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https://oercommons.org/courseware/lesson/15246/overview	Free Speech and the Regulation of Interest Groups Learning Objectives By the end of this section, you will be able to: - Identify the various court cases, policies, and laws that outline what interest groups can and cannot do - Evaluate the arguments for and against whether contributions are a form of freedom of speech How are lobbying and interest group activity regulated? As we noted earlier in the chapter, James Madison viewed factions as a necessary evil and thought preventing people from joining together would be worse than any ills groups might cause. The First Amendment guarantees, among other things, freedom of speech, petition, and assembly. However, people have different views on how far this freedom extends. For example, should freedom of speech as afforded to individuals in the U.S. Constitution also apply to corporations and unions? To what extent can and should government restrict the activities of lobbyists and lawmakers, limiting who may lobby and how they may do it? INTEREST GROUPS AND FREE SPEECH Most people would agree that interest groups have a right under the Constitution to promote a particular point of view. What people do not necessarily agree upon, however, is the extent to which certain interest group and lobbying activities are protected under the First Amendment. In addition to free speech rights, the First Amendment grants people the right to assemble. We saw above that pluralists even argued that assembling in groups is natural and that people will gravitate toward others with similar views. Most people acknowledge the right of others to assemble to voice unpopular positions, but this was not always the case. At various times, groups representing racial and religious minorities, communists, and members of the LGBT community have had their First Amendment rights to speech and assembly curtailed. And as noted above, organizations like the ACLU support free speech rights regardless of whether the speech is popular. Today, the debate about interest groups often revolves around whether the First Amendment protects the rights of individuals and groups to give money, and whether government can regulate the use of this money. In 1971, the Federal Election Campaign Act was passed, setting limits on how much presidential and vice-presidential candidates and their families could donate to their own campaigns.Wright, Interest Groups and Congress: Lobbying, Contributions, and Influence; Rozell, Wilcox, and Franz, Interest Groups in American Campaigns: The New Face of Electioneering. The law also allowed corporations and unions to form PACs and required public disclosure of campaign contributions and their sources. In 1974, the act was amended in an attempt to limit the amount of money spent on congressional campaigns. The amended law banned the transfer of union, corporate, and trade association money to parties for distribution to campaigns. In Buckley v. Valeo (1976), the Supreme Court upheld Congress’s right to regulate elections by restricting contributions to campaigns and candidates. However, at the same time, it overturned restrictions on expenditures by candidates and their families, as well as total expenditures by campaigns.Buckley v. Valeo, 75-436, 424 U.S. 1 (1976). In 1979, an exemption was granted to get-out-the vote and grassroots voter registration drives, creating what has become known as the soft-money loophole; soft money was a way in which interests could spend money on behalf of candidates without being restricted by federal law. To close this loophole, Senators John McCain and Russell Feingold sponsored the Bipartisan Campaign Reform Act in 2002 to ban parties from collecting and distributing unregulated money. Some continued to argue that campaign expenditures are a form of speech, a position with which two recent Supreme Court decisions are consistent. The Citizens United v. Federal Election CommissionCitizens United v. Federal Election Commission, 08-205, 558 U.S. 310 (2010). and the McCutcheon v. Federal Election CommissionMcCutcheon v. Federal Election Commission, 12-536, 572 U.S. ___ (2014). cases opened the door for a substantially greater flow of money into elections. Citizens United overturned the soft money ban of the Bipartisan Campaign Reform Act and allowed corporations and unions to spend unlimited amounts of money on elections. Essentially, the Supreme Court argued in a 5–4 decision that these entities had free speech rights, much like individuals, and that free speech included campaign spending. The McCutcheon decision further extended spending allowances based on the First Amendment by striking down aggregate contribution limits. These limits put caps on the total contributions allowed and some say have contributed to a subsequent increase in groups and lobbying activities (Figure). Read about the rights that corporations share with people. Should corporations have the same rights as people? The Koch Brothers Conservative billionaires Charles and David Koch have become increasingly active in U.S. elections in recent years. These brothers run Koch Industries, a multinational corporation that manufactures and produces a number of products including paper, plastics, petroleum-based products, and chemicals. In the 2012 election, the Koch brothers and their affiliates spent nearly $400 million supporting Republican candidates. Many people have suggested that this spending helped put many Republicans in office. The Kochs and their related organizations planned to raise and spend nearly $900 million on the 2016 elections. Critics have accused them and other wealthy donors of attempting to buy elections. However, others point out that their activities are legal according to current campaign finance laws and recent Supreme Court decisions, and that these individuals, their companies, and their affiliates should be able to spend what they want politically. As you might expect, there are wealthy donors on both the political left and the right who will continue to spend money on U.S. elections. Some critics have called for a constitutional amendment restricting spending that would overturn recent Supreme Court decisions.Nicholas Confessore, “Koch Brothers’ Budget of $889 Million for 2016 Is on Par With Both Parties’ Spending,” New York Times, 26 January 2015, http://www.nytimes.com/2015/01/27/us/politics/kochs-plan-to-spend-900-million-on-2016-campaign.html. Do you agree, as some have argued, that the Constitution protects the ability to donate unlimited amounts of money to political candidates as a First Amendment right? Is spending money a form of exercising free speech? If so, does a PAC have this right? Why or why not? REGULATING LOBBYING AND INTEREST GROUP ACTIVITY While the Supreme Court has paved the way for increased spending in politics, lobbying is still regulated in many ways.Adam J. Newmark, “Measuring State Legislative Lobbying Regulation, 1990–2003.” State Politics and Policy Quarterly 5 (2005): 182–191; Nownes and Newmark, “Interest Groups in the States.” The 1995 Lobbying Disclosure Act defined who can and cannot lobby, and requires lobbyists and interest groups to register with the federal government.Nownes, Interest Groups in American Politics. The Honest Leadership and Open Government Act of 2007 further increased restrictions on lobbying. For example, the act prohibited contact between members of Congress and lobbyists who were the spouses of other Congress members. The laws broadened the definition of lobbyist and require detailed disclosure of spending on lobbying activity, including who is lobbied and what bills are of interest. In addition, President Obama’s Executive Order 13490 prohibited appointees in the executive branch from accepting gifts from lobbyists and banned them from participating in matters, including the drafting of any contracts or regulations, involving the appointee’s former clients or employer for a period of two years. The states also have their own registration requirements, with some defining lobbying broadly and others more narrowly. Second, the federal and state governments prohibit certain activities like providing gifts to lawmakers and compensating lobbyists with commissions for successful lobbying. Many activities are prohibited to prevent accusations of vote buying or currying favor with lawmakers. Some states, for example, have strict limits on how much money lobbyists can spend on lobbying lawmakers, or on the value of gifts lawmakers can accept from lobbyists. According to the Honest Leadership and Open Government Act, lobbyists must certify that they have not violated the law regarding gift giving, and the penalty for knowingly violating the law increased from a fine of $50,000 to one of $200,000. Also, revolving door laws also prevent lawmakers from lobbying government immediately after leaving public office. Members of the House of Representatives cannot register to lobby for a year after they leave office, while senators have a two-year “cooling off” period before they can officially lobby. Former cabinet secretaries must wait the same period of time after leaving their positions before lobbying the department of which they had been the head. These laws are designed to restrict former lawmakers from using their connections in government to give them an advantage when lobbying. Still, many former lawmakers do become lobbyists, including former Senate majority leader Trent Lott and former House minority leader Richard Gephardt. Third, governments require varying levels of disclosure about the amount of money spent on lobbying efforts. The logic here is that lawmakers will think twice about accepting money from controversial donors. The other advantage to disclosure requirements is that they promote transparency. Many have argued that the public has a right to know where candidates get their money. Candidates may be reluctant to accept contributions from donors affiliated with unpopular interests such as hate groups. This was one of the key purposes of the Lobbying Disclosure Act and comparable laws at the state level. Finally, there are penalties for violating the law. Lobbyists and, in some cases, government officials can be fined, banned from lobbying, or even sentenced to prison. While state and federal laws spell out what activities are legal and illegal, the attorneys general and prosecutors responsible for enforcing lobbying regulations may be understaffed, have limited budgets, or face backlogs of work, making it difficult for them to investigate or prosecute alleged transgressions. While most lobbyists do comply with the law, exactly how the laws alter behavior is not completely understood. We know the laws prevent lobbyists from engaging in certain behaviors, such as by limiting campaign contributions or preventing the provision of certain gifts to lawmakers, but how they alter lobbyists’ strategies and tactics remains unclear. The need to strictly regulate the actions of lobbyists became especially relevant after the activities of lobbyist Jack Abramoff were brought to light (Figure). A prominent lobbyist with ties to many of the Republican members of Congress, Abramoff used funds provided by his clients to fund reelection campaigns, pay for trips, and hire the spouses of members of Congress. Between 1994 and 2001, Abramoff, who then worked as a lobbyist for a prominent law firm, paid for eighty-five members of Congress to travel to the Northern Mariana Islands, a U.S. territory in the Pacific. The territory’s government was a client of the firm for which he worked. At the time, Abramoff was lobbying Congress to exempt the Northern Mariana Islands from paying the federal minimum wage and to allow the territory to continue to operate sweatshops in which people worked in deplorable conditions. In 2000, while representing Native American casino interests who sought to defeat anti-gambling legislation, Abramoff paid for a trip to Scotland for Tom DeLay, the majority whip in the House of Representatives, and an aide. Shortly thereafter, DeLay helped to defeat anti-gambling legislation in the House. He also hired DeLay’s wife Christine to research the favorite charity of each member of Congress and paid her $115,000 for her efforts.Geov Parrish, “Making Sense of the Abramoff Scandal,” 19 December 2005 http://www.alternet.org/story/29827/making_sense_of_the_abramoff_scandal (March 1, 2016). In 2008, Jack Abramoff was sentenced to four years in prison for tax evasion, fraud, and corruption of public officials.Neil A. Lewis, “Abramoff Gets 4 Years in Prison for Corruption,” New York Times, 4 September 2008, http://www.nytimes.com/2008/09/05/washington/05abramoff.html?_r=0. He was released early, in December 2010. Summary Some argue that contributing to political candidates is a form of free speech. According to this view, the First Amendment protects the right of interest groups to give money to politicians. However, others argue that monetary contributions should not be protected by the First Amendment and that corporations and unions should not be treated as individuals, although the Supreme Court has disagreed. Currently, lobbyist and interest groups are restricted by laws that require them to register with the federal government and abide by a waiting period when moving between lobbying and lawmaking positions. Interest groups and their lobbyists are also prohibited from undertaking certain activities and are required to disclose their lobbying activities. Violation of the law can, and sometimes does, result in prison sentences for lobbyists and lawmakers alike. Revolving door laws are designed to do which of the following? - prevent lawmakers from utilizing their legislative relationships by becoming lobbyists immediately after leaving office - help lawmakers find work after they leave office - restrict lobbyists from running for public office - all the above In what ways are lobbyists regulated? - Certain activities are prohibited. - Contributions must be disclosed. - Lobbying is prohibited immediately after leaving office. - all the above Hint: D How might disclosure requirements affect lobbying? How might we get more people engaged in the interest group system? Are interest groups good or bad for democracy? Defend and explain your answer. Why does it matter how we define interest group? How do collective action problems serve as barriers to group formation, mobilization, and maintenance? If you were a group leader, how might you try to overcome these problems? Is it possible to balance the pursuit of private goods with the need to promote the public good? Is this balance a desired goal? Why or why not? How representative are interest groups in the United States? Do you agree that “all active and legitimate groups have the potential to make themselves heard?” Or is this potential an illusion? Explain your answer. Evaluate the Citizens United decision. Why might the Court have considered campaign contributions a form of speech? Would the Founders have agreed with this decision? Why or why not? How do we regulate interest groups and lobbying activity? What are the goals of these regulations? Do you think these regulations achieve their objectives? Why or why not? If you could alter the way we regulate interest group activity and lobbying, how might you do so in a way consistent with the Constitution and recent Supreme Court decisions? Baumgartner, Frank R., and Beth L. Leech. 1998. Basic Interests: The Importance of Groups in Politics and in Political Science. Princeton, NJ: Princeton University Press. Baumgartner, Frank R., et al. 2009. Lobbying and Policy Change. Chicago: University of Chicago Press. Clark, Peter B., and James Q. Wilson, “Incentive Systems: A Theory of Organizations,” Administration Science Quarterly 6 (1961): 129–166. Dahl, Robert A. 1956. A Preface to Democratic Theory. Chicago: University of Chicago Press. ———. 1961. Who Governs? Democracy and Power in an American City. New Haven, CT: Yale University Press. Lindblom, Charles E. 1977. Politics and Markets: The World’s Political-Economic Systems. New York: Basic Books. Olson, Mancur. 1965. The Logic of Collective Action. Cambridge: Harvard University Press. Rosenstone, Steven J. and John Mark Hansen. 1993. Mobilization, Participation and Democracy in America. New York: Macmillan. Salisbury, Robert, “An Exchange Theory of Interest Groups,” Midwest Journal of Political Science 13 (1969): 1–32. Schattschneider, E. E. 1960. The Semisovereign People: A Realist’s View of Democracy in America. New York: Holt, Rinehart and Winston. Truman, David. 1951. The Governmental Process. New York: Alfred A. Knopf, chapter 4. Wright, John R. 1996. Interest Groups and Congress: Lobbying, Contributions, and Influence. Needham Heights, MA: Allyn and Bacon.	oercommons	2025-03-18T00:38:52.093730	null	{ "license": "Creative Commons - Attribution - https://creativecommons.org/licenses/by/4.0/", "url": "https://oercommons.org/courseware/lesson/15246/overview", "title": "American Government, Toward Collective Action: Mediating Institutions", "author": null }
https://oercommons.org/courseware/lesson/28870/overview	Introduction to Macroeconomic Policy around the World Youth Unemployment: Three Cases Chad Harding, a young man from Cape Town, South Africa, completed school having done well on his exams. He had high hopes for the future. Like many young South Africans, however, he had difficulty finding a job. “I was just stuck at home waiting, waiting for something to come up,” he said in a BBC interview in 2012. In South Africa 54.6% of young females and 47.2% of males are unemployed. In fact, the problem is not limited to South Africa. Seventy-three million of the world’s youth aged 15 to 24 are currently unemployed, according to the International Labour Organization. According to the Wall Street Journal, in India, 60% of the labor force is self-employed, largely because of labor market regulation. A recent World Bank World Development Report says that India’s unemployed youth accounted for 9.9% of the youth work force in 2010. In Spain (a far richer country) in the same year, the female/male youth unemployment rate was 39.8% and 43.2% respectively. Youth unemployment is a significant issue in many parts of the world. However, despite the apparent similarities in rates between South Africa, Spain, and India, macroeconomic policy solutions to decrease youth unemployment in these three countries are different. This chapter will look at macroeconomic policies around the world, specifically those related to reducing unemployment, promoting economic growth, and stable inflation and exchange rates. Then we will look again at the three cases of South Africa, Spain, and India. Introduction to Macroeconomic Policy around the World In this chapter, you will learn about: - The Diversity of Countries and Economies across the World - Improving Countries’ Standards of Living - Causes of Unemployment around the World - Causes of Inflation in Various Countries and Regions - Balance of Trade Concerns There are extraordinary differences in the composition and performance of economies across the world. What explains these differences? Are countries motivated by similar goals when it comes to macroeconomic policy? Can we apply the same macroeconomic framework that we developed in this text to understand the performance of these countries? Let’s take each of these questions in turn. Explaining differences: Recall from Unemployment that we explained the difference in composition and performance of economies by appealing to an aggregate production function. We argued that differences in productivity explain the diversity of average incomes across the world, which in turn were affected by inputs such as capital deepening, human capital, and “technology.” Every economy has its own distinctive economic characteristics, institutions, history, and political realities, which imply that access to these “ingredients” will vary by country and so will economic performance. For example, South Korea invested heavily in education and technology to increase agricultural productivity in the early 1950s. Some of this investment came from its historical relationship with the United States. As a result of these and many other institutions, its economy has managed to converge to the levels of income in leading economies like Japan and the United States. Similar goals and frameworks: Many economies that have performed well in terms of per capita income have—for better or worse—been motivated by a similar goal: to maintain the quality of life of their citizens. Quality of life is a broad term, but as you can imagine it includes but is not limited to such things as low level of unemployment, price stability (low levels of inflation), and the ability to trade. These seem to be universal macroeconomic goals as we discussed in The Macroeconomic Perspective. No country would argue against them. To study macroeconomic policy around the world, we begin by comparing standards of living. In keeping with these goals, we also look at indicators such as unemployment, inflation, and the balance of trade policies across countries. Remember that every country has had a diverse set of experiences; therefore although our goals may be similar, each country may well require macroeconomic policies tailored to its circumstances. For more reading on the topic of youth unemployment, visit this website to read “Generation Jobless” in the Economist.	oercommons	2025-03-18T00:38:52.111379	null	{ "license": "Creative Commons - Attribution - https://creativecommons.org/licenses/by/4.0/", "url": "https://oercommons.org/courseware/lesson/28870/overview", "title": "Principles of Macroeconomics 2e, Macroeconomic Policy Around the World", "author": null }
https://oercommons.org/courseware/lesson/28871/overview	The Diversity of Countries and Economies across the World Overview - Analyze GDP per capita as a measure of the diversity of international standards of living - Identify what classifies a country as low-income, middle-income, or high-income - Explain how geography, demographics, industry structure, and economic institutions influence standards of living The national economies that comprise the global economy are remarkably diverse. Let us use one key indicator of the standard of living, GDP per capita, to quantify this diversity. You will quickly see that quantifying this diversity is fraught with challenges and limitations. As we explained in The Macroeconomic Perspective, we must consider using purchasing power parity or “international dollars” to convert average incomes into comparable units. Purchasing power parity, as we formally defined in Exchange Rates and International Capital Flows, takes into account that prices of the same good are different across countries. The Macroeconomic Perspective explained how to measure GDP, the challenges of using GDP to compare standards of living, and the difficulty of confusing economic size with distribution. In China's case, for example, China ranks as the second largest global economy, second to only the United States, with Japan ranking third. However, when we take China's GDP of $9.2 trillion and divide it by its population of 1.4 billion, then the per capita GDP is only $6,900, which is significantly lower than that of Japan, at $38,500, and that of the United States, at $52,800. Measurement issues aside, it’s worth repeating that the goal, then, is to not only increase GDP, but to strive toward increased GDP per capita to increase overall living standards for individuals. As we have learned from Economic Growth, countries can achieve this at the national level by designing policies that increase worker productivity, deepen capital, and advance technology. GDP per capita also allows us to rank countries into high-, middle-, or low-income groups. Low-income countries are those with $1,025 per capita GDP per year; middle-income countries have a per capita GDP between $1,025 and $12,475; while high-income countries have over $12,475 per year per capita income. As Table and Figure show, high-income countries earn 68% of world income, but represent just 12% of the global population. Low-income countries earn 1% of total world income, but represent 18.5% of global population. \| Ranking based on GDP/capita \| GDP (in billions) \| % of Global GDP \| Population \| % of Global Population \| \|---\|---\|---\|---\|---\| \| Low income ($1,025 or less) \| $612.7 \| 0.8% \| 1,306,000,000 \| 18.8% \| \| Middle income ($1,025 - $12,475) \| $23,930 \| 31.7% \| 4,970,000,000 \| 69.4% \| \| High income (more than $12,475) \| $51,090,000,000 \| 67.5% \| 848,700,000 \| 11.8% \| \| World Total income \| $75,592,941 \| 7,162,119,434 \| An overview of the regional averages of GDP per person for developing countries, measured in comparable international dollars as well as population in 2008 (Figure), shows that the differences across these regions are stark. As Table shows, nominal GDP per capita in 2012 for the 581.4 million people living in Latin America and the Caribbean region was $9,190, which far exceeds that of South Asia and sub-Saharan Africa. In turn, people in the world's high-income nations, such as those who live in the European Union nations or North America, have a per capita GDP three to four times that of the people of Latin America. To put things in perspective, North America and the European Union have slightly more than 9% of the world’s population, but they produce and consume close to 70% of the world’s GDP. \| Population (in millions) \| GDP Per Capita \| \| \|---\|---\|---\| \| East Asia and Pacific \| 2,006 \| $5,536 \| \| South Asia \| 1,671 \| $1,482 \| \| Sub-Saharan Africa \| 936.1 \| $1,657 \| \| Latin America and Caribbean \| 588 \| $9,536 \| \| Middle East and North Africa \| 345.4 \| $3,456 \| \| Europe and Central Asia \| 272.2 \| $7,118 \| Such comparisons between regions are admittedly rough. After all, per capita GDP cannot fully capture the quality of life. Many other factors have a large impact on the standard of living, like health, education, human rights, crime and personal safety, and environmental quality. These measures also reveal very wide differences in the standard of living across the regions of the world. Much of this is correlated with per capita income, but there are exceptions. For example, life expectancy at birth in many low-income regions approximates those who are more affluent. The data also illustrate that nobody can claim to have perfect standards of living. For instance, despite very high income levels, there is still undernourishment in Europe and North America. Economists know that there are many factors that contribute to your standard of living. People in high-income countries may have very little time due to heavy workloads and may feel disconnected from their community. Lower-income countries may be more community centered, but have little in the way of material wealth. It is hard to measure these characteristics of standard of living. The Organization for Economic Co-Operation and Development has developed the “OECD Better Life Index.” Visit this website to see how countries measure up to your expected standard of living. The differences in economic statistics and other measures of well-being, substantial though they are, do not fully capture the reasons for the enormous differences between countries. Aside from the neoclassical determinants of growth, four additional determinants are significant in a wide range of statistical studies and are worth mentioning: geography, demography, industrial structure, and institutions. Geographic and Demographic Differences Countries have geographic differences: some have extensive coastlines, some are landlocked. Some have large rivers that have been a path of commerce for centuries, or mountains that have been a barrier to trade. Some have deserts, some have rain forests. These differences create different positive and negative opportunities for commerce, health, and the environment. Countries also have considerable differences in the age distribution of the population. Many high-income nations are approaching a situation by 2020 or so in which the elderly will form a much larger share of the population. Most low-income countries still have a higher proportion of youth and young adults, but by about 2050, the elderly populations in these low-income countries are expected to boom as well. These demographic changes will have considerable impact on the standard of living of the young and the old. Differences in Industry Structure and Economic Institutions Countries have differences in industry structure. In the world's high-income economies, only about 2% of GDP comes from agriculture; the average for the rest of the world is 12%. Countries have strong differences in degree of urbanization. Countries also have strong differences in economic institutions: some nations have economies that are extremely market-oriented, while other nations have command economies. Some nations are open to international trade, while others use tariffs and import quotas to limit the impact of trade. Some nations are torn by long-standing armed conflicts; other nations are largely at peace. There are also differences in political, religious, and social institutions. No nation intentionally aims for a low standard of living, high rates of unemployment and inflation, or an unsustainable trade imbalance. However, nations will differ in their priorities and in the situations in which they find themselves, and so their policy choices can reasonably vary, too. The next modules will discuss how nations around the world, from high income to low income, approach the four macroeconomic goals of economic growth, low unemployment, low inflation, and a sustainable balance of trade. Key Concepts and Summary Macroeconomic policy goals for most countries strive toward low levels of unemployment and inflation, as well as stable trade balances. Economists analyze countries based on their GDP per person and ranked as low-, middle-, and high-income countries. Low-income are those earning less than $1,025 (less than 1%) of global income. They currently have 18.5% of the world population. Middle-income countries are those with per capital income of $1,025–$12,475 (31.1% of global income). They have 69.5% of world population. High-income countries are those with per capita income greater than $12,475 (68.3% of global income). They have 12% of the world’s population. Regional comparisons tend to be inaccurate because even countries within those regions tend to differ from each other. Self-Check Questions Using the data in Table, rank the seven regions of the world according to GDP and then according to GDP per capita. \| Population (in millions) \| GDP Per Capita \| GDP = Population × Per Capita GDP (in millions) \| \| \|---\|---\|---\|---\| \| East Asia and Pacific \| 2,006 \| $5,536 \| $10,450,032 \| \| South Asia \| 1,671 \| $1,482 \| $2,288,812 \| \| Sub-Saharan Africa \| 936.1 \| $1,657 \| $1,287,650 \| \| Latin America and Caribbean \| 588 \| $9,536 \| $5,339,390 \| \| Middle East and North Africa \| 345.4 \| $3,456 \| $1,541,900 \| \| Europe and Central Asia \| 272.2 \| $7,118 \| $1,862,384 \| Hint: The answers are shown in the following two tables. \| Region \| GDP (in millions) \| \|---\|---\| \| East Asia \| $10,450,032 \| \| Latin America \| $5,339,390 \| \| South Asia \| $2,288,812 \| \| Europe and Central Asia \| $1,862,384 \| \| Middle East and North Africa \| $1,541,900 \| \| Sub-Saharan Africa \| $1,287,650 \| \| Region \| GDP Per Capita (in millions) \| \|---\|---\| \| East Asia \| $5,246 \| \| Latin America \| $1,388 \| \| South Asia \| $1,415 \| \| Europe and Central Asia \| $9,190 \| \| Middle East and North Africa \| $4,535 \| \| Sub-Saharan Africa \| $6,847 \| East Asia appears to be the largest economy on GDP basis, but on a per capita basis it drops to third, after Europe and Central Asia and Sub-Saharan Africa. What are the drawbacks to analyzing the global economy on a regional basis? Hint: A region can have some of high-income countries and some of the low-income countries. Aggregating per capita real GDP will vary widely across countries within a region, so aggregating data for a region has little meaning. For example, if you were to compare per capital real GDP for the United States, Canada, Haiti, and Honduras, it looks much different than if you looked at the same data for North America as a whole. Thus, regional comparisons are broad-based and may not adequately capture an individual country’s economic attributes. Review Questions What is the primary way in which economists measure standards of living? What are some of the other ways of comparing the standard of living in countries around the world? What are the four other factors that determine the economic standard of living around the world? Critical Thinking Question Demography can have important economic effects. The United States has an aging population. Explain one economic benefit and one economic cost of an aging population as well as of a population that is very young. Problems Retrieve the following data from The World Bank database (http://databank.worldbank.org/data/home.aspx) for India, Spain, and South Africa for the most recent year available: - GDP in constant international dollars or PPP - Population - GDP per person in constant international dollars - Mortality rate, infant (per 1,000 live births) - Health expenditure per capita (current U.S. dollars) - Life expectancy at birth, total (years) Prepare a chart that compares India, Spain, and South Africa based on the data you find. Describe the key differences between the countries. Rank these as high-, medium-, and low-income countries, explain what is surprising or expected about this data. References International Labour Organization. “Global Employment Trends for Youth 2013.” http://www.ilo.org/global/research/global-reports/global-employment-trends/youth/2013/lang--en/index.htm International Monetary Fund. “World Economic and Financial Surveys: World Economic Outlook—Transitions and Tensions.” Last modified October 2013. http://www.imf.org/external/pubs/ft/weo/2013/02/pdf/text.pdf. Nobelprize.org. “The Prize in Economics 1987 - Press Release.” Nobel Media AB 2013. Last modified October 21, 1987. http://www.nobelprize.org/nobel_prizes/economic-sciences/laureates/1987/press.html. Redvers, Louise. BBC News Business. “Youth unemployment: The big question and South Africa.” Last modified October 31, 2012. http://www.bbc.co.uk/news/business-20125053. The World Bank. “The Complete World Development Report Online.” http://www.wdronline.worldbank.org/. The World Bank. “World DataBank.” http://databank.worldbank.org/data/home.aspx. Todaro, Michael P., and Stephen C Smith. Economic Development (11thEdition). Boston, MA: Addison-Wesley: Pearson, 2011, chap. 1–2.	oercommons	2025-03-18T00:38:52.144180	null	{ "license": "Creative Commons - Attribution - https://creativecommons.org/licenses/by/4.0/", "url": "https://oercommons.org/courseware/lesson/28871/overview", "title": "Principles of Macroeconomics 2e, Macroeconomic Policy Around the World", "author": null }
https://oercommons.org/courseware/lesson/28872/overview	Improving Countries’ Standards of Living Overview - Analyze the growth policies of low-income countries seeking to improve standards of living - Analyze the growth policies of middle-income countries, particularly the East Asian Tigers with their focus on technology and market-oriented incentives - Analyze the struggles facing economically-challenged countries wishing to enact growth policies - Evaluate the success of sending aid to low-income countries Jobs are created in economies that grow. What is the origin of economic growth? According to most economists who believe in the growth consensus, economic growth (as we discussed in Economic Growth) is built on a foundation of productivity improvements. In turn, productivity increases are the result of greater human and physical capital and technology, all interacting in a market-driven economy. In the pursuit of economic growth, however, some countries and regions start from different levels, as the differences in per capita GDP presented earlier in illustrate. Growth Policies for the High-Income Countries For the high-income countries, the challenge of economic growth is to push continually for a more educated workforce that can create, invest in, and apply new technologies. In effect, the goal of their growth-oriented public policy is to shift their aggregate supply curves to the right (refer to The Aggregate Demand/Aggregate Supply Model). The main public policies targeted at achieving this goal are fiscal policies focused on investment, including investment in human capital, in technology, and in physical plant and equipment. These countries also recognize that economic growth works best in a stable and market-oriented economic climate. For this reason, they use monetary policy to keep inflation low and stable, and to minimize the risk of exchange rate fluctuations, while also encouraging domestic and international competition. However, early in the second decade of the 2000s, many high-income countries found themselves more focused on the short term than on the long term. The United States, Western Europe, and Japan all experienced a combination of financial crisis and deep recession, and the after-effects of the recession—like high unemployment rates—seemed likely to linger for several years. Most of these governments took aggressive, and in some cases controversial, steps to jump-start their economies by running very large budget deficits as part of expansionary fiscal policy. These countries must adopt a course that combines lower government spending and higher taxes. Similarly, many central banks ran highly expansionary monetary policies, with both near-zero interest rates and unconventional loans and investments. For example, in 2012, Shinzo Abe (see Figure), then newly-elected Prime Minister of Japan, unveiled a plan to pull his country out of its two-decade-long slump in economic growth. It included both fiscal stimulus and an increase in the money supply. The plan was quite successful in the short run. However, according to the Economist, with public debt “expected to approach 240% of GDP,” (as of 2012 it was 226% of GDP) printing money and public-works spending were only short-term solutions. As we discussed in other chapters, macroeconomics needs to have both a short-run and a long-run focus. The challenge for many of the developed countries in the next few years will be to exit from the short-term policies that they used to correct the 2008–2009 recession. Since the return to growth has been sluggish, it has been politically challenging for these governments to refocus their efforts on new technology, education, and physical capital investment. Growth Policies for the Middle-Income Economies The world’s great economic success stories in the last few decades began in the 1970s with that group of nations sometimes known as the East Asian Tigers: South Korea, Thailand, Malaysia, Indonesia, and Singapore. The list sometimes includes Hong Kong and Taiwan, although often under international law they are treated as part of China, rather than as separate countries. The economic growth of the Tigers has been phenomenal, typically averaging 5.5% real per capita growth for several decades. In the 1980s, other countries began to show signs of convergence. China began growing rapidly, often at annual rates of 8% to 10% per year. India began growing rapidly, first at rates of about 5% per year in the 1990s, but then higher still in the first decade of the 2000s. We know the underlying causes of these rapid growth rates: - China and the East Asian Tigers, in particular, have been among the highest savers in the world, often saving one-third or more of GDP as compared to the roughly one-fifth of GDP, which would be a more typical saving rate in Latin America and Africa. These countries harnessed higher savings for domestic investment to build physical capital. - These countries had policies that supported heavy investments in human capital, first building up primary-level education and then expanding secondary-level education. Many focused on encouraging math and science education, which is useful in engineering and business. - Governments made a concerted effort to seek out applicable technology, by sending students and government commissions abroad to look at the most efficient industrial operations elsewhere. They also created policies to support innovative companies that wished to build production facilities to take advantage of the abundant and inexpensive human capital. - China and India in particular also allowed far greater freedom for market forces, both within their own domestic economies and also in encouraging their firms to participate in world markets. This combination of technology, human capital, and physical capital, combined with the incentives of a market-oriented economic context, proved an extremely powerful stimulant to growth. Challenges that these middle-income countries faced are a legacy of government economic controls that for political reasons can be dismantled only slowly over time. In many of them, the government heavily regulates the banking and financial sector. Governments have also sometimes selected certain industries to receive low-interest loans or government subsidies. These economies have found that an increased dose of market-oriented incentives for firms and workers has been a critical ingredient in the recipe for faster growth. To learn more about measuring economic growth, read the following Clear It Up feature. What is the rule of 72? It is worth pausing a moment to marvel at the East Asian Tigers' growth rates. If per capita GDP grows at, say, 6% per year, then you can apply the formula for compound growth rates—that is (1 + 0.06)30—meaning a nation’s level of per capita GDP will rise by a multiple of almost six over 30 years. Another strategy is to apply the rule of 72. The rule of 72 is an approximation to figure out doubling time. We divide the rule number, 72, by the annual growth rate to obtain the approximate number of years it will take for income to double. If we have a 6% growth rate, it will take 72/6, or 12 years, for incomes to double. Using this rule here suggests that a Tiger that grows at 6% will double its GDP every 12 years. In contrast, a technological leader, chugging along with per capita growth rates of about 2% per year, would double its income in 36 years. Growth Policies for Economically-Challenged Countries Many economically-challenged or low-income countries are geographically located in Sub-Saharan Africa. Other pockets of low income are in the former Soviet Bloc, and in parts of Central America and the Caribbean. There are macroeconomic policies and prescriptions that might alleviate the extreme poverty and low standard of living. However, many of these countries lack the economic and legal stability, along with market-oriented institutions, needed to provide a fertile climate for domestic economic growth and to attract foreign investment. Thus, macroeconomic policies for low income economies are vastly different from those of the high income economies. The World Bank has made it a priority to combat poverty and raise overall income levels through 2030. One of the key obstacles to achieving this is the political instability that seems to be a common feature of low-income countries. Figure shows the ten lowest income countries as ranked by The World Bank in 2013. These countries share some common traits, the most significant of which is the recent failures of their governments to provide a legal framework for economic growth. Ethiopia and Eritrea recently ended a long-standing war in 2000. Civil and ethnic wars have plagued countries such as Burundi and Liberia. Command economies, corruption, as well as political factionalism and infighting are commonly adopted elements in these low-income countries. The Democratic Republic of the Congo (often referred to as “Congo”) is a resource-wealthy country that has not been able to increase its subsistence standard of living due to the political environment. Low-income countries are at a disadvantage because any incomes that people receive are spent immediately on necessities such as food. People in these countries live on less than $1,035 per year, which is less than $100 per month. Lack of saving means a lack of capital accumulation and a lack of loanable funds for investment in physical and human capital. Recent research by two MIT economists, Abhijit Bannerjee and Esther Duflo, has confirmed that the households in these economies are trapped in low incomes because they cannot muster enough investment to push themselves out of poverty. For example, the average citizen of Burundi, the lowest-income country, subsists on $150 per year (adjusted to 2005 dollars). According to Central Intelligence Agency data in its CIA Factbook, as of 2013, 90% of Burundi’s population is agrarian, with coffee and tea as the main income producing crop. Only one in two children attends school and, as Figure shows, many are not in schools comparable to what occurs in developed countries. The CIA Factbook also estimates that 15% of Burundi’s population suffers from HIV/AIDS. Political instability has made it difficult for Burundi to make significant headway toward growth, as verified by the electrification of only 2% of households and 42% of its national income coming from foreign aid. The World Factbook website is loaded with maps, flags, and other information about countries across the globe. Other low-income countries share similar stories. These countries have found it difficult to generate investments for themselves or to find foreign investors willing to put up the money for more than the basic needs. Foreign aid and external investment comprise significant portions of the income in these economies, but are not sufficient to allow for the capital accumulation necessary to invest in physical and human capital. However, is foreign aid always a contributor to economic growth? It can be a controversial issue, as the next Clear it Up feature points out. Does foreign aid to low-income countries work? According to the Organization of Economic Cooperation and Development (OECD), about $134 billion per year in foreign aid flows from the high-income countries of the world to the low-income ones. Relative to the size of their populations or economies, this is not a large amount for either donors or recipients. For low-income countries, aid averages about 1.3 percent of their GDP. However, even this relatively small amount has been highly controversial. Supporters of additional foreign aid point to the extraordinary human suffering in the world's low-and middle-income countries. They see opportunities all across Africa, Asia, and Latin America to set up health clinics and schools. They want to help with the task of building economic infrastructure: clean water, plumbing, electricity, and roads. Supporters of this aid include formal state-sponsored institutions like the United Kingdom’s Department for International Development (DFID) or independent non-governmental organizations (NGOs) like CARE International