We the people 12th edition

An Introduction to American Politics

We the People

121212 edition

ESSENTIALS

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wtp12e_ess_ptr_ch00_fm_i-1.indd 4 11/29/18 11:38 AM

★ BENJAMIN GINSBERG THE JOHNS HOPKINS UNIVERSITY

★ THEODORE J. LOWI LATE OF CORNELL UNIVERSITY

★ MARGARET WEIR BROWN UNIVERSITY

★ CAROLINE J. TOLBERT UNIVERSITY OF LOWA

★ ANDREA L. CAMPBELL MASSACHUSETTS INSTITUTE OF TECHNOLOGY

★ ROBERT J. SPITZER SUNY CORTLAND

An Introduction to American Politics

We the People

n W. W. NORTON & COMPANY NEW YORK LONDON

121212 edition

ESSENTIALS

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W. W. Norton & Company has been independent since its founding in 1923, when William Warder Norton and Mary D. Herter Norton first published lectures delivered at the People’s Institute, the adult education division of New York City’s Cooper Union. The firm soon expanded its program beyond the Institute, publishing books by celebrated academics from America and abroad. By mid-century, the two major pillars of Norton’s publishing program—trade books and college texts—were firmly established. In the 1950s, the Norton family transferred control of the company to its employees, and today—with a staff of four hundred and a com- parable number of trade, college, and professional titles published each year—W. W. Norton & Company stands as the largest and oldest publishing house owned wholly by its employees.

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The Library of Congress has cataloged the full edition as follows:

Library of Congress Cataloging-in-Publication Data Names: Ginsberg, Benjamin, author. Title: We the people : an introduction to American politics / Benjamin Ginsberg, The Johns Hopkins University, Theodore J. Lowi, Cornell University, Margaret Weir, Brown University, Caroline J. Tolbert, University of Iowa, Andrea L. Campbell, Massachusetts Institute of Technology. Description: Twelfth Edition. | New York : W.W. Norton & Company, [2018] | Includes bibliographical references and index. Identifiers: LCCN 2018046033 | ISBN 9780393644326 (hardcover) Subjects: LCSH: United States--Politics and government--Textbooks. Classification: LCC JK276 .G55 2018 | DDC 320.473--dc23 L C r ecord av ailable at https://lccn.loc. gov/2018046033

ISBN 978-0-393-66464-5

W. W. Norton & Company, Inc., 500 Fifth Avenue, New York, NY 10110 wwnorton.com

W. W. Norton & Company Ltd., 15 Carlisle Street, London W1D 3BS

1 2 3 4 5 6 7 8 9 0

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To: Teresa Spitzer Sandy, Cindy, and Alex Ginsberg David, Jackie, Eveline, and Ed Dowling Dave, Marcella, Logan, and Kennah Campbell

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Preface xxi Acknowledgments xxiii

PART I FOUNDATIONS

1 ★ Introduction: The Citizen and Government 2

Government 5 Different Forms of Government Are Defined by Power

and Freedom 5 Limits on Governments Encouraged Freedom 6 Expansion of Participation in America Changed the

Political Balance 7 The Goal of Politics Is Having a Say in What Happens 7

Citizenship Is Based on Political Knowledge and Participation 8

Political Efficacy Means People Can Make a Difference 9

The Identity of Americans Has Changed over Time 10 Immigration and Increasing Ethnic Diversity Have

Long Caused Intense Debate 10 Who Are Americans Today? 12

America Is Built on the Ideas of Liberty, Equality, and Democracy 16 Liberty Means Freedom 16

AMERICA SIDE BY SIDE Global Diversity 17

Equality Means Treating People Fairly 18 Democracy Means That What the People Want Matters 19

Government Affects Our Lives Every Day 20 Trust in Government Has Declined 21

American Political Culture: What Do We Want? 23 WHO PARTICIPATES? Who Voted in 2016? 25

Key Terms 28 For Further Reading 29

Contents

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2 ★ The Founding and the Constitution 30

The First Founding: Ideals, Interests, and Conflicts 33 Narrow Interests and Political Conflicts Shaped the First

Founding 34 British Taxes Hurt Colonial Economic Interests 34 Political Strife Radicalized the Colonists 35 The Declaration of Independence Explained Why the Colonists

Wanted to Break with Great Britain 36 The Articles of Confederation Created America’s First National

Government 37

The Failure of the Articles of Confederation Made the “Second Founding” Necessary 38

The Annapolis Convention Was Key to Calling a National Convention 39

Shays’s Rebellion Showed How Weak the Government Was 39 The Constitutional Convention Didn’t Start Out to Write

a New Constitution 40

The Constitution Created Both Bold Powers and Sharp Limits on Power 43

The Legislative Branch Was Designed to Be the Most Powerful 44 The Executive Branch Created a Brand New Office 46 The Judicial Branch Was a Check on Too Much Democracy 47 National Unity and Power Set the New Constitution Apart

from the Old Articles 48 The Constitution Establishes the Process for Amendment 48 The Constitution Sets Forth Rules for Its Own Ratification 48 The Constitution Limits the National Government’s Power 48

Ratification of the Constitution Was Difficult 51 Federalists and Antifederalists Fought Bitterly over the Wisdom

of the New Constitution 52

AMERICA SIDE BY SIDE Comparing Systems of Government 55

Both Federalists and Antifederalists Contributed to the Success of the New System 56

Changing the Constitution 56 Amendments: Many Are Called; Few Are Chosen 56 The Amendment Process Reflects “Higher Law” 57

The Constitution: What Do We Want? 60 WHO PARTICIPATES? Who Gained the Right to Vote through

Amendments? 61

Key Terms 64 For Further Reading 65

CONTENTS

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3 ★ Federalism 66

Federalism Shapes American Politics 69 Federalism Comes from the Constitution 69

The Definition of Federalism Has Changed Radically over Time 73

Federalism under the “Traditional System” Gave Most Powers to the States 73

The Supreme Court Paved the Way for the End of the Early Federal System 75

FDR’s New Deal Remade the Government 77 Changing Court Interpretations of Federalism Helped the

New Deal While Preserving States’ Rights 78 Cooperative Federalism Pushes States to Achieve

National Goals 80 National Standards Have Been Advanced through

Federal Programs 81

AMERICA SIDE BY SIDE Cooperative Federalism: Competition or a Check on Power? 83

New Federalism Means More State Control 85 There Is No Simple Answer to Finding the Right National–State Balance 86

