THE

OF

GOVERNANCE

Marshall Croddy

Charles Degelman

Bill Hayes

CHALLENGE

This Constitutional Rights Foundation publication is madepossible by a generous grant from the W.M. Keck Foundation.

The Challenge of Governance is the fourth volume in theW.M. Keck Foundation Series, a series of educationalpublications that address key challenges facing ourdemocratic and pluralistic republic under the frame-work of the Constitution and its Bill of Rights.

The W.M. Keck Foundation, one of the nation’slargest charitable foundations, primarily supportshigher education, medical research, and science. TheFoundation also maintains a Southern CaliforniaGrant Program that provides support in the areas ofcivic and community services, health care, precolle-giate education, and the arts. The Board of Directorsof Constitutional Rights Foundation is grateful to theW.M. Keck Foundation for its vision and generosity.

W.M. KECK FOUNDATIONMarjorie S. Steinberg, PresidentConstitutional Rights Foundation

Jerome C. Byrne, ChairmanConstitutional Rights Foundation

Publications Committee

EDITOR AND CONTENT DESIGN

Marshall Croddy

WRITERS

Marshall CroddyCharles DegelmanBill Hayes

REVIEWERS

PRINCIPAL STAFF

Todd Clark, Executive Director

Marshall Croddy, Director of Programs andMaterials Development

Jo Ann Burton, Director of Development

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Croddy, Marshall.The challenge of governance / Marshall Croddy, Charles Degelman,

Bill Hayes.p. cm. -- (W.M. Keck Foundation series)

Includes bibliographical references and index.ISBN 1-886253-14-5 (pbk. : alk. paper)1. United States--Politics and government. [1. United

States--Politics and government.] I. Degelman, Charles. II. Hayes,Bill. III. Title. IV. Series.

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THE CHALLENGE OF GOVERNANCETable of Contents

Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4

The Constitution and Governance . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6

Constitutional Limitations on Government . . . . . . . . . . . . . . . . . . . . . . . . . . 10

A Democratic Republic . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 15

The Civil Society . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 20

Diversity and Equality . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 24

Conflicts . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 28

National Government and Taxation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 32

State and Local Government . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 36

The Role of the Judiciary . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 41

Setting the Public Agenda . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 45

Voting and Selecting Political Leaders . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 49

Public Policy. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 53

America’s Foreign Policy . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 58

America and New Global Realities . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 62

Citizenship and Rights . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 66

Civic Participation and Responsibility . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 70

4

Introduction

For over 200 hundred years, the Constitution and the Bill of

Rights have guided America. The Constitution defined a federal

form of government that has served us well. The Bill of Rights limited

the powers of that government and endowed Americans

with an unprecedented level of personal and

political freedom.

Over the past two centuries, our

constitutional republic has

faced many challenges, such

as war, internal dissension,

and economic turmoil. As

we enter a new millennium,

America will face new challenges

testing our unity, our principles,

and our system of government.

It is the young people of today who will encounter

those challenges. They will be tomorrow’s voters, community leaders,

politicians, and citizens. They will be asked to make decisions about

issues unknown to us today, and the quality of those decisions will

determine whether our constitutional system will endure. It is to these

young people that this series is dedicated.

In this volume, The Challenge of Governance, we consider one of the basic

challenges of every society—establishing and maintaining a proper gov-

ernment. In a democratic society such as ours, the challenge of gover-

nance is perhaps greatest, because every citizen is entrusted with rights

and responsibilities. The strength of our society depends on

our citizenry becoming well-educated and taking

part in our nation’s civic life.

With these materials, we invite stu-

dents to confront the challenges

facing our democratic form of

government. The book is divid-

ed into 16 sections. Each section

has two parts. In the first part, an

introductory reading covers one or

two of the National Standards for

Civics and Government for High School. The

introductory readings offer students a review of all the

standards, which were developed to help students become “competent

citizens committed to the fundamental values and principles of Ameri-

can democracy.” Following each introductory reading, a second reading

delves into a related specific issue of current importance.

5

6

The United States of America is governedby its Constitution, a written document

created in 1787 and ratified in 1789. In 1791,the Constitution was amended to include 10new articles called the Bill of Rights. Amongthe world’s first, the U.S. Constitution set upthe structure of our government, divided pow-ers between the national government and the

states, and limited the government’s power toinfringe on the rights of individuals. Consid-ered revolutionary at its time, our Constitu-tion has lasted for more than 200 years andinspired dozens of other countries to adoptsimilar constitutions of their own.

Not all countries with constitutions, however,have constitutional governments. A constitu-tional government is a limited government.Many countries have adopted constitutions,but some have failed to limit the power ofgovernment. For example, during the ColdWar, the Soviet Union had a constitution withmany of the same features as our own. Itcalled for separate branches of governmentand guaranteed its citizens various rightsincluding freedom of speech and religion. Infact, the Communist party held all of thepower, repressed religion, and sent thousandsof people to prison for their expressed

thoughts and beliefs. The constitution wasignored.

PRINCIPLES OF CONSTITUTIONALGOVERNMENT

To work and survive, a constitutional govern-ment requires that the people and their politi-cal leaders accept and support certain princi-ples.

A constitutional government requires abelief in the rule of law. This means thateveryone is expected to follow the law. Overthe centuries, people have put forth manyideas about the source of law. Some haveclaimed that law was established by a supremebeing. Others argued that it was the productof long held customs and traditions. At onepoint, it was believed that sovereign kings hadthe right to make law. Today, in democraticsocieties, the right to make laws belongs to alegislature elected by the people.

Law serves many purposes. It regulates peo-ple’s conduct and provides methods for resolv-ing conflict. It creates order and stability insociety and lets people know what is expectedof them. It regulates business relationshipsand the economy. It grants authority to gov-ernment and sets limits on that authority.

The constitution is the “supreme law of theland.” It describes who will make nationallaws, who will enforce them, and who willinterpret them. It describes the kinds of lawsgovernment has the power to make and placeslimits on the power of government to makecertain kinds of law. It reserves other lawmak-ing powers to the state governments. It alsogives us the power to change the law by fol-lowing an established process.

Elected and appointed officials, judges,lawyers, law-enforcement officers, and militarypersonnel in the United States all take an oathto uphold and defend the Constitution. Indoing so, they swear loyalty to the law, notthe government or a particular leader or polit-ical party.

1 The Constitution andGovernance

The men whodrafted the

Constitutionwanted to limit

the power ofgovernment

and protect therights of

individuals.

A constitutional government requires acommitment to the idea of popular sover-eignty. This means that the will of people isthe ultimate source of power. Only they cancreate the government and the law. As such,the people are expected to make wise decisionswhen choosing leaders by voting and partici-pating in electoral politics. The people areexpected to be watchdogs to assure that lawsare followed by serving on juries. The peopleare expected to be educated about publicissues and concerned about the civic life ofthe nation.

A constitutional government must also pro-tect the rights of the minority. While manydecisions in a constitutional government aremade by the will of the majority, minoritiesand individuals cannot lose their rights sim-ply because they can be outvoted in the polls.A constitutional government guarantees cer-tain rights to everyone—rights that not evenan overwhelming majority can take away.

Constitutional governments must assureorder and stability in society, but also haveenough flexibility to change with the timesand accommodate social change. During thecivil rights era in our country, the courts usedthe equal protection clause of the 14thAmendment of the Constitution to end law-mandated segregation. The adoption of theJapanese constitution after World War IIchanged the life of women in that society for-ever by giving them the right to vote.

THE ORIGINS OF CONSTITUTIONALGOVERNMENT

Historically, the principles, values, and condi-tions necessary for a constitutional govern-ment developed over a long period. The rootsof democracy can be traced to ancient Greece.The word “democracy” comes from the Greekword for “rule of the people.” The creation ofour constitutional government, however, waslargely influenced by events and ideas fromEngland and colonial America.

England evolved the ideas of representativegovernment and limits on the power of theking. In 1215, a group of barons forced KingJohn to accept the Magna Carta, a set of rulesgoverning the relationship between the kingand his subjects. It established the principlethat even a king is not above the law. In 1689,

the English Parliament passed the Bill ofRights that ended the divine right of kingsand granted specific rights to the people. TheBritish Constitution remained largely unwrit-ten. Although the power of the king becamelimited, the power of the legislative branch,the Parliament, reigned supreme.

Throughout English history, the developmentof limited government was aided by the ideasand practices of common law. This system oflaw evolved over the centuries and used cus-toms, traditions, and judges’ decisions to reg-ulate conduct and settle disputes. Wheneverthe actions of a king or government threat-ened their rights, the English could appeal,though not always successfully, to the princi-ples of common law for protection.

With the Enlightenment came the develop-ment of the theory of natural rights. Articu-lated by the English philosopher John Locke,this theory holds that all people possess cer-tain rights, such as the rights to life, liberty,and the pursuit of happiness. These ideasheavily influenced the founders of our consti-tutional government.

The colonial experience and conditions inAmerica also helped establish the principlesof our constitutional government. In theircharters, the agreements establishing theircolonial governments, the colonists put intowriting many of the ideas that had developedin England to limit government and assurecertain rights. The long colonial experience,with England so far away, also gave Americanspractice in applying these ideas to the condi-tions in the new land.

Historians have often debated why the princi-ples of constitutional government flourishedin America. Many reasons have beenadvanced. America lacked the experience offeudalism and a rigid class system. It was geo-graphically isolated from Europe and protect-ed from invasion so that a militaristic andregimented society did not develop. There wasa strong middle class that no one group coulddominate. Through the frontier experience,America developed a civil society based onworking together in groups and formingsocial, religious, and economic associations tosolve problems independent of governmentaction or interference. Americans valued 7

8

education as a necessary tool for leadershipand as a method for social advancement andassuring good citizenship. All of these condi-tions promoted the development of a consti-tutional system.

EmergingDemocraciesTo define our system of republican govern-ment, the U.S. Constitution depends upon aseries of principles, or fundamental doctrines.They include, among others, the rule of law, acommitment to popular sovereignty, and arespect for the inalienable rights of individu-als and minorities. These principles make theU.S. Constitution an attractive model foremerging democracies. During the 18th and19th centuries, many nations overthrew mon-archs or established their independence fromcolonial powers. France, Bolivia, and Argenti-na are all examples of republics that wereinspired by the U.S. Constitution.

The number of nations adopting new democ-ratic constitutions increased dramatically dur-ing the 20th century. By the end of the 1990s,120 of the world’s 192 nations had adoptedsuch constitutions. A constitution does not,of course, guarantee that a country will bedemocratic. In the 20th century, Nazi Ger-many, the former Soviet Union, and SouthAfrica all oppressed their citizens under theguise of constitutional law. In addition, differ-ences in history, culture, and economy haveled to many variations in constitutional gov-ernment. How have some nations made thetransition from monarchy, colonial govern-ment, or dictatorship to a democratic form ofgovernment?

ARGENTINA

Argentina drafted its constitution in 1816 afterdeclaring independence from Spain. As in theUnited States, Argentina’s constitution wasconsidered the supreme law of the land. It setup two legislative branches—a Senate and aHouse of Deputies—modeled on the two-housesystem of the U.S. Congress. It called for apresident to be elected directly by the peoplefor a term of four years. And, similar to theUnited States, Argentina’s constitution estab-lished a nine-member Supreme Court.

Argentina’s constitution differs in importantrespects from the U.S. Constitution. Argenti-na is 90 percent Roman Catholic. The Argen-tine Constitution makes the Catholic religionthe official state religion. It also says that allinhabitants can “profess freely their religion.”

POINTS OF INQUIRY

1. What have people in history claimedwere different sources of law? What doyou think should be the main source oflaw? Why?

2. What are some different purposes andfunctions of law?

3. What are the purposes of a constitu-tional government? How can a govern-ment have a constitution and not be aconstitutional government?

4. How can constitutions promote changeor help resolve social issues? Give somehistorical examples.

5. What major philosophical ideas andhistorical events helped influence thecreation of limited government in theUnited States? Why do you think theprinciples of constitutional governmentprospered in America?

6. What is “popular sovereignty”? Why isit important to the U.S. Constitution?

7. What is the origin of the word “democ-racy”? What does it mean? In our soci-ety, what is the different meaningbetween a “democrat” and a “Demo-crat”?

9

This means that people can choose theirown religion, but the state helps support theCatholic Church and considers it the offi-cial religion. This could not happen underthe U.S. Constitution because the FirstAmendment states that the government maynot establish an official religion.

During the 1930s, political and economicinstability in Argentina led to the militaryoverthrow of elected governments severaltimes. A long period of dictatorship was fol-lowed by the rule of a military junta. From1976 until 1983, Argentina’s electoral processwas completely suspended. Economic hardtimes and a military defeat in a dispute withGreat Britain caused the military regime tostep down in 1983. Argentina has been func-tioning under a constitutional governmentsince that time.

SOUTH AFRICA

Although it adopted a constitution in 1909,South Africa was ruled by a white, Euro-pean-based minority that oppressed the pre-dominantly black population. The govern-ment adopted apartheid, a segregation poli-cy that denied black citizens the vote andcompletely separated blacks from whites.Although it operated under the rule of law,apartheid violated the principles of popularsovereignty and the rights of minorities.

The injustice of apartheid resulted in strongresistance from black—and a significantminority of white—South Africans. Thisresistance was reinforced by economic sanc-tions from other nations. Opposition toSouth Africa’s repression grew so strongthat in 1989, its president was forced toresign. His successor began to dismantleapartheid. Blacks were invited to participatein the drafting of a democratic constitution.The new constitution provided for popularsovereignty by giving all South African citi-zens over the age of 18 the right to vote. Itprovided for elections and protected therights of all citizens.

One interesting feature of the new SouthAfrican constitution is that the members ofboth houses of the legislature are electedbased on proportional representation. SouthAfrica is composed of many different tribal

peoples and a small white minority. The newgovernment wanted to ensure that thesegroups felt represented in the legislature. Ineach legislative district, people vote for theparty they want to represent them. Unlike thesingle-member districts used in the UnitedStates, South Africa is divided into multi-member districts. For example, in a 10-seatdistrict, each party must get about 10 percentof the vote to win a seat. If a party gets 20percent, it gets two seats; 40 percent, fourseats; and so on. This enables minority partiesto win representation.

POINTS OF INQUIRY

1. Does a constitution guarantee that anation will treat its citizens justly? Whyor why not?

2. Does respect for the rule of law guaran-tee that a constitution is democratic?Why or why not?

3. What do you think are the main factorsthat distinguish a democratic from anon-democratic form of government?

4. Do you think there are economic,social, or educational conditions thatfoster democracy? If so, what are they?

10

With the Declaration of Independence in1776, the American colonies stated their

intention to sever their ties to Great Britainand establish their own country. The docu-ment expressed the natural rights philosophythat all men are created equal and possess cer-tain rights, such as life, liberty, and the pur-suit of happiness. It also charged the Britishgovernment with a list of abuses against the

colonies and its citizens. From the point ofview of the colonists, the British had failed torespect their rights as Englishmen: They hadno rights to representation in matters of taxa-tion and no rights to petition the govern-ment.

The Declaration of Independence was aremarkable document in the history of West-ern political thought. Besides including natur-al rights, it merged the ideals of democracyand liberalism. Liberalism developed duringthe Enlightenment of 17th and 18th centuries.Its basic tenet was that each individual isendowed with reason and has rights. Theserights exist independently from the will ofgovernment and have to be protected fromgovernment. The ideas of liberalism not onlyinfluenced political thought, but found

expression in the Protestant Reformation andin the underlying assumptions of free enter-prise and the market economy.

During the Revolutionary War, the colonistsset about establishing a new country. Fearfulof creating too powerful a central governmentalong the British model, they decided on aconfederation of states. Under the Articles ofConfederation, drafted in 1777 and ratified in1781, each state retained its own freedom andindependence. Each state had an equal voicein the governance of the new nation, andeach gave only very limited power to the cen-tral government. The articles granted nopower to raise taxes, regulate commerce, makeforeign treaties, or raise an army.

During the Revolutionary War, the articleshampered the country’s ability to fight oreven maintain the Continental Army. Withthe war over in 1783 and no emergency tohold the nation together, it seemed that theUnited States might break into 13 separatecountries. The country was in debt with noway to raise revenue. European countriesposed a potential threat to attack the nation,and the economy and trade among the stateswas in chaos.

A WRITTEN CONSTITUTION

By 1787, something had to be done. Represen-tatives of the several states met in Philadelphiato work out a new system of government, onethat would have enough power to be effective.They agreed that a written constitution wasneeded to set out the organization of govern-ment. In hammering out what would becomethe U.S. Constitution, the framers created astrong executive branch headed by a president.They created a two-house legislative branchand granted it a number of powers includingthe right to tax, regulate commerce, and raiseand maintain armed forces. They also createda judicial branch headed by a Supreme Court,which would try cases and controversiesamong states and citizens.

2 Constitutional Limitationson Government

Before theConstitution was

adopted, the U.S.government had

trouble raisingmoney, regulating

commerce, makingforeign treaties, or

maintaining astanding army.

Throughout the Philadelphia Convention, theframers had to work out several thorny issues.Representatives from small states worried thatmore populous states would dominate thenation. Representatives from agrarian South-ern states worried that the commercial statesof the North would dominate. Some represen-tatives worried that the national governmentwas too powerful and could trample the rightsof the states and of individuals. The constitu-tion that emerged contained features designedto limit the power of the national govern-ment.

CONSTITUTIONAL LIMITS ONGOVERNMENTAL POWER

Separation of Powers. By dividing the powerof government among three branches—the leg-islative, executive, and judicial—the framerssought to avoid having power concentrated inany one branch. They remembered that theParliament was supreme in the British systemand that this had led to abuses and unfairlaws. In making separation of powers animportant part of the Constitution, theframers were heavily influenced by the Frenchphilosopher Baron de Montesquieu, who cre-ated the doctrine from his study of problemsin the English system of government.

Checks and Balances. The framers also builtthe doctrine of checks and balances into theConstitution. Not only were powers to be sep-arated among the branches, but each branchhad obligations to check and balance the oth-ers. For example, the executive branch has thepower to negotiate treaties with foreign coun-tries, but the legislative branch must consentto them. The legislature has the power to passlaws, but the president has the right to vetothem. The judicial branch has the power todetermine if executive and legislative actionsare constitutional, but the president and Con-gress have the power to select federal judges.

Judicial Review. The framers envisioned thatthe judicial branch would settle disputesamong the branches of the government,among the states, and between the states andthe national government. Later, the SupremeCourt under Chief Justice John Marshallexpanded the power of the federal judiciary toreview acts of the executive and legislativebranches and state governments to make surethey did not violate the Constitution. Judicial

review often serves as an effective method forlimiting government power when it conflictswith the Constitution.

The Federal System. Rather than concentrateall governmental power in a national govern-ment, the Constitution reserved many powersfor the state governments. All powers not enu-merated as belonging to the national govern-ment are reserved for the states. Most laws reg-ulating the conduct, health, safety, and welfareof citizens are passed and enforced at the statelevel.

Constitutional Amendment. The power ofthe people to amend the Constitution isanother important limitation on the power ofgovernment. Under Article V of the Constitu-tion, two-thirds of both houses of Congresscan propose amendments to the Constitutionor two-thirds of the state legislatures can callfor a convention to propose amendments.Proposed amendments must then be ratifiedby three-fourths of state legislatures or three-fourths of state conventions. If the peopledecide that the national government is abus-ing or exceeding its powers, the Constitutioncan be amended to establish new limits.

The Bill of Rights. During ratification of theU.S. Constitution, many people complainedthat the document contained no bill of rightsoutlining the freedoms and protections of citi-zenship. George Mason of Virginia advocatedrejecting the Constitution unless a Bill ofRights was provided. After ratification, JamesMadison led an effort in the first Congress todraft and propose amendments listing suchrights. In 1789, 12 amendments were sent tothe states for ratification. Ten of them, known 11

The SupremeCourt is animportantinstitution in thesystem of checksand balances thatlimit the powerof the U.S.government.

12

as the Bill of Rights, were ratified in 1791.They included prohibitions against Congressregulating free speech, interfering with thefreedom of the press, establishing a religion,or preventing the free exercise of religion. Theamendments also established due processrequirements for those accused of crime. Bydoing so, the amendments placed additionallimits on the power of government.

The values and principles of the Constitutionhave deeply influenced American society. Theyhave encouraged freedom of thought andexpression. They have led Americans to engagein creative activities in business, the arts, thehumanities, and science, unhampered byexcessive government interference. They havepermitted citizens to challenge authority andgovernment action when necessary and tochange the Constitution in an attempt toimprove society. For the United States,constitutional government has proven agreat success.

The AmendmentProcess Article V of the Constitution defines twomethods for modifying the Constitution.First, Congress can propose amendments iftwo-thirds of the members of both the Houseof Representatives and the Senate approve.Second, two-thirds of the states can demandthat Congress schedule a constitutional con-vention. Amendments that are proposedthrough either method must then be votedupon separately by the legislatures or conven-tions of every state, and three-quarters ofthese states must ratify, or approve, the pro-posed amendments.

It is difficult to assemble a two-thirds majorityin Congress. It is even more difficult to getthree-quarters of the states to ratify a pro-posed amendment. In the more than 200 yearssince the Constitution was ratified, legislatorshave proposed more than 11,000 amendmentsto the Constitution. Only 33 have made itthrough Congress and only 27 have beenapproved by the necessary three-quarters ofthe states.

It is also difficult to persuade two-thirds ofthe states to petition the federal governmentto hold a constitutional convention. Since theoriginal meeting was convened in 1787, legisla-tures from various states have made morethan 400 applications calling for a constitu-tional convention. None of these efforts hassucceeded.

Article V of the Constitution says nothingabout what a convention may or may not do.If a convention is held, must it deal with onlyone proposed amendment? Could delegatesvote on any number of amendments? Couldthey vote to abolish the Constitution itself ?The Constitution provides no answers to thesequestions. Opponents fear that the vague pro-visions regarding a constitutional conventioncould put the Constitution in the hands ofspecial-interest groups who could then rewritethe supreme law of the land. It would be diffi-cult to predict the consequences of a constitu-tional convention.

POINTS OF INQUIRY

1. What is liberalism? When did it arise?What did it influence? What other polit-ical meanings are there of the word “lib-eral”?

2. Name four limits on governmentalpower as laid out in the Constitution.How does each one function to limitthe power of the central government?All these limitations slow down theprocess of government. Why do youthink the founders did this?

3. Aside from limiting government, whatelse does the Constitution do?

4. How have the values and principles ofthe Constitution affected American soci-ety?

13

TOO SACRED TO BE TOUCHED?

Proponents of both the constitutional conven-tion and the amendment process argue thatchanging the Constitution is a positive resultof civic participation. U.S. Senator OrrinHatch sees the amendment process as “partici-patory democracy set forth by the Constitu-tion.” Proponents also see amendments as amethod to correct problems that lie outsidethe realm of Constitutional law.

Many amendment advocates cite Thomas Jef-ferson who looked back at the newly draftedConstitution and observed, “some men lookat constitutions with sanctimonious reverence. . . too sacred to be touched.” Jeffersonbelieved that constitutional amendments cre-ate positive change because each generation is“capable of taking care of itself and orderingits own affairs.”

But considering the Constitution as “toosacred to be touched” is not the only argu-ment against the amendment process. Severalfactors contributed to the founders’ resolutionto make the Constitution difficult to amend.

Interpretation. Constitutional powers andrights are described in broad, open-ended lan-guage. This was done purposely, so that itsprovisions could apply to numerous situa-tions. This interpretation allows the judicialbranch to consider the specific factors of eachcase in the light of broad constitutional law. Italso makes the Constitution adaptable tomodern situations without needing amend-ments all the time.

Unintended consequences. Those who draft-ed the Constitution tried to make all its com-ponents fit together as a coherent, balancedwhole. In contrast, amendments are piecesadded to the Constitution. Opponents to theamendment process worry that by usingamendments to solve particular problems, leg-islators may create unintended consequencesin other areas of constitutional, federal, oreven local law.

