens. Owning property is every individuals right. The right of owner-
ship carries with it a burden of responsibility. An owner of property must be
careful how he or she uses it.
The use of private property is not absolute. It is limited because it can
affect other people and violate their rights. A reckless driver can seriously
injure or kill someone else.
Civil Suits
People who believe that their rights have been violated can take legal action.
They can file civil suit in civil court against the person, persons, or business
they allege harmed them and seek monetary damages or some type of action.
The individual who files the lawsuit is the plaintiff. The person or business
that is being sued is the defendant.
The defendant receives a summons, a formal notice to appear in civil
court, and a copy of the complaint or lawsuit. Both the plaintiff and the
defendant hire lawyers to represent them in court. Instead of going to trial,
however, both sides may decide to settle the case and reach an agreement that
they find fair and reasonable.
If the case goes to trial, a jury or a judge decides the outcome. If the defen-
dant loses the case, he or she might be forced to pay a large sum of money in
damages to the plaintiff.
In other civil cases, plaintiffs petition the court to issue some sort of
action. For example, a homeowner might ask the court to issue an injunc-
tion, a court order that stops an activity, against a neighbor who is building a
new garage that crosses into his or her property.
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Criminal Cases
People who break the law may be arrested, charged with a crime, and if found
guilty, punished with a fine, imprisonment, and even death. In the United
States, there are two types of crimes. A misdemeanor is a minor crime such as
stealing a small sum of money or something inexpensive, vandalism, and
public drunkenness. The penalty can range from a fine to a short stint in jail.
By contrast, felonies are very serious crimes such as murder, robbery, and drug
dealing. In criminal cases, the plaintiff is the public, and the defendant is the
person charged with a felony. In court, the prosecutor, as an official representa-
tive of the state, argues a criminal case against the defendant. If a defendant is
found guilty, he or she may be fined a large sum of money, jailed for a long
term, or, depending on the severity of the crime, executed.
If a defendant feels that the states case is solid, he or she may decide to
reach a plea, an agreement with the prosecutor that avoidsor endsthe
criminal trial. After reaching a plea, a defendant admits in court that he or she
is guilty of a crime (usually one less serious than the one specified in the origi-
nal indictment) and receives a less serious punishment.
Civil Disobedience
People occasionally break the law peacefully in order to protest and draw pub-
lic attention to unjust laws and policies. Such protest, which often results in
During the civil rights movement, students participated in lunch counter sit-ins as a form of civil
disobedience.
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arrest and prosecution, is called civil disobedience. For example, during the
1950s and 1960s, African Americans in the South sometimes broke the law by
engaging in sit-ins, sitting at lunch counters legally reserved for whites in
order to protest racial segregation. Although they were always arrested by the
local police, the protesters succeeded in drawing national attention to the
injustice of racial segregation, which was eventually abandoned in the South
and elsewhere.
REVIEW
1. Define: public property, plaintiff, civil suit, defendant, summons, injunc-
tion, private property, plea, sit-in, and civil disobedience.
2. Explain the difference between rights and obligations.
3. What does it mean when a civil case is settled?
4. What does an injunction do?
5. What is the difference between a misdemeanor and a felony?
20.2 How Do Citizens Serve on Juries, Pay

Taxes, and Register With the Military?
There is a price for living in a democratic society. At some time or other, most
citizens are called upon to take time out from their jobs to serve on juries.
Additionally, every year, all employed persons must file tax forms to the fed-
eral and state governments.
Two Kinds of Juries

A jury is a small group of citizens who sit in a courtroom to hear a case of law.
In criminal cases, juries must decide whether the defendant is guilty or not
guilty of a crime. In civil cases, they decide whether the plaintiff is entitled to
receive monetary damages from the defendant.
Both the state and federal governments use juries in their systems of
justice. Both organize juries of two kinds: the grand jury and the petit jury.
Grand Jury
The sole purpose of a grand jury is to decide whether there is enough evidence
to indict a person for a crime. The states prosecuting attorney presents the evi-
dence. After listening to it, members of the grand jury vote on whether the sus-
pect should be formally indicted and made to stand trial. Federal and state laws
require that grand jury proceedings must be conducted in secret.
Petit Jury
The grand jury begins criminal proceedings; the petit jury ends them. This
smaller jury is composed of 6 to 12 citizens. The judge who presides over the
trial of a case instructs the jurors. They listen to lawyers questioning witnesses.
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A jury listens to testimony in court. Court officials select citizens for jury duty from lists of
registered voters, licensed drivers, and state taxpayers.
One or more lawyers represent the plaintiff, while one or more lawyers repre-
sent the defendant. Finally, after all evidence has been presented, the jurors
leave the courtroom. Behind a closed and guarded door, they discuss the case
among themselves. When they reach a final decisionor verdictthey
return to the courtroom where it is announced.
Serving on a Jury
Who is chosen to serve on either a grand jury or a petit jury? Jurors are
selected at random from a long list of people who have registered to vote.
When someones name is drawn, that person receives a written notice, or
summons, in the mail. The notice specifies when a person must report for jury
duty. In order to get out of jury duty, a person must give a valid reason such as
personal or family illness.
An employer is required by law to allow employees time off to serve on a
jury when called. A person cannot be penalized by losing either his or her job
or wages for the days of service on the jury. Employees, however, are expected
to give an employer fair notice when reporting for jury duty.
At the local courthouse, potential jurors are seated in a waiting room with
a large number of other citizens. It may be several hours or days before they
are finally assigned to a particular jury in a particular case. Attorneys repre-
senting both sides carefully question jurors, seeing if they have any bias that
will undermine their objectivity.
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Rules of Evidence
Before a trial begins, the judge sets down certain rules. Here are three impor-
tant ones:
Jurors must consider only the evidence presented in the courtroom and
ignore everything about the case that may have been reported in the media.
Before the final verdict, jurors cannot discuss the trial with anyone outside
the courtroom, including family members.
In criminal cases, jurors are reminded that a defendant is innocent until
proven guilty beyond a reasonable doubt. In other words, if the evidence
does not absolutely convince jurors of a persons guilt, they must find the
person not guilty.
Many Kinds of Taxes

An important obligation for individuals is to pay taxes. Governments cannot
function without money. Where can they collect the billions of dollars
required each year to operate schools, patrol highways, and train armies? They
cannot get it from voluntary contributions. People must be made to pay for
government. The special system for doing this is called taxation.
Governments Collect Taxes in Different Ways

The federal government obtains most of its revenue through the income tax,
which is collected from individuals and businesses. Governments tax a por-
tion of individuals income and a businesses revenue. Most states also collect
income taxes.
Every state collects revenue through the sales tax, which is imposed on
the purchase of most goods and services. The tax is calculated by the price of
the good or service multiplied by a fixed percentage. Business owners are
responsible for collecting sales taxes on behalf of state governments. To
encourage consumer spending, states may lower sales taxes.
Other states and many counties levy a property tax, which is calculated
by the assessed value of someones property multiplied by a certain percentage.
Many states maintain their roads, bridges, and tunnels by collecting a toll,
a fee that is paid by drivers who use the roads, bridges, and tunnels.
Another source of revenue for the federal government and states is the
estate tax, which is imposed on the value of a persons property such as a
home, vehicle, and assets that are transferred to a relative or some other bene-
ficiary after death.
Selective Service
When men turn 18 years old, they are legally required to register with the
Selective Service System, in case of emergency requires a draft. In the past
during times of war, the United States drafted young men for military
service. They immediately abandoned their civilian lives to report for military
training and subsequent deployment to combat. Those who attempt to avoid
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military service were arrested and prosecuted for evading the draft, a serious
crime.
As the Vietnam War escalated in the late 1960s, a growing number of
Americans began to vocally protest the conflict. Antiwar demonstrations
became frequent around the country. As part of the protest, thousands of
young men evaded military service by fleeing to Canada, Sweden, and other
countries. (In 1977, President Jimmy Carter granted an amnesty to the draft
evaders, which legally absolved them of any criminal charges.)
In 1973, draft registration was temporarily abandoned. In 1980, after the
Soviet Union invaded Afghanistan, President Carter reinstated registration in
case the United States was forced to intervene. Since then, the United States
has been able to maintain a strong all-volunteer military, without the need for
a draft.
REVIEW
1. Define: indict, verdict, sales tax, property tax, toll, estate tax, Selective
Service, and draft.
2. What are two responsibilities of people living in a democracy?
3. Explain the difference between a grand jury and a petit jury.
4. Briefly describe three important rules of evidence that judges expect their
juries to follow.
5. What type of taxes do people pay to governments?
6. Why hasnt the military draft been used since the Vietnam War?
20.3 How Do Immigrants Become U.S. Citizens?

The United States has often been called a nation of immigrants. Every year,
hundreds of thousands of people come to the United States from nearly every
part of the world in search of a better life. Many of them will become citizens.
Becoming a Naturalized Citizen

In 2000, there were more than 18 million foreign-born people living in the
United States. Nearly 40 percent had earned the right to call themselves U.S.
citizens. The others had not yet applied for citizenship or had not yet met all
the qualifications.
The process whereby immigrants may become U.S. citizens is called
naturalization. Congress has the constitutional power to make laws
concerning both immigration and naturalization. The agency that enforces Con-
gresss laws is the U.S. Citizenship and Immigration Services (USCIS).
An immigrant who wishes to become a U.S. citizen must meet the follow-
ing requirements:
First, an immigrant must live in the United States for at least five years.
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In becoming U.S. citizens, immigrants take their oath of allegiance to the U.S. Constitution.
During this time, he or she should make an effort to learn English in order to
be prepared for the governments test.
After five years of residency, if the immigrant is 18 years old or older, he or
she may fill out a document issued by the USCIS. It is a petition to become a
U.S. citizen. The USCIS will now conduct an investigation. Agents will ask
employers and neighbors about the applicant. They will want to determine
whether he or she can be depended upon to respect the laws of the country.
The applicant will be asked questions in a simple test about U.S. history and
the Constitution. He or she may have to prepare for the test by attending
classes and studying a book on U.S. government (given free by the USCIS).
The last step begins as the immigrant walks proudly up the steps of a federal
courthouse. As he or she stands with other immigrants in a judges courtroom,
they will take an oath of allegiance to the United States and its Constitution.
The judge will then give him or her a certificate declaring that he or she is now
a naturalized citizen of the United States.
Citizens From Birth

Most Americans do not have to be naturalized. Instead, they are citizens from the
moment of their birth. To be a native-born citizen, the following requirements
must be met: (1) The person must be born within the territorial United States or
one of its overseas territories; and (2) A person who is born in another country but
has one or both parents who are U.S. citizens is legally entitled to U.S. citizenship.
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Most native-born Americans meet both tests of citizenshipplace of birth

and parenthoodeven though only one is required.
How Citizenship May Be Lost

Most Americans value their U.S. citizenship and wish to keep it as long as they
live. It guarantees them the right to vote in any national election. It ensures
them of the protection and support of the U.S. government when traveling
abroad. Above all, they are proud to belong to one of the great countries of the
modern world.
In rare cases, people have been known to lose their U.S. citizenship. They
forfeit it if they emigrate abroad and become citizens of a foreign country. They
also lose it if a court convicts them of the crime of treason (spying for an enemy
nation is an example of such a crime). Special rules apply to immigrants who
have become naturalized citizens. Their citizenship can be taken away if it is
proved that they tried to deceive immigration officials. Some immigrants have
been stripped of their citizenship after being accused of war crimes.
The First Naturalization Law

The 1st U.S. Congress (17891791) established the nations first naturaliza-
tion law. The Naturalization Act of 1790 established legal procedures for
how aliens could become citizens of the United States. The law limited
the extension of citizenship only to free whites. African Americans, Native
Americans, and members of other races could not be legally granted
citizenship.
Under the law, aliens had to live in the United States for at least two years
before they could apply for citizenship. Once they met the residency
requirement, they could make the application to any common law court of
record in any state where they lived for at least one year. Applicants had to
prove to the courts satisfaction that they were people of good character,
meaning that they had not broken the law during their time in the United
States. If the court approved the application, the person then swore an oath
pledging to support the U.S. Constitution. After the court clerk recorded the
application, the person was then considered an official citizen of the United
States.
The Naturalization Act also automatically granted citizenship to the children
(under 21) of new citizens. The law stated that the children of U.S. citizens
who were born outside the territorial United States would be considered
natural-born citizens.
Congress amended the Naturalization Act in 1795, increasing the residency
requirement to five years and requiring that applicants (only free whites) first
declare their intention to become citizens of the United States and renounce
their former countries at least three years before they apply for citizenship.
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REVIEW
1. Define or identify: USCIS and naturalization.
2. Describe the requirements an immigrant must meet before becoming a
citizen.
3. Explain how people are automatically entitled to citizenship.
4. How can people lose their citizenship?
CHAPTER 20 REVIEW
1. A right is something that (a) citizens owe to the nation (b) citizens owe to
one another (c) the government gives to citizens (d) the government
gives to other countries.
2. Public property is (a) owned by the government (b) owned by private cit-
izens (c) managed by the government (d) maintained with voluntary
contributions.
3. The person making the complaint in a civil lawsuit is called the (a) plain-
tiff (b) defense attorney (c) prosecutor (d) defendant.
4. The person charged with a crime in a criminal case is called the (a) defen-
dant (b) plaintiff (c) prosecutor (d) defense attorney.
5. Serious crimes such as murder or armed robbery are (a) misdemeanors
(b) often settled out of court (c) handled by civil courts (d) felonies.
6. The job of a grand jury is to (a) try all cases of tax fraud (b) determine
guilt or innocence in a criminal trial (c) determine if there is enough evi-
dence to hold a criminal trial (d) determine who was at fault in a civil
trial.
7. The purpose of a petit jury is to (a) uncover enough evidence to hold a
criminal trial (b) determine guilt in criminal cases or blame in civil cases
(c) determine who was at fault in a civil trial (d) settle small claims.
8. A person born in a foreign country who has become an American citizen
is known as a/an (a) alien resident (b) emigrant (c) naturalized American
(d) illegal alien.
9. Which government agency enforces Congresss laws regarding immigra-
tion? (a) USCIS (b) Department of State (c) FBI (d) Selective Service
10. Citizenship can be taken away if a person (a) complains about taxes too
often (b) refuses to vote (c) becomes a citizen of another country (d) signs
a petition.
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ESSAY
and a conclusion discussing the idea of rights and obligations.
Historical Context: Americans are told to obey the law and often warned that
society could degenerate into anarchy if everyone broke the law when they
wanted. However, some Americans believe that there are times when peace-
fully breaking the law, even in a free and democratic country such as the
United States, might be necessary.
DOCUMENT 1
We should never forget that everything Adolf Hitler did in Germany

was legal, and everything the Hungarian freedom fighters did in Hun-
gary [in 1956] was illegal.
Dr. Martin Luther King Jr., Letter From a Birmingham Jail
(April 16, 1963)
1. What point is Dr. King making about the law?
DOCUMENT 2
After all, the practical reason why, when the power is once in the hands
of the people, a majority are permitted, and for a long period continue,
to rule is not because they are most likely to be in the right, nor because
this seems fairest to the minority, but because they are physically the
strongest. But a government in which the majority rule in all cases can-
not be based on justice, even as far as men understand it. Can there not
be a government in which majorities do not virtually decide right and
wrong, but conscience?in which majorities decide only those ques-
tions to which the rule of expediency is applicable? Must the citizen
ever for a moment, or in the least degree, resign his conscience to the
legislator? Why has every man a conscience, then? I think that we
should be men first, and subjects afterward. It is not desirable to
cultivate a respect for the law, so much as for the right. The only obliga-
tion which I have a right to assume is to do at any time what I think
right. It is truly enough said that a corporation has no conscience; but a
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corporation of conscientious men is a corporation with a conscience.

Law never made men a whit more just; and, by means of their respect
for it, even the well-disposed are daily made the agents of injustice.
Henry David Thoreau, Civil Disobedience (1849)
2. According to Thoreau, what is his only obligation in society?
Task: Write an essay discussing the role of civil disobedience in protesting

injustices in society. Should citizens always legally work within the system or
are there times when peaceful civil disobedience may be appropriate, even in a
liberal democracy such as the United States? Make references to the docu-
ments and your knowledge of U.S. government in your essay.
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Distinguishing Between Facts and Opinions
A. Read the information below and answer the questions that follow.
The ability to distinguish between statements of fact and statements of opin-

ion will help you evaluate what you hear and read. A statement of fact can be
proved true or false. A statement of opinion cannot. It expresses beliefs, feel-
ings, thoughts, judgments, personal preferences, and other assertions that
may differ from one person to the next.
Suppose a student points to a classroom and says, That is not a class-
room. Even though the statement is false, it is still a statement of fact because
it can be disproved. Suppose, however, that the student says, Our classrooms
are the best in the state. This is a statement of opinion; it expresses a feeling
and judgment.
It is critically important to be able to distinguish between statements of
fact and statements of opinion as you evaluate the credibility of a speaker or
writer. To do so, closely examine statements of opinion, determining whether
they are adequately supported and worthy of trust.
Note the statements of fact (underlined) and the statements of opinion (in
italic) in the paragraph below.
Juanita is running for president of the student body. During her first
three years at King High School, she served for six semesters as presi-
dent of school clubs. Additionally, she has earned the School Service
award twice. This is a remarkably impressive record. Voting will be held in
the cafeteria on September 9 during lunch periods. If youre smart, youll
be sure to vote.
1. Explain why each underlined statement is a statement of fact and

why each italicized statement is a statement of opinion.
2. Note this opinion in the paragraph: This is a remarkably impressive
record. Has the writer offered sufficient support to build credibility
for this opinionand, hence, to make the opinion worthy of belief
on the readers part?
B. Read this excerpt from a criminal defense attorneys final argument in a

hypothetical burglary case. Then respond to the questions that follow.
Ladies and gentlemen of the jury, I believe my client is innocent, and I

feel certain you will vote to acquit when you go to the jury room to
deliberate. My client was arrested outside the Lucky Clucky Chicken
Shack at 2:00 A.M. The police officer put handcuffs on him and drove
him to the city jail.
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My client experienced the most disgusting conditions imaginable at the

jail. After waiting in his cell for two hours, he was taken to the interro-
gation room. Officers asked him 30 questions. They did not allow him
to go back to his cell to sleep for hours. He finally couldnt take any
more. He made a confession.
In the confession, he said that he had broken into Lucky Clucky and
taken the bag of money from the desk. I do not think this was possible.
He was questioned and deprived of sleep to the point where no suspect
could have resisted. He would have said or done anything at that point.
There is no way he could have burglarized Lucky Chucky. He was at his
cousins house across the street until moments before the police officer
arrived, and he just happened to be walking down the sidewalk when
the police officer drove up to the location. His cousin testified during
the trial and told you that my client was at her house.
I have tried dozens of cases. I really like this client, and I think hes
telling the truth. You should, too. If you are a thinking person, you will
vote to acquit.
3. Write at least five statements of fact and five statements of opinion
from the final argument. Explain why you have labeled each as fact
or opinion.
4. Does the defense attorney adequately support statements of opinion
to deliver a credible final argument? Are the opinions worthy of
belief? Explain your answers.
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The Declaration of
Independence

Note: Capitalization, spelling, punctuation, and paragraphing have

been modernized. In addition, the signers names have been
rearranged and grouped alphabetically by state.
In Congress, July 4, 1776
The Unanimous Declaration of the Thirteen

United States of America
W
hen in the course of human events, it becomes necessary for one
people to dissolve the political bands which have connected them
with another, and to assume, among the powers of the earth, the
separate and equal station to which the laws of nature and of natures God
entitle them, a decent respect to the opinions of mankind requires that they
should declare the causes which impel them to the separation.
that they are endowed by their Creator with certain unalienable rights; that
among these are life, liberty, and the pursuit of happiness.
That to secure these rights, governments are instituted among men, deriv-
ing their just powers from the consent of the governed. That, whenever any
form of government becomes destructive of these ends, it is the right of the
people to alter or to abolish it, and to institute new government, laying its
foundation on such principles, and organizing its powers in such form, as to
them shall seem most likely to effect their safety and happiness. Prudence,
indeed, will dictate that governments long established should not be changed
for light and transient causes; and, accordingly, all experience hath shown
that mankind are more disposed to suffer, while evils are sufferable, than to
right themselves by abolishing the forms to which they are accustomed. But
when a long train of abuses and usurpations, pursuing invariably the same
object, evinces a design to reduce them under absolute despotism, it is their
right, it is their duty, to throw off such government, and to provide new
guards for their future security.
Such has been the patient sufferance of these colonies; and such is now
the necessity which constrains them to alter their former systems of
435
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436 THE DECLARATION OF INDEPENDENCE
government. The history of the present King of Great Britain is a history of

repeated injuries and usurpations, all having in direct object the establish-
ment of an absolute tyranny over these states. To prove this, let facts be sub-
mitted to a candid world.
He has refused his assent to laws the most wholesome and necessary for
the public good.
He has forbidden his governors to pass laws of immediate and pressing
importance, unless suspended in their operation till his assent should be
obtained; and, when so suspended, he has utterly neglected to attend to
them.
He has refused to pass other laws for the accommodation of large districts
of people, unless those people would relinquish the right of representation in
the legislaturea right inestimable to them and formidable to tyrants only.
He has called together legislative bodies at places unusual, uncomfortable,
and distant from the depository of their public records, for the sole purpose
of fatiguing them into compliance with his measures.
He has dissolved representative houses repeatedly, for opposing, with
manly firmness, his invasions on the rights of the people.
He has refused, for a long time after such dissolutions, to cause others to
be elected; whereby the legislative powers, incapable of annihilation, have
returned to the people at large for their exercise; the state remaining, in the
meantime, exposed to all the dangers of invasion from without and convul-
sions within.
He has endeavored to prevent the population of these states; for that pur-
pose obstructing the laws for naturalization of foreigners, refusing to pass
others to encourage their migration hither, and raising the conditions of new
appropriations of lands.
He has obstructed the administration of justice by refusing his assent to
laws for establishing judiciary powers.
He has made judges dependent on his will alone for the tenure of their
offices and the amount and payment of their salaries.
He has erected a multitude of new offices and sent hither swarms of offi-
cers to harass our people and eat out their substance.
He has kept among us, in times of peace, standing armies, without the
consent of our legislatures.
He has affected to render the military independent of, and superior to, the
civil power.
He has combined with others to subject us to a jurisdiction foreign to our
constitution and unacknowledged by our laws, giving his assent to their acts
of pretended legislation:
For quartering large bodies of armed troops among us;
For protecting them, by a mock trial, from punishment for any murders
which they should commit on the inhabitants of these states;
For cutting off our trade with all parts of the world;
For imposing taxes on us without our consent;
For depriving us, in many cases, of the benefits of trial by jury;
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THE DECLARATION OF INDEPENDENCE 437
For transporting us beyond seas to be tried for pretended offenses;