Federalism: What Do We Want? 90 WHO PARTICIPATES? Who Participates in State and Local Politics? 91

Key Terms 94 For Further Reading 95

4 ★ Civil Liberties and Civil Rights 96

The Origin of the Bill of Rights Lies in Those Who Opposed the Constitution 99

The Fourteenth Amendment Nationalized the Bill of Rights through Incorporation 101

The First Amendment Guarantees Freedom of Religion, Speech, and the Press 103

Freedom of Religion 103 The First Amendment and Freedom of Speech and of the

Press Ensure the Free Exchange of Ideas 105 Political Speech Is Consistently Protected 106 Symbolic Speech, Speech Plus, Assembly, and Petition Are Highly Protected 106 Freedom of the Press Is Broad 108 Some Speech Has Only Limited Protection 109

The Second Amendment Now Protects an Individual’s Right to Own a Gun 112

Rights of the Criminally Accused Are Based on Due Process of Law 113 The Fourth Amendment Protects against Unlawful Searches and Seizures 114 The Fifth Amendment Covers Court-Related Rights 115

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The Sixth Amendment’s Right to Counsel Is Crucial for a Fair Trial 117

The Eighth Amendment Bars Cruel and Unusual Punishment 118

The Right to Privacy Means the Right to Be Left Alone 119

Civil Rights Are Protections by the Government 120 Plessy v. Ferguson Established “Separate but Equal” 121 Lawsuits to Fight for Equality Came after World War II 122 The Civil Rights Struggle Escalated after Brown v. Board

of Education 123 The Civil Rights Acts Made Equal Protection a Reality 125 Affirmative Action Attempts to Right Past Wrongs 128

The Civil Rights Struggle Was Extended to Other Disadvantaged Groups 130

Americans Have Fought Gender Discrimination 130 Latinos and Asian Americans Fight for Rights 132 Native Americans Have Sovereignty but Still Lack Rights 134

AMERICA SIDE BY SIDE Civil Liberties around the World 135

Disabled Americans Won a Great Victory in 1990 136 LGBTQ Americans 136

Civil Liberties and Civil Rights: What Do We Want? 137 WHO PARTICIPATES? Religious Affiliation and Freedom of Religion 139

Key Terms 142 For Further Reading 143

PART II POLITICS

5 ★ Public Opinion 144

Public Opinion Represents Attitudes about Politics 147 Americans Share Common Political Values 148 America’s Dominant Political Ideologies Are Liberalism

and Conservatism 149 Americans Exhibit Low Trust in Government 152

Political Socialization Shapes Public Opinion 152

Political Knowledge Is Important in Shaping Public Opinion 157

The Media and Government Mold Opinion 160 The Government Leads Public Opinion 160 Private Groups Also Shape Public Opinion 161 The News Media’s Message Affects Public Opinion 161 Government Policies Also Respond to Public Opinion 162

CONTENTS

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Measuring Public Opinion Is Crucial to Understanding What It Is 163 Public-Opinion Surveys Are Accurate If Done Properly 163

AMERICA SIDE BY SIDE Confidence in Democratic Institutions 164

Why Are Some Polls Wrong? 166

Public Opinion: What Do We Want? 169 WHO PARTICIPATES? Who Expresses Their Political Opinions? 171

Key Terms 174 For Further Reading 175

6 ★ The Media 176

Media Have Always Mattered in a Democracy 179 Journalists Are News-Gathering Professionals 179 The Profit Motive Drives the News Business 180 More Media Outlets Are Owned by Fewer

Companies 180

The Media Today 182 Newspapers Still Set the Standard for News

Reporting 183 Broadcast Media Are Still Popular 184 Radio Has Adapted to Modern Habits 185 Digital Media Have Transformed Media Habits 186 Citizen Journalism Gives People News Power 189 Concerns about Online News 190

The Media Affect Power Relations in American Politics 191 The Media Influence Public Opinion through Agenda-Setting,

Framing, and Priming 191 Leaked Information Can Come from Government Officials

or Independent Sources 193 Adversarial Journalism Has Risen in Recent Years 194 Broadcast Media Are Regulated but Not Print Media 194

AMERICA SIDE BY SIDE The Internet and Global Democracy 196

The Media: What Do We Want? 197 WHO PARTICIPATES? Civic Engagement in the Digital Age 199

Key Terms 202 For Further Reading 203

CONTENTS

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7 ★ Political Parties, Participation, and Elections 204

Parties and Elections Have Been Vital to American Politics and Government 207

Political Parties Arose from the Electoral Process 207 Parties Recruit Candidates 208 Parties Organize Nominations 208 Parties Help Get Out the Vote 209 Parties Organize Power in Congress 210

America Is One of the Few Nations with a Two-Party System 210 Parties Have Internal Disagreements 217 Electoral Realignments Define Party Systems in American

History 217 American Third Parties Sometimes Change the Major Parties

and Election Outcomes 218 Group Affiliations Are Based on Voters’ Psychological Ties

to One of the Parties 220

Political Participation Takes Both Traditional and Digital Forms 220

Voting Is the Most Important Form of Traditional Participation 220 Digital Political Participation Is Surging 221 Voter Turnout in America Is Low 223 Why Do People Vote? 224

AMERICA SIDE BY SIDE Voter Turnout in Comparison 226

Voters Decide Based on Party, Issues, and Candidate 227 Party Loyalty Is Important 227 Issues Can Shape an Election 228 Candidate Characteristics Are More Important in the Media

Age 229

The Electoral Process Has Many Levels and Rules 229 The Electoral College Still Organizes Presidential Elections 231

The 2016 and 2018 Elections 232 The 2016 Elections 232 Understanding the 2016 Results 233 The 2018 Election: A Blue Wave Meets a Red Wall 235 The 2018 Election and America’s Future 236

Money Is Critical to Campaigns 237 Campaign Funds Come from Direct Appeals, the Rich, PACs, and

Parties 237

Political Parties, Elections, and Participation: What Do We Want? 240

WHO PARTICIPATES? Who Participated in the 2016 Presidential Election? 241

Key Terms 244 For Further Reading 245

CONTENTS

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8 ★ Interest Groups 246

Interest Groups Form to Advocate for Different Interests 249

What Interests Are Represented? 250

AMERICA SIDE BY SIDE Civil Society around the World 252

Some Interests Are Not Represented 253 Group Membership Has an Upper-Class Bias 253