that also receive donor government funds. For example, because of an outbreak of meningitis in Ethiopia in 2010, DFID channeled significant funds to the Ethiopian Ministry of Health to train rural health care workers and also for vaccines. These monies helped the Ministry offset shortfalls in their budget. Opponents of increased aid do not quarrel with the goal of reducing human suffering, but they suggest that foreign aid has often proved a poor tool for advancing that goal. For example, according to an article in the Attaché Journal of International Affairs, the Canadian foreign aid organization (CIDA) provided $100 million to Tanzania to grow wheat. The project did produce wheat, but nomadic pastoralists and other villagers who had lived on the land were driven off 100,000 acres of land to make way for the project. The damage in terms of human rights and lost livelihoods was significant. Villagers were beaten and killed because some refused to leave the land. At times, the unintended collateral damage from foreign aid can be significant. William Easterly, professor of economics at New York University and author of The White Man’s Burden, argues that countries often receive aid for political reasons and ends up doing more harm than good. If a country's government creates a reasonably stable and market-oriented macroeconomic climate, then foreign investors will be likely to provide funds for many profitable activities. For example, according to The New York Times, Facebook is partnering with multiple organizations in a project called Internet.org to provide access in remote and low-income areas of the world, and Google began its own initiative called Project Loon. Facebook’s first forays into providing internet access via mobile phones began in stable, market-oriented countries like India, Brazil, Indonesia, Turkey, and the Philippines. Policymakers are now wiser about foreign aid limitations than they were a few decades ago. In targeted and specific cases, especially if foreign aid is channeled to long-term investment projects, foreign aid can have a modest role to play in reducing the extreme levels of deprivation that hundreds of millions of people around the world experience. Watch this video on the complexities of providing economic aid in Africa. Key Concepts and Summary The fundamentals of growth are the same in every country: improvements in human capital, physical capital, and technology interacting in a market-oriented economy. Countries that are high-income tend to focus on developing and using new technology. Countries that are middle-income focus on increasing human capital and becoming more connected to technology and global markets. They have charted unconventional paths by relying more on state-led support rather than relying solely on markets. Low-income, economically-challenged countries have many health and human development needs, but they are also challenged by the lack of investment and foreign aid to develop infrastructure like roads. There are some bright spots when it comes to financial development and mobile communications, which suggest that low-income countries can become technology leaders in their own right, but it is too early to claim victory. These countries must do more to connect to the rest of the global economy and find the technologies that work best for them. Self-Check Questions Create a table that identifies the macroeconomic policies for a high-income country, a middle-income country, and a low-income country. Hint: The following table provides a summary of possible answers. \| High-Income Countries \| Middle-Income Countries \| Low-Income Countries \| \|---\|---\|---\| \| \| \| Use the data in the text to contrast the policy prescriptions of the high-income, middle-income, and low-income countries. Hint: Low-income countries must adopt government policies that are market-oriented and that educate the workforce and population. After this is done, low-income countries should focus on eradicating other social ills that inhibit their growth. The economically challenged are stuck in poverty traps. They need to focus more on health and education and create a stable macroeconomic and political environment. This will attract foreign aid and foreign investment. Middle-income countries strive for increases in physical capital and innovation, while higher-income countries must work to maintain their economies through innovation and technology. Review Questions What other factors, aside from labor productivity, capital investment, and technology, impact the economic growth of a country? How? What strategies did the East Asian Tigers employ to stimulate economic growth? Critical Thinking Question Explain why is it difficult to set aside funds for investment when you are in poverty. Why do you think it is difficult for high-income countries to achieve high growth rates? Problems Use the Rule of 72 to estimate how long it will take for India, Spain, and South Africa to double their standards of living. Using the research skills you have acquired, retrieve the following data from The World Bank database (http://databank.worldbank.org/data/home.aspx) for India, Spain, and South Africa for 2010–2015, if available: - Telephone lines - Mobile cellular subscriptions - Secure Internet servers (per one million people) - Electricity production (kWh) Prepare a chart that compares these three countries. Describe the key differences between the countries. References “Shinzo Abe’s Government Looks Likely to Disappoint on Fiscal Consolidation.” The Economist, May 4, 2013. http://www.economist.com/news/finance-and-economics/21577080-shinzo-abes-government-looks-likely-disappoint-fiscal-consolidation-dont. Banerjee, Abhijit V., and Esther Duflo. Poor Economics. “About the Book: Overview.” http://pooreconomics.com/about-book. CARE International. “About Us.” Accessed January 14, 2014. http://www.care-international.org/about-us.aspx. Central Intelligence Agency. “The World Factbook: Africa, Burundi.” Last modified November 12, 2013. https://www.cia.gov/library/publications/the-world-factbook/geos/by.html. Central Intelligence Agency. “The World Factbook: Africa, Democratic Republic of the Congo.” Last modified November 12, 2013. https://www.cia.gov/library/publications/the-world-factbook/geos/cg.html. Easterly, William. The White Man’s Burden: Why the West’s Efforts to Aid the Rest Have Done So Much Ill and So Little Good. Penguin Group (USA), 2006. Goel, Vindu. “Facebook Leads an Effort to Lower Barriers to Internet Access,” The New York Times. Last modified August 20, 2013. Google. “Project Loon.” http://www.google.com/loon/. GOV.UK. “Department for International Development.” https://www.gov.uk/government/organisations/department-for-international-development. The World Bank. “Millennium Development Goals.” http://www.worldbank.org/mdgs/. Todaro, Michael P., and Stephen C Smith. Economic Development (11th Edition). Boston, MA: Addison-Wesley: Pearson, 2011, chap. 3. Vercillo, Siera. “The Failures of Canadian Foreign Aid: Tied, Mismanaged and Uncoordinated.” The Attaché Journal of International Affairs. (2010). http://theattachejia.files.wordpress.com/2013/10/the-attache-2010-issue.pdf.	oercommons	2025-03-18T00:38:52.179241	null	{ "license": "Creative Commons - Attribution - https://creativecommons.org/licenses/by/4.0/", "url": "https://oercommons.org/courseware/lesson/28872/overview", "title": "Principles of Macroeconomics 2e, Macroeconomic Policy Around the World", "author": null }
https://oercommons.org/courseware/lesson/28873/overview	Causes of Unemployment around the World Overview - Explain the nature and causes of unemployment - Analyze the natural rate of unemployment and the factors that affect it - Identify how undeveloped labor markets can result in the same hardships as unemployment We can categorize the causes of unemployment in the world's high-income countries in two ways: either cyclical unemployment caused by the economy when in a recession, or the natural rate of unemployment caused by factors in labor markets, such as government regulations regarding hiring and starting businesses. Unemployment from a Recession For unemployment caused by a recession, the Keynesian economic model points out that both monetary and fiscal policy tools are available. The monetary policy prescription for dealing with recession is straightforward: run an expansionary monetary policy to increase the quantity of money and loans, drive down interest rates, and increase aggregate demand. In a recession, there is usually relatively little danger of inflation taking off, and so even a central bank, with fighting inflation as its top priority, can usually justify some reduction in interest rates. With regard to fiscal policy, the automatic stabilizers that we discussed in Government Budgets and Fiscal Policy should be allowed to work, even if this means larger budget deficits in times of recession. There is less agreement over whether, in addition to automatic stabilizers, governments in a recession should try to adopt discretionary fiscal policy of additional tax cuts or spending increases. In the case of the Great Recession, the case for this kind of extra-aggressive expansionary fiscal policy is stronger, but for a smaller recession, given the time lags of implementing fiscal policy, countries should use discretionary fiscal policy with caution. However, the aftermath of the Recession emphasizes that expansionary fiscal and monetary policies do not turn off a recession like flipping a switch turns off a lamp. Even after a recession is officially over, and positive growth has returned, it can take some months—or even a couple of years—before private-sector firms believe the economic climate is healthy enough that they can expand their workforce. The Natural Rate of Unemployment Unemployment rates in European nations have typically been higher than in the United States. In 2006, before the start of the Great Recession, the U.S. unemployment rate was 4.6%, compared with 9% in France, 10.4% in Germany, and 7.1% in Sweden. We can attribute the pattern of generally higher unemployment rates in Europe, which dates back to the 1970s, to the fact that European economies have a higher natural rate of unemployment because they have a greater number of rules and restrictions that discourage firms from hiring and unemployed workers from taking jobs. Addressing the natural rate of unemployment is straightforward in theory but difficult in practice. Government can play a useful role in providing unemployment and welfare payments, for example, by passing rules about where and when businesses can operate, and assuring that the workplace is safe. However, these well-intentioned laws can, in some cases, become so intrusive that businesses decide to place limits on their hiring. For example, a law that imposes large costs on a business that tries to fire or lay off workers will mean that businesses try to avoid hiring in the first place, as is the case in France. According to Business Week, “France has 2.4 times as many companies with 49 employees as with 50 ... according to the French labor code, once a company has at least 50 employees inside France, management must create three worker councils, introduce profit sharing, and submit restructuring plans to the councils if the company decides to fire workers for economic reasons.” This labor law essentially limits employment (or raises the natural rate of unemployment). Undeveloped Labor Markets Low-income and middle-income countries face employment issues that go beyond unemployment as it is understood in the high-income economies. A substantial number of workers in these economies provide many of their own needs by farming, fishing, or hunting. They barter and trade with others and may take a succession of short-term or one-day jobs, sometimes receiving pay with food or shelter, sometimes with money. They are not “unemployed” in the sense that we use the term in the United States and Europe, but neither are they employed in a regular wage-paying job. The starting point of economic activity, as we discussed in Welcome to Economics!, is the division of labor, in which workers specialize in certain tasks and trade the fruits of their labor with others. Workers who are not connected to a labor market are often unable to specialize very much. Because these workers are not “officially” employed, they are often not eligible for social benefits like unemployment insurance or old-age payments—if such payments are even available in their country. Helping these workers to become more connected to the labor market and the economy is an important policy goal. Recent research by development economists suggests that one of the key factors in raising people in low-income countries out of the worst kind of poverty is whether they can make a connection to a somewhat regular wage-paying job. Key Concepts and Summary We can address cyclical unemployment by expansionary fiscal and monetary policy. The natural rate of unemployment can be harder to solve, because it involves thinking carefully about the tradeoffs involved in laws that affect employment and hiring. Unemployment is understood differently in high-income countries compared to low- and middle-income countries. People in these countries are not “unemployed” in the sense that we use the term in the United States and Europe, but neither are they employed in a regular wage-paying job. While some may have regular wage-paying jobs, others are part of a barter economy. Self-Check Questions What are the different policy tools for dealing with cyclical unemployment? Hint: If there is a recession and unemployment increases, we can call on an expansionary fiscal policy (lower taxes or increased government spending) or an expansionary monetary policy (increase the money supply and lower interest rates). Both policies stimulate output and decrease unemployment. Explain how the natural rate of unemployment may be higher in low-income countries. Hint: Aside from a high natural rate of unemployment due to government regulations, subsistence households may be counted as not working. Review Questions What are the two types of unemployment problems? In low-income countries, does it make sense to argue that most of the people without long-term jobs are unemployed? Critical Thinking Question Is it possible to protect workers from losing their jobs without distorting the labor market? Explain what will happen in a nation that tries to solve a structural unemployment problem using expansionary monetary and fiscal policy. Draw one AD/AS diagram, based on the Keynesian model, for what the nation hopes will happen. Then draw a second AD/AS diagram, based on the neoclassical model, for what is more likely to happen. Problems Retrieve the unemployment data from The World Bank database (http://databank.worldbank.org/data/home.aspx) for India, Spain, and South Africa for 2011-2015. Prepare a chart that compares India, Spain, and South Africa based on the data. Describe the key differences between the countries. Rank these countries as high-, medium-, and low-income countries. Explain what is surprising or expected about this data. How did the Great Recession impact these countries? References Viscusi, Gregory, and Mark Deen. “Why France Has So Many 49-Employee Companies.” Business Week. Last modified May 3, 2012. http://www.businessweek.com/articles/2012-05-03/why-france-has-so-many-49-employee-companies.	oercommons	2025-03-18T00:38:52.204667	null	{ "license": "Creative Commons - Attribution - https://creativecommons.org/licenses/by/4.0/", "url": "https://oercommons.org/courseware/lesson/28873/overview", "title": "Principles of Macroeconomics 2e, Macroeconomic Policy Around the World", "author": null }
https://oercommons.org/courseware/lesson/28874/overview	Causes of Inflation in Various Countries and Regions Overview - Identify the causes and effects of inflation in various economic markets - Explain the significance of a converging economy Policymakers of the high-income economies appear to have learned some lessons about fighting inflation. First, whatever happens with aggregate supply and aggregate demand in the short run, countries can use monetary policy to prevent inflation from becoming entrenched in the economy in the medium and long term. Second, there is no long-run gain to letting inflation become established. In fact, allowing inflation to become lasting and persistent poses undesirable risks and tradeoffs. When inflation is high, businesses and individuals need to spend time and effort worrying about protecting themselves against inflation, rather than seeking better ways to serve customers. In short, the high-income economies appear to have both a political consensus to hold inflation low and the economic tools to do so. In a number of middle- and low-income economies around the world, inflation is far from a solved problem. In the early 2000s, Turkey experienced inflation of more than 50% per year for several years. Belarus had inflation of about 100% per year from 2000 to 2001. From 2008 to 2010, Venezuela and Myanmar had inflation rates of 20% to 30% per year. Indonesia, Iran, Nigeria, the Russian Federation, and Ukraine all had double-digit inflation for most of the years from 2000 to 2010. Zimbabwe had hyperinflation, with inflation rates that went from more than 100% per year in the mid-2000s to a rate of several million percent in 2008. In these countries, the problem of very high inflation generally arises from huge budget deficits, which the government finances by printing its domestic currency. This is a case of “too much money chasing too few goods.” In the case of Zimbabwe, the government covered its widening deficits by printing ever higher currency notes, including a $100 trillion bill. By late 2008, the money was nearly worthless, which led Zimbabwe to adopt the U.S. dollar, immediately halting their hyperinflation. In some countries, the central bank makes loans to politically favored firms, essentially printing money to do so, and this too leads to higher inflation. A number of countries have managed to sustain solid levels of economic growth for sustained periods of time with inflation levels that would sound high by recent U.S. standards, like 10% to 30% per year. In such economies, the governments index most contracts, wage levels, and interest rates to inflation. Indexing wage contracts and interest rates means that they will increase when inflation increases to retain purchasing power. When wages do not rise as price levels rise, this leads to a decline in the real wage rate and a decrease in the standard of living. Likewise, interest rates that are not indexed mean that money lenders will receive payment in devalued currency and will also lose purchasing power on monies that they lent. It is clearly possible—and perhaps sometimes necessary—for a converging economy (the economy of a country that demonstrates the ability to catch up to the technology leaders) to live with a degree of uncertainty over inflation that would be politically unacceptable in the high-income economies. Concepts and Summary Most high-income economies have learned that their central banks can control inflation in the medium and the long term. In addition, they have learned that inflation has no long-term benefits but potentially substantial long-term costs if it distracts businesses from focusing on real productivity gains. However, smaller economies around the world may face more volatile inflation because their smaller economies can be unsettled by international movements of capital and goods. Self-Check Questions How does indexing wage contracts to inflation help workers? Hint: Indexing wage contracts means wages rise when prices rise. This means what you can buy with your wages, your standard of living, remains the same. When wages are not indexed, or rise with inflation, your standard of living falls. Use the AD/AS model to show how increases in government spending can lead to more inflation. Hint: An increase in government spending shifts the AD curve to the right, raising both income and price levels. Show, using the AD/AS model, how governments can use monetary policy to decrease the price level. Hint: A decrease in the money supply will shift the AD curve leftward and reduce income and price levels. Banks will have less money to lend. Interest rates will increase, affecting consumption and investment, which are both key determinants of aggregate demand. Review Questions Is inflation likely to be a severe problem for at least some high-income economies in the near future? Is inflation likely to be a problem for at least some low- and middle-income economies in the near future? Critical Thinking Questions Why are inflationary dangers lower in the high-income economies than in low-income and middle-income economies? Problems Retrieve inflation data from The World Bank data base (http://databank.worldbank.org/data/home.aspx) for India, Spain, and South Africa for 2011–2015. Prepare a chart that compares India, Spain, and South Africa based on the data. Describe the key differences between the countries. Rank these countries as high-, medium-, and low-income. Explain what is surprising or expected about the data.	oercommons	2025-03-18T00:38:52.225868	null	{ "license": "Creative Commons - Attribution - https://creativecommons.org/licenses/by/4.0/", "url": "https://oercommons.org/courseware/lesson/28874/overview", "title": "Principles of Macroeconomics 2e, Macroeconomic Policy Around the World", "author": null }
https://oercommons.org/courseware/lesson/28875/overview	Balance of Trade Concerns Overview - Explain the meaning of trade balance and its implications for the foreign exchange market - Analyze concerns over international trade in goods and services and international flows of capital - Identify and evaluate market-oriented economic reforms In the 1950s and 1960s, and even into the 1970s, low- and middle-income countries often viewed openness to global flows of goods, services, and financial capital in a negative light. These countries feared that foreign trade would mean both economic losses as high-income trading partners "exploited" their economy and they lost domestic political control to powerful business interests and multinational corporations. These negative feelings about international trade have evolved. After all, the great economic success stories of recent years like Japan, the East Asian Tiger economies, China, and India, all took advantage of opportunities to sell in global markets. European economies thrive with high levels of trade. In the North American Free Trade Agreement (NAFTA), the United States, Canada, and Mexico pledged themselves to reduce trade barriers. Many countries have clearly learned that reducing barriers to trade is at least potentially beneficial to the economy. Many smaller world economies have learned an even tougher lesson: if they do not participate actively in world trade, they are unlikely to join the success stories among the converging economies. There are no examples in world history of small economies that remained apart from the global economy but still attained a high standard of living. Although almost every country now claims that its goal is to participate in global trade, the possible negative consequences have remained highly controversial. It is useful to divide these possible negative consequences into issues involving trade of goods and services and issues involving international capital flows. These issues are related, but not the same. An economy may have a high level of trade in goods and services relative to GDP, but if exports and imports are balanced, the net flow of foreign investment in and out of the economy will be zero. Conversely, an economy may have only a moderate level of trade relative to GDP, but find that it has a substantial current account trade imbalance. Thus, it is useful to consider the concerns over international trade of goods and services and international flows of financial capital separately. Concerns over International Trade in Goods and Services There is a long list of worries about foreign trade in goods and services: fear of job loss, environmental dangers, unfair labor practices, and many other concerns. We discuss these arguments at some length in the chapter on The International Trade and Capital Flows. Of all of the arguments for limitations on trade, perhaps the most controversial one among economists is the infant industry argument; that is, subsidizing or protecting new industries for a time until they become established. (Globalization and Protectionism explains this concept in more detail.) Countries have used such policies with some success at certain points in time, but in the world as a whole, support for key industries is far more often directed at long-established industries with substantial political power that are suffering losses and laying off workers, rather than potentially vibrant new industries that are not yet established. If government intends to favor certain industries, it needs to do so in a way that is temporary and that orients them toward a future of market competition, rather than a future of unending government subsidies and trade protection. Concerns over International Flows of Capital Recall from The Macroeconomic Perspective that a trade deficit exists when a nation’s imports exceed its exports. In order for a trade deficit to take place, foreign countries must provide loans or investments, which they are willing to do because they expect eventual repayment (that the deficit will become a surplus). A trade surplus, you may remember, exists when a nation’s exports exceed its imports. Thus, in order for a trade deficit to switch to a trade surplus, a nation’s exports must rise and its imports must fall. Sometimes this happens when the currency decreases in value. For example, if the U.S. had a trade deficit and the dollar depreciated, imports would become more expensive. This would, in turn, benefit the foreign countries that provided the loans or investments. The expected pattern of trade imbalances in the world economy has been that high-income economies will run trade surpluses, which means they will experience a net outflow of capital to foreign destinations or export more than they import, while low- and middle-income economies will run trade deficits, which means that they will experience a net inflow of foreign capital. This international investing pattern can benefit all sides. Investors in the high-income countries benefit because they can receive high returns on their investments, and also because they can diversify their investments so that they are at less risk of a downturn in their own domestic economy. The low-income economies that receive an inflow of capital presumably have potential for rapid catch-up economic growth, and they can use the international financial capital inflow to help spur their physical capital investment. In addition, financial capital inflows often come with management abilities, technological expertise, and training. However, for the last couple of decades, this cheerful scenario has faced two “dark clouds.” The first cloud is the very large trade or current account deficits in the U.S. economy. (See The International Trade and Capital Flows.) Instead of offering net financial investment abroad, the U.S. economy is soaking up savings from all over the world. These substantial U.S. trade deficits may not be sustainable according to Sebastian Edwards writing for the National Bureau of Economic Research. While trade deficits on their own are not bad, the question is whether governments will reduce them gradually or hastily. In the gradual scenario, U.S. exports could grow more rapidly than imports over a period of years, aided by U.S. dollar depreciation. An unintended consequence of the slow growth since the Great Recession has been a decline in the U.S. current account deficit's from 6% pre-recession to 3% most recently. The other option is that the government could reduce the U.S. trade deficit in a rush. Here is one scenario: if foreign investors became less willing to hold U.S. dollar assets, the dollar exchange rate could weaken. As speculators see this process happening, they might rush to unload their dollar assets, which would drive the dollar down still further. A lower U.S. dollar would stimulate aggregate demand by making exports cheaper and imports more expensive. It would mean higher prices for imported inputs throughout the economy, shifting the short-term aggregate supply curve to the left. The result could be a burst of inflation and, if the Federal Reserve were to run a tight monetary policy to reduce the inflation, it could also lead to recession. People sometimes talk as if the U.S. economy, with its great size, is invulnerable to this sort of pressure from international markets. While it is difficult to rock, it is not impossible for the $17 trillion U.S. economy to face these international pressures. The second “dark cloud” is how the smaller world economies should deal with the possibility of sudden foreign financial capital inflows and outflows. Perhaps the most vivid recent example of the potentially destructive forces of international capital movements occurred in the East Asian Tiger economies in 1997–1998. Thanks to their excellent growth performance over the previous few decades, these economies had attracted considerable interest from foreign investors. In the mid-1990s, however, foreign investment into these countries surged even further. Much of this money funneled through banks that borrowed in U.S. dollars and loaned in their national currencies. Bank lending surged at rates of 20% per year or more. This inflow of foreign capital meant that investment in these economies exceeded the level of domestic savings, so that current account deficits in these countries jumped into the 5–10% GDP range. The surge in bank lending meant that many banks in these East Asian countries did not do an especially good job of screening out safe and unsafe borrowers. Many of the loans—as high as 10% to 15% of all loans in some of these countries—started to turn bad. Fearing losses, foreign investors started pulling out their money. As the foreign money left, the exchange rates of these countries crashed, often falling by 50% or more in a few months. The banks were stuck with a mismatch: even if the rest of their domestic loans were repaid, they could never pay back the U.S. dollars that they owed. The banking sector as a whole went bankrupt. The lack of credit and lending in the economy collapsed aggregate demand, bringing on a deep recession. If the flow and ebb of international capital markets can flip even the economies of the East Asian Tigers, with their stellar growth records, into a recession, then it is no wonder that other middle- and low-income countries around the world are concerned. Moreover, similar episodes of an inflow and then an outflow of foreign financial capital have rocked a number of economies around the world: for example, in the last few years, economies like Ireland, Iceland, and Greece have all experienced severe shocks when foreign lenders decided to stop extending funds. Especially in Greece, this caused the government to enact austerity measures which led to protests throughout the country (Figure). Many nations are taking steps to reduce the risk that their economy will be injured if foreign financial capital takes flight, including having their central banks hold large reserves of foreign exchange and stepping up their regulation of domestic banks to avoid a wave of imprudent lending. The most controversial steps in this area involve whether countries should try to take steps to control or reduce the flows of foreign capital. If a country could discourage some speculative short-term capital inflow, and instead only encourage investment capital that it committed for the medium and the long term, then it could be at least somewhat less susceptible to swings in the sentiments of global investors. If economies participate in the global trade of goods and services, they will also need to participate in international flows of financial payments and investments. These linkages can offer great benefits to an economy. However, any nation that is experiencing a substantial and sustained pattern of trade deficits, along with the corresponding net inflow of international financial capital, has some reason for concern. During the Asian Financial Crisis in the late 1990s, countries that grew dramatically in the years leading up to the crisis as international capital flowed in, saw their economies collapse when the capital very quickly flowed out. Market-Oriented Economic Reforms The standard of living has increased dramatically for billions of people around the world in the last half century. Such increases have occurred not only in the technological leaders like the United States, Canada, the nations of Europe, and Japan, but also in the East Asian Tigers and in many nations of Latin America and Eastern Europe. The challenge for most of these countries is to maintain these growth rates. The economically-challenged regions of the world have stagnated and become stuck in poverty traps. These countries need to focus on the basics: health and education, or human capital development. As Figure illustrates, modern technology allows for the investment in education and human capital development in ways that would have not been possible just a few short years ago. Other than the issue of economic growth, the other three main goals of macroeconomic policy—that is, low unemployment, low inflation, and a sustainable balance of trade—all involve situations in which, for some reason, the economy fails to coordinate the forces of supply and demand. In the case of cyclical unemployment, for example, the intersection of aggregate supply and aggregate demand occurs at a level of output below potential GDP. In the case of the natural rate of unemployment, government regulations create a situation where otherwise-willing employers become unwilling to hire otherwise-willing workers. Inflation is a situation in which aggregate demand outstrips aggregate supply, at least for a time, so that too much buying power is chasing too few goods. A trade imbalance is a situation where, because of a net inflow or outflow of foreign capital, domestic savings are not aligned with domestic investment. Each of these situations can create a range of easier or harder policy choices. Youth Unemployment: Three Cases Spain and South Africa had the same high youth unemployment in 2011, but the reasons for this unemployment are different. Spain’s youth unemployment surged due to the 2008-2009 Great Recession and heavy indebtedness on the part of its citizens and its government. Spain’s current account balance is negative, which means it is borrowing heavily. To cure cyclical unemployment during a recession, the Keynesian model suggests increases in government spending—fiscal expansion or monetary expansion. Neither option is open to Spain. It currently can borrow at only high interest rates, which will be a real problem in terms of debt service. In addition, the rest of the European Union (EU) has dragged its feet when it comes to debt forgiveness. Monetary expansion is not possible because Spain uses the euro and cannot devalue its currency unless it convinces all of the EU to do so. What can be done? The Economist, summarizing some ideas of economists and policymakers, suggests that Spain’s only realistic (although painful) option is to reduce government-mandated wages, which would allow it to reduce government spending. As a result, the government would be able to lower tax rates on the working population. With a lower wage or lower tax environment, firms will hire more workers. This will lower unemployment and stimulate the economy. Spain can also encourage greater foreign investment and try to promote policies that encourage domestic savings. South Africa has more of a natural rate of unemployment problem. It is an interesting case because its youth unemployment is mostly because its young are not ready to work. Economists commonly refer to this as an employability problem. According to interviews of South African firms as reported in the Economist, the young are academically smart but lack practical skills for the workplace. Despite a big push to increase investment in human capital, the results have not yet borne fruit. Recently the government unveiled a plan to pay unemployed youth while they were “trained-up” or apprenticed in South African firms. The government has room to increase fiscal expenditure, encourage domestic savings, and continue to fund investment in education, vocational training, and apprentice programs. South Africa can also improve the climate for foreign investment from technology leaders, which would encourage economic growth. India has a smaller youth employment problem in terms of percentages. However, bear in mind that since this is a populous country, it turns out to be a significant problem in raw numbers. According to Kaushik Basu, writing for the BBC, “there are 45 national laws governing the hiring and firing decisions of firms and close to four times that amount at the state level”. These laws make it difficult for companies to fire workers. To stay nimble and responsive to markets, Indian companies respond to these laws by hiring fewer workers. The Indian government can do much to solve this problem by adjusting its labor laws. Essentially, the government has to remove itself from firms’ hiring and firing decisions, so that growing Indian firms can freely employ more workers. Indian workers, like those in South Africa, do not have workforce skills. Again, the government can increase its spending on education, vocational training, and workforce readiness programs. Finally, India has a significant current account deficit. This deficit is mainly a result of short- and long-term capital flows. To solve this deficit, India has experimented by lifting the limitation on domestic savers from investing abroad. This is a step in the right direction that may dampen the growth in the current account deficit. A final policy possibility is to improve domestic capital markets so many self-employed Indians can obtain access to capital to realize their business ideas. If more Indians can obtain access to capital to start businesses, employment might increase. Key Concepts and Summary There are many legitimate concerns over possible negative consequences of free trade. Perhaps the single strongest response to these concerns is that there are good ways to address them without restricting trade and thus losing its benefits. There are two major issues involving trade imbalances. One is what will happen with the large U.S. trade deficits, and whether they will come down gradually or with a rush. The other is whether smaller countries around the world should take some steps to limit flows of international capital, in the hope that they will not be quite so susceptible to economic whiplash from international financial capital flowing in and out of their economies. Self-Check Questions What do international flows of capital have to do with trade imbalances? Hint: Given the high level of activity in international financial markets, it is typically believed that financial flows across borders are the real reason for trade imbalances. For example, the United States had an enormous trade deficit in the late 1990s and early 2000s because it was attracting vast inflows of foreign capital. Smaller countries that have attracted such inflows of international capital worry that if the inflows suddenly turn to outflows, the resulting decline in their currency could collapse their banking system and bring on a deep recession. Use the demand-and-supply of foreign currency graph to determine what would happen to a small, open economy that experienced capital outflows. Hint: The demand for the country’s currency would decrease, lowering the exchange rate. Review Questions What are the major issues with regard to trade imbalances for the U.S. economy? What are the major issues with regard to trade imbalances for low- and middle-income countries? Critical Thinking Question Explain why converging economies may present a strong argument for limiting flows of capital but not for limiting trade. References Edwards, S. (n.d.). “America’s Unsustainable Current Account Deficit.” National Bureau of Economic Research Digest. http://www.nber.org/digest/mar06/w11541.html. http://www.ustr.gov/trade-agreements/free-trade-agreements/north-american-free-trade-agreement-nafta. New Country Classifications \| Data. (n.d.). Accessed January 14, 2014. http://data.worldbank.org/news/new-country-classifications. Office of the United States Trade Representative: Executive Office of the President. “North American Free Trade Agreement (NAFTA).” Why India’s Labour Laws are a Problem. (2006, May 18). BBC. May 18, 2006. http://news.bbc.co.uk/2/hi/south_asia/4984256.stm.	oercommons	2025-03-18T00:38:52.253798	null	{ "license": "Creative Commons - Attribution - https://creativecommons.org/licenses/by/4.0/", "url": "https://oercommons.org/courseware/lesson/28875/overview", "title": "Principles of Macroeconomics 2e, Macroeconomic Policy Around the World", "author": null }
https://oercommons.org/courseware/lesson/15551/overview	Introduction Overview - Identity Politics in a Fractured Society - Coming Apart, Coming Together - Vietnam: The Downward Spiral - Watergate: Nixon’s Domestic Nightmare - Jimmy Carter in the Aftermath of the Storm From May 4 to November 4, 1974, a universal exposition was held in the city of Spokane, Washington. This world’s fair, Expo ‘74, and the postage stamp issued to commemorate it, reflected many of the issues and interests of the 1970s (Figure). The stamp features psychedelic colors, and the character of the Cosmic Runner in the center wears bellbottoms, a popular fashion at the time. The theme of the fair was the environment, a subject beginning to be of great concern to people in the United States, especially the younger generation and those in the hippie counterculture. In the 1970s, the environment, social justice, distrust of the government, and a desire to end the war in Vietnam—the concerns and attitudes of younger people, women, gays and lesbians, and people of color—began to draw the attention of the mainstream as well.	oercommons	2025-03-18T00:38:52.270418	null	{ "license": "Creative Commons - Attribution - https://creativecommons.org/licenses/by/4.0/", "url": "https://oercommons.org/courseware/lesson/15551/overview", "title": "U.S. History, Political Storms at Home and Abroad, 1968-1980", "author": null }