Legislating political or social issues. Someamendment proposals have been introducedto address specific political or social issues.Opponents to the amendment process arguethat political issues come and go, and socialvalues change. They fear that amendments cancreate permanent changes to temporary prob-

lems. They point to the experience of Prohibi-tion. The 18th Amendment was the onlyamendment to address a social issue—the con-sumption of alcohol. It was soon proven to beunenforceable and had to be repealed with the21st Amendment.

Although few amendments have made itthrough the difficult proposal and ratificationprocess, several serious attempts have recentlybeen made. Below are two of them.

BALANCED BUDGET

Balanced-budget amendments have been intro-duced in Congress 12 times. These proposalsoften become the object of fierce politicalstruggles between Democrats and Republicans.In 1994, Republicans in the House of Repre-sentatives introduced a balanced-budgetamendment as part of their “Contract withAmerica.” It called for the federal governmentto balance its books every year and requiredCongress to authorize with a two-thirds voteany spending beyond the budget limits. Pro-ponents cited the continuous string of unbal-anced federal budgets. They argued that thenation would bankrupt itself if the budgetwere not balanced and that experience hadshown that Congress and the executive branchwould not balance the budget unless forced todo so. This amendment got the two-thirdsmajority it needed in the House. Action thenshifted to the Senate.

A majority of U.S. Senators opposed the bal-anced-budget amendment. They challengedthe notion that a balanced budget was

Controversiesover taxation andfederal spendinghave led tonumerousproposals for abalanced-budgetamendment.

14

necessary to the fiscal stability of the nation.Others felt that a balanced budget was an eco-nomic or social issue that was subject tochange. Many others thought that if Congressand the president failed in their responsibilityto balance the budget as required by a newamendment, the federal courts might have tomake spending cuts or raise taxes. Action bythe courts in this area could violate the sepa-ration of powers as defined in the Constitu-tion. The balanced-budget amendment lost byone vote in the Senate.

Vowing to reverse their defeat, Republicanstrategists made a balanced-budget amend-ment a high priority in 1996. Republican Sen-ator Orrin Hatch stated that the nation’sDemocratic leadership was incapable of bal-ancing the budget without being forced to doso by the Constitution. Senate Democraticleaders stopped the Republican-led effort byarguing that the new amendment could dam-age Social Security. Once again, the proposalto adopt a balanced-budget amendment wasdefeated by one vote in the Senate.

In recent years, the momentum has gone outof this amendment, because the federal gov-ernment has run a surplus.

RELIGIOUS FREEDOM

Since 1995, there have been three attempts toget a religious freedom amendment added tothe Constitution. This amendment wouldallow prayers in public schools and permit theuse of tax dollars to help pay for parochialschools. It was designed in response to U.S.Supreme Court rulings that these activitiesviolated the establishment clause of the FirstAmendment. This clause says that government“shall make no law respecting the establish-ment of religion . . . .”

Supporters of the proposed amendmentclaimed that it would correct what they

believe are misinterpretations of the FirstAmendment by the Supreme Court. Theybelieve a religious freedom amendment woulddo nothing more than give religious speechthe same protection that the Constitutiongives to non-religious speech.

Opponents argued that the religious freedomamendment would narrow the interpretationof the First Amendment and break down thewall between church and state.

In a 1998 vote, the most recent religious free-dom proposal fell short of the two-thirdsmajority required in the House of Representa-tives.

POINTS OF INQUIRY

1. What are two methods for modifyingthe Constitution?

2. Why do you think the founders madethe Constitution so difficult toamend? Do you agree that it shouldbe? Why or why not?

3. What proposed amendments to theConstitution do you know about? Doyou think any of them should beadded to the Constitution? Explain.

15

Human beings are social animals. Fromthe earliest beginnings, humans lived

and worked in groups—families, clans, andtribes. Over time, social organization grewmore complex. With the advent of agricul-ture, humans started living in villages,towns, and finally cities.

In ancient Greece, the city evolved furtherstill. Organized around a market place,called the agora, and an acropolis, a place ofdefense against attackers, the city was hometo thousands of people representing differ-ent clans and occupations. Citizens andother residents of the city mingled with for-eigners and occupied themselves with thedaily routines of life, making a living, andtaking part in religious activities.

The Greeks were particularly interested inpolitics. In the Greek polis, as in cities today,there were decisions to be made and con-flicts to be resolved. Citizens of Greek cities,males of a certain social or economic stand-ing, spent much of their time in the marketplace discussing such issues. At large openassemblies, citizens debated and voted onquestions of importance. Through politics,people with different opinions and interestsgathered together to influence and reachdecisions. In fact, we get the word politicsfrom the Greek word polis, which means city.

Obviously, in politics someone has to havethe authority to make a binding and finaldecision about what is to be done. Through-out history, different institutions haveevolved to exercise political authority: tribalcouncils, monarchies, and constitutionaldemocracies, to name a few. Although politi-cal authority takes many forms, it shares cer-tain characteristics.

Political authority usually claims to be legiti-mate. That is, it claims that there is a reasonwhy it was chosen to make final decisionsfor a society. Tribal leaders were often cho-sen on the basis of their strength or wisdom.Tribal counselors often were the head ofclans or families within the tribe. Monarchsoften claimed that their authority came

from God and they ruled as a birthrightpassed down from their ancestors. Govern-ments in constitutional democracies claimtheir legitimacy from the will of the people,also called the consent of the governed.

Whatever the source of political authority, itmust offer its society some stability. Citizensneed to be able to conduct business, resolvedisputes, and predict what rules apply. Rapid

turnover in political authority through revolu-tions, coups, or even by the democraticprocess can throw a country into chaos.

Political authority also must have limits. Inour system, political authority is restrained bythe Constitution, laws, and the courts. Thefailure to establish limits of political authoritycan lead to abuses of a citizen’s political andeconomic rights.

FEDERAL, CONFEDERAL, ANDUNITARY SYSTEMS OFGOVERNMENT

As society has become more complex, so havegovernments. Governments have developeddifferent types of relationships between theircentral government and other units of govern-ment within the same nation.

The United States and many other countrieshave a federal system of government. This

3A Democratic Republic

Citizens inancient Greecediscussed issuesand set publicpolicy.

16

means that political authority is dividedbetween the national government and the gov-ernments of various states. Political authorityis further divided at the state level by the exis-tence of counties, municipalities, and town-ships.

Debates often arise about which level of gov-ernment, the national or the state, has thepower to address certain issues. For example,the Constitution grants the national govern-ment the power to regulate interstate com-merce, and the states have the power to regu-late commerce within their borders. Some-times disputes arise about who has the powerto regulate a given issue, and the courts muststep in to settle it.

Aside from the federal, there are two othermain systems for organizing national, state,and local government—the confederal and uni-tary systems. A confederation is a system ofgovernment in which a number of states agreeto join together to make a country. The Unit-ed States operated as a confederation beforethe U.S. Constitution was adopted. TheSouthern states in rebellion during the CivilWar also operated as a confederation. In aconfederal system, all states are equal. Theygrant very limited powers to the national gov-ernment. It has the advantage of assuring thateach state controls its own political authorityand is not subject to the dictates of thenational government except by direct consent.It has the disadvantage of requiring unani-mous agreement, which is often difficult toachieve, before the national governmentcan act.

A unitary system of government features cen-tralized authority in one national govern-ment. Usually the government operates fromthe capital and establishes local departmentsthroughout the country. Each department isresponsible for enforcing national laws andpolicies at the local level. It has the advantageof keeping consistent laws and priorities in allparts of the country. It has the disadvantageof not giving local areas autonomy to addressthe needs and priorities of that particulararea. France, for example, has a unitary systemof government.

SYSTEM OF SHARED POWERS ANDTHE PARLIAMENTARY SYSTEM

Governments also differ in the forms of orga-nization at the national level. The two mostcommon types are shared powers and parlia-mentary systems.

In the United States, both the national andstate governments have three branches, andpower is shared among them. Each branchhas a primary responsibility for certain func-tions of government. In general, the legislativebranch makes the laws; the executive branchenforces and administers them; and the judi-cial branch settles disputes and determineswhether the laws are broken. The legislativebranch, however, has the power to investigateillegal activities, conduct hearings, and holdpeople in contempt, similar to the judiciary.The executive branch has the power to createadministrative rules, which have the force oflaw, similar to the legislative branch. The judi-cial branch has the power to interpret consti-tutional principles and laws giving them anew meaning, similar to the legislativebranch, and enforce them by court order, sim-ilar to the executive branch.

Outside the United States, a different form iscommon in many democratic countries—theparliamentary system. In a parliamentary sys-tem, the national legislature and the nationalpolitical parties play the key role. In nationalelections, candidates for seats in the nationallegislature run as representatives of parties.Whichever party wins the most seats becomesthe majority party and gains the authority toform a national government by appointingthe national leaders, often called ministers.The ministers head the various departments ofthe government and serve in the cabinet. Thehead of the government is often called theprime minister. The majority party holds thisauthority until new national elections areheld. If a different party gains the majority, itforms a new government. In a parliamentarysystem, both the legislative and executivebranches of government are always controlledby the same party. This gives it the advantageof having the two branches working in unisonto establish policy and to pass and enforcelaws. There is, however, less separation ofpower and fewer checks and balances. Israeland the United Kingdom have parliamentarysystems.

17

DIRECT OR REPUBLICANDEMOCRACY

No matter what form constitutional govern-ment takes, the ultimate power is supposed tobe held by the people. In ancient Athens, citi-zens had a direct role to play in making thedecisions of government. They voted onmajor issues facing the city state. This form ofgovernment is known as direct democracy.Most modern democracies, however, have cho-sen a republican form of government. Arepublic is a state in which the people are sov-ereign (hold ultimate power), but they electrepresentatives to govern. The founders of ourcountry had been influenced by the ideas ofrepublicanism. They wanted a governmentthat would seek the common good ratherthan what was best for a particular group orclass. When the founders wrote our Constitu-tion, they guaranteed the states a republicanform of government in Article IV, Section 4,and described how representatives would beelected to Congress in Article I.

They chose a representative form of govern-ment for several reasons. First, with the popu-lation spread out over thousands of miles, notconcentrated in one area, having the peoplevote whenever a major issue came up was notpractical. More importantly, the foundersfeared that the majority of people could beeasily swayed to make rash decisions. Thefounders worried that the rights of religiousminorities or of people with property mightbe lost if majority passions were aroused.

To counter this possibility, the foundersfavored representative government. The peoplewould vote for able and educated men whowould pass the laws and make governmentaldecisions. The representatives, removed some-what from the passions of the moment, couldmake reasoned judgments and decisions forthe common good rather than for selfish rea-sons. The people would still have a strongvoice in government by exercising their votesto select or remove the representative.

Representative government has some advan-tages. It makes a relatively small groupaccountable for governmental actions. It ismore efficient. Also, when intelligent andexperienced representatives are chosen foroffice, it places power in the hands of thosemost capable of using it wisely.

Representative government also has some dis-advantages. It removes the people from directparticipation in most political decision mak-ing. It creates an elite who might becomemore responsive to special interests than thepeople as a whole. It can make people feel thatthe representatives know best or that theyhave little real say about what goes on in gov-ernment. Either reaction can promote alien-ation or apathy.

POINTS OF INQUIRY

1. Why do you think politics is foundwherever people gather? What doespolitics help people do?

2. Why are political authority and gov-ernment necessary? What are some for-mal institutions that have existed toexercise political authority? How havepeople justified political authority his-torically? What do you think shouldjustify it? Why?

3. Compare and contrast the federal, con-federal, and unitary systems of govern-ment. What are the advantages anddisadvantages of each?

4. What is a system of shared powers?What is a parliamentary system? Whatdo you think are the advantages anddisadvantages of each?

5. What is a republic? How does it differfrom direct democracy? What are themain arguments for and against each?In modern America, what is the differ-ent meaning of the words “republican”and “Republican”?

18

Making America MoreDemocraticSince our nation’s founding, many changeshave been made to make our country a moredemocratic nation. For example, the Constitu-tion has been amended three times to extend

the right to vote. The 15th Amendmentextended it to all racial groups; the 19th, towomen, and the 26th to everyone age 18 orolder. The Constitution was also amended toallow voters to elect U.S. senators. Prior to the17th Amendment, ratified in 1913, each state’slegislature chose its U.S. senators. Many otherproposals have been offered with the intent ofmaking America more democratic.

THE ELECTORAL COLLEGE

In an American election, voters do not direct-ly choose a presidential candidate. Thefounders of the Constitution debated on howthe president should be selected. Some favoreda popular vote (although the practicality ofthis was questionable at the time). They ulti-mately reached a compromise that reflectedour federal system. They placed the final deci-sion of who will be president and vice-presi-

dent in the hands of a separate voting bodycalled the electoral college.

Usually, the electoral college vote accuratelyreflects the will of the larger voting public.But this does not always happen. Each state isgiven a number of electors based on the num-ber of members in the House of Representa-tives plus its two U.S. senators. It is up to thestate legislature to determine how the electorsare selected. Today, every state chooses its elec-tors through a popular vote. When peoplevote, the ballot says the name of the candi-dates for president and vice president. Butpeople are actually voting for a slate of elec-tors committed to a particular candidate. Fol-lowing the election, the slates of electors forthe winning candidate from every state meetin the electoral college and vote for president.

In only three clear-cut instances has the elec-toral college vote gone against the popularvote. In 1876, Rutherford B. Hayes lost thepopular vote by about 300,000 votes. In 1888,Benjamin Harrison lost by about 100,000votes. In 2000, George W. Bush lost by about500,000 votes. All three men won the electoralcollege and the presidency.

Opponents of the electoral college believe it isarchaic and undemocratic. The president, theysay, is the president of all the people andshould be the candidate with the most votes.They urge a constitutional amendment tochange the electoral college.

Supporters say the electoral college reflects ourfederal system. To win the electoral college, acandidate cannot simply campaign in themost populous states, but must also focus onsmaller states. They argue that under the elec-toral college the president represents the wholenation.

VOTER INITIATIVES

In many states, voter initiatives put proposedlegislation on an election ballot. This allowscitizens to vote directly for or against a pro-posed law instead of relying on their electedrepresentatives in the legislature. For an initia-tive to be placed on a ballot, advocates mustfirst collect signatures from registered voters.Then the initiative is placed on the ballot. Inthis way, a simple majority of votes can trans-form a bill into law without being consideredby the legislature. Currently, only state govern-

Two Congressionalpages carry boxes

containing theelectoral college

votes that certifiedGeorge W. Bush as

president of theUnited States.

ments have voter initiative procedures. Thereis no federal initiative process.

The Constitution would have to be amendedto allow for federal voter initiatives. Propo-nents believe that an initiative amendmentwould give more power to the voter. Theyargue that the initiative process would putresponsibility for public policy directly in thehands of America’s voters and that puttingpotential laws on the ballot would attractmore voters to the polls.

Others express doubts about the initiativeprocess. They explain that the legislativeprocess is complex and full of critical checksand balances. Creating a law that is effectiveand that won’t be challenged in the courtsrequires legislative experience and lawmakingskills. They fear that initiatives reduce the leg-islative process to a contest among powergroups to determine who can most effectivelymanipulate the voting public.

CAMPAIGN-FINANCE REFORM

In 1996, $2.2 billion was spent by political par-ties and candidates running for federal office.The 1996 campaign expenditures for PresidentClinton and Republican contender RobertDole reached $250 million by election day.Many Americans believe that too muchmoney is required to finance a modern elec-tion campaign—including vast amounts pay-ing for expensive media ads. To get elected,they say, politicians must approach big busi-ness and special-interest groups for campaignfinancing. In turn, they claim, once politi-cians are elected, the biggest contributors havethe strongest influence on the politicians theysupported.

Advocates for campaign-finance reform arguethat the search for campaign dollars defineshow politicians behave in office. They arguethat even if most legislative decisions areinfluenced by party, ideology, and the needsof their constituency, politicians still pay backcontributors in the countless decisions aboutwhere they focus their lawmaking energy.

But, they argue, political favoritism is onlyone effect of the high cost of political cam-paigns. They point out that costly campaignshinder direct democracy by making it nearlyimpossible for the average citizen to run foroffice.

Supporters of the current campaign financesystem question how the system could bechanged. Will donations be limited? Theyargue that campaign contributions are part ofevery citizen’s rights to free speech and partic-ipation in the political process. They say thatthose who contribute are merely exercisingthese rights. Will the public finance cam-paigns? They say that there is little public sup-port for this.

Others point to democratic nations that haverestructured their campaign-finance laws. Polit-ical fund-raising scandals have continued inthese nations after they have reformed theirfinance laws. The argue that a broad range offactors—an equitable tax policy, an indepen-dent judiciary, adequate pay for legislators andother civil servants, budget disclosures, andparty systems that nurture competition—cancombat legislative corruption more than therules of campaign finance.

19

POINTS OF INQUIRY

1. Do you think the initiative processshould be adopted at the federal level?Explain.

2. Do you think campaign finance reformis necessary? Why or why not?

3. Many times in our history it has beensuggested that the electoral college bechanged. Why do you think it never hasbeen?

20

American citizens can trace their origins toevery region of the world. Unlike people

of many other nations, Americans do notshare a common religion or ethnicity. For theUnited States to survive as a constitutionaldemocracy and as a nation, its people mustembrace certain values, beliefs, and principlesthat reflect the nation’s diversity. These values,beliefs, and principles are expressed in theConstitution. They include justice, equality,

liberty, and promoting the common good.They are reflected in our institutions of gov-ernment and are important for individualsand civil society to flourish. Civil society con-sists of all the many groups and relationshipsin a free society not under government con-trol.

Justice is the quest to correct wrongs, distrib-ute society’s benefits and burdens in a fairway, and make sure that procedures for mak-ing decisions are fair and impartial. Our judi-cial and police institutions are designed topromote justice. Citizens must embrace justiceand make sure that our institutions practice it.

Equality is the quest to make sure that every-one is treated equally by the law. The principleis embodied in the 14th Amendment to theU.S. Constitution and applies to governmen-tal laws and actions. Citizens must strive toassure that groups and individuals, no matter

what race, national origin, or religious creed,are treated fairly by our government and itslaws.

The common good refers to the principle thatwhat benefits the whole of society is moreimportant than individual or selfish advan-tages. This principle is found in many of ourinstitutions and laws. For example, the law ofeminent domain requires property owners tosell their land to the government for publicpurposes such as schools or highways. Draftlaws require individuals to serve in the armedforces to defend the country. Citizens must bewilling to accept the sacrifice of their individ-ual interests to promote the common good.

Of course, many of these values and princi-ples are closely related. In a diverse countrysuch as ours, protecting individual libertyrequires that people be treated equally by thelaw. Similarly, an important component ofjustice is equal treatment before the law.

THE IMPORTANCE OF VOLUNTARISMAND ORGANIZED GROUPS

Essential to American political and social lifeis the role of organized groups and volun-tarism. The right to form groups without gov-ernmental interference is embodied in theFirst Amendment to the Constitution. It givesAmericans the rights to peacefully assembleand petition the government. Over the years,the U.S. Supreme Court has interpreted thisamendment to give Americans the right tofreely associate for political, social, and reli-gious purposes.

Organized groups in America serve importantcivic functions. By joining together, citizenspromote their business, social, and religiousinterests. They can also monitor and influencegovernment actions that might impact theireconomic interests. By joining together, theyalso share information, discuss civic issues,and take part in civic life.

Organized groups have always been importantto the civic life of America. In the colonialexperience and on the frontier, the govern-ment was often far away. People had to bandtogether to establish towns, defend them-

4 The Civil Society

In the 1830s, aFrench aristocratnamed Alexis de

Tocqueville visitedAmerica. Henoticed that

Americans activelyparticipated inpublic affairs.

21

selves, build schools and churches, or clearthe land. To do this, they had to work ingroups.

In the early 1830s, a French aristocrat namedAlexis de Tocqueville visited America toobserve democracy firsthand. He traveledfrom the East Coast to the Mississippi Riverand found it remarkable how Americans were“forever forming associations.” He observed:“In every case, at the head of every newundertaking, where in France you would findthe government . . . in the United States youare sure to find an association.” Tocquevillefound this to be evidence of vibrant democra-cy. For him, such associations demonstratedboth the role of the people in running thecountry and the limited role of the govern-ment.

Throughout American history, associationshave played a key role in local, state, andnational politics. Unions fought for federaland state wage laws, safer working conditions,limitations on the work week, and the right toorganize. During the Progressive era, civicgroups promoted laws to improve governmentand limit corruption. Women formed groupsto win the vote, end child labor, and requirecompulsory education. Professional associa-tions, such as those for lawyers, doctors, andengineers, set requirements for the educationof their members and standards for the prac-tice of the profession. Charitable groupsformed hospitals, established orphanages, cre-ated organizations for disaster relief, and orga-nized associations to feed and clothe thepoor. Even today, researchers have found thatAmericans are more likely to be involved involuntary associations than the citizens ofalmost any other industrialized nation.

America’s tradition of voluntarism can betraced to its beginnings. The Puritans of theMassachusetts Bay Colony, with their strongwork ethic, believed that everyone had theresponsibility to contribute to the bettermentof the community—a community of God inthe new world. Native Americans also had afirm commitment to the needs of communallife; people were often judged not for whatthey possessed, but for what they sacrificedfor the clan and village. As waves of newimmigrants reached America—the Irish, theJews, and the Italians—they often bandedtogether to help the newly arrived.

These traditions in American life have helpedcreate a huge private sector and tended tolimit the role of government. This private sec-tor contributes to filling the needs of societyfor education, health care, and food, clothing,and housing for the less fortunate. Yet, gov-ernment also plays a huge role in meetingthese needs, assuring such things as free pub-lic education, Social Security, welfare, andMedicare benefits. As a result, debates oftenarise about how these responsibilities shouldbe shared. Issues such as national welfarereform, public versus private education, andthe role of government in health care areexamples of these ongoing debates.

POINTS OF INQUIRY

1. How do our institutions of governmentreflect fundamental American valuessuch as justice, liberty, equality, limitedgovernment, and the common good?How do these basic values depend oneach other? How do you think these val-ues are important for the individual andsociety?

2. What is “civil society”? Why is it impor-tant in a democracy? How do you thinkcivil society is treated by authoritarianor totalitarian governments? Why?

3. Throughout American history, voluntarygroups have played a political role. Givethree examples.

4. How have voluntary associations some-times performed the same responsibili-ties as government? What debates havedeveloped because of this?

5. Why do you think voluntary associa-tions have been so important in Ameri-ca throughout its history?

22

National ServiceCommunity service has a long and varied his-tory in America. Alexis de Tocqueville noticedthat Americans frequently met communityneeds by working in volunteer associations. Inthe 19th century, the rapid growth of industri-alization created a new class of philan-thropists and a call for government reform.Reformers pointed to the miserable livingconditions of immigrants, factory workers,children, and the elderly. Successful business-men and civic-minded individuals contributedmoney and formed aid societies to addresscommunity problems.

As the nation grew and the gap betweenwealth and poverty increased, concerned citi-zens searched for a more systematic methodfor redistributing wealth and administeringhuman resources. In 1887, lawyer and novelistEdward Bellamy advocated building a newsociety that featured an “industrial army.” InBellamy’s influential novel, Looking Backward,national service was part of a utopian visionwhere young people contributed to the welfareof the community. In 1910, American philoso-pher William James envisioned a non-militarynational service “for the good of the com-monwealth.” Here, James explained, youngpeople would work in coal mines, build roadsand skyscrapers, and “get the childishnessknocked out of them,” returning to society“with healthier . . . ideas.”

During the 1930s, President Franklin D. Roo-sevelt created the Civilian ConservationCorps (CCC). Supported by tax dollars andadministered through a federal government

agency, the CCC gave jobs to millions ofyoung Americans who had been forced intounemployment by the Great Depression. CCCmembers lived, worked, and even studiedtogether while they maintained the nationalpark system, built roads, prevented soil ero-sion, implemented flood control, and helpedsupport themselves and their families. Morethan 2.5 million Americans between the ageof 18–25 served in the Civilian ConservationCorps.