The Organizational Components of Groups Include Money, Offices, and Members 254

The Internet Has Changed the Way Interest Groups Foster Participation 257

The Number of Groups Has Increased in Recent Decades 258 The Expansion of Government Has Spurred the Growth of Groups 259 Public Interest Groups Grew in the 1960s and ’70s 259

Interest Groups Use Different Strategies to Gain Influence 259 Direct Lobbying Combines Education, Persuasion, and Pressure 261 Cultivating Access Means Getting the Attention of Decision Makers 262 Using the Courts (Litigation) Can Be Highly Effective 263 Mobilizing Public Opinion Brings Wider Attention to an Issue 264 Groups Often Use Electoral Politics 266

Groups and Interests: What Do We Want? 267 WHO PARTICIPATES? How Much Do Major Groups Spend? 269

Key Terms 272 For Further Reading 273

PART III INSTITUTIONS

9 ★ Congress 274

Congress Represents the American People 277 The House and Senate Offer Differences

in Representation 277 Representation Can Be Sociological or Agency 278 The Electoral Connection Hinges on Incumbency 281 Direct Patronage Means Bringing Home the Bacon 286

The Organization of Congress Is Shaped by Party 288 Party Leadership in the House and the Senate Organizes Power 289 The Committee System Is the Core of Congress 289 The Staff System Is the Power behind the Power 291

CONTENTS

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AMERICA SIDE BY SIDE Women’s Parliamentary Representation Worldwide 292

Rules of Lawmaking Explain How a Bill Becomes a Law 293 The First Step Is Committee Deliberation 293 Debate Is Less Restricted in the Senate Than in the House 295 Conference Committees Reconcile House and Senate Versions

of Legislation 296 The President’s Veto Controls the Flow of Legislation 297

Several Factors Influence How Congress Decides 297 Constituents Matter 297 Interest Groups Influence Constituents and Congress 298 Party Leaders Rely on Party Discipline 299 Partisanship Has Thwarted the Ability of Congress to Decide 303

Much Congressional Energy Goes to Tasks Other Than Lawmaking 303

Congress Oversees How Legislation Is Implemented 304 Special Senate Powers Include Advice and Consent 305 Impeachment Is the Power to Remove Top Officials 305

Congress: What Do We Want? 306 WHO PARTICIPATES? Who Elects Congress? 307

Key Terms 310 For Further Reading 313

10 ★ The Presidency 314

Presidential Power Is Rooted in the Constitution 317 Expressed Powers Come Directly from the Words

of the Constitution 318 Implied Powers Derive from Expressed Powers 323 Delegated Powers Come from Congress 324 Modern Presidents Have Claimed Inherent Powers 324

AMERICA SIDE BY SIDE Executive Branches in Comparison 325

Institutional Resources of Presidential Power Are Numerous 327

The Cabinet Is Often Distant from the President 327 The White House Staff Constitutes the President’s Eyes and

Ears 327 The Executive Office of the President Is a Visible Sign of the

Modern Strong Presidency 328 The Vice Presidency Has Become More Important since the

1970s 329 The First Spouse Has Become Important to Policy 330

CONTENTS

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Party, Popular Mobilization, and Administration Make Presidents Stronger 331

Going Public Means Trying to Whip Up the People 332 The Administrative Strategy Increases Presidential Control 334 Presidential Power Has Limits 339

The Presidency: What Do We Want? 340 WHO PARTICIPATES? Who Voted for Donald Trump in 2016? 341

Key Terms 344 For Further Reading 345

11 ★ Bureaucracy 346

Bureaucracy Exists to Improve Efficiency 349 Bureaucrats Fulfill Important Roles 349 The Size of the Federal Service Has Actually

Declined 352 The Executive Branch Is Organized Hierarchically 352

Federal Bureaucracies Promote Welfare and Security 355

Federal Bureaucracies Promote Public Well-Being 356

AMERICA SIDE BY SIDE Bureaucracy in Comparison 357

Federal Agencies Provide for National Security 358 Federal Bureaucracies Help to Maintain a Strong National Economy 362

Several Forces Control Bureaucracy 363 The President as Chief Executive Can Direct Agencies 363 Congress Promotes Responsible Bureaucracy 365 Can the Bureaucracy Be Reformed? 366

Bureaucracy and Democracy: What Do We Want? 367 WHO PARTICIPATES? Waiting for a Veterans Affairs Health Care Appointment 369

Key Terms 372 For Further Reading 373

12 ★ The Federal Courts 374

The Legal System Settles Disputes 377 Court Cases Proceed under Criminal and Civil Law 377 Types of Courts Include Trial, Appellate, and Supreme 378

The Federal Courts Hear a Small Percentage of All Cases 381

The Lower Federal Courts Handle Most Cases 381 The Appellate Courts Hear 20 Percent of Lower-Court Cases 382 The Supreme Court Is the Court of Final Appeal 383 Judges Are Appointed by the President and Approved by the Senate 384

CONTENTS

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The Power of the Supreme Court Is Judicial Review 385 Judicial Review Covers Acts of Congress 386

AMERICA SIDE BY SIDE Term Limits for High Court Justices 387

Judicial Review Applies to Presidential Actions 388 Judicial Review Also Applies to State Actions 389

Most Cases Reach the Supreme Court by Appeal 390 The Solicitor General, Law Clerks, and Interest Groups Also

Influence the Flow of Cases 392 The Supreme Court’s Procedures Mean Cases May Take

Months or Years 394

Supreme Court Decisions Are Influenced by Activism and Ideology 397

The Federal Courts: What Do We Want? 400 WHO PARTICIPATES? Influencing the Supreme Court? 401

Key Terms 404 For Further Reading 405

PART IV POLICY

13 ★ Domestic Policy 406

The Tools for Making Policy Are Techniques of Control 409 Promotional Policies Get People to Do Things by Giving

Them Rewards 409 Regulatory Policies Are Rules Backed by Penalties 411 Redistributive Policies Affect Broad Classes of People 413 Should the Government Intervene in the Economy? 415

