Political Science 1 Midterm

UC Berkeley; Introduction to American Politics, Professor Robert Van Houweling

Political Institutions

The formal and informal rules and practices that shape political behavior and structure political competition. (Ex: constitution, congress, veto, filibuster, pardons.)

Collective action problem

Scenario in which there’s a conflict between the individual interest and the group interest. Each individual in the group faces a choice to either act selfishly or cooperate. (Ex: roommates cleaning, public receiving vaccines)

Transaction costs

The costs associated with making an exchange, including the costs of negotiating, monitoring, and enforcing agreements. (Ex: agreeing on a standard and schedule, keeping track of and punishing free-riders)

Conformity costs

The differences between what a person ideally would prefer and what the group with which that person makes collective decisions actually does. (Ex: having a personal preference for standard and schedule that one must conform to)

Prisoner’s Dilemma

Situation where two parties are separated and unable to communicate, and must each choose between cooperating with the other or not. The highest reward for each party occurs when both parties choose to cooperate. (Ex: Hillary Clinton and Bernie Sanders, should they attack or play nice?)

Public good

Users cannot be barred from accessing or using this, and use by one person doesn’t prevent access from other people nor does it reduce its availability. They must be non-excludable and non-rivalrous. In their pure form, no property rights can be established. (Ex: clean air, clean water)

Free rider problem

Issue that occurs when those who benefit from resources or public goods do not pay for them or under-pay. (Ex: Pollution-producing car users still benefit from clean air from those who walk/bike/take transit)

Affordable Care Act

Passed in March 2010, states had to opt-in to coverage. Some state governments accepted, some passed through citizen referendums, and some states still refuse. Expanded Medicade for coverage near the poverty line. AKA Obamacare.

Individual mandate

Requires people to buy insurance or face a penalty, with no exclusion for pre-existing conditions. Difficult before the ACA. Was eliminated by Trump in 2017 (repealed by House), reducing insured by over 20 million. Unpopular decision.

National Federation of Independent Business v. Sebelius

Medicaid Expansion in ACA (2012). Law requires states to expand Medicaid or lose all Medicaid funding. The court rules that this is too coercive because it doesn’t leave states with a choice, not a valid exercise of Congress’ commerce or taxing powers.

Single-payer healthcare system

Only one option for healthcare and the government pays for all covered health care. Provides universal coverage and focus spending on health problem prevention. The negatives are that waiting times would increase, with cosmetic and elective procedures having restricted availability.

Public Option

Government run health insurance company that would operate the same way as a private one (off the profit of service, not taxes). More efficient because there would not be bloated executive salaries or profits for a board of directors. This would also bring down the market for insurance premiums because the government would be able to offer their services for less than the current insurance industry rate, and then private companies would have to upgrade their services and bring down their prices to compete with the public government option.

Seven Years’ War (1754-1763)

War of British (and American Colonists) against the French. British paying lots of expenses to fight war and defend colonists at the French-British border. British come out of war with substantial debts, which motivated them to tax the colonists.

Home rule

The power of a local government to govern itself without interference from the state or federal government. (Ex: British rule of the American colonies before all those taxes, some native reservations today)

First Continental Congress

Comprised of delegates from the colonies, met in 1774 in reaction to the Intolerable Acts (a series of measures imposed by the British government after the colonies resisted new taxes). Instructed the conventions to reconstitute themselves as state governments based on republican principles.

Second Continental Congress

Formed in 1775, convened after the Revolutionary War had already begun. In 1776, declared America’s independence from Britain. Ratified the first national constitution (Articles of Confederation, used until 1789 when it was replaced by the US Constitution). Was unable to act decisively or rapidly because all matters of consequence required the approval of all state governments during the revolution.

Articles of Confederation

The compact among the 13 original states that formed the basis of the first national government from 1777 to 1789, when it was supplanted by the Constitution. Federation of independent states with a weak central government that couldn’t impose taxes (created this way because founders were scared of creating another central, dominant power like King George III). Implemented legislative dominance with no executive branch. Each state had one vote in Congress, equal power. Required approval of 9/13 states for major laws, and 13/13 to change the document.

Shays’ rebellion

Armed uprising of farmers in western Massachusetts in 1786-1787, led by Daniel Shays, against the state government’s efforts to collect taxes and debts. Set the stage for Washington’s return to political life and highlighted weaknesses inherent within the Articles of Confederation.

Virginia Plan

A proposal at the Constitutional Convention (1787) that called for a bicameral legislature with representation in both chambers based on population. Bicameral legislature where both are apportioned by population (Lower chamber directly elected, upper chamber elected by lower chamber, from lists generated by state legislature). Favored bigger states.

James Madison

American statesman, diplomat, founding father. Large contributor to the ratification of the Constitution. Wrote Federalist 10 and 51.