After World War II, the GI Bill recognizedAmerican veterans’ service to their country byoffering them job placement, educationgrants, and home, farm, and business loans.In 1961, President John F. Kennedy establishedthe Peace Corps, sending young Americans towork in underdeveloped countries in Africa,Asia, and Central and South America. As partof his “War on Poverty,” President Lyndon B.Johnson created VISTA, providing youngAmericans with opportunities to serve full-time in thousands of economically depressedcommunities in the United States.

In the early 1990s, President George Bushauthorized funding for service programs tomany national, state, and local communitygroups. In 1993, President Clinton signed theNational Community Service Trust Act. Thisact created AmeriCorps and the Corporationfor National Service in an attempt to increaseopportunities for young people to serve theircommunities. VISTA became part of Ameri-Corps. In addition, many U.S. cities and statesoperate small-scale versions of the CCC andVISTA programs.

TO SERVE OR NOT TO SERVE

In times of war, Americans are asked to servein the military. As voting-age citizens, we arerequired to serve on juries in the nation’scourtrooms. Some school districts require thatstudents perform a certain number of hoursof public service. Beyond educational servicerequirements, military conscription, and juryduty, service to America’s communities,including the right to vote, has remained astrictly volunteer responsibility. Since the mili-tary draft was abolished in 1973, young Ameri-cans have not been required to contribute anyservice to the nation. Should American youthbe required to contribute some service to thenation?

During the GreatDepression, the

Civilian ConservationCorps (CCC)

employed and trainedover 2 million young

people in the nation’slargest service

program.

23

Advocates of compulsory national servicebelieve that all young Americans should berequired to serve their country in some way.They point to potential advantages offered bya compulsory national-service program. Sucha program could:

Provide human resources for problem solv-ing. The nation’s labor needs are changingrapidly. Industry and service jobs are beingrapidly automated. But many jobs cannot beperformed by computers and other machin-ery. National service could provide much-needed human resources for the nation’sschools, its hospitals, its social-service organi-zations, and nature-conservation and environ-mental-protection groups.

Teach civic responsibility. National servicecould become a rite of passage that helps cre-ate mature, well-rounded adults who know thevalue of caring for others, who can respondto the needs of their communities, and whohave learned important leadership skills.

Foster equality. National service could bringyoung people of different backgrounds togeth-er, thus combating racial, ethnic, and socialfragmentation. The integration of the U.S.armed forces demonstrates that people whowork together tend to overcome prejudicesand biases.

Provide educational opportunity. Beyondthe skills and values that national servicecould teach to young people, national servicecould raise the aspirations of those who serveby convincing them that they are capable ofgreater things.

Those advocating compulsory national serviceare divided over whether the all-volunteerarmed services should be eliminated. Thosefavoring eliminating them argue that militaryservice is a basic civic duty, and young peoplefrom all segments of society should berequired to participate. They would have allyoung people take part in some sort of ser-vice—military or civilian. Others see no reasonto eliminate the all-volunteer army. Theyargue it has been successful, and those volun-teering for the armed services would beexempt from the civilian service requirement.

In any case, advocates of compulsory nationalservice believe everyone would win if it wereinstituted. The nation would get much-needed

workers. Young people would gain valuablework experience while fulfilling an importantcivic responsibility.

Critics of compulsory national service pointout that Americans have volunteered to servetheir communities since the nation’s found-ing. They argue that a national service pro-gram sends the message that the duty of giv-ing—and the job of deciding who is to receivethe gift—belongs to the government, not tothe individual. They doubt that compulsoryservice would stimulate a greater sense of civicresponsibility in young people.

For critics, compulsory national service alsoraises several troubling questions about indi-vidual rights and liberties. Without a com-pelling national need such as defense in timeof war, should Americans be “drafted” intoservice? In the Declaration of Independence,the founders were champions of “the right tolife, liberty and the pursuit of happiness.” Ser-vice should be an individual choice, not arequirement of all, they say. Wouldn’t such aprogram interfere with the individual freedomof young Americans? Critics say that becauseit would be forced upon Americans, it mightbe difficult to motivate and manage unwillingparticipants.

Finally, there is the practical question ofmoney. Critics argue that maintaining a com-pulsory national-service program would beprohibitively expensive. They point out thattax money raised for a national service pro-gram would leave Americans with less moneyto donate to charities. They believe the costswould far outweigh the benefits.

POINTS OF INQUIRY

1. What value do you think national ser-vice has?

2. What national service programs in thepast do you think were most valuable?Why?

3. What is mandatory national service?What would be its advantages? Itsdisadvantages?

24

America is a diverse country. Its diversitytakes many forms. It is racially and ethi-

cally diverse, having significant numbers ofcitizens of all races and major ethnic groups.There is great religious diversity: Catholics,Protestants, Mormons, Jews, Muslims, Hin-dus, Sikhs, Bahais, Wiccans, and Native

American faiths are allrepresented. There is avast range of socioeco-nomic levels from thevery rich to the verypoor. There are regionaldifferences from NewEngland to the Far West,from the Deep South tothe Great Lakes. ThoughEnglish is the predomi-nate language, our citi-zens speak scores of dif-ferent languages.

Throughout our history,diversity has had a signif-icant impact on our soci-ety and its politics.Before and during the

Civil War, the issue of slavery tore Americaapart. During Western expansion, settlersclashed with Native Americans, and debatesraged about how to address the “Indian ques-tion.” In the late 19th century, immigrationbecame an issue leading to the exclusion ofvarious Asian peoples. The Irish, a despisedimmigrant group when they arrived, foughtfor acceptance and established strong politicalbases in urban areas such as New York,Boston, and Chicago. The 20th century hasseen the struggle of blacks and other minori-ties for equal protection of the law—a strugglewaged in the courts, in the halls of Congress,and in protest demonstrations.

Viewpoints differ about the role and value ofdiversity in American life. Many believe thatdiversity is among America’s greateststrengths. It infuses American life with numer-ous rich traditions, not just one. It enrichesour culture with new ideas, numerous artforms, and a wide array of music, foods, holi-days, and beliefs. Others view diversity, and

the issues that it presents about the treatmentof minorities, as a challenge to our societyand its political system. Some worry that theongoing focus on diversity and its celebrationin American life creates destructive tensionsin our society leading to division and conflict.

Yet conflicts over diversity are an ongoingreality in American society. Those noting thedisparity in economic prosperity betweenwhites and blacks and other minorities seekprograms and policies to achieve greaterequality. Debates over affirmative action inemployment and education mirror this con-flict. Religious groups who favor prayer or theposting of the Ten Commandments in publicschools claim that their rights of free expres-sion about religion are denied. Advocates forbetter opportunities for women seek greaterequality in pay and promotion in the work-place. Gay and lesbian advocates struggle foranti-discrimination laws and the right to liveas domestic partners.

MANAGING CONFLICTS USING ACONSTITUTIONAL FRAMEWORK

Conflicts over diversity must be managedaccording to constitutional values and princi-ples. For example, the 14th Amendment of theU.S. Constitution forbids states from makingor enforcing a law that denies any person“equal protection of the law.” This amend-ment was passed after the Civil War to assurethat the newly freed slaves would be treatedfairly.

Because of numerous decisions of the U.S.Supreme Court, the equal protection clause ofthe 14th Amendment has become a powerfultool for resolving conflicts over diversity. Ithas been used to strike down many laws andgovernment practices that discriminate againstAmericans.

The commerce clause (Article I, Section 8 ofthe Constitution) is another provision thathas been used to resolve conflicts over diversi-ty and protect minority rights. It gives Con-gress the power to “regulate Commerce . . .among the several states.” Congress has usedthis power to fight discrimination in businessand in the workplace.

5 Diversity and Equality

DuringReconstruction,

black Americansparticipated in the

electoral process forthe first time. By1877, U.S. voters

had sent 22 blackrepresentatives to

Congress.

Other constitutional provisions also regulateconflicts over diversity. The First Amendmentforbids Congress from making any lawrespecting the establishment of religion orprohibiting the free exercise of religion. Overthe years, this amendment has protected reli-gious minorities from interference with theirreligious practices.

As has been noted, Article I has granted Con-gress many powers. Congress has used thesepowers to help resolve conflicts over diversityand protect minorities. For example, by pass-ing the Americans With Disabilities Act, Con-gress sought to assure that those with disabili-ties would receive appropriate access to travelfacilities, the workplace, and businessesthroughout America.

Not all of America’s conflicts over diversityhave been resolved, nor are they likely to be.The values and principles described in theConstitution set an ideal. They are also sub-ject to interpretation. Disagreements andstruggles will continue over how closely thereality of equality is to the ideal of equality inAmerican life. Only on one issue must Ameri-cans agree. The struggle over equality must bewithin the context of our constitutional sys-tem of government.

Should Students Havethe Right to LeadPrayers at PublicSchool Events?Religion and high school football are strongtraditions in Santa Fe, Texas. Both traditionscombined in the fall of 1999 when Santa FeHigh School senior Marian Lynn Ward usedthe press box microphone at the school’s foot-ball stadium to say a brief pregame prayer.After asking God to watch over those presentand to inspire good sportsmanship, Marianended by saying, “In Jesus’s name I pray.Amen.” The 4,000 students and adults in thestands enthusiastically cheered the 17-year-oldSanta Fe student.

The previous spring, the student body atSanta Fe High had elected Marian to deliveran “invocation and/or message” of her choiceat each of the football home games. This wasin line with a school board policy. That poli-cy was challenged in a case that eventuallyreached the U.S. Supreme Court. The courthad never before decided a case of a student-led prayer at a school event.

THE CHURCH, THE STATE, AND THEPUBLIC SCHOOLS

The First Amendment of the Bill of Rightssays two things about religion. It prohibitsCongress from passing any laws that wouldestablish an officially approved religion, and itguarantees that individuals may exercise theirown religious beliefs. (The two clauses areknown as the establishment clause and free-exercise clause.) Due to the 14th Amendment,state and local governments, including agen-cies like the public schools, are also bound bythese First Amendment clauses.

The creators of the First Amendment knewfrom experience that establishing an officialreligion was dangerous, because governmentcould use its power to force people to worshipin a certain way. During colonial times, reli-gious groups like the Baptists and Quakerswere often persecuted in communities wherethey were in the minority.

Religion, especially as practiced by the Christ-ian majority, has always had an importantinfluence in American society. Official 25

POINTS OF INQUIRY

1. In what ways is America a diverse soci-ety? What are some different viewpointsabout the role and value of diversity inAmerican life? How has diversity affect-ed American politics?

2. What are some conflicts in Americanhistory that have taken place over diver-sity? Why do you think some of theseconflicts have been resolved and othershave not?

3. Why do you think constitutional princi-ples must be followed when managingconflicts with diversity?

4. What gaps are there between the ideal ofequality and actual equality in Americansociety? What efforts do you knowabout that have reduced these gaps? Doyou think ideals, like the ideal of equali-ty, are important? Explain.

26

state-supported Christian churches were even-tually “disestablished” after the adoption ofthe Bill of Rights. But Christian religiouspractices remained a part of public life inmany states. For example, mandatory dailyprayers, Bible readings, and similar devotionalexercises were common in public schools.

But starting in the 1960s, the U.S. SupremeCourt began to abolish adult-led prayers inthe public schools. The Supreme Court ruledthat such practices established a government-approved religion, in most cases Christianity,which violated the establishment clause of theFirst Amendment. To avoid this situation,public schools had to appear strictly neutraland neither endorse nor oppose religion.

Some argued that prayers should continue inschools, and those students who did not wantto participate in them could remain silent orbe excused. But the Supreme Court pointedout that this would brand the non-participat-ing students as outsiders and subject them toridicule and harassment by their peers.

Over the next few decades, the SupremeCourt generally continued to restrict the roleof religion in the public schools. An excep-tion was a decision in 1990 involving a highschool that refused to permit a Christian clubto form. The high court ruled that studentscould voluntarily meet outside of instruction-al time to exercise their right of religiousspeech. [Westside Community Schools v. Mergens,496 U.S. 226 (1990)]

Two years later, though, the Supreme Courtheld that a public school inviting a clergymanto give an invocation and benediction at agraduation ceremony violated the establish-ment clause. The court found that becauseschool graduations are such important eventsin the lives of young people, students are real-ly compelled to attend them. In such a set-ting, the court concluded, students should notbe forced to participate in a religious exercisethat might violate their beliefs. [Lee v. Weis-man, 505 U.S. 577 (1992)]

STUDENT-LED PRAYER

Santa Fe is a heavily Baptist community ofabout 8,000 people on the Gulf Coast ofTexas. In April 1995, a Catholic and a Mor-mon family both sued the Santa Fe publicschool district for failing to stop persistentreligious practices in the schools. The federaldistrict court allowed the two plaintiff fami-lies to file their lawsuit under the assumedname “Jane Doe” because of allegations ofintimidation by school authorities.

The plaintiffs objected to teachers promotingtheir religious views in the classroom, schooladministrators permitting Bibles to be distrib-uted on the campuses, and a long history ofChristian prayers at graduations and athleticevents. The federal district court found inci-dents in which students and even some teach-ers harassed those who did not accept theBibles and did not participate in prayers atschool events.

By fall 1995, the school board had developed apolicy covering football games. It permittedstudents to deliver a brief “invocation and/ormessage to be delivered during the pregameceremonies of home varsity football games tosolemnize the event, to promote good sports-manship and student safety, and to establishthe appropriate environment for the competi-tion.”

The policy went on to describe a procedurefor two special student elections each spring.One would decide in a secret ballot whetherthe majority of Santa Fe High students want-ed a pregame “invocation and/or message.”The second vote, also by secret ballot, wouldchoose a student volunteer to deliver it. Thestudent who was chosen, like Marian LynnWard in 1999, could then decide what to say, as

In Santa Fe, Texas,supporters rally in

favor of student-led prayer at

school events.

long as this was “consistent with the goals andpurposes of the policy.”

The federal district court ordered that onlynon-sectarian prayers were permitted. Onappeal, the U.S. circuit court decided that thepolicy was unconstitutional. The school boardappealed to the U.S. Supreme Court [Santa FeIndependent School District v. Jane Doe et al.(2000)].

When this case reached the Supreme Court inMarch 2000, the justices agreed to decide thefollowing issue: “Whether [the school board]policy permitting student-led, student initiatedprayer at football games violated the Estab-lishment Clause.” The attorneys for the SantaFe Independent School District made thesemain points in their written brief to theSupreme Court:

1. The school board policy does not violatethe establishment clause because the deci-sions whether to have a pregame “invoca-tion and/or message,” who will deliver it,and what the student will say is entirely inthe hands of students exercising theirFirst Amendment rights.

2. The school board policy is neutral anddoes not endorse any religion.

3. The student-led “invocation and/or mes-sage” could be a prayer, if the studentchooses, or, it could be a non-religiousstatement that conforms to the stated pur-poses of the school board policy.

4. The school board policy has non-religiouspurposes such as promoting student freespeech and good sportsmanship.

5. The “invocation and/or message” is deliv-ered by a student at a sports event outsideof school hours before a mix of studentsand adults who are attending voluntarily.

The attorneys for the anonymous Catholicand Mormon families made these main pointsin their written brief to the Supreme Court:

1. The school board policy does violate theestablishment clause because using theword “invocation” plus the long traditionof pregame Christian prayers at Santa FeHigh football games clearly show a schoolendorsement of the community’s domi-nant religion.

2. The two-part election procedure in theschool board policy leaves little doubtthat the views of the religious majority(mainly Baptists) will be imposed onthose who hold different beliefs.

3. The school is not neutral and uninvolvedsince the student-led prayer can only bedelivered during the school’s pregame cer-emony, over the school stadium’s publicaddress system, before a crowd assembledon school property for a school-spon-sored event.

4. Football team members, band members,and cheerleaders must attend the school’sfootball games. If any of them chose notparticipate in the pregame student-ledprayer, they could be harassed by othersboth at the game and later on at school.

5. The school board policy is a shamdesigned to make sure that the longstand-ing practice of Christian prayers remainsan official Santa Fe High School tradi-tion.

27

POINTS OF INQUIRY

1. What is the establishment clause? Whatis its purpose?

2. Do you think the establishment clauseis important? Explain.

3. What do you think are the strongestarguments on each side in the student-led prayer case?

28

Constitutional democracy can be a messybusiness. Even though our government is

guided by constitutional values and principles,people can disagree about what they mean orhow they should be applied.

Our society has many different values. Forexample, we value the rights to privacy, toexpress ourselves, to freedom of association,to practice our religion, to a free press, and toprotections against governmental intrusion.These rights are found in the First, Fourth,and 14th amendments to our Constitution.But what happens if these values come intoconflict?

In many cases, reporters investigating a storyturn up information that normally is private.By reporting on the story, private informationis revealed to the public. Society values both afree press and individual privacy, so a conflictcan arise.

There are many such conflicts in a constitu-tional democracy. We value the right of peopleto own private property. But sometimes therights of property owners conflict with thelegitimate needs of society. What if a property

owner builds a house on his property thatblocks the view of other homeowners? What ifa property owner’s building is sitting on landneeded for a military base?

Conflicts can be even more basic. In general,we value individual liberty—the right of peo-ple to pursue their own interests as long asthey do not infringe on the rights of others.But we have also granted our elected represen-tatives the authority to make laws that some-times can limit individual liberty. What hap-pens when legitimate authority comes intoconflict with individual liberty?

Another conflict can arise when people agreeon the basic principles of constitutionaldemocracy, but disagree when it comes toapplying them to certain issues. Consider thedeath penalty. Everyone agrees that taking ahuman life is wrong. Those who support thedeath penalty argue that to stop people frommurdering, the death penalty is appropriate.Those who oppose the death penalty argue itis wrong for the government to take a lifeeven of someone who has murdered. Bothsides support the same basic principles, buthave different ideas about how they should beapplied to the death penalty.

Conflicts can also arise among groups, eachwith legitimate interests. Businesses want toprovide goods or services to their customerswhile making as much profit as possible.Organized labor wants to assure adequatejobs, wages, and safety in the workplace. Thegovernment needs to regulate commerce andpromote the economy for the benefit of thepublic as a whole.

Throughout our history, the interests of busi-ness, labor, and the government have causedconflict. In the 19th and early 20th centuries,business often resisted labor’s efforts to orga-nize, sometimes resorting to violence. Laborretaliated with strikes and violence of its own.The government passed laws assuring labor’sright to organize, but sometimes acted to endstrikes. The government’s attempts to regulatebusiness have also led to conflict. Over theyears, these conflicts have created many politi-cal issues and the passage of many laws.

6 Conflicts

Although the U.S.Constitution calls for

equal protectionunder the law,

conflicts can stillarise between

groups. Here, millworkers and federal

troops face eachother in a 1912 strike.

LESSENING AND RESOLVINGCONFLICTS

Fortunately for America’s constitutionaldemocracy, most conflicts are resolved politi-cally or by resort to the legal system. On apolitical level, groups on either side of a con-flict often seek to settle the issues by gettingthe legislature to pass a law. Representativesare contacted and educated about the prob-lem. Groups support the election of candi-dates who support their point of view. Lawsare drafted, debated, and passed. But that doesnot end the story. Even those who oppose thepassage of a particular law are not out of luck.They can continue to work politically to getthe law repealed or to pass other laws that willserve their interests. Many groups at onepoint defeated in the political process haveultimately achieved success.

A classic example is America’s long strugglewith the issue of the prohibition of alcohol.The “drys,” those who wished to outlaw themanufacture and sale of alcoholic beverages,believed that alcohol ruined peoples’ health,hurt work productivity, contributed to crime,and destroyed families. For decades, theyworked politically for prohibition laws, first atthe local level and then nationally. Through-out the process, they persuaded many stateand national legislators, particularly Republi-cans, to support the cause. Finally, in 1919they succeeded in passing the 18th Amend-ment to the U.S. Constitution. The “wets,”who opposed prohibition, fought the passageof the amendment, but were defeated. For 13years, prohibition was the law of the land.During this time, the wets continued tooppose the law and tried to influence thepolitical system to repeal the amendment.Ultimately, America’s experiment with prohi-bition failed. It caused more problems than itsolved. Many people violated the law by smug-gling alcohol, leading to the rise of organizedcrime. Millions of Americans continued todrink anyway. Finally, in the midst of theGreat Depression and with the return of theDemocrats to power in Congress, the 18thAmendment was repealed.

The case of prohibition also demonstrateshow a “loyal opposition” in America’sconstitutional democracy helps lessen whatcould be a destructive conflict. In spite oftheir strong beliefs, the wets stayed loyal to

the political process even after their defeat, asdid the drys even after their long-fought-foramendment was repealed. Both sides contin-ued to work politically for what they believedin, but agreed to resolve the conflict usingconstitutional means.

The legal system provides another way inwhich conflicts are lessened in America.Courts are called on to interpret the Constitu-tion to resolve conflicts over its meaning.They also interpret laws to determine how aconflict should be resolved.

Finally, American culture itself can helpresolve conflicts that might otherwise be divi-sive and destructive. Despite our differences,we share many things in common. Universalpublic education gives all Americans a com-mon grounding in core beliefs and approach-es to problems. We share many of the sameexperiences and cultural attributes. Popularcultural activities such as television, sports,movies, and music help bring us together.These factors help us overcome even deeppolitical, economic, and social conflictsthrough the realization that in spite of ourdifferences, we are all Americans and have acommon bond.

29

POINTS OF INQUIRY

1. What are some examples of conflictsbetween basic values or principles?

2. Why might people agree on values in theabstract but disagree on specific issues?

3. How have organized labor, business, andgovernment been involved in politicalconflicts?

4. How have recourse to the legal and polit-ical system and the concept of loyalopposition lessened the divisiveness ofpolitical conflict in the United States?What other factors have contributed tolessening divisiveness and how have theydone so?

30

Zoning and EminentDomainThe ownership of property is important toAmerica’s system of ordered liberty. Owner-ship and the right to use property are protect-ed by the Constitution and the law. For exam-ple, someone who owns land generally has theright to use the land as he or she sees fit,transfer or sell the land, or borrow moneyagainst the land.

At the same time, under the Constitution,governments have what are called police pow-ers. Police power is the right of the federal,state, or local governments to limit the rightsof individuals to assure order and the welfareof society. For example, an owner cannot useland to conduct illegal activities or do some-thing that would endanger the neighborhood.

The police power also allows the governmentto restrict the use of property through zoninglaws or force an owner to give up his or herland under the exercise of eminent domain.This power can sometimes conflict with aproperty owner’s rights.

Zoning is a system of land control that givesgovernments the power to define the use ofland in certain areas. Zoning laws are usuallyenacted by a city or county. The city or coun-ty must be given authority by the state, butonce this is done, the local government usesits police power to write and enforce its ownzoning laws.

Zoning can be used to achieve aesthetic goalsor to promote the health, safety, and welfareof the community. Its most basic use, howev-er, is to protect landowners against economicloss by preventing conflicting land use. Forexample, the value of your house would prob-ably decline if an oil refinery were built acrossthe street. Your home is a residence, and therefinery is an industry. These two uses of landconflict with one another. Zoning lawsattempt to separate any conflicting use ofland.

Zoning laws deal with conflicting use by estab-lishing a system of priorities based on usevalue. Usually, housing is considered the mosthighly valued use of land. All other uses—commercial and industrial, social, even envi-

ronmental uses—are ranked lower. Housing isassigned one area, shopping centers another,while heavy industry and manufacturingplants are located in a different place. Acement factory can’t be built in a residentialneighborhood because the noise and pollu-tion would destroy the desirability of the land.

Zoning laws, like other laws, must meet con-stitutional standards. They cannot violate theclause in the 14th Amendment that requiresdue process of law. This means that alandowner whose property may be affected bya zoning law must receive notice of theaction, must have an opportunity to appear ata hearing about the action, and can challengethe action in court.

Neither can a zoning law violate the equalprotection clause of the 14th Amendment. Itrequires that landowners who are similar betreated similarly. It also prohibits zoning lawsfrom discriminating against property ownerson the basis of race or other factors.

Under the power of eminent domain, a gov-ernment can take ownership of private proper-ty if it satisfies two conditions stated in theFifth Amendment. First, it must be for a“public use.” For example, a city governmentmight want to take private property to buildor expand a park, build a highway, or con-struct a hospital. The second condition is thatit pays “just compensation” for the propertytaken. Much litigation takes place in courtsover eminent domain. Most of it concernswhether a government is offering just com-pensation for the property.