Social Policy and the Welfare System Buttress Equality 416 The History of the Government Welfare System Dates Only

to the 1930s 416 The Modern Welfare System Has Three Parts 417 Welfare Reform Has Dominated the Welfare Agenda in

Recent Years 421

The Cycle of Poverty Can Be Broken by Education, Health, and Housing Policies 423

Education Policies Provide Life Tools 423 Health Policies Mean Fewer Sick Days 425

AMERICA SIDE BY SIDE U.S. Healthcare: High Cost, Poor Outcomes 427

Housing Policies Provide Residential Stability 431

Social Policy Spending Benefits the Middle Class More Than the Poor 432

Senior Citizens Receive over a Third of All Federal Dollars 433 The Middle and Upper Classes Benefit from Social Policies 434

CONTENTS

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The Working Poor Receive Fewer Benefits 434 Spending for the Nonworking Poor Is Declining 435 Minorities, Women, and Children Are Most Likely to Face Poverty 435

Domestic Policy: What Do We Want? 437 WHO PARTICIPATES? Growing Student Debt Burden 439

Key Terms 442 For Further Reading 443

14 ★ Foreign Policy 444

Foreign Policy Goals Are Related 447 Security Is Based on Military Strength 447 Economic Prosperity Helps All Nations 451 America Seeks a More Humane World 451

AMERICA SIDE BY SIDE Building Influence through International Connections 452

American Foreign Policy Is Shaped by Government and Nongovernment Actors 453

The President Leads Foreign Policy 454 The Bureaucracy Implements and Informs Policy Decisions 455 Congress’s Legal Authority Can Be Decisive 456 Interest Groups Pressure Foreign Policy Decision Makers 457

Tools of American Foreign Policy Include Diplomacy, Force, and Money 458 Diplomacy 459 The United Nations Is the World’s Congress 459 The International Monetary Structure Helps Provide Economic Stability 460 Economic Aid Has Two Sides 460 Collective Security Is Designed to Deter War 461 Military Force Is “Politics by Other Means” 462 Soft Power Uses Persuasion 463 Arbitration Resolves Disputes 463

Current Foreign Policy Issues Facing the United States 464 A Powerful China and a Resurgent Russia 464 Nuclear Proliferation in Iran and North Korea 466 Trade Policy 467 Global Environmental Policy 467

Foreign Policy and Democracy: What Do We Want? 468 WHO PARTICIPATES? Public Opinion on Security Issues 469

Key Terms 472 For Further Reading 473

CONTENTS

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Appendix

The Declaration of Independence A1

The Articles of Confederation A5

The Constitution of the United States of America A11

Amendments to the Constitution A21

The Federalist Papers A30

The Anti-Federalist Papers A38

Presidents and Vice Presidents A45

Endnotes A49 Answer Key A81 Credits A83 Glossary/Index A85

CONTENTS

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This book has been and continues to be dedicated to dev eloping a satisfactor y response to the question more and more Americans are asking: Why should we be engaged with go vernment and politics? Through the first 11 editions, we sought to answ er this question b y making the text dir ectly relevant to the liv es of the students who would be r eading it. As a r esult, we tried to make politics inter est- ing by demonstrating that students ’ interests are at stake and that they ther efore need to take a personal, ev en selfish, interest in the outcomes of go vernment. At the same time, we realized that students needed guidance in how to become politically engaged. Beyond providing students with a core of political knowledge, we needed to show them how they could apply that knowledge as participants in the political process. The “Who Participates?” and “What You Can Do” sections in each chapter help achieve that goal.

As events from the last several years have reminded us, “what government does” inevitably raises questions about political par ticipation and political equality . The size and composition of the electorate, for example, affect who is elected to public office and what policy dir ections the go vernment will pursue. H ence, the issue of v oter ID laws became impor tant in the 2016 election, with some arguing that these laws r e- duce voter fraud and others contending that they decr ease par ticipation by poor and minority voters. Charges of Russian meddling in the 2016 election have raised questions about the integrity of the voting process. Fierce debates about the policies of the Trump administration have heightened students’ interest in politics. O ther recent events have underscored how Americans from different backgrounds experience politics. Arguments about immigration became contentious during the 2016 election as the nation once again debated the question of who is entitled to be an American a nd have a voice in determin- ing what the government does. And charges that the police often use ex cessive violence against members of minority gr oups have raised questions about whether the go vern- ment treats all Americans equally. Reflecting all of these trends, this new Twelfth Edition shows more than any other book on the market (1) how students are connected to gov- ernment, (2) why students should think critically about go vernment and politics, and (3) how Americans from different backgrounds experience and shape politics. To help us explore these themes, P rofessor Andrea Campbell has joined us as the most r ecent in a group of distinguished coauthors. P rofessor Campbell’s scholarly work focuses on the ways in which government and politics affect the lives of ordinary citizens. Among her contributions are new chapter introductions that focus on stories of individuals and how government has affected them. Many Americans, particularly the young, can have difficulty seeing the role of go vernment in their ev eryday lives. Indeed, that ’s a chief explanation of low voter participation among younger citizens. The new chapter openers profile various individuals and illustrate their interactions with government, from a rock

Preface

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band that gets its controversial name approved by the Supreme Court (Chapter 4), to a young mother who realizes the tap water in her Flint, Michigan, home is poisoning her children after local officials switched the source (Chapter 11), to teenagers pr otesting the end of net neutrality and the internet as they hav e known it (Chapter 6). The goal of these stories is to show students in a vivid way how government and politics mean something to their daily lives.

Several other elements of the book also help show students why politics and govern- ment should matter to them. These include:

• A twenty-first-century perspective on demographic change moves beyond the book’s strong coverage of traditional civil rights content with expanded coverage of contemporary group politics.

• “Who Participates?” infographics at the end of every chapter show students how different groups of Americans participate in key aspects of politics and government. Each concludes with a “What You Can Do” section that provides students with specific, realistic steps they can take to act on what they’ve learned and get involved in politics.

• “America Side by Side” boxes in every chapter use data figures and tables to provide a comparative perspective. By comparing political institutions and behavior across countries, students gain a better understanding of how specific features of the American system shape politics.

• Up-to-date coverage, with more than 10 pages and numerous graphics on the 2016 and 2018 elections, including a five-page section devoted to analysis of these momentous elections in Chapter 8, as well as updated data, examples, and other information throughout the book.