https://oercommons.org/courseware/lesson/15552/overview	Identity Politics in a Fractured Society Overview By the end of this section, you will be able to: - Describe the counterculture of the 1960s - Explain the origins of the American Indian Movement and its major activities - Assess the significance of the gay rights and women’s liberation movements The political divisions that plagued the United States in the 1960s were reflected in the rise of identity politics in the 1970s. As people lost hope of reuniting as a society with common interests and goals, many focused on issues of significance to the subgroups to which they belonged, based on culture, ethnicity, sexual orientation, gender, and religion. HIPPIES AND THE COUNTERCULTURE In the late 1960s and early 1970s, many young people came to embrace a new wave of cultural dissent. The counterculture offered an alternative to the bland homogeneity of American middle-class life, patriarchal family structures, self-discipline, unquestioning patriotism, and the acquisition of property. In fact, there were many alternative cultures. “Hippies” rejected the conventions of traditional society. Men sported beards and grew their hair long; both men and women wore clothing from non-Western cultures, defied their parents, rejected social etiquettes and manners, and turned to music as an expression of their sense of self. Casual sex between unmarried men and women was acceptable. Drug use, especially of marijuana and psychedelic drugs like LSD and peyote, was common. Most hippies were also deeply attracted to the ideas of peace and freedom. They protested the war in Vietnam and preached a doctrine of personal freedom to be and act as one wished. Some hippies dropped out of mainstream society altogether and expressed their disillusionment with the cultural and spiritual limitations of American freedom. They joined communes, usually in rural areas, to share a desire to live closer to nature, respect for the earth, a dislike of modern life, and a disdain for wealth and material goods. Many communes grew their own organic food. Others abolished the concept of private property, and all members shared willingly with one another. Some sought to abolish traditional ideas regarding love and marriage, and free love was practiced openly. One of the most famous communes was The Farm, established in Tennessee in 1971. Residents adopted a blend of Christian and Asian beliefs. They shared housing, owned no private property except tools and clothing, advocated nonviolence, and tried to live as one with nature, becoming vegetarians and avoiding the use of animal products. They smoked marijuana in an effort to reach a higher state of consciousness and to achieve a feeling of oneness and harmony. Music, especially rock and folk music, occupied an important place in the counterculture. Concerts provided the opportunity to form seemingly impromptu communities to celebrate youth, rebellion, and individuality. In mid-August 1969, nearly 400,000 people attended a music festival in rural Bethel, New York, many for free (Figure). They jammed roads throughout the state, and thousands had to be turned around and sent home. Thirty-two acts performed for a crowd that partook freely of marijuana, LSD, and alcohol during the rainy three-day event that became known as Woodstock (after the nearby town) and became the cultural touchstone of a generation. No other event better symbolized the cultural independence and freedom of Americans coming of age in the 1960s. Glenn Weiser on Attending Woodstock On the way to Woodstock, Glenn Weiser remembers that the crowds were so large they essentially turned it into a free concert: As we got closer to the site [on Thursday, August 14, 1969] we heard that so many people had already arrived that the crowd had torn down the fences enclosing the festival grounds (in fact they were never put up to begin with). Everyone was being allowed in for free. . . . Early on Friday afternoon about a dozen of us got together and spread out some blankets on the grass at a spot about a third of the way up the hill on stage right and then dropped LSD. I took Orange Sunshine, a strong, clean dose in an orange tab that was perhaps the best street acid ever. Underground chemists in southern California had made millions of doses, and the nation was flooded with it that summer. We smoked some tasty black hashish to amuse ourselves while waiting for the acid to hit, and sat back to groove along with Richie Havens. In two hours we were all soaring, and everything was just fine. In fact, it couldn’t have been better—there I was with my beautiful hometown friends, higher than a church steeple and listening to wonderful music in the cool summer weather of the Catskills. After all, the dirty little secret of the late ‘60s was that psychedelic drugs taken in a pleasant setting could be completely exhilarating. —Glenn Weiser, “Woodstock 1969 Remembered” In this account, Glenn Weiser describes both the music and his drug use. What social trends did Woodstock reflect? How might the festival have influenced American culture and society, both aesthetically and behaviorally? AMERICAN INDIAN PROTEST As the young, primarily white men and women who became hippies strove to create new identities for themselves, they borrowed liberally from other cultures, including that of Native Americans. At the same time, many Indians were themselves seeking to maintain their culture or retrieve elements that had been lost. In 1968, a group of Indian activists, including Dennis Banks, George Mitchell, and Clyde Bellecourt, convened a gathering of two hundred people in Minneapolis, Minnesota, and formed the American Indian Movement (AIM) (Figure). The organizers were urban dwellers frustrated by decades of poverty and discrimination. In 1970, the average life expectancy of Indians was forty-six years compared to the national average of sixty-nine. The suicide rate was twice that of the general population, and the infant mortality rate was the highest in the country. Half of all Indians lived on reservations, where unemployment reached 50 percent. Among those in cities, 20 percent lived below the poverty line. On November 20, 1969, a small group of Indian activists landed on Alcatraz Island (the former site of a notorious federal prison) in San Francisco Bay. They announced plans to build an American Indian cultural center, including a history museum, an ecology center, and a spiritual sanctuary. People on the mainland provided supplies by boat, and celebrities visited Alcatraz to publicize the cause. More people joined the occupiers until, at one point, they numbered about four hundred. From the beginning, the federal government negotiated with them to persuade them to leave. They were reluctant to accede, but over time, the occupiers began to drift away of their own accord. Government forces removed the final holdouts on June 11, 1971, nineteen months after the occupation began. Proclamation to the Great White Father and All His People In occupying Alcatraz Island, Indian activists sought to call attention to their grievances and expectations about what America should mean. At the beginning of the nineteen-month occupation, Mohawk Richard Oakes delivered the following proclamation: We, the native Americans, re-claim the land known as Alcatraz Island in the name of all American Indians by right of discovery. We wish to be fair and honorable in our dealings with the Caucasian inhabitants of this land, and hereby offer the following treaty: We will purchase said Alcatraz Island for twenty-four dollars ($24) in glass beads and red cloth, a precedent set by the white man’s purchase of a similar island about 300 years ago. . . . We feel that this so-called Alcatraz Island is more than suitable for an Indian Reservation, as determined by the white man’s own standards. By this we mean that this place resembles most Indian reservations in that: 1. It is isolated from modern facilities, and without adequate means of transportation. 2. It has no fresh running water. 3. It has inadequate sanitation facilities. 4. There are no oil or mineral rights. 5. There is no industry and so unemployment is very great. 6. There are no health care facilities. 7. The soil is rocky and non-productive; and the land does not support game. 8. There are no educational facilities. 9. The population has always exceeded the land base. 10. The population has always been held as prisoners and kept dependent upon others. Further, it would be fitting and symbolic that ships from all over the world, entering the Golden Gate, would first see Indian land, and thus be reminded of the true history of this nation. This tiny island would be a symbol of the great lands once ruled by free and noble Indians. What does the Alcatraz Proclamation reveal about the Indian view of U.S. history? Listen to Richard Oakes, one of the leaders of the Alcatraz Island occupation, as he reads the Alcatraz Proclamation aloud. The next major demonstration came in 1972 when AIM members and others marched on Washington, DC—a journey they called the “Trail of Broken Treaties”—and occupied the offices of the Bureau of Indian Affairs (BIA). The group presented a list of demands, which included improved housing, education, and economic opportunities in Indian communities; the drafting of new treaties; the return of Indian lands; and protections for native religions and culture. The most dramatic event staged by AIM was the occupation of the Indian community of Wounded Knee, South Dakota, in February 1973. Wounded Knee, on the Pine Ridge Indian Reservation, had historical significance: It was the site of an 1890 massacre of members of the Lakota tribe by the U.S. Army. AIM went to the reservation following the failure of a group of Oglala to impeach the tribal president Dick Wilson, whom they accused of corruption and the use of strong-arm tactics to silence critics. AIM used the occasion to criticize the U.S. government for failing to live up to its treaties with native peoples. The federal government surrounded the area with U.S. marshals, FBI agents, and other law enforcement forces. A siege ensued that lasted seventy-one days, with frequent gunfire from both sides, wounding a U.S. marshal as well as an FBI agent, and killing two Indians. The government did very little to meet the protesters’ demands. Two AIM leaders, Dennis Banks and Russell Means, were arrested, but charges were later dismissed. The Nixon administration had already halted the federal policy of termination and restored millions of acres to tribes. Increased funding for Indian education, healthcare, legal services, housing, and economic development followed, along with the hiring of more Indian employees in the BIA. GAY RIGHTS Combined with the sexual revolution and the feminist movement of the 1960s, the counterculture helped establish a climate that fostered the struggle for gay and lesbian rights. Many gay rights groups were founded in Los Angeles and San Francisco, cities that were administrative centers in the network of U.S. military installations and the places where many gay men suffered dishonorable discharges. The first postwar organization for homosexual civil rights, the Mattachine Society, was launched in Los Angeles in 1950. The first national organization for lesbians, the Daughters of Bilitis, was founded in San Francisco five years later. In 1966, the city became home to the world’s first organization for transsexual people, the National Transsexual Counseling Unit, and in 1967, the Sexual Freedom League of San Francisco was born. Through these organizations and others, gay and lesbian activists fought against the criminalization and discrimination of their sexual identities on a number of occasions throughout the 1960s, employing strategies of both protests and litigation. However, the most famous event in the gay rights movement took place not in San Francisco but in New York City. Early in the morning of June 28, 1969, police raided a Greenwich Village gay bar called the Stonewall Inn. Although such raids were common, the response of the Stonewall patrons was anything but. As the police prepared to arrest many of the customers, especially transsexuals and cross-dressers, who were particular targets for police harassment, a crowd began to gather. Angered by the brutal treatment of the prisoners, the crowd attacked. Beer bottles and bricks were thrown. The police barricaded themselves inside the bar and waited for reinforcements. The riot continued for several hours and resumed the following night. Shortly thereafter, the Gay Liberation Front and Gay Activists’ Alliance were formed, and began to protest discrimination, homophobia, and violence against gay people, promoting gay liberation and gay pride. With a call for gay men and women to “come out”—a consciousness-raising campaign that shared many principles with the counterculture, gay and lesbian communities moved from the urban underground into the political sphere. Gay rights activists protested strongly against the official position of the American Psychiatric Association (APA), which categorized homosexuality as a mental illness and often resulted in job loss, loss of custody, and other serious personal consequences. By 1974, the APA had ceased to classify homosexuality as a form of mental illness but continued to consider it a “sexual orientation disturbance.” Nevertheless, in 1974, Kathy Kozachenko became the first openly lesbian woman voted into office in Ann Arbor, Michigan. In 1977, Harvey Milk became California’s first openly gay man elected to public office, although his service on San Francisco’s board of supervisors, along with that of San Francisco mayor George Moscone, was cut short by the bullet of disgruntled former city supervisor Dan White. MAYBE NOT NOW The feminist push for greater rights continued through the 1970s (Figure). The media often ridiculed feminists as “women’s libbers” and focused on more radical organizations like W.I.T.C.H. (Women’s International Terrorist Conspiracy from Hell), a loose association of activist groups. Many reporters stressed the most unusual goals of the most radical women—calls for the abolition of marriage and demands that manholes be renamed “personholes.” The majority of feminists, however, sought meaningful accomplishments. In the 1970s, they opened battered women’s shelters and successfully fought for protection from employment discrimination for pregnant women, reform of rape laws (such as the abolition of laws requiring a witness to corroborate a woman’s report of rape), criminalization of domestic violence, and funding for schools that sought to counter sexist stereotypes of women. In 1973, the U.S. Supreme Court in Roe v. Wade affirmed a number of state laws under which abortions obtained during the first three months of pregnancy were legal. This made a nontherapeutic abortion a legal medical procedure nationwide. Many advances in women’s rights were the result of women’s greater engagement in politics. For example, Patsy Mink, the first Asian American woman elected to Congress, was the co-author of the Education Amendments Act of 1972, Title IX of which prohibits sex discrimination in education. Mink had been interested in fighting discrimination in education since her youth, when she opposed racial segregation in campus housing while a student at the University of Nebraska. She went to law school after being denied admission to medical school because of her gender. Like Mink, many other women sought and won political office, many with the help of the National Women’s Political Caucus (NWPC). In 1971, the NWPC was formed by Bella Abzug, Gloria Steinem, Shirley Chisholm, and other leading feminists to encourage women’s participation in political parties, elect women to office, and raise money for their campaigns (Figure). The ultimate political goal of the National Organization for Women (NOW) was the passage of an Equal Rights Amendment (ERA). The amendment passed Congress in March 1972, and was sent to the states for ratification with a deadline of seven years for passage; if the amendment was not ratified by thirty-eight states by 1979, it would die. Twenty-two states ratified the ERA in 1972, and eight more in 1973. In the next two years, only four states voted for the amendment. In 1979, still four votes short, the amendment received a brief reprieve when Congress agreed to a three-year extension, but it never passed, as the result of the well-organized opposition of Christian and other socially conservative, grassroots organizations. Section Summary In the late 1960s and 1970s, Indians, gays and lesbians, and women organized to change discriminatory laws and pursue government support for their interests, a strategy known as identity politics. Others, disenchanted with the status quo, distanced themselves from white, middle-class America by forming their own countercultures centered on a desire for peace, the rejection of material goods and traditional morality, concern for the environment, and drug use in pursuit of spiritual revelations. These groups, whose aims and tactics posed a challenge to the existing state of affairs, often met with hostility from individuals, local officials, and the U.S. government alike. Still, they persisted, determined to further their goals and secure for themselves the rights and privileges to which they were entitled as American citizens. Review Questions One of the original founders of AIM was ________. - Patsy Mink - Dennis Banks - Jerry Rubin - Glenn Weiser Hint: B The Supreme Court’s 1973 decision in Roe v. Wade established that ________. - abortions obtained during the first three months of pregnancy were legal - witnesses were not required to corroborate a charge of rape - marriage could not be abolished - homosexuality was a mental illness Hint: A What kinds of values did hippies adopt? Hint: Although hippie culture was not entirely homogenous, many hippies desired peace, rejected traditional social values, and sought to live a nonmaterialistic existence close to nature. Many also used drugs both recreationally and as a way to achieve greater spiritual insight.	oercommons	2025-03-18T00:38:52.299577	null	{ "license": "Creative Commons - Attribution - https://creativecommons.org/licenses/by/4.0/", "url": "https://oercommons.org/courseware/lesson/15552/overview", "title": "U.S. History, Political Storms at Home and Abroad, 1968-1980", "author": null }
https://oercommons.org/courseware/lesson/15553/overview	Coming Apart, Coming Together Overview By the end of this section, you will be able to: - Explain the factors responsible for Richard Nixon’s election in 1968 - Describe the splintering of the Democratic Party in 1968 - Discuss Richard Nixon’s economic policies - Discuss the major successes of Richard Nixon’s foreign policy The presidential election of 1968 revealed a rupture of the New Deal coalition that had come together under Franklin Roosevelt in the 1930s. The Democrats were divided by internal dissension over the Vietnam War, the civil rights movement, and the challenges of the New Left. Meanwhile, the Republican candidate, Richard Nixon, won voters in the South, Southwest, and northern suburbs by appealing to their anxieties about civil rights, women’s rights, antiwar protests, and the counterculture taking place around them. Nixon spent his first term in office pushing measures that slowed the progress of civil rights and sought to restore economic stability. His greatest triumphs were in foreign policy. But his largest priority throughout his first term was his reelection in 1972. THE “NEW NIXON” The Republicans held their 1968 national convention from August 5–8 in Miami, Florida. Richard Nixon quickly emerged as the frontrunner for the nomination, ahead of Nelson Rockefeller and Ronald Reagan. This success was not accidental: From 1962, when he lost his bid for the governorship of California, to 1968, Nixon had been collecting political credits by branding himself as a candidate who could appeal to mainstream voters and by tirelessly working for other Republican candidates. In 1964, for example, he vigorously supported Barry Goldwater’s presidential bid and thus built good relationships with the new conservative movement in the Republican Party. Although Goldwater lost the 1964 election, his vigorous rejection of New Deal state and social legislation, along with his support of states’ rights, proved popular in the Deep South, which had resisted federal efforts at racial integration. Taking a lesson from Goldwater’s experience, Nixon also employed a southern strategy in 1968. Denouncing segregation and the denial of the vote to African Americans, he nevertheless maintained that southern states be allowed to pursue racial equality at their own pace and criticized forced integration. Nixon thus garnered the support of South Carolina’s senior senator and avid segregationist Strom Thurmond, which helped him win the Republican nomination on the first ballot. Nixon also courted northern, blue-collar workers, whom he later called the silent majority, to acknowledge their belief that their voices were seldom heard. These voters feared the social changes taking place in the country: Antiwar protests challenged their own sense of patriotism and civic duty, whereas the recreational use of new drugs threatened their cherished principles of self-discipline, and urban riots invoked the specter of a racial reckoning. Government action on behalf of the marginalized raised the question of whether its traditional constituency—the white middle class—would lose its privileged place in American politics. Some felt left behind as the government turned to the problems of African Americans. Nixon’s promises of stability and his emphasis on law and order appealed to them. He portrayed himself as a fervent patriot who would take a strong stand against racial unrest and antiwar protests. Nixon harshly critiqued Lyndon Johnson’s Great Society, and he promised a secret plan to end the war in Vietnam honorably and bring home the troops. He also promised to reform the Supreme Court, which he contended had gone too far in “coddling criminals.” Under Chief Justice Earl Warren, the court had used the due process and equal protection clauses of the Fourteenth Amendment to grant those accused under state law the ability to defend themselves and secure protections against unlawful search and seizure, cruel and unusual punishment, and self-incrimination. Nixon had found the political capital that would ensure his victory in the suburbs, which produced more votes than either urban or rural areas. He championed “middle America,” which was fed up with social convulsions, and called upon the country to come together. His running mate, Spiro T. Agnew, a former governor of Maryland, blasted the Democratic ticket as fiscally irresponsible and “soft on communism.” Nixon and Agnew’s message thus appealed to northern middle-class and blue-collar whites as well as southern whites who had fled to the suburbs in the wake of the Supreme Court’s pro-integration decision in Brown v. Board of Education (Figure). DEMOCRATS IN DISARRAY By contrast, in early 1968, the political constituency that Lyndon Johnson had cobbled together to win the presidency in 1964 seemed to be falling apart. When Eugene McCarthy, the Democratic senator from Minnesota, announced that he would challenge Johnson in the primaries in an explicitly antiwar campaign, Johnson was overwhelmingly favored by Democratic voters. But then the Tet Offensive in Vietnam exploded on American television screens on January 31, playing out on the nightly news for weeks. On February 27, Walter Cronkite, a highly respected television journalist, offered his opinion that the war in Vietnam was unwinnable. When the votes were counted in New Hampshire on March 12, McCarthy had won twenty of the state’s twenty-four delegates. McCarthy’s popularity encouraged Robert (Bobby) Kennedy to also enter the race. Realizing that his war policies could unleash a divisive fight within his own party for the nomination, Johnson announced his withdrawal on March 31, fracturing the Democratic Party. One faction consisted of the traditional party leaders who appealed to unionized, blue-collar constituents and white ethnics (Americans with recent European immigrant backgrounds). This group fell in behind Johnson’s vice president, Hubert H. Humphrey, who took up the mainstream party’s torch almost immediately after Johnson’s announcement. The second group consisted of idealistic young activists who had slogged through the snows of New Hampshire to give McCarthy a boost and saw themselves as the future of the Democratic Party. The third group, composed of Catholics, African Americans and other minorities, and some of the young, antiwar element, galvanized around Robert Kennedy (Figure). Finally, there were the southern Democrats, the Dixiecrats, who opposed the advances made by the civil rights movement. Some found themselves attracted to the Republican candidate Richard Nixon. Many others, however, supported the third-party candidacy of segregationist George C. Wallace, the former governor of Alabama. Wallace won close to ten million votes, which was 13.5 percent of all votes cast. He was particularly popular in the South, where he carried five states and received forty-six Electoral College votes. Kennedy and McCarthy fiercely contested the remaining primaries of the 1968 season. There were only fifteen at that time. McCarthy beat Kennedy handily in Wisconsin, Pennsylvania, and Massachusetts. Kennedy took Indiana and Nebraska before losing Oregon to McCarthy. Kennedy’s only hope was that a strong enough showing in the California primary on June 4 might swing uncommitted delegates his way. He did manage to beat McCarthy, winning 46 percent of the vote to McCarthy’s 42 percent, but it was a fruitless victory. As he attempted to exit the Ambassador Hotel in Los Angeles after his victory speech, Kennedy was shot; he died twenty-six hours later. His killer, Sirhan B. Sirhan, a Jordanian immigrant, had allegedly targeted him for advocating military support for Israel in its conflict with neighboring Arab states. Going into the nominating convention in Chicago in 1968, Humphrey, who promised to pursue the “Politics of Joy,” seemed clearly in command of the regular party apparatus. But the national debates over civil rights, student protests, and the Vietnam War had made 1968 a particularly anguished year, and many people felt anything but joyful. Some party factions hoped to make their voices heard; others wished to disrupt the convention altogether. Among them were antiwar protestors, hippies, and Yippies—members of the leftist, anarchistic Youth International Party organized by Jerry Rubin and Abbie Hoffman—who called for the establishment of a new nation consisting of cooperative institutions to replace those currently in existence. To demonstrate their contempt for “the establishment” and the proceedings inside the hall, the Yippies nominated a pig named Pigasus for president. A chaotic scene developed inside the convention hall and outside at Grant Park, where the protesters camped. Chicago’s mayor, Richard J. Daley, was anxious to demonstrate that he could maintain law and order, especially because several days of destructive rioting had followed the murder of Martin Luther King, Jr. earlier that year. He thus let loose a force of twelve thousand police officers, six thousand members of the Illinois National Guard, and six thousand U.S. Army soldiers. Television cameras caught what later became known as a “police riot”: Armed officers made their way into crowds of law-abiding protesters, clubbing anyone they encountered and setting off tear gas canisters. The protesters fought back. Inside the convention hall, a Democratic senator from Connecticut called for adjournment, whereas other delegates insisted on proceeding. Ironically, Hubert Humphrey received the nomination and gave an acceptance speech in which he spoke in support of “law and order.” When the convention ended, Rubin, Hoffman, and five other protesters (called the “Chicago Seven”) were placed on trial for inciting a riot (Figure). Listen to Yippie activist Jerry Rubin’s 1970 interview with Cleveland news journalist Dorothy Fuldheim. THE DOMESTIC NIXON The images of violence and the impression of things spinning out of control seriously damaged Humphrey’s chances for victory. Many liberals and young antiwar activists, disappointed by his selection over McCarthy and still shocked by the death of Robert Kennedy, did not vote for Humphrey. Others turned against him because of his failure to chastise the Chicago police for their violence. Some resented the fact that Humphrey had received 1,759 delegates on the first ballot at the convention, nearly three times the number won by McCarthy, even though in the primaries, he had received only 2 percent of the popular vote. Many loyal Democratic voters at home, shocked by the violence they saw on television, turned away from their party, which seemed to have attracted dangerous “radicals,” and began to consider Nixon’s promises of law and order. As the Democratic Party collapsed, Nixon successfully campaigned for the votes of both working- and middle-class white Americans, winning the 1968 election. Although Humphrey received nearly the same percentage of the popular vote, Nixon easily won the Electoral College, gaining 301 votes to Humphrey’s 191 and Wallace’s 46. Once elected, Nixon began to pursue a policy of deliberate neglect of the civil rights movement and the needs of ethnic minorities. For example, in 1969, for the first time in fifteen years, federal lawyers sided with the state of Mississippi when it sought to slow the pace of school desegregation. Similarly, Nixon consistently showed his opposition to busing to achieve racial desegregation. He saw that restricting African American activity was a way of undercutting a source of votes for the Democratic Party and sought to overhaul the provisions of the Voting Rights Act of 1965. In March 1970, he commented that he did not believe an “open” America had to be homogeneous or fully integrated, maintaining that it was “natural” for members of ethnic groups to live together in their own enclaves. In other policy areas, especially economic ones, Nixon was either moderate or supportive of the progress of African Americans; for example, he expanded affirmative action, a program begun during the Johnson administration to improve employment and educational opportunities for racial minorities. Although Nixon always kept his eye on the political environment, the economy required attention. The nation had enjoyed seven years of expansion since 1961, but inflation (a general rise in prices) was threatening to constrict the purchasing power of the American consumer and therefore curtail economic expansion. Nixon tried to appeal to fiscal conservatives in the Republican Party, reach out to disaffected Democrats, and, at the same time, work with a Democratic Party-controlled Congress. As a result, Nixon’s approach to the economy seemed erratic. Despite the heavy criticisms he had leveled against the Great Society, he embraced and expanded many of its features. In 1969, he signed a tax bill that eliminated the investment tax credit and moved some two million of the poorest people off the tax rolls altogether. He federalized the food stamp program and established national eligibility requirements, and signed into law the automatic adjustments for inflation of Social Security payments. On the other hand, he won the praise of conservatives with his “New Federalism”—drastically expanding the use of federal “block grants” to states to spend as they wished without strings attached. By mid-1970, a recession was beginning and unemployment was 6.2 percent, twice the level under Johnson. After earlier efforts at controlling inflation with controlled federal spending—economists assumed that reduced federal spending and borrowing would curb the amount of money in circulation and stabilize prices—Nixon proposed a budget with an $11 billion deficit in 1971. The hope was that more federal funds in the economy would stimulate investment and job creation. When the unemployment rate refused to budge the following year, he proposed a budget with a $25 billion deficit. At the same time, he tried to fight continuing inflation by freezing wages and prices for ninety days, which proved to be only a temporary fix. The combination of unemployment and rising prices posed an unfamiliar challenge to economists whose fiscal policies of either expanding or contracting federal spending could only address one side of the problem at the cost of the other. This phenomenon of “stagflation”—a term that combined the economic conditions of stagnation and inflation—outlived the Nixon administration, enduring into the early 1980s. The origins of the nation’s new economic troubles were not just a matter of policy. Postwar industrial development in Asia and Western Europe—especially in Germany and Japan—had created serious competition to American businesses. By 1971, American appetites for imports left foreign central banks with billions of U.S. currency, which had been fixed to gold in the international monetary and trade agreement of Bretton Woods back in 1944. When foreign dollar holdings exceeded U.S. gold reserves in 1971, President Nixon allowed the dollar to flow freely against the price of gold. This caused an immediate 8 percent devaluation of the dollar, made American goods cheaper abroad, and stimulated exports. Nixon’s move also marked the beginning of the end of the dollar’s dominance in international trade. The situation was made worse in October 1973, when Syria and Egypt jointly attacked Israel to recover territory that had been lost in 1967, starting the Yom Kippur War. The Soviet Union significantly aided its allies, Egypt and Syria, and the United States supported Israel, earning the enmity of Arab nations. In retaliation, the Organization of Arab Petroleum Exporting Countries (OAPEC) imposed an embargo on oil shipments to the United States from October 1973 to March 1974. The ensuing shortage of oil pushed its price from three dollars a barrel to twelve dollars a barrel. The average price of gasoline in the United States shot from thirty-eight cents a gallon before the embargo to fifty-five cents a gallon in June 1974, and the prices of other goods whose manufacture and transportation relied on oil or gas also rose and did not come down. The oil embargo had a lasting impact on the economy and underscored the nation’s interdependency with international political and economic developments. Faced with high fuel prices, American consumers panicked. Gas stations limited the amount customers could purchase and closed on Sundays as supplies ran low (Figure). To conserve oil, Congress reduced the speed limit on interstate highways to fifty-five miles per hour. People were asked to turn down their thermostats, and automobile manufacturers in Detroit explored the possibility of building more fuel-efficient cars. Even after the embargo ended, prices continued to rise, and by the end of the Nixon years in 1974, inflation had soared to 12.2 percent. Although Nixon’s economic and civil rights policies differed from those of his predecessors, in other areas, he followed their lead. President Kennedy had committed the nation to putting a man on the moon before the end of the decade. Nixon, like Johnson before him, supported significant budget allocations to the National Aeronautics and Space Administration (NASA) to achieve this goal. On July 20, 1969, hundreds of millions of people around the world watched as astronauts Neil Armstrong and Edwin “Buzz” Aldrin walked on the surface of the moon and planted the U.S. flag. Watching from the White House, President Nixon spoke to the astronauts via satellite phone. The entire project cost the American taxpayer some $25 billion, approximately 4 percent of the nation’s gross national product, and was such a source of pride for the nation that the Soviet Union and China refused to televise it. Coming amid all the struggles and crises that the country was enduring, the moon landing gave citizens a sense of accomplishment that stood in stark contrast to the foreign policy failures, growing economic challenges, and escalating divisions at home. NIXON THE DIPLOMAT Despite the many domestic issues on Nixon’s agenda, he prioritized foreign policy and clearly preferred bold and dramatic actions in that arena. Realizing that five major economic powers—the United States, Western Europe, the Soviet Union, China, and Japan—dominated world affairs, he sought opportunities for the United States to pit the others against each other. In 1969, he announced a new Cold War principle known as the Nixon Doctrine, a policy whereby the United States would continue to assist its allies but would not assume the responsibility of defending the entire non-Communist world. Other nations, like Japan, needed to assume more of the burden of defending themselves. Playing what was later referred to as “the China card,” Nixon abruptly reversed two decades of U.S. diplomatic sanctions and hostility to the Communist regime in the People’s Republic of China, when he announced, in August 1971, that he would personally travel to Beijing and meet with China’s leader, Chairman Mao Zedong, in February 1972 (Figure). Nixon hoped that opening up to the Chinese government would prompt its bitter rival, the Soviet Union, to compete for global influence and seek a more productive relationship with the United States. He also hoped that establishing a friendly relationship with China would isolate North Vietnam and ease a peace settlement, allowing the United States to extract its troops from the war honorably. Concurring that the Soviet Union should be restrained from making advances in Asia, Nixon and Chinese premier Zhou Enlai agreed to disagree on several issues and ended up signing a friendship treaty. They promised to work towards establishing trade between the two nations and to eventually establishing full diplomatic relations with each other. Continuing his strategy of pitting one Communist nation against another, in May 1972, Nixon made another newsworthy trip, traveling to Moscow to meet with the Soviet leader Leonid Brezhnev. The two discussed a policy of détente, a relaxation of tensions between their nations, and signed the Strategic Arms Limitation Treaty (SALT), which limited each side to deploying only two antiballistic missile systems. It also limited the number of nuclear missiles maintained by each country. In 1974, a protocol was signed that reduced antiballistic missile sites to one per country, since neither country had yet begun to build its second system. Moreover, the two sides signed agreements to allow scientific and technological exchanges, and promised to work towards a joint space mission. Section Summary When a new Republican constituency of moderate southerners and northern, blue-collar workers voted Richard Nixon into the White House in 1968, many were hopeful. In the wake of antiwar and civil rights protests, and the chaos of the 1968 Democratic National Convention, many Americans welcomed Nixon’s promise to uphold law and order. During his first term, Nixon strode a moderate, middle path in domestic affairs, attempting with little success to solve the problems of inflation and unemployment through a combination of austerity and deficit spending. He made substantial progress in foreign policy, however, establishing diplomatic relations with China for the first time since the Communist Revolution and entering into a policy of détente with the Soviet Union. Review Questions President Nixon took a bold diplomatic step in early 1972 when he ________. - went to Vienna - declared the Vietnam War over - met with Chinese leaders in Beijing - signed the Glasgow Accords Hint: C The blue-collar workers who Nixon called “the silent majority” ________. - fled to the suburbs to avoid integration - wanted to replace existing social institutions with cooperatives - opposed the war in Vietnam - believed their opinions were overlooked in the political process Hint: D What caused the rifts in the Democratic Party in the 1968 election? Hint: Many Democrats disliked the fact that Hubert Humphrey had won the Party’s nomination, even though he had done poorly in all the primaries. In November, many who had supported antiwar candidates Eugene McCarthy and the late Robert Kennedy refused to vote. Others voted for segregationist George Wallace. Some working-class Democrats also voted for Richard Nixon.	oercommons	2025-03-18T00:38:52.330887	null	{ "license": "Creative Commons - Attribution - https://creativecommons.org/licenses/by/4.0/", "url": "https://oercommons.org/courseware/lesson/15553/overview", "title": "U.S. History, Political Storms at Home and Abroad, 1968-1980", "author": null }
https://oercommons.org/courseware/lesson/15554/overview	Vietnam: The Downward Spiral Overview By the end of this section, you will be able to: - Describe the events that fueled antiwar sentiment in the Vietnam era - Explain Nixon’s steps to withdraw the United States from the conflict in South Vietnam As early as 1967, critics of the war in Vietnam had begun to call for the repeal of the Gulf of Tonkin Resolution, which gave President Johnson the authority to conduct military operations in Vietnam in defense of an ally, South Vietnam. Nixon initially opposed the repeal efforts, claiming that doing so might have consequences that reached far beyond Vietnam. Nevertheless, by 1969, he was beginning troop withdrawals from Vietnam while simultaneously looking for a “knockout blow” against the North Vietnamese. In sum, the Nixon administration was in need of an exit strategy. The escalation of the war, however, made an easy withdrawal increasingly difficult. Officially, the United States was the ally and partner of the South Vietnamese, whose “hearts and minds” it was trying to win through a combination of military assistance and economic development. In reality, however, U.S. soldiers, who found themselves fighting in an inhospitable environment thousands of miles from home to protect people who often resented their presence and aided their enemies, came to regard the Vietnamese as backward, cowardly people and the government of South Vietnam as hopelessly inefficient and corrupt. Instead of winning “hearts and minds,” U.S. warfare in Vietnam cost the lives and limbs of U.S. troops and millions of Vietnamese combatants and civilians (Figure). For their part, the North Vietnamese forces and the National Liberation Front in South Vietnam also used brutal tactics to terrorize and kill their opponents or effectively control their territory. Political assassinations and forced indoctrination were common. Captured U.S. soldiers frequently endured torture and imprisonment. MY LAI Racism on the part of some U.S. soldiers and a desire to retaliate against those they perceived to be responsible for harming U.S. troops affected the conduct of the war. A war correspondent who served in Vietnam noted, “In motivating the GI to fight by appealing to his racist feelings, the United States military discovered that it had liberated an emotion over which it was to lose control.” It was not unusual for U.S. soldiers to evacuate and burn villages suspected of shielding Viet Cong fighters, both to deprive the enemy of potential support and to enact revenge for enemy brutality. Troops shot at farmers’ water buffalo for target practice. American and South Vietnamese use of napalm, a jellied gasoline that sticks to the objects it burns, was common. Originally developed to burn down structures during World War II, in Vietnam, it was directed against human beings as well, as had occurred during the Korean War. Vietnam Veterans against the War Statement Many U.S. soldiers disapproved of the actions of their fellow troops. Indeed, a group of Vietnam veterans formed the organization Vietnam Veterans Against the War (VVAW). Small at first, it grew to perhaps as many as twenty thousand members. In April 1971, John Kerry, a former lieutenant in the U.S. Navy and a member of VVAW, testified before the U.S. Senate Committee on Foreign Relations about conditions in Vietnam based on his personal observations: I would like to talk on behalf of all those veterans and say that several months ago in Detroit we had an investigation at which over 150 honorably discharged, and many very highly decorated, veterans testified to war crimes committed in Southeast Asia. These were not isolated incidents but crimes committed on a day-to-day basis with the full awareness of officers at all levels of command. . . . They relived the absolute horror of what this country, in a sense, made them do. They told stories that at times they had personally raped, cut off ears, cut off heads . . . randomly shot at civilians, razed villages . . . and generally ravaged the countryside of South Vietnam in addition to the normal ravage of war and the normal and very particular ravaging which is done by the applied bombing power of this country. . . . We could come back to this country, we could be quiet, we could hold our silence, we could not tell what went on in Vietnam, but we feel because of what threatens this country, not the reds [Communists], but the crimes which we are committing that threaten it, that we have to speak out. —John Kerry, April 23, 1971 In what way did the actions of U.S. soldiers in Vietnam threaten the United States? On March 16, 1968, men from the U.S. Army’s Twenty-Third Infantry Division committed one of the most notorious atrocities of the war. About one hundred soldiers commanded by Captain Ernest Medina were sent to destroy the village of My Lai, which was suspected of hiding Viet Cong fighters. Although there was later disagreement regarding the captain’s exact words, the platoon leaders believed the order to destroy the enemy included killing women and children. Having suffered twenty-eight casualties in the past three months, the men of Charlie Company were under severe stress and extremely apprehensive as they approached the village. Two platoons entered it, shooting randomly. A group of seventy to eighty unarmed people, including children and infants, were forced into an irrigation ditch by members of the First Platoon under the command of Lt. William L. Calley, Jr. Despite their proclamations of innocence, the villagers were shot (Figure). Houses were set on fire, and as the inhabitants tried to flee, they were killed with rifles, machine guns, and grenades. The U.S. troops were never fired upon, and one soldier later testified that he did not see any man who looked like a Viet Cong fighter. The precise number of civilians killed that day is unclear: The numbers range from 347 to 504. None were armed. Although not all the soldiers in My Lai took part in the killings, no one attempted to stop the massacre before the arrival by helicopter of Warrant Officer Hugh Thompson, who, along with his crew, attempted to evacuate women and children. Upon returning to his base, Thompson immediately reported the events taking place at My Lai. Shortly thereafter, Medina ordered Charlie Company to cease fire. Although Thompson’s crewmembers confirmed his account, none of the men from Charlie Company gave a report, and a cover-up began almost immediately. The army first claimed that 150 people, the majority of them Viet Cong, had been killed during a firefight with Charlie Company. Hearing details from friends in Charlie Company, a helicopter gunner by the name of Ron Ridenhour began to conduct his own investigation and, in April 1969, wrote to thirty members of Congress, demanding an investigation. By September 1969, the army charged Lt. Calley with premeditated murder. Many Americans were horrified at the graphic footage of the massacre; the incident confirmed their belief that the war was unjust and not being fought on behalf of the Vietnamese people. However, nearly half of the respondents to a Minnesota poll did not believe that the incident at My Lai had actually happened. U.S. soldiers could not possibly do such horrible things, they felt; they were certain that American goals in Vietnam were honorable and speculated that the antiwar movement had concocted the story to generate sympathy for the enemy. Calley was found guilty in March 1971, and sentenced to life in prison. Nationwide, hundreds of thousands of Americans joined a “Free Calley” campaign. Two days later, President Nixon released him from custody and placed him under him house arrest at Fort Benning, Georgia. In August of that same year, Calley’s sentence was reduced to twenty years, and in September 1974, he was paroled. The only soldier convicted in the massacre, he spent a total of three-and-a-half years under house arrest for his crimes. BATTLES AT HOME As the conflict wore on and reports of brutalities increased, the antiwar movement grew in strength. To take the political pressure off himself and his administration, and find a way to exit Vietnam “with honor,” Nixon began the process of Vietnamization, turning more responsibility for the war over to South Vietnamese forces by training them and providing American weaponry, while withdrawing U.S. troops from the field. At the same time, however, Nixon authorized the bombing of neighboring Cambodia, which had declared its neutrality, in an effort to destroy North Vietnamese and Viet Cong bases within that country and cut off supply routes between North and South Vietnam. The bombing was kept secret from both Congress and the American public. In April 1970, Nixon decided to follow up with an invasion of Cambodia. The invasion could not be kept secret, and when Nixon announced it on television on April 30, 1970, protests sprang up across the country. The most tragic and politically damaging occurred on May 1, 1970, at Kent State University in Ohio. Violence erupted in the town of Kent after an initial student demonstration on campus, and the next day, the mayor asked Ohio’s governor to send in the National Guard. Troops were sent to the university’s campus, where students had set fire to the ROTC building and were fighting off firemen and policemen trying to extinguish it. The National Guard used teargas to break up the demonstration, and several students were arrested (Figure). Tensions came to a head on May 4. Although campus officials had called off a planned demonstration, some fifteen hundred to two thousand students assembled, throwing rocks at a security officer who ordered them to leave. Seventy-seven members of the National Guard, with bayonets attached to their rifles, approached the students. After forcing most of them to retreat, the troops seemed to depart. Then, for reasons that are still unknown, they halted and turned; many began to fire at the students. Nine students were wounded; four were killed. Two of the dead had simply been crossing campus on their way to class. Peace was finally restored when a faculty member pleaded with the remaining students to leave. Read the New York Times account of the shootings at Kent State University and view (under the headline) one of the most iconic photographs in American history. News of the Kent State shootings shocked students around the country. Millions refused to attend class, as strikes were held at hundreds of colleges and high schools across the United States. On May 8, an antiwar protest took place in New York City, and the next day, 100,000 protesters assembled in Washington, DC. Not everyone sympathized with the slain students, however. Nixon had earlier referred to student demonstrators as “bums,” and construction workers attacked the New York City protestors. A Gallup poll revealed that most Americans blamed the students for the tragic events at Kent State. On May 15, a similar tragedy took place at Jackson State College, an African American college in Jackson, Mississippi. Once again, students gathered on campus to protest the invasion of Cambodia, setting fires and throwing rocks. The police arrived to disperse the protesters, who had gathered outside a women’s dormitory. Shortly after midnight, the police opened fire with shotguns. The dormitory windows shattered, showering people with broken glass. Twelve were wounded, and two young men, one a student at the college and the other a local high school student, were killed. PULLING OUT OF THE QUAGMIRE Ongoing protests, campus violence, and the expansion of the war into Cambodia deeply disillusioned Americans about their role in Vietnam. Understanding the nation’s mood, Nixon dropped his opposition to a repeal of the Gulf of Tonkin Resolution of 1964. In January 1971, he signed Congress’s revocation of the notorious blanket military authorization. Gallup polls taken in May of that year revealed that only 28 percent of the respondents supported the war; many felt it was not only a mistake but also immoral. Just as influential as antiwar protests and campus violence in turning people against the war was the publication of documents the media dubbed the Pentagon Papers in June 1971. These were excerpts from a study prepared during the Johnson administration that revealed the true nature of the conflict in Vietnam. The public learned for the first time that the United States had been planning to oust Ngo Dinh Diem from the South Vietnamese government, that Johnson meant to expand the U.S. role in Vietnam and bomb North Vietnam even as he stated publicly that he had no intentions of doing so, and that his administration had sought to deliberately provoke North Vietnamese attacks in order to justify escalating American involvement. Copies of the study had been given to the New York Times and other newspapers by Daniel Ellsberg, one of the military analysts who had contributed to it. To avoid setting a precedent by allowing the press to publish confidential documents, Nixon’s attorney general, John Mitchell, sought an injunction against the New York Times to prevent its publication of future articles based on the Pentagon Papers. The newspaper appealed. On June 30, 1971, the U.S. Supreme Court held that the government could not prevent the publication of the articles. Realizing that he must end the war but reluctant to make it look as though the United States was admitting its failure to subdue a small Asian nation, Nixon began maneuvering to secure favorable peace terms from the North Vietnamese. Thanks to his diplomatic efforts in China and the Soviet Union, those two nations cautioned North Vietnam to use restraint. The loss of strong support by their patrons, together with intensive bombing of Hanoi and the mining of crucial North Vietnamese harbors by U.S. forces, made the North Vietnamese more willing to negotiate. Nixon’s actions had also won him popular support at home. By the 1972 election, voters again favored his Vietnam policy by a ratio of two to one. On January 27, 1973, Secretary of State Henry Kissinger signed an accord with Le Duc Tho, the chief negotiator for the North Vietnamese, ending American participation in the war. The United States was given sixty days to withdraw its troops, and North Vietnam was allowed to keep its forces in places it currently occupied. This meant that over 100,000 northern soldiers would remain in the South—ideally situated to continue the war with South Vietnam. The United States left behind a small number of military advisors as well as equipment, and Congress continued to approve funds for South Vietnam, but considerably less than in earlier years. So the war continued, but it was clear the South could not hope to defeat the North. As the end was nearing, the United States conducted several operations to evacuate children from the South. On the morning of April 29, 1975, as North Vietnamese and Viet Cong forces moved through the outskirts of Saigon, orders were given to evacuate Americans and South Vietnamese who had supported the United States. Unable to use the airport, helicopters ferried Americans and Vietnamese refugees who had fled to the American embassy to ships off the coast. North Vietnamese forces entered Saigon the next day, and the South surrendered. The war had cost the lives of more than 1.5 million Vietnamese combatants and civilians, as well as over 58,000 U.S. troops. But the war had caused another, more intangible casualty: the loss of consensus, confidence, and a sense of moral high ground in the American political culture. Section Summary As the war in Vietnam raged on, Americans were horrified to hear of atrocities committed by U.S. soldiers, such as the 1968 massacre of villagers at My Lai. To try to end the conflict, Nixon escalated it by bombing Hanoi and invading Cambodia; his actions provoked massive antiwar demonstrations in the United States that often ended in violence, such as the tragic shooting of unarmed student protestors at Kent State University in 1970. The 1971 release of the Pentagon Papers revealed the true nature of the war to an increasingly disapproving and disenchanted public. Secretary of State Henry Kissinger eventually drafted a peace treaty with North Vietnam, and, after handing over responsibility for the war to South Vietnam, the United States withdrew its troops in 1973. South Vietnam surrendered to the North two years later. Review Questions The demonstrations at Kent State University in May 1970 were held to protest what event? - the My Lai massacre - the North Vietnamese invasion of Saigon - the invasion of Cambodia by U.S. forces - the signing of a peace agreement with North Vietnam Hint: C Recognizing that ongoing protests and campus violence reflected a sea change in public opinion about the war, in 1971 Nixon ________. - repealed the Gulf of Tonkin Resolution - postponed the invasion of Cambodia - released the Pentagon Papers - covered up the My Lai massacre Hint: A According to John Kerry, how did many U.S. soldiers treat Vietnamese civilians? Hint: According to John Kerry’s testimony, Vietnamese civilians were often subjected to shocking violence. Soldiers raped, mutilated, shot at, and brutally murdered civilians. Troops also intentionally destroyed Vietnamese villages, well beyond the destruction typically wrought by war.	oercommons	2025-03-18T00:38:52.359800	null	{ "license": "Creative Commons - Attribution - https://creativecommons.org/licenses/by/4.0/", "url": "https://oercommons.org/courseware/lesson/15554/overview", "title": "U.S. History, Political Storms at Home and Abroad, 1968-1980", "author": null }