Governments sometimes use the power ofeminent domain to protect the environment.Taking land for environmental reasons gener-ally falls under two categories: (1) controllingpollution and (2) preserving natural areas.Both types of taking can be highly controver-sial and sometimes go beyond the scope oflocal government.

The San Jacinto and Santa Rosa mountainranges of California are home to wild animalsincluding bighorn sheep, desert tortoises,mountain lions, and golden eagles. Theseslopes are also popular recreation areas forhikers and nature lovers. In recent years, thesesame mountains have also been considered as

possible locations for luxury homes, touristresorts, and golf courses.

Concerned about the loss of these wildernessareas to developers, local citizens persuaded amember of Congress to propose that the SanJacinto and Santa Rosa mountains be desig-nated as a national monument. The nearbycity of Palm Springs and a group of privateproperty owners opposed the bill, believingthe monument would deprive the area ofneeded economic opportunity. Represented bya second Congressman, they tried to amendthe proposal to protect the rights of privateproperty owners whose land would be takenby eminent domain.

The national monument bill changed daily.Environmental groups called for stricter pro-tections and expanded boundaries. Developersand city officials sought to strengthen therights of property owners and limit theamount of money available so less land couldbe acquired. Eventually a compromise wasstruck that established the national monu-ment, but limited the land taken by eminentdomain and allowed air traffic into PalmSprings to fly over the nature preserve. 31

POINTS OF INQUIRY

1. What are some rights usually associatedwith the ownership of property?

2. What provisions of the Constitutionhelp protect property owners? Whatpower does the government have to pro-tect the interests of the general public?

3. How do zoning laws reduce conflictover land use?

4. When is just compensation called forunder the Fifth Amendment?

Present-day zoning laws prevent conflicting land use. In this early 20th-century industrial community,homes were built adjacent to factories without regard for property use or public health.

32

The organization and powers of the nation-al government are outlined in Articles I to

III of the U.S. Constitution.

Article I vests all legislative power in a Con-gress made up of two houses: the Senate and

the House of Representatives.Members of the House servefor two years and must be U.S.citizens for seven years and atleast 25 years old when elected.Each state gets to elect a certainnumber of representativesdepending on the size of itspopulation. Currently, there are535 representatives. The Houseselects a speaker and has thesole power of impeachment.

Members of the Senate servefor six years and must be atleast 35 years old and U.S. citi-zens for nine years. Each stategets to elect two senators. Cur-rently, there are 100 senators.The vice president serves aspresident of the Senate, butmay only vote in the case of atie. The Senate chooses its offi-

cers including a temporary president to takeover when the vice president is absent. TheSenate tries all cases of impeachment.

All bills for raising money or taxes must orig-inate in the House. A bill is a proposed law.All other kinds of bills can begin in eitherhouse. Both houses of Congress must pass abill by a majority vote before it is sent to thepresident of the United States for signing. Ifthe president signs the bill, it becomes law. Ifhe or she does not, the bill is returned to thehouse that originated it with the president’sobjections. This is called a veto. If that housepasses it by a two-thirds vote, it goes with theobjections to the other house. If that housepasses it with a two-thirds majority, it becomeslaw. If not, it is rejected.

In general, Congress has the power to tax andraise revenues, pay the government’s debts,

and provide for the defense and welfare of thecountry. Its domestic powers include the rightto borrow money, regulate commerce, main-tain a monetary system, and establish federalcourts inferior to the Supreme Court. Its mili-tary and foreign affairs powers include theright to raise and support land and navalforces, declare war, and regulate immigration.In addition, Congress has the right to makeall laws “necessary and proper” for carryingout all of its powers.

THE EXECUTIVE BRANCH

Article II vests the executive power in the pres-ident of the United States. The president andvice president are elected every four years, butnot by popular vote. Instead, they are chosenby a system of electors, sometimes called theelectoral college. Each state has a number ofelectors equal to the combined number of sen-ators and representatives in the state. The elec-tors are chosen by the party whose candidatewins the popular vote in that state. The elec-tors then vote for the presidential candidates,and the one with the majority of votesbecomes president.

To be president, a person must be at least 35years old, be a natural-born citizen, and haveresided in the country for at least 14 years.

The president, besides being the chief execu-tive of the country, has numerous powers. Thepresident is commander in chief of the armyand navy. The president, with the advice andconsent of the Senate, appoints ambassadors,Supreme Court justices and federal courtjudges, and many major officers of the U.S.government.

The president presides over the cabinet depart-ments of government: State, Defense, Justice,Education, Commerce, Labor, Energy, Healthand Human Services, Interior, Agriculture,Housing and Urban Development, Treasury,and Transportation. Each is headed by a secre-tary appointed by the president.

In addition, the president supervises indepen-dent executive agencies separate from the

7 National Government andTaxation

In addition toprotecting the rights

of its citizens, theU.S. Constitution

also describes thestructure of the

federal government.

cabinet departments. Among the best knownare the U.S. Postal Service, the VeteransAdministration, and the National Aeronauticsand Space Administration (NASA). Each ofthese agencies tends to focus on one majorfunction or task.

THE JUDICIAL BRANCH

Article III vests judicial power in the U.S.Supreme Court and lower federal courts creat-ed by Congress. The federal court system hasthree main levels.

The Supreme Court is made up of one chiefjustice and eight associate justices. Justices areappointed by the president and confirmed bythe Senate. The Supreme Court hears casesappealed to it from lower federal courts orfrom state supreme courts when their caseshave federal questions.

The next level consists of the 13 U.S. Courtsof Appeals. Each Court of Appeals hears casesthat arise in one of the country’s judicial cir-cuits. Courts of Appeals have between six and30 judges depending on the caseload of thecircuit. These are appellate courts and onlyhear cases from lower courts.

The trial level of the federal court system con-sists of 91 district courts. These courts con-duct trials on all federal criminal and civilmatters.

In addition, the federal government has inde-pendent regulatory commissions and agenciessuch as the Federal Communications Com-mission (FCC), the Federal Trade Commis-sion, and the Securities Exchange Commis-sion (SEC). These agencies regulate aspects ofsocial and economic life. For example, theFCC regulates radio and television broadcast-ing, and the SEC regulates stock trading.These agencies have legislative, executive, andjudicial powers. They make federal rules regu-lating the industry, they enforce existing fed-eral rules, and they determine whether ruleshave been violated.

THE IMPACT OF THE FEDERALGOVERNMENT

The policies and practices of the federal gov-ernment affect the everyday lives of Americancitizens. If the Federal Reserve Board raises theamount the federal government will charge onloans to banks, mortgage rates increase

around the country. If Congress decides toestablish a new trade policy, it can affect theamount Americans pay for goods fromaround the world. Decisions of the presidentand the National Security Council can sendtroops abroad and activate the NationalGuard.

Some people believe that the federal govern-ment is too powerful and intrudes into thelives of Americans. They argue that the costsof government are too high, causing Ameri-cans to pay high taxes. They argue that thefederal government should stay out of certainareas such as health care, education, and childcare. Control of these functions should be leftto local government or private enterprise.

Others believe that the federal governmentneeds to be strong to meet the nation’sdomestic needs and to promote Americaninterests around the world. They argue thatwhile Americans pay significant taxes, theyalso receive important services. They pointout that the American tax burden is lowerthan that of most industrialized nations. Theycontend that the federal government must beinvolved in education, health care, and childcare so that all Americans, no matter theireconomic condition or where they live, receivebasic services.

The debates over the size and power of thefederal government are ones of degree.Though arguments will continue over the fed-eral role in various sectors, most people agreethat the world’s most powerful country needsa strong national government.

33

POINTS OF INQUIRY

1. What is the purpose and organization ofeach of the three branches of the federalgovernment?

2. Name two independent federal regula-tory agencies. What does each do? Whatfunctions does each have?

3. How can the government’s foreign andtrade policies affect the lives of ordinarycitizens?

4. What are some pro and con argumentsover involving the federal government insolving domestic problems such as edu-cation, health care, and child care?

34

Tax Debates“Taxes are what we pay for civilized society.”

—Oliver Wendell Holmes Jr.

Some say that the power to tax its citizens isthe measure of a government’s legitimacy.One reason that the nation’s founders met todraw up the U.S. Constitution was moneyproblems. The young American governmenthad battled its way to independence fromGreat Britain, but had no power to raisemoney to pay its bills. Under the Articles ofConfederation, the U.S. government did nothave the power to tax American citizens. Arti-cle I of the U.S. Constitution includes instruc-tions on how the nation’s citizens should betaxed.

In 1913, the 16th Amendment to the U.S. Con-stitution was ratified. It allowed Congress toestablish the income tax. Before 1913, mostfederal revenues were raised from taxes ongoods—tariffs on imported products andexcise taxes on items like whiskey. The burdenof these taxes fell heavily on working Ameri-cans, who spent a much higher percentage oftheir income on goods than rich people did.

When a tax takes a larger portion of a poorperson’s income than a rich person’s income,economists refer to it as regressive. In con-trast, the U.S. income tax is called progressivebecause it is a graduated tax: Individuals witha higher annual income are taxed at a higher

rate than individuals with low incomes. In1999, for example, income tax rates for singlepersons began at 15 percent for annualincomes from $0–$25,750 and moved steadilyupward until the federal government tooknearly 40 percent of an annual income of$280,000 or more.

For more than a century in the United States,state and local taxes far exceeded the revenuescollected by the federal government. In the1930s, President Franklin D. Roosevelt’s NewDeal legislation relieved many Depression-erahardships by providing social services for mil-lions, but this legislation also greatly increasedthe amount of money needed by the federalgovernment. World War II also hiked up thefederal budget. By 1947, federal revenues werethree times greater than all state and local rev-enues combined. Currently, the federal govern-ment takes two dollars in tax revenue forevery dollar taken by the state to meet a feder-al budget of $1.8 trillion.

Where does the money come from to run thefederal government? Individual income taxesbring in the most revenue, providing a 48 per-cent slice of the federal revenue pie. SocialSecurity taxes, also taken from people’s wagesor salaries, run a close second, bringing in 34percent of federal revenue. Taxes on corpora-tions create 10 percent of federal revenue, fed-eral excise taxes contribute 4 percent, andother taxes bring in the final 4 percent. (Prop-erty taxes, business taxes, and most sales taxesremain the domain of state and local govern-ment.)

The individual taxpayer’s burden hasincreased since the graduated income tax wasinitiated in 1913. For example, in 1958, an aver-age family paid about 14 percent of its incometo the federal government in income taxes. In1998, the same family paid about 25 percentof its income to the Internal Revenue Service,the federal agency in charge of taxation. Thishigh percentage raises questions about the sizeof the tax burden, from whom taxes shouldbe collected, and what the government usesthe funds for. Arguments for—and against—taxreform abound in Congress. There are a num-ber of proposals that have been put forth inrecent years.

Income taxes48%

Social Securitypayroll taxes

34%

Corporateincome taxes

10%

Excise taxes4%

Other 4%

Before 1913, federalrevenue was raisedlargely from taxes

on the importationand sale of goods.Today, government

collects taxes from avariety of sources.

THE FEDERAL DOLLAR: WHERE IT COMES FROM

NATIONAL SALES TAX

This plan would impose a sales tax on thepurchase of most products and services(except basic necessities like food). Nationalsales tax planners suggest that the governmentabolish the income tax and the Internal Rev-enue Service. Other taxes on financial hold-ings and transactions such as the estate tax,which taxes inheritances, would also be abol-ished.

The great advantage to this tax plan is its sim-plicity. There would be no complex tax formsto file. Frugal spenders would be rewarded bypaying less in taxes. People would be able tosave more income, and corporations and busi-nesses would only have to pay taxes on theirexpenditures, potentially lowering overhead.Imports would face the same sales tax, thusimproving the balance of trade.

Opponents to the national sales tax planargue that a national sales tax would be regres-sive: It would put an unfair burden on low-income families who pay out a larger percent-age of their income for consumable items.Critics also point out that state and local gov-ernments would also have to adjust their tax-collecting methods, most of which are mod-eled on the way the federal government col-lects money. In addition, say critics, a tax planof this scale would be difficult to enforce.

THE FLAT TAX

This plan would establish a single income-taxrate for all income levels. A family whoseincome totaled less than $25,000 would beexempt from taxation. All deductions includ-ing mortgage interest and other homeowners’deductions would be eliminated. Tax returnswould be completed on a single-page form eas-ily processed by the IRS.

Advocates point to the simplicity of a systemthat calls for a single (or flat) tax rate for alltaxpayers. They see the current code as com-plex and wasteful. Many believe that for a taxcode to be fair, individuals should not be dis-criminated against for having more income.

Opponents of the flat tax call the systemregressive. Because a flat tax would take moremoney proportionally from people at lowerincome levels, critics consider it unfair. Someestimates show that the typical family would

pay close to $2,000 a year in additional taxesunder the flat tax. Very rich people, however,might get tax cuts averaging more than$50,000 each. Critics also point out that manyhomeowners depend on tax breaks such asmortgage deductions to balance their budgets.

VALUE-ADDED TAX

Most European countries raise substantialamounts of revenue with a value-added tax.This is a form of national sales tax collectedby the government at every stage goods areproduced and distributed. It is ultimately asales tax because manufacturers and businessesadd the cost of the tax to the price that theconsumer finally pays. Some European coun-tries have a value-added tax rate of nearly 40percent. To equal federal revenue now raisedby the graduated income tax, the UnitedStates would have to have a value-added taxrate of at least 25 percent. This would showup in substantially higher consumer prices,although some products like basic food itemscould be exempted or taxed at lower rates.While collecting the value-added tax frommanufacturers and businesses would probablyexpand the IRS bureaucracy, individualswould have no annual tax returns to file orincome tax to pay.

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POINTS OF INQUIRY

1. How has the method of raising moneythrough taxation for the federal govern-ment changed over the years?

2. What is the difference between a“regressive” and a “progressive” tax?

3. Which of the following income taxes—a, b, or c—do you think is most fair?Explain your answer.

a. Everyone pays the same amount,e.g., $5,000.

b. Everyone pays a flat rate, e.g., 15percent.

c. Everyone pays a progressive rate,e.g., on the first $20,000, the rate is5 percent, on the next $80,000, therate is 15 percent, and on every-thing above $100,000, the rate is 25percent.

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Under the U.S. Constitution, state govern-ments are prohibited from exercising cer-

tain powers. They cannot interfere with inter-state commerce or travel. The cannot pass lawsthat violate the 14th Amendment. In return,the national government cannot abolish astate.

Under the 10th Amendment to the Constitu-tion, all powers not delegated to the nationalgovernment or prohibited to the states arereserved to the governments of the states.These are called the reserved powers. They

include the rightto pass laws onpublic safety,marriage anddivorce, educa-tion, and fairelections. Statescan also regulatebusiness withinthe state, licensedrivers, and setup standards forprofessionalspracticing with-in the state. Inaddition, stategovernments

can charter regional and local governmentssuch as counties and cities.

States also have what are called concurrentpowers. These are powers jointly held with thefederal government. They include the powerto tax, regulate trade and industry, borrowmoney, maintain courts, and protect the envi-ronment.

STATE GOVERNMENT

Similar to the federal government, state gov-ernment is organized under a constitution.Some state constitutions are similar to the fed-eral Constitution; others are very lengthy andprovide hundreds of pages describing thedetails of government.

Most state constitutions start with a preamble.The preamble describes the purpose of theconstitution and its government.

All state constitutions include a bill of rights.Many are modeled on the federal Bill ofRights that is part of the U.S. Constitution,but many contain additional rights. For exam-ple, some constitutions specifically protect pri-vacy or the rights of the disabled.

Like the federal Constitution, state constitu-tions describe how government is organized.The executive power of the state is held by thegovernor and other state officers such as thelieutenant governor, secretary of state, stateauditor, and state attorney general. These offi-cers are either elected by the people orappointed by the governor. The governorshares executive power with the other stateofficers.

The legislative power of state government isheld by the state legislature. Like the federalgovernment, all but one state has two legisla-tive houses, a bicameral system. (Nebraska hasonly one house—a unicameral system.)

The judicial power of state government is heldby the state court system. At the top of thesystem is the highest appellate court, oftencalled the Supreme Court. Next come theappellate courts, often called the Courts ofAppeals. Trial courts exist at the county andmunicipal levels.

Every state constitution, like the federal Con-stitution, contains a section describing how itcan be amended. Methods for amending stateconstitutions vary. Usually, they involve a pro-posed amendment made by the legislature or aconvention. Some states allow proposedamendments by popular initiative. Backers cir-culate petitions among the voters. If an initia-tive receives enough signatures on the peti-tions, it qualifies for the ballot. Whether anamendment is proposed by the legislature,convention, or popular initiative, it must beapproved, or ratified, by a popular vote.

8 State and LocalGovernment

In this ruralcommunity, a cityhall and U.S. Post

Office share thesame building, butreport to different

authorities.

LOCAL GOVERNMENT

For most Americans, local government hasthe most influence on their daily lives. It isusually responsible for law enforcement,building codes, trash pickup, sewage disposal,parks and recreation facilities, street repair,and hundreds of other things that impact usdaily.

Local governments are created by state govern-ment. There are a number of different typesof local government.

In most states, the county is a basic unit oflocal government. State territory is dividedinto counties, and each county has its owngovernment. Counties are established by char-ter, an agreement with the state. Local resi-dents form the government under rules set bythe state. Counties are often governed by aboard of elected officials, each of whom usu-ally represents part of the county. The countyboard has both legislative and executivepowers.

Another basic unit of local government is themunicipality, or city. State governments setrules for establishing cities. Usually, a statedemands that proposed cities meet a mini-mum population requirement before their res-idents may create a city charter. Often a voteof the residents is required. Once a city hasmet all of the state’s requirements, it becomesincorporated. This means that its governmenthas the legal right to exert its authority bymaking and enforcing laws, raising taxes, andborrowing money.

Another common unit of local government isthe special district. Special districts are estab-lished to provide a specific service or to dealwith a particular problem. The most commonspecial district is the school district, whichoversees public education in a given area.Other common special districts are estab-lished to provide water, sewage treatment, orenvironmental protection to a particular area.Special districts are governed by a commissionor board made up of elected officials. Specialdistricts are efficient because they can concen-trate on only one aspect of government, andthey can operate to meet the needs of resi-dents in more than one county or city.

The variety in local government has tended tospur experimentation and innovation.

Because local governments are close to thepopulation they serve, they can tailor policiesand programs to meet specific needs. Duringthe Progressive era, it was state governmentsthat created the popular initiative, referen-dum, and recall. In recent years, local govern-ments have been credited for making improve-ments to the welfare system, improving voterregistration, initiating recycling programs, andexperimenting with revenue sharing.

State and local governments also have devel-oped methods for making government moreaccessible to citizens. Many require that citi-zens receive fair and public notice of meet-ings, that government meetings be open tothe public, and that citizens have a right to beheard at government meetings.

FEDERAL OR STATE AND LOCAL?

Debates have arisen about the relationship ofthe federal government to state and local gov-ernments. Over time, the power and scope ofthe federal government has increased. Beforethe Civil War, the role of the federal govern-ment was very small. By today’s standards, thegovernment itself was tiny. After the CivilWar, the size and power of the federal govern-ment increased, especially in the West wherefederal territories were established.

Throughout the Progressive era, Congress grewmore willing to regulate various industries.With the passage of the income tax amend-ment in 1913, the federal government gained anew revenue source. During World War I, theDepression, and especially World War II, thesize of the federal government increased dra-matically to address economic and defenseproblems. Rulings of the U.S. Supreme Courtpermitted the federal government to exercisegreater power to regulate commerce andenforce civil rights. In some cases, this exer-cise of power intruded into areas traditionallyhandled by state and local government.

As a result, the relationship between the feder-al government and state and local governmenthas changed. Today, state and local govern-ments depend more on federal revenue todeliver services. To receive federal money, stateand local governments must follow policiesand rules set in Washington.

Critics argue that the huge federal bureaucracythat has resulted is wasteful and inefficient. 37

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They maintain that the national governmentcannot effectively address local needs or con-cerns. They believe that state and local govern-ment are better able to identify local needsand set appropriate policies. They complainthat federal legislation to build highways andpublic works, prevent crime, or improve theenvironment often comes with mandatesrequiring states to pass laws acceptable to thefederal government or lose federal money.

Others argue that state and local governmentslack the resources or the will to deal withmany of society’s problems, especially thoserelated to economic disparity. They argue thatall Americans—no matter where they live—should have the same basic benefits andopportunities as all other Americans. Theypoint to the historical realities that somestates and local governments allowed discrimi-nation to persist. Without a strong federalpresence, they worry that many problemswould go unaddressed or even get worse.

WelfareWelfare is one of the best examples of thechanging relationship between the federal gov-ernment and state and local governments.

When Congress and President Clintonapproved the Personal Responsibility andWork Opportunity Act in 1996, they ended a61-year federal welfare system that guaranteedcash and other benefits to needy families. In amove that reversed the trend toward more fed-eral government control, the states were givenresponsibility to develop their own programsto move welfare recipients to work.

The federal welfare system began in the 1930sduring the Depression and grew steadily.When the federal Aid to Families with Depen-dent Children (AFDC) program began in 1936,it provided cash aid to about 500,000 childrenand parents. By 1969, the number had grownto nearly 7 million.

Over the years, Congress added new pro-grams. President Lyndon B. Johnson’s War onPoverty provided major non-cash benefits toAFDC recipients as well as to other needy per-sons. In 1964, Congress approved a food-stamp program for all low-income house-holds. The next year, Congress created Medi-caid, a federal and state funded health-caresystem for disabled persons, the destituteelderly, and AFDC families. In 1974 during theNixon presidency, Congress established theSupplemental Security Income (SSI) programto provide aid to the needy elderly, blind, anddisabled. This program made up the lastmajor component of the federal welfaresystem.

By 1994, more of the nation’s needy families,elderly, and disabled received federal welfarethan ever before. Aid to Families with Depen-dent Children alone supported more than 14million children and their parents. But as thewelfare system grew, so did criticism of it.

THE PROBLEM: A WELFARE TRAP?

Aid to Families with Dependent Children haddrawn the greatest criticism of the four majorfederal welfare programs. By the 1990s, AFDCsupported 15 percent of all U.S. children. Inmost cases, these children lived at home andwere cared for by a single parent, usually themother, who otherwise did not work. This

POINTS OF INQUIRY

1. How does the U.S. Constitution limitthe powers of states? How does theConstitution limit the power of thefederal government over the states?What are reserved and concurrentpowers? Give examples of each.

2. In what ways do state and localgovernments provide opportunities forexperimentation and innovation?

3. How have many state and local govern-ments made themselves more accessibleto citizens?

4. How has the federal governmentchanged since the nation’s founding?What are some arguments for andagainst this change?

situation brought on complaints that welfarelet able-bodied adults avoid work and growdependent on what were referred to as “gov-ernment handouts.”

Criticism of the AFDC program was furtherfueled by cases of children who grew up infamilies where no one ever had a paying joband who themselves became dependent onwelfare as adults. Moreover, the AFDC pro-gram generated a vast bureaucracy, overlap-ping services, and endless regulations. All thisplaced an increasing burden on the nation’staxpayers (although AFDC made up less than1 percent of the federal budget).

Others, however, saw welfare more positively.Although the program was not perfect, AFDCprovided a relatively inexpensive safety net,which prevented people from falling intoextreme poverty. Many of the people helpedby welfare only needed it for a limited time.Those who needed it longer were usually thosewith few skills, learning disorders, or otherdisabilities.

WELFARE TO WORK

When Democrat Bill Clinton campaigned forpresident in 1992, he proposed that anyonereceiving welfare should go to work withintwo years. In August 1996, after 18 months ofdebate, Congress passed the Personal Responsi-bility and Work Opportunity Act. PresidentClinton immediately signed the bill into law.The new law turned over to the states theauthority to design their own welfare pro-grams and the responsibility to move recipi-ents to work.