• “What Do We Want” chapter conclusions step back and provide perspective on how the chapter content connects to fundamental questions about the American political system. The conclusions also reprise the important point made in the personal profiles that begin each chapter that government matters to the lives of individuals.

• This Twelfth Edition is accompanied by InQuizitive, Norton’s award-winning formative, adaptive online quizzing program. The InQuizitive course for We the People, Essentials Edition, guides students through questions organized around the text’s chapter learning objectives to ensure mastery of the core information and to help with assessment. More information and a demonstration are available at digital.wwnorton.com/wethepeople12ess.

We note with r egret the passing of Theodore Lowi as w ell as M argaret Weir’s decision to step do wn fr om the book. We miss them but continue to hear their v oices and to benefit from their wisdom in the pages of our book. We also continue to hope that our book will itself be accepted as a form of enlightened political action. This Twelfth Edition is another chance. It is an advancement toward our goal. We promise to keep trying.

PREFACE

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We are especially pleased to ackno wledge the many colleagues who had a dir ect and active role in criticism and preparation of the manuscript. Our thanks go to:

First Edition Reviewers

Sarah Binder, Brookings Institution Kathleen Gille, Office of Representative David

Bonior Rodney Hero, University of Colorado

at Boulder Robert Katzmann, Brookings Institution Kathleen Knight, University of Houston Robin Kolodny, Temple University Nancy Kral, Tomball College Robert C. Lieberman, Columbia University David A. Marcum, University of Wyoming Laura R. Winsky Mattei, State University

of New York at Buffalo Marilyn S. Mertens, Midwestern State

University Barbara Suhay, Henry Ford Community

College Carolyn Wong, Stanford University Julian Zelizer, State University of New York

at Albany

Second Edition Reviewers

Lydia Andrade, University of North Texas John Coleman, University of Wisconsin

at Madison Daphne Eastman, Odessa College Otto Feinstein, Wayne State University Elizabeth Flores, Delmar College James Gimpel, University of Maryland

at College Park Jill Glaathar, Southwest Missouri State

University Shaun Herness, University of Florida

William Lyons, University of Tennessee at Knoxville

Andrew Polsky, Hunter College, City University of New York

Grant Reeher, Syracuse University Richard Rich, Virginia Polytechnic Bartholomew Sparrow, University

of Texas at Austin

Third Edition Reviewers

Bruce R. Drury, Lamar University Andrew I. E. Ewoh, Prairie View A&M

University Amy Jasperson, University of Texas

at San Antonio Loch Johnson, University of Georgia Mark Kann, University of Southern California Robert L. Perry, University of Texas

of the Permian Basin Wayne Pryor, Brazosport College Elizabeth A. Rexford, Wharton County Junior

College Andrea Simpson, University of Washington Brian Smentkowski, Southeast Missouri State

University Nelson Wikstrom, Virginia Commonwealth

University

Fourth Edition Reviewers

M. E. Banks, Virginia Commonwealth University

Lynn Brink, North Lake College Mark Cichock, University of Texas

at Arlington

Acknowledgments

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xxiv

Del Fields, St. Petersburg College Nancy Kinney, Washtenaw Community

College William Klein, St. Petersburg College Dana Morales, Montgomery College Christopher Muste, Louisiana State University Larry Norris, South Plains College David Rankin, State University of New York

at Fredonia Paul Roesler, St. Charles Community College J. Philip Rogers, San Antonio College Greg Shaw, Illinois Wesleyan University Tracy Skopek, Stephen F. Austin State

University Don Smith, University of North Texas Terri Wright, Cal State, Fullerton

Fifth Edition Reviewers

Annie Benifield, Tomball College Denise Dutton, Southwest Missouri State

University Rick Kurtz, Central Michigan University Kelly McDaniel, Three Rivers Community

College Eric Plutzer, Pennsylvania State University Daniel Smith, Northwest Missouri State

University Dara Strolovitch, University of Minnesota Dennis Toombs, San Jacinto College–North Stacy Ulbig, Southwest Missouri State

University

Sixth Edition Reviewers

Janet Adamski, University of Mary Hardin–Baylor

Greg Andrews, St. Petersburg College Louis Bolce, Baruch College Darin Combs, Tulsa Community College Sean Conroy, University of New Orleans Paul Cooke, Cy Fair College Vida Davoudi, Kingwood College Robert DiClerico, West Virginia University Corey Ditslear, University of North Texas Kathy Dolan, University of Wisconsin,

Milwaukee Randy Glean, Midwestern State University Nancy Kral, Tomball College Mark Logas, Valencia Community College

Scott MacDougall, Diablo Valley College David Mann, College of Charleston Christopher Muste, University of Montana Richard Pacelle, Georgia Southern University Sarah Poggione, Florida International

University Richard Rich, Virginia Tech Thomas Schmeling, Rhode Island College Scott Spitzer, California State

University–Fullerton Robert Wood, University of North Dakota

Seventh Edition Reviewers

Molly Andolina, DePaul University Nancy Bednar, Antelope Valley College Paul Blakelock, Kingwood College Amy Brandon, San Jacinto College Jim Cauthen, John Jay College Kevin Davis, North Central Texas College Louis DeSipio, University of California–Irvine Brandon Franke, Blinn College Steve Garrison, Midwestern State University Joseph Howard, University of Central Arkansas Aaron Knight, Houston Community

College Paul Labedz, Valencia Community College Elise Langan, John Jay College Mark Logas, Valencia Community College Eric Miller, Blinn College Anthony O’Regan, Los Angeles Valley College David Putz, Kingwood College Chis Soper, Pepperdine University Kevin Wagner, Florida Atlantic University Laura Wood, Tarrant County College

Eighth Edition Reviewers

Brian Arbour, John Jay College, CUNY Ellen Baik, University of Texas–Pan

American David Birch, Lone Star College–Tomball Bill Carroll, Sam Houston State University Ed Chervenak, University of New Orleans Gary Church, Mountain View College Adrian Stefan Clark, Del Mar College Annie Cole, Los Angeles City College Greg Combs, University of Texas at Dallas Cassandra Cookson, Lee College Brian Cravens, Blinn College