For abolishing the free system of English laws in a neighboring province,
establishing therein an arbitrary government and enlarging its boundaries, so
as to render it at once an example and fit instrument for introducing the same
absolute rule into these colonies;
For taking away our charters, abolishing our most valuable laws, and alter-
ing fundamentally the forms of our governments;
For suspending our own legislatures and declaring themselves invested
with power to legislate for us in all cases whatsoever.
He has abdicated government here by declaring us out of his protection
and waging war against us.
He has plundered our seas, ravaged our coasts, burned our towns, and
destroyed the lives of our people.
He is, at this time, transporting large armies of foreign mercenaries to
complete the works of death, desolation, and tyranny already begun with cir-
cumstances of cruelty and perfidy scarcely paralleled in the most barbarous
ages, and totally unworthy the head of a civilized nation.
He has constrained our fellow citizens taken captive on the high seas to
bear arms against their country, to become the executioners of their friends
and brethren, or to fall themselves by their hands.
He has excited domestic insurrections among us, and has endeavored to
bring on the inhabitants of our frontiers the merciless Indian savages, whose
known rule of warfare is an undistinguished destruction of all ages, sexes, and
conditions.
In every stage of these oppressions we have petitioned for redress in the
most humble terms. Our repeated petitions have been answered only by
repeated injury. A prince whose character is thus marked by every act which
may define a tyrant is unfit to be the ruler of a free people.
Nor have we been wanting in attentions to our British brethren. We have
warned them, from time to time, of attempts by their legislature to extend an
unwarrantable jurisdiction over us. We have reminded them of the circum-
stances of our emigration and settlement here. We have appealed to their
native justice and magnanimity; and we have conjured them, by the ties of
our common kindred, to disavow these usurpations, which would inevitably
interrupt our connections and correspondence. They, too, have been deaf to
the voice of justice and consanguinity. We must, therefore, acquiesce in the
necessity which denounces our separation, and hold them, as we hold the rest
of mankind, enemies in war, in peace friends.
We, therefore, the representatives of the United States of America, in
General Congress assembled, appealing to the Supreme Judge of the world for
the rectitude of our intentions, do, in the name and by authority of the good
people of these colonies, solemnly publish and declare: that these united
colonies are, and of right ought to be, free and independent states; that they
are absolved from all allegiance to the British crown, and that all political
connection between them and the state of Great Britain is, and ought to be,
totally dissolved; and that, as free and independent states, they have full
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438 THE DECLARATION OF INDEPENDENCE
power to levy war, conclude peace, contract alliances, establish commerce,

and to do all other acts and things which independent states may of right do.
And for the support of this declaration, with a firm reliance on the protection
of Divine Providence, we mutually pledge to each other our lives, our for-
tunes, and our sacred honor.
[Signed by] John Hancock

[Massachusetts]
[Connecticut] [New Jersey]

Samuel Huntington Abraham Clark
Roger Sherman John Hart
William Williams Francis Hopkinson
Oliver Wolcott Richard Stockton
John Witherspoon
[Delaware]
Thomas McKean [New York]
George Read William Floyd
Caesar Rodney Francis Lewis
Philip Livingston
[Georgia] Lewis Morris
Button Gwinnett
Lyman Hall [North Carolina]
George Walton Joseph Hewes
William Hooper
[Maryland] John Penn
Charles Carroll of Carrollton
Samuel Chase [Pennsylvania]
William Paca George Clymer
Thomas Stone Benjamin Franklin
Robert Morris
[Massachusetts] John Morton
John Adams George Ross
Samuel Adams Benjamin Rush
Elbridge Gerry James Smith
Robert Treat Paine George Taylor
James Wilson
[New Hampshire]
Josiah Bartlett [Rhode Island]
Matthew Thornton William Ellery
William Whipple Stephen Hopkins
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THE DECLARATION OF INDEPENDENCE 439
[South Carolina]
Thomas Heyward, Jr.
Thomas Lynch, Jr.
Arthur Middleton
Edward Rutledge
[Virginia]
Carter Braxton
Benjamin Harrison
Thomas Jefferson
Francis Lightfoot Lee
Richard Henry Lee
Thomas Nelson, Jr.
George Wythe
42389 435-514 r3sp.qxp 12/23/09 3:20 PM Page 440
The Constitution of the

United States of America

Note: Footnotes, headings, and explanations have been added to aid

the reader. The explanations within the body of the text are enclosed
in brackets [ ]. The parts of the Constitution that are no longer in
effect are printed in italic type. Capitalization, spelling, and punctua-
tion have been modernized.
PREAMBLE
W
e the people of the United States, in order to form a more perfect
Union, establish justice, insure domestic tranquility,1 provide for
the common defense, promote the general welfare, and secure the
blessings of liberty to ourselves and our posterity [descendants], do ordain
[issue] and establish this Constitution for the United States of America.
ARTICLE I. CONGRESS
Section 1. Legislative Power All legislative powers herein granted shall be
vested in a Congress of the United States, which shall consist of a Senate and
House of Representatives.
Section 2. House of Representatives [1] The House of Representatives shall

be composed of members chosen every second year by the people of the sev-
eral states, and the electors [voters] in each state shall have the qualifications
requisite [required] for electors of the most numerous branch of the state leg-
islature.
[2] No person shall be a representative who shall not have attained to
[reached] the age of twenty-five years and been seven years a citizen of the
United States, and who shall not, when elected, be an inhabitant of that state
in which he shall be chosen.
[3] Representatives and direct taxes2 shall be apportioned [divided] among
1Insure domestic tranquility means assure peace within the nation.

2Modified by Amendment XVI, which granted Congress the power to levy a direct tax
on individual incomes rather than on the basis of state populations.
440
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THE CONSTITUTION OF THE UNITED STATES 441
the several states which may be included within this Union according to their
respective numbers [population], which shall be determined by adding to the
whole number of free persons, including those bound to service for a term of years
[indentured servants], and excluding Indians not taxed, three-fifths of all other
persons.3 The actual enumeration [census] shall be made within three years
after the first meeting of the Congress of the United States, and within every
subsequent term of ten years, in such manner as they shall by law direct. The
number of representatives shall not exceed one for every thirty thousand, but
each state shall have at least one representative; and until such enumeration
shall be made, the State of New Hampshire shall be entitled to choose three,
Massachusetts eight, Rhode Island and Providence Plantations one, Connecticut
five, New York six, New Jersey four, Pennsylvania eight, Delaware one, Maryland
six, Virginia ten, North Carolina five, South Carolina five, and Georgia three.4
[4] When vacancies happen in the representation from any state, the
executive authority [governor] thereof shall issue writs of election5 to fill such
vacancies.
[5] The House of Representatives shall choose their Speaker and other offi-
cers; and shall have the sole power of impeachment.6
Section 3. Senate [1] The Senate of the United States shall be composed of
two senators from each state, chosen by the legislature thereof,7 for six years; and
each senator shall have one vote.
[2] Immediately after they shall be assembled in consequence of the first elec-
tion, they shall be divided as equally as may be into three classes. The seats of the
senators of the first class shall be vacated at the expiration of the second year, of the
second class at the expiration of the fourth year, and of the third class at the expi-
ration of the sixth year,8 so that one-third may be chosen every second year;
and if vacancies happen by resignation, or otherwise, during the recess of the legis-
lature of any state, the executive [governor] thereof may make temporary appoint-
ments until the next meeting of the legislature, which shall then fill such vacancies.9
[3] No person shall be a senator who shall not have attained to the age of
thirty years and been nine years a citizen of the United States, and who shall
not, when elected, be an inhabitant of that state for which he shall be chosen.
3 Other persons refers to slaves. Amendment XIII abolished slavery; Amendment

XIV specifically eliminated the three-fifths formula.
4 Temporary provision.
5 Issue writs of election means call a special election.
6 Power of impeachment means right to charge federal officials with misconduct.
7 Replaced by Amendment XVII, which provided for popular election of senators.
8 Temporary provision, designed to organize the first Senate in such a way that, there-
after, only one-third of its members would be subject to replacement at each succes-
sive election.
9 Modified by Amendment XVII, which states that the governor may also schedule a
special election.
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442 THE CONSTITUTION OF THE UNITED STATES
[4] The vice president of the United States shall be president of the Senate,
but shall have no vote, unless they be equally divided [tied].
[5] The Senate shall choose their other officers, and also a president pro
tempore [temporary presiding officer], in the absence of the vice president, or
when he shall exercise the office of president of the United States.
[6] The Senate shall have sole power to try all impeachments.10 When sit-
ting for that purpose, they shall be on oath or affirmation.11 When the pres-
ident of the United States is tried, the chief justice [of the United States] shall
preside; and no person shall be convicted without the concurrence [agree-
ment] of two-thirds of the members present.
[7] Judgment in cases of impeachment shall not extend further than to
removal from office, and disqualification to hold and enjoy any office of
honor, trust, or profit under the United States; but the party convicted shall
nevertheless be liable and subject to indictment, trial, judgment, and punish-
ment, according to law.
Section 4. Elections and Meetings of Congress [1] The times, places, and
manner of holding elections for senators and representatives shall be pre-
scribed [designated] in each state by the legislature thereof; but the Congress
may at any time by law make or alter such regulations, except as to the places
of choosing senators.
[2] The Congress shall assemble at least once in every year, and such meet-
ing shall be on the first Monday in December,12 unless they shall by law appoint
a different day.
Section 5. Rules and Procedures of the Two Houses [1] Each house shall
be the judge of the elections, returns, and qualifications of its own mem-
bers,13 and a majority of each shall constitute a quorum14 to do business; but
a smaller number may adjourn from day to day, and may be authorized to
compel the attendance of absent members, in such manner, and under such
penalties, as each house may provide.
[2] Each house may determine the rules of its proceedings, punish its
members for disorderly behavior, and with the concurrence of two-thirds,
expel a member.
[3] Each house shall keep a journal [record] of its proceedings, and from
10 To try all impeachments means to conduct the trials of officials impeached by the
House of Representatives. When trying such cases, the Senate serves as a court.
11 If taking an oath violates a members religious principles, that person may affirm
rather than swear.

12 Amendment XX changed this date to January 3.
13 This provision empowers either house, by a majority vote, to refuse to seat a newly
elected member.
14 A quorum is the number of members that must be present in order to conduct business.
42389 435-514 r3sp.qxp 12/23/09 3:20 PM Page 443
time to time publish the same, excepting such parts as may in their judgment
require secrecy; and the yeas [affirmative votes] and nays [negative votes] of
the members of either house on any question shall, at the desire of one-fifth
of those present, be entered on the journal.
[4] Neither house, during the session of Congress, shall, without the con-
sent of the other, adjourn for more than three days, nor to any other place
than that in which the two houses shall be sitting.
Section 6. Members Privileges and Restrictions [1] The senators and rep-
resentatives shall receive a compensation [salary] for their services, to be
ascertained [fixed] by law and paid out of the treasury of the United States.
They shall in all cases, except treason, felony [serious crime], and breach of the
peace [disorderly conduct], be privileged [immune] from arrest during their
attendance at the session of their respective houses, and in going to and
returning from the same; and for any speech or debate in either house, they
shall not be questioned in any other place.15
[2] No senator or representative shall, during the time for which he was
elected, be appointed to any civil office under the authority of the United
States, which shall have been created, or the emoluments [salary] whereof
shall have been increased, during such time; and no person holding any
office under the United States shall be a member of either house during his
continuance in office.
Section 7. Lawmaking Procedures [1] All bills for raising revenue shall
originate [be introduced] in the House of Representatives; but the Senate may
propose or concur with [approve] amendments as on other bills.
[2] Every bill which shall have passed the House of Representatives and
the Senate shall, before it becomes a law, be presented to the president of the
United States; if he approve, he shall sign it, but if not, he shall return it, with
his objections, to that house in which it shall have originated, who shall enter
the objections at large on their journal, and proceed to reconsider it. If after
such reconsideration two-thirds of that house shall agree to pass the bill, it
shall be sent, together with the objections, to the other house, by which it
shall likewise be reconsidered, and, if approved by two-thirds of that house,
it shall become a law. But in all such cases the votes of both houses shall be
determined by yeas and nays, and the names of the persons voting for and
against the bill shall be entered on the journal of each house respectively. If
any bill shall not be returned by the president within ten days (Sundays
excepted) after it shall have been presented to him, the same shall be a law,
15 They shall not be questioned in any other place means that they may not be sued
for slander or libel. Freedom from arrest during congressional sessions and freedom of
speech within the halls of Congresstwo privileges granted to members of Congress
are known as congressional immunity.
42389 435-514 r3sp.qxp 12/23/09 3:20 PM Page 444
in like manner as if he had signed it, unless the Congress by their adjourn-
ment prevent its return, in which case it shall not be a law.16
[3] Every order, resolution, or vote to which the concurrence of the
Senate and House of Representatives may be necessary (except on a question
of adjournment) shall be presented to the president of the United States; and
before the same shall take effect, shall be approved by him, or, being disap-
proved by him, shall be repassed by two-thirds of the Senate and House of
Representatives, according to the rules and limitations prescribed in the case
of a bill.
Section 8. Powers of Congress The Congress shall have power:

[1] To lay and collect taxes, duties, imposts, and excises,17 to pay the debts
and provide for the common defense and general welfare of the United States;
but all duties, imposts, and excises shall be uniform [the same] throughout
the United States;
[2] To borrow money on the credit of the United States;
[3] To regulate commerce with foreign nations, and among the several
states, and with the Indian tribes;
[4] To establish a uniform rule of naturalization [admitting to citizenship],
and uniform laws on the subject of bankruptcies throughout the United
States;
[5] To coin money, regulate the value thereof, and of foreign coin, and fix
[set] the standard of weights and measures;
[6] To provide for the punishment of counterfeiting18 the securities and
current coin of the United States;
[7] To establish post offices and post roads;
[8] To promote the progress of science and useful arts by securing for lim-
ited times to authors and inventors the exclusive right to their respective writ-
ings and discoveries;19
[9] To constitute tribunals [establish courts] inferior to [lower than] the
Supreme Court;
[10] To define and punish piracies and felonies committed on the high
seas20 and offenses against the law of nations [international law];
16 If Congress adjourns before the ten-day period is up, the president can kill a bill by
ignoring it (putting it in his pocket). Therefore, this type of presidential rejection is
called a pocket veto.
17 Duties, imposts, and excises are forms of taxation. Duties and imposts are taxes on
imports. Excises are taxes on goods produced or services performed within a country.
18 Making an imitation with the intent of passing it as the genuine article.
19 Copyright and patent laws, passed by Congress on the basis of this clause, protect
the rights of authors and inventors.

20 Open ocean; waters outside the territorial limits of a country.
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[11] To declare war, grant letters of marque and reprisal,21 and make rules
concerning captures on land and water;
[12] To raise and support armies, but no appropriation of money to that
use shall be for a longer term than two years;
[13] To provide and maintain a navy;
[14] To make rules for the government and regulation of the land and
naval forces;
[15] To provide for calling forth the militia22 to execute [carry out] the
laws of the Union, suppress [put down] insurrections [rebellions], and repel
[drive back] invasions;
[16] To provide for organizing, arming, and disciplining [training] the
militia, and for governing such part of them as may be employed in the serv-
ice of the United States, reserving to the states respectively the appointment
of the officers, and the authority of training the militia according to the dis-
cipline [regulations] prescribed by Congress;
[17] To exercise exclusive legislation in all cases whatsoever, over such dis-
trict23 (not exceeding ten miles square) as may, by cession of particular states,
and the acceptance of Congress, become the seat of government of the United
States, and to exercise like authority over all places purchased by the consent
of the legislature of the state in which the same shall be, for the erection of
forts, magazines, arsenals, dockyards, and other needful buildings; and
[18] To make all laws which shall be necessary and proper for carrying
into execution the foregoing powers and all other powers vested by this
Constitution in the government of the United States, or in any department or
officer thereof.24
Section 9. Powers Denied to the Federal Government [1] The migration

or importation of such persons as any of the states now existing shall think proper
to admit shall not be prohibited by the Congress prior to the year 1808; but a tax
or duty may be imposed on such importation, not exceeding ten dollars for each
person.25
21 Letters of marque and reprisal are government licenses issued to private citizens in
time of war authorizing them to fit out armed vessels (called privateers) for the purpose
of capturing or destroying enemy ships.
22 Citizen soldiers who are not in the regular armed forces but are subject to military
duty in times of emergency; for example, the National Guard.

23 To exercise exclusive legislation ... over such district means to be solely responsible
for making the laws for a designated area.

24 This is the so-called elastic clause of the Constitution, which allows Congress to
carry out many actions not specifically listed.

25 This temporary provision prohibited Congress from interfering with the importa-
tion of slaves (such persons) before 1808.

42389 435-514 r3sp.qxp 12/23/09 3:20 PM Page 446
[2] The privilege of the writ of habeas corpus26 shall not be suspended,
unless when in cases of rebellion or invasion the public safety may require it.
[3] No bill of attainder27 or ex post facto law28 shall be passed.
[4] No capitation [head] or other direct tax shall be laid, unless in propor-
tion to the census or enumeration herein before directed to be taken.29
[5] No tax or duty shall be laid on articles exported from any state.
[6] No preference shall be given by any regulation of commerce or rev-
enue to the ports of one state over those of another; nor shall vessels bound
to, or from, one state be obliged to enter, clear, or pay duties in another.
[7] No money shall be drawn from the treasury, but in consequence of
appropriations made by law; and a regular statement and account of the
receipts and expenditures of all public money shall be published from time to
time.
[8] No title of nobility shall be granted by the United States; and no per-
son holding any office of profit or trust under them shall, without the con-
sent of the Congress, accept of any present, emolument, office, or title, of any
kind whatever, from any king, prince, or foreign state.
Section 10. Powers Denied to the States [1] No state shall enter into any
treaty, alliance, or confederation; grant letters of marque and reprisal; coin
money; emit bills of credit;30 make anything but gold and silver coin a tender
[legal money] in payment of debts; pass any bill of attainder, ex post
facto law, or law impairing the obligation of contracts,31 or grant any title of
nobility.
[2] No state shall, without the consent of the Congress, lay any imposts
or duties on imports or exports, except what may be absolutely necessary for
executing its inspection laws; and the net produce [income] of all duties and
imposts, laid by any state on imports or exports, shall be for the use of the
treasury of the United States; and all such laws shall be subject to the revision
and control of the Congress.
[3] No state shall, without the consent of Congress, lay any duty of
tonnage,32 keep troops33 or ships of war in time of peace, enter into any
26 A writ of habeas corpus is a court order obtained by a person taken into custody,
demanding to know the reasons for imprisonment. If the court rules that the reasons
are insufficient, the prisoner is released.
27 A law that deprives a person of civil rights without a trial.
28 A law that punishes a person for a past action that was not unlawful at the time it
was committed.
29 Modified by Amendment XVI.
30 Emit bills of credit means issue paper money.
31 Impairing the obligation of contracts means weakening the obligations persons
assume when they enter into legal agreements.

32 Duty of tonnage is a tax based upon a vessels cargo-carrying capacity.
33 Other than militia.
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agreement or compact with another state or with a foreign power, or engage

in war unless actually invaded or in such imminent [threatening] danger as
will not admit of delay.
ARTICLE II. THE PRESIDENCY

Section 1. Executive Power [1] The executive power shall be vested in a
president of the United States of America. He shall hold his office during the
term of four years,34 and, together with the vice president, chosen for the
same term, be elected as follows:
[2] Each state shall appoint, in such manner as the legislature thereof may
direct, a number of electors, equal to the whole number of senators and rep-
resentatives to which the state may be entitled in the Congress; but no sena-
tor or representative, or person holding an office of trust or profit under the
United States, shall be appointed an elector.
[3] The electors shall meet in their respective states, and vote by ballot for two
persons, of whom one at least shall not be an inhabitant of the same state with
themselves. And they shall make a list of all the persons voted for, and of the num-
ber of votes for each; which list they shall sign and certify, and transmit sealed to
the seat of the government of the United States, directed to the president of the
Senate. The president of the Senate shall, in the presence of the Senate and House of
Representatives, open all the certificates, and the votes shall then be counted. The
person having the greatest number of votes shall be the president, if such number be
a majority of the whole number of electors appointed; and if there be more than one
who have such majority, and have an equal number of votes, then the House of
Representatives shall immediately choose by ballot one of them for president; and if
no person have a majority, then from the five highest on the list the said House shall
in like manner choose the president. But in choosing the president, the votes shall be
taken by states, the representation from each state having one vote; a quorum for
this purpose shall consist of a member or members from two-thirds of the states, and
a majority of all the states shall be necessary to a choice. In every case, after the
choice of the president, the person having the greatest number of votes of the electors
shall be the vice president. But if there should remain two or more who have equal
votes, the Senate shall choose from them by ballot the vice president.35
[4] The Congress may determine the time of choosing the electors, and
the day on which they shall give their votes; which day shall be the same
throughout the United States.
[5] No person except a natural-born citizen, or a citizen of the United States
at the time of the adoption of this Constitution,36 shall be eligible to the office of
34 Amendment XXII limits a president to two terms.

35 Replaced by Amendment XII.
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president; neither shall any person be eligible to that office who shall not
have attained to the age of thirty-five years and been fourteen years a resident
within the United States.
[6] In case of the removal of the president from office, or of his death, res-
ignation, or inability to discharge the powers and duties of the said office, the
same shall devolve on the vice president, and the Congress may by law pro-
vide for the case of removal, death, resignation, or inability, both of the pres-
ident and vice president, declaring what officer shall then act as president,
and such officer shall act accordingly, until the disability be removed, or a
president shall be elected.37
[7] The president shall, at stated times, receive for his services a compen-
sation, which shall neither be increased nor diminished [decreased] during
the period for which he shall have been elected, and he shall not receive with-
in that period any other emolument from the United States, or any of them.
[8] Before he enter on the execution of his office, he shall take the follow-
ing oath or affirmation:
I do solemnly swear (or affirm) that I will faithfully execute the office of
President of the United States, and will, to the best of my ability, preserve,
protect, and defend the Constitution of the United States.
Section 2. Powers of the President [1] The president shall be commander

in chief of the army and navy [all the armed forces] of the United States, and
of the militia of the several states, when called into the actual service of the
United States; he may require the opinion in writing of the principal officer
in each of the executive departments upon any subject relating to the duties
of their respective offices; and he shall have power to grant reprieves38 and
pardons39 for offenses against the United States except in cases of impeach-
ment.
[2] He shall have power, by and with the advice and consent of the
Senate, to make treaties, provided two-thirds of the senators present concur;
and he shall nominate, and, by and with the advice and consent of the
Senate, shall appoint 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 estab-
lished by law; but the Congress may by law vest the appointment of such
inferior officers as they think proper in the president alone, in the courts of
law, or in the heads of departments.
[3] The president shall have power to fill up all vacancies that may hap-
pen during the recess of the Senate, by granting commissions which shall
expire at the end of their next session.
37 Modified by Amendments XX and XXV.

