GOV 201 Midterm

The 2 meanings of “Institution”

1) Everyday use of the term: an organization of persons or a social structure, formal or informal, that is identified with some social purpose. Usually structured by rules and hierarchy. Professor will refer to these as “meta-institutions”. Ex: catholic church, congress, the military, the UN, nuclear family, slavery. Can be political or not. 

2) “A set of formal rules (including constitutions), informal norms, or shared understanding that constrain and prescribe political [or other] actors’ interactions with one another”. Professor will refer to these as “rule institutions”. (the term is also used for an individual such rule, norm, or shared understanding”

• How are they related? Meta institutions are structured by rule institutions. Thus the latter are very important in politics. 

i) of particular interest to political scientists are rule institutions that structure how decisions are made in meta institutions since these rule institutions will influence how the preferences of the people in a meta institution are aggregated, (“rules of the game”)

ii) if there are two groups with the same preferences different rule-institutions can lead to different collective decisions. 

• Public initiatives: the people could push for something. 

• Examples of rule institutions of particular interest to political scientists: Senate’s cloture, president’s veto, electing the Prez thru electoral college, state law for popular initiatives. These examples “influence how the preferences of the people in a meta-institution are aggregated” 

Collective action problems: A situation where if the actors don’t coordinate their actions, then the result will be worse for those actors than it would have been had the actors coordinated. 

Types of collection action problems:

1. Coordination problems: interests don’t conflict. Just need guidance.

2. Prisoner’s Dilemma: (cooperate/defect)individual incentives disrupt cooperation for the best collective outcome. Everyone is better off if all cooperated than if all defected. But each person, individually , would be better off if he or she personally defected. 

Two types of prisoner’s dilemma: Both have the same incentive structure. 

1. Free rider problem: A situation in which individuals can receive the benefits from some collectively produced goods whether or not they contributed to it.This leaves them with no incentive to contribute.

2. Tragedy of the commons:a situation group members overexploit a common resource causing its destruction.

Public goods and common goods

• Public good:non rival (my use does not reduce availability for others) non excludable (no one can be excluded from using the good. 

• Common goods: A good that is rival but non-excludable. 

i) most governments are primarily concerned with the provision of public goods and the sustainability of common goods, and leave private goods (rival and excludable) and club goods (non-rival but excludable) to the market. 

Veto players and veto points 

• Veto player:  someone or some group who can stop an attempt (usually legislation) to change the status quo. 

  • what is the status quo?: the existing state of affairs, especially regarding social or political issues

• Veto points: in attempts to change the status quo a veto point is a place where someone or some group can halt the process. 

Why do we have governments? 

Why/how did governments emerge?

• Get us out of the state of war Hobbes

- people willing submitted to a sovereign

• The execution of the law of nature is put into every man's hands. Locke

- people willing submitted

• Multiple groups of roving bandits are inevitable thus the groups don’t have incentive to be productive. With no productivity then bandits don’t get much from each plunder. Thus a group of bandits become stationary bandits. Took control of a limited area and kept other bandits out. They still plundered but left enough so people had incentive to be productive. Analogy of the creation of a state with protected borders, a government, and taxes. Mancur Olson. 

- people did not willingly submit 

What purposes do governments serve?

• To provide order and to provide for the general welfare. [police and clean-ish air]

• To provide solutions to the collective action problems ( especially prisoner dilemmas) that emerge in the effort to “ provide order and to provide for the general welfare”. 

  • The solutions in general: Institutions: formal or informal rules or systems of rules that structure social interactions

  • From the perspective of many political scientists. The primary purpose of government is to create institutional solutions to collective action problems. 

What is politics?

The nonviolent process by which groups reach agreement on a course of collective action.

• Attempts to make social choices typically lead to conflict.

• Sources of conflict: 

• Collective action problems 

• Conflicting economic interests

• Conflicting cultural moral values

• Identity 

• Ideology 

• Party 

• Go over transaction and conformity costs. Politics attempts to reach agreement. 

• Transaction costs: the costs associated with making a decision (high) 

• Conformity costs: how far away the law is from your idea (low)

What are the primary aims/ideal values of American politics?

1. Liberty: the right to do what one chooses with one's person and one's property without hindrance from any other person or party.