ACKNOWLEDGMENTS

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xxv

John Crosby, California State University–Chico

Scott Crosby, Valencia Community College Courtenay Daum, Colorado State

University, Fort Collins Peter Doas, University of Texas–Pan American John Domino, Sam Houston State University Doug Dow, University of Texas–Dallas Jeremy Duff, Midwestern State University Heather Evans, Sam Houston State University Hyacinth Ezeamii, Albany State University Bob Fitrakis, Columbus State Community

College Brian Fletcher, Truckee Meadows

Community College Paul Foote, Eastern Kentucky University Frank Garrahan, Austin Community College Jimmy Gleason, Purdue University Steven Greene, North Carolina State

University Jeannie Grussendorf, Georgia State University M. Ahad Hayaud-Din, Brookhaven College Alexander Hogan, Lone Star College–CyFair Glen Hunt, Austin Community College Mark Jendrysik, University of North Dakota Krista Jenkins, Fairleigh Dickinson

University Carlos Juárez, Hawaii Pacific University Melinda Kovács, Sam Houston State

University Boyd Lanier, Lamar University Jeff Lazarus, Georgia State University Jeffrey Lee, Blinn College Alan Lehmann, Blinn College Julie Lester, Macon State College Steven Lichtman, Shippensburg University Fred Lokken, Truckee Meadows

Community College Shari MacLachlan, Palm Beach

Community College Guy Martin, Winston-Salem State University Fred Monardi, College of Southern Nevada Vincent Moscardelli, University of

Connecticut Jason Mycoff, University of Delaware Sugumaran Narayanan, Midwestern State

University Anthony Nownes, University of Tennessee,

Knoxville Elizabeth Oldmixon, University of North Texas

John Osterman, San Jacinto College–Central Mark Peplowski, College of Southern Nevada Maria Victoria Perez-Rios, John Jay

College, CUNY Sara Rinfret, University of Wisconsin, Green

Bay Andre Robinson, Pulaski Technical College Susan Roomberg, University of Texas at San

Antonio Ryan Rynbrandt, Collin County Community

College Mario Salas, Northwest Vista College Michael Sanchez, San Antonio College Mary Schander, Pasadena City College Laura Schneider, Grand Valley State

University Subash Shah, Winston-Salem

State University Mark Shomaker, Blinn College Roy Slater, St. Petersburg College Debra St. John, Collin College Eric Whitaker, Western Washington

University Clay Wiegand, Cisco College Walter Wilson, University of Texas at

San Antonio Kevan Yenerall, Clarion University Rogerio Zapata, South Texas College

Ninth Edition Reviewers Amy Acord, Lone Star College–CyFair Milan Andrejevich, Ivy Tech Community

College Steve Anthony, Georgia State University Phillip Ardoin, Appalachian State

University Gregory Arey, Cape Fear Community College Joan Babcock, Northwest Vista College Evelyn Ballard, Houston Community College Robert Ballinger, South Texas College Mary Barnes-Tilley, Blinn College Robert Bartels, Evangel University Nancy Bednar, Antelope Valley College Annie Benifield, Lone Star College–Tomball Donna Bennett, Trinity Valley Community

College Amy Brandon, El Paso Community College Mark Brewer, The University of Maine Gary Brown, Lone Star College–Montgomery

ACKNOWLEDGMENTS

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xxvi

Joe Campbell, Johnson County Community College

Dewey Clayton, University of Louisville Jeff Colbert, Elon University Amanda Cook-Fesperman, Illinois Valley

Community College Kevin Corder, Western Michigan University Kevin Davis, North Central Texas College Paul Davis, Truckee Meadows Community

College Terri Davis, Lamar University Jennifer De Maio, California State

University, Northridge Christopher Durso, Valencia College Ryan Emenaker, College of the Redwoods Leslie Feldman, Hofstra University Glen Findley, Odessa College Michael Gattis, Gulf Coast State College Donna Godwin, Trinity Valley Community

College Precious Hall, Truckee Meadows

Community College Sally Hansen, Daytona State College Tiffany Harper, Collin College Todd Hartman, Appalachian State University Virginia Haysley, Lone Star College–Tomball David Head, John Tyler Community College Rick Henderson, Texas State University–San

Marcos Richard Herrera, Arizona State University Thaddaus Hill, Blinn College Steven Holmes, Bakersfield College Kevin Holton, South Texas College Robin Jacobson, University of Puget Sound Joseph Jozwiak, Texas A & M–Corpus Christi Casey Klofstad, University of Miami Samuel Lingrosso, Los Angeles Valley College Mark Logas, Valencia College Christopher Marshall, South Texas College Larry McElvain, South Texas College Elizabeth McLane, Wharton County Junior

College Eddie Meaders, University of North Texas Rob Mellen, Mississippi State University Jalal Nejad, Northwest Vista College Adam Newmark, Appalachian State University Stephen Nicholson, University of

California, Merced Cissie Owen, Lamar University Suzanne Preston, St. Petersburg College David Putz, Lone Star College–Kingwood

Auksuole Rubavichute, Mountain View College

Ronnee Schreiber, San Diego State University Ronald Schurin, University of Connecticut Jason Seitz, Georgia Perimeter College Jennifer Seitz, Georgia Perimeter College Shannon Sinegal,The University of New

Orleans John Sides, George Washington University Thomas Sowers, Lamar University Jim Startin, University of Texas at San Antonio Robert Sterken, University of Texas at Tyler Bobby Summers, Harper College John Theis, Lone Star College–Kingwood John Todd, University of North Texas Delaina Toothman, The University of Maine David Trussell, Cisco College Ronald Vardy, University of Houston Linda Veazey, Midwestern State University John Vento, Antelope Valley Community

College Clif Wilkinson, Georgia College John Wood, Rose State College Michael Young, Trinity Valley Community

College Tyler Young, Collin College

Tenth Edition Reviewers

Stephen P. Amberg, University of Texas at San Antonio

Juan F. Arzola, College of the Sequoias Thomas J. Baldino, Wilkes University Christina Bejarano, University of Kansas Paul T. Bellinger, Jr., University of Missouri Melanie J. Blumberg, California University of

Pennsylvania Matthew T. Bradley, Indiana University

Kokomo Jeffrey W. Christiansen, Seminole State

College McKinzie Craig, Marietta College Christopher Cronin, Methodist University Jenna Duke, Lehigh Carbon Community