https://oercommons.org/courseware/lesson/15555/overview	Watergate: Nixon’s Domestic Nightmare Overview By the end of this section, you will be able to: - Describe the actions that Nixon and his confederates took to ensure his reelection in 1972 - Explain the significance of the Watergate crisis - Describe Gerald Ford’s domestic policies and achievements in foreign affairs Feeling the pressure of domestic antiwar sentiment and desiring a decisive victory, Nixon went into the 1972 reelection season having attempted to fashion a “new majority” of moderate southerners and northern, working-class whites. The Democrats, responding to the chaos and failings of the Chicago convention, had instituted new rules on how delegates were chosen, which they hoped would broaden participation and the appeal of the party. Nixon proved unbeatable, however. Even evidence that his administration had broken the law failed to keep him from winning the White House. THE ELECTION OF 1972 Following the 1968 nominating convention in Chicago, the process of selecting delegates for the Democratic National Convention was redesigned. The new rules, set by a commission led by George McGovern, awarded delegates based on candidates’ performance in state primaries (Figure). As a result, a candidate who won no primaries could not receive the party’s nomination, as Hubert Humphrey had done in Chicago. This system gave a greater voice to people who voted in the primaries and reduced the influence of party leaders and power brokers. It also led to a more inclusive political environment in which Shirley Chisholm received 156 votes for the Democratic nomination on the first ballot (Figure). Eventually, the nomination went to George McGovern, a strong opponent of the Vietnam War. Many Democrats refused to support his campaign, however. Working- and middle-class voters turned against him too after allegations that he supported women’s right to an abortion and the decriminalization of drug use. McGovern’s initial support of vice presidential candidate Thomas Eagleton in the face of revelations that Eagleton had undergone electroshock treatment for depression, followed by his withdrawal of that support and acceptance of Eagleton’s resignation, also made McGovern look indecisive and unorganized. Nixon and the Republicans led from the start. To increase their advantage, they attempted to paint McGovern as a radical leftist who favored amnesty for draft dodgers. In the Electoral College, McGovern carried only Massachusetts and Washington, DC. Nixon won a decisive victory of 520 electoral votes to McGovern’s 17. One Democrat described his role in McGovern’s campaign as “recreation director on the Titanic.” HIGH CRIMES AND MISDEMEANORS Nixon’s victory over a Democratic party in disarray was the most remarkable landslide since Franklin D. Roosevelt’s reelection in 1936. But Nixon’s victory was short-lived, however, for it was soon discovered that he and members of his administration had routinely engaged in unethical and illegal behavior during his first term. Following the publication of the Pentagon Papers, for instance, the “plumbers,” a group of men used by the White House to spy on the president’s opponents and stop leaks to the press, broke into the office of Daniel Ellsberg’s psychiatrist to steal Ellsberg’s file and learn information that might damage his reputation. During the presidential campaign, the Committee to Re-Elect the President (CREEP) decided to play “dirty tricks” on Nixon’s opponents. Before the New Hampshire Democratic primary, a forged letter supposedly written by Democratic-hopeful Edmund Muskie in which he insulted French Canadians, one of the state’s largest ethnic groups, was leaked to the press. Men were assigned to spy on both McGovern and Senator Edward Kennedy. One of them managed to masquerade as a reporter on board McGovern’s press plane. Men pretending to work for the campaigns of Nixon’s Democratic opponents contacted vendors in various states to rent or purchase materials for rallies; the rallies were never held, of course, and Democratic politicians were accused of failing to pay the bills they owed. CREEP’s most notorious operation, however, was its break-in at the offices of the Democratic National Committee (DNC) in the Watergate office complex in Washington, DC, as well as its subsequent cover-up. On the evening of June 17, 1972, the police arrested five men inside DNC headquarters (Figure). According to a plan originally proposed by CREEP’s general counsel and White House plumber G. Gordon Liddy, the men were to wiretap DNC telephones. The FBI quickly discovered that two of the men had E. Howard Hunt’s name in their address books. Hunt was a former CIA officer and also one of the plumbers. In the following weeks, yet more connections were found between the burglars and CREEP, and in October 1972, the FBI revealed evidence of illegal intelligence gathering by CREEP for the purpose of sabotaging the Democratic Party. Nixon won his reelection handily in November. Had the president and his reelection team not pursued a strategy of dirty tricks, Richard Nixon would have governed his second term with one of the largest political leads in the twentieth century. In the weeks following the Watergate break-in, Bob Woodward and Carl Bernstein, reporters for The Washington Post, received information from several anonymous sources, including one known to them only as “Deep Throat,” that led them to realize the White House was deeply implicated in the break-in. As the press focused on other events, Woodward and Bernstein continued to dig and publish their findings, keeping the public’s attention on the unfolding scandal. Years later, Deep Throat was revealed to be Mark Felt, then the FBI’s associate director. THE WATERGATE CRISIS Initially, Nixon was able to hide his connection to the break-in and the other wrongdoings alleged against members of CREEP. However, by early 1973, the situation quickly began to unravel. In January, the Watergate burglars were convicted, along with Hunt and Liddy. Trial judge John Sirica was not convinced that all the guilty had been discovered. In February, confronted with evidence that people close to the president were connected to the burglary, the Senate appointed the Watergate Committee to investigate. Ten days later, in his testimony before the Senate Judiciary Committee, L. Patrick Gray, acting director of the FBI, admitted destroying evidence taken from Hunt’s safe by John Dean, the White House counsel, after the burglars were caught. On March 23, 1973, Judge Sirica publicly read a letter from one of the Watergate burglars, alleging that perjury had been committed during the trial. Less than two weeks later, Jeb Magruder, a deputy director of CREEP, admitted lying under oath and indicated that Dean and John Mitchell, who had resigned as attorney general to become the director of CREEP, were also involved in the break-in and its cover-up. Dean confessed, and on April 30, Nixon fired him and requested the resignation of his aides John Ehrlichman and H. R. Haldeman, also implicated. To defuse criticism and avoid suspicion that he was participating in a cover-up, Nixon also announced the resignation of the current attorney general, Richard Kleindienst, a close friend, and appointed Elliott Richardson to the position. In May 1973, Richardson named Archibald Cox special prosecutor to investigate the Watergate affair. Throughout the spring and the long, hot summer of 1973, Americans sat glued to their television screens, as the major networks took turns broadcasting the Senate hearings. One by one, disgraced former members of the administration confessed, or denied, their role in the Watergate scandal. Dean testified that Nixon was involved in the conspiracy, allegations the president denied. In March 1974, Haldeman, Ehrlichman, and Mitchell were indicted and charged with conspiracy. Without evidence clearly implicating the president, the investigation might have ended if not for the testimony of Alexander Butterfield, a low-ranking member of the administration, that a voice-activated recording system had been installed in the Oval Office. The President’s most intimate conversations had been caught on tape. Cox and the Senate subpoenaed them. Listen to excerpts from Nixon’s White House tapes. Some of the recordings are a bit difficult to hear because of static. Transcripts are also available at this site. Nixon, however, refused to hand the tapes over and cited executive privilege, the right of the president to refuse certain subpoenas. When he offered to supply summaries of the conversations, Cox refused. On October 20, 1973, in an event that became known as the Saturday Night Massacre, Nixon ordered Attorney General Richardson to fire Cox. Richardson refused and resigned, as did Deputy Attorney General William Ruckelshaus when confronted with the same order. Control of the Justice Department then fell to Solicitor General Robert Bork, who complied with Nixon’s order. In December, the House Judiciary Committee began its own investigation to determine whether there was enough evidence of wrongdoing to impeach the president. The public was enraged by Nixon’s actions. It seemed as though the president had placed himself above the law. Telegrams flooded the White House. The House of Representatives began to discuss impeachment. In April 1974, when Nixon agreed to release transcripts of the tapes, it was too little, too late (Figure). Yet, while revealing nothing about Nixon’s knowledge of Watergate, the transcripts showed him to be coarse, dishonest, and cruel. At the end of its hearings, in July 1974, the House Judiciary Committee voted to impeach. However, before the full House could vote, the U.S. Supreme Court ordered Nixon to release the actual tapes of his conversations, not just transcripts or summaries. One of the tapes revealed that he had in fact been told about White House involvement in the Watergate break-in shortly after it occurred. In a speech on August 5, 1974, Nixon, pleading a poor memory, accepted blame for the Watergate scandal. Warned by other Republicans that he would be found guilty by the Senate and removed from office, he resigned the presidency on August 8. Nixon’s resignation, which took effect the next day, did not make the Watergate scandal vanish. Instead, it fed a growing suspicion of government felt by many. The events of Vietnam had already showed that the government could not be trusted to protect the interests of the people or tell them the truth. For many, Watergate confirmed these beliefs, and the suffix “-gate” attached to a word has since come to mean a political scandal. FORD NOT A LINCOLN When Gerald R. Ford took the oath of office on August 9, 1974, he understood that his most pressing task was to help the country move beyond the Watergate scandal. His declaration that “Our long national nightmare is over. . . . [O]ur great Republic is a government of laws and not of men” was met with almost universal applause. It was indeed an unprecedented time. Ford was the first vice president chosen under the terms of the Twenty-Fifth Amendment, which provides for the appointment of a vice president in the event the incumbent dies or resigns; Nixon had appointed Ford, a longtime House representative from Michigan known for his honesty, following the resignation of embattled vice president Spiro T. Agnew over a charge of failing to report income—a lenient charge since this income stemmed from bribes he had received as the governor of Maryland. Ford was also the first vice president to take office after a sitting president’s resignation, and the only chief executive never elected either president or vice president. One of his first actions as president was to grant Richard Nixon a full pardon (Figure). Ford thus prevented Nixon’s indictment for any crimes he may have committed in office and ended criminal investigations into his actions. The public reacted with suspicion and outrage. Many were convinced that the extent of Nixon’s wrongdoings would now never been known and he would never be called to account for them. When Ford chose to run for the presidency in 1976, the pardon returned to haunt him. As president, Ford confronted monumental issues, such as inflation, a depressed economy, and chronic energy shortages. He established his policies during his first year in office, despite opposition from a heavily Democratic Congress. In October 1974, he labeled inflation the country’s most dangerous public enemy and sought a grassroots campaign to curtail it by encouraging people to be disciplined in their consuming habits and increase their savings. The campaign was titled “Whip Inflation Now” and was advertised on brightly colored “Win” buttons volunteers were to wear. When recession became the nation’s most serious domestic problem, Ford shifted to measures aimed at stimulating the economy. Still fearing inflation, however, he vetoed a number of nonmilitary appropriations bills that would have increased the already-large budget deficit. Ford’s economic policies ultimately proved unsuccessful. Because of opposition from a Democratic Congress, his foreign policy accomplishments were also limited. When he requested money to assist the South Vietnamese government in its effort to repel North Vietnamese forces, Congress refused. Ford was more successful in other parts of the world. He continued Nixon’s policy of détente with the Soviet Union, and he and Secretary of State Kissinger achieved further progress in the second round of SALT talks. In August 1975, Ford went to Finland and signed the Helsinki Accords with Soviet premier Leonid Brezhnev. This agreement essentially accepted the territorial boundaries that had been established at the end of World War II in 1945. It also exacted a pledge from the signatory nations that they would protect human rights within their countries. Many immigrants to the United States protested Ford’s actions, because it seemed as though he had accepted the status quo and left their homelands under Soviet domination. Others considered it a belated American acceptance of the world as it really was. Section Summary In 1972, President Nixon faced an easy reelection against a Democratic Party in disarray. But even before his landslide victory, evidence had surfaced that the White House was involved in the break-in at the DNC’s headquarters at the Watergate office complex. As the investigation unfolded, the depths to which Nixon and his advisers had sunk became clear. Some twenty-five of Nixon’s aides were indicted for criminal activity, and he became the first president impeached since Andrew Johnson and the first to resign from office. His successor, Gerald Ford, was unable to solve the pressing problems the United States faced or erase the stain of Watergate. Review Questions The agreement Gerald Ford signed with the leader of the Soviet Union that ended the territorial issues remaining from World War II was ________. - the Moscow Communiqué - the Beijing Treaty - the Iceland Protocol - the Helsinki Accords Hint: D Of these figures, who was not indicted following the Watergate break-in and cover-up? - John Mitchell - Bob Woodward - John Ehrlichman - H.R. Haldeman Hint: B In what types of unethical and illegal activities did the White House plumbers and the “dirty tricks” squad engage? Hint: The White House plumbers spied on Nixon’s political opponents and engineered ways to embarrass them. They attempted to locate information with which to discredit Daniel Ellsberg by stealing files from the office of his psychiatrist, and they broke into DNC headquarters in the Watergate complex with the intention of wiretapping the phones.	oercommons	2025-03-18T00:38:52.388930	null	{ "license": "Creative Commons - Attribution - https://creativecommons.org/licenses/by/4.0/", "url": "https://oercommons.org/courseware/lesson/15555/overview", "title": "U.S. History, Political Storms at Home and Abroad, 1968-1980", "author": null }
https://oercommons.org/courseware/lesson/15556/overview	Jimmy Carter in the Aftermath of the Storm Overview By the end of this section, you will be able to: - Explain why Gerald Ford lost the election of 1976 - Describe Jimmy Carter’s domestic and foreign policy achievements - Discuss how the Iranian hostage crisis affected the Carter presidency At his inauguration in January 1977, President Jimmy Carter began his speech by thanking outgoing president Gerald Ford for all he had done to “heal” the scars left by Watergate. American gratitude had not been great enough to return Ford to the Oval Office, but enthusiasm for the new president was not much greater in the new atmosphere of disillusionment with political leaders. Indeed, Carter won his party’s nomination and the presidency largely because the Democratic leadership had been decimated by assassination and the taint of Vietnam, and he had carefully positioned himself as an outsider who could not be blamed for current policies. Ultimately, Carter’s presidency proved a lackluster one that was marked by economic stagnation at home and humiliation overseas. THE ELECTION OF 1976 President Ford won the Republican nomination for the presidency in 1976, narrowly defeating former California governor Ronald Reagan, but he lost the election to his Democratic opponent Jimmy Carter. Carter ran on an “anti-Washington” ticket, making a virtue of his lack of experience in what was increasingly seen as the corrupt politics of the nation’s capital. Accepting his party’s nomination, the former governor of Georgia pledged to combat racism and sexism as well as overhaul the tax structure. He openly proclaimed his faith as a born-again Christian and promised to change the welfare system and provide comprehensive healthcare coverage for neglected citizens who deserved compassion. Most importantly, Jimmy Carter promised that he would “never lie.” Ford’s pardon of Richard Nixon had alienated many Republicans. That, combined with the stagnant economy, cost him votes, and Jimmy Carter, an engineer and former naval officer who portrayed himself as a humble peanut farmer, prevailed, carrying all the southern states, except Virginia and Oklahoma (Figure). Ford did well in the West, but Carter received 50 percent of the popular vote to Ford’s 48 percent, and 297 electoral votes to Ford’s 240. In the mid-1970s, the United States celebrated the two-hundredth anniversary of its independence from Great Britain. Peruse the collection of patriotic bicentennial memorabilia at the Gerald R. Ford Presidential Library. ON THE INSIDE Making a virtue of his lack of political experience, especially in Washington, Jimmy Carter took office with less practical experience in executive leadership and the workings of the national government than any president since Calvin Coolidge. His first executive act was to fulfill a campaign pledge to grant unconditional amnesty to young men who had evaded the draft during the Vietnam War. Despite the early promise of his rhetoric, within a couple of years of his taking office, liberal Democrats claimed Carter was the most conservative Democratic president since Grover Cleveland. In trying to manage the relatively high unemployment rate of 7.5 percent and inflation that had risen into the double digits by 1978, Carter was only marginally effective. His tax reform measure of 1977 was weak and failed to close the grossest of loopholes. His deregulation of major industries, such as aviation and trucking, was intended to force large companies to become more competitive. Consumers benefited in some ways: For example, airlines offered cheaper fares to beat their competitors. However, some companies, like Pan American World Airways, instead went out of business. Carter also expanded various social programs, improved housing for the elderly, and took steps to improve workplace safety. Because the high cost of fuel continued to hinder economic expansion, the creation of an energy program became a central focus of his administration. Carter stressed energy conservation, encouraging people to insulate their houses and rewarding them with tax credits if they did so, and pushing for the use of coal, nuclear power, and alternative energy sources such as solar power to replace oil and natural gas. To this end, Carter created the Department of Energy. CARTER AND A NEW DIRECTION IN FOREIGN AFFAIRS Carter believed that U.S. foreign policy should be founded upon deeply held moral principles and national values. The mission in Vietnam had failed, he argued, because American actions there were contrary to moral values. His dedication to peace and human rights significantly changed the way that the United States conducted its foreign affairs. He improved relations with China, ended military support to Nicaraguan dictator Anastasio Somoza, and helped arrange for the Panama Canal to be returned to Panamanian control in 1999. He agreed to a new round of talks with the Soviet Union (SALT II) and brought Israeli prime minister Menachem Begin and Egyptian president Anwar Sadat to the United States to discuss peace between their countries. Their meetings at Camp David, the presidential retreat in Maryland, led to the signing of the Camp David Accords in September 1978 (Figure). This in turn resulted in the drafting of a historic peace treaty between Egypt and Israel in 1979. Despite achieving many successes in the area of foreign policy, Carter made a more controversial decision in response to the Soviet Union’s 1979 invasion of Afghanistan. In January 1980, he declared that if the USSR did not withdraw its forces, the United States would boycott the 1980 Summer Olympic Games in Moscow. The Soviets did not retreat, and the United States did not send a team to Moscow. Only about half of the American public supported this decision, and despite Carter’s call for other countries to join the boycott, very few did so. HOSTAGES TO HISTORY Carter’s biggest foreign policy problem was the Iranian hostage crisis, whose roots lay in the 1950s. In 1953, the United States had assisted Great Britain in the overthrow of Prime Minister Mohammad Mossadegh, a rival of Mohammad Reza Pahlavi, the shah of Iran. Mossadegh had sought greater Iranian control over the nation’s oil wealth, which was claimed by British companies. Following the coup, the shah assumed complete control of Iran’s government. He then disposed of political enemies and eliminated dissent through the use of SAVAK, a secret police force trained by the United States. The United States also supplied the shah’s government with billions of dollars in aid. As Iran’s oil revenue grew, especially after the 1973 oil embargo against the United States, the pace of its economic development and the size of its educated middle class also increased, and the country became less dependent on U.S. aid. Its population increasingly blamed the United States for the death of Iranian democracy and faulted it for its consistent support of Israel. Despite the shah’s unpopularity among his own people, the result of both his brutal policies and his desire to Westernize Iran, the United States supported his regime. In February 1979, the shah was overthrown when revolution broke out, and a few months later, he departed for the United States for medical treatment. The long history of U.S. support for him and its offer of refuge greatly angered Iranian revolutionaries. On November 4, 1979, a group of Iranian students and activists, including Islamic fundamentalists who wished to end the Westernization and secularization of Iran, invaded the American embassy in Tehran and seized sixty-six embassy employees. The women and African Americans were soon released, leaving fifty-three men as hostages. Negotiations failed to free them, and in April 1980, a rescue attempt fell through when the aircraft sent to transport them crashed. Another hostage was released when he developed serious medical problems. President Carter’s inability to free the other captives hurt his performance in the 1980 elections. The fifty-two men still held in Iran were finally freed on January 20, 1981, the day Ronald Reagan took office as president (Figure). Carter’s handling of the crisis appeared even less effective in the way the media portrayed it publicly. This contributed to a growing sense of malaise, a feeling that the United States’ best days were behind it and the country had entered a period of decline. This belief was compounded by continuing economic problems, and the oil shortage and subsequent rise in prices that followed the Iranian Revolution. The president’s decision to import less oil to the United States and remove price controls on oil and gasoline did not help matters. In 1979, Carter sought to reassure the nation and the rest of the world, especially the Soviet Union, that the United States was still able to defend its interests. To dissuade the Soviets from making additional inroads in southwest Asia, he proposed the Carter Doctrine, which stated that the United States would regard any attempt to interfere with its interests in the Middle East as an act of aggression to be met with force if necessary. Carter had failed to solve the nation’s problems. Some blamed these problems on dishonest politicians; others blamed the problems on the Cold War obsession with fighting Communism, even in small nations like Vietnam that had little influence on American national interests. Still others faulted American materialism. In 1980, a small but growing group called the Moral Majority faulted Carter for betraying his southern roots and began to seek a return to traditional values. Section Summary Jimmy Carter’s administration began with great promise, but his efforts to improve the economy through deregulation largely failed. Carter’s attempt at a foreign policy built on the principle of human rights also prompted much criticism, as did his decision to boycott the Summer Olympics in Moscow. On the other hand, he successfully brokered the beginnings of a historic peace treaty between Egypt and Israel. Remaining public faith in Carter was dealt a serious blow, however, when he proved unable to free the American hostages in Tehran. Review Questions During the 1976 election campaign, Jimmy Carter famously promised ________. - that he would never start a war - that he would never be unfaithful to his wife - that he had never smoked marijuana - that he would never lie Hint: D Carter deregulated several major American industries in an effort to ensure that ________. - companies would become more competitive - airlines would merge - oil prices would rise - consumers would start conserving energy Hint: A What were President Carter’s successes in the area of foreign policy? Hint: Carter succeeded in improving U.S. relations with China and engaged in talks with the Soviet Union regarding limiting nuclear weapons. He called attention to human rights abuses on the parts of foreign governments. Finally, he helped Menachem Begin and Anwar Sadat lay the groundwork for a peace treaty between Israel and Egypt. Critical Thinking Questions What common goals did American Indians, gay and lesbian citizens, and women share in their quests for equal rights? How did their agendas differ? What were the differences and similarities in the tactics they used to achieve their aims? In what ways were the policies of Richard Nixon different from those of his Democratic predecessors John Kennedy and Lyndon Johnson? How were Jimmy Carter’s policies different from those of Nixon? To what degree did foreign policy issues affect politics and the economy in the United States in the late 1960s and 1970s? What events caused voters to lose faith in the political system and the nation’s leaders in the late 1960s and 1970s? In what ways did the goals of the civil rights movement of the 1950s and 1960s manifest themselves in the identity politics of the 1970s?	oercommons	2025-03-18T00:38:52.417574	null	{ "license": "Creative Commons - Attribution - https://creativecommons.org/licenses/by/4.0/", "url": "https://oercommons.org/courseware/lesson/15556/overview", "title": "U.S. History, Political Storms at Home and Abroad, 1968-1980", "author": null }
https://oercommons.org/courseware/lesson/11767/overview	Introduction to Society and Social Interaction It was a school day, and Adriana, who was just entering eighth grade, woke up at 6:15 a.m. Before she got out of bed, she sent three text messages. One was to Jenn, who last year had moved five states away to a different time zone. Even though they now lived far apart, the two friends texted on and off every day. Now Adriana wanted to tell Jenn that she liked the new boots in the photo that Jenn had posted on a social media site last night. Throughout the day, Adriana used her smart phone to send fifty more texts, but she made no phone calls. She even texted her mother in the next room when she had a question about her homework. She kept in close electronic contact with all of her friends on a daily basis. In fact, when she wasn't doing homework or attending class, she was chatting and laughing with her friends via texts, tweets, and social media websites. Her smart phone was her main source of social interaction. We can consider Adriana a typical teenager in the digital age—she constantly communicates with a large group of people who are not confined to one geographical area. This is definitely one of the benefits of new forms of communication: it is cheap and easy, and you can keep in touch with everyone at the same time. However, with these new forms of communication come new forms of societal interaction. As we connect with each other more and more in an online environment, we make less time to interact in person. So the obvious question is this: are these forms of communication good developments in terms of social interaction? Or, if there are negative effects, what will they be? As we shall see, our reliance on electronic communication does have consequences. Beyond popularizing new forms of communication, it also alters the traditional ways in which we deal with conflict, the way we view ourselves in relationship to our surroundings, and the ways in which we understand social status. References Maasai Association. “Facing the Lion.” Retrieved January 4, 2012 (http://www.maasai-association.org/lion.html).	oercommons	2025-03-18T00:38:52.432952	null	{ "license": "Creative Commons - Attribution - https://creativecommons.org/licenses/by/4.0/", "url": "https://oercommons.org/courseware/lesson/11767/overview", "title": "Introduction to Sociology 2e, Society and Social Interaction", "author": null }
https://oercommons.org/courseware/lesson/11768/overview	Types of Societies Overview - Describe the difference between preindustrial, industrial, and postindustrial societies - Understand the role of environment on preindustrial societies - Understand how technology impacts societal development Hunting and gathering tribes, industrialized Japan, Americans—each is a society. But what does this mean? Exactly what is a society? In sociological terms, society refers to a group of people who live in a definable community and share the same culture. On a broader scale, society consists of the people and institutions around us, our shared beliefs, and our cultural ideas. Typically, more-advanced societies also share a political authority. Sociologist Gerhard Lenski (1924–) defined societies in terms of their technological sophistication. As a society advances, so does its use of technology. Societies with rudimentary technology depend on the fluctuations of their environments, while industrialized societies have more control over the impact of their surroundings and thus develop different cultural features. This distinction is so important that sociologists generally classify societies along a spectrum of their level of industrialization—from preindustrial to industrial to postindustrial. Preindustrial Societies Before the Industrial Revolution and the widespread use of machines, societies were small, rural, and dependent largely on local resources. Economic production was limited to the amount of labor a human being could provide, and there were few specialized occupations. The very first occupation was that of hunter-gatherer. Hunter-Gatherer Hunter-gatherer societies demonstrate the strongest dependence on the environment of the various types of preindustrial societies. As the basic structure of human society until about 10,000–12,000 years ago, these groups were based around kinship or tribes. Hunter-gatherers relied on their surroundings for survival—they hunted wild animals and foraged for uncultivated plants for food. When resources became scarce, the group moved to a new area to find sustenance, meaning they were nomadic. These societies were common until several hundred years ago, but today only a few hundred remain in existence, such as indigenous Australian tribes sometimes referred to as “aborigines,” or the Bambuti, a group of pygmy hunter-gatherers residing in the Democratic Republic of Congo. Hunter-gatherer groups are quickly disappearing as the world’s population explodes. Pastoral Changing conditions and adaptations led some societies to rely on the domestication of animals where circumstances permitted. Roughly 7,500 years ago, human societies began to recognize their ability to tame and breed animals and to grow and cultivate their own plants. Pastoral societies, such as the Maasai villagers, rely on the domestication of animals as a resource for survival. Unlike earlier hunter-gatherers who depended entirely on existing resources to stay alive, pastoral groups were able to breed livestock for food, clothing, and transportation, and they created a surplus of goods. Herding, or pastoral, societies remained nomadic because they were forced to follow their animals to fresh feeding grounds. Around the time that pastoral societies emerged, specialized occupations began to develop, and societies commenced trading with local groups. Where Societies Meet—The Worst and the Best When cultures meet, technology can help, hinder, and even destroy. The Exxon Valdez oil spillage in Alaska nearly destroyed the local inhabitant’s entire way of life. Oil spills in the Nigerian Delta have forced many of the Ogoni tribe from their land and forced removal has meant that over 100,000 Ogoni have sought refuge in the country of Benin (University of Michigan, n.d.). And the massive Deepwater Horizon oil spill of 2006 drew great attention as it occurred in what is the most developed country, the United States. Environmental disasters continue as Western technology and its need for energy expands into less developed (peripheral) regions of the globe. Of course not all technology is bad. We take electric light for granted in the United States, Europe, and the rest of the developed world. Such light extends the day and allows us to work, read, and travel at night. It makes us safer and more productive. But regions in India, Africa, and elsewhere are not so fortunate. Meeting the challenge, one particular organization, Barefoot College, located in District Ajmer, Rajasthan, India, works with numerous less developed nations to bring solar electricity, water solutions, and education. The focus for the solar projects is the village elders. The elders agree to select two grandmothers to be trained as solar engineers and choose a village committee composed of men and women to help operate the solar program. The program has brought light to over 450,000 people in 1,015 villages. The environmental rewards include a large reduction in the use of kerosene and in carbon dioxide emissions. The fact that the villagers are operating the projects themselves helps minimize their sense of dependence. Horticultural Around the same time that pastoral societies were on the rise, another type of society developed, based on the newly developed capacity for people to grow and cultivate plants. Previously, the depletion of a region’s crops or water supply forced pastoral societies to relocate in search of food sources for their livestock. Horticultural societies formed in areas where rainfall and other conditions allowed them to grow stable crops. They were similar to hunter-gatherers in that they largely depended on the environment for survival, but since they didn’t have to abandon their location to follow resources, they were able to start permanent settlements. This created more stability and more material goods and became the basis for the first revolution in human survival. Agricultural While pastoral and horticultural societies used small, temporary tools such as digging sticks or hoes, agricultural societies relied on permanent tools for survival. Around 3000 B.C.E., an explosion of new technology known as the Agricultural Revolution made farming possible—and profitable. Farmers learned to rotate the types of crops grown on their fields and to reuse waste products such as fertilizer, which led to better harvests and bigger surpluses of food. New tools for digging and harvesting were made of metal, and this made them more effective and longer lasting. Human settlements grew into towns and cities, and particularly bountiful regions became centers of trade and commerce. This is also the age in which people had the time and comfort to engage in more contemplative and thoughtful activities, such as music, poetry, and philosophy. This period became referred to as the “dawn of civilization” by some because of the development of leisure and humanities. Craftspeople were able to support themselves through the production of creative, decorative, or thought-provoking aesthetic objects and writings. As resources became more plentiful, social classes became more divisive. Those who had more resources could afford better living and developed into a class of nobility. Difference in social standing between men and women increased. As cities expanded, ownership and preservation of resources became a pressing concern. Feudal The ninth century gave rise to feudal societies. These societies contained a strict hierarchical system of power based around land ownership and protection. The nobility, known as lords, placed vassals in charge of pieces of land. In return for the resources that the land provided, vassals promised to fight for their lords. These individual pieces of land, known as fiefdoms, were cultivated by the lower class. In return for maintaining the land, peasants were guaranteed a place to live and protection from outside enemies. Power was handed down through family lines, with peasant families serving lords for generations and generations. Ultimately, the social and economic system of feudalism failed and was replaced by capitalism and the technological advances of the industrial era. Industrial Society In the eighteenth century, Europe experienced a dramatic rise in technological invention, ushering in an era known as the Industrial Revolution. What made this period remarkable was the number of new inventions that influenced people’s daily lives. Within a generation, tasks that had until this point required months of labor became achievable in a matter of days. Before the Industrial Revolution, work was largely person- or animal-based, and relied on human workers or horses to power mills and drive pumps. In 1782, James Watt and Matthew Boulton created a steam engine that could do the work of twelve horses by itself. Steam power began appearing everywhere. Instead of paying artisans to painstakingly spin wool and weave it into cloth, people turned to textile mills that produced fabric quickly at a better price and often with better quality. Rather than planting and harvesting fields by hand, farmers were able to purchase mechanical seeders and threshing machines that caused agricultural productivity to soar. Products such as paper and glass became available to the average person, and the quality and accessibility of education and health care soared. Gas lights allowed increased visibility in the dark, and towns and cities developed a nightlife. One of the results of increased productivity and technology was the rise of urban centers. Workers flocked to factories for jobs, and the populations of cities became increasingly diverse. The new generation became less preoccupied with maintaining family land and traditions and more focused on acquiring wealth and achieving upward mobility for themselves and their families. People wanted their children and their children’s children to continue to rise to the top, and as capitalism increased, so did social mobility. It was during the eighteenth and nineteenth centuries of the Industrial Revolution that sociology was born. Life was changing quickly and the long-established traditions of the agricultural eras did not apply to life in the larger cities. Masses of people were moving to new environments and often found themselves faced with horrendous conditions of filth, overcrowding, and poverty. Social scientists emerged to study the relationship between the individual members of society and society as a whole. It was during this time that power moved from the hands of the aristocracy and “old money” to business-savvy newcomers who amassed fortunes in their lifetimes. Families such as the Rockefellers and the Vanderbilts became the new power players and used their influence in business to control aspects of government as well. Eventually, concerns over the exploitation of workers led to the formation of labor unions and laws that set mandatory conditions for employees. Although the introduction of new technology at the end of the nineteenth century ended the industrial age, much of our social structure and social ideas—like family, childhood, and time standardization—have a basis in industrial society. Postindustrial Society Information societies, sometimes known as postindustrial or digital societies, are a recent development. Unlikeindustrial societies that are rooted in the production of material goods, information societies are based on the production of information and services. Digital technology is the steam engine of information societies, and computer moguls such as Steve Jobs and Bill Gates are its John D. Rockefellers and Cornelius Vanderbilts. Since the economy of information societies is driven by knowledge and not material goods, power lies with those in charge of storing and distributing information. Members of a postindustrial society are likely to be employed as sellers of services—software programmers or business consultants, for example—instead of producers of goods. Social classes are divided by access to education, since without technical skills, people in an information society lack the means for success. Summary Societies are classified according to their development and use of technology. For most of human history, people lived in preindustrial societies characterized by limited technology and low production of goods. After the Industrial Revolution, many societies based their economies around mechanized labor, leading to greater profits and a trend toward greater social mobility. At the turn of the new millennium, a new type of society emerged. This postindustrial, or information, society is built on digital technology and nonmaterial goods. Section Quiz Which of the following fictional societies is an example of a pastoral society? - The Deswan people, who live in small tribes and base their economy on the production and trade of textiles - The Rositian Clan, a small community of farmers who have lived on their family’s land for centuries - The Hunti, a wandering group of nomads who specialize in breeding and training horses - The Amaganda, an extended family of warriors who serve a single noble family Hint: C Which of the following occupations is a person of power most likely to have in an information society? - Software engineer - Coal miner - Children’s book author - Sharecropper Hint: A Which of the following societies were the first to have permanent residents? - Industrial - Hunter-gatherer - Horticultural - Feudal Hint: C Short Answer In which type or types of societies do the benefits seem to outweigh the costs? Explain your answer, and cite social and economic reasons. Is Gerhard Lenski right in classifying societies based on technological advances? What other criteria might be appropriate, based on what you have read? Further Research The Maasai are a modern pastoral society with an economy largely structured around herds of cattle. Read more about the Maasai people and see pictures of their daily lives here: http://openstaxcollege.org/l/The-Maasai References Immigration and Refugee Board of Canada. 2005. “Israel: Treatment of Bedouin, Including Incidents of Harassment, Discrimination or Attacks; State Protection (January 2003–July 2005)”, Refworld, July 29. Retrieved February 10, 2012 (http://www.unhcr.org/refworld/docid/440ed71325.html). Kjeilen, Tore. “Bedouin.” Looklex.com. Retrieved February 17, 2012 (http://looklex.com/index.htm). University of Michigan. n.d. "The Curse of Oil in Ogoniland". Retrieved January 2, 2015 (http://www.umich.edu/~snre492/cases_03-04/Ogoni/Ogoni_case_study.htm).	oercommons	2025-03-18T00:38:52.461477	null	{ "license": "Creative Commons - Attribution - https://creativecommons.org/licenses/by/4.0/", "url": "https://oercommons.org/courseware/lesson/11768/overview", "title": "Introduction to Sociology 2e, Society and Social Interaction", "author": null }