New Jersey Plan

A proposal at the Constitutional Convention (1787) that called for a unicameral legislature with equal representation for each state. Response to Virginia Plan from small states. Representatives selected by state legislature, gives national government power to tax and regulate commerce.

Connecticut Compromise

Bicameral legislature that merged the New Jersey and Virginia Plans. House chosen by population (close to the people as it is directly elected and has two-year terms. Senate is two per state (more distant from the people as they are selected by state legislatures—until 17th amendment—and serve six year terms).

Logroll

The practice of exchanging favors or support in order to gain mutual advantage. Result of legislative vote trading. (Ex: legislators representing urban districts may vote for an agricultural bill provided that legislators from rural districts vote for a mass transit bill).

Supremacy Clause

Included in Article VI of the Constitution declaring that national laws and treaties are the “supreme” law of the land and therefore take precedence over any laws adopted by states or localities.

Enumerated Powers

The explicit powers given to Congress by the Constitution in Article I, Section 8. These include the powers of taxation, coinage of money, regulation of commerce, and provision for the national defence.

Necessary and Proper Clause

The last clause of Article I, Section 8, of the Constitution. This clause grants Congress the authority to make all laws that are “_______________” and to execute those laws.

Commerce Clause

In Article I, Section 8, of the Constitution that gives Congress the authority to regulate commerce with other nations and among the states.

Three-fifths compromise

Reached among state delegates during the 1787 Constitutional Convention. Determined that three out of every five slaves was counted when determining a state’s total population for legislative representation and taxation.

Separation of Powers

Legislative, Executive, and Judicial branches split power. Legislative Branch, consisting of Congress, makes laws, controls government spending, and represents the interest of the people. Executive Branch, headed by the President, is responsible for enforcing and administering laws, commanding the military, and conducting foreign policy. Judicial Branch, led by the Supreme Court, interprets and applies the law, ensuring that laws are consistent with the Constitution and protecting individual rights. No single branch can dominate the others.

Checks and Balances

A constitutional mechanism giving each branch some oversight and control over the other branches. (Ex: presidential veto, Senate approval of presidential appointments, judicial review of presidential and congressional actions.)

Electoral College

A body of electors in each state, chosen by voters, who formally elect the president and vice president of the United States. Each state’s number of votes equals its representation in Congress; DC has three votes. An absolution majority is required to elect a president and vice president.

Antifederalist critiques of Constitution

Local democracies composed of like minded individuals could approach true democracy, the US was already too big and too diverse to be ruled by a single set of laws, the national government established by the constitution needed safeguards put in to it to prevent tyranny, needed a Bill of Rights.

Federalist 10

By James Madison. Main points: fear of faction, republic as a filter, extended public hinders organization, prevents majority faction from dominating.

Federalist 51

By James Madison. Main points: separation of power, checks and balances, federalism. Combat tyranny of majority. “Ambition must be made to counteract ambition."

Tyranny of the Majority

Concerns of the majority of an electorate pursuing exclusively its own objectives at the expense of those of the minority faction. Countered by the Bill of Rights, separation of powers, various other constitutional limits. (James Madison very considered with this, discussed in Fed. 10 & 51).

Ambition-to-counter-ambition

Noted by James Madison in Federalist 51 about preventing government tyranny. The idea of checks and balances, the power of the legislature, a bicameral legislature, and the defense of federalism to ensure that the abuses of government are controlled.

Extended republic

System Madison outlines in Fed. 10 of a republic that covers a large geographic and populous region that uses publicly elected officials to represent geographic locations interests in a national congress.

Mischief of faction

Problems that arise from interest groups. Specific interest group has their cause and wants to accomplish it at the expense of those opposed to it. Ideology of the majority used to oppress that of the minority.

Impeachment

A charge of misconduct made against the holder of a public office. A common tool in recent years as a check on the president. No president has actually been removed from office following this.

Bill of Rights

The first ten amendments to the US Constitution, which protect individual liberties and limit the power of the federal government. Brought by Patrick Henry as a concession to the ratification of the Constitution.

10th Amendment

Any powers that are not specifically given to the federal government, nor withheld from the states, are reserved to those respective states, or to the people at large. Part of dual federalism.

Federalism vs. unitary state

Federalism: Constitution divides power between the lower level government and the central government.

Unitary government: has power consolidated in the central government, the lower levels have no independent power.

Dual federalism vs. Cooperative federalism

Dual federalism: “Layer cake.” Simplest possible arrangement, leaving the states and the national government to preside over mutually exclusive “spheres of sovereignty.”

Cooperative federalism: “Marble-cake/shared.” Recognizes that the national and state governments jointly supply services to citizens.

US has moved from dual federalism to shared federalism (federal officials generally decide how authority over intersecting state and federal policy areas are divided).