Under the new law, AFDC was replaced by theTemporary Assistance for Needy Families pro-gram, funded by federal grants and statemoney. States are given wide discretion indetermining eligibility and the conditionsunder which families may receive public aid.But Congress tied a number of strict workrequirements to the federal grants:

• Adults receiving family cash-aid benefitsmust go to work within two years. Statesmay exempt a parent with a child under 1for no more than 12 months.

• States had to have 25 percent of their wel-fare caseloads at work in 1997 and 50 per-cent of their caseloads at work by 2002.

States that fail to meet these requirementswill lose 5 percent of their federal blockgrants.

• Each adult is limited to no more than fiveyears of cash assistance during his or herlifetime. But states may exempt up to 20percent of their caseloads from this limit.

THE STATES TAKE CHARGE

Moving hundreds of thousands of peoplefrom welfare to work requires hundreds ofthousands of jobs to be open. When jobsaren’t available, local and state governmentsmay have to create community-service jobslike cleaning public parks. Many welfare recip-ients are poorly educated, have few job skills,and lack the experience and discipline ofgoing to work on a schedule. Thus, they mayneed extra help and training in getting andholding on to a job. Moreover, going to workcosts money. Child care has to be paid for,clothing purchased, and transportationarranged.

Wisconsin is probably the most advanced inmoving welfare recipients to work. BeforeCongress acted in 1996, the state had alreadybegun major welfare reforms on its own. Wis-consin’s Republican governor, TommyThompson, together with Democrats in thestate legislature, vowed to abolish welfare by1999. (In 2001, President George W. Bushappointed Thompson to head the federal gov-ernment’s Department of Health and HumanServices.)

Wisconsin’s welfare-reform effort, called “Wis-consin Works,” has the nation’s strictest workrequirements for adults receiving public aid.By the end of 1997, all adult welfare recipientshad to be involved in some work-related 39

40

activity. Even so-called “unemployables,” likethe mentally ill and drug addicts, had toreport to therapy or rehabilitation sessions totry to make themselves job-ready. Only moth-ers with newborns under 3 months old weretemporarily exempted from going to work.New welfare applicants had to first look for ajob before collecting any cash aid. As a resultof these requirements, Wisconsin succeeded incutting 60 percent of its welfare caseload bythe end of 1997.

The success of Wisconsin Works relies onrequiring welfare recipients to go to work andproviding them with support as they make thetransition from dependency to independence.Wisconsin pays for both child care and med-ical services for all low-income working fami-lies. The state also provides job training, helpspay the wages of certain workers in “trialjobs,” and places those who cannot get hiredinto community-service work.

Moving people from welfare to work in Wis-consin is expensive. The state’s welfare budgetis currently running 40 percent higher than itdid under the old AFDC program despite thesteep drop in the welfare caseload. Typically, amother with two children who now works at aminimum-wage job and also receives foodstamps, child care, health insurance, and taxcredits from the government receives theequivalent of about $16,500. Under AFDC, shewould have received $9,500. The current U.S.poverty-level income for a family of three is$13,330.

Other states are creating their own pathwaysto move people from welfare to work. Some,like Connecticut, allow a person to keepreceiving a welfare check while also collectinga paycheck until the work income rises abovethe national poverty level. Other states imposesevere penalties. For example, Mississippi isexperimenting with cutting off all cash andfood-stamp benefits to families who do notcomply with the new work requirements.

EARLY RESULTS

Because just a few years have elapsed sincePresident Clinton’s Personal Responsibilityand Work Opportunity Act was passed intolaw, it is difficult to evaluate the program’seffectiveness. Moreover, welfare-reform pro-grams vary from state to state, making com-parisons difficult.

Research studies have used different data,sometimes giving rise to conflicting conclu-sions. For example, in California, one researchgroup found that most aid recipients who par-ticipated in Los Angeles County’s welfare-to-work program move from one low-wage job toanother, earning incomes that keep thembelow the poverty line. One month earlier,however, another research group found thatparticipants in Los Angeles County’s welfare-to-work program were more likely to get jobsand earn higher wages than those not enrolledin the program.

A White House study found that by the endof 1998, all 50 states had moved at least 35 per-cent of the nation’s welfare recipients fromwelfare to work. But national research alsoshowed that most poor children in welfarefamilies were no better off than they werebefore the welfare-reform effort: Child care ishard to find, many mothers do not knowabout child-care subsidies, and many childrenare placed in low-quality child-care settings.Recent statistics from Wisconsin showed that38 percent of the state’s former welfare recipi-ents were still unemployed after they wereforced off the welfare rolls. This contradictoryinformation reveals that welfare reform is acomplex multi-faceted challenge that is toonew to evaluate clearly.

POINTS OF INQUIRY

1. When was the federal welfare systemoriginally established? Why was it estab-lished?

2. In recent years, what criticisms were lev-eled at the federal welfare system? Whatfinally happened to the system? Do youbelieve this was a good idea? Why orwhy not?

3. Why might it cost more to move welfarerecipients into jobs than to maintain theold AFDC system that did not requirework? If this proves to be true, do youthink it would be worth the cost?Explain.

4. Do you think that the nationwide wel-fare reform effort is generally too harshon poor people, too lenient, or justabout right? Give reasons for youranswer.

For the American constitutional system towork, citizens must accept the idea of

ordered liberty. This means that citizens mustagree to exercise their liberty within the ruleof law. Without the rule of law, the rights ofan individual could easily be denied by thegovernment or fellow citizens. The rule of lawprotects individual rights, sets limits onactions that might interfere with those rights,settles conflicts that could cause harm, andpunishes wrongdoing.

The rule of law has always played a centralrole in our constitutional system. The Consti-tution consists of laws designed to define gov-ernmental power and place limits on thatpower. The judicial branch has the power tomake sure that laws passed by Congress donot violate the Constitution. The executivebranch must comply with and enforce thelaws passed by Congress.

The rule of law in the United States embodiestwo great principles of justice: equal protec-tion and due process. Equal protection seeksto provide everyone with the same opportuni-ty and fair treatment, regardless of race, reli-gion, ethnicity, national origin, gender, sexualorientation, or physical capacity. It means thatall people should have the right to competeequally for society’s benefits such as jobs, gov-ernment contracts, housing, and publicaccommodations.

Due process requires that police and courtsfollow fair procedures when enforcing the lawand making judicial decisions. Due process inlaw enforcement, for example, requires policeto have certain grounds to make arrests, warnpeople about their rights when arrested, andnot use excessive force. Courts, for example,must give people accused of crimes adequatenotice of the charges and hearing dates, theright to an attorney, and the right to confrontwitnesses. Certain due process rights alsoapply to legislative and administrative actions.Without due process rights it would be mucheasier for government to overstep its authorityand violate individual rights.

Federal, state, and local courts handle all con-stitutional, criminal, and civil cases. Criminal

courts try people accused of committingcrimes, everything from murder to shoplift-ing. Civil courts try a wide variety of cases—contract disputes, torts (civil wrongs such asnegligence and fraud), landlord-tenant con-flicts, and claims that parties have violatedcivil laws (such as bans on discrimination inhousing). Federal, state, and local law-enforce-ment agencies, such as the FBI and state andlocal police, enforce the law.

Citizens rely on America’s extensive judicialand legal system to pursue wrongdoers, resolveconflicts, and interpret the law. Some criticsbelieve that Americans file too many lawsuitsand resort to the legal system when othermeans are available such as negotiation, medi-ation, or legislation. They argue that Ameri-ca’s legal system is enormously costly in timeand money. They worry that huge verdictsand lawyers’ fees raise the costs of goods andservices to consumers. Others defend the sys-tem. They argue that it offers the best chanceof a fair result in resolving disputes and set-ting standards for future conduct. The costsof the system are necessary, they argue,because law and legal procedures can be com-plex, requiring both time and expertise. Theymaintain that huge verdicts are relatively rareand can be modified through appeal.

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9The Role of the Judiciary

The courts areempowered toresolve a widevariety ofconstitutional,civil, andcriminal issues.

black Americans were denied access to courtsfor most purposes, and in some regions ofthe country, African Americans had fewerlegal protections well into the 20th century.During World War II, thousands of Americancitizens of Japanese descent were forced with-out due process into internment campsbecause they were considered security risks.Throughout our history, because of the highcost of legal services, many poor people havelacked the means to take advantage of thejudicial protections that exist.

Fortunately, many of these injustices havebeen addressed. Today, women have the samelegal rights as men. Because of the civil rightsmovement, African Americans enjoy greaterlegal rights than ever before, though problemsof discrimination persist. Congress recognizedthe injustice of internment and passed lawsapologizing and granting reparations to Japan-ese Americans who had been forced into thecamps.

JUDICIAL REVIEW ANDINDEPENDENCE

Central to the American legal system is thestate and federal courts’ power of judicialreview. This means that courts can review theactions of the executive, legislature, and lowercourts to determine whether they are lawfuland constitutional. By being able to check theactions of government, the power of govern-ment is limited. Some critics argue that thepower of judicial review is undemocraticbecause judges can overturn the actions of thelegislature, which is elected by the people.42

BREAKDOWN IN THE RULE OF LAW

Americans do not always adhere to the rule oflaw. During America’s Western expansion, vastterritories had little or no effective lawenforcement and no established courts. Set-tlers fended for themselves and were often thevictims of thieves, robbers, and murderers. Insome cases, vigilante organizations arose toestablish order. Unfortunately, in some casesvigilantes themselves broke the law and weremore a destructive force than a positive one.In many areas of the South after the CivilWar, the Ku Klux Klan and other hate organi-zations terrorized black citizens and deniedthem their rights. Local authorities oftenlooked the other way or, in some cases, evenaided the terrorists. Thousands of black Amer-icans suffered, some were lynched, many werebeaten.

American cities, too, have suffered periods oflawlessness. The draft riots in New York Cityduring the Civil War left hundreds dead. Withthe passage of Prohibition, millions of Ameri-cans ignored the law and went on consumingand buying and selling alcohol. This led tothe rise of organized crime, which suppliedillegal alcohol and bribed public officials andlaw-enforcement officers not to prosecute thelawbreakers. Even after the end of Prohibition,organized crime in many American cities con-tinued to thrive, branching out into gam-bling, extortion, and other criminal activities.

Sometimes judicial protections have beendenied to certain citizens. In early America,women had few legal protections. As slaves,

In New York City,hundreds died indraft riots duringthe Civil War.

Federal judges and many others are not elect-ed, but appointed. Why, ask the critics, shouldjudges have the right to frustrate the will ofthe people?

Others view the power of judicial review asessential to American constitutional democra-cy. Without it, they argue, government powercould be used to violate minority rights andconstitutional principles. The system needs aninstitution that can stop such violations; thecourts serve that function. To be effective,judges must not be subject to political pres-sure from majority interests.

The framers of the Constitution insisted onan independent judiciary, one that had thepower to check the other branches and thatwould not be swayed by shifts in public opin-ion. For this reason, federal judges areappointed for life terms. Having to face elec-tions and the realities of politics could influ-ence judges to make decisions that wouldplease the majority rather than serve the Con-stitution or minority rights.

Independent JudiciaryWhen trial judges preside over lawsuits andcriminal trials, they make many legal rulings:Should this evidence be admitted? Should thisobjection be sustained? What law applies tothis case? Is the law constitutional? If a partyappeals, appellate court judges review theserulings. All judges—trial and appellate—aresupposed to be fair and impartial. Whenjudges interpret and apply the law, they mustbase their decisions on statutes, Constitution-al law, and prior court cases. They must neverbe swayed by politics or popular opinion. Therule of law and our democracy depend on anindependent judiciary.

The U.S. Constitution attempts to ensure judi-cial independence. All federal judges areappointed by the president, confirmed by theU.S. Senate, and serve for life. Under the Con-stitution, there is only one way that federaljudges can be removed: The U.S. House ofRepresentatives can vote to impeach any feder-al judge for “treason, bribery or other highcrimes or misdemeanors.” The judge is thentried by the Senate. To remove the judge, two-thirds of the Senate must vote to convict.Only 13 federal judges in our history havebeen impeached by the House. Seven havebeen convicted by the Senate. All have beenimpeached for alleged criminal behavior.None has ever been convicted for makingunpopular decisions or for holding an unpop-ular judicial philosophy.

But most judges in the United States are notmembers of the federal judiciary. Most serveon state courts. And unlike federal judges,most state judges have to face the voters. Thequestion arises: How can states preserve judi-cial independence and still make judgesaccountable to voters?

In many states, voters can recall judges thatthey believe do not belong on the bench. Peo-ple opposing a judge must get a certain num-ber of signatures on recall petitions. Then thejudge’s name is put on the ballot and votersdecide whether they want to retain or recallthe judge. If a majority votes to recall thejudge, then the judge must be replaced—eitherby election or appointment, depending on thestate. 43

POINTS OF INQUIRY

1. What is the concept of ordered liberty?How does it protect the rights of citi-zens?

2. What are some practices illustrating thecentral place of the rule of law in ourconstitutional system? What are someexamples of events or practices in ourhistory when the rule of law brokedown? What are examples of judicialprotections being denied to citizens?

3. How does the legal system help preservepeople’s rights? Do you think Americansresort to lawsuits and the legal systemtoo much instead of using other meanslike negotiation or mediation? Explain.

4. Do you believe judicial review belongsas part of the American system of con-stitutional government? What are argu-ments against it? In favor of it? Whichdo you agree with? Why?

5. What is equal protection of the law?What is due process of law? How areboth of them crucial to the rule of law?

44

About 20 states hold direct elections forjudges. This means that judges run for office.This allows voters to elect judges in their dis-trict instead of the governor appointing everyjudge. But it also has drawbacks. Judges mustraise money for campaigns, often fromlawyers who will appear before them. Thatgives the appearance that lawyers are payingfor favoritism. Judicial campaigns in them-

selves are problematic.Judges can’t make cam-paign promises that theywill rule in a certainway. That would makethe judge biased. Bring-ing judges into the polit-ical process can makethem seem less neutralin the courtroom.

For these reasons, moststates have moved awayfrom direct election ofjudges. In these states,the governor usuallyappoints all state appel-late court judges andmost trial court judges.In some states the gover-

nor makes selections from a list prepared by ajudicial commission, which searches for themost qualified judicial candidates.

But most of these states still require judges toface voters. Appellate judges usually go on theballot in the next general election after beingappointed. These are called retention elec-tions, because voters get to decide whether ornot to retain the judges. No one can run as acompeting candidate. Citizens simply vote“yes” or “no” on retaining each of the judges.If voters retain them, they serve what remainsof their 12-year term of office and then standfor election to a full 12-year term. Trial judgesalso go before the voters in the next generalelection after their appointment. But theirterms are shorter, typically six years. And insome states, opponents can run against them.

This system has generally shielded judgesfrom politics. It allows judges to serve longterms with a limited degree of accountabilityto voters.

But in recent years, some recall and retentionelections have provoked controversy. For

example, in California several controversialjudicial elections have taken place. Votersremoved three justices in 1986 from the Cali-fornia Supreme Court because the justicesoverturned almost all the death penalty casesbrought before the court. In 1998, an unsuc-cessful campaign targeted two more justices,because they had voted to strike down a statelaw requiring minors to get parental consentbefore they get an abortion. In 1992, a trialjudge won a close election against challengerswho demanded her ouster because she hadnot given jail time to a Korean grocer convict-ed of manslaughter in the death of a blackteenage girl. Another trial judge had anunsuccessful recall campaign mounted againsther because she awarded famous former foot-ball player O.J. Simpson custody of his chil-dren after Simpson was acquitted of killingtheir mother.

In each of these cases, the people mountingthe campaigns were upset with decisions thejudges had made and accused them of misus-ing the law. Supporters of the judges saw theissue as one of judicial independence. Theybelieved that judges should not be removedbecause they dare to make unpopular deci-sions.

The late Bernard Witkin, a noted legal schol-ar, has warned: “What we’re seeing is a newway to approach judicial elections, challengingjudges’ qualifications on the basis of particu-lar decisions that affect particular groups. . . .If we reach the point where . . . we end uptelling the court, ‘If you don’t do as we want,we’ll remove you,’ then the courts won’t beworth saving.”

POINTS OF INQUIRY

1. Do you think it’s important to have anindependent judiciary? Why or why not?

2. Describe some different methods usedto select judges. Which do you think isbest? Why?

3. In most states, judges are on the ballot.What do you think voters should con-sider when voting for judges?

In 1986, Californiavoters ousted ChiefJustice Rose Bird in

a retention election.

Every year, thousands of political issues areraised in America: issues about health

care, education, minority rights, the economy,taxation, the environment, crime, nationaldefense, science and research, poverty andhomelessness. Some issues, once raised, aresoon forgotten. Some issues become subject towidespread public debate leading to legisla-tion, executive action, or famous court cases.These issues are said to be part of the publicagenda.

How do certain issues become part of thepublic agenda? There is no formal process forsetting the public agenda. Instead, it is createdby the interaction of many institutions, influ-ences, and forces.

Political parties and institutions help set thepublic agenda. Political parties create “plat-forms.” These are lists of principles, issues,and positions that party delegates agree areimportant. The party’s candidates for officerun on the party’s platform. Once elected, leg-islators representing the party are likely to tryto pass laws that advance the platform. Forexample, in 1994 many Republican legislativecandidates ran on a set of principles calledthe Contract with America, which called forbudget restraint, tax reform, and other issues.When the Republicans won a majority in theHouse of Representatives, they attempted toenact the “contract” in legislation.

Public officials from the other branches ofgovernment also help set the public agenda.Because of the visibility of the office and itsgreat power, the president is often a key playerin setting the public agenda. President LyndonJohnson made civil rights legislation a signifi-cant item on the public agenda. Ronald Rea-gan promoted national security and greaterdefense spending. Even Supreme Court deci-sions can help set the public agenda. Forexample, when the Supreme Court ruled thatflag burning was protected by the FirstAmendment, a movement began to pass aconstitutional amendment to ban it.

The print and electronic media are key playersin setting the public agenda. Newspapers and

news magazines write stories focusing on cer-tain problems or issues that can influencepoliticians and the public. They also writeeditorials and commission public opinionpolls. Television news programs exert an evengreater impact because most Americans relyon television for their news and public-affairsreporting.

Special-interest groups promoting a range ofeconomic, environmental, or public-safetyissues attempt to set the public agenda. Somegroups are huge. For example, the AmericanAssociation of Retired Persons (AARP), theNational Rifle Association (NRA) and theAmerican Civil Liberties Union (ACLU) repre-sent millions of members and have large bud-gets. To influence the public agenda they sendlegislative information to their members,lobby elected officials, and conduct polls andstudies on issues of their concern.

PUBLIC OPINION

Public opinion is important in setting thepublic agenda. Public opinion is an expres-sion of attitudes or beliefs held by a group ofpeople. Public officials monitor it to helpdetermine what issues are important to theirconstituencies. Political parties use public 45

10Setting the Public Agenda

Media organizations,like this largemetropolitannewspaper, play akey role in settingthe public agenda.

46

opinion to determine which candidates appealto voters and to help choose issues to run on.

In recent years, political opinion polling hasincreased. Thousands of political surveys areconducted and published each year, particu-larly around election time. If properly con-ducted, such polls can have a high degree ofaccuracy.

Modern polling relies on scientific sampling.That is, a relatively small group of people canbe polled and the results can be projected tothe population as a whole. Accuracy dependson the sample of people polled. The most use-ful information comes from random samples.For example, from a list of voters, one out of100 or 200 people is selected at random to bepolled. The size of the sample also matters.Generally, the larger number of people polledfrom a group, the more accurate the results.For example, if 1,500 people were polled in anational survey, you might expect a margin oferror of 4 percent. (This means that theresults could be off plus or minus 4 percent.)If only 100 people were polled, the margin oferror could be 14 percent.

Though many polls accurately reflect whatpeople are thinking, it is important to careful-ly evaluate them. Not all polls are accurate.First, consider who conducted the poll andfor what purpose. Some polls are sponsoredand conducted by organizations that have astrong interest in the results. Polls can beshaped to get results that support a particularpoint of view. In general, polls conducted byindependent and professional survey firmshave greater credibility.

It is also important to determine how thosepolled were selected. As described above, ran-dom surveys produce the best results. Somepolls rely on self-selected samples. Magazinesoften poll their readers; organizations polltheir members. People who volunteer theiropinions can have strong views one way orthe other. But these polls may not tell verymuch about what the population as a whole isthinking.

A poll is only as good as the questions thatare asked. Questions can be misleading orphrased to prompt a certain result. Also, ques-tions asked in different ways can get very dif-ferent results. For example, one Harris Poll

asked: “Do you believe in capital punishment,that is, the death penalty, or are you opposedto it?” Seventy-one percent of those polledfavored the death penalty, and only 21 percentopposed it. The Gallup Poll asked a differentquestion on the same topic: “What do youthink should be the penalty for murder: thedeath penalty or life imprisonment with nopossibility of parole?” In response to thisquestion only 52 percent of those polled sup-ported the death penalty; 37 percent favoredlife imprisonment.

Opinion polls can provide valuable informa-tion, but concerns have been raised abouttheir effect on American politics. Some criticsbelieve that public opinion can be misin-formed, shallow, and easily shifted. They alsoworry that public opinion can be too influen-tial and sway politicians to cater to it ratherthan make the best decision. Others fear thatpolls sometimes do not simply reflect publicopinion, but actually shape it. People, theyargue, may be influenced by public opinionpolls to adopt certain beliefs or views onissues. Others worry that public opinion pollshave too much impact on elections. Goodcandidates may be discouraged from runningor drop out because of poor poll showings.Lopsided polls may discourage people fromactually voting because they think the resultis a foregone conclusion. Despite these con-cerns, public opinion polling is likely toremain a significant factor in Americanpolitics.

POINTS OF INQUIRY

1. What is the public agenda? How dopolitical institutions and political partiesshape it? How do the media influence it?

2. Why do you think some issues thatgroups consider important do notbecome part of the public agenda?

3. What is public opinion? How is it mea-sured? How is it used in public debate?How can it be influenced by governmentand the media? How does it influencepublic policy and the behavior of publicofficials? What do you think the roleof public opinion should be in ademocracy?

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Are the PoliticalMedia Focusing onthe Wrong Things?In our democracy, people get most of theirpolitical information from the media. Thismeans that the media play an enormous rolein setting the public agenda. Are the mediadoing an adequate job in this role?

Many critics of the media say no. They arguethat the press undermines our democratic sys-tem by spending too much time focusing onscandals and sensationalism. Defenders of thepress, however, say that the news media aresimply fulfilling their role as watchdogs ongovernment.

THE INFLUENCE OF WATERGATE

Many critics say the media changed followingthe Watergate scandal, which prompted theresignation of President Richard Nixon. Themedia celebrated the investigative work of twoWashington Post reporters, Robert Woodwardand Carl Bernstein, who relentlessly pursuedthe scandal.

The critics say that after Watergate, journalists,especially those covering national news,became more skeptical and wary of politiciansmanipulating them. The press actively tried toexpose government abuses. One consequencehas been more negative political reporting.Demanding an open and more honest govern-ment, reporters have sought out the mistakes,inconsistencies, and ethical faults of politicalleaders.

Historians point out that the press has alwaysbeen aggressive. Virtually every president,starting with George Washington, has becomea target for the press. The tabloid press, whichthrives on sensational news reporting, firstappeared more than 100 years ago.

IS PRESS COVERAGE WORSE TODAY?

But the aggressiveness of the press is not whatconcerns today’s media critics. They worryabout the decline in thoughtful reporting onserious public issues. Frequently, they say,newspaper and TV news editors cut back onthis type of news coverage because it is tooboring or lacks the drama of conflict.

Critics note that the media have grown muchmore competitive in the last 30 years. Withtoday’s technology, news can be broadcastaround the world as it happens. Peopleexpect—and receive—instantaneous reports onassassinations, floods, airplane crashes, evenwars. They can receive the information inmany new ways—from cable television, satellitedishes, the Internet. Talk radio and tabloidTV news shows, such as “A Current Affair,”have grown in popularity. At the same time,fewer people are reading newspapers andwatching network TV news. The drop is espe-cially pronounced among people under 30.Trying to keep up with the competition, crit-ics say that many newspapers and networkshave made their news features shorter andjazzed them up with graphics, pictures, anddiagrams. In short, say the critics, newspapersand network news shows are trying to makethe news more entertaining, even sensational.