https://oercommons.org/courseware/lesson/11769/overview	Theoretical Perspectives on Society Overview - Describe Durkhiem’s functionalist view of society - Understand the conflict theorist view of society - Explain Marx’s concepts of class and alienation - Identify how symbolic interactionists understand society While many sociologists have contributed to research on society and social interaction, three thinkers form the base of modern-day perspectives. Émile Durkheim, Karl Marx, and Max Weber developed different theoretical approaches to help us understand the way societies function. Émile Durkheim and Functionalism As a functionalist, Émile Durkheim’s (1858–1917) perspective on society stressed the necessary interconnectivity of all of its elements. To Durkheim, society was greater than the sum of its parts. He asserted that individual behavior was not the same as collective behavior and that studying collective behavior was quite different from studying an individual’s actions. Durkheim called the communal beliefs, morals, and attitudes of a society the collective conscience. In his quest to understand what causes individuals to act in similar and predictable ways, he wrote, “If I do not submit to the conventions of society, if in my dress I do not conform to the customs observed in my country and in my class, the ridicule I provoke, the social isolation in which I am kept, produce, although in an attenuated form, the same effects as punishment” (Durkheim 1895). Durkheim also believed thatsocial integration, or the strength of ties that people have to their social groups, was a key factor in social life. Following the ideas of Comte and Spencer, Durkheim likened society to that of a living organism, in which each organ plays a necessary role in keeping the being alive. Even the socially deviant members of society are necessary, Durkheim argued, as punishments for deviance affirm established cultural values and norms. That is, punishment of a crime reaffirms our moral consciousness. “A crime is a crime because we condemn it,” Durkheim wrote in 1893. “An act offends the common consciousness not because it is criminal, but it is criminal because it offends that consciousness” (Durkheim 1893). Durkheim called these elements of society “social facts.” By this, he meant that social forces were to be considered real and existed outside the individual. As an observer of his social world, Durkheim was not entirely satisfied with the direction of society in his day. His primary concern was that the cultural glue that held society together was failing, and people were becoming more divided. In his book The Division of Labor in Society (1893), Durkheim argued that as society grew more complex, social order made the transition from mechanical to organic. Preindustrial societies, Durkheim explained, were held together by mechanical solidarity, a type of social order maintained by the collective consciousness of a culture. Societies with mechanical solidarity act in a mechanical fashion; things are done mostly because they have always been done that way. This type of thinking was common in preindustrial societies where strong bonds of kinship and a low division of labor created shared morals and values among people, such as hunter-gatherer groups. When people tend to do the same type of work, Durkheim argued, they tend to think and act alike. In industrial societies, mechanical solidarity is replaced with organic solidarity, which is social order based around an acceptance of economic and social differences. In capitalist societies, Durkheim wrote, division of labor becomes so specialized that everyone is doing different things. Instead of punishing members of a society for failure to assimilate to common values, organic solidarity allows people with differing values to coexist. Laws exist as formalized morals and are based on restitution rather than revenge. While the transition from mechanical to organic solidarity is, in the long run, advantageous for a society, Durkheim noted that it can be a time of chaos and “normlessness.” One of the outcomes of the transition is something he called social anomie. Anomie—literally, “without law”—is a situation in which society no longer has the support of a firm collective consciousness. Collective norms are weakened. People, while more interdependent to accomplish complex tasks, are also alienated from each other. Anomie is experienced in times of social uncertainty, such as war or a great upturn or downturn in the economy. As societies reach an advanced stage of organic solidarity, they avoid anomie by redeveloping a set of shared norms. According to Durkheim, once a society achieves organic solidarity, it has finished its development. Karl Marx and Conflict Theory Karl Marx (1818–1883) is certainly among the most significant social thinkers in recent history. While there are many critics of his work, it is still widely respected and influential. For Marx, society’s constructions were predicated upon the idea of “base and superstructure.” This term refers to the idea that a society’s economic character forms its base, upon which rests the culture and social institutions, the superstructure. For Marx, it is the base (economy) that determines what a society will be like. Additionally, Marx saw conflict in society as the primary means of change. Economically, he saw conflict existing between the owners of the means of production—the bourgeoisie—and the laborers, called theproletariat. Marx maintained that these conflicts appeared consistently throughout history during times of social revolution. These revolutions or “class antagonisms” as he called them, were a result of one class dominating another. Most recently, with the end of feudalism, a new revolutionary class he called the bourgeoisie dominated the proletariat laborers. The bourgeoisie were revolutionary in the sense that they represented a radical change in the structure of society. In Marx’s words, “Society as a whole is more and more splitting up into two great hostile camps, into two great classes directly facing each other—Bourgeoisie and Proletariat” (Marx and Engels 1848). In the mid-nineteenth century, as industrialization was booming, industrial employers, the "owners of the means of production" in Marx's terms, became more and more exploitative toward the working class. The large manufacturers of steel were particularly ruthless, and their facilities became popularly dubbed “satanic mills” based on a poem by William Blake. Marx’s colleague and friend, Frederick Engels, wrote The Condition of the Working-Class in England in 1844, which described in detail the horrid conditions. Such is the Old Town of Manchester, and on re-reading my description, I am forced to admit that instead of being exaggerated, it is far from black enough to convey a true impression of the filth, ruin, and uninhabitableness, the defiance of all considerations of cleanliness, ventilation, and health which characterise the construction of this single district, containing at least twenty to thirty thousand inhabitants. And such a district exists in the heart of the second city of England, the first manufacturing city of the world. Add to that the long hours, the use of child labor, and exposure to extreme conditions of heat, cold, and toxic chemicals, and it is no wonder that Marx and Engels referred to capitalism, which is a way of organizing an economy so that the things that are used to make and transport products (such as land, oil, factories, ships, etc.) are owned by individual people and companies rather than by the government, as the “dictatorship of the bourgeoisie.” For Marx, what we do defines who we are. In historical terms, in spite of the persistent nature of one class dominating another, some element of humanity existed. There was at least some connection between the worker and the product, augmented by the natural conditions of seasons and the rise and fall of the sun, such as we see in an agricultural society. But with the bourgeoisie revolution and the rise of industry and capitalism, the worker now worked for wages alone. His relationship to his efforts was no longer of a human nature, but based on artificial conditions. Marx described modern society in terms of alienation. Alienation refers to the condition in which the individual is isolated and divorced from his or her society, work, or the sense of self. Marx defined four specific types of alienation. Alienation from the product of one’s labor. An industrial worker does not have the opportunity to relate to the product he labors on. Instead of training for years as a watchmaker, an unskilled worker can get a job at a watch factory pressing buttons to seal pieces together. The worker does not care if he is making watches or cars, simply that the job exists. In the same way, a worker may not even know or care what product to which he is contributing. A worker on a Ford assembly line may spend all day installing windows on car doors without ever seeing the rest of the car. A cannery worker can spend a lifetime cleaning fish without ever knowing what product they are used for. Alienation from the process of one’s labor. A worker does not control the conditions of her job because she does not own the means of production. If a person is hired to work in a fast food restaurant, she is expected to make the food the way she is taught. All ingredients must be combined in a particular order and in a particular quantity; there is no room for creativity or change. An employee at Burger King cannot decide to change the spices used on the fries in the same way that an employee on a Ford assembly line cannot decide to place a car’s headlights in a different position. Everything is decided by the bourgeoisie who then dictate orders to the laborers. Alienation from others. Workers compete, rather than cooperate. Employees vie for time slots, bonuses, and job security. Even when a worker clocks out at night and goes home, the competition does not end. As Marx commented inThe Communist Manifesto (1848), “No sooner is the exploitation of the laborer by the manufacturer, so far at an end, that he receives his wages in cash, than he is set upon by the other portion of the bourgeoisie, the landlord, the shopkeeper, the pawnbroker.” Alienation from one’s self. A final outcome of industrialization is a loss of connectivity between a worker and her occupation. Because there is nothing that ties a worker to her labor, there is no longer a sense of self. Instead of being able to take pride in an identity such as being a watchmaker, automobile builder, or chef, a person is simply a cog in the machine. Taken as a whole, then, alienation in modern society means that an individual has no control over his life. Even in feudal societies, a person controlled the manner of his labor as to when and how it was carried out. But why, then, does the modern working class not rise up and rebel? (Indeed, Marx predicted that this would be the ultimate outcome and collapse of capitalism.) Another idea that Marx developed is the concept of false consciousness. False consciousness is a condition in which the beliefs, ideals, or ideology of a person are not in the person’s own best interest. In fact, it is the ideology of the dominant class (here, the bourgeoisie capitalists) that is imposed upon the proletariat. Ideas such as the emphasis of competition over cooperation, or of hard work being its own reward, clearly benefit the owners of industry. Therefore, workers are less likely to question their place in society and assume individual responsibility for existing conditions. In order for society to overcome false consciousness, Marx proposed that it be replaced with class consciousness, the awareness of one’s rank in society. Instead of existing as a “class in itself,” the proletariat must become a “class for itself” in order to produce social change (Marx and Engels 1848), meaning that instead of just being an inert strata of society, the class could become an advocate for social improvements. Only once society entered this state of political consciousness would it be ready for a social revolution. Max Weber and Symbolic Interactionism While Karl Marx may be one of the best-known thinkers of the nineteenth century, Max Weber is certainly one of the greatest influences in the field of sociology. Like the other social thinkers discussed here, he was concerned with the important changes taking place in Western society with the advent of industrialization. And, like Marx and Durkheim, he feared that industrialization would have negative effects on individuals. Weber’s primary focus on the structure of society lay in the elements of class, status, and power. Similar to Marx, Weber saw class as economically determined. Society, he believed, was split between owners and laborers. Status, on the other hand, was based on noneconomic factors such as education, kinship, and religion. Both status and class determined an individual’s power, or influence over ideas. Unlike Marx, Weber believed that these ideas formed the base of society. Weber’s analysis of modern society centered on the concept of rationalization. A rational society is one built around logic and efficiency rather than morality or tradition. To Weber, capitalism is entirely rational. Although this leads to efficiency and merit-based success, it can have negative effects when taken to the extreme. In some modern societies, this is seen when rigid routines and strict design lead to a mechanized work environment and a focus on producing identical products in every location. Another example of the extreme conditions of rationality can be found in Charlie Chaplin’s classic film Modern Times (1936). Chaplin’s character performs a routine task to the point where he cannot stop his motions even while away from the job. Indeed, today we even have a recognized medical condition that results from such tasks, known as “repetitive stress syndrome.” Weber was also unlike his predecessors in that he was more interested in how individuals experienced societal divisions than in the divisions themselves. The symbolic interactionism theory, the third of the three most recognized theories of sociology, is based on Weber’s early ideas that emphasize the viewpoint of the individual and how that individual relates to society. For Weber, the culmination of industrialization, rationalization, and the like results in what he referred to as the iron cage, in which the individual is trapped by institutions and bureaucracy. This leads to a sense of “disenchantment of the world,” a phrase Weber used to describe the final condition of humanity. Indeed a dark prediction, but one that has, at least to some degree, been borne out (Gerth and Mills 1918). In a rationalized, modern society, we have supermarkets instead of family-owned stores. We have chain restaurants instead of local eateries. Superstores that offer a multitude of merchandise have replaced independent businesses that focused on one product line, such as hardware, groceries, automotive repair, or clothing. Shopping malls offer retail stores, restaurants, fitness centers, even condominiums. This change may be rational, but is it universally desirable? The Protestant Work Ethic In a series of essays in 1904, Max Weber presented the idea of the Protestant work ethic, a new attitude toward work based on the Calvinist principle of predestination. In the sixteenth century, Europe was shaken by the Protestant Revolution. Religious leaders such as Martin Luther and John Calvin argued against the Catholic Church’s belief in salvation through obedience. While Catholic leaders emphasized the importance of religious dogma and performing good deeds as a gateway to Heaven, Protestants believed that inner grace, or faith in God, was enough to achieve salvation. John Calvin in particular popularized the Christian concept of predestination, the idea that all events—including salvation—have already been decided by God. Because followers were never sure whether they had been chosen to enter Heaven or Hell, they looked for signs in their everyday lives. If a person was hard-working and successful, he was likely to be one of the chosen. If a person was lazy or simply indifferent, he was likely to be one of the damned. Weber argued that this mentality encouraged people to work hard for personal gain; after all, why should one help the unfortunate if they were already damned? Over time, the Protestant work ethic spread and became the foundation for capitalism. Summary Émile Durkheim believed that as societies advance, they make the transition from mechanical to organic solidarity. For Karl Marx, society exists in terms of class conflict. With the rise of capitalism, workers become alienated from themselves and others in society. Sociologist Max Weber noted that the rationalization of society can be taken to unhealthy extremes. Section Quiz Organic solidarity is most likely to exist in which of the following types of societies? - Hunter-gatherer - Industrial - Agricultural - Feudal Hint: B According to Marx, the _____ own the means of production in a society. - proletariat - vassals - bourgeoisie - anomie Hint: C Which of the following best depicts Marx’s concept of alienation from the process of one’s labor? - A supermarket cashier always scans store coupons before company coupons because she was taught to do it that way. - A businessman feels that he deserves a raise, but is nervous to ask his manager for one; instead, he comforts himself with the idea that hard work is its own reward. - An associate professor is afraid that she won’t be given tenure and starts spreading rumors about one of her associates to make herself look better. - A construction worker is laid off and takes a job at a fast food restaurant temporarily, although he has never had an interest in preparing food before. Hint: A The Protestant work ethic is based on the concept of predestination, which states that ________. - performing good deeds in life is the only way to secure a spot in Heaven - salvation is only achievable through obedience to God - no person can be saved before he or she accepts Jesus Christ as his or her savior - God has already chosen those who will be saved and those who will be damned Hint: D The concept of the iron cage was popularized by which of the following sociological thinkers? - Max Weber - Karl Marx - Émile Durkheim - Friedrich Engels Hint: A Émile Durkheim’s ideas about society can best be described as ________. - functionalist - conflict theorist - symbolic interactionist - rationalist Hint: A Short Answer Choose two of the three sociologists discussed here (Durkheim, Marx, Weber), and use their arguments to explain a current social event such as the Occupy movement. Do their theories hold up under modern scrutiny? Think of the ways workers are alienated from the product and process of their jobs. How can these concepts be applied to students and their educations? Further Research One of the most influential pieces of writing in modern history was Karl Marx and Friedrich Engels’ The Communist Manifesto. Visit this site to read the original document that spurred revolutions around the world:http://openstaxcollege.org/l/Communist-Party References Durkheim, Émile. 1960 [1893]. The Division of Labor in Society. Translated by George Simpson. New York: Free Press. Durkheim, Émile. 1982 [1895]. The Rules of the Sociological Method. Translated by W. D. Halls. New York: Free Press. Engels, Friedrich. 1892. The Condition of the Working-Class in England in 1844. London: Swan Sonnenschein & Co. Geographia. 1998. “The Bedouin Way.” Geograpia.com. Retrieved January 4, 2012 (http://www.geographia.com/egypt/sinai/bedouin02.htm). Gerth, H. H., and C. Wright Mills. 1946. From Max Weber: Essays in Sociology. New York: Oxford University Press. Marx, Karl and Friedrich Engels. 1998 [1848]. The Communist Manifesto. New York: Penguin Group.	oercommons	2025-03-18T00:38:52.498992	null	{ "license": "Creative Commons - Attribution - https://creativecommons.org/licenses/by/4.0/", "url": "https://oercommons.org/courseware/lesson/11769/overview", "title": "Introduction to Sociology 2e, Society and Social Interaction", "author": null }
https://oercommons.org/courseware/lesson/11770/overview	Social Constructions of Reality Overview - Understand the sociological concept of reality as a social construct - Define roles and describe their places in people’s daily interactions - Explain how individuals present themselves and perceive themselves in a social context Until now, we’ve primarily discussed the differences between societies. Rather than discuss their problems and configurations, we’ll now explore how society came to be and how sociologists view social interaction. In 1966 sociologists Peter Berger and Thomas Luckmann wrote a book called The Social Construction of Reality. In it, they argued that society is created by humans and human interaction, which they callhabitualization. Habitualization describes how “any action that is repeated frequently becomes cast into a pattern, which can then be … performed again in the future in the same manner and with the same economical effort” (Berger and Luckmann 1966). Not only do we construct our own society but we also accept it as it is because others have created it before us. Society is, in fact, “habit.” For example, your school exists as a school and not just as a building because you and others agree that it is a school. If your school is older than you are, it was created by the agreement of others before you. In a sense, it exists by consensus, both prior and current. This is an example of the process of institutionalization, the act of implanting a convention or norm into society. Bear in mind that the institution, while socially constructed, is still quite real. Another way of looking at this concept is through W.I. Thomas’s notable Thomas theorem which states, “If men define situations as real, they are real in their consequences” (Thomas and Thomas 1928). That is, people’s behavior can be determined by their subjective construction of reality rather than by objective reality. For example, a teenager who is repeatedly given a label—overachiever, player, bum—might live up to the term even though it initially wasn’t a part of his character. Like Berger and Luckmann in their description of habitualization, Thomas states that our moral codes and social norms are created by “successive definitions of the situation.” This concept is defined by sociologist Robert K. Merton as a self-fulfilling prophecy. Merton explains that with a self-fulfilling prophecy, even a false idea can become true if it is acted upon. One example he gives is of a “bank run.” Say for some reason, a number of people falsely fear that their bank is soon to be bankrupt. Because of this false notion, people run to their bank and demand all of their cash at once. As banks rarely, if ever, have that much money on hand, the bank does indeed run out of money, fulfilling the customers’ prophecy. Here, reality is constructed by an idea. Symbolic interactionists offer another lens through which to analyze the social construction of reality. With a theoretical perspective focused on the symbols (like language, gestures, and artifacts) that people use to interact, this approach is interested in how people interpret those symbols in daily interactions. For example, we might feel fright at seeing a person holding a gun, unless, of course, it turns out to be a police officer. Interactionists also recognize that language and body language reflect our values. One has only to learn a foreign tongue to know that not every English word can be easily translated into another language. The same is true for gestures. While Americans might recognize a “thumbs up” as meaning “great,” in Germany it would mean “one” and in Japan it would mean “five.” Thus, our construction of reality is influenced by our symbolic interactions. Roles and Status As you can imagine, people employ many types of behaviors in day-to-day life. Roles are patterns of behavior that we recognize in each other that are representative of a person’s social status. Currently, while reading this text, you are playing the role of a student. However, you also play other roles in your life, such as “daughter,” “neighbor,” or “employee.” These various roles are each associated with a different status. Sociologists use the term status to describe the responsibilities and benefits that a person experiences according to their rank and role in society. Some statuses areascribed—those you do not select, such as son, elderly person, or female. Others, calledachieved statuses, are obtained by choice, such as a high school dropout, self-made millionaire, or nurse. As a daughter or son, you occupy a different status than as a neighbor or employee. One person can be associated with a multitude of roles and statuses. Even a single status such as “student” has a complexrole-set, or array of roles, attached to it (Merton 1957). If too much is required of a single role, individuals can experience role strain. Consider the duties of a parent: cooking, cleaning, driving, problem-solving, acting as a source of moral guidance—the list goes on. Similarly, a person can experiencerole conflict when one or more roles are contradictory. A parent who also has a full-time career can experience role conflict on a daily basis. When there is a deadline at the office but a sick child needs to be picked up from school, which comes first? When you are working toward a promotion but your children want you to come to their school play, which do you choose? Being a college student can conflict with being an employee, being an athlete, or even being a friend. Our roles in life have a great effect on our decisions and who we become. Presentation of Self Of course, it is impossible to look inside a person’s head and study what role they are playing. All we can observe is behavior, or role performance. Role performance is how a person expresses his or her role. Sociologist Erving Goffman presented the idea that a person is like an actor on a stage. Calling his theory dramaturgy, Goffman believed that we use “impression management” to present ourselves to others as we hope to be perceived. Each situation is a new scene, and individuals perform different roles depending on who is present (Goffman 1959). Think about the way you behave around your coworkers versus the way you behave around your grandparents versus the way you behave with a blind date. Even if you’re not consciously trying to alter your personality, your grandparents, coworkers, and date probably see different sides of you. As in a play, the setting matters as well. If you have a group of friends over to your house for dinner, you are playing the role of a host. It is agreed upon that you will provide food and seating and probably be stuck with a lot of the cleanup at the end of the night. Similarly, your friends are playing the roles of guests, and they are expected to respect your property and any rules you may set forth (“Don’t leave the door open or the cat will get out.”). In any scene, there needs to be a shared reality between players. In this case, if you view yourself as a guest and others view you as a host, there are likely to be problems. Impression management is a critical component of symbolic interactionism. For example, a judge in a courtroom has many “props” to create an impression of fairness, gravity, and control—like her robe and gavel. Those entering the courtroom are expected to adhere to the scene being set. Just imagine the “impression” that can be made by how a person dresses. This is the reason that attorneys frequently select the hairstyle and apparel for witnesses and defendants in courtroom proceedings. Goffman’s dramaturgy ideas expand on the ideas of Charles Cooley and the looking-glass self. According to Cooley, we base our image on what we think other people see (Cooley 1902). We imagine how we must appear to others, then react to this speculation. We don certain clothes, prepare our hair in a particular manner, wear makeup, use cologne, and the like—all with the notion that our presentation of ourselves is going to affect how others perceive us. We expect a certain reaction, and, if lucky, we get the one we desire and feel good about it. But more than that, Cooley believed that our sense of self is based upon this idea: we imagine how we look to others, draw conclusions based upon their reactions to us, and then we develop our personal sense of self. In other words, people’s reactions to us are like a mirror in which we are reflected. Summary Society is based on the social construction of reality. How we define society influences how society actually is. Likewise, how we see other people influences their actions as well as our actions toward them. We all take on various roles throughout our lives, and our social interactions depend on what types of roles we assume, who we assume them with, and the scene where interaction takes place. Section Quiz Mary works full-time at an office downtown while her young children stay at a neighbor’s house. She’s just learned that the childcare provider is leaving the country. Mary has succumbed to pressure to volunteer at her church, plus her ailing mother-in-law will be moving in with her next month. Which of the following is likely to occur as Mary tries to balance her existing and new responsibilities? - Role strain - Self-fulfilling prophecy - Status conflict - Status strain Hint: A According to Peter Berger and Thomas Luckmann, society is based on ________. - habitual actions - status - institutionalization - role performance Hint: A Paco knows that women find him attractive, and he’s never found it hard to get a date. But as he ages, he dyes his hair to hide the gray and wears clothes that camouflage the weight he has put on. Paco’s behavior can be best explained by the concept of ___________. - role strain - the looking-glass self - role performance - habitualization Hint: B Short Answer Draw a large circle, and then “slice” the circle into pieces like a pie, labeling each piece with a role or status that you occupy. Add as many statuses, ascribed and achieved, that you have. Don’t forget things like dog owner, gardener, traveler, student, runner, employee. How many statuses do you have? In which ones are there role conflicts? Think of a self-fulfilling prophecy that you’ve experienced. Based on this experience, do you agree with the Thomas theorem? Use examples from current events to support your answer as well. Further Research TV Tropes is a website where users identify concepts that are commonly used in literature, film, and other media. Although its tone is for the most part humorous, the site provides a good jumping-off point for research. Browse the list of examples under the entry of “self-fulfilling prophecy.” Pay careful attention to the real-life examples. Are there ones that surprised you or that you don’t agree with? http://openstaxcollege.org/l/tv-tropes References Berger, P. L., and T. Luckmann. 1966. The Social Construction of Reality: A Treatise in the Sociology of Knowledge. Garden City, NY: Anchor Books. Cooley, Charles H. 1902. Human Nature and the Social Order. New York: Scribner's. Goffman, Erving. 1959. The Presentation of Self In Everyday Life. New York: Doubleday. Merton, Robert K. 1957. “The Role-Set: Problems in Sociological Theory.” British Journal of Sociology 8(2):110–113. Thomas, W.I., and D.S. Thomas. 1928. The Child in America: Behavior Problems and Programs. New York: Knopf.	oercommons	2025-03-18T00:38:52.527512	null	{ "license": "Creative Commons - Attribution - https://creativecommons.org/licenses/by/4.0/", "url": "https://oercommons.org/courseware/lesson/11770/overview", "title": "Introduction to Sociology 2e, Society and Social Interaction", "author": null }
https://oercommons.org/courseware/lesson/11844/overview	Introduction to Social Movements and Social Change Perhaps the social movement that ran the most contrary to theory in recent history is Occupy Wall Street (OWS). Although it contains many of the classic developmental elements of a social movement we will describe in this chapter, it is set apart by its lack of a single message, its leaderless organization, and its target—financial institutions instead of the government. OWS baffled much of the public, and certainly the mainstream media, leading many to ask, "Who are they, and what do they want?" On July 13, 2011, the organization Adbusters posted on its blog, "Are you ready for a Tahrir moment? On September 17th, flood into lower Manhattan, set up tents, kitchens, peaceful barricades and occupy Wall Street" (Castells 2012). The "Tahrir moment" was a reference to the 2010 political uprising that began in Tunisia and spread throughout the Middle East and North Africa, including Egypt’s Tahrir Square in Cairo. Although OWS was a reaction to the continuing financial chaos that resulted from the 2008 market meltdown and not a political movement, the Arab Spring was its catalyst. Manuel Castells (2012) notes that the years leading up to the Occupy movement had witnessed a dizzying increase in the disparity of wealth in the United States, stemming back to the 1980s. The top 1 percent in the nation had secured 58 percent of the economic growth in the period for themselves, while real hourly wages for the average worker had increased by only 2 percent. The wealth of the top 5 percent had increased by 42 percent. The average pay of a CEO was now 350 times that of the average worker, compared to less than 50 times in 1983 (AFL-CIO 2014). The country’s leading financial institutions, to many clearly to blame for the crisis and dubbed "too big to fail," were in trouble after many poorly qualified borrowers defaulted on their mortgage loans when the loans’ interest rates rose. The banks were eventually "bailed" out by the government with $700 billion of taxpayer money. According to many reports, that same year top executives and traders received large bonuses. On September 17, 2011, an anniversary of the signing of the U.S. Constitution, the occupation began. One thousand outraged protestors descended upon Wall Street, and up to 20,000 people moved into Zuccotti Park, only two blocks away, where they began building a village of tents and organizing a system of communication. The protest soon began spreading throughout the nation, and its members started calling themselves "the 99 percent." More than a thousand cities and towns had Occupy demonstrations. In answer to the question "Who are they?" Castells notes ". . . by and large the movement was made up of a large majority of democratic voters, as well as of politically independent minded people who were in search of new forms of changing the world . . . " (Castells 2012). What do they want? Castells has dubbed OWS "A non-demand movement: The process is the message." Using Facebook, Twitter, Tumblr, and live-stream video, the protesters conveyed a multifold message with a long list of reforms and social change, including the need to address the rising disparity of wealth, the influence of money on election outcomes, the notion of "corporate personhood," a corporatized political system (to be replaced by "direct democracy”), political favoring of the rich, and rising student debt. Regardless, some in the media appeared confused about the protestors’ intentions, and articles carried titles like, "The Wall Street Protesters: What the Hell Do They Want?" (Gell 2011) from The New York Observer, and person-in-the-street quotations like, "I think they're idiots. They have no agenda . . . " from theLos Angeles Times (Le Tellier 2012). The late James C. Davies suggested in his 1962 paper, "Toward a Theory of Revolution" (from the American Sociological Review, Vol, 27 Issue 1) that revolution depends upon the mood of the people, and that it is extremely unlikely those in absolute poverty will be able to overturn a government, simply because the government has infinitely more power. Instead, a revolution is more possible when expected need satisfaction and actual need satisfaction are out of sync. As actual need satisfaction trends downward and away from what a formerly prosperous people have come to expect—tracing a curve that looks somewhat like an upside-down J and is called the Davies-J curve—the gap between expectations and reality widens. Eventually an intolerable point is reached, and revolution occurs. Thus, change comes not from the very bottom of the social hierarchy, but from somewhere in the middle. Indeed, the Arab Spring was driven by mostly young people whose education had offered promise and expectations that were thwarted by corrupt autocratic governments. OWS too came not from the bottom but from people in the middle, who exploited the power of social media to enhance communication. References AFL-CIO. 2014. "Executive Paywatch." Retrieved December 17, 2014 (http://www.aflcio.org/Corporate-Watch/Paywatch-2014). Castells, Manuel. 2012. Networks of Outrage and Hope: Social Movements in the Internet Age. Camgridge, UK: Polity. Davies, James C. 1962. "Toward a Theory of Revolution." American Sociological Review 27, no. 1. Retrieved December 17, 2014 (http://www.jstor.org/discover/2089714?sid=21104884442891&uid=3739256&uid=3739704&uid=4&uid=2). Gell, Aaron. 2011. "The Wall Street Protesters: What the Hell Do They Want?" New York Observer. Retrieved December 17, 2014 (http://observer.com/2011/09/the-wall-street-protesters-what-the-hell-do-they-want/). Le Tellier, Alexandria. 2012. "What Occupy Wall Street Wants." Los Angeles Times. Retrieved December 17, 2014 (http://articles.latimes.com/2012/sep/17/news/la-ol-occupy-wall-street-anniversary-message-20120917). NAACP. 2011. “100 Years of History.” Retrieved December 21, 2011 (http://www.naacp.org/pages/naacp-history).	oercommons	2025-03-18T00:38:52.545108	null	{ "license": "Creative Commons - Attribution - https://creativecommons.org/licenses/by/4.0/", "url": "https://oercommons.org/courseware/lesson/11844/overview", "title": "Introduction to Sociology 2e, Social Movements and Social Change", "author": null }