Coercive federalism

A view that the national government may impose its policy preferences on the states through regulations in the form of mandates and restraints. Ex: federal gov withholding funding until a state complies with national law.

Block grants

Grants given for general purposes that allow state officials greater discussion over how funds would be spent.

Categorical grants (Grants-in-aid)

Grants given to states for more specific purposes, where most discretion remains in the hands of federal officials and office holders. More common.

Unfunded mandates

States are required to administer policies they might object to. The federal government doesn’t have to compensate states for costs of administration.

McCulloch v. Maryland (1819)

US establishes bank and Maryland decides to tax the bank, but court rules that bank is necessary and proper for exercise of express power. Example of courts generally siding with national power. Marshall argues that the power to text is the power to destroy.

Gonzalez v. Raich (2005)

US v. Lopez

Challenges the Gun Free School Zone Act in 1995. Alfonso Lopez brought concealed weapon to school. Legal in Texas, Violated GFSZA. Court invalidates GFSZA and declares it unconstitutional, limits federal power (guns are not a part of commerce clause).

US v. Morrison

Challenged Violence Against Women Act in 2000. Antonio Morison allegedly raped Virginia Tech student. Not prosecuted in Virginia and student files civil suit under VAWA. Court invalidates VAWA as it claims that these cases belong to the states and not the federal government. Limits federal power.

Partisanship

Political attitude that shapes opinions and organizes other political attitudes. Practical as a party’s politician are more likely to deliver policy a member would like. A psychological phenomenon of identity.

Turnout (what can affect this?)

Age, race, education, people with deeper roots in their communities, more politically engaged individuals, those with strong partisan views, those who live in competitive areas, lower legal barriers, less onerous registration requirements, social connections related to politics.

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Party in government

Alliance of current officeholders cooperating to shape policy (senators, representatives, executive)

Party in organization

Dedicated to electing the party’s candidates (group going door-to-door)

Party in the electorate

Composed of the voters who identify with the party and regularly vote for its nominees

First Party System

Origin of American Parties. Federalist (favored strengthening national gov, strong relationship w Britain) vs Democratic Republicans (decentralization, laissez-faire, individual liberties).

Second Party System

Organizational Innovation. Republican Party (anti-Jackson) vs Democrats (contain slavery, for Jackson by Van Buren, “corrupt bargain") and Whigs (opposition to Jackson). Spoils system, national party conventions. 

Third Party System

Entrepreneurial Politics. Democrats (southern, agrarian, pro-slavery) vs Republicans (formed in opposition to Kansas-Nebraska Act, appealed to business and commercial interests). Party machines, Progressive Era, Civil Service System, Australian Ballot, Split ticket, Primary Election. 

Fourth Party System

Republican Ascendancy. Democrats (adopted platform of agrarian populist party. Only won 1 election with Wilson) vs Republicans (divided by populism, favored finance and industry)

Fifth Party System

New Deal Coalition. Democrats (united under New Deal, southerners with Northern Black Americans. Wanted to elect democrats) vs Republicans (opposite of Democratic Party, anti New Deal)

Era of Good Feelings

Monroe years lacked party conflict, 1816-1823.  

Adams’ “Corrupt Bargain”

Believed that he was stopped from his rightful place in the White House (taken by John Quincy Adams, as he was Secretary of State before), spurring Martin Van Buren into moving Jackson’s voters to form the Democratic party. 

Progressive Era

Early 1900s. Periods of widespread social activism and political reform across the US focused on defeating corruption, monopoly, waste and inefficiency. 

Australian Ballot

Private ballot that reduced voter fraud, from the progressive era.

New Deal coalition

Many new Democrats attracted to Roosevelt’s New Deal policies (northern Black Americans, progressive intellectuals) while others were traditionally Democrats (Southern whites, Roman Catholics, Jewish Americans). Main goal of electing democrats. 

Two-party system (what causes this)

Financial barriers for third party elections, plus winner-take-all elections used in single-member districts. 

Duverger’s Law

First-past-the-post system vs. proportional representation

First-past-the-post, a single person represents each electoral district for the House or Senate and gets that distinction by receiving the most of those votes, even if it isn’t the majority. Plurality of votes. Duvenger’s law. (Prevents third parties from being elected) Prop Rep. An electoral system in which legislative seats are awarded to candidates or parties in proportion to the percentage of votes received. (Helps preserve smaller parties)

Primary elections

An election held before the general election in which voters decide which of a party’s candidates will be the party’s nominee for the general election. 

Superdelegates

A delegate to the Democratic National Convention who is eligible to attend because they are an elected party official. The Democrats reserve a specific set of delegate slots for party officials. 