38 A reprieve is a postponement of the execution of a sentence.
39 A pardon is a release from penalty.
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Section 3. Duties and Responsibilities of the President He shall, from

time to time, give to the Congress information of the state of the Union, and
recommend to their consideration such measures as he shall judge necessary
and expedient [advisable]; he may, on extraordinary [special] occasions, con-
vene both houses, or either of them, and in case of disagreement between
them with respect to the time of adjournment, he may adjourn them to such
time as he shall think proper; he shall receive ambassadors and other public
ministers; he shall take care that the laws be faithfully executed, and shall
commission [appoint] all the officers of the United States.
Section 4. Impeachment The president, vice president, and all civil officers40
of the United States, shall be removed from office on impeachment for, and con-
viction of, treason, bribery, or other high crimes and misdemeanors [offenses].
ARTICLE III. THE SUPREME COURT AND

OTHER COURTS
Section 1. Federal Courts The judicial power of the United States shall be
vested in one Supreme Court, and in such inferior [lower] courts as the
Congress may from time to time ordain and establish. The judges, both of the
Supreme and inferior courts, shall hold their offices during good behavior,
and shall, at stated times, receive for their services a compensation, which
shall not be diminished during their continuance in office.
Section 2. Jurisdiction of Federal Courts [1] The judicial power shall

extend to all cases in law and equity41 arising under this Constitution, the
laws of the United States, and treaties made, or which shall be made, under
their authority; to all cases affecting ambassadors, other public ministers, and
consuls; to all cases of admiralty and maritime jurisdiction;42 to controversies
[disputes] to which the United States shall be a party; to controversies
between two or more states, between a state and citizens of another state,43
40 Civil officers include executive and judicial officials, but not members of Congress
or officers in the armed forces.
41 Cases in law refers mainly to disputes that arise from the violation of, or the inter-
pretation of, federal laws, treaties, or the Constitution. Equity is a branch of the law
that deals more generally with the prevention of injustice.
42 Legal disputes involving ships and shipping on the high seas, in territorial waters,
and on the navigable waterways within the country.

43 Modified by Amendment XI, which provides that a state may not be sued in the fed-
eral courts by a citizen of another state (or by a citizen of a foreign country). A state,
however, retains the right to sue a citizen of another state (or a citizen of a foreign
country) in the federal courts.
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between citizens of different states, between citizens of the same state claim-
ing lands under grants of different states, and between a state, or the citizens
thereof, and foreign states, citizens, or subjects.44
[2] In all cases affecting ambassadors, other public ministers, and consuls,
and those in which a state shall be a party, the Supreme Court shall have orig-
inal jurisdiction.45 In all the other cases before mentioned, the Supreme Court
shall have appellate jurisdiction,46 both as to law and fact, with such excep-
tions and under such regulations as the Congress shall make.
[3] The trial of all crimes, except in cases of impeachment, shall be by
jury; and such trial shall be held in the state where the said crimes shall have
been committed; but when not committed within any state, the trial shall be
at such place or places as the Congress may by law have directed.
Section 3. Treason [1] Treason against the United States shall consist only in
levying [carrying on] war against them, or in adhering to [assisting] their ene-
mies, giving them aid and comfort. No person shall be convicted of treason
unless on the testimony of two witnesses to the same overt [open; public] act,
or on confession in open court.
[2] The Congress shall have power to declare the punishment of treason,
but no attainder of treason shall work corruption of blood or forfeiture except
during the life of the person attainted.47
ARTICLE IV. INTERSTATE RELATIONS

Section 1. Official Acts and Records Full faith and credit shall be given in
each state to the public acts, records, and judicial proceedings of every other
state.48 And the Congress may, by general laws, prescribe the manner in which
such acts, records, and proceedings shall be proved, and the effect thereof.
Section 2. Mutual Obligations of States [1] The citizens of each state shall
be entitled to all privileges and immunities of citizens in the several states.
[2] A person charged in any state with treason, felony, or other crime, who
44 Modified by Amendment XI (see footnote 43).

45 Original jurisdiction means the authority of a court to hear cases that have not
previously been tried by lower courts.
46 Appellate jurisdiction means the authority of a court to review cases that have
previously been tried by lower courts.

47 Punishment imposed on someone for treason may not be extended to that persons
children or heirs.
48 The official acts of each state must be accepted by the other states. The full-faith-
and-credit clause applies to court judgments, contracts, marriages, corporation char-

ters, etc.
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shall flee from justice and be found in another state, shall, on demand of the
executive authority of the state from which he fled, be delivered up, to be
removed to the state having jurisdiction of the crime.49
[3] No person held to service or labor in one state, under the laws thereof, escap-
ing into another, shall, in consequence of any law or regulation therein, be dis-
charged from such service or labor, but shall be delivered up on claim of the party to
whom such service or labor may be due.50
Section 3. New States and Territories [1] New states may be admitted by
the Congress into this Union; but no new state shall be formed or erected
within the jurisdiction of any other state; nor any state be formed by the
junction [joining] of two or more states, or parts of states, without the con-
sent of the legislatures of the states concerned as well as of the Congress.
[2] The Congress shall have power to dispose of and make all needful rules
and regulations respecting the territory or other property belonging to the
United States; and nothing in this Constitution shall be so construed [inter-
preted] as to prejudice [damage] any claims of the United States, or of any par-
ticular state.
Section 4. Federal Guarantees to the States The United States shall guar-
antee to every state in this Union a republican form of government, and shall
protect each of them against invasion; and on application of the legislature,
or of the executive (when the legislature cannot be convened), against domes-
tic violence [riots].
ARTICLE V. AMENDING THE CONSTITUTION

The Congress, whenever two-thirds of both houses shall deem [think] it nec-
essary, shall propose amendments to this Constitution, or, on the application
of the legislatures of two-thirds of the several states, shall call a convention
for proposing amendments, which, in either case, shall be valid, to all intents
and purposes, as part of this Constitution when ratified by the legislatures of
three-fourths of the several states, or by conventions in three-fourths thereof,
as the one or the other mode [method] of ratification may be proposed by the
Congress; provided that no amendment which may be made prior to the year 1808
shall in any manner affect the first and fourth clauses in the ninth section of the
first article; 51 and that no state, without its consent, shall be deprived of its
equal suffrage in the Senate.
49 The delivery by one state or government to another of fugitives from justice is called
extradition.
50 Since the phrase person held to service or labor refers to a slave, this clause was
nullified by Amendment XIII.

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ARTICLE VI. MISCELLANEOUS PROVISIONS

Section 1. Public Debts All debts contracted and engagements [agreements]
entered into before the adoption of this Constitution shall be as valid [bind-
ing] against the United States under this Constitution as under the
Confederation.
Section 2. Federal Supremacy This Constitution, and the laws of the

United States which shall be made in pursuance thereof, and all treaties made,
or which shall be made, under the authority of the United States, shall be the
supreme law of the land; and the judges in every state shall be bound there-
by, anything in the constitution or laws of any state to the contrary notwith-
standing.52
Section 3. Oaths of Office The senators and representatives before men-

tioned, and the members of the several state legislatures, and all executive
and judicial officers, both of the United States and of the several states, shall
be bound by oath or affirmation to support this Constitution; but no religious
test shall ever be required as a qualification to any office or public trust under
the United States.
ARTICLE VII. RATIFICATION

The ratification of the conventions of nine states shall be sufficient for the establish-
ment of this Constitution between the states so ratifying the same.
Done in convention, by the unanimous consent of the states present, the
17th day of September, in the year of our Lord 1787, and of the independence
of the United States of America the twelfth. In witness whereof we have here-
unto subscribed our names.
Signed by George Washington

[President and Deputy from Virginia]
and 38 other delegates
52This supremacy clause means that federal laws always override state legislation in
cases of conflict.
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Amendments to the Constitution
Note: The first ten amendments to the Constitution, adopted in

1791, make up the Bill of Rights. The year of adoption of later amend-
ments (11 to 27) is given in parentheses.
AMENDMENT I. FREEDOM OF RELIGION, SPEECH, PRESS,

ASSEMBLY, AND PETITION
Congress shall make no law respecting an establishment of religion, or pro-
hibiting the free exercise thereof;1 or abridging [reducing] the freedom of
speech or of the press; or the right of the people peaceably to assemble, and
to petition the government for a redress [correction] of grievances.
AMENDMENT II. RIGHT TO BEAR ARMS

A well-regulated militia being necessary to the security of a free state, the right
of the people to keep and bear arms shall not be infringed [weakened].
AMENDMENT III. QUARTERING OF TROOPS

No soldier shall, in time of peace, be quartered [assigned to live] in any house
without the consent of the owner, nor in time of war, but in a manner to be
prescribed by law.
AMENDMENT IV. SEARCHES AND SEIZURES

The right of the people to be secure [safe] in their persons, houses, papers, and
effects [belongings] against unreasonable searches and seizures shall not be
violated; and no [search] warrants shall issue but upon probable cause2 sup-
ported by oath or affirmation, and particularly describing the place to be
searched, and the persons or things to be seized.
AMENDMENT V. RIGHTS OF THE ACCUSED; PROPERTY RIGHTS

No person shall be held to answer for a capital or otherwise infamous crime
unless on a presentment or indictment of a grand jury,3 except in cases aris-
ing in the land or naval forces, or in the militia, when in actual service in time
of war or public danger; nor shall any person be subject for the same offense
1 The free exercise thereof refers to freedom of worship.

2 Probable cause means a reasonable ground of suspicion.
3 A capital or otherwise infamous crime refers to serious offenses punishable by
death or imprisonment. Before someone may be tried for such a crime, a grand jury
must decide that sufficient evidence exists to bring that person to trial.
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to be twice put in jeopardy of life or limb;4 nor shall be compelled in any

criminal case to be a witness against himself; nor be deprived of life, liberty,
or property without due process of law;5 nor shall private property be taken
for public use without just compensation.6
AMENDMENT VI. OTHER RIGHTS OF THE ACCUSED

In all criminal prosecutions [trials], the accused shall enjoy the right to a
speedy and public trial by an impartial [fair] jury of the state and district
wherein the crime shall have been committed, which district shall have been
previously ascertained by law; and to be informed of the nature and cause of
the accusation; to be confronted with the witnesses against him; to have com-
pulsory process for obtaining witnesses in his favor,7 and to have the assis-
tance of counsel for his defense.
AMENDMENT VII. CIVIL SUITS

In suits at common law8 where the value in controversy shall exceed twenty
dollars, the right of trial by jury shall be preserved, and no fact tried by a jury
shall be otherwise reexamined in any court of the United States, than accord-
ing to the rules of the common law.
AMENDMENT VIII. BAILS, FINES, AND PUNISHMENTS

Excessive bail shall not be required, nor excessive fines imposed, nor cruel
and unusual punishments inflicted.
AMENDMENT IX. RIGHTS NOT LISTED

The enumeration [listing] in the Constitution of certain rights shall not be
construed to deny or disparage [weaken] others retained by the people.
AMENDMENT X. POWERS RESERVED TO THE STATES

AND PEOPLE
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.
4 A person may not be tried twice for the same offense (double jeopardy).
5 Due process of law means proper legal procedure.
6 The government has the power of eminent domain, or the right to take private proper-
ty for public use. This provision requires the government to pay the owner a fair price
for such property.
7 The accused person has the right to request the court to issue an order, or subpoena,
compelling a witness to appear in court.

8 Common law is law based on custom and precedent (past decisions made in sim-
ilar cases). Originating in England, it was brought to the English colonies by the early
settlers and became the foundation of the American legal system.
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AMENDMENT XI. SUITS AGAINST STATES (1795)

The judicial power of the United States shall not be construed to extend to
any suit in law or equity, commenced or prosecuted against one of the United
States by citizens of another state, or by citizens or subjects of any foreign
state.
AMENDMENT XII. ELECTION OF PRESIDENT

AND VICE PRESIDENT (1804)
[1] The electors shall meet in their respective states, and vote by ballot for
president and vice president, one of whom at least shall not be an inhabitant
of the same state with themselves; they shall name in their ballots the person
voted for as president, and in distinct [separate] ballots the person voted for
as vice president; and they shall make distinct lists of all persons voted for as
president, and of all persons voted for as vice president, and of the number of
votes for each, which lists they shall sign and certify, and transmit sealed to
the seat of the government of the United States, directed to the president of
the Senate.
[2] The president of the Senate shall, in the presence of the Senate and
House of Representatives, open all the certificates, and the votes shall then be
counted; the person having the greatest number of votes for president shall
be the president, if such number be a majority of the whole number of elec-
tors appointed; and if no person have such majority, then from the persons
having the highest numbers not exceeding three on the list of those voted for
as president, the House of Representatives shall choose immediately, by bal-
lot, the president. But in choosing the president, the votes shall be taken by
states, the representation from each state having one vote; a quorum for this
purpose shall consist of a member or members from two-thirds of the states,
and a majority of all the states shall be necessary to a choice. And if the House
of Representatives shall not choose a president whenever the right of choice
shall devolve upon them, before the fourth day of March next following,9 then
the vice president shall act as president, as in the case of the death or other
constitutional disability of the president.
[3] The person having the greatest number of votes as vice president shall
be the vice president, if such number be a majority of the whole number of
electors appointed; and if no person have a majority, then, from the two high-
est numbers on the list, the Senate shall choose the vice president; a quorum
for the purpose shall consist of two-thirds of the whole number of senators,
and a majority of the whole number shall be necessary to a choice. But no
person constitutionally ineligible to the office of president shall be eligible to
that of vice president of the United States.
9 Changed to January 20 by Amendment XX.

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AMENDMENT XIII. ABOLITION OF SLAVERY (1865)

Section 1. Slavery Forbidden Neither slavery nor involuntary servitude
[compulsory service], except as a punishment for crime whereof the party
shall have been duly convicted, shall exist within the United States, or any
place subject to their jurisdiction.
Section 2. Enforcement Power Congress shall have power to enforce this

article [amendment] by appropriate [suitable] legislation.
AMENDMENT XIV. CITIZENSHIP AND CIVIL RIGHTS (1868)

Section 1. Rights of Citizens All persons born or naturalized in the United
States, and subject to the jurisdiction thereof, are citizens of the United States
and of the state wherein they reside.10 No state shall make or enforce any law
which shall abridge the privileges or immunities of citizens of the United
States; nor shall any state deprive any person of life, liberty, or property, with-
out due process of law;11 nor deny to any person within its jurisdiction the
equal protection of the laws.12
Section 2. Apportionment of Representatives in Congress Representatives

shall be apportioned among the several states according to their respective
numbers, counting the whole number of persons in each state, excluding
Indians not taxed.13 But when the right to vote at any election for the choice
of electors for president and vice president of the United States, representa-
tives in Congress, the executive and judicial officers of a state, or the mem-
bers of the legislature thereof, is denied to any of the male inhabitants of such
state, being twenty-one years of age and citizens of the United States, or in any
way abridged, except for participation in rebellion or other crime, the basis of
representation therein shall be reduced in the proportion which the number
of such male citizens shall bear to the whole number of male citizens twenty-
one years of age in such state.14
Section 3. Persons Disqualified From Public Office No person shall be a

senator or representative in Congress, or elector of president and vice presi-
dent, or hold any office, civil or military, under the United States, or under
10 This clause made the former slaves citizens.

11 The primary purpose of this clause was to protect the civil rights of the former
slaves. However, after the Supreme Court broadened the meaning of the word per-
son to include corporation, the clause began to be used to protect business inter-
ests as well.
12 The equal protection clause has served as the legal basis for many civil rights
cases.
13 This clause nullifies the three-fifths formula of Article 1, Section 2.
14 Italicized words in this section were invalidated by Amendments XIX and XXVI.
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any state, who, having previously taken an oath, as a member of Congress, or

as an officer of the United States, or as a member of any state legislature, or
as an executive or judicial officer of any state, to support the Constitution of
the United States, shall have engaged in insurrection or rebellion against the
same, or given aid or comfort to the enemies thereof. But Congress may, by a
vote of two-thirds of each house, remove such disability.
Section 4. Valid Public Debt Defined The validity [legality] of the public
debt of the United States, authorized by law, including debts incurred for pay-
ment of pensions and bounties [extra allowances] for services in suppressing
insurrection or rebellion, shall not be questioned. But neither the United
States nor any state shall assume or pay any debt or obligation incurred in aid
of insurrection or rebellion against the United States, or any claim for the loss
or emancipation [liberation] of any slave; but all such debts, obligations, and
claims shall be held illegal and void.
Section 5. Enforcement Power The Congress shall have power to enforce,

by appropriate legislation, the provisions of this article.
AMENDMENT XV. RIGHT OF SUFFRAGE (1870)
Section 1. African Americans Guaranteed the Vote The right of citizens

of the United States to vote shall not be denied or abridged by the United
States or by any state on account of race, color, or previous condition of servi-
tude [slavery].
Section 2. Enforcement Power The Congress shall have power to enforce

this article by appropriate legislation.
AMENDMENT XVI. INCOME TAXES (1913)

The Congress shall have power to lay and collect taxes on incomes, from
whatever source derived, without apportionment among the several states,
and without regard to any census or enumeration.
AMENDMENT XVII. POPULAR ELECTION OF SENATORS (1913)

[1] The Senate of the United States shall be composed of two senators from
each state, elected by the people thereof, for six years; and each senator shall
have one vote. The electors [voters] in each state shall have the qualifications
requisite for electors of the most numerous branch of the state legislatures.15
[2] When vacancies happen in the representation of any state in the
Senate, the executive authority of such state shall issue writs of election to fill
such vacancies: Provided, that the legislature of any state may empower
15 This amendment changed the method of electing senators as given in Article 1,

Section 3.
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[authorize] the executive thereof to make temporary appointments until the

people fill the vacancies by election as the legislature may direct.
[3] This amendment shall not be so construed as to affect the election or term
of any senator chosen before it becomes valid as part of the Constitution.16
AMENDMENT XVIII. PROHIBITION (1919)17

Section 1. Intoxicating Liquors Prohibited After one year from the ratifica-
tion of this article, the manufacture, sale, or transportation of intoxicating liquors
within, the importation thereof into, or the exportation thereof from the United
States and all territory subject to the jurisdiction thereof, for beverage purposes, is
hereby prohibited.
Section 2. Enforcement Power The Congress and the several states shall have
concurrent power to enforce this article by appropriate legislation.
Section 3. Conditions of Ratification This article shall be inoperative unless

it shall have been ratified as an amendment to the Constitution by the legislatures
of the several states, as provided in the Constitution, within seven years from the
date of the submission hereof to the states by the Congress.
AMENDMENT XIX. WOMENS SUFFRAGE (1920)

[1] The right of citizens of the United States to vote shall not be denied or
abridged by the United States or by any state on account of sex.
[2] Congress shall have power to enforce this article by appropriate legis-
lation.
AMENDMENT XX. PRESIDENTIAL AND CONGRESSIONAL

TERMS (1933)18
Section 1. Terms of Office The terms of the president and vice president
shall end at noon on the 20th day of January, and the terms of senators and
representatives at noon on the 3d day of January, of the years in which such
terms would have ended if this article had not been ratified; and the terms of
their successors19 shall then begin.
16 Temporary provision designed to protect those elected under the system previously
in effect.
17 This entire amendment was repealed in 1933 by Amendment XXI.
18 This amendment is often called the Lame Duck Amendment because it shortened
the period (from four months to two) between the elections in November and the time
when defeated officeholders or officeholders who do not run again (known as lame
ducks) leave office.
19 A successor is a person who is elected or appointed to replace another in a public
office.
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Section 2. Convening Congress The Congress shall assemble at least once

in every year, and such meeting shall begin at noon on the 3d day of January,
unless they shall by law appoint a different day.20
Section 3. Presidential Succession If, at the time fixed for the beginning of
the term of the president, the president-elect21 shall have died, the vice
presidentelect shall become president. If a president shall not have been
chosen before the time fixed for the beginning of his term, or if the president-
elect shall have failed to qualify, then the vice presidentelect shall act as
president until a president shall have qualified; and the Congress may by law
provide for the case wherein neither a president-elect nor a vice president
elect shall have qualified, declaring who shall then act as president, or the
manner in which one who is to act shall be selected, and such person shall
act accordingly until a president or vice president shall have qualified.
Section 4. Selection of President and Vice President The Congress may

by law provide for the case of the death of any of the persons from whom the
House of Representatives may choose a president whenever the right of
choice shall have devolved upon them, and for the case of the death of any
of the persons from whom the Senate may choose a vice president whenever
the right of choice shall have devolved upon them.
Section 5. Effective Date Sections 1 and 2 shall take effect on the 15th day of
October following the ratification of this article.22
Section 6. Conditions of Ratification This article shall be inoperative

unless it shall have been ratified as an amendment to the Constitution by the legis-
latures of three-fourths of the several states within seven years from the date of its
submission.23
AMENDMENT XXI. REPEAL OF PROHIBITION (1933)
Section 1. Amendment XVIII Repealed The Eighteenth Article of amend-

ment to the Constitution of the United States is hereby repealed.
Section 2. Shipment of Liquor Into Dry Areas The transportation or

importation into any state, territory, or possession of the United States for
20 This section changed the date given in Article 1, Section 4.

21 A president-elect is a person who has been elected to the presidency but has not
yet assumed office.
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delivery or use therein of intoxicating liquors in violation of the laws thereof

is hereby prohibited.24

it shall have been ratified as an amendment to the Constitution by conventions in
the several states,25 as provided in the Constitution, within seven years from
the date of the submission hereof to the states by the Congress.26
AMENDMENT XXII. LIMITING PRESIDENTIAL TERMS (1951)
Section 1. Limit Placed on Tenure No person shall be elected to the office

of the president more than twice, and no person who has held the office of
president, or acted as president, for more than two years of a term to which
some other person was elected president shall be elected to the office of the
president more than once. But this article shall not apply to any person holding
the office of president when this article was proposed by the Congress, and shall not
prevent any person who may be holding the office of president, or acting as presi-
dent, during the term within which this article becomes operative from holding the
office of president or acting as president during the remainder of such term.27

it shall have been ratified as an amendment to the Constitution by the legislatures
of three-fourths of the several states within seven years from the date of its submis-
sion to the states by the Congress.28
AMENDMENT XXIII. SUFFRAGE FOR WASHINGTON,

D.C. (1961)
Section 1. D.C. Presidential Electors The district constituting [making up]

the seat of government of the United States shall appoint in such manner as
the Congress may direct:
A number of electors of president and vice president equal to the whole
number of senators and representatives in Congress to which the district
would be entitled if it were a state, but in no event more than the least popu-
lous state;29 they shall be in addition to those appointed by the states, but they
shall be considered, for the purposes of the election of president and vice pres-
24 This section allowed individual states to prohibit the use of intoxicating liquors if
they wished to.
25 This was the first amendment to be submitted by Congress for ratification by state
conventions rather than state legislatures.