https://oercommons.org/courseware/lesson/11845/overview	Collective Behavior Overview - Describe different forms of collective behavior - Differentiate between types of crowds - Discuss emergent norm, value-added, and assembling perspective analyses of collective behavior Flash Mobs In March 2014, a group of musicians got together in a fish market in Odessa for a spontaneous performance of Beethoven's “Ode to Joy” from his Ninth Symphony. While tensions were building over Ukraine's efforts to join the European Union, and even as Russian troops had taken control of the Ukrainian airbase in Belbek, the Odessa Philharmonic Orchestra and Opera Chorus tried to lighten the troubled times for shoppers with music and song. Spontaneous gatherings like this are called flash mobs. They often are captured on video and shared on the Internet; frequently they go viral. Humans seek connections and shared experiences. Perhaps experiencing a flash mob event enhances this bond. It certainly interrupts our otherwise mundane routine with a reminder that we are social animals. Forms of Collective Behavior Flash mobs are examples of collective behavior, noninstitutionalized activity in which several or many people voluntarily engage. Other examples are a group of commuters traveling home from work and a population of teens adopting a favorite singer’s hairstyle. In short, collective behavior is any group behavior that is not mandated or regulated by an institution. There are three primary forms of collective behavior: the crowd, the mass, and the public. It takes a fairly large number of people in close proximity to form a crowd (Lofland 1993). Examples include a group of people attending an Ani DiFranco concert, tailgating at a Patriots game, or attending a worship service. Turner and Killian (1993) identified four types of crowds.Casual crowds consist of people who are in the same place at the same time but who aren’t really interacting, such as people standing in line at the post office.Conventional crowds are those who come together for a scheduled event that occurs regularly, like a religious service.Expressive crowds are people who join together to express emotion, often at funerals, weddings, or the like. The final type,acting crowds, focuses on a specific goal or action, such as a protest movement or riot. In addition to the different types of crowds, collective groups can also be identified in two other ways. A mass is a relatively large number of people with a common interest, though they may not be in close proximity (Lofland 1993), such as players of the popular Facebook game Farmville. Apublic, on the other hand, is an unorganized, relatively diffused group of people who share ideas, such as the Libertarian political party. While these two types of crowds are similar, they are not the same. To distinguish between them, remember that members of a mass share interests, whereas members of a public share ideas. Theoretical Perspectives on Collective Behavior Early collective behavior theories (LeBon 1895; Blumer 1969) focused on the irrationality of crowds. Eventually, those theorists who viewed crowds as uncontrolled groups of irrational people were supplanted by theorists who viewed the behavior some crowds engaged in as the rational behavior of logical beings. Emergent-Norm Perspective Sociologists Ralph Turner and Lewis Killian (1993) built on earlier sociological ideas and developed what is known as emergent norm theory. They believe that the norms experienced by people in a crowd may be disparate and fluctuating. They emphasize the importance of these norms in shaping crowd behavior, especially those norms that shift quickly in response to changing external factors. Emergent norm theoryasserts that, in this circumstance, people perceive and respond to the crowd situation with their particular (individual) set of norms, which may change as the crowd experience evolves. This focus on the individual component of interaction reflects a symbolic interactionist perspective. For Turner and Killian, the process begins when individuals suddenly find themselves in a new situation, or when an existing situation suddenly becomes strange or unfamiliar. For example, think about human behavior during Hurricane Katrina. New Orleans was decimated and people were trapped without supplies or a way to evacuate. In these extraordinary circumstances, what outsiders saw as “looting” was defined by those involved as seeking needed supplies for survival. Normally, individuals would not wade into a corner gas station and take canned goods without paying, but given that they were suddenly in a greatly changed situation, they established a norm that they felt was reasonable. Once individuals find themselves in a situation ungoverned by previously established norms, they interact in small groups to develop new guidelines on how to behave. According to the emergent-norm perspective, crowds are not viewed as irrational, impulsive, uncontrolled groups. Instead, norms develop and are accepted as they fit the situation. While this theory offers insight into why norms develop, it leaves undefined the nature of norms, how they come to be accepted by the crowd, and how they spread through the crowd. Value-Added Theory Neil Smelser’s (1962) meticulous categorization of crowd behavior, called value-added theory, is a perspective within the functionalist tradition based on the idea that several conditions must be in place for collective behavior to occur. Each condition adds to the likelihood that collective behavior will occur. The first condition isstructural conduciveness, which occurs when people are aware of the problem and have the opportunity to gather, ideally in an open area.Structural strain, the second condition, refers to people’s expectations about the situation at hand being unmet, causing tension and strain. The next condition is thegrowth and spread of a generalized belief, wherein a problem is clearly identified and attributed to a person or group. Fourth, precipitating factors spur collective behavior; this is the emergence of a dramatic event. The fifth condition ismobilization for action, when leaders emerge to direct a crowd to action. The final condition relates to action by the agents. Calledsocial control, it is the only way to end the collective behavior episode (Smelser 1962). A real-life example of these conditions occurred after the fatal police shooting of teenager Michael Brown, an unarmed eighteen-year-old African American, in Ferguson, MO on August 9, 2014. The shooting drew national attention almost immediately. A large group of mostly black, local residents assembled in protest—a classic example of structural conduciveness. When the community perceived that the police were not acting in the people's interest and were withholding the name of the officer, structural strain became evident. A growing generalized belief evolved as the crowd of protesters were met with heavily armed police in military-style protective uniforms accompanied by an armored vehicle. The precipitating factor of the arrival of the police spurred greater collective behavior as the residents mobilized by assembling a parade down the street. Ultimately they were met with tear gas, pepper spray, and rubber bullets used by the police acting as agents of social control. The element of social control escalated over the following days until August 18, when the governor called in the National Guard. Assembling Perspective Interactionist sociologist Clark McPhail (1991) developed assembling perspective, another system for understanding collective behavior that credited individuals in crowds as rational beings. Unlike previous theories, this theory refocuses attention from collective behavior to collective action. Remember that collective behavior is a noninstitutionalized gathering, whereas collective action is based on a shared interest. McPhail’s theory focused primarily on the processes associated with crowd behavior, plus the lifecycle of gatherings. He identified several instances of convergent or collective behavior, as shown on the chart below. \| Type of crowd \| Description \| Example \| \|---\|---\|---\| \| Convergence clusters \| Family and friends who travel together \| Carpooling parents take several children to the movies \| \| Convergent orientation \| Group all facing the same direction \| A semi-circle around a stage \| \| Collective vocalization \| Sounds or noises made collectively \| Screams on a roller coaster \| \| Collective verbalization \| Collective and simultaneous participation in a speech or song \| Pledge of Allegiance in the school classroom \| \| Collective gesticulation \| Body parts forming symbols \| The YMCA dance \| \| Collective manipulation \| Objects collectively moved around \| Holding signs at a protest rally \| \| Collective locomotion \| The direction and rate of movement to the event \| Children running to an ice cream truck \| As useful as this is for understanding the components of how crowds come together, many sociologists criticize its lack of attention on the large cultural context of the described behaviors, instead focusing on individual actions. Summary Collective behavior is noninstitutionalized activity in which several people voluntarily engage. There are three different forms of collective behavior: crowd, mass, and public. There are three main theories on collective behavior. The first, the emergent-norm perspective, emphasizes the importance of social norms in crowd behavior. The next, the value-added theory, is a functionalist perspective that states that several preconditions must be in place for collective behavior to occur. Finally the assembling perspective focuses on collective action rather than collective behavior, addressing the processes associated with crowd behavior and the lifecycle and various categories of gatherings. Section Quiz Which of the following organizations is not an example of a social movement? - National Football League - Tea Party - Greenpeace - NAACP Hint: A Sociologists using conflict perspective might study what? - How social movements develop - What social purposes a movement serves - What motivates inequitably treated people to join a movement - What individuals hope to gain from taking part in a social movement Hint: C Which of the following is an example of collective behavior? - A soldier questioning orders - A group of people interested in hearing an author speak - A class going on a field trip - Going shopping with a friend Hint: B The protesters at the Egypt uprising rally were: - a casual crowd - a conventional crowd - a mass - an acting crowd Hint: D According to emergent-norm theory, crowds are: - irrational and impulsive - often misinterpreted and misdirected - able to develop their own definition of the situation - prone to criminal behavior Hint: C A boy throwing rocks during a demonstration might be an example of ___________. - structural conduciveness - structural strain - precipitating factors - mobilization for action Hint: C Short Answer Discuss the differences between a mass and a crowd. What is an example of each? What sets them apart? What do they share in common? Can you think of a time when your behavior in a crowd was dictated by the circumstances? Give an example of emergent-norm perspective, using your own experience. Discuss the differences between an acting crowd and a collective crowd. Give examples of each. Imagine you are at a rally protesting nuclear energy use. Walk us through the hypothetical rally using the value-added theory, imagining it meets all the stages. References Blumer, Herbert. 1969. “Collective Behavior.” Pp. 67–121 in Principles of Sociology, edited by A.M. Lee. New York: Barnes and Noble. LeBon, Gustave. 1960 [1895]. The Crowd: A Study of the Popular Mind. New York: Viking Press. Lofland, John. 1993. “Collective Behavior: The Elementary Forms.” Pp. 70–75 in Collective Behavior and Social Movements, edited by Russel Curtis and Benigno Aguirre. Boston: Allyn and Bacon. McPhail, Clark. 1991. The Myth of the Madding Crowd. New York: Aldine de Gruyter. Smelser, Neil J. 1963. Theory of Collective Behavior. New York: Free Press. Turner, Ralph, and Lewis M. Killian. 1993. Collective Behavior. 4th ed. Englewood Cliffs, N. J., Prentice Hall.	oercommons	2025-03-18T00:38:52.622873	null	{ "license": "Creative Commons - Attribution - https://creativecommons.org/licenses/by/4.0/", "url": "https://oercommons.org/courseware/lesson/11845/overview", "title": "Introduction to Sociology 2e, Social Movements and Social Change", "author": null }
https://oercommons.org/courseware/lesson/11846/overview	Social Movements Overview - Demonstrate awareness of social movements on a state, national, and global level - Distinguish between different types of social movements - Identify stages of social movements - Discuss theoretical perspectives on social movements, like resource mobilization, framing, and new social movement theory Social movements are purposeful, organized groups that strive to work toward a common social goal. While most of us learned about social movements in history classes, we tend to take for granted the fundamental changes they caused —and we may be completely unfamiliar with the trend toward global social movements. But from the antitobacco movement that has worked to outlaw smoking in public buildings and raise the cost of cigarettes, to political uprisings throughout the Arab world, movements are creating social change on a global scale. Levels of Social Movements Movements happen in our towns, in our nation, and around the world. Let’s take a look at examples of social movements, from local to global. No doubt you can think of others on all of these levels, especially since modern technology has allowed us a near-constant stream of information about the quest for social change around the world. Local Chicago is a city of highs and lows, from corrupt politicians and failing schools to innovative education programs and a thriving arts scene. Not surprisingly, it has been home to a number of social movements over time. Currently, AREA Chicago is a social movement focused on “building a socially just city” (AREA Chicago 2011). The organization seeks to “create relationships and sustain community through art, research, education, and activism” (AREA Chicago 2011). The movement offers online tools like the Radicalendar––a calendar for getting radical and connected––and events such as an alternative to the traditional Independence Day picnic. Through its offerings, AREA Chicago gives local residents a chance to engage in a movement to help build a socially just city. State At the other end of the political spectrum from AREA Chicago is the Texas Secede! social movement in Texas. This statewide organization promotes the idea that Texas can and should secede from the United States to become an independent republic. The organization, which as of 2014 has over 6,000 “likes” on Facebook, references both Texas and national history in promoting secession. The movement encourages Texans to return to their rugged and individualistic roots, and to stand up to what proponents believe is the theft of their rights and property by the U.S. government (Texas Secede! 2009). National A polarizing national issue that has helped spawn many activist groups is gay marriage. While the legal battle is being played out state by state, the issue is a national one. The Human Rights Campaign, a nationwide organization that advocates for LGBT civil rights, has been active for over thirty years and claims more than a million members. One focus of the organization is its Americans for Marriage Equality campaign. Using public celebrities such as athletes, musicians, and political figures, it seeks to engage the public in the issue of equal rights under the law. The campaign raises awareness of the over 1,100 different rights, benefits, and protections provided on the basis of marital status under federal law and seeks to educate the public about why these protections should be available to all committed couples regardless of gender (Human Rights Campaign 2014). A movement on the opposite end is the National Organization for Marriage, an organization that funds campaigns to stop same-sex marriage (National Organization for Marriage 2014). Both these organizations work on the national stage and seek to engage people through grassroots efforts to push their message. In February 2011, U.S. Attorney General Eric Holder released a statement saying President Barack Obama had concluded that “due to a number of factors, including a documented history of discrimination, classification based on sexual orientation should be subject to a more heightened standard of scrutiny.” The statement said, “Section 3 of DOMA [the Defense of Marriage Act of 1993], as applied to legally married same-sex couples, fails to meet that standard and is therefore unconstitutional.” With that the Department was instructed not to defend the statute in such cases (Department of Justice, Office of Public Affairs 2011; AP/Huffington Post 2011). Global Social organizations worldwide take stands on such general areas of concern as poverty, sex trafficking, and the use of genetically modified organisms (GMOs) in food. Nongovernmental organizations (NGOs) are sometimes formed to support such movements, such as the International Federation of Organic Agriculture Movement (FOAM). Global efforts to reduce poverty are represented by the Oxford Committee for Famine Relief (OXFAM), among others. The Fair Trade movement exists to protect and support food producers in developing countries. Occupy Wall Street, although initially a local movement, also went global throughout Europe and, as the chapter’s introductory photo shows, the Middle East. Types of Social Movements We know that social movements can occur on the local, national, or even global stage. Are there other patterns or classifications that can help us understand them? Sociologist David Aberle (1966) addresses this question by developing categories that distinguish among social movements based on what they want to change and how much change they want. Reform movements seek to change something specific about the social structure. Examples include antinuclear groups, Mothers Against Drunk Driving (MADD), the Dreamers movement for immigration reform, and the Human Rights Campaign’s advocacy for Marriage Equality.Revolutionary movements seek to completely change every aspect of society. These include the 1960s counterculture movement, including the revolutionary group The Weather Underground, as well as anarchist collectives. Texas Secede! is a revolutionary movement.Religious/Redemptive movements are “meaning seeking,” and their goal is to provoke inner change or spiritual growth in individuals. Organizations pushing these movements include Heaven’s Gate or the Branch Davidians. The latter is still in existence despite government involvement that led to the deaths of numerous Branch Davidian members in 1993.Alternative movements are focused on self-improvement and limited, specific changes to individual beliefs and behavior. These include trends like transcendental meditation or a macrobiotic diet.Resistance movements seek to prevent or undo change to the social structure. The Ku Klux Klan, the Minutemen, and pro-life movements fall into this category. Stages of Social Movements Later sociologists studied the lifecycle of social movements—how they emerge, grow, and in some cases, die out. Blumer (1969) and Tilly (1978) outline a four-stage process. In the preliminary stage, people become aware of an issue, and leaders emerge. This is followed by thecoalescence stage when people join together and organize in order to publicize the issue and raise awareness. In theinstitutionalization stage, the movement no longer requires grassroots volunteerism: it is an established organization, typically with a paid staff. When people fall away and adopt a new movement, the movement successfully brings about the change it sought, or when people no longer take the issue seriously, the movement falls into thedecline stage. Each social movement discussed earlier belongs in one of these four stages. Where would you put them on the list? Social Media and Social Change: A Match Made in Heaven Chances are you have been asked to tweet, friend, like, or donate online for a cause. Maybe you were one of the many people who, in 2010, helped raise over $3 million in relief efforts for Haiti through cell phone text donations. Or maybe you follow presidential candidates on Twitter and retweet their messages to your followers. Perhaps you have “liked” a local nonprofit on Facebook, prompted by one of your neighbors or friends liking it too. Nowadays, social movements are woven throughout our social media activities. After all, social movements start by activating people. Referring to the ideal type stages discussed above, you can see that social media has the potential to dramatically transform how people get involved. Look at stage one, the preliminary stage: people become aware of an issue, and leaders emerge. Imagine how social media speeds up this step. Suddenly, a shrewd user of Twitter can alert his thousands of followers about an emerging cause or an issue on his mind. Issue awareness can spread at the speed of a click, with thousands of people across the globe becoming informed at the same time. In a similar vein, those who are savvy and engaged with social media emerge as leaders. Suddenly, you don’t need to be a powerful public speaker. You don’t even need to leave your house. You can build an audience through social media without ever meeting the people you are inspiring. At the next stage, the coalescence stage, social media also is transformative. Coalescence is the point when people join together to publicize the issue and get organized. President Obama’s 2008 campaign was a case study in organizing through social media. Using Twitter and other online tools, the campaign engaged volunteers who had typically not bothered with politics and empowered those who were more active to generate still more activity. It is no coincidence that Obama’s earlier work experience included grassroots community organizing. What is the difference between his campaign and the work he did in Chicago neighborhoods decades earlier? The ability to organize without regard to geographical boundaries by using social media. In 2009, when student protests erupted in Tehran, social media was considered so important to the organizing effort that the U.S. State Department actually asked Twitter to suspend scheduled maintenance so that a vital tool would not be disabled during the demonstrations. So what is the real impact of this technology on the world? Did Twitter bring down Mubarak in Egypt? Author Malcolm Gladwell (2010) doesn’t think so. In an article in New Yorker magazine, Gladwell tackles what he considers the myth that social media gets people more engaged. He points out that most of the tweets relating to the Iran protests were in English and sent from Western accounts (instead of people on the ground). Rather than increasing engagement, he contends that social media only increases participation; after all, the cost of participation is so much lower than the cost of engagement. Instead of risking being arrested, shot with rubber bullets, or sprayed with fire hoses, social media activists can click “like” or retweet a message from the comfort and safety of their desk (Gladwell 2010). There are, though, good cases to be made for the power of social media in propelling social movements. In the article, “Parrhesia and Democracy: Truth-telling, WikiLeaks and the Arab Spring,” Theresa Sauter and Gavin Kendall (2011) describe the importance of social media in the Arab Spring uprisings. Parrhesia means “the practice of truth-telling,” which describes the protestors’ use of social media to make up for the lack of coverage and even misrepresentation of events by state-controlled media. The Tunisian blogger Lina Ben Mhenni posted photographs and videos on Facebook and Twitter of events exposing the violence committed by the government. In Egypt the journalist Asmaa Mahfouz used Facebook to gather large numbers of people in Tahrir Square in the capital city of Cairo. Sauter and Kendall maintain that it was the use of Web 2.0 technologies that allowed activists not only to share events with the world but also to organize the actions. When the Egyptian government shut down the Internet to stop the use of social media, the group Anonymous, a hacking organization noted for online acts of civil disobedience initiated "Operation Egypt" and sent thousands of faxes to keep the public informed of their government's activities (CBS Interactive Inc. 2014) as well as attacking the government's web site (Wagensiel 2011). In its Facebook press release the group stated the following: "Anonymous wants you to offer free access to uncensored media in your entire country. When you ignore this message, not only will we attack your government websites, Anonymous will also make sure that the international media sees the horrid reality you impose upon your people." Sociologists have identified high-risk activism, such as the civil rights movement, as a “strong-tie” phenomenon, meaning that people are far more likely to stay engaged and not run home to safety if they have close friends who are also engaged. The people who dropped out of the movement––who went home after the danger got too great––did not display any less ideological commitment. But they lacked the strong-tie connection to other people who were staying. Social media, by its very makeup, is “weak-tie” (McAdam and Paulsen 1993). People follow or friend people they have never met. But while these online acquaintances are a source of information and inspiration, the lack of engaged personal contact limits the level of risk we’ll take on their behalf. Theoretical Perspectives on Social Movements Most theories of social movements are called collective action theories, indicating the purposeful nature of this form of collective behavior. The following three theories are but a few of the many classic and modern theories developed by social scientists. Resource Mobilization McCarthy and Zald (1977) conceptualize resource mobilization theory as a way to explain movement success in terms of the ability to acquire resources and mobilize individuals. Resources are primarily time and money, and the more of both, the greater the power of organized movements. Numbers of social movement organizations (SMOs), which are single social movement groups, with the same goals constitute a social movement industry (SMI). Together they create what McCarthy and Zald (1977) refer to as "the sum of all social movements in a society." Resource Mobilization and the Civil Rights Movement An example of resource mobilization theory is activity of the civil rights movement in the decade between the mid 1950s and the mid 1960s. Social movements had existed before, notably the Women's Suffrage Movement and a long line of labor movements, thus constituting an existing social movement sector, which is the multiple social movement industries in a society, even if they have widely varying constituents and goals. The civil rights movement had also existed well before Rosa Parks refused to give up her bus seat to a white man. Less known is that Parks was a member of the NAACP and trained in leadership (A&E Television Networks, LLC. 2014). But her action that day was spontaneous and unplanned (Schmitz 2014). Her arrest triggered a public outcry that led to the famous Montgomery bus boycott, turning the movement into what we now think of as the "civil rights movement" (Schmitz 2014). Mobilization had to begin immediately. Boycotting the bus made other means of transportation necessary, which was provided through car pools. Churches and their ministers joined the struggle, and the protest organization In Friendship was formed as well as The Friendly Club and the Club From Nowhere. A social movement industry, which is the collection of the social movement organizations that are striving toward similar goals, was growing. Martin Luther King Jr. emerged during these events to become the charismatic leader of the movement, gained respect from elites in the federal government, and aided by even more emerging SMOs such as the Student Non-Violent Coordinating Committee (SNCC), the Congress of Racial Equality (CORE), the National Association for the Advancement of Colored People (NAACP), and the Southern Christian Leadership Conference (SCLC), among others. Several still exist today. Although the movement in that period was an overall success, and laws were changed (even if not attitudes), the "movement" continues. So do struggles to keep the gains that were made, even as the U.S. Supreme Court has recently weakened the Voter Rights Act of 1965, once again making it more difficult for black Americans and other minorities to vote. Framing/Frame Analysis Over the past several decades, sociologists have developed the concept of frames to explain how individuals identify and understand social events and which norms they should follow in any given situation (Goffman 1974; Snow et al. 1986; Benford and Snow 2000). Imagine entering a restaurant. Your “frame” immediately provides you with a behavior template. It probably does not occur to you to wear pajamas to a fine-dining establishment, throw food at other patrons, or spit your drink onto the table. However, eating food at a sleepover pizza party provides you with an entirely different behavior template. It might be perfectly acceptable to eat in your pajamas and maybe even throw popcorn at others or guzzle drinks from cans. Successful social movements use three kinds of frames (Snow and Benford 1988) to further their goals. The first type, diagnostic framing, states the problem in a clear, easily understood way. When applying diagnostic frames, there are no shades of gray: instead, there is the belief that what “they” do is wrong and this is how “we” will fix it. The anti-gay marriage movement is an example of diagnostic framing with its uncompromising insistence that marriage is only between a man and a woman.Prognostic framing, the second type, offers a solution and states how it will be implemented. Some examples of this frame, when looking at the issue of marriage equality as framed by the anti-gay marriage movement, include the plan to restrict marriage to “one man/one woman” or to allow only “civil unions” instead of marriages. As you can see, there may be many competing prognostic frames even within social movements adhering to similar diagnostic frames. Finally,motivational framing is the call to action: what should you do once you agree with the diagnostic frame and believe in the prognostic frame? These frames are action-oriented. In the gay marriage movement, a call to action might encourage you to vote “no” on Proposition 8 in California (a move to limit marriage to male-female couples), or conversely, to contact your local congressperson to express your viewpoint that marriage should be restricted to male-female couples. With so many similar diagnostic frames, some groups find it best to join together to maximize their impact. When social movements link their goals to the goals of other social movements and merge into a single group, a frame alignment process (Snow et al. 1986) occurs—an ongoing and intentional means of recruiting participants to the movement. This frame alignment process has four aspects: bridging, amplification, extension, and transformation. Bridging describes a “bridge” that connects uninvolved individuals and unorganized or ineffective groups with social movements that, though structurally unconnected, nonetheless share similar interests or goals. These organizations join together to create a new, stronger social movement organization. Can you think of examples of different organizations with a similar goal that have banded together? In the amplification model, organizations seek to expand their core ideas to gain a wider, more universal appeal. By expanding their ideas to include a broader range, they can mobilize more people for their cause. For example, the Slow Food movement extends its arguments in support of local food to encompass reduced energy consumption, pollution, obesity from eating more healthfully, and more. In extension, social movements agree to mutually promote each other, even when the two social movement organization’s goals don’t necessarily relate to each other’s immediate goals. This often occurs when organizations are sympathetic to each others’ causes, even if they are not directly aligned, such as women’s equal rights and the civil rights movement. Transformation means a complete revision of goals. Once a movement has succeeded, it risks losing relevance. If it wants to remain active, the movement has to change with the transformation or risk becoming obsolete. For instance, when the women’s suffrage movement gained women the right to vote, members turned their attention to advocating equal rights and campaigning to elect women to office. In short, transformation is an evolution in the existing diagnostic or prognostic frames that generally achieves a total conversion of the movement. New Social Movement Theory New social movement theory, a development of European social scientists in the 1950s and 1960s, attempts to explain the proliferation of postindustrial and postmodern movements that are difficult to analyze using traditional social movement theories. Rather than being one specific theory, it is more of a perspective that revolves around understanding movements as they relate to politics, identity, culture, and social change. Some of these more complex interrelated movements include ecofeminism, which focuses on the patriarchal society as the source of environmental problems, and the transgender rights movement. Sociologist Steven Buechler (2000) suggests that we should be looking at the bigger picture in which these movements arise—shifting to a macro-level, global analysis of social movements. The Movement to Legalize Marijuana The early history of marijuana in the United States includes its use as an over-the-counter medicine as well as various industrial applications. Its recreational use eventually became a focus of regulatory concern. Public opinion, swayed by a powerful propaganda campaign by the Federal Bureau of Narcotics in the 1930s, remained firmly opposed to the use of marijuana for decades. In the 1936 church-financed propaganda film "Reefer Madness," marijuana was portrayed as a dangerous drug that caused insanity and violent behavior. One reason for the recent shift in public attitudes about marijuana, and the social movement pushing for its decriminalization, is a more-informed understanding of its effects that largely contradict its earlier characterization. The public has also become aware that penalties for possession have been significantly disproportionate along racial lines. U.S. Census and FBI data reveal that blacks in the United States are between two to eight times more likely than whites to be arrested for possession of marijuana (Urbina 2013; Matthews 2013). Further, the resulting incarceration costs and prison overcrowding are causing states to look closely at decriminalization and legalization. In 2012, marijuana was legalized for recreational purposes in Washington and Colorado through ballot initiatives approved by voters. While it remains a Schedule One controlled substance under federal law, the federal government has indicated that it will not intervene in state decisions to ease marijuana laws. Summary Social movements are purposeful, organized groups, either with the goal of pushing toward change, giving political voice to those without it, or gathering for some other common purpose. Social movements intersect with environmental changes, technological innovations, and other external factors to create social change. There are a myriad of catalysts that create social movements, and the reasons that people join are as varied as the participants themselves. Sociologists look at both the macro- and microanalytical reasons that social movements occur, take root, and ultimately succeed or fail. Section Quiz If we divide social movements according to their positions among all social movements in a society, we are using the __________ theory to understand social movements. - framing - new social movement - resource mobilization - value-added Hint: C While PETA is a social movement organization, taken together, the animal rights social movement organizations PETA, ALF, and Greenpeace are a __________. - social movement industry - social movement sector - social movement party - social industry Hint: A Social movements are: - disruptive and chaotic challenges to the government - ineffective mass movements - the collective action of individuals working together in an attempt to establish new norms beliefs, or values - the singular activities of a collection of groups working to challenge the status quo Hint: C When the League of Women Voters successfully achieved its goal of women being allowed to vote, they had to undergo frame __________, a means of completely changing their goals to ensure continuing relevance. - extension - amplification - bridging - transformation Hint: D If a movement claims that the best way to reverse climate change is to reduce carbon emissions by outlawing privately owned cars, “outlawing cars” is the ________. - prognostic framing - diagnostic framing - motivational framing - frame transformation Hint: A Short Answer Think about a social movement industry dealing with a cause that is important to you. How do the different social movement organizations of this industry seek to engage you? Which techniques do you respond to? Why? Do you think social media is an important tool in creating social change? Why, or why not? Defend your opinion. Describe a social movement in the decline stage. What is its issue? Why has it reached this stage? References A&E Television Networks, LLC. 2014. "Civil Rights Movement." Retrieved December 17, 2014 (http://www.history.com/topics/black-history/civil-rights-movement). Aberle, David. 1966. The Peyote Religion among the Navaho. Chicago: Aldine. AP/The Huffington Post. 2014. "Obama: DOMA Unconstitutional, DOJ Should Stop Defending in Court." The Huffington Post. Retrieved December 17, 2014. (http://www.huffingtonpost.com/2011/02/23/obama-doma-unconstitutional_n_827134.html). Area Chicago. 2011. “About Area Chicago.” Retrieved December 28, 2011 (http://www.areachicago.org). Benford, Robert, and David Snow. 2000. “Framing Processes and Social Movements: An Overview and Assessment.” Annual Review of Sociology 26:611–639. Blumer, Herbert. 1969. “Collective Behavior.” Pp. 67–121 in Principles of Sociology, edited by A.M. Lee. New York: Barnes and Noble. Buechler, Steven. 2000. Social Movement in Advanced Capitalism: The Political Economy and Social Construction of Social Activism. New York: Oxford University Press. CNN U.S. 2014. "Same-Sex Marriage in the United States." Retrieved December 17, 2014 (http://www.cnn.com/interactive/us/map-same-sex-marriage/). CBS Interactive Inc. 2014. "Anonymous' Most Memorable Hacks." Retrieved December 17, 2014 (http://www.cbsnews.com/pictures/anonymous-most-memorable-hacks/9/). Department of Justice, Office of Public Affairs. 2011. "Letter from the Attorney General to Congress on Litigation Involving the Defense of Marriage Act." Retrieved December 17, 2014 (http://www.justice.gov/opa/pr/letter-attorney-general-congress-litigation-involving-defense-marriage-act). Gladwell, Malcolm. 2010. “Small Change: Why the Revolution Will Not Be Tweeted.” The New Yorker, October 4. Retrieved December 23, 2011 (http://www.newyorker.com/reporting/2010/10/04/101004fa_fact_gladwell?currentPage=all). Goffman, Erving. 1974. Frame Analysis: An Essay on the Organization of Experience. Cambridge, MA: Harvard University Press. Human Rights Campaign. 2011. Retrieved December 28, 2011 (http://www.hrc.org). McAdam, Doug, and Ronnelle Paulsen. 1993. “Specifying the Relationship between Social Ties and Activism.” American Journal of Sociology 99:640–667. McCarthy, John D., and Mayer N. Zald. 1977. “Resource Mobilization and Social Movements: A Partial Theory.” American Journal of Sociology 82:1212–1241. National Organization for Marriage. 2014. “About NOM.” Retrieved January 28, 2012 (http://www.nationformarriage.org). Sauter, Theresa, and Gavin Kendall. 2011. "Parrhesia and Democracy: Truthtelling, WikiLeaks and the Arab Spring." Social Alternatives 30, no.3: 10–14. Schmitz, Paul. 2014. "How Change Happens: The Real Story of Mrs. Rosa Parks & the Montgomery Bus Boycott." Huffington Post. Retrieved December 17, 2014 (http://www.huffingtonpost.com/paul-schmitz/how-change-happens-the-re_b_6237544.html). Slow Food. 2011. “Slow Food International: Good, Clean, and Fair Food.” Retrieved December 28, 2011 (http://www.slowfood.com). Snow, David, E. Burke Rochford, Jr., Steven , and Robert Benford. 1986. “Frame Alignment Processes, Micromobilization, and Movement Participation.” American Sociological Review 51:464–481. Snow, David A., and Robert D. Benford 1988. “Ideology, Frame Resonance, and Participant Mobilization.” International Social Movement Research 1:197–217. Technopedia. 2014. "Anonymous." Retrieved December 17, 2014 (http://www.techopedia.com/definition/27213/anonymous-hacking). Texas Secede! 2009. “Texas Secession Facts.” Retrieved December 28, 2011 (http://www.texassecede.com). Tilly, Charles. 1978. From Mobilization to Revolution. New York: Mcgraw-Hill College. Wagenseil, Paul. 2011. "Anonymous 'hacktivists' attack Egyptian websites." NBC News. Retrieved December 17, 2014 (http://www.nbcnews.com/id/41280813/ns/technology_and_science-security/t/anonymous-hacktivists-attack-egyptian-websites/#.VJHmuivF-Sq).	oercommons	2025-03-18T00:38:52.663767	null	{ "license": "Creative Commons - Attribution - https://creativecommons.org/licenses/by/4.0/", "url": "https://oercommons.org/courseware/lesson/11846/overview", "title": "Introduction to Sociology 2e, Social Movements and Social Change", "author": null }
https://oercommons.org/courseware/lesson/11847/overview	Social Change Overview - Explain how technology, social institutions, population, and the environment can bring about social change - Discuss the importance of modernization in relation to social change Collective behavior and social movements are just two of the forces driving social change, which is the change in society created through social movements as well as external factors like environmental shifts or technological innovations. Essentially, any disruptive shift in the status quo, be it intentional or random, human-caused or natural, can lead to social change. Below are some of the likely causes. Causes of Social Change Changes to technology, social institutions, population, and the environment, alone or in some combination, create change. Below, we will discuss how these act as agents of social change, and we’ll examine real-world examples. We will focus on four agents of change that social scientists recognize: technology, social institutions, population, and the environment. Technology Some would say that improving technology has made our lives easier. Imagine what your day would be like without the Internet, the automobile, or electricity. In The World Is Flat, Thomas Friedman (2005) argues that technology is a driving force behind globalization, while the other forces of social change (social institutions, population, environment) play comparatively minor roles. He suggests that we can view globalization as occurring in three distinct periods. First, globalization was driven by military expansion, powered by horsepower and wind power. The countries best able to take advantage of these power sources expanded the most, and exert control over the politics of the globe from the late fifteenth century to around the year 1800. The second shorter period from approximately 1800 C.E. to 2000 C.E. consisted of a globalizing economy. Steam and rail power were the guiding forces of social change and globalization in this period. Finally, Friedman brings us to the post-millennial era. In this period of globalization, change is driven by technology, particularly the Internet (Friedman 2005). But also consider that technology can create change in the other three forces social scientists link to social change. Advances in medical technology allow otherwise infertile women to bear children, which indirectly leads to an increase in population. Advances in agricultural technology have allowed us to genetically alter and patent food products, which changes our environment in innumerable ways. From the way we educate children in the classroom to the way we grow the food we eat, technology has impacted all aspects of modern life. Of course there are drawbacks. The increasing gap between the technological haves and have-nots––sometimes called the digital divide––occurs both locally and globally. Further, there are added security risks: the loss of privacy, the risk of total system failure (like the Y2K panic at the turn of the millennium), and the added vulnerability created by technological dependence. Think about the technology that goes into keeping nuclear power plants running safely and securely. What happens if an earthquake or other disaster, like in the case of Japan’s Fukushima plant, causes the technology to malfunction, not to mention the possibility of a systematic attack to our nation’s relatively vulnerable technological infrastructure? Crowdsourcing: Using the Web to Get Things Done Millions of people today walk around with their heads tilted toward a small device held in their hands. Perhaps you are reading this textbook on a phone or tablet. People in developed societies now take communication technology for granted. How has this technology affected social change in our society and others? One very positive way is crowdsourcing. Thanks to the web, digital crowdsourcing is the process of obtaining needed services, ideas, or content by soliciting contributions from a large group of people, and especially from an online community rather than from traditional employees or suppliers. Web-based companies such as Kickstarter have been created precisely for the purposes of raising large amounts of money in a short period of time, notably by sidestepping the traditional financing process. This book, or virtual book, is the product of a kind of crowdsourcing effort. It has been written and reviewed by several authors in a variety of fields to give you free access to a large amount of data produced at a low cost. The largest example of crowdsourced data is Wikipedia, the online encyclopedia which is the result of thousands of volunteers adding and correcting material. Perhaps the most striking use of crowdsourcing is disaster relief. By tracking tweets and e-mails and organizing the data in order of urgency and quantity, relief agencies can address the most urgent calls for help, such as for medical aid, food, shelter, or rescue. On January 12, 2010 a devastating earthquake hit the nation of Haiti. By January 25, a crisis map had been created from more than 2,500 incident reports, and more reports were added every day. The same technology was used to assist victims of the Japanese earthquake and tsunami in 2011. The Darker Side of Technology: Electronic Aggression in the Information Age The U.S. Center for Disease Control (CDC) uses the term "electronic aggression" to describe "any type of harassment or bullying that occurs through e-mail, a chat room, instant messaging, a website (including blogs), or text messaging" (CDC, n.d.) We generally think of this as cyberbullying. A 2011 study by the U.S. Department of Education found that 27.8 percent of students aged twelve through eighteen reported experiencing bullying. From the same sample 9 percent specifically reported having been a victim of cyberbullying (Robers et al. 2013). Cyberbullying represents a powerful change in modern society. William F. Ogburn (1922) might have been describing it nearly a century ago when he defined "cultural lag," which occurs when material culture precedes nonmaterial culture. That is, society may not fully comprehend all the consequences of a new technology and so may initially reject it (such as stem cell research) or embrace it, sometimes with unintended negative consequences (such as pollution). Cyberbullying is a special feature of the Internet. Unique to electronic aggression is that it can happen twenty-four hours a day, every day; it can reach a child (or an adult) even though she or he might otherwise feel safe in a locked house. The messages and images may be posted anonymously and to a very wide audience, and they might even be impossible to trace. Finally, once posted, the texts and images are very hard to delete. Its effects range from the use of alcohol and drugs to lower self-esteem, health problems, and even suicide (CDC, n.d.). The Story of Megan Meier According to the Megan Meier Foundation web site (2014a), Megan Meier had a lifelong struggle with weight, attention deficit disorder, and depression. But then a sixteen-year-old boy named Josh Evans asked Megan, who was thirteen years old, to be friends on the social networking web site MySpace. The two began communicating online regularly, though they never met in person or spoke on the phone. Now Megan finally knew a boy who, she believed, really thought she was pretty. But things changed, according to the Megan Meier Foundation web site (2014b). Josh began saying he didn’t want to be friends anymore, and the messages became cruel on October 16, 2006, when Josh concluded by telling Megan, “The world would be a better place without you.” The cyberbullying escalated when additional classmates and friends on MySpace began writing disturbing messages and bulletins. That night Megan hanged herself in her bedroom closet, three weeks before what would have been her fourteenth birthday. According to an ABC News article titled, "Parents: Cyber Bullying Led to Teen's Death" (2007), it was only later that a neighbor informed Megan’s parents that Josh was not a real person. Instead, “Josh’s” account was created by the mother of a girl who used to be friends with Megan. You can find out more of Megan's story at her mother's web site: http://www.meganmeierfoundation.org/ Social Institutions Each change in a single social institution leads to changes in all social institutions. For example, the industrialization of society meant that there was no longer a need for large families to produce enough manual labor to run a farm. Further, new job opportunities were in close proximity to urban centers where living space was at a premium. The result is that the average family size shrunk significantly. This same shift toward industrial corporate entities also changed the way we view government involvement in the private sector, created the global economy, provided new political platforms, and even spurred new religions and new forms of religious worship like Scientology. It has also informed the way we educate our children: originally schools were set up to accommodate an agricultural calendar so children could be home to work the fields in the summer, and even today, teaching models are largely based on preparing students for industrial jobs, despite that being an outdated need. A shift in one area, such as industrialization, means an interconnected impact across social institutions. Population Population composition is changing at every level of society. Births increase in one nation and decrease in another. Some families delay childbirth while others start bringing children into their folds early. Population changes can be due to random external forces, like an epidemic, or shifts