College Francisco Durand, University of Texas at San

Antonio Carrie Eaves, Elon University Paul M. Flor, El Camino College Compton

Center Adam Fuller, Youngstown State University

ACKNOWLEDGMENTS

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xxvii

Christi Gramling, Charleston Southern University

Sally Hansen, Daytona State College Mary Jane Hatton, Hawai’i Pacific University David Helpap, University of

Wisconsin–Green Bay Theresa L. Hutchins, Georgia Highlands College Cryshanna A. Jackson Leftwich, Youngstown

State University Ashlyn Kuersten, Western Michigan University Kara Lindaman, Winona State University Timothy Lynch, University of

Wisconsin–Milwaukee Larry McElvain, South Texas College Corinna R. McKoy, Ventura College Eddie L. Meaders, University of North Texas Don D. Mirjanian, College of Southern

Nevada R. Shea Mize, Georgia Highlands College Nicholas Morgan, Collin College Matthew Murray, Dutchess Community

College Harold “Trey” Orndorff III, Daytona State

College Randall Parish, University of North Georgia Michelle Pautz, University of Dayton Michael Pickering, University of New Orleans Donald Ranish, Antelope Valley College Glenn W. Richardson, Jr., Kutztown

University of Pennsylvania Jason Robles, Colorado State University Ionas Aurelian Rus, University of Cincinnati–

Blue Ash Robert Sahr, Oregon State University Kelly B. Shaw, Iowa State University Captain Michael Slattery, Campbell University Michael Smith, Sam Houston State University Maryam T. Stevenson, University of

Indianapolis Elizabeth Trentanelli, Gulf Coast State

College Ronald W. Vardy, University of Houston Timothy Weaver, University of Louisville Christina Wolbrecht, University of Notre

Dame

Eleventh Edition Reviewers

Maria J. Albo, University of North Georgia Andrea Aleman, University of Texas at San

Antonio

Juan Arzola, College of the Sequoias Ross K. Baker, Rutgers University Lauren Balasco, Pittsburg State University Daniel Birdsong, University of Dayton Phil Branyon, University of North Georgia Camille D. Burge, Villanova University Matthew DeSantis, Guilford Technical

Community College Sheryl Edwards, University of

Michigan–Dearborn Lauren Elliott-Dorans, University of

Toledo Heather Evans, Sam Houston State

University William Feagin, Jr., Wharton County Junior

College Glen Findley, Odessa College Heather Frederick, Slipper Rock University Jason Ghibesi, Ocean County College Patrick Gilbert, Lone Star–Tomball Rebecca Herzog, American River College Steven Horn, Everett Community College Demetra Kasimis, California State

University, Long Beach Eric T. Kasper, University of Wisconsin–Eau

Claire Jill Kirkham, Brigham Young University–

Idaho Mary Linder, Grayson County College Johnson Louie, California State University,

Stanislaus Phil McCall, Portland State University Patrick Novotny, Georgia Southern

University Carolyn Myers, Southwestern Illinois

College–Belleville Gerhard Peters, Citrus College Michael A. Powell, Frederick Community

College Robert Proctor, Santa Rosa Junior College Allen K. Settle, California Polytechnic State

University Laurie Sprankle, Community College of

Allegheny County Ryan Lee Teten, University of Louisiana

at Lafayette Justin Vaughn, Boise State University John Vento, Antelope Valley College Aaron Weinschenk, University of

Wisconsin–Green Bay Tyler Young, Collin College

ACKNOWLEDGMENTS

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xxviii

Twelfth Edition Reviewers

Craig Albert, Augusta University Alexa Bankert, University of Georgia Nathan Barrick, University of South Florida Jeff Birdsong, Northeastern Oklahoma A&M

College Sara Butler, College of the Desert Cory Colby, Lone Star College Anthony Daniels, University of Toledo Dennis Falcon, Cerritos College Kathleen Ferraiolo, James Madison University Patrick Gilbert, Lone Star College, Tomball Matthew Green, Catholic University

of America Matt Guardino, Providence College Barbara Headrick, Minnesota State University,

Moorhead Justin Hoggard, Three Rivers Community

College John Patrick Ifedi, Howard University Cryshanna Jackson Leftwich, Youngstown

State University Douglas Kriner, Boston University Thom Kuehls, Weber State University

Jennifer Lawless, American University LaDella Levy, College of Southern Nevada Timothy Lim, California State University, Los

Angeles Sam Lingrosso, Los Angeles Valley College Mandy May, College of Southern Maryland Suzanne Mettler, Cornell University Michael Miller, Barnard College Joseph Njoroge, Abraham Baldwin

Agricultural College Michael Petri, Santa Ana College Christopher Poulios, Nassau Community

College Andrew Rudalevige, Bowdoin College Amanda Sanford, Louisiana Tech University Elizabeth Saunders, George Washington

University Kathleen Searles, Louisiana State University Matthew Snyder, Delgado Community College Steven Sylvester, Utah Valley University Linda Trautman, Ohio University Lancaster Donald Williams, Western New England

University Peter Yacobucci, Buffalo State College

We are also grateful to M elissa Michelson, of M enlo College, who contributed to the “ Who Participates?” infographics for this edition; H olley H ansen, of O klahoma State University, who contributed to the “America Side by Side” boxes.

Perhaps abo ve all, w e thank those at W. W. N orton. F or its first five editions, editor Steve Dunn helped us shape the book in countless ways. Lisa McKay contrib- uted smart ideas and a keen editorial eye to the Tenth Edition. Ann Shin carried on the Norton tradition of splendid editorial wor k on the S ixth through Ninth and Eleventh Editions. Peter Lesser br ought intelligence and dedication to the dev elopment of this Twelfth E dition. For our I nQuizitive course and other instr uctor r esources, Spencer Richardson-Jones has been an energetic and visionar y editor. Ashley H orna, Michael Jaoui, Tricia Vuong, and Anna Olcott also kept the production of the Eleventh Edition and its accompanying resources coherent and in focus. Lynne Cannon copyedited the manuscript, and our superb project editor Christine D’Antonio devoted countless hours to keeping on top of myriad details. We thank Elyse Rieder for finding new photos and our photo editor Stephanie Romeo for managing the image program. Finally, we thank Roby Harrington, the head of Norton’s college department.