29 At the present time, the District of Columbia is entitled to three electors.
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ident, to be electors appointed by a state; and they shall meet in the district
and perform such duties as provided by the Twelfth Article of amendment.30

AMENDMENT XXIV. POLL TAXES (1964)

Section 1. Poll Tax Barred The right of citizens of the United States to vote
in any primary or other election for president or vice president, for electors
for president or vice president, or for senator or representative in Congress,
shall not be denied or abridged by the United States or any state by reason of
failure to pay any poll tax or other tax.
Section 2. Enforcement Power The Congress shall have the power to

enforce this article by appropriate legislation.
AMENDMENT XXV. PRESIDENTIAL SUCCESSION

AND DISABILITY (1967)
Section 1. Elevation of Vice President In case of the removal of the presi-
dent from office or his death or resignation, the vice president shall become
president.
Section 2. Vice Presidential Vacancy Whenever there is a vacancy in the

office of the vice president, the president shall nominate a vice president who
shall take the office upon confirmation by a majority vote of both houses of
Congress.
Section 3. Temporary Disability Whenever the president transmits to the

president pro tempore of the Senate and the Speaker of the House of
Representatives his written declaration that he is unable to discharge the pow-
ers and duties of his office, and until he transmits to them a written declara-
tion to the contrary, such powers and duties shall be discharged by the vice
president as acting president.
Section 4. Other Provisions for Presidential Disability [1] Whenever the

vice president and a majority of either the principal officers of the executive
departments, or of such other body as Congress may by law provide, transmit
to the president pro tempore of the Senate and the Speaker of the House of
Representatives their written declaration that the president is unable to dis-
charge the powers and duties of his office, the vice president shall immediate-
ly assume the powers and duties of the office as acting president.
30 By providing for electors, this amendment gave residents of Washington, D.C., the
right to vote for president and vice president.
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[2] Thereafter, when the president transmits to the president pro tempore
of the Senate and the Speaker of the House of Representatives his written dec-
laration that no inability exists, he shall resume the powers and duties of his
office unless the vice president and a majority of either the principal officers
of the executive department, or of such other body as Congress may by law
provide, transmit within four days to the president pro tempore of the Senate
and the Speaker of the House of Representatives their written declaration that
the president is unable to discharge the powers and duties of his office.
Thereupon Congress shall decide the issue, assembling within 48 hours for
that purpose if not in session. If the Congress, within 21 days after receipt of
the latter written declaration, or, if Congress is not in session, within 21 days
after Congress is required to assemble, determines by two-thirds vote of both
houses that the president is unable to discharge the powers and duties of his
office, the vice president shall continue to discharge the same as acting pres-
ident; otherwise, the president shall resume the powers and duties of his
office.
AMENDMENT XXVI. VOTE FOR 18-YEAR-OLDS (1971)

Section 1. Lowering the Voting Age The right of citizens of the United
States, who are 18 years of age or older, to vote shall not be denied or abridged
by the United States or by any state on account of age.

AMENDMENT XXVII. CONGRESSIONAL PAY RAISES (1992)

No law varying the compensation for the services of the Senators and
Representatives shall take effect until an election of Representatives shall have
intervened.
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Landmark Supreme Court

Cases (1967-present)

A landmark is an event that marks a turning point. In our system of justice, a

landmark case is one that has a particularly important effect on later cases
decided by the courts. For example, you can understand why Marbury v.
Madison, decided in 1803, is considered a landmark case. (Review pages
156157.) Within the last 40 years, other landmark cases have been decided
involving such issues as abortion, capital punishment, racial and gender dis-
crimination, police methods, and public education. Twenty-one landmark
cases from 1967 to the present are summarized below.
Ake v. Oklahoma, 1985

The facts: Glen Ake murdered two people in Oklahoma. Doctors examining
him after his arrest found him to be mentally ill. But after six weeks of treat-
ment, he was diagnosed to be of sound mind. He then stood trial and was
convicted. During the time of the trial, Akes request for psychiatric help was
denied, and he was too poor to pay for such help himself.
The constitutional question: Does an indigent (poor) defendant with
a history of mental illness have the right to receive psychiatric help (paid for
by the state) while standing trial?
The decision: Yes, the trial of such a person cannot be fair unless psy-
chiatric help is provided by the state.
Bush v. Gore, 2000

The facts: Following the announcement of George W. Bush as the winner of
the 2000 presidential election, Al Gore contested the election results of the
state of Florida and requested a recount of the votes. The Florida Supreme
Court granted his request, ordering an immediate manual recount of the
votes in four of the states contested counties. One day after the Florida
Supreme Court had ordered the recount, Bush petitioned the U.S. Supreme
Court for a temporary stay, or delay, in the Florida Supreme Courts call for a
recount. The stay was granted by the Supreme Court on the grounds that
allowing the recount to go forward would violate the equal protection clause
of the Fourteenth Amendment.
The constitutional question: Did the recounts in Florida violate the
equal protection clause on the basis that in the recount the votes were being
counted according to different and unequal standards in the four counties,
potentially giving one candidate an advantage?
The decision: The Court ruled that the recount was being conducted in
an unconstitutional manner. The Florida recount was stopped and George W.
Bush was declared the winner of the presidential election.
463
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464 LANDMARK CASES
District of Columbia v. Heller, 2008

The facts: Heller, a Washington D.C., police officer, filed suit against the
District of Columbia based on the claim that its gun control laws violated his
Second Amendment right to bear arms. The gun control laws Heller chal-
lenged prohibited private citizens from owning guns. Heller argued that these
regulations interfered with the constitutional right to use a firearm for self-
defense within ones own home. The district court dismissed Hellers claim,
stating that the Second Amendment protected the right to bear arms only for
a state-supported militia, not individuals.
The constitutional question: Do the District of Columbias regulations
on the ownership and use of handguns violate the Second Amendments guar-
antee of the right to bear arms by individuals for the use of self-defense in their
homes? And does the Second Amendment really provide that guarantee?
The decision: The Court declared that the Second Amendment protects
an individuals right to bear arms, and that the District of Columbias gun-con-
trol laws were unconstitutional because they directly interfered with this right.
Edmund v. Florida, 1982

The facts: At Earl Edmunds trial for murder, it was determined that Edmund
had waited in a getaway car while his partner committed armed robbery.
In the process, Edmunds partner killed two people. Since Edmund had
assisted in the killers crime, he as well as the codefendant were sentenced to
death.
The constitutional question: Is it cruel and unusual for the death
penalty to be imposed on a person who is only an accomplice to murder?
The decision: Yes, this is a case of cruel and unusual punishment pro-
hibited by the Eighth Amendment. Therefore, Edmunds sentence was
reduced to a long prison term.
Gonzales v. Carhart, 2006

The facts: Dr. Carhart, a physician who performed late-term abortions, filed
suit against the attorney general of the United States, Alberto R. Gonzales.
Carhart challenged the enforcement of the Partial-Birth Abortion Ban Act,
which was passed by Congress in 2003. The act defined a partial-birth abor-
tion as any abortion performed after a part of the fetus was outside the body
of the mother. Carhart argued that the definition of a partial-birth abortion
was too broad and could be made to include more common abortion proce-
dures. Carhart also argued that the acts failure to make exceptions for late-
term abortions that were necessary to protect the mothers health made it
unconstitutional.
The constitutional question: Does the Partial-Birth Abortion Ban Act
infringe a womans personal liberty as protected by the Fifth Amendment of
the Constitution because it does not make a provision for cases when the
health of the mother is at risk?
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LANDMARK CASES 465
The decision: The Court allowed a new federal law that outlawed
partial-birth abortions, even if the mothers health was in jeopardy.
Grutter v. Bollinger, Gratz v. Bollinger, both 2003

The facts: In 2003, the Supreme Court considered two cases concerning
affirmative action in the state of Michigan. Jennifer Gratz and Barbara
Grutter, both white residents of Michigan with exceptional academic records,
were denied admission to the University of Michigan. The universitys admis-
sion policy openly gave preferential consideration to applicants from various
minority groups. Gratz and Grutter separately brought suit against the univer-
sity for violating the equal protection clause of the Constitution, claiming
they had been discriminated against based on their race. Gratz had applied to
the universitys undergraduate program, which automatically granted 20 percent
of the points required to gain admission to every member of an underrepre-
sented minority. Grutter had applied to the universitys law school, which
used a variety of criteria along with race to admit a diverse student body. In
both cases, the university argued that the creation of a diverse student body
was in the students and the states best interest.
The constitutional question: Does the use of racial preferences in the
admission policy of a state-funded university violate the equal protection
clause of the Fourteenth Amendment?
The decision: In the case of Gratz, the Court ruled that the universitys
admissions policy was unconstitutional because it gave an automatic prefer-
ence to minority students without other considerations. In the case of
Grutter, the Court ruled that the universitys admission policy was not uncon-
stitutional because race was a legitimate factor in the worthy cause of creat-
ing a diverse student body.
In re Gault, 1967
The facts: Gerald Gault, age 15, was a juvenile with a record of delinquency
(action that would have been considered criminal if he had been an adult).
For one offense, he was detained by police, questioned in a juvenile court,
and committed to an Arizona state industrial school (or reform school). In
court, he had not been represented by a lawyer or formally notified of the
charges against him.
The constitutional question: Does the right to due process of law, as
guaranteed by the Fourteenth Amendment, apply to juveniles as well as
adults?
The decision: Yes, juveniles are entitled to many of the same due pro-
cess rights as adults. Gaults rights under the Fourteenth Amendment were
violated.
Lawrence v. Texas, 2003

The facts: Responding to an anonymous report of a disturbance in a private
residence, police entered the home in question and found two men participat-
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466 LANDMARK CASES
ing in a sexually intimate act. The police arrested both men, who were convict-
ed on the basis of a Texas law that prohibits two individuals of the same sex
from engaging in deviate sexual intercourse. They were fined $200.
The constitutional question: Does the Texas Homosexual Conduct
law, by defining the consensual sexual activity of homosexual couples as ille-
gal but not doing so for the same activity performed by heterosexual couples,
violate the Fourteenth Amendment of the Constitution that guarantees all
individuals equal protection under the law?
The decision: The court decision overturned Texas laws prohibiting sex-
ual acts by homosexual couples.
Mississippi University for Women v. Hogan, 1982

The facts: Joseph Hogan was a man who wanted a degree in nursing. He
sought admission to the Mississippi University for Women School of Nursing,
where the students were all female. His application was turned down. Hogan
filed suit against the university, complaining that his sex was the chief reason
for being rejected.
The constitutional question: Can a state-supported university main-
tain an institution strictly for women?
The decision: No, the school of nursing must be open to men as well as
women because of the equal protection clause of the Fourteenth Amendment.
Morrison v. Olson, 1988

The facts: Alexia Morrison was a special prosecutor appointed under federal
law to investigate possible acts of wrongdoing by officials in the executive
branch. As a special prosecutor, she was independent of the authority of
the attorney general and the U.S. Justice Department. The law providing for
the appointment of special prosecutors had been enacted by Congress in
1978. President Reagan wanted Morrison to stop her investigation. He argued
that the Ethics in Government Act of 1978 was unconstitutional because
it gave Congress the power to interfer with the business of the executive
branch.
The constitutional question: Can a special prosecutor investigate
officials and programs of the executive branch as provided by the Ethics in
Government Act?
The decision: Yes, Congresss law is constitutional. As a result of the
decision, Morrison and other prosecutors continued to investigate reports of
misconduct involving members of Reagans administration.
Planned Parenthood v. Casey, 1992

The facts: A Pennsylvania law required women seeking an abortion to be
provided with certain information at least 24 hours before the abortion is per-
formed. It also required teenagers seeking an abortion to have the consent of
either one parent or a judge. Five abortion clinics in Pennsylvania challenged
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LANDMARK CASES 467
the states abortion law. They argued that the law was an unconstitutional
infringement of a womans right to privacy.
The constitutional question: Was the landmark case of Roe v. Wade
(see below) still a valid interpretation of the Constitutionor should it be
overturned?
The decision: According to the majority opinion, the essential holding
of Roe v. Wade should be retained and once again reaffirmed. On the other
hand, the Pennsylvania law restricting abortions was also declared to be valid.
Plyler v. Doe, 1982

The facts: A Texas law denied free public education to children of illegal
aliens (immigrants who enter the United States unlawfully). Lawyers brought
suit on behalf of children excluded from Texas schools.
The constitutional question: Are children of illegal immigrants pro-
tected by the equal protection clause of the Fourteenth Amendment?
The decision: Yes, they are entitled to equal protection. Therefore, the
Texas law is unconstitutional.
Rasul v. Bush, 2004

The facts: Asif Iqbal, David Hicks, and Shafiq Rasul were captured by the
United States military in Afghanistan or Pakistan during the conflict between
the United States and the Taliban in 2002. Following their capture, the men were
transferred to the Guantnamo Bay Naval Base in Cuba, where they were
detained as enemy combatants for two years without access to legal representa-
tion or knowledge of the specific charges held against them. The families of
the detainees sought a writ of habeas corpus, or wrongful imprisonment, from
the federal court based on the fact that the men were denied the full legal
protection of the Fifth Amendments due process clause. The United States gov-
ernment argued that the federal courts were not authorized to try the case
because the detainees were neither U.S. citizens nor were they being held on U.S.
territory.
The constitutional question: Do foreign prisoners held by the United
States military in Guantnamo Bay, Cuba, have the rights and protection of
due process by a United States court of law?
The decision: The Court ruled that the Guantnamo detainees had the
right to challenge their incarceration in a U.S. district court.
Roe v. Wade, 1973

The facts: A Texas law prohibited pregnant women from having abortions
unless giving birth would place the womans life in danger. A young woman
prevented by the Texas law from having an abortion claimed that the law vio-
lated her constitutional rights.
The constitutional question: Do pregnant women have a right to
protect their privacy under the U.S. Constitution?
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468 LANDMARK CASES
The decision: Yes, the Fourteenth Amendments guarantee of due

process implies a right to privacy, which was infringed by the antiabortion
law of Texas. Therefore, no state can prohibit an abortion during the first
three months of pregnancy.
Santa Fe Independent School District v. Doe, 1999

The facts: The elected student council chaplain at the Santa Fe High School
in Texas delivered a Christian prayer using the schools public address system
before each home football game. The families of two students attending the
school, one Mormon and one Catholic, challenged these public prayers as a
violation of the establishment clause of the First Amendment. The establish-
ment clause provides freedom from the state giving preference or sponsorship
to a particular religion. After allowing students to vote on whether the prayers
should be continued, the school district argued that the practice of prayer was
not in violation of the establishment clause because it was a private, not
public, student-led speech.
The constitutional question: Does the school districts policy of allow-
ing student-led prayer violate the establishment clause of the First Amendment?
The decision: The Court struck down student-led prayers in public
school functions.
Trammel v. United States, 1980

The facts: Otis Trammel was convicted of conspiring to import heroin into
the United States. As one of the witnesses at his trial, his wife gave testimony
that helped to convict him of the crime. Trammel argued that his trial was
unfair because a husband and wife should not be allowed to testify against
each other in a criminal trial.
The constitutional question: Is a trial unfair and therefore unconsti-
tutional if one spouse testifies against the other?
The decision: No, it is not unfair. Trammels conviction based partly on
his wifes testimony was proper.
United States v. Lopez, 1995

The facts: Alfonzo Lopez brought a concealed weapon into his San Antonio,
Texas, high school. He was first charged with possession of a gun on school
property by Texas authorities, but the charges were later changed to a viola-
tion of the federal Gun-Free School Zones Act, which falls under the commerce
clause. The commerce clause governs issues relating to economic activity. The
governments claim was that the possession of a firearm would lead to violent
crime, and that violent crime would harm the areas economy by keeping vis-
itors from traveling to San Antonio and disrupting the educational process.
Lopez was found guilty, and received a sentence of six months imprisonment
and two years probation.
The constitutional question: Is the Gun-Free School Zones Act uncon-
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LANDMARK CASES 469
stitutional because it is founded on the unsupported claim that the possession

of handguns negatively affects economic activity?
The decision: The Court ruled that Congress had violated the commerce
clause of the Constitution in passing the Gun-Free School Zone Act because
the possession of a gun is not an economic activity.
United States v. Nixon, 1974

The facts: In connection with a burglary at the Watergate Apartments, seven
White House officials were indicted by a federal court. The prosecutor in the
case learned that President Nixon had taped his conversations with staff
members. The prosecutor requested that the tapes be turned over to him as
evidence. Nixon refused, claiming that as president he had executive privi-
lege to prevent White House documents from being used in court.
The constitutional question: Does the president have the executive
privilege to decide whether or not to cooperate with the judicial branch?
The decision: No, the executive privilege claimed by the president was
not absolute. The tapes had to be handed over to the prosecutor.
United States v. Washington Post, 1971

The facts: The federal government had classified as top secret a military
study of the Vietnam War. The Washington Post obtained a copy of the study
and published large portions of it. The government filed suit against the
newspaper to prevent it from publishing any more of the so-called Pentagon
Papers.
The constitutional question: Does freedom of the press, as guaranteed
in the First Amendment, apply to a newspaper that published top secret
documents?
The decision: Yes, the Washington Post was acting within its constitu-
tional rights in publishing the government study.
Walz v. Tax Commission, 1970

The facts: As a taxpayer in New York City, Frederick Walz insisted that reli-
gious organizations in the city should pay taxes on their property just as he
did. He brought suit against the citys tax commission because it exempted
churches and synagogues from paying taxes. In Walzs view, this was a viola-
tion of the idea of separation of church and state.
The constitutional question: Does a tax-exempt status for religious
organizations violate the First Amendment guarantee of separation of church
and state?
The decision: No, tax exemption for churches and synagogues is a means
of ensuring the free exercise of religion.
Wyman v. James, 1971

The facts: Barbara James had received welfare payments from the state of
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470 LANDMARK CASES
New York. But she refused to permit a caseworker to visit her home, as
required by the states welfare laws. The state then cut off welfare payments.
James sued, claiming that her rights under the Fourth and Fourteenth amend-
ments had been violated.
The constitutional question: Can a state law require home visits to be
part of its procedure for administering welfare services?
The decision: Yes, New Yorks law was reasonable. Under the Fourth
Amendment, James had a right to refuse the home visits. But the state was
also entitled to cut off welfare payments as a result.
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Glossary

A
abolitionist: person committed to the cause of doing away with slavery.
administration: the officials directing the government of a country.
agency: an administrative division of the government.
ambassador: a representative of a government to another government.
amendment: a bill adding or making a change to an article of the U.S.
Constitution.
amendment process: Amendments are first proposed by Congress and
then submitted to state legislatures for their ratification. The Constitution
requires that at least two-thirds of the members of both houses of Congress
approve an amendment. Once passed in this manner, three-fourths of the
state legislatures must ratify the amendment, and once that happens, it
becomes part of the Constitution.
amnesty: absolving a large number of people from facing criminal charges.
Antifederalists: a political party/philosophy that supported states govern-
ing authority over a strong federal government in colonial America.
appellate jurisdiction: authority of a court to hear and review cases decid-
ed in a lower court.
article: rules that are defined in the U. S. Constitution governing society.
Articles of Confederation: the first constitution of the 13 colonies of the
United States of America.
attorney general: head of the Justice Department, helps the president
enforce the nations laws.
auditor: a person who goes through personal or company financial papers
to check for discrepancies.
Australian ballot: a system of voting in the United States that originated
in Australia. The state prints copies of one official ballot, the only ballot
issued to qualified voters at polling places. Voters mark their vote in private
for an office. This system is used to prevent voter fraud and intimidation.
autocracy: a political system with one ruler who makes all the decisions in
government.
B
balanced budget: when the revenues and expenditures are equal.
ballot: anything that voters mark or manipulate in order to make their
choices known on Election Day.
bicameral: separation into two lawmaking houses.
471
42389 435-514 r3sp.qxp 12/23/09 3:20 PM Page 472
472 GLOSSARY
Bill of Rights: first ten amendments to the U.S. Constitution; protection of

rights everyone is entitled to.
Bill of Rights (English): rights to which citizens and permanent residents
of a constitutional monarchy were thought to be entitled in the late 17th
century.
bill: a statute in draft before it becomes law.
board of commissioners: elected body that governs a county.
bond: type of security; promise by a government or corporation to pay back
the principal of a loan with interest.
borough: type of community in the United States, with some being small in
size and others as large as the borough of Brooklyn, New York.
boss (political): an individual who wields power from behind the scenes
and has a great deal of influence within the party.
budget: plan for spending money that balances income and expenses.
budget deficit: the amount by which spending exceeds income over a
particular period of time.
budget surplus: the amount by which income exceeds spending over a
particular period of time.
bureau: a public office of a government agency.
bureaucracy: a large organization whose work is performed at different
levels of responsibility.
C
Cabinet: a group of people who advise the president on specific matters.
capital crime: a crime for which punishment can be death.
capitalism: a system of free enterprise where anyone who wishes may start
a business to sell goods or services to the public.
caucus: political party meeting.
censure: blaming or condemning sternly.
census: count of the population (in the United States, every ten years).
challengers: candidates who seek to defeat incumbents.
charter: a legal paper incorporating a town or municipality.
checks and balances: a system in which each of the other two branches in
the government can help prevent one branch from getting too powerful.
chief executive: the head officer of the executive branch (that is, the
president).
chief justice: the head of the Supreme Court.
chief of state: the leader of a state, who conducts patriotic ceremonies and
honors citizens for outstanding service, and depending on the form of gov-
ernment, may run the state government.
42389 435-514 r3sp.qxp 12/23/09 3:20 PM Page 473
GLOSSARY 473
circuits: 13 designated areas used by the U.S. court of appeals for all of
America.
city commission: group of five members, each appointed commissioner of
some area of running a city (for example, finance commissioner).
civil disobedience: breaking the law peacefully in order to protest and draw
public attention to unjust laws and policies.
civil service: employment structure with criteria created to counteract the
use of the spoils system to make sure that people are hired on merit and not
on loyalty and support.
civil suit: an action taken in a court of law by someone who feels he or she
has been harmed or damaged by another individual or corporation.
Civil War amendments: changes made to the Constitution during or due
to the Civil War (18611865).
coattail effect: the popularity of the candidate heading a party ticket helps
to carry into office lesser candidates from the same party who appear on the
same ballot.
cold war: a state of political hostility between countries using means short
of armed warfare. In American history, refers to the relations between the
United States and the Soviet Union between the years 1945 and 1989.
commander in chief: the leader of all branches of the U.S. military, a
responsibility assigned to the president by the Constitution.
Committee of the Whole: when at least 100 members are present in the
House chamber, the committee may conduct the Houses day-to-day business.
commonwealth: a nation or state governed by its people; a republic. Some
U.S. states, such as Kentucky, Massachusetts, Pennsylvania, and Virginia refer
to themselves this way.
communism: an economic system in which the central government deter-
mines what goods and services should be produced and how they should be
distributed.
community policing: the police and citizens jointly provide police services,
responsible for reducing crime and improving the quality of life in local
neighborhoods.
comptroller: supervisor of accounting and financial reporting in an organ-
ization.
concurrent powers: powers that are held in common, or shared, by both
the states and the federal government (for example, powers to tax, borrow
money, and establish a court system).
confederate system: local governments have more power than the central
government.
conference committee: a group of lawmakers drawn from both the House
and the Senate whose goal is to resolve the differences between two versions
of a bill passed by the two houses.
42389 435-514 r3sp.qxp 12/23/09 3:20 PM Page 474
474 GLOSSARY
confirmation hearing: a hearing held by the Senate to gather information