Gerrymandering

The extensive manipulation of the shape of a legislative district to benefit a certain incumbent or party. Goal is to concentrate the opposition party’s voters in a small number of districts that the party wins by large margins, thus “wasting” many of its votes, while creating as many districts as possible where one’s own party has a secure majority. Connected to polarization.

Median voter theorem

Electoral competition should force parties to choose candidates who advocate for policies close to those of centrist voters. If a representative is put forth by a party that has extreme views one way or the other it tends to unsettle voters, and may mobilize those who may not have voted if a more centrist candidate was the nominee to make sure that extremists get elected.

Electoral blindspot

Certain amount of voter confusion about policy, so if candidates are not too extreme, and stay within the “blind spot,” voters will be unable to tell candidates apart and both will seem reasonable. Voter will then choose on the basis of something other than policy position.

Parties as coalitions of policy demanders

Groups who want specific policies from government.

Divided government

Control of the executive branch and the legislative branch is split between the parties.

Goals of congressional members

Primary goal of reelection, secondary goals of personal power and policy.

Advertising

According to Mayhew, one activity of how politicians get reelected. “Franking” (free constituent mail) and traveling home (go to meetings in their district to gain more traction and support).

Position-taking

Many roll call votes are about this, to show constituents that they align with their beliefs. Tweeting, speeches, media announcements.

Credit-claiming

Casework, earmarks, show district what they did, or vote on a big bill.

Casework

The response or services that Members of Congress provide to constituents who request assistance, tracking down money. The activity undertaking by members of Congress and their staffs to solve constituents’ problems with government agencies.

Particularized benefits/earmarks

Special benefits that congress members insert into spending bills and revenue bills to help their particular district/state/campaign contributors, account for less than .5% of federal spending.

Incumbency advantage

High reelection rate once in, “sophomore surge” comes with reelection

Standing committee

Permanent committees established under the standing rules of the Senate and specialize in the consideration of particular subject areas. Appointees stay in place unless their party suffers large electoral losses. Party ratios in them reflect the party ratio in congress. Most coveted committees are the Ways and Means and the Appropriations Committee in the House, and the Finance and Appropriations Committee in the Senate.  

Rationale for having committees

Power delegated to committees often more efficient, reducing transaction costs. Committee assignments as rewards for party loyalty and bargaining chips for the Speakership. 

Speaker of the House

Presiding officer of the House of Representatives. Elected at the beginning of each congressional session on a party-line vote. As head of the majority party, the Speaker has substantial control over the legislative agenda of the house

Seniority system

The congressional practice of appointing as committee or subcommittee chairs the members of the majority with the most years of committee service.

Polarization

Widening divide between the two parties’ policy and ideology base.

Gridlock

No political/congressional action can be taken one way or the other due to lack of consensus. Most often when one party blocks the other in Congress. 

Filibuster

Senate action designed to prolong debate and delay or prevent a vote on a bill, resolution, amendment, or other debatable question. Senators, once holding the floor, have unlimited time to speak unless cloture is invoked.

Cloture rule

Parliamentary procedure used to close debate. Used in the senate to cut off filibusters. Under the current senate rules, 3/5ths of senators, or sixty, must vote to halt a filibuster except on presidential nominations to offices other than Supreme Court Justices.

Budget reconciliation

Parliamentary procedure that allows an expedited passage of certain budgetary legislation in the Senate such as spending, revenue, or the federal debt limit. Expedited because it only takes a simple majority. Ex. Obamacare (turned into BR by creating a structure of a tax penalty without insurance).

Principal-agent problem

Principles: Elected Officials (wants something done, could be a member of congress or president)

Agents: Bureaucrats (person trying to get it done, job doesn’t pay well)

Problem: Divergent interests & asymmetric information (bureaucrats are often experts, bureaucrats exploit this advantage to get what they want and not what the politician wants, pursue their own agendas)

Agency cost/agency loss

 Bureaucratic drift (not doing what congress wants) & monitoring costs (lots of effort monitoring the bureaucracy to reduce agency costs)

Dual principal problem

Elected officials are the “principal”: bureau is the “agent.” In US, two principals or bosses. President and Congress jointly control design, staffing, funding of bureaucracy. What do Congress and the President want the bureaucracy to do?

Delegation dilemma for Congress

Pros of delegating: gain expertise, avoid blame/pressure, quick flexible action

Cons of delegating: slow bureaucracy, less control, miscommunication/misinformation with more chain of command

Going public

Presidential engagement in intensive public relations to promote their policies to the voters and thereby induce cooperation from other elected office holders in Washington. Best opportunity to mold public opinion and steer legislative agenda on Capitol Hill. Destroys bargaining.

Power to persuade

President’s ability to bargain with congress members to achieve legislation. Can use earmarks as an incentive to fall in line with the president’s goals. President convinces people to do what they want (not that their argument is right). Can also do something else to advantage them (campaigning, help them pass legislation).