Defenders of the media believe the critics areovergeneralizing. They admit that some news-papers and networks may not cover issuesdeeply. But they cite many examples of in-depth policy coverage. The New York Times,Washington Post, and Los Angeles Times devotemuch ink to policy issues. Every night ontelevision, “Nightline” explores issues. C-SPAN televises complete speeches and policyforums and debates. The defenders say thebest-ever political coverage and reporting isgoing on today. But, they say, people mustseek it out in the highly competitive newsbusiness.

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SHOULD THE MEDIA REPORT ONTHE PRIVATE LIVES OF POLITICIANS?

Scandals and sexual misbehavior have increas-ingly become acceptable topics for the main-stream press to cover. More than 30 years ago,the media did not consider President John F.Kennedy’s affairs with women newsworthy.From the beginning of President Clinton’sterm, the media covered his alleged sexualexploits.

Larry Sabato, professor of political science atthe University of Virginia, has criticized thepress for its current tendency to jump quicklyinto a scandal story. Sabato says that scandalsfrequently explode into media “feeding fren-zies” where every tidbit of gossip is reported.This type of reporting, he says, gives a greatdeal of newspaper space and air time to mat-ters that have little to do with the real prob-lems of the country.

Carl Bernstein, one of the reporters whoinvestigated the Watergate story, wrote recentlythat “we tell our readers and viewers that thetrivial is significant and the lurid or loopy ismore important than real news.” But WilliamSafire, a columnist for the New York Times,takes a different view. He argues that politicalscandal reporting often contributes to thecontinuous cleansing of American politics.

The question seems to boil down to what isnewsworthy. A president covering up crimes(as in Watergate) is clearly newsworthy. So isany behavior that affects public policy. Thedebate is over personal behavior that doesn’tseem to affect policy. Were Kennedy’s or Clin-ton’s sexual escapades newsworthy? Shouldreporters have revealed them? Do politicianshave any right to privacy? Is it right for thenews media to withhold information from thepublic? These questions do not have easyanswers. Defenders of the media argue it isbetter to err on the side of giving the publictoo much information than too little. Criticssay that media scandalmongering is souringpeople’s view of the democratic process.

POINTS OF INQUIRY

1. Many journalists argue that they do notgive a negative slant to their politicalreporting; all they do is report reality.Do you agree or disagree with this view?Why?

2. What do the news media and the publichave a right to know about the personallives of elected officials and political can-didates? What do they not have a rightto know? Explain your answer.

3. Do you think the media are doing anadequate job in helping to set the publicagenda? Explain.

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Political parties are key players in Americanpolitics. But the Constitution does not

mention political parties. In fact, many of thefounders, including George Washington, dis-trusted permanent political parties, fearingthat they would become too powerful. Thefirst two political factions to appear were theFederalists, who supported ratification of theConstitution, and the Anti-Federalists, whoopposed ratification. These factions disap-peared once the Constitution was ratified. Yet,early in Washington’s first administration aspresident, two new factions formed: the Feder-alists, who supported Alexander Hamiltonand a group that gathered around Thomas Jef-ferson, called the Democratic Republicans.They were the first real parties.

Throughout most of American history, theUnited States has had two major parties.Today’s Democratic Party can trace its originsto Jefferson’s old party. Today’s RepublicanParty can trace its origins to the election of1854. Along the way, dozens of third partieshave come and gone. Some of these partieswere formed to promote a particular cause,such as the Prohibition Party or the EqualRights party, which demanded the vote forwomen. Other third parties, such as the Pop-ulists and the Greenbackers, arose for a shortperiod around economic issues. Some thirdparties, such as the Progressives and the Dix-iecrats, splintered off from the Republicanand Democratic parties. Some parties havedeveloped around a certain leader, such asGeorge Wallace’s American Independent Partyor Ross Perot’s Reform Party.

Third parties have never received high percent-ages of votes at election time, but they stillserve important functions in the Americanpolitical system. They give citizens who votefor them a forum for dissent. They also givethose promoting reform a chance to air theirideas. For example, many of the ideas of theProgressives eventually were adopted by themajor parties.

American political parties differ from thosein many countries, where parties are oftenorganized to promote a particular political oreconomic ideology such as socialism, commu-nism, fascism, or capi-talism. Others mayrepresent a given eco-nomic interest such aslabor or farmers.Some have been orga-nized to promote areligious group orinterest.

In contrast, Americanpolitical parties aregenerally not ideologi-cal. Instead, they con-tain people with aloose collaboration ofinterests. While theparties might differon the issues, theyseek to appeal to thewidest possible spec-trum of the electorate.

POLITICAL PARTIES IN ACTION

American political parties are organized on anational, state, and local basis. Every fouryears, the parties hold national conventionsto nominate presidential and vice presidentialcandidates, develop and approve a platformof issues and positions upon which the partycandidates will run, and kick off the cam-paign. The national parties are led by nationalcommittees made up of representatives fromthe states; Washington, D.C.; Puerto Rico; andseveral territories. Besides running the conven-tion, the national party organizations take thelead in coordinating the national campaignsand raising campaign funds. The party whosecandidate win the presidency helps the newpresident select people to fill government jobswith loyal party members.

State committees exist in every state, but arenot appointed or controlled by the national

Teddy Rooseveltcampaigns forthe presidencyin 1904.

11Voting and SelectingPolitical Leaders

organizations. State party organizations con-centrate on fielding and supporting candi-dates who run statewide for office—candidatesfor U.S. Senate, the House of Representatives,governor, and other elected officials. Partycommittees also exist at the district, county,and city levels. They work independently onlocal candidates and elections. The basic unitof party organization is the precinct, the vot-ing area at the local level. Precinct committeesand workers concentrate on getting people reg-istered to vote, supporting candidates with ral-lies and meetings, and getting out the vote onelection day.

In recent years, the power of political partieshas declined. More voters consider themselvespolitical independents and tend to vote on thebasis of a given candidate or set of issuesrather than party affiliation. Moreover, voterturnout is lower, and polls indicate less inter-est in politics in general. Finally, researchershave noted a downturn in people makingmeaningful connections with groups andother individuals in their local communities.Some believe that this factor has made peopleless concerned with political issues and thepolitical process.

POLITICS OUTSIDE THE PARTY

There are many opportunities for politicalparticipation outside of party politics. Inmany states, citizens take part in initiatives,referendums, and recalls. An initiative allowsgroups to avoid the legislative process andplace proposed laws on the ballot for a vote.

Working in groups, citizens circulate petitionscalling for signatures to support the initiative.If enough signatures are gathered, the measurequalifies for the ballot under state law. Thensupporting and opposing groups campaignfor passage of the measure. The referendum issimilar except these laws are drafted by thelegislature and referred to the people for avote. Again, supporting and opposing groupstake part in the campaign. The recall is amechanism for removing public officials fromoffice through petitioning, getting the issueplaced on the ballot, campaigning, andvoting.

Membership in advocacy groups and associa-tions gives citizens other opportunities forpolitical participation. Associations oftenform to support a single cause or area of con-cern such as the environment, health care, orpublic-safety issues. Members support thegroup financially, conduct letter-writing cam-paigns, attend rallies, and vote for proposedlegislation. The association informs membersof important issues, proposes legislation, andlobbies representatives.

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POINTS OF INQUIRY

1. How did the two-party system develop inthe United States? What important roledo third parties play in this system?

2. How are American political parties dif-ferent from those in many countries?How are they organized? What do theydo? Why are political parties weakertoday than in the past?

3. How do political parties provide citizenswith opportunities for participation?What are some ways that people canparticipate in the electoral process out-side of party politics?

4. What are initiatives and referendums?

Special-interestgroups often

stage events tofocus on specific

environmental,health, or human

rights issues.

Why Don’t PeopleVote?Over the last 10 U.S. presidential elections,voter turnout has fallen by nearly 20 percent.Yet, Americans consider democracy one oftheir most cherished principles. Our Constitu-tion has been emulated by scores of emergingdemocracies, and the right to vote has beencelebrated, sought after, and fought for bygenerations of Americans. Given the valueand importance of democracy to Americanvalues, principles, and institutions, why don’tpeople vote?

THE VOTERS

Some groups of Americans are more likely tovote than others. The most likely voters arethose over 45 with a college education whoearn at least $25,000 a year. Less likely to voteare the poor, racial and ethnic minorities, andnon-union blue-collar workers. During the2000 presidential election, Harvard’s JoanShorenstein Center on the Press, Politics, andPublic Policy conducted a survey of Ameri-can’s views of the election drama. On electionday, almost 80 percent of survey respondentssaid they had discussed the election withsomeone during the past day. Yet actual voterturnout hovered at roughly 50 percent, thesame as in the previous presidential election.

Throughout the 1800s, about 80 percent ofthose qualified (i.e., white males) actuallyvoted. Toward the end of the century, particu-larly after the Civil War, many states set upobstacles to voting such as poll taxes, literacytests, residency requirements, and annual reg-istration fees. These obstacles were primarilydirected against Southern blacks, but they alsodiscouraged many Northern white workerswho were recent immigrants and spoke littleEnglish. As a result of these obstacles, votinglevels went down from 79 percent in 1896 to49 percent in 1920.

Access to the polls was gradually extended tonearly all American citizens of voting age. Fol-lowing the Civil War, Congress passed the15th Amendment prohibiting racial discrimi-nation in voting. The 19th Amendment gavewomen the vote in 1920. The Voting RightsAct of 1965 protected minorities’ right to votein the South. In 1971, the 26th Amendment 51

lowered the voting age from 21 to 18. Still,voter participation has steadily declined.

Despite the opportunity afforded them by the26th Amendment, young people vote in lowernumbers than the average population. In 1992,55 percent of all eligible Americans voted, butonly 43 percent of 18- to 24-year-olds went tothe polls. In 1996, the percentage had droppedto about 50 percent of all eligible voters andonly 30 percent of eligible young people.Some analysts speculate that the reason forlow voter turnout among young people is duelargely to alienation. Like the poor andminorities, many young people don’t believethat politicians represent their interests. There-fore, they don’t vote. In addition, they say,young people are often less involved in theworkings of their community and are there-fore less likely to vote.

VOTING LAWS: IS EASIERREGISTRATION THE ANSWER?

Some experts link the decline in voting tobureaucratic obstacles. In their 1988 book WhyAmericans Don’t Vote, sociologists FrancesPiven and Richard Cloward point out thatwhen Americans are registered to vote, theyshow up at the polls 80 percent of the time.They argue that despite legislation that poten-tially opens the polls to nearly everyone,obstacles to voter registration continue toaffect turnout at the polls. Poor people andminorities tend to be less likely to register tovote. Their lack of voting tends to create a

Typically, only 50percent of eligiblecitizens participatein nationalelections.

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vicious circle. When the poor and minoritiesrefrain from voting, politicians do not feelobligated to address their concerns. Becausepoliticians don’t speak to their needs, thesegroups become even less interested in politics.

In 1989, the House of Representatives began toconsider further measures to make voter regis-tration easier. The result was the NationalVoter Registration Act of 1993. This legislationwas based on the assumption that voting is afundamental right and that it is the duty ofgovernment to promote the exercise of thatright. The act was designed to encouragepotential voters to register and to remove dis-criminatory and unfair obstacles to voter reg-istration. It requires states to register voterswith three methods. Eligible citizens can regis-ter to vote:

• When they apply for or renew a driver’slicense. This so-called “motor-voter”method is used in about a dozen statesand is strongly supported by MTV’s“Rock the Vote” campaign.

• With a mail-in application.

• At public assistance agencies and agenciesthat provide services to people with dis-abilities. In addition, election officialsmust send all applicants a notice inform-ing them of their voter registration status.

Supporters of the National Voter RegistrationAct, mostly Democrats, argued that the mea-sure would help register 90 percent of all eligi-ble Americans. They estimated that this wouldproduce up to 70 million new voters. Becausenon-voters tend to be poor, young, or fromracial or ethnic minorities, many electionobservers believed that an increased voter pop-ulation would aid the Democrats, traditional-ly the party of choice for most lower income,minority, and youthful citizens.

Opponents of the bill, mostly Republicans,expressed concern that it would dictate to thestates how they must register their citizens.They also predicted that multiple registrationswould contribute to fraud. Other opponentscontended that voters who aren’t interestedenough to participate in the electoral processwould not make informed decisions on candi-dates.

Despite the controversy, Congress passed thebill and President Clinton signed the NationalVoter Registration Act it into law in May 1993.The act went into effect in 1995, in time forthe 1996 presidential election.

The act proved that registering potential vot-ers does not necessarily lead to increased voterturnout on election day. Voter registrationincreased just before the 1996 presidential elec-tion. But voter turnout continued to fall.Only 49.7 percent of those registered cast bal-lots, the worst presidential election percentagein the nation’s history.

POINTS OF INQUIRY

1. Why don’t people vote? List as manycauses as you can for the decrease invoter turnout. What do you believe isthe main cause?

2. What do you think the consequencesmight be to American democracy ifthe trend of declining voter turnoutcontinues into this century?

3. Some people argue against increasingvoter turnout because it would bring tothe polls vast numbers of politicallyignorant people. What do you think?

53

Public policy consists of laws, rules, regula-tions, and court decisions establishing

how things are to be done. When Congressmakes a law setting the minimum wage, it isestablishing public policy for the entire coun-try. When an executive agency such as theFederal Communications Commission adoptsbroadcasting rules, it is setting public policyfor television and radio stations nationwide.When the Supreme Court decides how a legalprocedure should be applied throughout theUnited States, it is establishing public policy.

State and local governmental bodies also setpublic policies. A state’s department of educa-tion sets policies that affect schools through-out the state. A county government is settingpolicy when it determines the rate for a salestax. A special water district is establishing pol-icy when it decides how much customers willbe charged for water.

MAKING AND CHANGINGPUBLIC POLICY

The formation of public policy can be quitecomplex and varies from one governmentalbody to another. Legislative policy makingoften follows the lawmaking process. A legisla-tor may propose a bill defining a new crime.It is given a number and referred to theappropriate committee. The committee studiesthe proposed policy. It may hold hearings andcall experts to testify about the need for andeffects of the new law. Those opposing thebill also might testify. The committee thendebates the policy and votes on the bill. Ifapproved by the majority, it goes to the floorof the legislature. Additional debates may takeplace. At the same time, a similar bill is goingthrough a parallel process in the other houseof the legislature. If the bill is passed in bothhouses, it may go to a conference committeeto iron out any differences. The bill can thenbe passed by both houses and sent to thechief executive, the president or governor, forsigning. If signed, the bill becomes a law anda new policy is established. If not, the legisla-ture might override the veto, if there areenough votes, or modify it to meet the chiefexecutive’s concerns.

Throughout the legislative process, the publichas opportunities to influence the outcome.With a new crime bill, advocacy groups suchas civil rights organizations and police associ-ations might track the bill and provide theirmembers with information. Lobbyists mighttry to sway legislators. Letter-writing cam-paigns could be organized. The news media—print, radio, and television—might present edi-torials, stories, and opinion polls on the pro-posed policy.

Executive agencies of government also makepolicy. Imagine that a state legislature haspassed a new law requiring that every high-school student must take a course on stateand local government. The law, however, doesnot describe what is to be taught in the newcourse. Included in the law is “enabling legis-lation.” This is a provision requiring that theappropriate executive agency more clearlydefine what is required by the law and setpolicies for putting it into effect. The law isreferred to the State Office of Public Instruc-tion, led by an elected superintendent ofschools. The superintendent refers the matterto the state curriculum committee, which con-sults with experts about what the new stateand local government course should contain.It holds public hearings around the state andwith educator groups. Once the course isdefined, a document is produced and sent outfor public and expert comment. Finally, thecourse requirements are adopted by a vote of

12Public Policy

Public policy canbe set by the U.S.Congress inWashington, D.C.,or by directdemocracy in anannual townmeeting like thisgathering inVermont.

54

the state school board. During the process,the public could attend the hearings andinterest groups could try to influence whatshould be taught in the new course.

It is at the local level that policy makingaffects Americans most directly. Zoning com-missions establish policies for land use. Build-ing commissions determine standards for con-struction. Traffic bureaus establish parkingregulations, speed limits, and traffic controls.School boards set up policies about what stu-dents learn and what extracurricular activitiesare permitted.

THE REALITIES OF POLICY MAKING

Policy making is not always an easy process.Deep disagreements can erupt at almost anystage.

Sometimes people disagree about the goal of aproposed policy. Does our society really wantto pursue that goal? Other times people agreethat the policy’s goal is good, but argue thatthe proposed policy will not help achieve it.

Sometimes questions arise about the motiva-tions of the policy makers. Are they creating apolicy to benefit one segment of society overanother? What groups or points of view areinfluencing their judgment?

All policies have consequences. That is, some-thing will happen as a result of the policy.Who will benefit from the policy? Whose

interests might be harmed by the policy? Dis-agreements can arise about what the conse-quences will be and who will benefit the most.Others worry that a policy might have conse-quences that are difficult to predict and mightend up doing more harm than good.

Every policy has both costs and benefits. Dis-agreements can also develop about whetherthe benefits of a given policy outweigh thecosts.

On some issues, agreement about policies isdifficult or impossible. In the pre-Civil Waryears, America was deeply divided on the issueof slavery and its expansion into new statesand territories. Congress, the courts, and thepresidency all tried to establish policies thatwould address the issue, but none ultimatelysucceeded. The differences in values, princi-ples, and interests of those opposing and sup-porting slavery were too great to overcome.When such a divide exists, it is difficult tocreate policies to resolve such an issue.

POINTS OF INQUIRY

1. What is public policy? Give an exampleof one, tell which major groups areinterested in it, and explain their posi-tions.

2. Who makes public policy? Give anexample of a process for making it.

3. How and when can citizens influencethe making of public policy?

4. Why might it be difficult for people toagree on some issues of public policy?Give a modern example of a highlycontroversial issue of public policy.

10. Returned to Congress and approved by a two-thirds majority in both theHouse and Senate.

HOW A BILL BECOMES A LAWA bill can be introduced in either branch of Congress

(House or Senate). To survive, it must be . . .

3. Sent to thesecond branchof Congress.

6. Prepared in a finaldraft by a jointcommittee fromthe House andSenate.

9. Signed by thepresident. If vetoedby the president,the bill must be . . .

2. Approved by amajority of thatbranch ofCongress.

5. Approved by amajority of thesecond branch ofCongress.

8. Sent to thepresident forconsideration.

1. Assigned to acommittee andapproved by it.

4. Assigned to acommittee in thesecond branch ofCongress andapproved by it.

7. Voted on by bothbranches ofCongress.

55

Race andRepresentationAlthough the Civil War (1861–1865) put an endto slavery, Southern whites after the warsought to maintain white supremacy. One waythey did this was to keep blacks from voting.For almost 90 years, Southern states successful-ly excluded African Americans from votingand holding elected offices.

In 1965, however, Congress passed the VotingRights Act. The act put the federal governmentin charge of elections in Southern states andended the years of voting discrimination inthe South. Blacks voted freely for the first timesince Reconstruction.

African Americans could now influence South-ern elections. But a clear voting patternemerged in the South: Whites preferred whitecandidates and blacks preferred black candi-dates. With blacks in the minority, white can-didates almost always won. Civil rights leadersstarted to argue that black voters should have afair chance to elect their own black representa-tives. But how can this be done in a politicalsystem based on majority rule? Does fairnessrequire that minority citizens be represented byminorities?

“TO ELECT REPRESENTATIVES OFTHEIR CHOICE”

After the Voting Rights Act, some Southernstates still tried to ensure the election ofwhites. One way to do this was by holding “atlarge” elections. In an at-large election, candi-dates do not run in separate districts. Forexample, all candidates for seats on a countyboard would be required to run county-widecampaigns. All the winners would thenbecome at-large board members representingthe entire county. Since white voters were inthe majority in most Southern counties, theytypically elected only whites to office.Although African Americans might make up20 or 30 percent of the voters, they did nothave enough votes to elect a black candidate.Many Southern blacks became convinced thatthey were as unrepresented in the governmentas they had been in the days before the VotingRights Act when they were denied the right tovote.

Under the Voting Rights Act, the U.S. JusticeDepartment must approve the voting pro-cedures of states with a history of voting dis-crimination. Believing at-large elections to beunfair, the Justice Department ordered South-ern cities, counties, and states to divide at-largedistricts into smaller, separate districts. Thevoters in each district would then elect theirown representative. This assured the election ofAfrican Americans who ran for office in dis-tricts with black majorities. But state legisla-tures often drew district boundaries that putblack voters into districts with white majorities.

In 1982, Congress amended the Voting RightsAct, which now covered Hispanic as well asAfrican-American voters. The amended lawgranted these voters the right “to elect repre-sentatives of their choice.” At the same time,however, Congress made it clear that thesegroups were not entitled to proportional repre-sentation. In other words, just because blacksmade up 12 percent of the U.S. population didnot mean that they were guaranteed 12 percentof the seats in Congress.

During the late 1980s, the Justice Departmentadopted a policy of maximizing so-called“minority-majority districts.” These are dis-tricts where a minority group makes up themajority of the population. Using its powerunder the Voting Rights Act, the JusticeDepartment encouraged the creation of thesedistricts.

Following the 1990 census, redistrictingthroughout the country increased the numberof African-American and Hispanic majoritydistricts. After the 1992 elections, the numberof African-American members of the House ofRepresentatives jumped from 26 to 39. Largelyas a result of new “minority-majority” districts,Alabama, Florida, North Carolina, South Car-olina, and Virginia elected black members ofCongress for the first time in almost 90 years.

But this redistricting along racial lines drewcontroversy. Some argued that minoritiesdo not necessarily need minorities to representthem. They said that creating districts basedon race further divides our society by race.Two cases brought before the Supreme Courtchallenged racial redistricting onconstitutional grounds. One case was fromNorth Carolina; the other, from Georgia.

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THE NORTH CAROLINA CASE

Under pressure from the Justice Department,North Carolina created two “minority-majori-ty” districts, each about 60-percent black. As aresult, two African-American congressmenwere elected in 1992, the first from North Car-olina in 90 years. But some voters challengedthese districts in court. They claimed that theodd-shaped districts were drawn for solelyracial purposes in violation of the equal pro-tection clause of the 14th Amendment.

In 1993 in Shaw v. Reno, the U.S. SupremeCourt ruled 5–4 that these districts violate the14th Amendment unless they are “narrowlytailored to further a compelling governmentalinterest.”

Writing the majority opinion, Justice SandraDay O’Connor declared that, “Classificationsof citizens solely on the basis of race ‘are bytheir very nature odious to a free peoplewhose institutions are founded upon the doc-trine of equality.’” Justice O’Connor furtherwarned that corralling minorities into separatevoting districts “threatens to carry us furtherfrom the goal of a political system in whichrace no longer matters . . . .”

Writing in dissent, Justice David H. Souterobserved that racial minority groups oftenhave common interests that differ from thewhite majority. Therefore, he argued, state leg-islatures should be allowed to “take race intoaccount in drawing up districting plans.”

The Supreme Court sent the case back to afederal court in North Carolina to determineif, in fact, “a compelling governmental inter-

est” warranted the formation of the two black-majority congressional districts. This court, tothe surprise of many, found that the districtswere justified because the state had a com-pelling interest in complying with the VotingRights Act.

The voters who had brought the suit appealedthis decision again to the Supreme Court. In1996 in this second case (now named Shaw v.Hunt), the court majority found that theVoting Rights Act did not require minority-majority districts. Therefore complying withthe act could not serve as a compelling stateinterest. The court held that the districts wereunconstitutional.

THE GEORGIA CASE

Between 1980 and 1990, one of Georgia’s 10congressional districts had a black majority.The voters in this district elected Georgia’sonly black congressman. But African Ameri-cans made up 27 percent of the state’s popula-tion. Some argued that they should have achance to elect more black representatives.They said that white congressmen did notreally represent their views and interests.

As a result of the 1990 census, the Georgia leg-islature redistricted the state into 11 congres-sional districts. Using its enforcement powersunder the Voting Rights Act, the JusticeDepartment refused to approve any redistrict-ing plan that did not include two new“minority-majority” districts. Finally, such aplan was approved. One of the districts con-nected several black urban areas with ruralAfrican Americans living 260 miles away.