on whether to approve or reject candidates for high federal office who are
nominated by the president.
conservative: a person who wants government involvement in social and
economic issues to be strictly limited; also, someone who favors gradual
changes in policy.
constituency: the population that an elected official is responsible to.
constitution: written rules and plan of government; highest law in a nation.
constitutional convention: a meeting of delegates to adopt a new consti-
tution or revise an existing constitution. The Philadelphia Constitutional
Convention of 1787 produced the U.S. Constitution.
consulate: official representatives of the government of one state or nation
in the territory of another.
containment: U. S. policy of keeping communism confined to certain areas
(in the cold war of the 20th century).
coroner: official chiefly responsible for investigating deaths, particularly
those happening under unknown circumstances, and determining the cause
of death.
corporate colony: colony owned by shareholders within a corporation.
council-manager system: the elected governing body (city council, city
commission, board of selectmen, or other body of at least three individuals)
responsible for establishing policy, passing local ordinances, voting appropri-
ations, and developing an overall vision for a city, town, or county.
counterintelligence: efforts made by intelligence organizations to prevent
hostile or enemy intelligence organizations from successfully gathering and
collecting intelligence against them.
county: the largest division of the state for administering state laws.
county clerk: keeps a file of legal papers and business records; also supervis-
es elections and issues licenses.
county seat: a town or city that is the administrative center of its county.
court of appeals: reviews the decisions of the district courts, either uphold-
ing or reversing them.
D
dark horse: a little-known candidate. First applied to James K. Polk of
Tennessee, who won the Democratic Partys 1844 presidential nomination
over many better-known candidates.
defendant: a person or business that is being sued or accused of wrong-
doing.
deficit: gap between expenses and receipts, when expenses are greater.
42389 435-514 r3sp.qxp 12/23/09 3:20 PM Page 475
GLOSSARY 475
delegated powers: powers given, or delegated, only to the federal govern-

ment (for example, printing money, waging war, maintaining diplomatic rela-
tions with foreign nations, and regulating commerce among the states).
democratic socialism: the active participation of the population as a whole,
and workers in particular, in the management of an economy. Contrasted
with state socialism, where nationalization and economic planning (whether
controlled by an elected government or not) are characteristic.
departments: groups created to deal with specific areas of government who
then advise the president.
dictator: an autocrat; head of a one-person national government.
dictatorship: a one-party state where political opponents and dissidents are
commonly imprisoned and even killed.
diplomacy: orderly system by which governments communicate and nego-
tiate with each other.
direct democracy: a form of democracy where the citizens themselves
make the laws of the state by direct vote or referendum.
dissent: to disagree; in the judiciary system, the formal statement of the
views of justices who disagree with the majority decision.
district: a fixed territorial division.
district courts: the trial courts of the federal court system. Within limits
set by Congress and the Constitution, the district courts have jurisdiction to
hear nearly all categories of federal cases, including both civil and criminal
matters.
divided government: one party controls the presidency while the oppos-
ing party controls one or both houses of Congress.
domestic tranquility: the condition of peace within the nation.
double jeopardy: placing someone on trial for the same crime more than
once.
draft: in a national emergency or crisis, some citizens may be ordered to
serve in the armed forces.
due process: following the laws using fair and proper procedures.
E
elastic clause: section of the Constitution that empowers Congress to pass
laws it considers necessary to govern the country properly; the necessary-
and-proper clause.
Election Day: the Tuesday after the first Monday of November in even-
numbered years, when voting takes place for federal offices (Congress,
president, and vice president).
42389 435-514 r3sp.qxp 12/23/09 3:20 PM Page 476
476 GLOSSARY
electoral college: a body of electors who formally elect the president and
vice president of the United States.
electoral system: allows voters to choose between options, often in an elec-
tion where candidates are selected for public office.
electoral vote: the voting of the members of the electoral college.
electors: members of the electoral college
embassy: a group of representatives headed by an ambassador that repre-
sents the interests of their own government or international organization
(such as the United nations) in another country; also, the residence and
offices of an ambassador.
eminent domain: the right of a government to take private property for a
public purpose.
established church: a church recognized by law as the official church of a
nation; for example, the Church of England and the Church of Scotland in
the United Kingdom. In the United States, this is forbidden by the establish-
ment clause of the First Amendment.
European Union (EU): an economic and political union of 27 member
states, located primarily in Europe. It is a single market, with a system of laws,
common trade policies, and a common currency (the euro).
exclusionary rule: a legal principle that holds that evidence collected or
analyzed in violation of the defendants constitutional rights is inadmissible
for a criminal prosecution in a court of law.
executive branch: the branch of government in charge of enforcing the
laws; often referred to simply as the president.
Executive Office of the President: the immediate staff of the president
of the United States, as well as multiple levels of support staff reporting to the
president.
exit poll: a survey of voters taken immediately after they have exited the
polling stations.
F
Federalists: an American political party in the period 1792 to 1816 that sup-
ported a strong, central national government. The party was formed by
Alexander Hamilton.
federal supremacy: the idea that federal law is supreme law, taking priori-
ty over state law in cases where laws may conflict.
federal system: political power is divided between a central, national gov-
ernment and state governments.
Fifth Amendment: established due process; mandates that no one may
be tried for a serious crime unless first indicted by a grand jury. A grand jury
decides if there is enough evidence to bring someone to trial.
42389 435-514 r3sp.qxp 12/23/09 3:20 PM Page 477
GLOSSARY 477
filibuster: unlimited debate; parliamentary tactic used to prevent a vote on

a bill, used in the U.S. Senate.
flat tax: a tax rate that is the same for every income level.
foreign intervention: involving ones country in other countries affairs
for reasons of national interest or humanitarian necessity.
foreign policy: the goals and methods of a government when dealing with
the governments of other nations.
Fourteenth Amendment: specifies that no state shall make or enforce any
law to deny any person within its jurisdiction the equal protection of the
Constitution.
freedom of speech: the right to speak on any issue without harassment by
the government, with clearly defined exceptions: perjury, making physical
threats, sexual harassment, defamation of character, inciting riots, and pro-
viding military secrets to foreign governments.
freedom of the seas: the right of all peoples of all nations to travel unmo-
lested in international waters in both war and peace.
front-runner: the leader in a race.
full-faith-and-credit clause: requires the states to respect the public acts,
records, and judicial proceedings of other states.
G
general welfare: peoples health, peace, morality, and safety.
gentrification: the movement of more affluent individuals into a lower-
income area.
gerrymander: to draw boundaries of election districts in odd shapes to give
one party an advantage.
Good Neighbor Policy: President Franklin Roosevelts policies toward the
countries of Latin America, which emphasized treating them with respect
rather than intervening in their affairs. The policy was intended to gain Latin
American support for U.S. policies in the wider world.
government: a system for managing a community or nation and the lead-
ers or lawmakers who control that system.
governor: the executive representative of a state government.
grand jury: a jury that decides whether there is enough evidence to indict
a person for a crime.
grants-in-aid: federal funds given to states for specific purposes.
Great Compromise: agreement at the Constitutional Convention in 1787
that Congress would have two houses and that membership in the House of
Representatives would be based on population and that each state would have
an equal number of senators.
42389 435-514 r3sp.qxp 12/23/09 3:20 PM Page 478
478 GLOSSARY
H
home rule: independent authority given by states to a local government.
hopper: a wooden box in the Congress in which approved bills may be
placed to be voted on. These bills may be written by members of the House
or citizens of the United States.
I
impeachment: a process to remove public officials from office for miscon-
duct.
implied powers: powers not specifically granted in the Constitution but
that Congress assumes as necessary to carry out its duties.
Inauguration Day: the day the president-elect assumes power.
income tax: government-imposed tax on money earned by individuals and
corporations.
incumbent: a politician who is currently in office and involved in an elec-
tion for that office.
independent agency: an agency that performs a specific function for the
government, but is independent of a governmental department (for example,
U.S. Postal Service, TVA).
independent candidate: a candidate who is not aligned with any major
political party.
indirect democracy: a system of government where elected officials make
the laws instead of the people themselves.
inferior courts: district courts and the courts of appeals.
initiative: the process by which citizens get a proposed law placed on the
ballot or voted on by the state legislature.
injunction: legal ruling that forbids or requires an action.
intelligence: information collected about foreign governments, terrorist
organizations, guerrilla groups, and anything believed to be relevant to the
security of the United States.
intelligence agency: agency responsible for collecting information on
threats to the country, both internal and external.
interest group: a private organization that tries to persuade public officials
to act or vote according to group members interests.
interstate commerce: trade that is carried on across state lines.
interstate compact: an agreement between two or more states.
isolationism: policy of not taking part in foreign wars.
J
Joint Chiefs of Staff: a group of leaders of the armed forces who advise the
president.
42389 435-514 r3sp.qxp 12/23/09 3:20 PM Page 479
GLOSSARY 479
joint committee: committee that is composed of members of both the

House and the Senate.
judicial activism: belief that the Supreme Court should use its judicial
power actively, often overturn harmful laws, promote justice, and expand
civil liberties and rights.
judicial branch: the courts and justice system, responsible for interpreting
the laws in the United States.
judicial restraint: belief that the Supreme Court should use its power with
extreme caution, overturning laws only in rare cases.
judicial review: power of the Supreme Court to declare unconstitutional
laws passed by the legislature and signed by the executive.
judiciary: system of courts of law.
jurisdiction: the power to interpret and apply the law; an area of authority.
L
law of succession: a 1947 law passed by Congress listing the order of com-
mand to assume the presidents duties in case of disability or death.
legislative branch: the Congress, responsible for creating laws for the
country.
legislative district: a geographical area whose population is represented by
an elected official.
liberal: a person who supports active government involvement in social and
economic issues, while protective of individual liberties; also, someone who
favors rapid changes in policy.
liberty: a concept of political philosophy that identifies the condition in
which an individual has the right to act according to his or her own will.
life tenure: holding an office for life or until the person decides to resign.
line of succession: who may become or act as president of the United
States upon the incapacity, death, resignation, or removal from office (by
impeachment and subsequent conviction) of a sitting president or a
president-elect.
lobbyist: professional who attempts to influence members of Congress on
behalf of a specific interest group or issue.
loose constructionist: characterizing those who want the words of the
Constitution to be loosely interpreted.
M
Magna Carta: written in 1215, it required King John of England to acknowl-
edge certain rights (pertaining to nobles and barons), respect certain legal pro-
cedures, and accept that his will could be bound by the law; Latin for Great
Charter.
42389 435-514 r3sp.qxp 12/23/09 3:20 PM Page 480
480 GLOSSARY
majority leader: the head of the majority party in the Senate, selected by
the senators of that party.
majority whip: in both the House and the Senate, the second highest-
ranking individual in the majority party, outranked only by the majority
leader of the Senate and the Speaker of the House. The whip controls the for-
mal decision-making process in the House or Senate.
Mayflower Compact: the first governing document of Plymouth Colony.
It was written by the Separatists, later known as the Pilgrims, who crossed the
Atlantic aboard the Mayflower seeking religious freedom.
mayor-council system: separation of a citys legislative and executive
powers between the mayor and city council.
metropolitan area: a large area containing a large population nucleus,
with surrounding areas that have a high degree of economic and social inte-
gration with the core.
metropolitan statistical area: a large urban area consisting of a city of at
least 50,000 people and a group of surrounding counties.
minority leader: the head of the minority party in the Senate.
minority whip: in both the House and the Senate, the second highest-
ranking individual in the minority party, outranked only by the majority
leader or the Speaker of the House.
Miranda rights: suspects in custody must be informed of their rights to
remain silent, to see an attorney and have one present during questioning,
and other related rights.
Monroe Doctrine: a United States policy proclaimed on December 2, 1823,
stating that further efforts by European governments to colonize land or
interfere with states in the Americas would be viewed by the United States as
acts of aggression requiring U.S. intervention.
municipal bond: a way for a city to borrow money.
municipality: a city or town of any size that is incorporated by state law
and has certain powers of self-government.
mutual defense pact: an international treaty where the signatories agree to
defend each other from attack by others.
N
nation: a people with common customs whose government has sovereign,
exclusive, and independent control over a defined territory
national debt: the money that a government owes.
National Security Agency (NSA): collects information from foreign com-
munications and protects confidential U.S. communications; part of the
Department of Defense.
National Security Council (NCS): forum for the president and his or her
advisors to consider national security and foreign policy matters.
42389 435-514 r3sp.qxp 12/23/09 3:20 PM Page 481
GLOSSARY 481
naturalization: process for immigrants to become citizens of the United

States.
neutrality: not getting involved in foreign wars.
New Jersey Plan: a proposal by William Paterson at the Constitutional
Convention in 1787, proposing a one-house Congress with each state, no
matter its size, having one vote.
Nineteenth Amendment: granted women the right to vote.
North Atlantic Treaty Organization (NATO): a military alliance estab-
lished in 1949, in which the member states agree to mutual defense in
response to an attack by any external party.
O
Office of Management and Budget: the largest Cabinet-level office with-
in the Executive Office of the President. It helps the president prepare the fed-
eral budget and supervises its administration.
Open Door Policy: in 1900, President Benjamin Harrison declared that
Chinas markets should be open to all nations, and that Chinas independ-
ence should be respected.
opinion: a formal statement by a judge or panel of judges explaining their
interpretation of a law.
ordinance: a law or decree made by any authority or authoritative body.
Organization of American States (OAS): organization of the United
States and most countries of Central and South America to promote peace
and economic development.
original jurisdiction: authority of a court to be the first to try an accused
or listen to arguments in a dispute.
P
pardon: absolves an individual of the legal penalties for any crime he or she
has committed or been convicted of.
parish: subdivision of government found only in Louisiana, similar to other
states counties.
parliamentary democracy: a system of government in which the prime
minister leads the lawmaking body, the parliament.
party caucus: a meeting of supporters or members or subgroups of a politi-
cal party or movement.
petit jury: the jury that decides the case against a defendant and determines
guilt or innocence for the crime he or she has been indicted for.
Petition of Right: English constitutional document that sets out specific
liberties that the king is prohibited from infringing.
plaintiff: an individual who files a lawsuit.
42389 435-514 r3sp.qxp 12/23/09 3:20 PM Page 482
482 GLOSSARY
plurality: the most votes for any one choice in an election, not necessarily
a majority (more than half of all votes cast).
political action committee (PAC): interest group that tries to persuade
lawmakers to act on behalf of an issue or group.
political party: an association of individuals who share, for the most part,
the same ideas, philosophies, public policy positions, and agendas and seek
to get its members elected to office.
politics: the process of deciding who gets to run the government and make
its laws.
popular vote: all the individual votes cast by the public (the electorate).
Preamble: the brief introductory statement to the U.S. Constitution.
preemptive war: waged in an attempt to defeat a hostile nation before it
strikes first.
president pro tempore: temporary president of the Senate, usually the
most senior member of the majority party; presides when the vice president
is absent.
presidential democracy: a democracy where the leader is called president.
presiding officer: whoever is presiding over the Senate during session (usu-
ally the vice president of the United States or a junior member of the major-
ity party).
press release: a written or recorded communication directed at members of
the news media to announce something newsworthy.
primary election: voters in a jurisdiction select candidates for a subse-
quent election; one way a political party nominates candidates for the
general election.
private bill: law written for the benefit of only a few people.
private property: property that is owned by individuals, a corporation, or
the government that is for their use only.
privatize: the transfer of ownership of a business, enterprise, agency, or pub-
lic service from the public sector (government) to the private sector (business
or individuals).
privilege: a special entitlement or immunity granted by a government or
other authority to a particular group.
progressive tax: those with higher incomes pay a larger percentage of their
income.
prohibited powers: powers that are explicitly forbidden, or prohibited, to
the federal government and/or the state governments.
Prohibition: in 1920, Congress passed the Eighteenth Amendment making
the manufacture or sale of alcoholic beverages illegal. (Prohibition was
repealed by the Twenty-first Amendment in 1933.)
42389 435-514 r3sp.qxp 12/23/09 3:20 PM Page 483
GLOSSARY 483
proprietary colony: a colony in which one or more private landowners

hold rights that are normally the privilege of the state.
prosecuting attorney: a lawyer who argues a criminal case against the
defendant as an official representative of the state.
prosperity: thriving conditions; ample wealth.
public bill: law that affects society as a whole.
public opinion: the collection of opinions of many different people on a
certain subject.
public property: property generally held by government entities that is
accessible to the public and for their use, such as libraries and parks.
public relations: managing the flow of information between an organiza-
tion and the public.
public works: construction or engineering projects carried out by the state
on behalf of the community.
Q
quartering of troops: private citizens providing housing for British troops
in the early 1770s in the American colonies.
R
random sample: a small group of people chosen at random to give their
opinion. Their answers should reflect those of the entire population.
ratification process: system set up for Congress to approve treaties, presi-
dential appointments, and amendments to the Constitution.
reapportionment: seats in the House of Representatives are reassigned
among the states to reflect population changes following the census.
recall: a group of citizens who are unhappy with the actions of a certain state
official and unwilling to wait until the next election circulates a petition pro-
posing that the official be voted out of office in a recall election.
red tape: delays caused by excessive complexities of regulations.
referendum: a direct vote by the people on a question of law.
regressive tax: those with lower incomes pay a higher percentage of their
income.
representative democracy: a form of government in which elected indi-
viduals represent the people.
republic: a democratic, freely elected government.
reserved powers: in the U.S. Constitution, powers that belong to the states
alone, such as regulating business within a state; protecting the health, safety, and
morals of the citizens of the state; setting laws about marriage and the family.
42389 435-514 r3sp.qxp 12/23/09 3:20 PM Page 484
484 GLOSSARY
resolution: a proposal for a change in the rules of Congress or a statement

expressing approval or disapproval of an action by the president or some
other party. A resolution is usually the act of only one house and never
becomes a law.
revenue: money collected by a government.
right to bear arms: people, individually or collectively, have a right to own
weapons.
right to privacy: right to be free of unapproved intrusion.
roll-call vote: calling out of names of the voters and recording their yeas
and nays.
royal colony: a colony administered by a royal governor and council
appointed by the British crown, though often having a representative assem-
bly elected by the people.
S
sales tax: a tax on goods and services based on a fixed percentage of the sell-
ing price.
secretary: the head of a presidential Cabinet department.
security: safety; freedom from worry.
select committees: temporary committees created to investigate special
problems.
Senate bill clerk: person responsible for introducing bills in the Senate.
seniority: method of selecting committee chairpersons based on length of
service.
separation of church and state: a political and legal doctrine that gov-
ernment and religious institutions are to be kept separate and independent
from each other.
separation of powers: government separated into branches to prevent a
single power from gaining too much control.
Shays Rebellion: intense armed uprising in central and western
Massachusetts from 1786 to 1787, by poor farmers unable to pay their state
taxes.
sheriff: a legal official with responsibility for a county.
social insurance: risks are transferred to and pooled by an organization,
often governmental, that is legally required to provide certain benefits, such
as Social Security and Medicare.
socialism: public or government ownership of property and businesses;
often a mix of capitalist free enterprise and government, or public, owner-
ship.
sovereignty: complete independence from outside control.
42389 435-514 r3sp.qxp 12/23/09 3:20 PM Page 485
GLOSSARY 485
Speaker of the House: the leader of the House of Representatives; selected

by the members of the majority party.
special election: held to fill a vacancy created when a federal, state, or local
official dies while in office or resigns before his or her term is up.
special interest group: group that seeks to influence public policy on a
specific issue.
split ticket: voting for candidates of different parties for different offices.
For example, one person may vote for a Democrat for president and a
Republican for senator.
spoils system: people who helped a person attain the presidency were
rewarded by receiving a job in the new presidents administration.
standing committee: a small group of lawmakers who evaluate bills.
state constitution: a document explaining the rights of citizens of a state
along with the states powers.
State of the State address: similar to the State of the Union address, but
delivered by the governor of a state.
State of the Union address: the presidents annual constitutionally man-
dated responsibility to speak to Congress about the nations welfare.
straight ticket: vote for all the candidates of one party on an election ballot.
strict constructionist: characterizing those who want the words of the
Constitution to be narrowly interpreted by judges.
strong-mayor system: a mayor tends to have more power than the legisla-
tive body (often called the city council).
subcommittee: smaller committee that deals with specific parts of a larger
issue.
suffrage: the right to vote.
suffragist: person working to extend the vote to women.
summit: a meeting between the heads of state of two or more countries.
summons: a legal document issued by a court or an administrative agency
of government requiring the recipient to appear before it.
superintendent of schools: person who has executive oversight of a coun-
tys educational services.
superpower: a powerful nation that has the ability to influence events
worldwide.
surplus: excess of assets over liabilities.
symbolic speech: an action that expresses an opinion or idea nonverbally.
T
tariff: duty, or tax, placed on goods manufactured outside of a nation when
they are brought into the country.
42389 435-514 r3sp.qxp 12/23/09 3:20 PM Page 486
486 GLOSSARY
tax assessor: a person who values property for taxation or insurance

purposes.
territory: a defined area (including land and water) considered to be a pos-
session of a nation or state.
third party: any party besides the Republican and Democratic parties.
Three-fifths Compromise: a compromise between Southern and Northern
states during the Philadelphia Convention of 1787 in which three-fifths of
the population of slaves would be counted for purposes of representation in
the House of Representatives.
totalitarian system: the government, usually a single dictator, takes total
control of the lives of citizens, exercising power over the government, the
armed forces, and the police to eliminate any opposition.
town meeting: direct democracy, particularly practiced in New England,
where voters in a community make laws directly.
township: a community of fewer than 10,000 people.
treaty: an agreement made by negotiation between nation-states.
U
unconstitutional: not consistent with or according to the U.S.
Constitution.
unitary government: a strong central government gives powers to local
units.
V
vice president: highest elected official after the president. He or she is the
president of the Senate and takes over the executive branch if the president
dies or is unable to perform his or her duties.
Virginia Plan: offered by James Madison at the Constitutional Convention
in 1787, that would strengthen the federal government and give larger states
more power than smaller states.
vote: a choice or opinion of a person or body of persons expressed by a bal-
lot, spoken word, or raised hands.
voter fraud: illegal ballots are cast for a candidate by any voter.
voting machine: a machine for automatically tabulating votes.
W
weak-mayor system: the mayor has appointing power for department
heads but is subject to checks by the city council, sharing both executive and
legislative duties with the council.
42389 435-514 r3sp.qxp 12/23/09 3:20 PM Page 487
GLOSSARY 487
weapons of mass destruction: nuclear, chemical, or biological weapons

that can kill large numbers of people and/or cause great damage to buildings,
natural structures, or the biosphere in general.
woman suffrage: the right of women to vote in all elections, secured in the
United States in 1920, with the Nineteenth Amendment to the Constitution.
42389 435-514 r3sp.qxp 12/23/09 3:20 PM Page 488
42389 435-514 r3sp.qxp 12/23/09 3:20 PM Page 489
Index