2. Democracy: government by the people; especially rule of the majority.Popular sovereignty- a doctrine stating that the ultimate legitimacy of a government comes from the consent of the governed. 

• Pure democracy: a system of government in which the power to govern lies directly in the hands of the people rather than being exercised through representatives. 

• Representative democracy/republic: a system of government in which the populace select representatives, and those representatives play the primary role in governmental decision making. 

• Direct democracy: those times when citizens make policy decisions by voting on legislation themselves rather than by delegating that authority to representatives. Ex: public referendums

3. Equality: equality under the law/ political equality/ equal treatment.

Equality of opportunity: Idealistic not realistic ex: education, political donations

Equality of outcome: not prioritized.

What are America’s other founding values

• Beliefs that class divisions were proper and inevitable (we were better than most)

• Belief that gender divisions were proper and inevitable

• Belief that racial divisions were proper, inevitable and justified treating people of African descent as property–not unique but far from better than most. 

Founding and the Constitution

Timeline: 

• Why America? What made the British colonies in America particularly fertile ground for an experiment in representative government?

1. Economic viability/independence

2. Salutary neglect

3. Knowledge of / experience with British concept of rights 

4. Prior experience

   1. “home rule”: colonies had a great deal of responsibility managing their own affairs

   2. Elections: many positions of leadership in the colonies were elected.

   3. Representative assemblies as early as 1619.

5. Democratic aristocracy: individuals ready to take positions of leadership. 

• What served as triggers for the revolution?

Experience shapes not only abilities but also expectations and “tastes”. 

• Thus British taxes and restrictions were not well received. 

• What were the flaws of the Articles of Confederation?

1. Established a weak central government

   1. Inability to tax

   2. Inability to raise troops

• Clear free rider problems 

3. Congress could not regulate commerce among the states

4. No central currency

5. Didn’t create a coherent actor on the international stage 

6. One vote per state, but unequal financial expectations. 

7. Thirteen veto players for most actions

• What were the triggers for the constitutional convention/ Philadelphia?

1. Weakness of AOC

2. Shay’s rebellion, and similar smaller rebellions. 

   1. Not only a catalyst but shaped mindsets of participants

3. Primary source of conflict: improve versus replace AOC

   1. Strong central gov versus power remaining with the states thus a proxy fight for feds vs anti-feds. 

• What were other sources of conflict?

  • Big states versus small states

    • Populist interests versus interests of commercial and propertied classes. 

  • Slave states (MD, VA, NC, SC, GA) counting slaves and those numbers affect representation.

  • North and south economic disagreements (ex. tariffs). 

• What did the Virginia Plan address? 

  • Comprehensive nature implied that Articles needed to be replaced. 

  • Much stronger central government

    • National government could nullify state laws and use force against the states. 

  • Bicameral legislature:

    • Lower chamber apportioned by population and directly elected

    • Upper chamber elected by lower and from lists generated by state legislatures. 

  • Legislative, judicial and executive branches

• What was the New Jersey plan?

  • Equal representation for each state in the legislature. 

• How was the 3/5ths Compromise determined?

Each slave counted as 3/5ths of a person. South wanted to count as whole for more representation while north argued less/no representation. 

• The Great compromise

  • Senate: each state gets two senators

  • House: representation apportioned according to the population to the state. 

  • Electoral college: the body that technically elects the president 

• What did it establish?

Federalists: 

• more government centralization,

• danger of tyranny from the majority, 

• limit the central government through internal checks and balances.

• Representatives should be the best and the brightest

Anti-federalists:

• less gov centralization, 

• states rights, 

• danger of tyranny from the government elites not directly accountable to the people,

• best way to limit the central government through external limits to the powers. 

• The representatives should be very close to the people. 

What were common goals?

• Promote peace and stability

• Promote commerce 

• Limit potential for governmental abuse of power

• Protect the rights of the individual

• Limit the excesses of democracy

• Ensure adequate public support for the constitution 

What articles in the Constitution highlighted these goals?

• Article 1: section 8 promotes peace and stability

• Article : section promotes commerce 

• Separation of powers and checks and balances promote the limiting potential for governmental abuse of power. 

  • Separation of powers: the division of governmental power among several branches. Goal of enabling each branch to specialize and preventing the accumulation and abuse of power by allocating different powers to different branches. 