in other social institutions, as described above. But regardless of why and how it happens, population trends have a tremendous interrelated impact on all other aspects of society. In the United States, we are experiencing an increase in our senior population as baby boomers begin to retire, which will in turn change the way many of our social institutions are organized. For example, there is an increased demand for housing in warmer climates, a massive shift in the need for elder care and assisted living facilities, and growing awareness of elder abuse. There is concern about labor shortages as boomers retire, not to mention the knowledge gap as the most senior and accomplished leaders in different sectors start to leave. Further, as this large generation leaves the workforce, the loss of tax income and pressure on pension and retirement plans means that the financial stability of the country is threatened. Globally, often the countries with the highest fertility rates are least able to absorb and attend to the needs of a growing population. Family planning is a large step in ensuring that families are not burdened with more children than they can care for. On a macro level, the increased population, particularly in the poorest parts of the globe, also leads to increased stress on the planet’s resources. The Environment Turning to human ecology, we know that individuals and the environment affect each other. As human populations move into more vulnerable areas, we see an increase in the number of people affected by natural disasters, and we see that human interaction with the environment increases the impact of those disasters. Part of this is simply the numbers: the more people there are on the planet, the more likely it is that some will be affected by a natural disaster. But it goes beyond that. Movements like 350.org describe how we have already seen five extinctions of massive amounts of life on the planet, and the crisis of global change has put us on the verge of yet another. According to their website, "The number 350 means climate safety: to preserve a livable planet, scientists tell us we must reduce the amount of CO2 in the atmosphere from its current level of 400 parts per million to below 350 ppm" (350.org). The environment is best described as an ecosystem, one that exists as the interplay of multiple parts including 8.7 million species of life. However dozens of species are going extinct every day, a number 1,000 times to 10,000 times the normal "background rate" and the highest rate since the dinosaurs disappeared 65 million years ago. The Center for Biological Diversity states that this extinction crisis, unlike previous ones caused by natural disasters, is "caused almost entirely by us” (Center for Biological Diversity, n.d.). The growth of the human population, currently over seven billion and expected to rise to nine or ten billion by 2050, perfectly correlates with the rising extinction rate of life on earth. Hurricane Katrina: When It All Comes Together The four key elements that affect social change that are described in this chapter are the environment, technology, social institutions, and population. In 2005, New Orleans was struck by a devastating hurricane. But it was not just the hurricane that was disastrous. It was the converging of all four of these elements, and the text below will connect the elements by putting the words in parentheses. Before Hurricane Katrina (environment) hit, poorly coordinated evacuation efforts had left about 25 percent of the population, almost entirely African Americans who lacked private transportation, to suffer the consequences of the coming storm (demographics). Then "after the storm, when the levees broke, thousands more [refugees] came. And the city buses, meant to take them to proper shelters, were underwater" (Sullivan 2005). No public transportation was provided, drinking water and communications were delayed, and FEMA, the Federal Emergency Management Agency (institutions), was headed by an appointee with no real experience in emergency management. Those who were eventually evacuated did not know where they were being sent or how to contact family members. African Americans were sent the farthest from their homes. When the displaced began to return, public housing had not been reestablished, yet the Superdome stadium, which had served as a temporary disaster shelter, had been rebuilt. Homeowners received financial support, but renters did not. As it turns out, it was not entirely the hurricane that cost the lives of 1,500 people, but the fact that the city’s storm levees (technology), which had been built too low and which failed to meet numerous other safety specifications, gave way, flooding the lower portions of the city, occupied almost entirely by African Americans. Journalist Naomi Klein, in her book The Shock Doctrine: The Rise of Disaster Capitalism, presents a theory of a "triple shock," consisting of an initial disaster, an economic shock that replaces public services with private (for-profit) ones, and a third shock consisting of the intense policing of the remaining public. Klein supports her claim by quoting then-Congressman Richard Baker as saying, "We finally cleaned up public housing in New Orleans. We couldn't do it, but God did." She quotes developer Joseph Canizaro as stating, "I think we have a clean sheet to start again. And with that clean sheet we have some very big opportunities." One clean sheet was that New Orleans began to replace public schools with charters, breaking the teachers’ union and firing all public school teachers (Mullins 2014). Public housing was seriously reduced and the poor were forced out altogether or into the suburbs far from medical and other facilities (The Advocate 2013). Finally, by relocating African Americans and changing the ratio of African Americans to whites, New Orleans changed its entire demographic makeup. Modernization Modernization describes the processes that increase the amount of specialization and differentiation of structure in societies resulting in the move from an undeveloped society to developed, technologically driven society (Irwin 1975). By this definition, the level of modernity within a society is judged by the sophistication of its technology, particularly as it relates to infrastructure, industry, and the like. However, it is important to note the inherent ethnocentric bias of such assessment. Why do we assume that those living in semi-peripheral and peripheral nations would find it so wonderful to become more like the core nations? Is modernization always positive? One contradiction of all kinds of technology is that they often promise time-saving benefits, but somehow fail to deliver. How many times have you ground your teeth in frustration at an Internet site that refused to load or at a dropped call on your cell phone? Despite time-saving devices such as dishwashers, washing machines, and, now, remote control vacuum cleaners, the average amount of time spent on housework is the same today as it was fifty years ago. And the dubious benefits of 24/7 e-mail and immediate information have simply increased the amount of time employees are expected to be responsive and available. While once businesses had to travel at the speed of the U.S. postal system, sending something off and waiting until it was received before the next stage, today the immediacy of information transfer means there are no such breaks. Further, the Internet bought us information, but at a cost. The morass of information means that there is as much poor information available as trustworthy sources. There is a delicate line to walk when core nations seek to bring the assumed benefits of modernization to more traditional cultures. For one, there are obvious procapitalist biases that go into such attempts, and it is short-sighted for western governments and social scientists to assume all other countries aspire to follow in their footsteps. Additionally, there can be a kind of neo-liberal defense of rural cultures, ignoring the often crushing poverty and diseases that exist in peripheral nations and focusing only on a nostalgic mythology of the happy peasant. It takes a very careful hand to understand both the need for cultural identity and preservation as well as the hopes for future growth. Summary There are numerous and varied causes of social change. Four common causes, as recognized by social scientists, are technology, social institutions, population, and the environment. All four of these areas can impact when and how society changes. And they are all interrelated: a change in one area can lead to changes throughout. Modernization is a typical result of social change. Modernization refers to the process of increased differentiation and specialization within a society, particularly around its industry and infrastructure. While this assumes that more modern societies are better, there has been significant pushback on this western-centric view that all peripheral and semi-peripheral countries should aspire to be like North America and Western Europe. Section Quiz Children in peripheral nations have little to no daily access to computers and the Internet, while children in core nations are constantly exposed to this technology. This is an example of: - the digital divide - human ecology - modernization theory - dependency theory Hint: A When sociologists think about technology as an agent of social change, which of the following is not an example? - Population growth - Medical advances - The Internet - Genetically engineered food Hint: A China is undergoing a shift in industry, increasing labor specialization and the amount of differentiation present in the social structure. This exemplifies: - human ecology - dependency theory - modernization - conflict perspective Hint: C Core nations that work to propel peripheral nations toward modernization need to be aware of: - preserving peripheral nation cultural identity - preparing for pitfalls that come with modernization - avoiding hegemonistic assumptions about modernization - all of the above Hint: D In addition to social movements, social change is also caused by technology, social institutions, population and ______. - the environment - modernization - social structure - new social movements Hint: A Short Answer Consider one of the major social movements of the twentieth century, from civil rights in the United States to Gandhi’s nonviolent protests in India. How would technology have changed it? Would change have come more quickly or more slowly? Defend your opinion. Discuss the digital divide in the context of modernization. Is there a real concern that poorer communities are lacking in technology? Why, or why not? Which theory do you think better explains the global economy: dependency theory (global inequity is due to the exploitation of peripheral and semi-peripheral nations by core nations) or modernization theory? Remember to justify your answer and provide specific examples. Do you think that modernization is good or bad? Explain, using examples. References 350.org. 2014. "350.org." Retrieved December 18, 2014 (http://350.org/). ABC News. 2007. "Parents: Cyber Bullying Led to Teen's Suicide." Retrieved December 18, 2014 (http://abcnews.go.com/GMA/story?id=3882520). CBS News. 2011. “Record Year for Billion Dollar Disasters.” CBS News, Dec 11. Retrieved December 26, 2011 (http://www.cbsnews.com/8301-201_162-57339130/record-year-for-billion-dollar-disasters). Center for Biological Diversity. 2014. "The Extinction Crisis. Retrieved December 18, 2014 (http://www.biologicaldiversity.org/programs/biodiversity/elements_of_biodiversity/extinction_crisis/). Centers for Disease Control and Prevention (CDC). n.d. "Technology and Youth: Protecting your Children from Electronic Aggression: Tip Sheet." Retrieved December 18, 2014 (http://www.cdc.gov/violenceprevention/pdf/ea-tipsheet-a.pdf). Freidman, Thomas. 2005. The World Is Flat: A Brief History of the 21st Century. New York, NY: Farrar, Strauss, and Giroux. Gao, Huiji, Geoffrey Barbier, and Rebecca Goolsby. 2011. "Harnessing the Crowdsourcing Power of Social Media for Disaster Relief." IEEE Intelligent Systems. 26, no. 03: 10–14. Irwin, Patrick. 1975. “An Operational Definition of Societal Modernization.” Economic Development and Cultural Change 23:595–613. Klein, Naomi. 2008. The Shock Doctrine: The Rise of Disaster Capitalism. New York: Picador. Kolbert, Elizabeth. 2014. The Sixth Extinction. New York: Henry Holt and Co. Megan Meier Foundation. 2014a. "Megan Meier Foundation." Retrieved December 18, 2014 (http://www.meganmeierfoundation.org/). Megan Meier Foundation. 2014b. "Megan's Story." Retrieved December 18, 2014 (http://www.meganmeierfoundation.org/megans-story.html). Miller, Laura. 2010. “Fresh Hell: What’s Behind the Boom in Dystopian Fiction for Young Readers?” The New Yorker, June 14. Retrieved December 26, 2011 (http://www.newyorker.com/arts/critics/atlarge/2010/06/14/100614crat_atlarge_miller). Mullins, Dexter. 2014. "New Orleans to Be Home to Nation's First All-Charter School District." Al Jazeera America. Retrieved December 18, 2014 (http://america.aljazeera.com/articles/2014/4/4/new-orleans-charterschoolseducationreformracesegregation.html). Robers, Simone, Jana Kemp, Jennifer, Truman, and Thomas D. Snyder. 2013. Indicators of School Crime and Safety: 2012. National Center for Education Statistics, U.S. Department of Education, and Bureau of Justice Statistics, Office of Justice Programs, U.S. Department of Justice: Washington, DC. Retrieved December 17, 2014 (http://nces.ed.gov/pubs2013/2013036.pdf). Sullivan, Melissa. 2005. "How New Orleans' Evacuation Plan Fell Apart." NPR. Retrieved December 18, 2014 (http://www.npr.org/templates/story/story.php?storyId=4860776). Wikia. 2014. "List of Environmental Organizations." Retrieved December 18, 2014 (http://green.wikia.com/wiki/List_of_Environmental_organizations).	oercommons	2025-03-18T00:38:52.700570	null	{ "license": "Creative Commons - Attribution - https://creativecommons.org/licenses/by/4.0/", "url": "https://oercommons.org/courseware/lesson/11847/overview", "title": "Introduction to Sociology 2e, Social Movements and Social Change", "author": null }
https://oercommons.org/courseware/lesson/11840/overview	Introduction to Population, Urbanization, and the Environment Fracking, another word for hydraulic fracturing, is a method used to recover gas and oil from shale by drilling down into the earth and directing a high-pressure mixture of water, sand, and proprietary chemicals into the rock. Commonly, this process also includes drilling horizontally into the rock to create new pathways for gas to travel. While energy companies view fracking as a profitable revolution in the industry, there are a number of concerns associated with the practice. First, fracking requires huge amounts of water. Water transportation comes at a high environmental cost, and once mixed with fracking chemicals, water is unsuitable for human and animal consumption, though it is estimated that between 10 percent and 90 percent of the contaminated water is returned to the water cycle. Second, the chemicals used in a fracking mix are potentially carcinogenic. These chemicals may pollute groundwater near the extraction site (Colborn, Kwiatkowski, Schultz, and Bachran 2011; United States 2011). Industry leaders suggest that such contamination is unlikely, and that when it does occur, it is incidental and related to unavoidable human error rather than an expected risk of the practice, but the U.S. Environmental Protection Agency’s study of fracking is ongoing (Environmental Protection Agency 2014). The third concern is that fracking may cause minor earthquakes by undermining the seismic stability of an area—a concern downplayed by the companies involved (Henry 2012). Finally, gas is not a renewable source of energy; this is a negative in the eyes of those who oppose continued reliance on fossil fuels. Fracking is not without its advantages. Its supporters offer statistics that suggest it reduces unemployment and contributes to economic growth (IHS Global Insights 2012). Since it allows energy companies access to previously nonviable and completely untapped oil and gas reserves, fracking boosts domestic oil production and lowers energy costs (IHS Global Insights 2012). Finally, fracking expands the production of low-emission industrial energy. As you read this chapter, consider how an increasing global population can balance environmental concerns with opportunities for industrial and economic growth. Think about how much water pollution can be justified by the need to lower U.S. dependence of foreign energy supplies. Is the potential employment and economic growth associated with fracking worth some environmental degradation? As the discussion of fracking illustrates, there are important societal issues connected to the environment and how and where people live. Sociologists begin to examine these issues through demography, or the study of population and how it relates to urbanization, the study of the social, political, and economic relationships in cities. Environmental sociologists look at the study of how humans interact with their environments. Today, as has been the case many times in history, we are at a point of conflict in a number of these areas. The world’s population reached seven billion between 2011 and 2012. When will it reach eight billion? Can our planet sustain such a population? We generate more trash than ever, from Starbucks cups to obsolete cell phones containing toxic chemicals to food waste that could be composted. You may be unaware of where your trash ends up. And while this problem exists worldwide, trash issues are often more acute in urban areas. Cities and city living create new challenges for both society and the environment that make interactions between people and places of critical importance. How do sociologists study population and urbanization issues? Functionalist sociologists might focus on the way all aspects of population, urbanization, and the environment serve as vital and cohesive elements, ensuring the continuing stability of society. They might study how the growth of the global population encourages emigration and immigration, and how emigration and immigration serve to strengthen ties between nations. Or they might research the way migration affects environmental issues; for example, how have forced migrations, and the resulting changes in a region’s ability to support a new group, affected both the displaced people and the area of relocation? Another topic a functionalist might research is the way various urban neighborhoods specialize to serve cultural and financial needs. A conflict theorist, interested in the creation and reproduction of inequality, might ask how peripheral nations’ lack of family planning affects their overall population in comparison to core nations that tend to have lower fertility rates. Or, how do inner cities become ghettos, nearly devoid of jobs, education, and other opportunities? A conflict theorist might also study environmental racism and other forms of environmental inequality. For example, which parts of New Orleans society were the most responsive to the evacuation order during Hurricane Katrina? Which area was most affected by the flooding? And where (and in what conditions) were people from those areas housed, both during and before the evacuation? A symbolic interactionist interested in the day-to-day interaction of groups and individuals might research topics like the way family-planning information is presented to and understood by different population groups, the way people experience and understand urban life, and the language people use to convince others of the presence (or absence) of global climate change. For example, some politicians wish to present the study of global warming as junk science, and other politicians insist it is a proven fact. References Colborn, Theo, Carol Kwiatkowski, Kim Schultz, and Mary Bachran. 2011. "Natural Gas Operations from a Public Health Perspective." Human & Ecological Risk Assessment 17 (5): 1039-1056. Environmental Protection Agency. 2014. "EPA's Study of Hydraulic Fracturing and Its Potential Impact on Drinking Water Resources." U.S. EPA, September 14. Retrieved October 29, 2014. (http://www2.epa.gov/hfstudy). Henry, Terrence. 2012. "How Fracking Disposal Wells Are Causing Earthquakes in Dallas-Fort Worth." Texas RSS. N.p., August 6. Retrieved October 29, 2014 (http://stateimpact.npr.org/texas/2012/08/06/how-fracking-disposal-wells-are-causing-earthquakes-in-dallas-fort-worth/). IHS Global Insights. 2012. "The Economic and Employment Contributions of Unconventional Gas Development in State Economies." Prepared for America's Natural Gas Alliance, June 2012. Retrieved October 29, 2014 (http://www.anga.us/media/content/F7D4500D-DD3A-1073-DA3480BE3CA41595/files/state_unconv_gas_economic_contribution.pdf).	oercommons	2025-03-18T00:38:52.718521	null	{ "license": "Creative Commons - Attribution - https://creativecommons.org/licenses/by/4.0/", "url": "https://oercommons.org/courseware/lesson/11840/overview", "title": "Introduction to Sociology 2e, Population, Urbanization, and the Environment", "author": null }
https://oercommons.org/courseware/lesson/11841/overview	Demography and Population Overview - Understand demographic measurements like fertility and mortality rates - Describe a variety of demographic theories, such as Malthusian, cornucopian, zero population growth, and demographic transition theories - Be familiar with current population trends and patterns - Understand the difference between an internally displaced person, an asylum-seeker, and a refugee Between 2011 and 2012, we reached a population milestone of 7 billion humans on the earth’s surface. The rapidity with which this happened demonstrated an exponential increase from the time it took to grow from 5 billion to 6 billion people. In short, the planet is filling up. How quickly will we go from 7 billion to 8 billion? How will that population be distributed? Where is population the highest? Where is it slowing down? Where will people live? To explore these questions, we turn to demography, or the study of populations. Three of the most important components that affect the issues above are fertility, mortality, and migration. The fertility rate of a society is a measure noting the number of children born. The fertility number is generally lower than the fecundity number, which measures the potential number of children that could be born to women of childbearing age. Sociologists measure fertility using the crude birthrate (the number of live births per 1,000 people per year). Just as fertility measures childbearing, themortality rate is a measure of the number of people who die. The crude death rate is a number derived from the number of deaths per 1,000 people per year. When analyzed together, fertility and mortality rates help researchers understand the overall growth occurring in a population. Another key element in studying populations is the movement of people into and out of an area. Migration may take the form of immigration, which describes movement into an area to take up permanent residence, or emigration, which refers to movement out of an area to another place of permanent residence. Migration might be voluntary (as when college students study abroad), involuntary (as when Syrians evacuated war-torn areas), or forced (as when many Native American tribes were removed from the lands they’d lived in for generations). The 2014 Child Migration Crisis Children have always contributed to the total number of migrants crossing the southern border of the United States illegally, but in 2014, a steady overall increase in unaccompanied minors from Central America reached crisis proportions when tens of thousands of children from El Salvador, Guatemala, and Honduras crossed the Rio Grande and overwhelmed border patrols and local infrastructure (Dart 2014). Since legislators passed the William Wilberforce Trafficking Victims Protection Reauthorization Act of 2008 in the last days of the Bush administration, unaccompanied minors from countries that do not share a border with the United States are guaranteed a hearing with an immigration judge where they may request asylum based on a “credible” fear of persecution or torture (U.S. Congress 2008). In some cases, these children are looking for relatives and can be placed with family while awaiting a hearing on their immigration status; in other cases they are held in processing centers until the Department of Health and Human Services makes other arrangements (Popescu 2014). The 2014 surge placed such a strain on state resources that Texas began transferring the children to Immigration and Naturalization facilities in California and elsewhere, without incident for the most part. On July 1, 2014, however, buses carrying the migrant children were blocked by protesters in Murrietta, California, who chanted, "Go home" and "We don’t want you.” (Fox News and Associated Press 2014; Reyes 2014). Given the fact that these children are fleeing various kinds of violence and extreme poverty, how should the U.S. government respond? Should the government pass laws granting a general amnesty? Or should it follow a zero-tolerance policy, automatically returning any and all unaccompanied minor migrants to their countries of origin so as to discourage additional immigration that will stress the already overwhelmed system? A functional perspective theorist might focus on the dysfunctions caused by the sudden influx of underage asylum seekers, while a conflict perspective theorist might look at the way social stratification influences how the members of a developed country are treating the lower-status migrants from less-developed countries in Latin America. An interactionist theorist might see significance in the attitude of the Murrietta protesters toward the migrant children. Which theoretical perspective makes the most sense to you? Population Growth Changing fertility, mortality, and migration rates make up the total population composition, a snapshot of the demographic profile of a population. This number can be measured for societies, nations, world regions, or other groups. The population composition includes thesex ratio, the number of men for every hundred women, as well as thepopulation pyramid, a picture of population distribution by sex and age (). \| Country \| Population (in millions) \| Fertility Rate \| Mortality Rate \| Sex Ratio Male to Female \| \|---\|---\|---\|---\|---\| \| Afghanistan \| 31.8 \| 5.4% \| 14.1% \| 1.03 \| \| Sweden \| 9.7 \| 1.9% \| 9.6% \| 0.98 \| \| United States of America \| 318.92 \| 2.0% \| 8.2% \| 0.97 \| Comparing the three countries in reveals that there are more men than women in Afghanistan, whereas the reverse is true in Sweden and the United States. Afghanistan also has significantly higher fertility and mortality rates than either of the other two countries. Do these statistics surprise you? How do you think the population makeup affects the political climate and economics of the different countries? Demographic Theories Sociologists have long looked at population issues as central to understanding human interactions. Below we will look at four theories about population that inform sociological thought: Malthusian, zero population growth, cornucopian, and demographic transition theories. Malthusian Theory Thomas Malthus (1766–1834) was an English clergyman who made dire predictions about earth’s ability to sustain its growing population. According to Malthusian theory, three factors would control human population that exceeded the earth’scarrying capacity, or how many people can live in a given area considering the amount of available resources. Malthus identified these factors as war, famine, and disease (Malthus 1798). He termed them “positive checks” because they increase mortality rates, thus keeping the population in check. They are countered by “preventive checks,” which also control the population but by reducing fertility rates; preventive checks include birth control and celibacy. Thinking practically, Malthus saw that people could produce only so much food in a given year, yet the population was increasing at an exponential rate. Eventually, he thought people would run out of food and begin to starve. They would go to war over increasingly scarce resources and reduce the population to a manageable level, and then the cycle would begin anew. Of course, this has not exactly happened. The human population has continued to grow long past Malthus’s predictions. So what happened? Why didn’t we die off? There are three reasons sociologists believe we are continuing to expand the population of our planet. First, technological increases in food production have increased both the amount and quality of calories we can produce per person. Second, human ingenuity has developed new medicine to curtail death from disease. Finally, the development and widespread use of contraception and other forms of family planning have decreased the speed at which our population increases. But what about the future? Some still believe Malthus was correct and that ample resources to support the earth’s population will soon run out. Zero Population Growth A neo-Malthusian researcher named Paul Ehrlich brought Malthus’s predictions into the twentieth century. However, according to Ehrlich, it is the environment, not specifically the food supply, that will play a crucial role in the continued health of planet’s population (Ehrlich 1968). Ehrlich's ideas suggest that the human population is moving rapidly toward complete environmental collapse, as privileged people use up or pollute a number of environmental resources such as water and air. He advocated for a goal of zero population growth (ZPG), in which the number of people entering a population through birth or immigration is equal to the number of people leaving it via death or emigration. While support for this concept is mixed, it is still considered a possible solution to global overpopulation. Cornucopian Theory Of course, some theories are less focused on the pessimistic hypothesis that the world’s population will meet a detrimental challenge to sustaining itself. Cornucopian theory scoffs at the idea of humans wiping themselves out; it asserts that human ingenuity can resolve any environmental or social issues that develop. As an example, it points to the issue of food supply. If we need more food, the theory contends, agricultural scientists will figure out how to grow it, as they have already been doing for centuries. After all, in this perspective, human ingenuity has been up to the task for thousands of years and there is no reason for that pattern not to continue (Simon 1981). Demographic Transition Theory Whether you believe that we are headed for environmental disaster and the end of human existence as we know it, or you think people will always adapt to changing circumstances, we can see clear patterns in population growth. Societies develop along a predictable continuum as they evolve from unindustrialized to postindustrial. Demographic transition theory (Caldwell and Caldwell 2006) suggests that future population growth will develop along a predictable four-stage model. In Stage 1, birth, death, and infant mortality rates are all high, while life expectancy is short. An example of this stage is the 1800s in the United States. As countries begin to industrialize, they enter Stage 2, where birthrates are higher while infant mortality and the death rates drop. Life expectancy also increases. Afghanistan is currently in this stage. Stage 3 occurs once a society is thoroughly industrialized; birthrates decline, while life expectancy continues to increase. Death rates continue to decrease. Mexico’s population is at this stage. In the final phase, Stage 4, we see the postindustrial era of a society. Birth and death rates are low, people are healthier and live longer, and society enters a phase of population stability. Overall population may even decline. For example, Sweden is considered to be in Stage 4. The United Nations Population Fund (2008) categorizes nations as high fertility, intermediate fertility, or low fertility. The United Nations (UN) anticipates the population growth will triple between 2011 and 2100 in high-fertility countries, which are currently concentrated in sub-Saharan Africa. For countries with intermediate fertility rates (the United States, India, and Mexico all fall into this category), growth is expected to be about 26 percent. And low-fertility countries like China, Australia, and most of Europe will actually see population declines of approximately 20 percent. The graphs below illustrate this trend. Changes in U.S. Immigration Patterns and Attitudes Worldwide patterns of migration have changed, though the United States remains the most popular destination. From 1990 to 2013, the number of migrants living in the United States increased from one in six to one in five (The Pew Research Center 2013). Overall, in 2013 the United States was home to about 46 million foreign-born people, while only about 3 million U.S. citizens lived abroad. Of foreign-born citizens emigrating to the United States, 55 percent originated in Latin America and the Caribbean (Connor, Cohn, and Gonzalez-Barrera 2013). While there are more foreign-born people residing in the United States legally, as of 2012 about 11.7 million resided here without legal status (Passel, Cohn, and Gonzalez-Barrera 2013). Most citizens agree that our national immigration policies are in need major adjustment. Almost three-quarters of those in a recent national survey believed illegal immigrants should have a path to citizenship provided they meet other requirements, such as speaking English or paying restitution for the time they spent in the country illegally. Interestingly, 55 percent of those surveyed who identified as Hispanic think a pathway to citizenship is of secondary importance to provisions for living legally in the United States without the threat of deportation (The Pew Research Center 2013). Summary Scholars understand demography through various analyses. Malthusian, zero population growth, cornucopian theory, and demographic transition theories all help sociologists study demography. The earth’s human population is growing quickly, especially in peripheral countries. Factors that impact population include birthrates, mortality rates, and migration, including immigration and emigration. There are numerous potential outcomes of the growing population, and sociological perspectives vary on the potential effect of these increased numbers. The growth will pressure the already taxed planet and its natural resources. Section Quiz The population of the planet doubled in fifty years to reach _______ in 1999? - 6 billion - 7 billion - 5 billion - 10 billion Hint: A A functionalist would address which issue? - The way inner-city areas become ghettoized and limit availability to jobs - The way immigration and emigration trends strengthen global relationships - The way racism and sexism impact the population composition of rural communities - The way humans interact with environmental resources on a daily basis Hint: B What does carrying capacity refer to? - The ability of a community to welcome new immigrants - The capacity for globalism within a given ethnic group - The amount of life that can be supported sustainably in a particular environment - The amount of weight that urban centers can bear if vertical growth is mandated Hint: C What three factors did Malthus believe would limit human population? - Self-preservation, old age, and illness - Natural cycles, illness, and immigration - Violence, new diseases, and old age - War, famine, and disease Hint: D What does cornucopian theory believe? - That human ingenuity will solve any issues that overpopulation creates - That new diseases will always keep populations stable - That the earth will naturally provide enough for whatever number of humans exist - That the greatest risk is population reduction, not population growth Hint: A Short Answer Given what we know about population growth, what do you think of China’s policy that limits the number of children a family can have? Do you agree with it? Why, or why not? What other ways might a country of over 1.3 billion people manage its population? Describe the effect of immigration or emigration on your life or in a community you have seen. What are the positive effects? What are the negative effects? What responsibility does the United States have toward underage asylum-seekers? Further Research To learn more about population concerns, from the new-era ZPG advocates to the United Nations reports, check out these links: http://openstaxcollege.org/l/population_connection andhttp://openstaxcollege.org/l/un-population References Caldwell, John Charles and Bruce Caldwell. 2006. Demographic Transition Theory. The Netherlands: Springer. CIA World Factbook. 2014. "Guide to Country Comparisons." Central Intelligence Agency World Factbook. Retrieved October 31, 2014 (https://www.cia.gov/library/publications/the-world-factbook/rankorder/rankorderguide.html). Colborn, Theo, Carol Kwiatkowski, Kim Schultz, and Mary Bachran. 2011. "Natural Gas Operations from a Public Health Perspective." Human & Ecological Risk Assessment. 17 (5): 1039-1056 Connor, Phillip, D'Vera Cohn, and Ana Gonzalez-Barrera. 2013. "Changing Patterns of Global Migration and Remittances." Pew Research Centers Social Demographic Trends Project RSS. N.p., Retreived October 31, 2014 (http://www.pewsocialtrends.org/2013/12/17/changing-patterns-of-global-migration-and-remittances/). Dart, Tom. 2014. "Child Migrants at Texas Border: An Immigration Crisis That's Hardly New." The Guardian [Houston]. www.theguardian.com. Guardian News and Media Limited. Retrieved October 30, 2014 (http://www.theguardian.com/world/2014/jul/09/us-immigration-undocumented-children-texas). Ehrlich, Paul R. 1968. The Population Bomb. New York: Ballantine. Environmental Protection Agency. 2014. "EPA's Study of Hydraulic Fracturing and Its Potential Impact on Drinking Water Resources." U.S. EPA, September 14. Retrieved October 29, 2014. (http://www2.epa.gov/hfstudy). Fox News, and Associated Press. 2014. "Protests Turn Back Buses Carrying Illegal Immigrant Children." Fox News. FOX News Network. Retrieved October 30, 2014 (http://www.foxnews.com/us/2014/07/02/protests-force-buses-carrying-illegal-immigrant-children-to-be-rerouted/). Henry, Terrence. 2012. "How Fracking Disposal Wells Are Causing Earthquakes in Dallas-Fort Worth." Texas RSS. N.p., August 6. Retreived October 29, 2014 (http://stateimpact.npr.org/texas/2012/08/06/how-fracking-disposal-wells-are-causing-earthquakes-in-dallas-fort-worth/). IHS Global Insights. 2012. "The Economic and Employment Contributions of Unconventional Gas Development in State Economies." Prepared for America's Natural Gas Alliance, June 2012. Retrieved October 29, 2014. (http://www.anga.us/media/content/F7D4500D-DD3A-1073-DA3480BE3CA41595/files/state_unconv_gas_economic_contribution.pdf). Malthus, Thomas R. 1965 [1798]. An Essay on Population. New York: Augustus Kelley. Passel, Jeffrey, D'Vera Cohn, and Ana Gonzalez-Barrera. 2013. "Population Decline of Unauthorized Immigrants Stalls, May Have Reversed." Pew Research Centers Hispanic Trends Project RSS. N.p., Retreieved October 31, 2014 (http://www.pewhispanic.org/2013/09/23/population-decline-of-unauthorized-immigrants-stalls-may-have-reversed/). Pew Research Center. 2013. "Immigration: Key Data Points from Pew Research." Pew Research Center RSS. N.p., Retrieved October 31, 2014 (http://www.pewresearch.org/key-data-points/immigration-tip-sheet-on-u-s-public-opinion/). Popescu, Roxana. 2014. "Frequently Asked Questions about the Migrant Crisis." U-T San Diego. San Diego Union-Tribue, Retreieved October 31, 2014 (http://www.utsandiego.com/news/2014/jul/22/Migrant-crisis-FAQ/). Reyes, Raul A. 2014. "Murrieta Immigration Protests Were Unfortunate, Unnecessary." The Huffington Post. TheHuffingtonPost.com, Retrieved October 31, 2014 (http://www.huffingtonpost.com/raul-a-reyes/murrieta-immigration-prot_b_5569351.html). Simon, Julian Lincoln. 1981. The Ultimate Resource. Princeton, NJ: Princeton University Press. The United Nations Refugee Agency. 2014. "World Refugee Day: Global Forced Displacement Tops 50 Million for First Time in Post-World War II Era." UNHCR News. N.p., Retrieved October 31, 2014(http://www.unhcr.org/53a155bc6.html). U.S. Congress. 2008. The William Wilberforce Trafficking Victims Protection Reauthorization Act of 2008. 7311, 110 Cong., U.S. G.P.O. (enacted). Print.	oercommons	2025-03-18T00:38:52.753278	null	{ "license": "Creative Commons - Attribution - https://creativecommons.org/licenses/by/4.0/", "url": "https://oercommons.org/courseware/lesson/11841/overview", "title": "Introduction to Sociology 2e, Population, Urbanization, and the Environment", "author": null }