A American Independent Party, 395

Abbas, Mahmoud, illus 241 American International Group (AIG),
absentee ballots, 370 262
accused, rights of, 187191, illus 189, American Israel Public Affairs Committee
illus 191 (AIPAC), 405, 406
Acheson, Dean, 291 American Recovery and Reinvestment
acquittal, 155 Act (2009), 282
act of Congress, 330 American Revolution (17751783)
Adams, John events leading to, 1517
in election of 1800, 107 first battles in, 17
as Federalist, 158 amnesty, 129
judicial appointments of, 156 granting of, to draft evaders by Jimmy
Adams, John Quincy, 107 Carter, 129, 427
in election of 1824, 106 AMTRAC (National Railroad Passenger
Adams, Samuel, on Shays Rebellion, 52 Corporation), 263
Adenauer, Konrad, illus 299 Anderson, John, in election of 1980, 398
administrations, 138 Anglicanism, 179
Afghanistan, United States attack on, 289 Annapolis, Maryland, convention in, 53
African Americans Annapolis Conference (2007), illus 241
civil rights movement and, 167168 Anthony, Susan B., 88
Civil War amendments and, 86 Antifederalists, 59
voting rights for males, 368 appeal to tradition, 414
agencies, 138 appellate jurisdiction, 154, 165
Agency for International Development, arms control, 311
U.S. (AID), 264 Army, U.S. Department of, 292
Agricultural Adjustment Act, 160 Army Corps of Engineers, U.S., 251
Agriculture, U.S. Department of (USDA), Army-McCarthy hearings, 136137
248249 Arthur, Chester A.
organizational chart of, illus 273 presidency of, 272
aid to citizens in state governments, 328 succession to presidency, 118
Air Force, Department of, 292 articles, 6768
Ake v. Oklahoma, 463 Articles of Confederation (1781), 49
Alamo, illus 332 weaknesses of, 50
Alaska, 331, 345 Asia, foreign policy toward, 304
judiciary in, 154 assembly, freedom of, 185, illus 185
Albright, Madeleine, 291 Athens, direct democracy in, 31
Allende, Salvador, 73 attorney, prosecuting, 353
Al Qaeda, 310 attorney general, 244, 246
ambassadors, 300 auditors, 353
appointment of, 128 Australian ballot, 371372
defined, 128 autocracies, 2526, 38
amendments. See also specific by number
defined, 68 B
American Association of Retired Persons Baghdad, Iraq, illus 290
(AARP), 406 bail, 190
American Civil Liberties Union (ACLU), Baker, James, 381
187 balanced budget, 281282
American colonies, map 25 ballot box, 371
489
42389 435-514 r3sp.qxp 12/23/09 3:20 PM Page 490
490 INDEX
ballots Brandeis, Louis, 161, 163

absentee, 370 Braun, Carol Moseley, as senator, 206
Australian, 371372 Breckinridge, John C., in election of
defined, 371 1860, 104
long, 373 Brennan, William J., 159
short, 373 Breyer, Stephen G., 163
Bangladesh, government in, 35 Brooke, Edward, 206, illus 206
Begin, Menachem, 301, illus 301 Brown, Linda, 167
Bell, John, in election of 1860, 104 Brown v. Board of Education of Topeka, 167
Berlusconi, Silvio, illus 33 Buckley, James L., 397
Bible-reading cases, 180181 budget, 138
bicameral Congress, 207 balanced, 281282
Biden, Joseph, illus 140 Congress and, 275276
Bill of Rights, 84, 453454, See also deficits in, 279
specific amendments by number defined, 274
addition of, to Constitution, 60 preparation of, 275
background and purpose of, 177 surplus, 280
freedoms in, 192193 Bulgaria, collapse of communism in, 40
state governments and, 177178, 321 bureaucracy, 272
Supreme Court, U.S. and, 176193 Bureau of Indian Affairs (BIA), 247
Bill of Rights, English, 78, 9 Bureau of Labor Statistics, 249
bills Bureau of Land Management, 247
defined, 202 Bureau of the Census, 249
final steps for turning, into law, bureaus, 138
231232 Burger, Warren E. as chief justice, 181
kinds of, considered in Congress, Burr, Aaron, in election of 1800, 92,
222226 106, 107
private, 223 Bush, George H. W., 381
public, 223 appointments of, 71
putting into the hopper, 223 Cabinet of, 255
winning support for, 232235 in election of 1992, 108, 395396
bills of attainders, 75 experience in politics of, 110
bin Laden, Osama, 289 foreign policy under, 295, 297
birth, citizens from, 428429 granting of pardons by, 129
Black, Hugo, 180, 184, 190 judicial appointments of, 72, 162, 163
Blagojevich, Rod, 323 Persian Gulf War and, 144, illus 145
Blanco, Kathleen, 252 as vice president, 118
board of commissioners, illus 351, 351352 Bush, George W.
bonds at Annapolis Conference (2007),
defined, 279 illus 241
government, 279 budget deficit and, 281282
municipal, 355356 Cabinet of, illus 139
borough, 344345 coattail effect and, 142
Bosnia, U.S. foreign policy and, 297 creation of Homeland Security, 251
bosses, control of political parties and, education and, 257
383384 in election of 2000, 106, 108, 114, 398,
Boston, 333 410411
bottom-up theory, 408 experience in politics of, 110
Bradley, Tom, 410 foreign policy under, 290, 291, 309
Bradley Effect, 410 judicial appointments of, 130, 162, 163
Brady Campaign to Prevent Gun preemptive war and, 298
Violence, 405 presidency of, 116, 261
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INDEX 491
Bush Doctrine (2002), 309 Carter Doctrine (1980), 309

Bush v. Gore, 108, 463 caucus system, 383
business incorporation in state census, 209210, illus 209, 249
governments, 328 Centers for Disease Control and
business regulation in state Prevention (CDC), 253
governments, 328 Central Intelligence Agency (CIA), 138,
Butler, Pierce, 163 263, illus 293, 294
Byrd, Robert, 207, illus 208, 380 challengers
defined, 364
C incumbents against, 364
Cabinet, 138, 243 Charles I (king of England), 7
advisers in state governments, 324 charter, 343
of Bush, George H. W., 255 Chase, Samuel, impeachment of, 72, 155
of Bush, George W., illus 139 checks and balances
growth of, 244245, 250257 in federal government, illus 68, 6972
origins of, 244245 in state governments, 322
of president, illus 126, 126127 Cheney, Richard B., 140
of Roosevelt, Franklin Delano, 250 as president of the Senate, 213
of Washington, George, 9596, illus Chicago, 341, illus 342, 346, 347,
126, 126127, 244 348, 350
California, 332, 333 chief executive, president as, 126127
judiciary in, 154 chief of state, 133
recall election in, 374, illus 374 China
Calvert, George, founding of Maryland capitalist business practices in, 40
by, 12 communism in, 39, 40, 381
Campaign Finance Reform Act (2002), 407 Church, Frank, 73, illus 73
Camp David, 301 circuit, 164
Camp David Accords, 301, illus 301 citizens
Canada, map 5 from birth, 428429
parliament in, 33 rights and obligations of, 421424
candidates service of, on juries, paying taxes, and
competition for votes, 363368 register for draft, 424426
image of, on Internet and television, citizenship, 421429
414415 losing, 429
nominations of, in political parties, Citizenship and Immigration Services,
383385 U.S., 251
Cape Cod National Seashore civic duty, feeling of, as reason for
(Massachusetts), 247 voting, 364
capital crime, 188 civil disobedience, 423424
capitalism, 3738 Civil Rights Act (1957), 231
in 21st century, 38 Civil Rights Act (1964), 71, 185
defined, 37 civil rights movement, desegregation of
Cardozo, Benjamin, 163 schools in, 167168
card stacking, 414 civil service reform, 272
Carter, Jimmy, illus 301 civil suit, 422
creation of Department of Energy by, 256 Civil War (18611865), 35
in election of 1980, 108, 398 political parties before, 386387
experience in politics of, 110 reforms prior to, 8586
foreign policy under, 301, 307, 309 Civil War amendments, 86
granting of amnesty to draft evaders, Clay, Henry, 387
129, 427 in election of 1824, 107
presidency of, 234235 Clayton Anti-Trust Act (1914), 388
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Cleveland, Grover, in election of in Soviet Union, 39, 40

1888, 107 in Vietnam, 39
Clinton, George, as antifederalist, 59 Communist Manifesto (1848), 41
Clinton, Hillary Rodham, illus 413 community policing, 354
campaign for U.S. Senate, 129 compact, 11
in election of 2008, 112, 132, 366 comptroller, 327
Clinton, Bill concentration camps in World War II,
budget deficit and, 281 illus 27
divided government and, illus 382 Concord, 13, 17
in election of 1992, 113114, 365366, concurrent powers, 36, 75
389, 395396 concurring opinion, 166
experience in politics of, 110 confederate government, 35
foreign intervention and, 297298 Confederate States of America, 35
foreign policy under, 291, 295 confederate system, 35, 50
granting of pardons by, 129 conference committees, 231232
impeachment of, 72, 117 confirmation hearings, 159
judicial appointments of, 72, 162 Congregational church, 179
State of the Union address of, Congress, U.S., 201216, 222235.
illus 129 See also House of Representatives, U.S.;
term of office and, 116 Senate, U.S.
closed primaries, 384 bills considered by, 222226
cloture, 231 broadcasting by C-SPAN, 230, illus 230
Coast Guard, U.S., 251 budget and, 275276
coattail effect, 142 committee process, 226229
cold war, 39 demographic look at, 213
end of, 306307, 311 differences between Senate and House,
policies after World War II, 305 207212
Collin, Frank, illus 186 duties of members of, 201206
colonial assembly flaws concerning, 9192
laws of first, 910 foreign policy and, 295296
power of the purse for, 12 growth of, illus 210
colonies lawmaking powers of, 202203,
corporate, 11 223224
proprietary, 11 leaders of, 212216
royal, 11 power to
Colorados Seven Congressional Districts, confirm presidents nominees for
map 211 office, 224225
commander in chief, president as, 127 impeach and remove officials, 225
Commerce, U.S. Department of, 249 investigate public issues, 224
commission form of city government, make laws that are necessary and
348349 proper, 226
Commission on Civil Rights, U.S., 246 propose amendments, 224
commission system, 349 ratify treaties, 224
Committee of the Whole, 231 regulate foreign commerce, 226
Common Market, 307 regulate interstate commerce, 226
commonwealth, 331332 tax, 225
communism, 39, 40 president and, 69, 71, 141142
in China, 39, 40, 381 presidential veto of acts of, 128
collapse of, in Eastern Europe, 38, 40 representative function of, 203204
in Cuba, 39 salary and other benefits of, 204
defined, 39 seniority in, 215
in North Korea, 39 staff support for, 203204
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INDEX 493
State of the Union address and, 128, Consumer Product Safety Commission,
illus 129 263
terms and sessions of, 216 containment, 305
winning support for bills, 232235 conventions, 383
congressional Budget Office (CBO), copyrights, 224
275276 coroner, 353
congressional district boundaries, corporate colonies, 11
drawing of, map 211, 211212 corporate income taxes, 277
congressional oversight, 73 Cosby, William, 183
Connecticut council-manager form of government,
as corporate colony, 11 348
counties of, 350 counterintelligence, 294
consent of the governed, 1112 counties, 342
conservation, 247 government of, 350353
conservative Democrats, 391393 county clerk, 353
conservatives county courthouse, judges at, 352353
defined, 364 county seat, 342
liberals against, 364 courts of appeals, U.S., 154, illus 155,
consolidated metropolitan statistical 164165, map 165
area (CMSA), 346 court system, flaws in, 91
constituents, 203 Coverdell, Paul, 391
Constitution, U.S., illus 67, 440462 crimes
addition of Bill of Rights to, 60 capital, 188
amendment process, 84 quality-of-life, 354
articles in, 6768 criminal cases, 423
full-faith-and-credit clause in, 333 C-SPAN (Cable-Satellite Public Affairs
informal methods of changing, 9596 Network), 230, illus 230
judiciary in, 153156 Cuba, communism in, 39
loose constructionists of, 7778 Cuban missile crisis (1961), illus 143,
necessary-and-proper clause in, 74 143144, 294
organization of, 6668 Cuomo, Mario, 384
Preamble of, 1819, 67, illus 199, 440 Curran, Paul, 384
presidential powers in, 126132 Customs Service, U.S., 245
privileges-and-immunity clause in, 333 Czechoslovakia, collapse of communism
rules for ratifying, 5860 in, 40
signing, 57
strict constructionists of, 77 D
Supreme Court in interpretation of, DAmato, Alphonse, 393
156162 dark horses, 365
Constitutional Convention (1787) Davis, Gray, 323, 374, illus 374
framers at, 54 Davis, Jefferson, 387
Great Compromise at, illus 56, 5657 Dayton, Ohio, 297
issues debated at, 53 Dean, Howard, 137
New Jersey Plan at, 55 Dean, John, 228, illus 228
Virginia Plan at, 55 death penalty, 190191, illus 191
Constitutional Union Party, 107 Debs, Eugene V., 129
in election of 1860, 104, map 105 debt, national, 280
constitutions Declaration of Independence (1776), 49,
defined, 8 435439
state, 321 liberty in, 1517
consulates, 301 signing of, illus 17
consuls, 301 Declaration of Sentiments, 8586
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defamation of character, 181 draft, 426427

defendant, 422 granting of amnesty to evaders of, in
defense, secretary of, 292 Vietnam War, 129, 427
Defense, U.S. Department of, 251, 253 registration for, 424426
defensive alliances around the world, Drug Enforcement Agency (DEA), 246
305306 due process
deficits, economic effects of, 280281 defined, 18
de Gaulle, Charles, illus 299 in Fifth Amendment, 189
Delaware in Fourteenth Amendment, 178
as proprietary colony, 11
ratification of Constitution by, 59 E
delegated powers, 36, 7374 Eastern Europe
delegation, 50 abandonment of communism, 38
democracy communism in, 39
direct, 31 revolution in, 306
indirect, 3233 East Germany, collapse of communism
parliamentary, 33 in, 40
presidential, 33 economic interdependence, 311
Democratic-Republican Party, founding economic systems, 37
of, by Jefferson, 386 capitalism in, 3738
democratic socialism, 42 communism in, 38, 39, 40, 381
Democrats socialism in, 42
conservative, 391393 Edison, Thomas Alva, 37, illus 38
differences between Republicans and, Edmund v. Florida, 464
386391 Education, U.S. Department of, 253, 257
in election of 1860, 104, map 105 education in state governments,
Derwinski, Edward J., 255 327328
Deukmejian, George, 410 Edwards, John, in election of 2008, 366
Dewey, Thomas E., in election of 1948, Edwards v. South Carolina, 185
108, 410 18-year-olds, suffrage for, 90
dictator, 2526 Eighteenth Amendment, 94
Dingell, John, 207 repeal of, 9495
diplomacy, use of, in settling disputes, Eighth Amendment, 190191, illus 191
299302 Eisenhower, Dwight D., illus 133
direct democracy, 31 coattail effect and, 142
dissenting opinion, 166 in election of 1952, illus 111, 113
district courts, 154 foreign policy under, 308
District of Columbia gun control law, 192 judicial appointments of, 159
District of Columbia v. Heller, 192, 464 policies of, 365
districts, legislative, 322 presidency of, 140
divided government, 382 as Republican, 389
Dole, Robert, divided government and, televised speeches of, 136
illus 382 term of office and, 93, 116
Domenici, Pete, 232, 233234 as world leader, 142143
domestic policy in World War II, 110
bureaucracy and the budget, 270282 Eisenhower Doctrine (1957), 308
Cabinet departments and independent elastic clause, 74, 226
agencies, 243264 election(s), 112, illus 112
domestic tranquility, 18 of 1800, 92, 106, 107
double jeopardy, 188 of 1824, 106, 107
Douglas, Stephen, in election of 1860, 104 of 1860, 104, map 105, 107, 210, 386
Douglass, Frederick, 8586, 87, illus 87 of 1876, 107
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INDEX 495
of 1888, 107 established churches, 179

of 1912, 107 establishment clause, 181
of 1932, 108, 381382 estate tax, 277, 426
of 1936, 92, illus 372 ethnic cleansing, 297
of 1940, 92, 107 Europe, foreign policy toward, 302303
of 1944, 92 European Community (EC), 307
of 1948, 108, 410, illus 411 European Recovery Program, 291
of 1952, illus 111, 113 European Union (EU), 40, 307
of 1960, 131 evidence rules of trials, 426
of 1968, 108, 113, map 394 exclusionary rule, 188
of 1972, 105, 206 executive branch, 69, 125. See also
of 1980, 108 presidents
of 1988, 132, 381 growth of, 127
of 1992, 108, 113114, 365366, 389, Executive Office of the President, 138139
395396
of 2000, 106, 108, map 108, 114, 132, F
398, 410411 factions in Supreme Court, U.S., 163
of 2008, 109, map 109, 112, 132, illus Fairness Doctrine, 262
343, 366367 Fannie Mae, 262
goal of winning, 381382 Farm Credit Administration, 264
special, 374 farm subsidies, 248249
in state governments, 329 Federal Aviation Administration (FAA),
Election Day, 115 256
electoral college, 77, 103106 federal budget, 274276
criticisms of, 106 balance of, 277
flaw in, 92 federal bureaucracy, organization of,
electoral votes, 103 272274
electors, 77 Federal Bureau of Investigation (FBI),
predicting vote of, 105 138, 246
Eleventh Amendment, 91 Federal Communications Commission
Ellsberg, Daniel, 183184 (FCC), 261, 262
Embargo Act, 294 federal courts, jurisdiction of, 154
embassies, 300 Federal Deposit Insurance Corporation
Emergency Economic Stabilization Act (FDIC), 262, 264
(2008), 282 Federal Election Campaign Act (1971),
eminent domain, 189, illus 189 407
endangered species, protection of, 247 Federal Emergency Management Agency
Energy, U.S. Department of (DOE), (FEMA), 251
256257 federal government, 35
Engel v. Vitale, 180 employees of, 270272
Engels, Friedrich, 41 powers denied to, 75
England, Parliament in, 12 Federal Highway Administration (FHA),
Engraving and Printing, Bureau of, 245 256
enumerated powers, 7374 Federalist Papers, 59, 151
Environmental Protection Agency, U.S. Federalists, 5859, 158, 386387
(EPA), 259 founding of, by Hamilton, 386
Equal Employment Opportunity Supreme Court and, 158
Commission (EEOC), 263 federal judges, 154
Ervin, Sam, 228 lifetime appointments of, 155
Escobedo, Danny, 190 nomination of, 130
Escobedo v. Illinois, 190 Federal Reserve System (Fed), 259260,
Espionage Act (1917), 129, 181182 map 260, 261
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federal supremacy, 77 toward Europe, 302303

federal system in United States, 36 toward Latin America, 303, illus 303
Federal Trade Commission (FTC), 264 use of diplomacy in setting disputes,
Ferraro, Geraldine A., illus 131, 131132 299302
Fifteenth Amendment, 86, 368 Fortuo, Luis G., illus 331
Fifth Amendment, 188189, illus 189 Fourteenth Amendment, 86, 96, 185,
due process of law in, 189 368
filibuster, 130, 231 due process clause in, 178
financial crisis, governments reply to, Fourth Amendment, 187188
261263 Franklin, Benjamin, 15
fireside chats of Franklin Roosevelt, 136 as colonial leader, 18
First Amendment, 75 Declaration of Independence (1776)
freedoms of, 178187 and, illus 15
hate and, illus 186, 186187 as Federalist, 5859
First Continental Congress, signing of fraud, voter, 372
Declaration of Independence (1776), Freddie Mac, 262
illus 17 freedom
Fish and Wildlife Service, U.S. as goal in foreign policy, 289
Department of, 247 of assembly and petition, 185187
flat tax, 278 of religion, 179181
Florida, 332 of speech, 181183
constitutions in, 326 of the press, 183184
Fong, Heather, illus 355 of the seas, 294295
Food and Drug Administration (FDA), free enterprise, 37
253254 front-runner, 365
food stamps, 249 full-faith-and-credit clause in
Ford, Gerald R. Constitution, U.S., 333
attempted assassination of, 252, Furman v. Georgia, 190191
illus 253
judicial appointments of, 163 G
pardoning of Nixon by, 129 Gallup, George, 408
presidency of, 73 Garfield, James A., assassination of, 114,
succession to presidency, 117 118, 272
foreign commerce, power of Congress to Gary, Indiana, 346
regulate, 226 General Services Administration,
foreign governments, presidential 264
influence on, 142144 general welfare, serving in state
foreign intervention, growth of, 296298 governments, 327329
foreign policy, 287312 gentrification, 354
advisers to president in, 290294 George III (king of England), 15
cold war after World War II, 305 grievances against, 16
of Congress, 295296 Georgia as royal colony, 11
defensive alliance around the world, Germany, rise of Hitler in, 2829
305306 Gerry, Elbridge, 212
future of, 310312 gerrymandering, 212
as goal in, 289 Gideon, Clarence, 190
growing intervention, 296298 Gideon v. Wainwright, 190
long-term goals in, 288289 gift tax, 277
of president, 294295 Gingrich, Newt, divided government
role of, 296 and, illus 382
short-term strategies in, 289 Ginsburg, Ruth Bader, 163
toward Asia, 304 glittering generalities, 414
42389 435-514 r3sp.qxp 12/23/09 3:20 PM Page 497
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Glorious Revolution, 8 Great Compromise, illus 56, 5657

Goldberg, Arthur, 193 Great Depression (19291941), 135
Gonzales v. Carhart, 464 beginning of, 388
Good Neighbor Policy, 303 Great Smoky Mountains National Park
Gorbachev, Mikhail, signing of (North Carolina), 247
Intermediate Nuclear Forces (INF) Great Society, 388, 392
Treaty (1988), illus 71 Green Party, 398
Gore, Albert, Jr. Gregg v. Georgia, 191
in election of 2000, 106, 108, 398, Griswold v. Connecticut, 193
410411 Grutter v. Bollinger, 465
role of, 116 Guadalupe Hidalgo, Treaty of (1848), 366
government(s) Guam, judiciary in, 154
borrowing of money by, 279282 gun control, 192, illus 192
confederate, 35
defined, 4 H
divided, 382 Haiti, 303
failure of, and Hurricane Katrina, Hamilton, Alexander
251252, illus 252 as author of Federalist No. 78, 151
federal, 35 as colonial leader, 18
goals of United States, 1819 election of 1800 and, 107
influencing, 404415 as Federalist, 59, 386
limitations on, 69 as first secretary of the treasury, illus
making more efficient, 9195 126, 126127, illus 244, 245
reasons for organizing, 6 Harding, Warren G.
receipts of, 277 death of, in office, 114
relationship between, 3435 pardoning of Debs by, 129
religious symbols on property of, Harrison, William Henry
illus 180, 181 death of, in office, 114
reply to financial crisis of 2008, 261263 as successful presidential candidate, 110
right to criticize and oppose policy of, hate, First Amendment and, illus 186,
3031 186187
unitary, 35 Hawaii, 331
government bonds, 279 counties of, 350
Government Printing Office, 229 Hayes, Rutherford B., in election of
governors powers in state governments, 1876, 107
323324 Health and Human Service, U.S.
Grand Canyon, 422 Department of, 253
grandfather clause, 369 Public Health Service of, 253
grand jury, 188, 424 Henry, Patrick, illus 13, 1314
Grant, Ulysses S., 110 as Antifederalist, 59
grants-in-aid, 329 Hitler, Adolf, 2627
grassroots approach, 406 rise to power, illus 28, 2829
Gratz v. Bollinger, 465 Holland, religious freedom in, 1213
Great Britain, 78, 9 Holland Tunnel, illus 334
Bill of Rights in, 78, 9 Holmes, Oliver Wendell, Jr., 182,
break of American colonies from, 25 illus 182
Glorious Revolution in, 8 Homeland Security, U.S. Department of,
indirect democracy in, 32 251, 253
Magna Carta in, 7, illus 7, 8, 9 home rule, 346
Parliament in, 32 Honolulu, 350
path to independence from, 911 Hoover, Herbert, illus 93, 108
Petition of Rights in, 7, 9 presidency of, 92
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hopper, 223 power of Congress in, 72, 225