  • checks and balances: mechanisms through which each branch of government is able to exercise a measure of control over the other branches. Goals of solely blocking abuses of power. 

    • President: veto legislation (e) and nominate federal judges and refuse to enforce judicial ruling (j)

    • Congress: impeachments of judges and president (j and e) override a veto (e) 

    • Supreme Court: judicial review of both laws and executive actions (e and l). 

The two are not the same. Separation of powers can exist on its own. 

• Bill of Rights protects the rights of the individual. 

• Ensure adequate public support: don’t make it too extreme

What is the median voter theorem?

The option chosen by the group will be the one preferred by the median voter. 

What is agenda control?

Control over the set of choices available to others. Agenda control typically entails only partial control. 

Proximity Voting

Proximity voting is a concept in political science where voters choose candidates whose political positions are closest to their own preferences. The idea is that voters will select the candidate or party that is the "closest" to their own ideological stance. This "proximity" is typically measured in terms of policy preferences, political ideology, or issue stances.

Median Voter Theorem

The median voter theorem is a principle in political economics that states, in a majority rule voting system, the preferences of the median voter will likely be the deciding factor in the outcome of an election. This theorem assumes that voters' preferences are single-peaked, meaning each voter has one preferred outcome and their satisfaction decreases as they move away from this preference. Therefore, candidates or parties often position their platforms to align with the median voter's preferences to secure a majority.

Agenda Control

Agenda control refers to the power to set the topics or issues to be discussed and decided upon by a decision-making body, such as a legislature. Those who control the agenda can influence the outcomes by determining which issues are considered, in what order, and under what rules. This power can significantly shape policy outcomes by prioritizing certain issues over others or framing the discussion in a way that benefits specific interests.

Federalism

Federal system is a governmental system where authority is divided between two or more distinct levels of government. 

• Division in the US is between the national/federal government and the state govs. 

What are its requirements?

1. Independence: each level of government has some independent power. 

2. Mutual influence: each level of government is in a position to exert some leverage over the other

What is unitary government?

Power ultimately lies with the central government

Lower level governments: some have provisional autonomy (can be taken away by central government some) function as administrative arms of the central government. 

What are the potential benefits of the federal system? 

• Separation of powers lessens the likelihood of power becoming overly concentrated

• 50 state laboratories to see what works and what doesn’t work

• 50 states competing for people and businesses 

What are the potential drawbacks?

• Competition between states “race to the bottom”. 

The Supremacy Clause Article VI

• Federal law takes precedence over state law.

10th Amendment 

• Reserves powers not given to the federal government to the states and the people.

Commerce Clause

• Regulate commerce among states and foreign nations. 

Types of Federalism

The states have no control over the national government domain so the marble is inaccurate. 

Why has there been this steady movement towards more power and more responsibility given to the federal government?

Both practical and political reasons leading to the nationalization of policy. 

Actions by the national government can help with problems, often collective action problems faced by the states. 

• Coordination problems: ex: national database to keep track of criminal records

• Reneging and shirking: ex: acid rain

• Cutthroat competition/prisoner dilemmas: ex: states bidding against each other to lure or retain large employers. 

Economic developments make these problems much more likely of the last 130 years. 

Federalist 15

Written by Alexander Hamilton, Federalist No. 15 addresses the weaknesses of the Articles of Confederation and argues for a stronger central government. Hamilton points out that under the Articles, the national government lacks the power to enforce laws, resulting in chaos and inefficiency. He emphasizes the need for a more effective union to preserve the nation and ensure justice, stability, and prosperity.

Federal Farmer 1

The Anti-Federalist paper "Federal Farmer No. 1" raises concerns about the proposed Constitution, advocating for a more decentralized government. The author, believed to be either Richard Henry Lee or Melancton Smith, argues that a strong central government could threaten individual liberties and states' rights. The Federal Farmer emphasizes the importance of a balanced government that protects the people's freedoms while maintaining necessary governance.

Federalist 39

In Federalist No. 39, James Madison discusses the nature of the proposed government under the Constitution, arguing that it is a mix of national and federal elements. Madison explains that the government will derive its authority from the people, and it will have a blend of federal (state) and national (central) characteristics. He stresses that this hybrid system ensures a balance of power and protects both state sovereignty and national unity.