This map shows North Carolina’s congressional districts for the 1992 elections. Districts 1 and 12(shaded black) were developed to create an African-American majority.

In 1992, African Americans were elected in allthree of Georgia’s black-majority congression-al districts. This amounted to 27 percent ofGeorgia’s eleven seats in the U.S. House ofRepresentatives, which equaled the percentageof blacks in the state’s population. But as inNorth Carolina, some white voters claimedthat the new black-majority districts violatedthe 14th Amendment’s equal protectionrequirement.

In June 1995 in Miller v. Johnson, a 5–4 majori-ty of the Supreme Court agreed. The courtmajority concluded that “race was the pre-dominant factor” in creating at least one ofthe black- majority districts. In such a situa-tion, the court decided that unless there is astrong reason (“compelling governmentalinterest”), states are forbidden to separate citi-zens into different voting districts by race justas they may not racially segregate publicparks.

In his majority opinion, Justice Anthony M.Kennedy blamed the Justice Department forpushing a “max-plan” that created two newblack-majority districts. He declared that therewas no “compelling state interest” to do this.Justice Kennedy wrote that states engage inracial stereotyping when they assume thatminority voters “think alike, share the samepolitical interests, and will prefer the samecandidates at the polls.”

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The dissenting justices pointed out thatvoting districts for Irish, Italian, and JewishAmericans had been created in the past toreflect the common interests of these ethnicgroups. The dissenters also wondered just howthe white voters who challenged the newblack-majority districts had been harmed.

Because of this decision, Georgia had toredraw its congressional districts again.

POINTS OF INQUIRY

1. What policy did the white voters inGeorgia and North Carolina challengein court?

2. What was the goal of this policy? Doyou agree with the goal? Explain.

3. How did the U.S. Supreme Court affectthis policy?

4. Some people argue that it does not reallymatter if minority voters do not get toelect minority representatives. White rep-resentatives can do just as good a jobrepresenting the interests of minorityvoters. Do you agree or disagree withthis argument? Why?

5. Do you think voting districts that inten-tionally separate minority voters fromwhite voters are similar to racially segre-gated parks, schools, and housing? Whyor why not?

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Acentral function of the U.S. governmentis to conduct relations with the almost

200 other nations in the world. A nation is asovereign country, and as such, possesses thehighest authority over its territories. All sover-eign states are theoretically equal.

Foreign policy is the way by which Americaconducts relations with other countries. It isdesigned to further certain goals. It seeks toassure America’s security and defense. It seeksthe power to protect and project America’snational interests around the world. Nationalinterest shapes foreign policy and covers awide range of political, economic, military,ideological, and humanitarian concerns.

America’s foreign policy has changed overtime reflecting the change in its nationalinterest. As a new nation after the Revolution-ary War, America’s prime national interestwas to maintain its independence from morepowerful European countries. Protected by theAtlantic Ocean, its major foreign policy, astypified by the Monroe Doctrine, was to limitEuropean attempts of further colonization ofthe Western Hemisphere.

Through the 19th century, America concen-trated on creating a nation that spanned thecontinent, and it avoided foreign entangle-ments. Once industrialized and more prosper-ous, it began looking for foreign markets andcolonies.

By the turn of the 20th century, the UnitedStates had become a minor imperial power,fighting a war with Spain for Cuba and thePhilippines and annexing Hawaii and severalother territories. World War I engaged theUnited States in European affairs, but afterthe war, a wave of isolationist feeling sweptthe country. Refusing membership in theLeague of Nations, America turned inwardonce again. Absorbed by the prosperity of the1920s and the Great Depression of the 1930s,America let its military strength erode. It wasnot prepared for war when the Japanese struckthe U.S. fleet at Pearl Harbor in late 1941.

Emerging from World War II as the mostpowerful economic power on Earth, the Unit-ed States changed its foreign policy dramati-

cally. It took the lead in founding the UnitedNations. It invested billions of dollarsthrough the Marshall Plan to help strengthenwar-devastated European democracies. It cre-ated a system of alliances, including theNorth Atlantic Treaty Organization (NATO).

Central to America’s defined national interestand foreign policy in the post-war period wasthe containment of the Soviet Union andcommunism. During the Cold War, theUnited States and its allies competed with theSoviet Union and its allies militarily, economi-cally, and ideologically. Both sides createdmassive military forces and huge stockpiles ofnuclear weapons. Although the two superpow-ers never went to war, the policy of contain-ment led the United States into the bloodyKorean and Vietnam wars.

The Cold War ended when the Soviet Union,economically exhausted from competing withthe West, disintegrated. This left the UnitedStates the only remaining superpower in aworld no longer ruled by the logic of contain-ing the Soviet Union.

Through time, various constitutional princi-ples and values have shaped American foreignpolicy. American foreign policy has favoredthe self-determination of nations for indepen-dence. Based on our commitment to constitu-tional government, we often favor and sup-port nations that practice democracy. Theseprinciples, however, sometimes have conflict-ed with the goals of national security, eco-nomics, or the realities of international poli-tics. In certain cases, America has supporteddictatorial governments or intervened to cur-tail popular political movements.

MAKING AND CARRYING OUTFOREIGN POLICY

America’s foreign policy today covers a widerange of functions and issues. It includesestablishing and maintaining diplomatic rela-tions with other countries and internationalorganizations such as the United Nations andthe Organization of American States. Itincludes peacekeeping functions such as work-ing with allies to assure regional and interna-tional security and arms-control efforts. It

13 America’s Foreign Policy

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covers a range of international economicissues including trade, travel, and business. Itinvolves foreign aid and disaster relief. As asuperpower, the United States has also taken aleadership role in peacemaking around theglobe by trying to negotiate treaties and agree-ments to end regional conflicts. Also, as aworld leader, the United States has a long-standing role in trying to address internation-al economic and environmental problems.

The making and carrying out of America’sforeign policy involve all three branches ofgovernment and a complex array of govern-mental institutions and agencies.

The president and the executive branch havethe most significant role in making foreignpolicy and are responsible for carrying it out.With the advice and consent of the Senate,the president makes treaties and appointsambassadors. The president can hold summitmeetings with world leaders. As commanderin chief of the military, the president can, byexecutive order, rapidly project U.S. poweraround the globe.

In forming U.S. foreign policy, the presidentrelies on advice from the National SecurityCouncil. This group is made up of the vice-president, secretary of state, secretary ofdefense, head of the Central IntelligenceAgency (CIA), and chair of the Joint Chiefs ofStaff (the nation’s highest military adviser).

The secretary of state heads the U.S. StateDepartment and often represents the presidentabroad. The State Department carries out for-eign policy decisions and helps develop for-eign policy for every region of the world.Attached to the State Department is the U.S.Foreign Service, or diplomatic corps. It ismade up of ambassadors (who representAmerica’s political interests in every county),consuls (who represent America’s businessinterests), and other officials who specialize intechnical matters and issues of foreign aid.

Congress also plays a role in America’s foreignpolicy through its power to set duties and tar-iffs on foreign exports and imports, regulateforeign commerce and immigration, anddeclare war. It sets quotas on immigration,chooses which countries will benefit for most-favored-nation status in trade agreements,votes on foreign aid, and sets the defense

budget. But Congress is usually in the role ofaccepting, changing, or rejecting policies pro-posed by the president.

The Supreme Court plays a limited role in for-eign policy. It has jurisdiction over casesinvolving treaties, admiralty and maritimelaw, and ambassadors and other public minis-ters. It also is charged with deciding disputesbetween states and foreign states and their citi-zens and subjects.

At different times, tensions have arisenbetween the branches in the conduct of for-eign policy. Presidents sometimes favor treatiesthat the Senate does not want to approve.President Woodrow Wilson promoted treatiesestablishing the League of Nations after WorldWar I, but the Senate opposed the League andrefused to ratify the treaties. Other times, ten-sions have arisen between the Congress’ powerto declare war and the president’s role as com-mander in chief. Presidents have committedAmerican armed forces to major conflictssuch as the Korean, Vietnam, and Gulf warswithout a declaration of war by Congress.

The public also plays a role in influencing for-eign policy. Advocacy groups for foreigncountries often try to influence Congress andthe president about issues. Business associa-tions lobby the government about internation-al economic and trade issues. Groups andindividuals with strong views on certain for-eign policy issues, especially military interven-tion, often organize protests or other politicalactions to influence decisions.

POINTS OF INQUIRY

1. What is foreign policy? How would youcharacterize American foreign policyduring most of the 19th century? At thebeginning of the 20th century? Follow-ing World War II? Today? What do youthink accounts for the differences?

2. What role do the three branches of gov-ernment have in creating American for-eign policy? What tensions sometimesarise between the branches over foreignpolicy? Who else influences foreignpolicy?

3. What principles and values have helpedshaped American foreign policy?

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Military InterventionOne of the most difficult issues in foreignpolicy is deciding when the United Statesshould exercise military force. Most peoplethink that military force may be used if avital national interest of the United States isthreatened. The difficulty lies in getting peo-ple to agree on what constitutes a vital nation-al interest.

Almost everyone would agree that an attackby a foreign country on the United Statesthreatens a vital interest. Many also wouldthink a vital interest threatened if a countryattacked a nation that we had signed a securi-ty agreement with. Disagreements emergewhen the threat involves the free flow of aprecious commodity, such as oil. They alsosurface over situations that do not pose animmediate threat to U.S. security but couldimperil it in the future, such as when a regionbecomes unstable and the instability may leadto wider conflicts. Another area of debateopens over human rights and humanitarianefforts. The United States is the most power-ful democratic nation on Earth. Does thatmean we always have a vital interest in pro-moting human rights and democracy? Or,should we stay out of the affairs of othernations unless they threaten other of ournational interests?

Another issue arises over how the UnitedStates should exercise military force. Someargue that America should never act unilater-ally, but should only act with others, allies orparticularly with the United Nations. Theybelieve America has a strong interest inupholding international law. Others agree thatit is appropriate to act in coalitions, but theythink demanding it in every circumstancewould paralyze America’s role as a worldleader.

Debates over intervention have arisen often.Below are a few situations in which Americanpresidents decided to use military force inrecent years.

THE INVASION OF PANAMA IN 1989

The Panama Canal is a strategic waterway con-necting the Atlantic and Pacific oceans. In1977, the United States, which had controlled

the canal zone since the canal was built,agreed to return control to Panama by 1999.

In the 1980s, Panama was led by the head ofthe military, Manuel Noriega. He had permit-ted elections, but allegations of his wrongdo-ing—voter fraud, intimidation, murder, drugdealing—were widely believed. In 1988, theUnited States indicted Noriega for drug traf-ficking and racketeering. That same year, Pana-ma's president tried to dismiss Noriega. Butthe Noriega-backed legislature dismissed thepresident instead. The Reagan administrationrefused to recognize Noriega's choice for presi-dent and imposed economic sanctions onPanama. Noriega held new presidential elec-tions in May 1989, but when a Noriega oppo-nent won, Noriega voided the election. Heplaced a new president in office in September.In October, military leaders tried to overthrowthe regime, but Noriega put down the coup.In December, the legislature named Noriegachief executive officer of the government. Italso declared that Panama was in a state ofwar with the United States. The following day,a U.S. soldier in civilian clothes was killed byPanamanian soldiers. Four days later, Presi-dent George Bush ordered the invasion ofPanama. The U.S. Marines quickly took thecountry. Noriega was taken to the UnitedStates, tried, and convicted. The winner of theMay 1989 election was inaugurated as the newpresident of Panama.

THE GULF WAR OF 1991

In August 1990, Iraq invaded and occupied itssmall, but oil-rich neighbor, Kuwait. The U.N.Security Council called for Iraq’s immediatewithdrawal and imposed a trade embargo onIraq. With 300,000 troops in Kuwait, Iraqseemed to pose a threat against Saudi Arabia,a militarily weak neighboring country withhuge oil reserves. The United States, its NATOallies, Egypt, and a few other Arab countriessent about 700,000 troops to Saudi Arabia.(More than 500,000 of these troops wereAmerican.) In September, the U.N. SecurityCouncil authorized the use of force againstIraq unless it withdrew from Kuwait by Janu-ary 15, 1991. On January 16, the United Statesand its NATO allies started bombarding Iraqfrom the air. For several weeks, they poundedits air defense networks, oil refineries, com-munications systems, bridges and roads,

government buildings, and weapons plants.Then they attacked Iraqi troops in Kuwait andsouthern Iraq. On February 24, troops underAmerican command invaded Kuwait. Withinthree days, the troops had retaken Kuwait anddriven deep into Iraq. With the coalition’smission accomplished, U.S. President GeorgeBush declared a cease fire. Kuwait’s indepen-dence was restored, and the trade embargo onIraq remained in force.

THE INVASION OF HAITI IN 1994

Haiti is a poor Caribbean nation on theisland of Hispaniola. Half of the islandbelongs to Haiti; the other half is anothercountry—the Dominican Republic. For mostof its history, Haiti has been ruled by brutalmilitary dictators. In 1990, the nation’s firstfree elections were held. Jean-Bertrand Aris-tide, a Roman Catholic priest, won election aspresident. In 1991, after seven months inoffice, the military overthrew Aristide. Whilethe United States, United Nations, and theOrganization of American States negotiatedwith the military government to get Aristidereturned to power, thousands of refugees fledthe island in small boats. Negotiations madelittle progress and boat people kept arriving inAmerica. In 1993, the military governmentfinally agreed to let Aristide return, but failedto keep its promise. In 1994, the UnitedNations authorized the use of force to removethe dictatorship. President Bill Clintonannounced that the U.S. military wouldinvade if Haiti’s military leaders did not leavethe country. With the U.S. fleet approachingHaiti, Clinton sent a delegation led by formerPresident Jimmy Carter to Haiti’s capital.After round-the-clock negotiations, Haiti’smilitary leader agreed to leave and to order hismilitary not to resist American troops. Aris-tide returned to power. U.S. troops occupiedthe island for six years. Democracy in Haitiremains unstable.

THE KOSOVO CONFLICT IN 1999

Following the fall of the Soviet Union, theEastern European nation of Yugoslavia starteddisintegrating. Four of the six republics mak-ing up Yugoslavia declared independence. Ser-bia, the largest of the republics, refused to rec-ognize their independence. A bloody civil warerupted. Particularly disturbing were incidentsof “ethnic cleansing,” when one side would 61

drive members of the other group fromtheir territory and sometimes even commitmass murder. In 1995, a peace agreement wasbrokered by the United States.

Amid this chaos, a crisis was growing inKosovo, a region in Southern Serbia. Morethan 90 percent of its inhabitants are ethnicAlbanians. (Albania is a neighboring coun-try.) Kosovo had traditionally been treatedalmost as a seventh republic in Yugoslavia,but in 1989 Serbian rule was imposed. In1997, a radical group, the Kosovo LiberationArmy, demanded independence and startedcarrying out guerilla attacks on Serbianpolice. In 1998, the Serbian militaryresponded with brutal force, driving thou-sands from their homes. The Clintonadministration worked to get NATOinvolved. NATO demanded that Serbia with-draw its troops. Both sides negotiated, butSerbia refused to sign an agreement thatwould place NATO troops in Kosovo.NATO threatened air strikes, and when Ser-bia didn’t back down, air strikes began inlate March 1999. For two months, NATOpounded Serbian targets. Finally, Serbiarelented and signed a peace treaty. Almost800,000 refugees returned to their homes inKosovo under NATO protection. In 2000,the president of Serbia, who had beenindicted by the United Nations as a warcriminal, was defeated in an election andstepped down.

POINTS OF INQUIRY

1. How do you think domestic politicsmight impose restraints or obligationsin the way the United States acts in theworld?

2. In each of the situations described,what might be some reasons againstintervening? What reasons were therefor intervening?

3. What do you think are vital nationalinterests of the United States? Why?

4. When do you think it is justified forthe United States to use military force?Explain.

5. Do you think the United States shouldever use military force unilaterally?Explain.

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Today, the United States is the most power-ful nation economically and militarily in

the world. American innovations and techno-logical advances in assembly-line manufactur-ing and in the areas of electronics, computers,and nuclear energy have changed the world.American popular culture—music, fashion,movies, and television—has influenced everyarea of the globe.

At the same time, developments inother parts of the world heavily influ-ence the United States. Decisions ofmultinational corporations affect howAmericans do business. Multinationalcorporations buy and sell Americancompanies and real estate, hire and dis-place American workers, and impactthe American market economy. Workersfrom around the world, both docu-mented and illegal, come to the UnitedStates seeking employment and a higherstandard of living. Products and ser-vices from other countries competewith American goods. Foreign foods,music, literature, and arts influence theAmerican lifestyle.

Indeed, the vast majority of the Americanpeople can trace their origins to other parts ofthe globe—Europe, Asia, the Middle East,Africa, and Latin America. More recentlyarrived individuals and groups often maintainsignificant contacts with their homelandsthrough telecommunications and travel. Oth-ers, though long-time citizens or residents ofthe United States, often maintain connectionsthrough traditional cultural practices.

INTERNATIONAL ORGANIZATIONS

Another aspect of this new globalization hasbeen the growing influence of internationalgovernmental organizations (IGOs) and inter-national non-governmental organizations(NGOs).

IGOs are organizations made up of membernations. The most prominent example is theUnited Nations (U.N.). Formed at the conclu-sion of World War II, with the leadership of

the United States, the U.N. serves a number offunctions. It furnishes member nations with aforum for discussing and taking action onworld problems. It seeks to resolve internation-al and regional conflicts through mediationand arbitration. Its member nations supplyforces for peacekeeping duties such as monitor-ing disputed borders or maintaining a cease-firebetween combatants. The U.N. also providesemergency relief, health services, technicalassistance, and economic aid to developingcountries around the world. For example, theU.N. Childrens Fund (UNICEF) promoteseducational, health, and welfare efforts for chil-dren and mothers in developing countries.

The U.N. was established in 1945 by 51 mem-ber nations. Today, almost 200 nations belongto the U.N. It is governed by two main bod-ies—the General Assembly and the SecurityCouncil. Every member nation is entitled toone vote in the General Assembly. Similar to alegislature, the General Assembly debates issueson matters within the U.N. Charter. It makesrecommendations to the Security Council,other U.N. organizations, and membernations.

The Security Council is made up of 15 membernations. Five have permanent membership onthe Security Council—the United States, theUnited Kingdom, France, China, and Russia.Ten are elected to two-year terms on the coun-cil by the General Assembly. Although eachmember of the Security Council has one vote,each of the five permanent members has theright to veto any Security Council action. TheSecurity Council has broad power to promotepeace and settle disputes among countries. Ifnecessary, it can punish aggression and thespread of war using force. The council can callon any member nation to provide armed forcesfor this purpose.

At times, it has been difficult for the SecurityCouncil to exercise its powers because of a vetoby one of the permanent members. For exam-ple, the Cold War conflict between the UnitedStates and the Soviet Union caused a numberof actions to be vetoed.

14 America and New GlobalRealities

The U.N. SecurityCouncil and

General Assemblyare based in U.N.

headquarters inNew York City.

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Even today, tension often exists between theactions of the U.N. and the national interestsof the United States. The United States and theother industrial nations are often outvoted inthe General Assembly. Members of the SecurityCouncil often refuse to act on recommenda-tions by the General Assembly that are per-ceived as counter to their national interests.

The U.N. works closely with other IGOs. TheInternational Money Fund promotes interna-tional monetary cooperation, stabilization ofworld currencies, and the expansion of worldtrade. The World Bank provides loans and eco-nomic expertise to developing nations. TheWorld Trade Organization administers interna-tional trade agreements and tries to settle tradedisputes.

International Non-Governmental Organiza-tions (NGOs) have connections with more thanone country and are not governmental bodies.NGOs promote economic, religious, charitable,social, and political interests transnationally,that is, across national boundaries. Multina-tional corporations are NGOs and have eco-nomic interests in more than one country,sometimes in many countries. The RomanCatholic Church has parishes and adherents invirtually every country of the world. The Inter-national Red Cross provides health services anddisaster relief around the world. Amnesty Inter-national promotes human rights throughoutthe world. NGOs have a growing influence onthe world scene.

GLOBAL CHALLENGES

Today, the nations of the world are tied togeth-er as never before. People can quickly travelanywhere by airlines. Communications technol-ogy—the Internet and satellite-aided telecommu-nications—whisk information from one cornerof the globe to another. Environmental prob-lems such as global warming, ozone-layer deple-tion, and deforestation can affect every nationand region. Political upheavals or policy deci-sions by one country can impact the lives ofcitizens in neighboring countries or around theworld. Economic booms or busts in one coun-try or region can influence the entire globalmarket system.

Because the United States is a dominant playeron the world scene, its political developmentscan significantly affect other countries. Achange in the immigration policies of the

United States not only impacts people living inAmerica, but their relatives living in otherparts of the world. If the United States decidesto place a trade embargo on another countryfor human-rights violations, that too can affectAmericans and those living in the other coun-try.

As the world becomes more interdependentand problems grow more complex, so do thecomplexities of policy making. U.S. citizensmay have close political or religious ties to peo-ple living in other countries or regions. Histor-ically, groups in America with close connec-tions to other parts of the world have tried toinfluence policies affecting that area. In suchcases, controversies can arise about whetherone’s loyalty to America is more importantthan loyalty to one’s transnational religious,ethnic, or ideological group.

The U.S. government also often has to respondto political developments and problems in theother nations of the world. For example,refugees from political upheavals in other partsof the world frequently seek asylum in Ameri-ca, requiring U.S. officials to determinewhether to admit them to the country. Envi-ronmental disasters such as floods, earth-quakes, or famines require the United States todetermine what aid should be offered.

As the 21st century progresses, one thing is cer-tain. American citizens and policy makers alikewill be forced continually to take into accountthe new global realities and face new globalchallenges.

POINTS OF INQUIRY

1. What major American economic, techno-logical, and cultural changes have affect-ed the world? How have they affected it?In turn, what economic, technological,and cultural changes from other nationshave affected America? How?

2. How is the world tied together politicallyand environmentally? How can politicalor environmental events in the worldaffect the United States? How can thosein the United States affect the world?

3. There are many international NGOs andIGOs. Give an example of each andexplain what each does.

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The World TradeOrganizationAlthough it was only 5 years old, the WorldTrade Organization (WTO) generated globalattention when it met in Seattle in 1999. Insidethe WTO conference hall, trade representa-tives from governments around the worldmet. Outside, on the streets of downtownSeattle, thousands of demonstrators voicedtheir opposition to the impact of WTO poli-cies on national and international economies,the environment, labor conditions, andhuman rights.

The WTO was founded in 1994 as a successorto GATT, the General Agreement on Tariffsand Trade. GATT was created to stabilize

international commerce after World War II.Originally, GATT was to be replaced with aU.N. agency called the International TradeOrganization (ITO). Due to Cold War con-flicts, the ITO never materialized. Instead,GATT remained in place as the principal post-war control over international trade.

GATT’s primary purpose was to reduce inter-national trade barriers, such as tariffs andimport quotas. GATT began in 1947 with 23countries signing the treaty at a trade confer-ence in Geneva, Switzerland. Seven subsequentrounds of trade conferences were held, andeventually 125 countries signed its agreements.Every member of GATT agreed to treat everymember nation equally. That meant that if acountry agreed to reduce its tariffs for one

member nation, it had to reduce its tariffs forall member nations. Member nations could,however, back out of this arrangement if theyfelt their economy was being damaged.

GATT lasted 48 years as the world’s primaryinternational set of trade rules. During thattime, world trade grew steadily, and new tradeconflicts emerged, which GATT seemedunable to control. Recognizing that GATThad no enforcement power, many membernations violated GATT agreements. BecauseGATT only covered trade in goods, it couldnot deal with new developments in telecom-munications or conflicts over intellectualproperty such as copyrights for computerprograms or CDs.

In 1986, world-trade officials began an eight-year “Uruguay Round” of trade negotiationsdesigned to modernize the outdated GATTrules. The round concluded in 1994 with thefounding of the World Trade Organization.All the member nations of GATT joined theWTO. By 2000, 136 nations had joined, and30 others, including Russia and China, hadapplied.