Hospers, John, in election of 1972, 105 of president, 117
House of Burgesses, 910, illus 10, 12 implied powers, 74
House of Commons, 34 Inauguration Day, 116
in Parliament, 32 income taxes, 91
House of Lords in Parliament, 32 corporate, 277
House of Representatives, U.S. See also incumbents
Congress, U.S. against challengers, 364
apportionment of seats in, map 209, defined, 364
209211 indemnity bond, 186
Budget Committee of, 275 Independence Hall, illus 47, 53
Committee on Un-American Activities independent agencies, 258264
(HUAC), 228 independent candidates, influence of
difference from Senate, U.S. and, third parties and, 397398
207212 indict, 424
impeachment and, 72 indirect democracy, 3233
Judiciary Committee of, 117 informational approach, 406
majority leader of, 215 initiative, 373
minority leader in, 215 injunction, 422
power in, 133 An Inquiry into the Nature and Causes of
qualifications of, 76 the Wealth of Nations (Smith), 40
representation in, 208 In re Gault, 465
role of, in election of president, 105106 insurance, social, 42
Speaker of the House in, 214 intelligence agencies, 293294
steps for turning bills into laws, 231 interest groups, 203
voting by rollcall in, 203 Interior, U.S. Department of, 246247
Housing and Urban Development Intermediate Nuclear Forces (INF) Treaty
(HUD), U.S. Department of, 253, (1988), 295
255256 Internal Revenue Service (IRS), 245
Community Renewal of, 255 Internet
New Markets Initiative of, 255 in attracting campaign donations, 137
Houston, 333 candidates, image on, 414415
Huckabee, Mike, in election of 2008, interstate commerce, power of Congress
366367 to regulate, 226
Hughes, Charles Evans, as chief justice, interstate compact, 333
163 interstate competition in Constitution,
Hughes, Sarah T., illus 114 U.S., 333
Humphrey, Hubert H., 395 Iran-contra affair, 129
Hurricane Katrina, 251252 Iraq War, 298
Hussein, Saddam, 144 isolationism, 303
weapons of mass destruction (WMDs) Israel, parliament in, 33
and, 309 issue ads, 407
I J
immigrants, becoming naturalized Jackson, Andrew, 365
citizens, 427429 in election of 1824, 106, 107
impeachment, 72 presidency of, 110, 387
of Chase, Samuel, 155 spoils system and, illus 271, 271272
of Clinton, Bill, 72, 117 Jackson, Jesse, in election of 1988, 132
of Johnson, Andrew, 72, 117, illus 118 James II (king of England), 8
of Nixon, Richard M., 72, 117, 129 Jamestown, laws of, 910, illus 10
of Pickering, John, 72 Japan, parliament in, 33
42389 435-514 r3sp.qxp 12/23/09 3:20 PM Page 499
INDEX 499
Javits, Jacob K., illus 392, 392393 juries

Jay, John grand, 188
as chief justice, 156 kinds of, 424426
as Federalist, 59 serving on, 425426
Jefferson, Thomas, 72, illus 179 jurisdiction
as author of Declaration of appellate, 154, 165
Independence (1776), illus 15, 1517 defined, 154
Democratic-Republican Party of, 158, of federal courts, 154
386, 389 original, 154, 165
in election of 1800, 92, 106, 107 of state courts, 154
foreign policy under, 294 of Supreme Court, U.S., 155
freedom of religion and, 179180 Justice, U.S. Department of (DOJ), 246
judiciary and, 156 Antitrust Division of, 246
as president, 383 Tax Division of, 246
as secretary of state, 126, illus 126, 127
on Shays Rebellion, 52 K
Jeffords, James M., 213 Kankakee, Illinois, 346
John (king of England), 67, illus 7 Kean, Tom, 323
Johnson, Andrew, impeachment of, 72, Kefauver, Estes, in election of 1952, 113
117, illus 118 Kelo v. City of New London, 189
Johnson, Lyndon Baines, illus 69 Kennedy, Anthony, 163
civil rights movement and, 71 Kennedy, John F.
coattail effect and, 142 assassination of, 93, 114, illus 114, 228
in election of 1968, 113 Cuban missile crisis and, illus 143,
experience in politics of, 110 143144
foreign policy under, 308 debate between Richard Nixon and,
Great Society initiatives by, 388, 392 illus 136, 137
oath of office for, illus 114 as Democrat, 389
Pentagon Papers and, 183184 in election of 1960, 131
succession to presidency, 9394 experience in politics of, 110
Vietnam and, 296 foreign policy under, 294, 307
Johnson Doctrine (1965), 308 inauguration of, illus 115
Joint Chiefs of Staff, 292293 judicial appointment of, 168
Joint Committee on Printing, 229 support for, 142
Joint Committee on the Library, 229 as world leader, 142143
joint committees, 229 Kennedy, Kristie A., illus 128
Joint Economic Committee, 229 Kenosha, Wisconsin, 346
Joint Taxation Committee, 229 Keynes, John Maynard, 280281
Jonesboro, Illinois, 341342, 347 Khrushchev, Nikita S., 143
judges Kim Jong-Il, 291
at county courthouse, 352353 King, Angus, 397
election of, in state governments, 327 King, Martin Luther, Jr.
judicial activistism, 160162 assassination of, 228
judicial branch, 69, 153168, 176193 in March on Washington, 185, illus 185
in state governments, 324 Kissinger, Henry, 291
judicial circuits, 164165 Know-Nothing Party in election of 1860,
judicial restraint, 160162 104, map 105
judicial review, 157, 158 Knox, Henry, as secretary of war, 127
judiciary, 153154 Koch, Edward, 384
federal, 154 Korean War (195053), 289290, 305
Judiciary Act (1789), 72, 156 United Nations (UN) and, 289
junkets, 406 Kosovo, U.S. foreign policy and, 298
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500 INDEX
L relations with their state governments

Labor, U.S. Department of, 249 and, 345346
LaGuardia, Fiorello, illus 392, 392393 types of, 341346
lame duck, 92 Locke, John, ideas of, 8
Latin America, foreign policy toward, logrolling, 233
303, illus 303 Long, Russell, 232234, illus 233
lawmaking powers of Congress, long ballots, 373
202203, 223224 loose constructionists, 7778
Lawrence v. Texas, 162, 465 Los Angeles, 333, 348
laws, final steps for turning bills into, Louisiana Territory, 330
231232 Louis XIV (king of France), 26
League of Nations, 295 Lynch v. Donnelly, 181
Lebanon, attack on Marine barracks in,
296297 M
Lee, Henry, 52 Macmillan, Harold, illus 299
legislative districts, 322 Madison, James, 54, illus 54
legislature, 69. See also Congress, U.S.; amendment proposed by, 95
House of Representatives, U.S.; Senate, Bill of Rights and, 84, 95
U.S. as colonial leader, 18
unicameral, 322, 325 as Federalist, 59
Lehman Brothers, 262 in framing of the Constitution at
Lehrman, Lewis, 384 Constitutional Convention, 54
Lexington, Battle of (1775), 13, 17 Great Compromise and, 56
libel, 183 as representative, 60
liberal Republicans, 391393 Virginia Plan of, 55
liberals Magna Carta, 7, illus 7, 8, 9
against conservatives, 364 majority leader
defined, 364 of the House, 215
liberty, 19 of the Senate, 215
Liberty Bell, illus 47 majority whip, 215
licensing in state governments, 328 Malvo, Lee, illus 191
Lieberman, Joseph, in election of 2000, Management and Budget, Office of
132 (OMB), 139, 275
Lincoln, Abraham, 387 Mao Tse-tung, 26
assassination of, 114 Mapp v. Ohio, 188
election of, in 1860, 104, 107, 210, 386 Marbury, William, 156157
leadership of, 134 Marbury v. Madison, 72, 156157
as Republican, 389 March on Washington, King, Martin
stand on slavery, 87 Luther, Jr., in, 185, illus 185
Lincoln Memorial, illus 248 Marshall, John, 162
literacy test, 369 as chief justice, 151, 156158, illus 157
lobbyists, 203 politics of, 158159
laws regulating, 407 Marshall, Thurgood
methods of, 405406 appointment by Kennedy, John F. of, 168
role of, 405 desegregation of public schools and,
local governments, 341356 167168, illus 168
counties in, 350353 Marx, Karl, 41, illus 41
metropolitan areas in, 354356 Maryland
municipalities of, 346347 founding of, 12
number of, in United States in 2002, as proprietary colony, 11
illus 343 religious toleration in, 12, 13
problems of overlapping functions, 345 Massachusetts, 330, 332333
42389 435-514 r3sp.qxp 12/23/09 3:20 PM Page 501
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ratification of Constitution by, 60 municipal bonds, 355356

as royal colony, 11 municipalities, 342
Massachusetts Bay Colony, 11 government of, 346347
Mayflower Compact, 1011, illus 11 mutual defense pacts, 305306
mayor-council system, 347, 350
McCain, John, illus 343 N
in election of 2000, 114 Nader, Ralph, illus 397
in election of 2008, 366, 367 in election of 2000, 398
McCarthy, Eugene, in election of 1968, 113 Nagin, Ray, 252
McCarthy, Joseph, 136137, 291 name-calling, 414
McCulloch v. Maryland, 7778 name recognition of presidential
McGovern, George, in election of 1972, candidate, 110
206 Nast, Thomas, 389
McKinley, William, assassination of, 114 cartoon of, illus 390
McNamara, Robert, 294 nation, 5
McReynolds, James Clark, 163 National Aeronautics and Space
media Administration (NASA), 264
interviews by, 412 National Archives, 264
role of, in shaping U.S. politics, illus national debt, 280
136, 136137 National Foundation on the Arts and
Medicaid, 255 Humanities, 264
Medicare, 254 National Guard, 323
metropolitan areas, 346, 354356 National Labor Relations Board (NLRB),
metropolitan statistical areas (MSAs), 346 264
Miami, 333 National Organization for Women
military secrets, providing, to foreign (NOW), 405
governments, 181 National Park Service, 247
Miller, Zell, 391392, illus 392 National Recovery Act, 160
Miller v. California, 184 National Rifle Association (NRA), 405, 406
minority leader, 215 national sales tax, 278
in the House, 215 National Security Act (1947), 251, 292,
in the Senate, 215 293, 294
minority whip, 215 National Security Agency (NSA), 294
Mint, U.S., 245 National Security Council (NSC), 293
Minutemen, 17 National Socialist German Workers
Miranda, Ernesto, 188 Party (Nazi Party), 2829
Miranda rights, 189 National Socialist Party of America, 186
Miranda v. Arizona, 188189 National Taxpayers Union, 405
Mississippi University for Women v. Hogan, National Transportation Safety Board
466 (NTSB), 260
Missouri, 330331 Native Americans, 246247
moderates, 365 naturalization, 427
Monroe, James, foreign policy under, Naturalization Act (1790), 429
303, 307 natural rights, 8
Monroe Doctrine (1823), 303, 307 Navy, Department of, 251, 292
Roosevelt Corollary (1904) to, 307 Nebraskas unicameral legislature, 322, 325
Monroe, Lilla Day, 88, illus 88 necessary-and-proper clause, 74, 7778
Montesquieu, Baron de (Charles-Louis de neutrality, 302303
Secondat), 69 New Deal program, 388
need for separation of powers and, 70 New Hampshire
Morris, Gouverneur, 54 primary in, 112114, illus 113
Morrison v. Olson, 466 as royal colony, 11
42389 435-514 r3sp.qxp 12/23/09 3:20 PM Page 502
502 INDEX
New Jersey, 333 experience in politics of, 110

ratification of Constitution by, 59 presidency of, 262
as royal colony, 11 as senator, 206
New Jersey Plan, 55 Obama, Malia, illus 367
New York, 330, 333 Obama, Michelle, illus 367
constitutions in, 327 Obama, Sasha, illus 367
judiciary in, 154 obscenity, 184
as royal colony, 11 Occupational Outlook Handbook, 249
New York City, 333, 348, 350 Occupational Safety and Health
boroughs in, 345 Administration (OSHA), 249
New York Times Co. v. United States, 184 Office of Management and Budget, 139
Nicaragua, 303 Ohio State Capitol in Columbus, illus 319
Nineteenth Amendment, 369 oligarchies, 38
campaign for, 8788 Olmert, Prime Minister, illus 241
Ninth Amendment, 193 ONeill, Thomas P. Tip, 234
Nixon, Richard M. one-issue parties, 396397
debate between Kennedy, John, and, Open Door Policy, 304
illus 136, 137 open primaries, 380, 384385
in election of 1972, 105, 206 opinion
establishment of Environmental concurring, 166
Protection Agency, U.S. (EPA) by, 259 dissenting, 166
experience in politics of, 110 opinion poll, questions in, 409
foreign policy under, 291, 296, 308309 order as reason for organizing
impeachment of, 72, 117, 129 government, 6
judicial appointments of, 72, 162 ordinances, 347
pardoning of, by Gerald Ford, 129 Organization of American States (OAS),
Pentagon Papers and, 183184 306
as Republican candidate, 395 Organization of Petroleum Exporting
as vice president, 140 Countries (OPEC), 256
Vietnam and, 296 original jurisdiction, 154, 165
Watergate scandal of, 129, 228
Nixon Doctrine (1969), 308309 P
No Child Left Behind Act (NCLB) Palin, Sarah, in election of 2008, 367
(2001), 257 pardons
nominee, 383 defined, 129
nonvoting, 367368 granting, 129
Norris, George, 325, illus 325 parishes, 345
North Atlantic Treaty Organization Parliament, 12, 32, 33
(NATO), 291, 306 parliamentary democracy, 33
members of, map 306 Parliament, Houses of, illus 32
North Carolina as royal colony, 11 party bosses, 380
Northern Mariana Islands, judiciary in, 154 party caucuses, 215216
North Korea, communism in, 39 patents, 224
North Star (newspaper), 87 Paterson, David, illus 323
nuclear energy, 256257 Paterson, William, 55
Nuclear Regulatory Commission (NRC), patronage jobs, 381
264 Paulson, Henry M., Jr., 262
Peace Corps, 264
O Pearl Harbor, 289, 310, illus 310
Obama, Barack, 323, illus 367 Japanese attack on, 304, 388
in election of 2008, 109, 112, 132, Pelosi, Nancy, as Speaker of the House,
illus 132, 366, 367 213, illus 214
42389 435-514 r3sp.qxp 12/23/09 3:20 PM Page 503
INDEX 503
Pennsylvania right to join, 30

as haven for Quakers, 12 since 1930s, 388389
as proprietary colony, 11 support of, for presidential candidate,
ratification of Constitution by, 59 111
Pentagon Papers, 183184 traditions in, 389
Peoples Republic of China, 29 political systems, types of, 2527
Percy, Charles, 234 politicians, methods of influencing
perjury, 181 voters, 411415
Perkins, Frances, 250 politics
Perot, H. Ross, illus 395, 395396 defined, 5
Persian Gulf War, Bush, George H. W. experience in, 110
and, 144, illus 145 interest in, 364
personal income tax, alternatives to, of Supreme Court justices, 158159
277278 Polk, James, as dark horse, illus 365,
petition, freedom of, 185, illus 185 365366
Petition of Right (1628), 7, 9 poll tax, 369
petit jury, 424425 abolishment of, 8990
Philadelphia Constitutional Convention, popular vote, 104
issues debated at, 53 Populist Party, 398
photo-ops, 412 pork barrel projects, 234
Pickering, John, impeachment of, 72 Port Authority of New York and New
pigeonhole, 322 Jersey, 333
Pilgrims, illus 11 Postal Service, United States (USPS), 258,
Mayflower Compact and, 1011 illus 259
piracy, 224 Powell, Colin, 291
plaintiff, 422 powers
planks, 391 concurrent, 36, 75
Planned Parenthood v. Casey, 466 delegated, 36, 7374
plea, 423 enumerated, 7374
plurality, 104 implied, 74
Plyler v. Doe, 467 prohibited, 36, 75
Plymouth, settlement of, 11 of the purse, 12
Poland, collapse of communism in, 40 reserved, 36, 75
police protection in state governments, Preamble of Constitution, U.S., 67, illus 199
328329 precedent, 167
policy precincts, 383
public opinion influence on, 407409 preemptive war, rationale of, 298
special interest groups influence on, presidential appointments, 71
404407 presidential democracy, 33
political action committees (PACs), 406 president pro tempore, 116, 140
laws regulating, 407 of the Senate, 214
political history, stages in American, 386 presidents, 34. See also specific by name
political parties advisers to, on foreign policy, 290294
committees in, 385 appointment of ambassadors by, 128
conventions of, 390 Cabinet of, illus 126, 126127, 138
joining, 379380 characteristics of successful candidate
kinds of members of, 380381 for, 110112
nomination of candidates, 383385 as chief executive, 126127
one-issue, 396397 as chief of state, 133134
platforms of, 391 as commander in chief, 127
presidential influence on, 141142 Congress, U.S. and, 69, 71
reasons for having, 379382 death of, in office, 114115, 116
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504 INDEX
presidents (cont.) protection as reason for organizing

declaring amnesty by, 129 government, 6
election of, 103109 prurient interest, 184
flaws concerning, 9294 public bills, 223
foreign policy powers of, 294295 public good as reason for organizing
formal qualifications for, 131132 government, 6
granting of pardons by, 129 public issues, concern about, 364
impeachment of, 117 public opinion
inaugurating, illus 115, 115116 creation of, 408
incapacitation of, 118 defined, 407
influence on American people, 142 in foreign policy, 296
influence on Congress, 141 influence on policy, 407409
influence on foreign governments, measurement of, 408
142144 public opinion polls, 408
influence on political party, 141142 problems with, 410411
leadership skills of, 133134 public property, 422
line of succession, 116, illus 117 public relations, 412413
in negotiating treaties, 128 common techniques in, 413415
nomination of federal judges by, 130 public schools, 354356
in policy setting, 137140 Marshall, Thurgood, and desegregation
qualifications of, 76 of, 167168, illus 168
selection of advisers for, 138 public works in state governments, 329
two-term limit for, 116 Puerto Rico, 331332
winning of support for policies, 141144 judiciary in, 154
presiding officer in the Senate, 214
press, freedom of, 183184, illus 184 Q
press release, 412 Quakers, Pennsylvania as haven for, 12
primaries quality-of-life crimes, 354
defined, 384 Quartering Act (1774), 192193
kinds of, 384385 quartering of troops, 193
in New Hampshire, 112114, illus 113 quorum, 231
open, 380
state, 112 R
primary metropolitan statistical area Randolph, Edmund, as first attorney
(PMSA), 346 general, 246
prime ministers, 33, 34 random sample, 409
privacy, right to, 193 Rankin, Jeannette, 204205, illus 205
private bills, 223 Rasul v. Bush, 467
private property, responsible use ratification, 5860
of, 422 Reagan, Ronald, illus 389
privatization, 42 attempted assassination of, 252
privilege, 6 coattail effect and, 142
privileges-and-immunity clause in in election of 1968, 108
Constitution, U.S., 333 in election of 1980, 398
profit, 37 experience in politics of, 110
progressive tax, 276277 Federal Communications Commission
prohibited powers, 36, 75 (FCC) and, 262
Prohibition, 94, illus 94 foreign policy under, 295, 296297,
property tax, 426 307, 309
proprietary colonies, 11 incapacitation of, 118
prosecuting attorney, 353 Intermediate-Range Nuclear Forces
prosecutor, 423 Treaty (1987) of, 71
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INDEX 505
judicial appointments of, 72, 162, 163 Richmond, Virginia, as capital of

presidency of, 388 Confederacy, 35
as Republican, 389 rider, 234
signing of Intermediate Nuclear Forces right, defined, 6
(INF) Treaty (1988), illus 71 riots, inciting, 181
support for, 142 Roberts, John, as chief justice, illus 162,
two-terms of office and, 116 163
Reagan Doctrine (1985), 309 Roe v. Wade, 467
reapportionment, 209 roll-call method, voting by, 202203
recall, 373374 Romania, collapse of communism in, 40
Reconstruction, 387 Romney, Mitt, in election of 2008, 366
recorder, 353 Roosevelt, Eleanor, illus 372
red tape, 273274 Roosevelt, Franklin Delano, illus 93
referendum, 373 Cabinet of, 250
Reform Party, 396 coattail effect and, 142
regressive tax, 276 Congress and, 141
Rehnquist, William, as chief justice, illus death of, in office, 114
161, 181 as Democrat, 389
Reid, Harry, illus 214 election of, by a landslide, 388
as Senate majority leader, 213 in election of 1932, 92, 381382
Reid, T. R., 232 in election of 1936, 92
religion, freedom of, 179181, in election of 1940, 92, 107
illus 180 in election of 1944, 92
religious symbols on government experience in politics of, 110
property, illus 180, 181 fireside chats of, 136
religious toleration, 1213 foreign policy under, 303, 304,
representative democracy, 3233 illus 304
representatives. See also House of judicial appointments of, 72
Representatives, U.S. leadership skills of, 135
constituencies of, 207 number of terms of, 9293
function of Congress, 203204 presidency of, 386
length of term of, 207 Quarantine Speech of, 296
power and influence of, 207 Supreme Court and, 158159, 163
rules of debate of, 208 term of office and, 116
republic(s) Roosevelt, Theodore (Teddy)
characteristics of true, 2931 in election of 1912, 107
comparison of United States with other experience in politics of, 110
free, 3134 foreign policy under, 303, 307
defined, 29 leadership skills of, 135
Republican Party presidency of, 388
differences between Democrats and, as recipient of Nobel Peace Prize,
386391 illus 134, 135
in election of 1860, 104, map 105 as Republican, 389
liberal, 391393 Roosevelt Corollary (1904), to Monroe
reserved powers, 36, 75 Doctrine, 307
resolution, 223 Roper, Elmo, 408
Rhode Island royal colonies, 11
as corporate colony, 11 runoff, 385
counties of, 350 Russia. See also Soviet Union
founding of, 12 abandonment of communism, 38
religious toleration in, 12, 13 Russo-Japanese War, 135
Rice, Condoleezza, 291292, illus 292 Rwanda, U.S. foreign policy and, 298
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506 INDEX
S length of term of, 207