Federalist 46

Also written by James Madison, Federalist No. 46 addresses concerns about the balance of power between the federal and state governments. Madison argues that the states will retain significant power and influence, and that the federal government will not be able to overpower them. He highlights the importance of the people's loyalty to their state governments and reassures that the proposed system will maintain a proper balance between national and state authority.

Brutus 1

Brutus No. 1 is an Anti-Federalist paper that argues against the ratification of the Constitution. The author, believed to be Robert Yates, expresses concerns that the proposed federal government would become too powerful and eventually erode individual liberties and states' rights. Brutus warns that the necessary and proper clause and the supremacy clause could lead to an overly centralized and tyrannical government. He advocates for a more decentralized system to protect freedom and democracy. 

McCulloch v MD Basic Facts

In 1816, Congress chartered the Second Bank of the United States. In 1818, Maryland passed legislation to impose taxes on the bank1. James W. McCulloch, the cashier of the Baltimore branch of the bank, refused to pay the tax. The state appeals court held that the Second Bank was unconstitutional because the Constitution did not explicitly provide for the federal government to charter a bank.

Ruling

The U.S. Supreme Court ruled in favor of McCulloch on March 6, 1819. The Court held that Congress had the authority to establish a federal bank and that Maryland could not tax the bank. A state cannot impede a constitutional act by the Federal government. 

Reasoning

The Court's reasoning was based on the Necessary and Proper Clause of the Constitution, which gives Congress the power to make all laws necessary and proper for carrying out its enumerated powers. Chief Justice John Marshall redefined "necessary" to mean "appropriate and legitimate," allowing Congress to use implied powers to fulfill its duties. The Court also emphasized that federal laws are supreme over conflicting state laws. 

Historical Significance

The decision in McCulloch v. Maryland established the principle of implied powers, significantly expanding the scope of federal authority. It reinforced the supremacy of federal law over state law and laid the groundwork for future federal actions, such as the New Deal and the Civil Rights Act2. This case is considered one of the most important Supreme Court decisions in American history.

1780 the Continental Army was teetering on total collapse because of the fledgling national government of the continental congress. 

Why?

• Inability to act decisively or rapidly because all matters of consequence required the approval of all state governments

• Virtually no administrative apparatus to implement policy.

What factored into the road to independence?

• Home rule 

• Legacy of self governance with established colonial elective assemblies, elected politicians experienced in negotiating collective agreements. 

• Home rule was broken after Britain began taxing the colonies to repay the French and Indian war debt. 

  • Stamp Act→stamp act congress→Boston Tea Party→Restraining and Coercive Acts

What did Britain provide?

The colonies freerider off of the regulated colonial commerce being provided military security by means of the British navy. 

War torn economy and a nation without a national government

• States unwilling to accept fiscal responsibility of the nation 

Congress faced with two choices: penalize the states that reneged or try to finance the debt on its own. 

SIgnificance of Shay’s Rebellion?

Biggest push for constitutional reform and the Philadelphia Convention. 

What were the philosophical influences on the constitution?

• Popular Sovereignty defended by Locke

• Newton’s influence of “force, balance, fulcrum, laws of politics and check power with power”.

• Montesquieu’s championed limited government in the nature of authority and size of the political community it encompassed. 

• Hume’s competition within politics

• Adam Smith’s capitalist country and competition 

What were some of the features of the constitution?

• Commerce clause expanded the national governments sphere of action

• Necessary and proper clause major expansion of congress's legislative power and the nationalization of public policy. 

• Checks and balances brother 

What is the design of the executive branch?

• Take care clause 

• Electoral college

What is the design of the judicial branch?

• Supremacy clause 

• judicial review

What is madison’s democracy view of pluralism?

It welcomes society’s numerous diverse interests and endorses the idea that those competing interests most affected by a public policy will have the greatest say in what the policy will be. 

What is the framer’s tool kit?

• Command: authority to dictate other’s actions

• Veto: authority to block a proposal or stop and action 

• Agenda control: authority to place proposals before others for their decision as well as preventing proposals from being considered

• Delegation: authority to assign an agent responsible to act on your behalf

  • Whistleblower laws: generously reward members of the bureaucracy who report instances of malfeasance. 