Benjamin Ginsberg Caroline J. Tolbert Andrea L. Campbell

October 2018

ACKNOWLEDGMENTS

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An Introduction to American Politics

We the People

121212 edition

ESSENTIALS

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010101 chapter

Introduction: The Citizen and Government WHAT GOVERNMENT DOES AND WHY IT MATTERS Meet two of the nation’s youngest elected officials. Saira Blair became the young-

est member of West Virginia’s House of Delegates when she won election as

an 18-year-old college freshman. The day after her victory party in November

2014, she was back in class at West Virginia University. In May 2017, Prairie

View A&M senior Kendric D. Jones similarly achieved electoral victory, becom-

ing the youngest city council member in the state of Texas. What got Blair

and Jones involved in politics? Both had sources of political inspiration. Blair

followed in the footsteps of her father, a West Virginia state senator, who she

had accompanied to political events since childhood. Jones was inspired by

the long history of activism at Prairie View, which was founded in 1876 during

Reconstruction by some of the first African American members of the Texas

state legislature. A further spur to action was President Obama’s call in his

2017 farewell address to “grab a clipboard, get some signatures, and run for

office yourself.” Both also had strong commitments to issues. Blair believes

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3

Introduction: The Citizen and Government

While Americans share a belief in the values of liberty, equality, and democracy, debates rage about how to live up to those values. To advocate for their beliefs, Republican Saira Blair (left) and Democrat Kendric Jones (right)—both college students—ran for office and won. What is the citizen’s role in America’s democratic system?

in limited government, lower taxes, and Second Amendment gun rights. Jones

has a long history of working in the community, serving in student government,

and founding a mentoring program for middle-school boys.

Both Blair and Jones also believe deeply in political participation, espe-

cially that of young people. As Jones said, “The students of Prairie View A&M

University’s voices have not been heard. Since I have been here, the city has

been stagnant and has not made any progression—outside of the university.

I feel as though a young, innovative mind can push this city forward.” After

participating in a mock government program in high school, Blair saw that

young people were just as capable as lawmakers decades older: “When I saw

how capable the students were of creating . . . legislation and really getting

work done, it really made me realize that we really didn’t need to wait.”1

Blair and Jones’s experiences show that citizens are at the center of

democratic government. They ran for office because they care about public

issues and want to have a hand in shaping policy outcomes. What are you

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passionate about? How does government affect your everyday life and that

of your family, friends, and community? And how are differences in political

views resolved in politics? Americans hold certain values dear, including lib-

erty, equality, and democracy. In fact, if you asked Blair and Jones, they would

almost certainly agree that these are critical values to uphold. However, Blair

and Jones might emphasize one more than the other. And they might have

major disagreements about what those values mean and what the government

should do to shape and uphold them. What are your values? Do you see them

reflected in government today? What do you want government to do?

★ Define government and forms of government (pp. 5–7)

★ Describe the role of the citizen in politics (pp. 8–9)

★ Show how the social composition of the American population has changed over time (pp. 10–16)

★ Analyze whether the U.S. system of government upholds American political values (pp. 16–20)

★ Explore Americans’ attitudes toward government (pp. 20–23)

CHAPTER GOALS

4 CHAPTER 1 INTRODUcT ION : THe c I T I zeN AND GOVeRNMeNT

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Government Government refers to the formal in- stitutions and pr ocedures thr ough which a territor y and its people ar e ruled. To govern is to rule. A govern-

ment may be as simple as a to wn meeting in which community members make policy and determine budgets together or as complex as the vast establishments found in many large countries today, with their extensive procedures, laws, and bureaucracies. In the history of civilization, governments have not been difficult to establish. There have been thousands of them. The hard part is establishing a govern- ment that lasts. Even more difficult is developing a stable government that promotes liberty, equality, and democracy.

DIFFERENT FORMS OF GOVERNMENT ARE DEFINED BY POWER AND FREEDOM

Governments vary in their structure, in their size, and in the way they operate. Two questions are of special importance in determining how governments differ: Who governs? And how much government control is permitted?

In some nations, government power is held by a single individual, such as a king or dictator, or by a small group of powerful individuals, such as militar y leaders or wealthy landowners. Such a system of government normally pays little attention to popular preferences; it tends to hold power by violence or the threat of violence and is referred to as an authoritarian system, meaning that the government recognizes no formal limit but may nev ertheless be restrained by the power of other social insti - tutions. A system of government in which the degree of control is even greater is a totalitarian system, where the government recognizes no formal limits on its power and seeks to absorb or eliminate other social institutions that might challenge it. Nazi Germany under A dolf Hitler and the S oviet Union under J oseph Stalin are classic examples of totalitarian rule.

In contrast, a democracy is a political system that permits citiz ens to play a significant part in the governmental process, where they are vested with the power to r ule themselv es, usually thr ough the election of key public officials. Under such a system, constitutional government is the norm, in that formal and effective limits are placed on the powers of the government. At times, an author- itarian government might bend to popular wishes, and democratic go vernments do not automatically follo w the wishes of the majority . The point, however, is that these contrasting systems of go vernment ar e based on v ery different assumptions and practices.

Americans have the good for tune to liv e in a nation in which limits ar e placed on what governments can do and how they can do it. By one measure, just 40 per- cent of the global population (those living in 86 countries) enjoy sufficient levels of political and personal freedom to be classified as living in a constitutional democracy.2 And constitutional democracies w ere unheard of befor e the modern era. P rior to

Define government and forms of government

5GOVeRNMeNT

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the eighteenth and nineteenth centuries, go vernments seldom sought (and rar ely received) the support of their ordinary subjects.3

Beginning in the sev enteenth centur y, in a handful of Western nations, two important changes began to take place in the character and conduct of go vern- ment. F irst, go vernments began to ackno wledge formal limits on their po wer. Second, a small number of governments began to provide the ordinary citizen with a formal v oice in public affairs—through the v ote. Obviously, the desirability of limits on go vernment and the expansion of popular influence were at the hear t of the Ameri can Revolution in 1776. “N o taxation without r epresentation” was hotly debated from the beginning of the R evolution through the adoption of the modern Constitution in 1789. But even before the Revolution, a tradition of limi- ting government and expanding citiz en participation in the political pr ocess had developed throughout western Europe. Thus, to understand how the relationship between rulers and the ruled was transformed, we must broaden our focus to take into account events in Europe as well as in America. We will divide the transforma- tion into its two separate parts. The first is the effort to put limits on government. The second is the effort to expand the influence of the people through access to government and politics.