Sadat, Anwar al-, 301, illus 301 power and influence of, 207
sales tax, 426 qualifications of, 76
national, 278 rules of debate of, 208
Sanders, Bernie, 397 seniority in Congress, 215
San Marino, map 5 separate but equal, 168
Santa Fe Independent School District v. Doe, separation of church and state,
468 179180
Scalia, Antonin, 163 separation of powers, 69
Schenck, Charles, 181182 Montesquieu, Baron de (Charles-Louis
Schenck v. United States, 181182 de Secondat) and, 70
school districts, 345 September 11, 2001, terrorist attacks,
school prayer, 180181 289, 290, illus 310
school vouchers, 181 Serbia, U.S. foreign policy and,
search warrant, 187188 297298
Second Amendment, 192, illus 192 Seventeenth Amendment, 89
Second Continental Congress, 15, 50 Seventh Amendment, 193
secretary, 244 severe acute respiratory syndrome
secretary of state, foreign policy and, (SARS), 310311
291292, illus 292 sexual harassment, 181
Secret Service, U.S., 251, 252, illus 253 Shanksville, Pennsylvania, 289
Securities and Exchange Commission Shays, Daniel, 51
(SEC), 261, 263 Shays Rebellion, 51, illus 51
sedition, 183 views of, 52
select committees, 228229 Washington, George, and, 51
Select Committee on Assassinations, 228 sheriff, illus 352, 353
Selective Service System, 264, 426427 Sherman, Roger, 56
Senate, U.S. See also Congress, U.S. in framing of the Constitution at
Armed Services Committee of, illus 227 Constitutional Convention, 54
Army-McCarthy hearings, 136137 Sherman Antitrust Act (1890), 135,
bill clerk of, 223 387388
Budget Committee of, 275 short ballots, 373
Committee on Canadian Relations, 228 sit-ins, 424
differences from House of Sixteenth Amendment, 92
Representatives, U.S. and, 207212 Sixth Amendment, 190
filibusters in, 130 slavery, compromise on, 57
impeachment and, 72 Small Business Administration (SBA), 264
Judiciary Committee, 130, 159, 162 Smith, Adam, illus 40, 4041
majority leader of, 215 social insurance, 42
minority leader in, 215 socialism
power in, 133 defined, 42
representation in, 208 democratic, 42
Select Committee on Presidential Social Security, 388
Campaign Activities, 228 Social Security Administration, 138,
steps for turning bills into laws, 254255
231232 soft money, 407
vice president as president pro Somalia, sending of U.S. troops to, 297,
tempore, 116 map 297
voting in, 202 Sotomayor, Sonia, illus 177
senators sound bites, 413
constituencies of, 207 Souter, David H., 163
direct election of United States, 89 South Carolina as royal colony, 11
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sovereignty State of the Union address, 128

defined, 5 state primaries, 112
state governments and, 326 states
Soviet Union powers denied to, 75
collapse of communism in, 40 powers reserved to, 75
efforts in spreading communism, 39 Stevens, John Paul, 163
reform in, 306 Stewart, Potter, 181
Speaker of the House, 214 Stone, Harlan F., 163
special districts, 345 straight ticket, 373
special elections, 374 Strategic Arms Reduction Talks (START),
special interest groups, influence on 295
policy, 404407 strict constructionists, 77
speech, 412413 strong-mayor system of largest cities,
freedom of, 181183 348
symbolic, 182183 subcommittees, 227
The Spirit of the Laws (Montesquieu), 69, 70 subprime mortgages, 261262
Spitzer, Eliot, 323 suffrage
split ticket, 373 for 18-year-olds, 90
spoils system, end of, illus 271, 271272 for African-American males, 368
staff support for Congress, 203204 for women, 8788, map 89, 369
Stalin, Joseph, illus 26, 2627 suffragists, 88
Stamp Act (1765), 13, 16 summit, 301
protest of, illus 14 summons, 422
standing committees, 226 superdelegates, 112
Stanton, Edwin, 72 superintendent of schools, 353
Stanton, Elizabeth Cady, 86, illus 86 superpower, 305
State, U.S. Department of, 300 Supreme Court, U.S., 72, 154
state constitutions, 321 activism versus restraint and, 160162
length of, 326327 Bill of Rights and, 176193
state courts, jurisdiction of, 154 under Burger, Warren, 181
state governments, 321334 decision making by, 96, 162, 164167
aid to citizens in, 328 factions in, 163
Bill of Rights and, 177178 under Hughes, Charles Evans, 163
business incorporation in, 328 in interpretation of Constitution,
business regulation in, 328 156162
Cabinet advisers in, 324, 327 under Jay, John, 156
checks and balances in, 322 jurisdiction of, 155
comparison to U.S. government, 321330 justices of, illus 177
differences between, 330334 under Marshall, John, 151, 156158,
education in, 327328 illus 157, 162
executive power in, 322, 323324 politics of justices of, 158159
judicial branch in, 322, 324, 327 power in, 133
legislative power in, 322 under Rehnquist, William, 181
licensing in, 328 under Roberts, John, 163
police protection in, 328329 schedule of, 166
relations with local governments and, under Warren, Earl, 159, 161, 188189
345346 writing opinion of, 166167
serving general welfare in, 327329 Supreme Court, U.S., cases of
sources of revenue, 329330 Abington School District v. Schempp, 181
sovereignty and, 326 Ake v. Oklahoma, 463
state militia, 127 Brown v. Board of Education of Topeka,
State of the State address, 323 167
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508 INDEX
Supreme Court (cont.) Supreme Court, U.S., landmark cases of,

Bush v. Gore, 108, 463 463470
District of Columbia v. Heller, Supreme Court Building, illus 151
192, 464 Sutherland, George, as one of the Four
Edwards v. South Carolina, 185 Horsemen, 163
Edmund v. Florida, 464 Sweden, socialism in, 42
Engel v. Vitale, 180 symbolic speech, 182183
Escobedo v. Illinois, 190
Furman v. Georgia, 190191 T
Gideon v. Wainwright, 190 Taft, Robert, in election of 1952, 113
Gonzales v. Carhart, 464 Taft, William Howard, in election of
Gratz v. Bollinger, 465 1912, 107
Gregg v. Georgia, 191 Taft-Hartley Act (1947), 71
Grutter v. Bollinger, 465 Taliban, 289
In re Gault, 465 tariff, 142
Kelo v. City of New London, 189 tax assessor, 353
Lawrence v. Texas, 162, 465 taxes, 12
Lynch v. Donnelly, 181 corporate income, 277
Mapp v. Ohio, 188 estate, 277, 426
Marbury v. Madison, 72, 156157 flat, 278
McCulloch v. Maryland, 7778 gift, 277
Miller v. California, 184 incomes, 91
Mississippi University for Women v. kinds of, 426
Hogan, 466 national sales, 278
Morrison v. Olson, 466 power of Congress to, 225
New York Times Co. v. United progressive, 276277
States, 184 property, 426
Planned Parenthood v. Casey, 466 regressive, 276
Plyler v. Doe, 467 sales, 426
Rasul v. Bush, 467 Taylor, Maxwell, 294
Roe v. Wade, 467 Taylor, Zachary
Santa Fe Independent School District v. death of, in office, 114
Doe, 468 as successful presidential candidate,
Schenck v. United States, 181182 110
Texas v. Johnson, 182183 television
Tinker v. Des Moines Independent School candidates image on, 414415
District, 182, illus 183 Kennedy-Nixon debates on, illus 136,
Trammel v. United States, 468 137
United States v. Lopez, 468 pleasing appearance on, by presidential
United States v. Miller, 192 candidate, 110
United States v. Nixon, 469 Tennessee Valley Authority (TVA),
United States v. Washington Post, 469 258259
Walz v. Tax Commission, 469 Tenth Amendment, 193
Weeks v. United States, 187188 Tenure of Office Act (1868), 72
Wesberry v. Sanders, 211212 territories, 330
Wyman v. James, 469 Texas, 331, 332
Zelman v. Simmons-Harris, 162 181 judiciary in, 154
Supreme Court, U.S. justices Texas v. Johnson, 182183
choice of, 76 Thanksgiving turkey, pardoning of, illus
independence of, 159 130
nomination and confirmation of, 159 Third Amendment, 192193
role of chief, 159162 third parties, 393396
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INDEX 509
influence of, and independent Twenty-third Amendment, 89

candidates, 397398 two-party system, 386
Thirteenth Amendment, 86, 368 two-term limit for president, 116
Thomas, Clarence, 163 Two Treatises of Government (Locke), 8
Three-fifths Compromise, 57
Thurmond, J. Strom, illus 131, 231 U
in election of 1948, 108, 410 U-2 spy planes, 143
Tilden, Samuel J., in election of 1876, unconstitutional acts, 8
107 unemployment insurance program, 255
Tinker, John, illus 183 unicameral legislature, 322
Tinker, Mary Beth, illus 183 unitary government, 35
Tinker v. Des Moines Independent School unitary states, types of, 35
District, 182, illus 183 United Nations (UN), 289
toll, 426 Korean War and, 289
top-down theory, 408 war against Afghanistan and, 290
totalitarian systems, illus 26, 2627 United States
Tower, John, 71 comparison with other free republics,
town meetings, illus 343, 349350 3134
townships, 344 path to independence from England,
traffic enforcement, illus 4 911
Trammel v. United States, 468 role of media in shaping politics of,
Transportation, U.S. Department of illus 136, 136137
(DOT), 253, 256 United States v. Lopez, 468
treason, 429 United States v. Miller, 192
treasury, secretary of, 245 United States v. Nixon, 469
Treasury, U.S. Department of, 252, 262 United States v. Washington Post, 469
today, 245 U.S. Citizenship and Immigration
treaties, negotiating, 71, 128 Services (USCIS), 427428
trials, rules of evidence, 426 U.S. Virgin Islands, judiciary in, 154
Troubled Asset Relief Program (TARP), 262
Truman, Harry S V
cold war and, 305 Van Buren, Martin, 365366
in election of 1948, 108, 410, Van Devanter, Willis, as one of the Four
illus 411 Horsemen, 163
in election of 1952, 113 Ventura, Jesse, illus 396, 397
experience in politics of, 110 verdict, 425
foreign policy under, 289290, 291, Versailles, Treaty of, 71, 295
308 Veterans Affairs (VA), U.S. Department
presidency of, 250 of, 255
televised speeches of, 136 veto
vote of Taft-Hartley Act (1947), 71 of governor, 322
Truman Doctrine (1947), 291, 308 of president, 128
trusts, 387 vice president, 139140, illus 139140
Tsongas, Paul, in election of 2000, 114 chief function of, 116
Twelfth Amendment, 92 electing, 106
Twentieth Amendment, 92 role of, 114115
Twenty-fifth Amendment, 93, 118 Vietnam, communism in, 39
Twenty-first Amendment, 84, 95 Vietnam War (19651975), 296
Twenty-fourth Amendment, 8990 Villaraigosa, Antonio, illus 347
Twenty-second Amendment, 93, 116 Virginia Company, 10
Twenty-seventh Amendment, 95 Virginia Plan, 55
Twenty-sixth Amendment, 90 voice voting, 371
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510 INDEX
von Hindenburg, Paul, 29 presidency of, 14, 60, 84, 91, 245, 368
voter fraud, 370, 372 Shays Rebellion and, 51, 52
voter registration, 370 as successful presidential candidate,
voters 110
methods of, indicating choices, 370374 suppression of Whiskey Rebellion
politicians methods of influencing, and, 4
411415 Washington Monument, illus 1, 422
votes Watergate scandal, 72, 228, illus 229
popular, 104 Nixon and, 117, 129
role of candidates in competing for, weak-mayor system of small cities, 347
363368 weapons of mass destruction (WMDs),
voting 290, illus 298, 309
current barriers to, 369370 Weeks v. United States, 187188
early barriers to, 368369 Weimar Republic, 28
reasons for, 364 Wesberry v. Sanders, 211212
by roll-call method, 202203 Whigs, 387
split ticket, 373 in election of 1860, 104, map 105
straight ticket, 373 Whiskey Rebellion, 4
voice, 371 White House, illus 101
voting machines, illus 372, 372373 staff of, 139
voting rights, 30 Williams, Roger, 12
for 18-year-olds, 90 Wilson, James, 54
for African-American males, 368 Wilson, Woodrow
for women, 8788, map 89, 369 in election of 1912, 107
Voting Rights Act (1965), 185, 369 foreign policy under, 294295
vouchers, school, 181 incapacitation of, 118
leadership skills of, 135
W presidency of, 142
Wallace, George C., illus 394, 394395 signing of Clayton Anti-Trust Act by,
Wallace, Henry, in election of 1948, 108, 388
410 support for, 142
Walz v. Tax Commission, 469 Treaty of Versailles and, 71, 295
War, U.S. Department of, 251 World War I and, 302303
War of 1812, 289 wine-and-dine approach, 405406
war on terror, 291292 Womens Rights Convention, 85
War Powers Act (1973), 295296 woman suffrage, 8788, map 89, 369
warrant, search, 187188 workers compensation program, 255
Warren, Earl, as chief justice, 159, 161, World Trade Organization (WTO), 40
168, 188189 World War II (19391945), 135
Washington, George cold war policies after, 305
in American Revolution, 17 concentration camp in, illus 27
Cabinet of, 9596, illus 126, 126127, writ of mandamus, 156, 157
244 Wyman v. James, 469
as colonial leader, 18
at Constitutional Convention (1787), Y
illus 58 Yeltsin, Boris, 295
election of, as first president, 107, 386 YouTube, 137
Farewell Address of, 302 Yugoslavia, U.S. foreign policy and, 297
as Federalist, 5859
in framing of the Constitution at Z
Constitutional Convention, 54 Zelman v. Simmons-Harris, 162, 181
political parties and, 386 Zenger, John Peter, 183, illus 184
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Acknowledgments

Grateful acknowledgment is made to the following sources for permission to

reprint copyrighted materials. Every effort has been made to obtain permis-
sion to use previously published materials. Any errors or omissions are unin-
tentional.
Images
Unit I
1: AP Photo/Manuel Balce Ceneta 4: AP Photo/Gregory Bull 7:
Bettmann/CORBIS 8: Library of Congress (LOC)/H Garnier 10: Getty
Images/MPI 11: LOC/Ferris, Jean Leon Gerome 13: LOC/Detroit Publishing
Photograph Collection 14: LOC 15: LOC/Ferris, Jean Leon Gerome 17:
LOC/John Trumbull 26: Bettmann/CORBIS 27: Bettmann/CORBIS 28: AP
Photo 32: Ellen Moses/studiomoses.com 33: Max Rossi/Reuters/Corbis 38: AP
Photo/J. Walter Thompson 39: Pascal Le Segretain/CORBIS SYGMA 40: North
Wind Picture Archives 41: North Wind Picture Archives
Unit II
47: iStockphoto/drbueller 51: North Wind Picture Archives 54: North Wind
Picture Archives 58: LOC/Hoard Chandler Christy 69: Bettmann/CORBIS 70:
LOC/Sophus Williams 71: Courtesy of Ronald Reagan National Library 73:
Bettmann/CORBIS 74: AP Photo/Mary Altaffer 85: Lucien Aigner/CORBIS 86:
LOC/Veeder 87: LOC 88: Kansas State Historical Society 91:
iStockphoto/Christine Glade 93: Bettmann/CORBIS 94: Underwood &
Underwood/CORBIS
Unit III
101: iStockphoto/Klaas Lingbeek/Van Kranen 109: AP Photo/Marta
Lavandier 111: Maryland State Police photograph courtesy Dwight D.
Eisenhower Presidential Library 112: Cagle Cartoons/TAB. 113: Reuters/COR-
BIS 114: LBJ Library/Cecil Stoughton 115: AP Photo 118: LOC 126: Getty
Images/Three Lions 128: Getty Images/U.S. Navy Handout 129: Wally
McNamee/CORBIS 130: Mark Wilson/Pool/Getty Images North
America/CORBIS 131 (top): Bettmann/CORBIS; (bottom): Wally
McNamee/CORBIS 132: White House Press 133: National Park Service pho-
tograph courtesy Dwight D. Eisenhower Presidential Library 134: Getty
Images/Hulton Archives 136: Getty Images/Paul Schutzer 139: Getty
Images/Jim Watson 140: Getty Images 143: Bettmann/CORBIS 145: George
H. W. Bush National Library
511
42389 435-514 r3sp.qxp 12/23/09 3:20 PM Page 512
512 ACKNOWLEDGMENTS
Unit IV
151: iStockphoto/dra_schwartz 155: Art Lien 157: LOC/Brady-Handy
Collection/Sully 158: Cagle Cartoons/Monte Wolverton 160: Shawn
Thew/epa/Corbis 161: AP Photo 162: Supreme Court Archives 163: Getty
Images/Mark Wilson 168 (top): AP Photo/Marty Lederhandler; (bottom):
LOC/U.S. Supreme Court 177: AP Photo/Charles Dharapak 178: Cagle
Cartoons/R.J.Matson 179: North Wind Picture Archives 180: Cagle
Cartoons/Mike Lester 182: AP Photo 183: Bettmann/CORBIS 184: LOC 185:
AP Photo/File 186: AP Photo 189: Cagle Cartoons/John Trever 191: Reuters
192: Getty Images/Manny Ceneta
Unit V
199: iStockphoto 202: AP Photo/Jae C. Hong 205: Getty Images/Thomas D.
McAvoy 206: U.S. Senate Historical Office 208: AP Photo 209: U.S. Census
Bureau 214: Getty Images/Scott J. Ferrell 225: Cagle Cartoons/John Trever
227: Getty Images/Mark Wilson 228: Bettmann/CORBIS 229: LOC/J. C.
Suares 230: AP Photo/C-SPAN 233: Getty Images/Terry Ashe
Unit VI
241: AP Photo/Susan Walsh 244: North Wind Picture Archives 248:
REUTERS/Ron Thomas 252: REUTERS/Rick Wilking 253: AP Photo 257: AP
Photo/George Nikitin 259: Getty Images/Cohen/Ostrow 261: Cagle
Cartoons/Daryl Cagle 263: Getty Images/Mario Tama 271: LOC/Thomas Nast
278: Cagle Cartoons/Joe Heller 280: Ellen Moses/studiomoses.com 281:
Cagle Cartoons/Mike Keefe 288: AP Photo 290: Getty Images/Paula Bronstein
292: REUTERS/Lucas Jackson 293: REUTERS/Jason Reed 298: Cagle
Cartoons/Monte Wolverton 299: Bettmann/Corbis 301: Getty Images/David
Rubinger 303: LOC/Victor 304: Franklin D. Roosevelt Library 308: Cagle
Cartoon/Jeff Parker 310 (left): AP Photo/U.S. Navy File; (right): Getty
Images/Craig Allen 311: Steve Sack Cartoons
Unit VII
319: World of Stock 323: AP Photo/Seth Wenig 324: Cagle Cartoons/R.J.
Matson 325: Nebraska Historical Society 329: Cagle Cartoons/ Jeff Parker
331: Courtesy of U.S. Congress 332: iStockphoto/fotogal 334: World of Stock
342: REUTERS/Jason Reed 343: AP Photo/Ed Andrieski 344: World of Stock
347: Los Angeles County Mayors Office 351: Pinellas City Council 352: AP
Photo/Rick Bowmer 355: San Francisco Chronicle/Mike Kepka
Unit VIII
361: World of Stock 365: North Wind Picture Archives 367: AP Photo/Obama
Transition Office/Callie Shell 372: CORBIS 374: Fred Prouser/Reuters/Corbis
382: Downing Larry/CORBIS SYGMA 385: Cagle Cartoons/Jeff Parker 389:
Courtesy of Ronald Reagan National Library 390: LOC/Thomas Nast 392
42389 435-514 r3sp.qxp 12/23/09 3:20 PM Page 513
ACKNOWLEDGMENTS 513
(top): U.S. Senate Archives; (bottom): U.S. Senate Archives 394: Getty
Images/Stan Wayman 395: Reuters/CORBIS 396: AP Photo/Jim Mone 397:
AP Photo/George Nikitin 405: Cagle Cartoons/Jimmy Margulies 409: David
E. Klutho/Sports Illustrated/Getty Images 411: AP Photo/Byron Rollins 413: AP
Photo/J. Scott Applewhite 423: Corbis 425: Getty Images/Michael Kelly 428:
Getty Images/David McNew
Printed Material
Excerpt from An Autobiography of Lilla Day Monroe (unpublished manu-
script) by Lilla Day Monroe. By permission of Joanna L. Stratton. Page 88.
Excerpt from the New York Times editorial Making Votes Count; Abolish the
Electoral College, August 29, 2004. Page 121.
Excerpt from Lyndon B. Johnson: The Exercise of Power (1966) by Rowland Evans
and Robert Novak. Page 236.
Excerpt from the New York Times article Governors Are Emerging as a New
Political Elite, May 22, 1988. Page 323.
Quotation by Richard M. Daley, mayor of Chicago, in Illinois Municipal Review
(December 1996). Page 357.
Excerpt from Letter From a Birmingham Jail (April 16, 1963) by Dr. Martin
Luther King Jr. Page 431.
Excerpt from Civil Disobedience by Henry David Thoreau (1849). Page 432.
42389 435-514 r3sp.qxp 12/23/09 3:20 PM Page 514

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42389 i-xiv r2sp.

qxp 12/14/09 9:47 PM Page i

AMSCO SCHOOL PUBLICATIONS, INC.

To the memory of my mother, Elizabeth Lauckhardt Jantzen, from whom I learned

About the Author

Jacquelin Salvatto McCord Chris Totaro

Cover & Text Design: Delgado and Company

Please visit our Web site at: www.amscopub.com

When ordering this book, please specify:

ISBN: 978-1-56765-681-7 / NYC Item 56765-681-6 (Hardbound edition)

Copyright 2010 by Amsco School Publications, Inc.

Printed in the United States of America

Why Study Government?

viii WHY STUDY GOVERNMENT?

UNIT I The U.S. Government: An Overview 1

Chapter 2 The U.S. Government and Other Systems

UNIT II The U.S. Constitution 47

Chapter 4 Understanding the Constitution 66

4.3 What Procedures for Governing Are Spelled Out in the

Chapter 5 Changing the Constitution 83

UNIT III The President 101

Chapter 7 The Presidents Duties and Responsibilities 125

UNIT IV The Supreme Court 151

Chapter 9 The Supreme Court and the Bill of Rights 176

UNIT V Congress 199

Chapter 11 Lawmaking in Congress 222

UNIT VI The Making of Domestic and Foreign

Chapter 13 Domestic Policy: The Bureaucracy and the

13.3 How Are the American People Taxed? 274

Chapter 14 U.S. Foreign Policy 287

UNIT VII State and Local Government 319

Chapter 16 Comparing Local Governments 341

UNIT VIII Government and You 361

Chapter 18 Choosing a Political Party 379

Chapter 19 Influencing Government 404

Chapter 20 Citizenship: You and the Law 421

The Declaration of Independence 435

The Constitution of the United States of America 440

Landmark Supreme Court Cases 463

most important documents in American history: the Declaration of

What is government, and what is it supposed to do? What motivated the

4 UNIT I THE U.S. GOVERNMENT: AN OVERVIEW

1.1 Why Are Governments Organized?

People expect their leaders in government to take responsibility for the

Chapter 1 The Origins of the United States Government 5

Comparing Canada and San Marino

6 UNIT I THE U.S. GOVERNMENT: AN OVERVIEW

Why Are Governments Organized?

1.2 How Can the Governments Power Be

Rights and Privileges

The Defeat of Three English Kings

Chapter 1 The Origins of the United States Government 7

King John signs the Magna Carta, which

8 UNIT I THE U.S. GOVERNMENT: AN OVERVIEW

Ideas of John Locke

Government Limited by a Supreme Law

Chapter 1 The Origins of the United States Government 9

A nations constitution may be either a single written document, or it can be

1.3 How Did the United States Become

Laws of the First Colonial Assembly

10 UNIT I THE U.S. GOVERNMENT: AN OVERVIEW

Meeting of the House of Burgesses in the Virginia colony

Jamestown. It became the first permanent English settlement in North America.