  
  

Logic Chapter 3 

• Is there a rationale for having some government services supplied local, others by the states, and still others by the national government?

• Despite the Framers’ efforts to keep the national government out of the states' business, was it inevitable that so many policies once left to the states are now handled by the federal government? 

• When elected officials from the states challenge national authority, what determines who will have the final say over policy? 

Fundamental question of federalism: what policies should be entirely under the control of each state, and what issues should be governed by a single federal policy crafted in DC? 

What is federalism? DRAW DIAGRAMS

A hybrid arrangement that mixes elements of a confederation in which lower level governments possess primary authority and unitary government in which the national government monopolizes constitutional authority. 

• Federal system conditions

  • The same people and territory are included in both levels of government

  • The nation's constitution protects units at each level of government from encroachment by other units.

  • Each unit is in a position to exert some leverage over the others. 

What is dual federalism?

The states and the national government preside over mutually exclusive spheres of sovereignty. Tied to Federalist 45. 

What is shared/cooperative federalism?

The national and state governments jointly supply services to the citizenry and state and federal powers intersect over many of the most important functions. 

How did the senate transform under federalism? 

Equal representation of the states and senator selection by state legislatures motivated the senate to defend the state prerogatives against national encroachment. 

• 17th amendment: mandated direct popular election of senators. 

Which constitutional provisions govern federalism?

• Article IV Section 3, Admission of New States: states admitted by Congress but no new state is to be formed within the jurisdiction of any other state 

• Article IV Section 4, Enforcement of Republican Form of Government: The US guarantees to every state a Republican form of government protecting them from invasion, legislature, executive, and domestic violence. 

What is the supremacy clause?

Wherever the national government carved out new authority, it automatically became supreme. 

• Was created to avoid impasses over jurisdiction rather than to cede authority to the national government. 

What is the Elastic Clause?

Allows congress to make all laws which shall be necessary and proper for carrying into execution the foregoing powers. 

What are enumerated powers?

Specific  authority that would enable the government to address problems that states had not grappled effectively under the AOC. 

What is the Commerce Clause? 

Congress shall have the power with foreign nations, several states and with Indian tribes. 

What is the 10th Amendment?

The powers not delegated to the US by the constitution are reserved for the states and the people. 

• Offers the most explicit endorsement of federalism to be found in the constitution. 

What is nationalization? 

Lawmakers shift attention from strictly state and local matters to national problems and solutions. 

• Solution to states’ collective dilemmas by shifting responsibility from state to federal authority. 

What is reneging and shirking?

Certain situations national responsibility and jurisdiction either are undecided or allow the states a prominent role. 

• The Constitution and national laws solve these dilemmas by authorizing the deferral government to take direct action in raising resources and administering policy. 

• Ex: no one wants to breathe polluted air but everyone continues to do so under the assumption someone will fix it. 

What is cutthroat competition?

States unwilling to be plaid as a sucker underbid one another and compete.

• race to the bottom

What is an emphasis in Federalist 10?

States and the national government combine the citizenry’s preferences into different groupings, with the result that the two levels of government may adopt different, even opposite, policies to address the same problem. 

• Federalism presents opportunities for two kinds of majorities–state and national to pursue their interests in competition with each other. 

What is modern federalism? 

• National government’s advantage in courts.

• Preemption legislation: federal laws that assert the national government’s prerogative to control public policy in a particular field. 

• Federal grants to states: an important feature of intergovernmental relations. 

  • Block grant: gives each state or local gov an exact amount of money to spend for some purpose. 

  • Matching grant: federal government promises to provide matching funds for every dollar a state spends in that area. 

    • Matching rates incentivize higher spending and redistribute money across the nation; an issue of partisan contention. 

What are the unfunded mandates?

• Crosscutting requirements: states that apply certain rules and guidelines to a broad array of federally subsidized state programs. 

• Crossover sanctions; stipulations that a state to remain eligible for full federal funding for one program must adhere to the guidelines of an unrelated program. 

• Direct orders: requirements that can be enforced by legal and civil penalties. 

New Deal and Great Society→ examples of national policy making where the federal government assumed jurisdiction over and responsibility over sectors once reserved to the states.