The WTO is more powerful than GATT. TheWTO is a permanent organization based inGeneva. Its rules apply to services and intellec-tual property as well as goods. It has disputesettlement panels that can impose sanctionson member nations that violate WTO rules.

THE U.S. AND WTO

The United States is the most active memberof the WTO. It has used the WTO to helpopen markets to U.S. telecommunicationcompanies and chemical manufacturers.

It has also lodged more complaints withWTO dispute resolution panels than anyother country. WTO panels have ruled infavor of the United States in most of thesecases. In 1996, for example, the United Statesfiled a complaint that European nations wereblocking imports of U.S. beef. The Europeansresponded that they did not want U.S. beeffrom cattle raised on growth hormones,because the meat posed a health hazard.Americans claimed that this was just anexcuse to protect European beef from compe-tition. A WTO panel ruled in favor of theUnited States, declaring that there was no sci-entific basis for the European position. The

A demonstratorflashes a peace signin front of a Seattlepolice officer during

1999 protestsagainst the World

Trade Organization.

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WTO gave Europe the choice of permittingAmerican beef to enter or having the UnitedStates impose high tariffs that would prevent$100 million worth of European goods fromentering America each year. The Europeanschose the high tariffs.

In 1997, the United States (along with severalLatin American countries) complained thatEurope was discriminating against bananaimports from U.S.-based corporations likeDole and Chiquita. The Europeans admittedtheir policy favored buying bananas fromsmall growers in former colonies rather thanfrom large corporations, but claimed theyhad a WTO exemption. The WTO panelruled that Europe had exceeded its exemptionand ordered it to stop the favoritism or sufferhigh tariffs that would discourage an addi-tional $191 million worth of Europeanimports a year. So far, the Europeans haveagain chosen the tariffs.

In other cases, America got Japan to stop vio-lating the copyrights of music recorded in the1950s and 1960s, prevented Canada from lim-iting imports of American magazines, andhalted India from ignoring patents for Amer-ican drugs and chemicals.

The United States, however, has lost severalcases. The WTO denied an American chal-lenge to Japan’s film market, which U.S.officials claimed was closed to outsiders. TheWTO also ruled that the U.S. EnvironmentalProtection Agency’s toughened standardon gasoline discriminated against foreignrefiners.

WTO PROS AND CONS

Criticism of the WTO comes from differentviewpoints. Some argue that the WTO isimposing the interests of multinational cor-porations on every nation. Paul Hawken,chairman of a non-profit that helps business-es, has stated: “WTO rules run roughshodover local laws and regulations. The corpora-tions operating through the WTO relentlesslypursue the elimination of any restriction onthe free flow of trade . . . . The WTO is elimi-nating the ability of countries and regions toset standards, to express values, or to deter-mine what they do or don’t support.”Hawken notes that “in every environmentaldispute that has come before the WTO, its

three-judge panels . . . have ruled for business,and against the environment.”

Other critics see the WTO as ineffective. Theynote, for example, that in the beef andbanana cases, which the United States won,the beef and banana producers did not win.Europe kept its restrictions on beef andbananas and chose instead to accept a tariffon imports to the United States. These criticsbelieve that diplomacy and negotiating direct-ly with other nations is a better way to settrade policy.

WTO supporters reject these criticisms. Theydeny that the WTO is controlled by corporateinterests. They say it is a democratic organiza-tion. Each nation sends governmental repre-sentatives and decisions are made by consen-sus. Every nation must approve each WTOtrade agreement through its own ratificationprocess. Further, they argue, the WTO is atrade organization. They say it does not over-turn any nation’s environmental laws. But,they point out, no WTO member nation canrestrict trade by placing higher environmentalstandards on foreign imports than it does onits domestic products.

WTO supporters view it as highly effective.They stress that it has settled more than 200trade disputes, which otherwise might haveled to trade wars. Its rules apply to all membernations, they say, and thus the WTO freescountries from having to negotiate separateagreements with each of their numerous trad-ing partners.

POINTS OF INQUIRY

1. What is the World Trade Organization?Why was it created?

2. What are tariffs and trade barriers? Doyou think they are ever justified?Explain.

3. What are some concerns that peoplehave about the World Trade Organiza-tion? Do you agree with them?

4. What are some arguments against theUnited States belonging to the WorldTrade Organization? What are somearguments in favor of it?

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The 14th Amendment to the Constitutiondefines who are citizens. It states that “all

persons born or naturalized in the UnitedStates . . . are citizens of the United States and

the State whereinthey reside.” Thismeans that a per-son can become acitizen in twoways: by birth orby the naturaliza-tion process.

A person canbecome a citizenat birth by beingborn in the Unit-ed States or in anAmerican territo-ry. Children bornoutside the UnitedStates whose par-ents are Americancitizens are alsoautomatically citi-zens. Childrenborn of oneAmerican parentand one foreignnational outsidethe United Statesmay have dual citi-zenship.

People born out-side the United

States can become citizens through the processof naturalization. It begins with legal immi-gration. Congress sets the priorities for immi-gration and the number of immigrants to beadmitted to the country each year. It also setslimits on the number of immigrants who cancome from any one country.

To qualify for naturalized citizenship, personsmust be lawfully admitted to the UnitedStates, have permanent resident status, and beat least 18-years-old. They must have lived inthe United States continuously for at least fiveyears and for at least six months in the statewhere they petition for naturalization. Theymust affirm their beliefs in the principles ofthe Constitution and be willing to give up

their previous citizenship. They must swearthey are not members of any party that seeksthe overthrow of the United States. They mustbe of good moral character with no felonyconvictions. Once a person’s application isaccepted, the applicant will be examined.They must prove they have knowledge ofAmerican history and institutions and thatthey can read, write, and speak English. Theyalso must produce statements of two Ameri-can citizens in support of the petition. As afinal step, the applicant appears before a judgefor a final hearing and swearing of allegianceto the United States.

All persons living in the United States whoare not citizens are foreign nationals or aliens.They cannot vote, hold elective office, orwork in civil service. They must be finger-printed and register with the Immigration andNaturalization Service. Aliens can also bedeported (forced to leave the country) for vari-ous reasons including being convicted of acrime, advocating the overthrow of the UnitedStates, or entering the country illegally. Butdeportation proceedings must follow dueprocess of law. American citizens may not bedeported. Legal aliens, however, do have manyof the rights accorded citizens. They can ownproperty and have the protections of the Billof Rights. Many have permission to work andearn money. They must pay taxes and obeythe laws.

Not all countries have the same naturalizationpolicies as the United States. Some are muchmore restrictive about the numbers of immi-grants allowed and the number who can benaturalized. Some require longer residencyperiods than the United States. Others imposeethnic or religious requirements on citizen-ship.

THE RIGHTS OF CITIZENS

American citizens have personal, political, andeconomic rights. Historical sources of theserights include the Northwest Ordinance, theConstitution and its Bill of Rights, the vari-ous state constitutions and English and Amer-ican common law. Rights can also be createdby federal and state statutes, federal and statecourt decisions, and federal and state regula-tions.

15 Citizenship and Rights

The Statue ofLiberty stands in

New York Harborwelcoming people

from around theworld to America.

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Personal or individual rights assure Americansof the ability to seek life, liberty, and the pur-suit of happiness with dignity and security.They protect Americans from undue interfer-ence by government or other members of thecommunity. The right of free exercise of reli-gion allows citizens to practice the faith oftheir choice. The right to privacy protects citi-zens from unreasonable searches. It also allowscitizens to be left alone to make decisionsabout personal matters and what informationabout themselves should be made public. Therights of due process protect people from arbi-trary government actions. The rights of equalprotection seek to assure that Americans aretreated equally before the law and protectedagainst discrimination.

Americans are often confronted with issuesabout individual rights. For example, inrecent years Americans have debated and thecourts have decided issues of individual priva-cy in controversies over birth control, abor-tion, and the disclosure of personal and finan-cial information by government and corpora-tions.

Political rights are all those that give citizensthe right to participate in civic affairs andhave a voice in shaping the actions of govern-ment. They include the right to vote, freedomof speech and the press, and the rights to peti-tion and to assemble in public.

Debates over political rights often arise.Recent issues include questions over campaignfinance, creating legislative districts to increaserepresentation of racial groups, and citizenaccess to information held by the government.

Economic rights allow Americans to partici-pate freely in the marketplace. They includethe rights to own property, make contracts,and to receive just compensation if the gov-ernment exercises its right to take property forpublic purposes.

Issues debated about economic rights includethe power of government to enact zoningordinances or to acquire property througheminent domain, questions of taxation, gov-ernment regulation of business and employ-ment, and product and consumer safety.

It is often argued that personal, political, andeconomic rights reinforce one another andthat all are necessary for a healthy constitu-

tional democracy. For example, to freely par-ticipate in economics or politics, one mustfeel secure and have the ability to make per-sonal decisions. To take advantage of econom-ic rights, a person needs political rights suchas the freedom of speech and association.

Just as rights reinforce one another, they alsocan conflict. The right of a person to a fairand impartial trial by a jury may conflict withthe rights of a free press to cover the trial ifthe coverage could influence the jurors. Theright to use and enjoy one’s home by throw-ing a wild party could interfere with the rightsof neighbors to live in peace and quiet.

POINTS OF INQUIRY

1. What are the two ways people canbecome American citizens?

2. What does a person who is not a citizenhave to do to become a citizen? Do youthink these requirements are fair and rea-sonable? Explain.

3. What are some personal rights thatAmericans have? Political rights? Eco-nomic rights? How do these rights rein-force each other? How might these rightsconflict?

4. What historical sources do these rightscome from?

5. What rights do non-citizens have? Doyou think they should have these rights?Explain.

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Should IllegalImmigrants Be DeniedPublic Benefits?The issue of how to deal with new immigrantshas arisen throughout our history. At varioustimes, the federal government has restricted orexpanded the number of legal immigrants. Inrecent years, the issue of immigration hasfocused on undocumented aliens, those whoare in the United States illegally. One of themost controversial issues concerns whetherundocumented aliens should be denied publicbenefits, like public education and healthcare.

The federal government is responsible for con-trolling U.S. borders. The U.S. Immigrationand Naturalization Service (INS) administersfederal laws that determine legal status in theUnited States. But federal efforts have not suc-ceeded in controlling the number of illegalimmigrants in California, Texas, Arizona,south Florida, and other areas. The INS esti-mated that California had roughly 1.6 millionillegal immigrants in 1994.

Some people believe the large number of ille-gal immigrants poses a serious problem. Theyargue that because undocumented aliens willwork for less money, they take jobs away fromAmericans. They also believe it unfair thattaxpayers must pay for the health care andpublic education of undocumented aliens.

Others disagree. They argue that undocument-ed aliens pay taxes and do work that mostAmericans don’t want to do. They point outthat whole industries in America depend onundocumented workers.

The dispute over illegal immigration hasprompted bitter fights at the ballot box andin the courts between those who favor strictmeasures to discourage illegal immigrationand those who oppose such measures onhumanitarian grounds.

PROPOSITION 187

In 1994, California voters decided on Proposi-tion 187, a controversial initiative. Its purposewas to discourage illegal immigration intoCalifornia by denying education, health, andsocial services to people who did not have

legal immigrant status. Under the proposition,people without legal status could be barredfrom getting welfare benefits, from receivingnon-emergency health service, and fromattending public schools. The measurerequired police and school, public-health, andsocial-service administrators to check on theimmigration or citizenship status of the peo-ple they serve. For example, school officialswould have to check on all students. Socialservice workers would have to check on theirclients. The names of those suspected of ille-gal status would be sent to the INS and theCalifornia attorney general.

PROS AND CONS

Supporters of Proposition 187 argued that thefederal government had failed to deal with ille-gal immigration. They believed that illegalimmigration burdened California taxpayers,was morally wrong, and hurt the economyand job market. They hoped that the measurewould force the federal government to bettercontrol the borders. The law, they argued,would discourage illegal immigration andreduce the costs of public services by hun-dreds of millions of dollars. These savings,they argued, could be used to improve ser-vices to legal residents or to cut taxes.

Opponents of Proposition 187 argued that itis bad public policy because it required publicservice employees to enforce it, turning theminto law-enforcement officers. They predictedthat if illegal immigrants were denied healthservices, disease rates might increase. Or, ifstudents were forced out of school and ontothe streets, crime rates might increase. Finally,opponents argued that the measure couldincrease prejudice against brown-skinned resi-dents whether they are citizens, legal residents,visitors, or illegal immigrants.

Part of the debate centered on the constitu-tionality of the measure. Opponents pointedto an existing U.S. Supreme Court decision,Plyler v. Doe (1982). In this 5–4 opinion, theSupreme Court ruled that a Texas law exclud-ing children of illegal aliens from publicschool violated the equal protection clause ofthe 14th Amendment. This clause says that nostate may “deny to any person within its juris-diction the equal protection of the laws.”According to prior court interpretations ofthis clause, a state must have a rational basis

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for treating people differently and it must fur-ther some substantial goal of the state. Thecourt decided that Texas had neither. Themajority opinion stated that “the Texas statuteimposes a lifetime hardship on a discrete classof children [who] . . . can neither affect theirparents’ conduct nor their own undocument-ed status.” The court went on to say: “We can-not ignore the significant social costs borneby our Nation when select groups are deniedthe means to absorb the values and skillsupon which our social order rests.” The courtconcluded that states must provide free publicschooling to children of undocumentedimmigrants on an equal basis with other chil-dren in the state.

Supporters of Proposition 187 noted thatPlyler was a 5–4 decision and the SupremeCourt had grown more conservative since thattime. They believed that the current SupremeCourt would overrule the Plyler decision. Thefour dissenters in Plyler argued that Texas hada rational basis and substantial state goal indenying education to children of undocu-mented immigrants. The dissenters stated: “Bydefinition, illegal aliens have no right whatev-er to be here, and the state may reasonably,and constitutionally, elect not to provide themwith governmental services at the expense ofthose who are lawfully in the state.”

In the November 1994 election, Proposition187 passed by a nearly 3–2 margin, but almostimmediately it was challenged in federal court.Implementation was delayed until the courtsdecided on its constitutionality.

THE AFTERMATH

In November 1997, federal Judge Mariana R.Pfaelzer struck down all the major provisionsof Proposition 187, including the ban on pub-lic school attendance and health and social-service benefits. Judge Pfaelzer did not baseher ruling on the Plyler case. Instead, shebased it on the supremacy clause in Article VIof the U.S. Constitution. It holds that lawspassed by Congress are the supreme law of theland and that if they conflict with laws passedby any state, the state laws are invalid. Accord-ing to Judge Pfaelzer’s ruling, Proposition187’s attempt to regulate immigration was pre-empted by federal immigration law.

Supporters of the Proposition 187 urged thestate to appeal the ruling. But a major sup-porter of the measure, Republican GovernorPete Wilson, retired from office, and his suc-cessor, Democrat Gray Davis, refused to pur-sue the case.

This probably means that the issue of deny-ing public benefits to undocumented immi-grants will be decided on the federal level.After the passage of Proposition 187, the U.S.Congress did get involved. In 1996, a newfederal welfare reform law went into effect.Called the Personal Responsibility and WorkOpportunity Reconciliation Act, it toorestricts the rights of illegal immigrants toreceive various public benefits. In some ways,it even went further. It not only applied toillegal immigrants, but also to “not-quali-fied” non-citizens who are legally residing inthe United States on a temporary basis.Unlike Proposition 187, however, the welfarereform law did not ban children of illegalresidents from public schools.

POINTS OF INQUIRY

1. What was the purpose of Proposition187? What does it require?

2. What was the Plyler decision? Do youagree with it? Explain.

3. How did Judge Pfaelzer rule on Propo-sition 187? Do you agree? Explain.

This Californiaroad sign near theU.S.–Mexicoborder warnsmotorists to lookout for illegalimmigrantscrossing thehighway.

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Civic participation is essential to the work-ings of a constitutional democracy. All

individuals must participate wisely in thepolitical life of their community and thenation. Those eligible to vote should exercisetheir right and carefully consider their choicesof governmental representatives, leaders, andjudges. To do so, they must stay informedabout the issues and the positions of candi-dates. Also, individuals must be prepared to

serve on juries so that therights to a fair and impar-tial trial can be preserved.They must be willing to paytaxes to assure a commondefense, public safety, andother essential governmentalservices.

Beyond these basics, there ismore to good citizenship.Individuals need to under-stand constitutional princi-ples, debate their meaning,and be prepared to defendthem. They need to knowhow to participate in thepolitical processes of gov-ernment so that they caninfluence public policy.Our governmental structure

offers many opportunities to do so. Peoplecan attend political and governmental meet-ings such as those of the state legislature orcity council. They can contact and expresstheir views to elected officials. They can writeletters to representatives or to newspapers onissues of public policy.

Individuals can also work with others in polit-ical campaigns or make their voices heard bycirculating petitions or demonstrating peace-fully. These kinds of actions have broughtgreat changes to America over the years. Suchactions won women the right to vote duringthe women’s suffrage campaigns and helpedachieve greater equality for African-Americansand other minority groups during the civilrights movement.

Individuals can also decide to take a leadershiprole in public affairs by running for office orseeking appointment to office. Besides electedoffices, there are many opportunities to serveon commissions, boards, and grand juries atevery level of government. People can alsodevote their lives to public service as govern-mental workers, police officers, teachers, firefighters, judges, prosecutors, and publicdefenders.

PARTICIPATION IN CIVIL SOCIETY

Participation in government and the politicalprocess, though crucial to the health of a demo-cratic republic, is not the only way to demon-strate effective citizenship. Many argue thatindividuals owe a commitment to the better-ment of their communities by direct participa-tion. There are many ways to participate.

Joining and participating in community organi-zations such as service clubs, parent-teacherassociations, church groups, or charity leaguesbring community members together to formbonds, discuss common interests, and addresscommunity problems.

Each year, millions of Americans volunteertheir time to help solve community problemsand address community needs. People volunteerfor community clean-ups, to visit nursinghomes, to build shelters for the homeless, tohelp feed the hungry, and to mentor and teachreading to children. Millions of Americans alsoparticipate in fund-raising activities and givemoney to charities. While these actions do notnecessarily involve political participation, theydo help create a much better society and ahealthier country.

CIVIC CHARACTER

Certain character traits improve an individual’sability to meet civic responsibilities and con-tribute to a healthy society. Some are personaltraits. Self-reliance, supporting one’s family,making sure one’s children are educated, andearning a living are all personal traits that bene-fit society.

16 Civic Participation andResponsibility

Young people inSouthern California

learned how to workwith local government

to design andbuild their own

stakeboard park.

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Responsible citizenship, however, requiresmore. It is important that individuals respectthe law and be law-abiding. Yet, there are timeswhen people, on deeply held moral groundsmay refuse to obey what they consider to bean unjust law or refuse a civic responsibilitysuch as the draft.

It is important that people respect individualworth and human dignity and show compas-sion for each other. This includes respectingthe rights, choices, and contrary opinions ofothers.

It is important that Americans develop apatriotic loyalty to the principles of U.S. con-stitutional democracy and be willing todefend them. For American constitutionaldemocracy to thrive, it is important that citi-zens invest of themselves in assuring its con-tinuance.

Getting InvolvedIf you want to get involved in improving yourcommunity, what can you do? Contributingto the social welfare of your community canbe accomplished in three basic ways. You cantry to influence government policy. You canvolunteer at an agency that provides a serviceto the community. You can plan and imple-ment a direct service project for the commu-nity.

INFLUENCING PUBLIC POLICY

Perhaps the most effective way to improveconditions in your community is to work toget a public policy changed, a new policyenacted, or an unsatisfactory policy rejected.Addressing public policy involves interactingwith the lawmaking, or legislative, branch ofgovernment and usually requires a groupeffort. Taking action in this way can take agreat deal of time and effort, but the resultscan be both effective and satisfying.

Skateboarding on public and commercialproperty was against the law in HermosaBeach. Skateboarders in this California ocean-front community grew tired of being chasedfrom public areas, having their skateboardsconfiscated by police, and being stereotypedas criminals. A small group of skateboardersdecided that they needed someplace to skate-board.

The skateboarders conducted a survey andfound strong public support for a skateboardpark. To build a skateboard park, the skate-boarders would have to influence policy. Thatmeant they would have to lobby local govern-ment. As their first lobbying effort, the skate-boarders wrote a petition, circulated it, andpresented it to the City Council.

Some members of the Hermosa Beach CityCouncil were reluctant to address the prob-lem. They expressed concern about the costand liability for what they considered aninjury-prone sport. The skateboarders andtheir parents began to attend City Councilmeetings to present their ideas to sympatheticcouncil members. Working closely with offi-cials from the city department of parks andrecreation, the skateboarders:

POINTS OF INQUIRY

1. What are some basic personal responsi-bilities? How can society benefit by peo-ple taking care of their personal respon-sibilities? What are some different civicresponsibilities? How are they important?What character traits promote personaland civic responsibility?

2. How might moral considerations or con-stitutional principles force a person torefuse his or her civic responsibilities?How might tension arise between a per-son’s personal and civic responsibilities?

3. What are different opportunities forindividuals to engage in public service?How do you think students can exerciseleadership in public service?

4. What is the difference between takingpolitical action and non-political volun-teering to help the community? Give anexample of each. Why are they bothimportant?

5. What are some current and historicalexamples of citizen movements in Amer-ica? Explain what each was trying toachieve.

6. Why do you think it is important forindividuals in a democracy to knowabout American constitutional democra-cy and the workings of government?

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• Researched statistics on skateboard injuryand civic liability.

• Surveyed available public land to find asuitable location for a park.

• Participated in a study of skateboardparks in other communities.

• Convinced local businesses and nearbyresidents that a skateboard park wouldhave a positive impact on the chosenneighborhood.

As a result of the skateboarders’ lobbyingefforts, the City Council recommended theconstruction of a city-funded and sponsoredskateboard park. Next, the skateboardersformed a task force consisting of an architect,a construction contractor, and park and recre-ation officials to design the park. After theCity Council approved the design, a budgetwas drawn up and approved, and constructionbegan on the skateboard park.

While the park was under construction, theskateboarders worked with lawyers and cityofficials to develop a set of ordinances aboutthe operation and maintenance of the newfacility. The ordinances were reviewed, revised,and approved in time for the park opening.

The process the skateboarders went through isalso known as political action because itinvolves interacting with the political institu-tions of local, state, or federal government.There may be problems you would like toaddress that do not require political action.You may see a need that can be addressedmore directly through volunteering or directaction. These methods allow citizens to workdirectly with groups or other individuals with-out needing to interact with a community’spolitical institutions.

VOLUNTEERING

Organizations are probably already at worktrying to improve your community. You maybe able to find an organization that works ona problem you are concerned about. You canvolunteer at an agency that provides a serviceto the community.

After her home was burglarized, 11-year-oldLinda Warsaw wanted to do something aboutcrime. She volunteered in the district attor-ney’s office. While working for the district

attorney, Linda saw many cases of child abusecome through the office. Wanting to do more,she got together with a group of friends andformed an organization called Kids AgainstCrime. Their purpose was to inform kidsabout how to protect themselves from abuse.Linda’s efforts went from volunteering todirect service.

DIRECT SERVICE

You may have an idea of a project you coulddo to address a community problem or need.You could work alone or with a group to planand implement this project.

Shocked at seeing a televised story abouthomelessness, Trevor Ferrell persuaded his par-ents to drive him downtown. He gave a singlehomeless person a blanket. That simple actbegan a two-year project. Trevor enlisted thehelp of neighbors and businesses. He and hisfamily returned downtown with contributionsof clothing and food. Eventually, the mediatook note. Within two years, Trevor hadrecruited over 1,000 volunteers who fed home-less people hot meals. Finally, Trevor’s cam-paign generated a homeless shelter, a woman’sshelter, and a day-care center.

POINTS OF INQUIRY

1. What are the three basic ways of gettinginvolved in your community? Which doyou think is most effective? Why?

2. The anthropologist Margaret Meadonce said: “Never doubt that a smallgroup of thoughtful, committed peoplecan change the world. Indeed, it is theonly thing that ever has.” What doesthis mean? Do you agree with it?Explain.