https://oercommons.org/courseware/lesson/11842/overview	Urbanization Overview - Describe the process of urbanization in the United States and the growth of urban populations worldwide - Understand the function of suburbs, exurbs, and concentric zones - Discuss urbanization from various sociological perspectives Urbanization is the study of the social, political, and economic relationships in cities, and someone specializing inurban sociology studies those relationships. In some ways, cities can be microcosms of universal human behavior, while in others they provide a unique environment that yields its own brand of human behavior. There is no strict dividing line between rural and urban; rather, there is a continuum where one bleeds into the other. However, once a geographically concentrated population has reached approximately 100,000 people, it typically behaves like a city regardless of what its designation might be. The Growth of Cities According to sociologist Gideon Sjoberg (1965), there are three prerequisites for the development of a city: First, good environment with fresh water and a favorable climate; second, advanced technology, which will produce a food surplus to support nonfarmers; and third, strong social organization to ensure social stability and a stable economy. Most scholars agree that the first cities were developed somewhere in ancient Mesopotamia, though there are disagreements about exactly where. Most early cities were small by today’s standards, and the largest was most likely Rome, with about 650,000 inhabitants (Chandler and Fox 1974). The factors limiting the size of ancient cities included lack of adequate sewage control, limited food supply, and immigration restrictions. For example, serfs were tied to the land, and transportation was limited and inefficient. Today, the primary influence on cities’ growth is economic forces. Since the recent economic recession reduced housing prices, researchers have been waiting to see what happens to urban migration patterns in response. Urbanization in the United States Urbanization in the United States proceeded rapidly during the Industrial Era. As more and more opportunities for work appeared in factories, workers left farms (and the rural communities that housed them) to move to the cities. From mill towns in Massachusetts to tenements in New York, the industrial era saw an influx of poor workers into U.S. cities. At various times throughout the country’s history, certain demographic groups, from post-Civil War southern Blacks to more recent immigrants, have made their way to urban centers to seek a better life in the city. Managing Refugees and Asylum-Seekers in the Modern World In 2013, the number of refugees, asylum-seekers, and internally displaced people worldwide exceeded 50 million people for the first time since the end of World War II. Half these people were children. A refugee is defined as an individual who has been forced to leave his or her country in order to escape war, persecution, or natural disaster, whileasylum-seekers are those whose claim to refugee status has not been validated. Aninternally displaced person, on the other hand, is neither a refugee nor an asylum-seeker. Displaced persons have fled their homes while remaining inside their country’s borders. The war in Syria caused most of the 2013 increase, forcing 2.5 million people to seek refugee status while internally displacing an additional 6.5 million. Violence in Central African Republic and South Sudan also contributed a large number of people to the total (The United Nations Refugee Agency 2014). The refugees need help in the form of food, water, shelter, and medical care, which has worldwide implications for nations contributing foreign aid, the nations hosting the refugees, and the non-government organizations (NGOs) working with individuals and groups on site (The United Nations Refugee Agency 2014). Where will this large moving population, including sick, elderly, children, and people with very few possessions and no long-term plan, go? Suburbs and Exurbs As cities grew more crowded, and often more impoverished and costly, more and more people began to migrate back out of them. But instead of returning to rural small towns (like they’d resided in before moving to the city), these people needed close access to the cities for their jobs. In the 1850s, as the urban population greatly expanded and transportation options improved, suburbs developed. Suburbs are the communities surrounding cities, typically close enough for a daily commute in, but far enough away to allow for more space than city living affords. The bucolic suburban landscape of the early twentieth century has largely disappeared due to sprawl. Suburban sprawl contributes to traffic congestion, which in turn contributes to commuting time. And commuting times and distances have continued to increase as new suburbs developed farther and farther from city centers. Simultaneously, this dynamic contributed to an exponential increase in natural resource use, like petroleum, which sequentially increased pollution in the form of carbon emissions. As the suburbs became more crowded and lost their charm, those who could afford it turned to the exurbs, communities that exist outside the ring of suburbs and are typically populated by even wealthier families who want more space and have the resources to lengthen their commute. Together, the suburbs, exurbs, and metropolitan areas all combine to form ametropolis. New York was the first U.S.megalopolis, a huge urban corridor encompassing multiple cities and their surrounding suburbs. These metropolises use vast quantities of natural resources and are a growing part of the U.S. landscape. Suburbs Are Not All White Picket Fences: The Banlieues of Paris What makes a suburb a suburb? Simply, a suburb is a community surrounding a city. But when you picture a suburb in your mind, your image may vary widely depending on which nation you call home. In the United States, most consider the suburbs home to upper— and middle—class people with private homes. In other countries, like France, the suburbs––or “banlieues”–– are synonymous with housing projects and impoverished communities. In fact, the banlieues of Paris are notorious for their ethnic violence and crime, with higher unemployment and more residents living in poverty than in the city center. Further, the banlieues have a much higher immigrant population, which in Paris is mostly Arabic and African immigrants. This contradicts the clichéd U.S. image of a typical white-picket-fence suburb. In 2005, serious riots broke out in the banlieue of Clichy-sous-Bois after two boys were electrocuted while hiding from the police. They were hiding, it is believed, because they were in the wrong place at the wrong time, near the scene of a break-in, and they were afraid the police would not believe in their innocence. Only a few days earlier, interior minister Nicolas Sarkozy (who later became president), had given a speech touting new measures against urban violence and referring to the people of the banlieue as “rabble” (BBC 2005). After the deaths and subsequent riots, Sarkozy reiterated his zero-tolerance policy toward violence and sent in more police. Ultimately, the violence spread across more than thirty towns and cities in France. Thousands of cars were burned, many hundreds of people were arrested, and both police and protesters suffered serious injuries. Then-President Jacques Chirac responded by pledging more money for housing programs, jobs programs, and education programs to help the banlieues solve the underlying problems that led to such disastrous unrest. But none of the newly launched programs were effective. Sarkozy ran for president on a platform of tough regulations toward young offenders, and in 2007 the country elected him. More riots ensued as a response to his election. In 2010, Sarkozy promised “war without mercy” against the crime in the banlieues (France24 2010). Six years after the Clichy-sous-Bois riot, circumstances are no better for those in the banlieues. As the Social Policy & Debate feature illustrates, the suburbs also have their share of socio-economic problems. In the United States, white flight refers to the migration of economically secure white people from racially mixed urban areas and toward the suburbs. This occurred throughout the twentieth century, due to causes as diverse as the legal end of racial segregation established byBrown v. Board of Education to the Mariel boatlift of Cubans fleeing Cuba’s Mariel port for Miami. Current trends include middle-class African-American families following white flight patterns out of cities, while affluent whites return to cities that have historically had a black majority. The result is that the issues of race, socio-economics, neighborhoods, and communities remain complicated and challenging. Urbanization around the World During the Industrial Era, there was a growth spurt worldwide. The development of factories brought people from rural to urban areas, and new technology increased the efficiency of transportation, food production, and food preservation. For example, from the mid-1670s to the early 1900s, London's population increased from 550,000 to 7 million (Old Bailey Proceedings Online 2011). Global favorites like New York, London, and Tokyo are all examples of postindustrial cities. As cities evolve from manufacturing-based industrial to service- and information-based postindustrial societies, gentrification becomes more common. Gentrification occurs when members of the middle and upper classes enter and renovate city areas that have been historically less affluent while the poor urban underclass are forced by resulting price pressures to leave those neighborhoods for increasingly decaying portions of the city. Globally, 54 percent of the world’s 7 billion people currently reside in urban areas, with the most urbanized region being North America (82 percent), followed by Latin America/the Caribbean (80 percent), with Europe coming in third (72 percent). In comparison, Africa is only 40 percent urbanized. With 38 million people, Tokyo is the world’s largest city by population. The world’s most densely populated cities are now largely concentrated in the global south, a marked change from several decades ago when the biggest cities were found in the global north. In the next forty years, the biggest global challenge for urbanized populations, particularly in less developed countries, will be to achieve development that occurs without depleting or damaging the natural environment, also called sustainable development (United Nations, Department of Economic and Social Affairs, Population Division 2014). Theoretical Perspectives on Urbanization The issues of urbanization play significant roles in the study of sociology. Race, economics, and human behavior intersect in cities. Let’s look at urbanization through the sociological perspectives of functionalism and conflict theory. Functional perspectives on urbanization generally focus on the ecology of the city, while conflict perspective tends to focus on political economy. Human ecology is a functionalist field of study that looks at on the relationship between people and their built and natural physical environments (Park 1915). Generally speaking, urban land use and urban population distribution occur in a predictable pattern once we understand how people relate to their living environment. For example, in the United States, we have a transportation system geared to accommodate individuals and families in the form of interstate highways built for cars. In contrast, most parts of Europe emphasize public transportation such as high-speed rail and commuter lines, as well as walking and bicycling. The challenge for a human ecologist working in U.S. urban planning is to design landscapes and waterscapes with natural beauty, while also figuring out how to provide for free-flowing transport of innumerable vehicles, not to mention parking! The concentric zone model (Burgess 1925) is perhaps the most famous example of human ecology. This model views a city as a series of concentric circular areas, expanding outward from the center of the city, with various “zones” invading adjacent zones (as new categories of people and businesses overrun the edges of nearby zones) and succeeding (then after invasion, the new inhabitants repurpose the areas they have invaded and push out the previous inhabitants). In this model, Zone A, in the heart of the city, is the center of the business and cultural district. Zone B, the concentric circle surrounding the city center, is composed of formerly wealthy homes split into cheap apartments for new immigrant populations; this zone also houses small manufacturers, pawn shops, and other marginal businesses. Zone C consists of the homes of the working class and established ethnic enclaves. Zone D holds wealthy homes, white-collar workers, and shopping centers. Zone E contains the estates of the upper class (in the exurbs) and the suburbs. In contrast to the functionalist approach, theoretical models in the conflict perspective focus on the way urban areas change according to specific decisions made by political and economic leaders. These decisions generally benefit the middle and upper classes while exploiting the working and lower classes. For example, sociologists Feagin and Parker (1990) suggested three factors by which political and economic leaders control urban growth. First, these leaders work alongside each other to influence urban growth and decline, determining where money flows and how land use is regulated. Second, exchange value and use value of land are balanced to favor the middle and upper classes so that, for example, public land in poor neighborhoods may be rezoned for use as industrial land. Finally, urban development is dependent on both structure (groups such as local government) and agency (individuals including businessmen and activists), and these groups engage in a push-pull dynamic that determines where and how land is actually used. For example, Not In My Back Yard (NIMBY) movements are more likely to emerge in middle and upper-class neighborhoods as engaged citizens protest poor environmental practices they fear will affect them, so these groups have more control over the use of local land. Summary Cities provide numerous opportunities for their residents and offer significant benefits including access to goods to numerous job opportunities. At the same time, high population areas can lead to tensions between demographic groups, as well as environmental strain. While the population of urban dwellers is continuing to rise, sources of social strain are rising along with it. The ultimate challenge for today’s urbanites is finding an equitable way to share the city’s resources while reducing the pollution and energy use that negatively impacts the environment. Section Quiz In the concentric zone model, Zone B is likely to house what? - The city’s industrial center - Wealthy commuter homes - Formerly wealthy homes split into cheap apartments - Rural outposts Hint: C What are the prerequisites for the existence of a city? - Good environment with water and a favorable climate - Advanced agricultural technology - Strong social organization - All of the above Hint: D In 2014, what was the largest city in the world? - Delhi - New York - Shanghai - Tokyo Hint: D What led to the creation of the exurbs? - Urban sprawl and crowds moving into the city - The high cost of suburban living - The housing boom of the 1980s - Gentrification Hint: A How are the suburbs of Paris different from those of most U.S. cities? - They are connected by public transportation. - There are more industrial and business opportunities there. - They are synonymous with housing projects and urban poor. - They are less populated. Hint: C How does gentrification affect cities? - They become more crowded. - Less affluent residents are pushed into less desirable areas. - Traffic issues, including pollution, become worse. - All of the above Hint: B What does human ecology theory address? - The relationship between humans and their environments - The way humans affect technology - The way the human population reduces the variety of nonhuman species - The relationship between humans and other species Hint: A Urbanization includes the sociological study of what? - Urban economics - Urban politics - Urban environments - All of the above Hint: D Short Answer What are the differences between the suburbs and the exurbs, and who is most likely to live in each? How will the growth in urban populations affect the world over the next ten years? Considering the concentric zone model, what type of zone were you raised in? Is this the same or different as that of earlier generations in your family? What type of zone do you reside in now? Do you find that people from one zone stereotype those from another? If so, how? Further Research Interested in learning more about the latest research in the field of human ecology? Visit the Society for Human Ecology web site to discover what’s emerging in this field: http://openstaxcollege.org/l/human_ecology Getting from place to place in urban areas might be more complicated than you think. Read the latest on pedestrian-traffic concerns at the Urban Blog web site: http://openstaxcollege.org/l/pedestrian_traffic References BBC. 2005. “Timeline: French Riots—A Chronology of Key Events.” November 14. Retrieved December 9, 2011 (http://news.bbc.co.uk/2/hi/europe/4413964.stm). Burgess, Ernest. 1925. “The Growth of the City.” Pp. 47–62 in The City, edited by R. Park and E. Burgess. Chicago: University of Chicago Press. Chandler, Tertius and Gerald Fox. 1974. 3000 Years of Urban History. New York: Academic Press. Dougherty, Connor. 2008. “The End of White Flight.” Wall Street Journal, July 19. Retrieved December 12, 2011 (http://online.wsj.com/article/SB121642866373567057.html). Feagin, Joe, and Robert Parker. 1990. Building American Cities: The Urban Real Estate Game. 2nd ed. Englewood Cliffs, NJ: Prentice Hall. France24. 2010. “Sarkozy Promises War without Mercy for Paris Suburbs.” France 24, April 10. Retrieved December 9, 2011 (http://www.france24.com/en/20100420-sarkozy-war-suburbs-drugs-crime-violence-truancy-tremblay-en-france-saint-denis-france). LeBlanc, Adrien Nicole. 2003. Random Family: Love, Drugs, Trouble and Coming of Age in the Bronx. New York: Scribner. Park, Robert. 1934 [1915]. “The City: Suggestions for Investigations of Human Behavior in the City.” American Journal of Sociology 20:577–612. Park, Robert. 1936. “Human Ecology.” American Journal of Sociology 42:1–15. Old Bailey Proceedings Online. 2011. “Population History of London.” Retrieved December 11, 2011 (http://www.oldbaileyonline.org/static/Population-history-of-london.jsp). Sciolino, Elaine, and Ariane Bernand. 2006. “Anger Festering in French Areas Scarred in Riots.” New York Times, October 21. Retrieved December 11, 2011 (http://www.nytimes.com/2006/10/21/world/europe/21france.html?scp=2&sq=paris+suburb&st=nyt). Sjoberg, Gideon. 1965. The Preindustrial City: Past and Present. New York: Free Press. Talbot, Margaret. 2003. “Review: Random Family. Love, Drugs, Trouble and Coming of Age in the Bronx.” New York Times, February 9. Retrieved December 12, 2011 (http://www.nytimes.com/2003/02/09/books/in-the-other-country.html?pagewanted=all&src=pm). United Nations, Department of Economic and Social Affairs, Population Division. 2014. “World Urbanization Prospects: The 2014 Revision, Highlights” (ST/ESA/SER.A/352). Retrieved November 3, 2014 (http://esa.un.org/unpd/wup/Highlights/WUP2014-Highlights.pdf). United States Census Bureau. 2014, "2010 Census Urban and Rural Classification and Urban Area Criteria." Retrieved December 16, 2014 (http://www.census.gov/geo/reference/ua/urban-rural-2010.html).	oercommons	2025-03-18T00:38:52.793217	null	{ "license": "Creative Commons - Attribution - https://creativecommons.org/licenses/by/4.0/", "url": "https://oercommons.org/courseware/lesson/11842/overview", "title": "Introduction to Sociology 2e, Population, Urbanization, and the Environment", "author": null }
https://oercommons.org/courseware/lesson/11843/overview	The Environment and Society Overview - Describe climate change and its importance - Apply the concept of carrying capacity to environmental concerns - Understand the challenges presented by pollution, garbage, e-waste, and toxic hazards - Discuss real-world instances of environmental racism The subfield of environmental sociology studies the way humans interact with their environments. This field is closely related to human ecology, which focuses on the relationship between people and their built and natural environment. This is an area that is garnering more attention as extreme weather patterns and policy battles over climate change dominate the news. A key factor of environmental sociology is the concept of carrying capacity, which describes the maximum amount of life that can be sustained within a given area. While this concept can refer to grazing lands or to rivers, we can also apply it to the earth as a whole. The Tragedy of the Commons You might have heard the expression “the tragedy of the commons.” In 1968, an article of the same title written by Garrett Hardin described how a common pasture was ruined by overgrazing. But Hardin was not the first to notice the phenomenon. Back in the 1800s, Oxford economist William Forster Lloyd looked at the devastated public grazing commons and the unhealthy cattle subject to such limited resources, and saw, in essence, that the carrying capacity of the commons had been exceeded. However, since no one was held responsible for the land (as it was open to all), no one was willing to make sacrifices to improve it. Cattle grazers benefitted from adding more cattle to their herds, but they did not have to take on the responsibility of the lands that were being damaged by overgrazing. So there was an incentive for them to add more head of cattle, and no incentive for restraint. Satellite photos of Africa taken in the 1970s showed this practice to dramatic effect. The images depicted a dark irregular area of more than 300 square miles. There was a large fenced area, where plenty of grass was growing. Outside the fence, the ground was bare and devastated. The reason was simple: the fenced land was privately owned by informed farmers who carefully rotated their grazing animals and allowed the fields to lie fallow periodically. Outside the fence was land used by nomads. Like the herdsmen in 1800s Oxford, the nomads increased their heads of cattle without planning for its impact on the greater good. The soil eroded, the plants died, then the cattle died, and, ultimately, some of the people died. How does this lesson affect those of us who don’t need to graze our cattle? Well, like the cows, we all need food, water, and clean air to survive. With the increasing world population and the ever-larger megalopolises with tens of millions of people, the limit of the earth’s carrying capacity is called into question. When too many take while giving too little thought to the rest of the population, whether cattle or humans, the result is usually tragedy. Climate Change While you might be more familiar with the phrase “global warming,” climate change is the term now used to refer to long-term shifts in temperatures due to human activity and, in particular, the release of greenhouse gases into the environment. The planet as a whole is warming, but the term climate change acknowledges that the short-term variations in this process can include both higher and lower temperatures, despite the overarching trend toward warmth. Climate change is a deeply controversial subject, despite decades of scientific research and a high degree of scientific consensus that supports its existence. For example, according to NASA scientists, 2013 tied with 2009 and 2006 as the seventh-warmest year since 1880, continuing the overall trend of increasing worldwide temperatures (NASA 2014). One effect of climate change is more extreme weather. There are increasingly more record-breaking weather phenomena, from the number of Category 4 hurricanes to the amount of snowfall in a given winter. These extremes, while they make for dramatic television coverage, can cause immeasurable damage to crops, property, and even lives. So why is there a controversy? The National Oceanographic and Atmospheric Association (NOAA) recognizes the existence of climate change. So do nearly 200 countries that signed the Kyoto Protocol, a document intended to engage countries in voluntary actions to limit the activity that leads to climate change. (The United States was not one of the 200 nations committed to this initiative to reduce environmental damage, and its refusal to sign continues to be a source of contention.) What's the argument about? For one thing, for companies making billions of dollars in the production of goods and services, the idea of costly regulations that would require expensive operational upgrades has been a source of great anxiety. They argue via lobbyists that such regulations would be disastrous for the economy. Some go so far as to question the science used as evidence. There is also a lot of finger-pointing among countries, especially when the issue arises of who will be permitted to pollute. World systems analysis suggests that while, historically, core nations (like the United States and Western Europe) were the greatest source of greenhouse gases, they have now evolved into postindustrial societies. Industrialized semi-peripheral and peripheral nations are releasing increasing quantities of carbon emissions. The core nations, now post-industrial and less dependent on greenhouse-gas-causing industries, wish to enact strict protocols regarding the causes of global warming, but the semi-peripheral and peripheral nations rightly point out that they only want the same economic chance to evolve their economies. Since they were unduly affected by the progress of core nations, if the core nations now insist on "green" policies, they should pay offsets or subsidies of some kind. There are no easy answers to this conflict. It may well not be "fair" that the core nations benefited from ignorance during their industrial boom. The international community continues to work toward a way to manage climate change. During the 2009 United Nations Climate Change Conference in Copenhagean, the United States agreed to fund global climate change programs. In September 2010, President Obama announced the Global Climate Change Initiative (GCCI) as part of his administration’s Global Development Policy. The GCCI is a United States Agency for International Development (USAID) funding program intended to improve the economic and environmental sustainability of peripheral and semi-peripheral countries by encouraging the use of alternative, low-carbon, energy sources with financial incentives. Programming is organized around three pillars: (1) climate change adaptation, (2) clean energy, and (3) sustainable landscapes (Troilo 2012). Pollution Pollution describes what happens when contaminants are introduced into an environment (water, air, land) at levels that are damaging. Environments can often sustain a limited amount of contaminants without marked change, and water, air, and soil can “heal” themselves to a certain degree. However, once contaminant levels reach a certain point, the results can be catastrophic. Water Look at your watch. Wait fifteen seconds. Then wait another fifteen seconds. In that time, two children have died from lack of access to clean drinking water. Access to safe water is one of the most basic human needs, and it is woefully out of reach for millions of people on the planet. Many of the major diseases that peripheral countries battle, such as diarrhea, cholera, and typhoid, are caused by contaminated water. Often, young children are unable to go to school because they must instead walk several hours a day just to collect potable water for their family. The situation is only getting more dire as the global population increases. Water is a key resource battleground in the twenty-first century. As every child learns in school, 70 percent of earth is made of water. Despite that figure, there is a finite amount of water usable by humans and it is constantly used and reused in a sustainable water cycle. The way we use this abundant natural resource, however, renders much of it unsuitable for consumption and unable to sustain life. For instance, it takes two and a half liters of water to produce a single liter of Coca-Cola. The company and its bottlers use close to 300 billion liters of water a year, often in locales that are short of useable water (Blanchard 2007). As a consequence of population concentrations, water close to human settlements is frequently polluted with untreated or partially treated human waste (sewage), chemicals, radioactivity, and levels of heat sufficient to create large “dead zones” incapable of supporting aquatic life. The methods of food production used by many core nations rely on liberal doses of nitrogen and pesticides, which end up back in the water supply. In some cases, water pollution affects the quality of the aquatic life consumed by water and land animals. As we move along the food chain, the pollutants travel from prey to predator. Since humans consume at all levels of the food chain, we ultimately consume the carcinogens, such as mercury, accumulated through several branches of the food web. Soil You might have read The Grapes of Wrath in English class at some point in time. Steinbeck’s tale of the Joads, driven out of their home by the Dust Bowl, is still playing out today. In China, as in Depression-era Oklahoma, over-tilling soil in an attempt to expand agriculture has resulted in the disappearance of large patches of topsoil. Soil erosion and desertification are just two of the many forms of soil pollution. In addition, all the chemicals and pollutants that harm our water supplies can also leach into soil with similar effects. Brown zones where nothing can grow are common results of soil pollution. One demand the population boom makes on the planet is a requirement for more food to be produced. The so-called “Green Revolution” in the 1960s saw chemists and world aid organizations working together to bring modern farming methods, complete with pesticides, to developing countries. The immediate result was positive: food yields went up and burgeoning populations were fed. But as time has gone on, these areas have fallen into even more difficult straits as the damage done by modern methods leave traditional farmers with less than they had to start. Dredging certain beaches in an attempt to save valuable beachfront property from coastal erosion has resulted in greater storm impact on shorelines, and damage to beach ecosystems (Turneffe Atoll Trust 2008). These dredging projects have damaged reefs, sea grass beds, and shorelines and can kill off large swaths of marine life. Ultimately, this damage threatens local fisheries, tourism, and other parts of the local economy. Garbage Where is your last cell phone? What about the one before that? Or the huge old television set your family had before flat screens became popular? For most of us, the answer is a sheepish shrug. We don’t pay attention to the demise of old items, and since electronics drop in price and increase in innovation at an incredible clip, we have been trained by their manufacturers to upgrade frequently. Garbage creation and control are major issues for most core and industrializing nations, and it is quickly becoming one of the most critical environmental issues faced in the United States. People in the United States buy products, use them, and then throw them away. Did you dispose of your old electronics according to government safety guidelines? Chances are good you didn’t even know there are guidelines. Multiply your electronics times a few million, take into account the numerous toxic chemicals they contain, and then imagine either burying those chemicals in the ground or lighting them on fire. Those are the two primary means of waste disposal in the United States: landfill and incineration. When it comes to getting rid of dangerous toxins, neither is a good choice. Styrofoam and plastics that many of us use every day do not dissolve in a natural way. Burn them, and they release carcinogens into the air. Their improper incineration (intentional or not) adds to air pollution and increases smog. Dump them in landfills, and they do not decompose. As landfill sites fill up, we risk an increase in groundwater contamination. What Should Apple (and Friends) Do about E-Waste? Electronic waste, or e-waste, is one of the fastest growing segments of garbage. And it is far more problematic than even the mountains of broken plastic and rusty metal that plague the environment. E-waste is the name for obsolete, broken, and worn-out electronics—from computers to mobile phones to televisions. The challenge is that these products, which are multiplying at alarming rates thanks in part to planned obsolescence (the designing of products to quickly become outdated and then be replaced by the constant emergence of newer and cheaper electronics), have toxic chemicals and precious metals in them, which makes for a dangerous combination. So where do they go? Many companies ship their e-waste to developing nations in Africa and Asia to be “recycled.” While they are, in some senses, recycled, the result is not exactly clean. In fact, it is one of the dirtiest jobs around. Overseas, without the benefit of environmental regulation, e-waste dumps become a kind of boomtown for entrepreneurs willing to sort through endless stacks of broken-down electronics for tiny bits of valuable copper, silver, and other precious metals. Unfortunately, in their hunt, these workers are exposed to deadly toxins. Governments are beginning to take notice of the impending disaster, and the European Union, as well as the state of California, put stricter regulations in place. These regulations both limit the amount of toxins allowed in electronics and address the issue of end-of-life recycling. But not surprisingly, corporations, while insisting they are greening their process, often fight stricter regulations. Meanwhile, many environmental groups, including the activist group Greenpeace, have taken up the cause. Greenpeace states that it is working to get companies to: - measure and reduce emissions with energy efficiency, renewable energy, and energy policy advocacy - make greener, efficient, longer lasting products that are free of hazardous substance - reduce environmental impacts throughout company operations, from choosing production materials and energy sources right through to establishing global take-back programs for old products (Greenpeace 2011). Greenpeace produces annual ratings of how well companies are meeting these goals so consumers can see how brands stack up. For instance, Apple moved from ranking fourth overall to sixth overall from 2011 to 2012. The hope is that consumers will vote with their wallets, and the greener companies will be rewarded. Air China’s fast-growing economy and burgeoning industry have translated into notoriously poor air quality. Smog hangs heavily over the major cities, sometimes grounding aircraft that cannot navigate through it. Pedestrians and cyclists wear air-filter masks to protect themselves. In Beijing, citizens are skeptical that the government-issued daily pollution ratings are trustworthy. Increasingly, they are taking their own pollution measurements in the hopes that accurate information will galvanize others to action. Given that some days they can barely see down the street, they hope action comes soon (Papenfuss 2011). Humanity, with its growing numbers, use of fossil fuels, and increasingly urbanized society, is putting too much stress on the earth’s atmosphere. The amount of air pollution varies from locale to locale, and you may be more personally affected than you realize. How often do you check air quality reports before leaving your house? Depending on where you live, this question can sound utterly strange or like an everyday matter. Along with oxygen, most of the time we are also breathing in soot, hydrocarbons, carbon, nitrogen, and sulfur oxides. Much of the pollution in the air comes from human activity. How many college students move their cars across campus at least once a day? Who checks the environmental report card on how many pollutants each company throws into the air before purchasing a cell phone? Many of us are guilty of taking our environment for granted without concern for how everyday decisions add up to a long-term global problem. How many minor adjustments can you think of, like walking instead of driving, that would reduce your overall carbon footprint? Remember the “tragedy of the commons.” Each of us is affected by air pollution. But like the herder who adds one more head of cattle to realize the benefits of owning more cows but who does not have to pay the price of the overgrazed land, we take the benefit of driving or buying the latest cell phones without worrying about the end result. Air pollution accumulates in the body, much like the effects of smoking cigarettes accumulate over time, leading to more chronic illnesses. And in addition to directly affecting human health, air pollution affects crop quality as well as heating and cooling costs. In other words, we all pay a lot more than the price at the pump when we fill up our tank with gas. Toxic and Radioactive Waste Radioactivity is a form of air pollution. While nuclear energy promises a safe and abundant power source, increasingly it is looked upon as a danger to the environment and to those who inhabit it. We accumulate nuclear waste, which we must then keep track of long term and ultimately figure out how to store the toxic waste material without damaging the environment or putting future generations at risk. The 2011 earthquake in Japan illustrates the dangers of even safe, government-monitored nuclear energy. When disaster occurs, how can we safely evacuate the large numbers of affected people? Indeed, how can we even be sure how far the evacuation radius should extend? Radiation can also enter the food chain, causing damage from the bottom (phytoplankton and microscopic soil organisms) all the way to the top. Once again, the price paid for cheap power is much greater than what we see on the electric bill. The enormous oil disaster that hit the Louisiana Gulf Coast in 2010 is just one of a high number of environmental crises that have led to toxic residue. They include the pollution of the Love Canal neighborhood of the 1970s to the Exxon Valdez oil tanker crash of 1989, the Chernobyl disaster of 1986, and Japan’s Fukushima nuclear plant incident following the earthquake in 2011. Often, the stories are not newsmakers, but simply an unpleasant part of life for the people who live near toxic sites such as Centralia, Pennsylvania and Hinkley, California. In many cases, people in these neighborhoods can be part of acancer cluster without realizing the cause. The Fire Burns On: Centralia, Pennsylvania There used to be a place called Centralia, Pennsylvania. The town incorporated in the 1860s and once had several thousand residents, largely coal workers. But the story of its demise begins a century later in 1962. That year, a trash-burning fire was lit in the pit of the old abandoned coal mine outside of town. The fire moved down the mineshaft and ignited a vein of coal. It is still burning. For more than twenty years, people tried to extinguish the underground fire, but no matter what they did, it returned. There was little government action, and people had to abandon their homes as toxic gases engulfed the area and sinkholes developed. The situation drew national attention when the ground collapsed under twelve-year-old Todd Domboski in 1981. Todd was in his yard when a sinkhole four feet wide and 150 feet deep opened beneath him. He clung to exposed tree roots and saved his life; if he had fallen a few feet farther, the heat or carbon monoxide would have killed him instantly. In 1983, engineers studying the fire concluded that it could burn for another century or more and could spread over nearly 4,000 acres. At this point, the government offered to buy out the town’s residents and wanted them to relocate to nearby towns. A few determined Centralians refused to leave, even though the government bought their homes, and they are the only ones who remain. In one field, signs warn people to enter at their own risk, because the ground is hot and unstable. And the fire burns on (DeKok 1986). Environmental Racism Environmental racism refers to the way in which minority group neighborhoods (populated primarily by people of color and members of low socioeconomic groups) are burdened with a disproportionate number of hazards, including toxic waste facilities, garbage dumps, and other sources of environmental pollution and foul odors that lower the quality of life. All around the globe, members of minority groups bear a greater burden of the health problems that result from higher exposure to waste and pollution. This can occur due to unsafe or unhealthy work conditions where no regulations exist (or are enforced) for poor workers, or in neighborhoods that are uncomfortably close to toxic materials. The statistics on environmental racism are shocking. Research shows that it pervades all aspects of African Americans' lives: environmentally unsound housing, schools with asbestos problems, facilities and playgrounds with lead paint. A twenty-year comparative study led by sociologist Robert Bullard determined “race to be more important than socioeconomic status in predicting the location of the nation’s commercial hazardous waste facilities” (Bullard et al. 2007). His research found, for example, that African American children are five times more likely to have lead poisoning (the leading environmental health threat for children) than their Caucasian counterparts, and that a disproportionate number of people of color reside in areas with hazardous waste facilities (Bullard et al. 2007). Sociologists with the project are examining how environmental racism is addressed in the long-term cleanup of the environmental disasters caused by Hurricane Katrina. American Indian Tribes and Environmental Racism Native Americans are unquestionably victims of environmental racism. The Commission for Racial Justice found that about 50 percent of all American Indians live in communities with uncontrolled hazardous waste sites (Asian Pacific Environmental Network 2002). There’s no question that, worldwide, indigenous populations are suffering from similar fates. For Native American tribes, the issues can be complicated—and their solutions hard to attain—because of the complicated governmental issues arising from a history of institutionalized disenfranchisement. Unlike other racial minorities in the United States, Native American tribes are sovereign nations. However, much of their land is held in “trust,” meaning that “the federal government holds title to the land in trust on behalf of the tribe” (Bureau of Indian Affairs 2012). Some instances of environmental damage arise from this crossover, where the U.S. government’s title has meant it acts without approval of the tribal government. Other significant contributors to environmental racism as experienced by tribes are forcible removal and burdensome red tape to receive the same reparation benefits afforded to non-Indians. To better understand how this happens, let’s consider a few example cases. The home of the Skull Valley Band of Goshute Indians was targeted as the site for a high-level nuclear waste dumping ground, amid allegations of a payoff of as high as $200 million (Kamps 2001). Keith Lewis, an indigenous advocate for Indian rights, commented on this buyout, after his people endured decades of uranium contamination, saying that “there is nothing moral about tempting a starving man with money” (Kamps 2001). In another example, the Western Shoshone’s Yucca Mountain area has been pursued by mining companies for its rich uranium stores, a threat that adds to the existing radiation exposure this area suffers from U.S. and British nuclear bomb testing (Environmental Justice Case Studies 2004). In the “four corners” area where Colorado, Utah, Arizona, and New Mexico meet, a group of Hopi and Navajo families have been forcibly removed from their homes so the land could be mined by the Peabody Mining Company for coal valued at $10 billion (American Indian Cultural Support 2006). Years of uranium mining on the lands of the Navajo of New Mexico have led to serious health consequences, and reparations have been difficult to secure; in addition to the loss of life, people’s homes and other facilities have been contaminated (Frosch 2009). In yet another case, members of the Chippewa near White Pine, Michigan, were unable to stop the transport of hazardous sulfuric acid across reservation lands, but their activism helped bring an end to the mining project that used the acid (Environmental Justice Case Studies 2004). These examples are only a few of the hundreds of incidents that American Indian tribes have faced and continue to battle against. Sadly, the mistreatment of the land’s original inhabitants continues via this institution of environmental racism. How might the work of sociologists help draw attention to—and eventually mitigate—this social problem? Why does environmental racism exist? The reason is simple. Those with resources can raise awareness, money, and public attention to ensure that their communities are unsullied. This has led to an inequitable distribution of environmental burdens. Another method of keeping this inequity alive is NIMBY protests. Chemical plants, airports, landfills, and other municipal or corporate projects are often the subject of NIMBY demonstrations. And equally often, the NIMBYists win, and the objectionable project is moved closer to those who have fewer resources to fight it. Summary The area of environmental sociology is growing as extreme weather patterns and concerns over climate change increase. Human activity leads to pollution of soil, water, and air, compromising the health of the entire food chain. While everyone is at risk, poor and disadvantaged neighborhoods and nations bear a greater burden of the planet’s pollution, a dynamic known as environmental racism. Section Quiz The “tragedy of the commons” is a reference to what? - Global warming - African landowners - The common grazing lands in Oxford - The misuse of private space Hint: C What are ways that human activity impacts the water supply? - Creating sewage - Spreading chemicals - Increasing radioactivity - All of the above Hint: D Which is an example of environmental racism? - The fact that a disproportionate percentage of people of color live in environmentally hazardous areas - Greenpeace protests - The prevalence of asbestos in formerly “whites only” schools - Prejudice similar to racism against people with different environmental views than one’s own Hint: A What is not a negative outcome of shoreline dredging? - Damaged coral reefs - Death of marine life - Ruined sea grass beds - Reduction of human population Hint: D What are the two primary methods of waste disposal? - Landfill and incineration - Incineration and compost - Decomposition and incineration - Marine dumping and landfills Hint: A Where does a large percentage of e-waste wind up? - Incinerators - Recycled in peripheral nations - Repurposed into new electronics - Dumped into ocean repositories Hint: B What types of municipal projects often result in environmental racism? - Toxic dumps or other objectionable projects - The location of schools, libraries, and other cultural institutions - Hospitals and other health and safety sites - Public transportation options Hint: A Short Answer After reading this section, will you change the way you treat your household waste? Explain. How do you think the issue of e-waste should be dealt with? Should the responsibility fall to the companies that make the products or the consumer who buys them? Would your buying habits be different if you had to pay to recycle old electronics? Can you think of a modern example of the tragedy of the commons, where public use without accountability has created a negative outcome? NIMBY protests occur when concerned citizens band together to speak up against something that will impact them negatively. Is this a positive or negative trend? Give an example of a NIMBY protest and whether you support it or not. Further Research Visit the Cleanups in My Community web site: http://openstaxcollege.org/l/community_cleanup to see where environmental hazards have been identified in your backyard, and what is being done about them. What is your carbon footprint? Find out using the carbon footprint calculator at http://openstaxcollege.org/l/carbon_footprint_calculator Find out more about greening the electronics process by looking at Greenpeace’s guide: http://openstaxcollege.org/l/greenpeace_electronics References American Indian Cultural Support. 2006. “Short History of Big Mountain—Black Mesa.” Retrieved January 22, 2012 (http://www.aics.org/BM/bm.html). Bertolucci, Jeff. 2009. “How Green Is Your Apple?” Macworld, April 22. Retrieved December 14, 2011 (http://www.macworld.com/article/140122/2009/04/greenapple3.html). Blanchard, Ben. 2007. “Coke Vows to Reduce Water Used in Drink Production.” Reuters, June 5. Retrieved December 14, 2011 (http://www.reuters.com/article/2007/06/05/environment-coke-water-dc-idUSSP28630420070605). Bullard, Robert D., Paul Mohai, Robin Saha, and Beverly Wright. 2007. Toxic Wastes and Race at Twenty: 1987–2007. United Church of Christ Commission for Racial Justice. Retrieved January 22, 2012 (http://www.ucc.org/assets/pdfs/toxic20.pdf). Bureau of Indian Affairs. 2012. “FAQs.” Retrieved January 22, 2012 (http://www.bia.gov/FAQ/index/htm). DeKok, David. 1986. Unseen Danger: A Tragedy of People, Government, and the Centralia Mine Fire. Philadelphia, PA: University of Pennsylvania Press. Environmental Justice Case Studies. 2004. University of Michigan. Retrieved January 22, 2012 (http://www.umich.edu/~snre492/cses.html). Frosch, Dan. 2009. “Uranium Contamination Haunts Navajo Country.” New York Times, July 27. Retrieved January 22, 2012 (http://www.newyorktimes.com/2009/07/27/us/navajo.html). Greenpeace. 2011. “Greenpeace Guide to Greener Electronics.” November. Retrieved December 13, 2011 (http://www.greenpeace.org/international/en/campaigns/toxics/electronics). Greepeace. 2012. "Greenpeace Guide to Greener Electronics." November. Retrieved December 17, 2014 (http://www.greenpeace.org/international/en/campaigns/climate-change/cool-it/Campaign-analysis/Guide-to-Greener-Electronics/). Hardin, Garrett. 1968. “The Tragedy of the Commons,” Science 162(3859):1243–1248. Retrieved December 10, 2011 (http://www.sciencemag.org/content/162/3859/1243.full). Kamps, Kevin. 2001. “Environmental Racism, Tribal Sovereignty and Nuclear Waste.” Nuclear Information and Resource Service. Retrieved January 22, 2012 (http://www.nirs.org/factsheets/pfsejfactsheet.htm). NASA. 2014. “NASA Finds 2013 Sustained Long-Term Climate Warming Trend.” NASA, January 21. Retrieved October 27, 2014(http://www.giss.nasa.gov/research/news/20140121/). Ogunseitanl, Oladele, Julie M. Stoning, Jean-Daniel M. Sapphires, and Andrew A. Shapiro. 2009. “The Electronics Revolution: From E-Wonderland to E-Wasteland.” Science 326(5953):670–671. Retrieved December 14, 2011 (http://www.sciencemag.org/content/326/5953/670.summary). Papenfuss, Mary. 2011. “Cynical Chinese Taking Own Smog Readings.” Newser, December 8. Retrieved January 23, 2012 (http://www.newser.com/story/134966/cynical-chinese-taking-own-smog-readings.html). Troilo, Pete. 2012. "Yes, We Can? Obama's Global Climate Change Initiative." International Development. Devex, January 30. Retrieved October 27, 2014 (https://www.devex.com/news/yes-we-can-obama-s-global-climate-change-initiative-77363). Turneffe Atoll Trust. 2008. “Improper Development: Recommendations of the Turneffe Atoll Coastal Advisory Committee.” Retrieved December 14, 2011 (http://www.turneffeatoll.org/threats-to-turneffe-atoll/improper-development-practices). United States. 2011. “Chemicals Used in Hydraulic Fracturing.” Washington, D.C: U.S. House of Representatives, Committee on Energy and Commerce. Retrieved October 29, 2014 (http://democrats.energycommerce.house.gov/sites/default/files/documents/Hydraulic%20Fracturing%20Report%204.18.11.pdf).	oercommons	2025-03-18T00:38:52.837831	null	{ "license": "Creative Commons - Attribution - https://creativecommons.org/licenses/by/4.0/", "url": "https://oercommons.org/courseware/lesson/11843/overview", "title": "Introduction to Sociology 2e, Population, Urbanization, and the Environment", "author": null }
https://oercommons.org/courseware/lesson/15402/overview	Introduction Overview - Portuguese Exploration and Spanish Conquest - Religious Upheavals in the Developing Atlantic World - Challenges to Spain’s Supremacy - New Worlds in the Americas: Labor, Commerce, and the Columbian Exchange The story of the Atlantic World is the story of global migration, a migration driven in large part by the actions and aspirations of the ruling heads of Europe. Columbus is hardly visible in this illustration of his ships making landfall on the Caribbean island of Hispaniola (Figure). Instead, Ferdinand II of Spain (in the foreground) sits on his throne and points toward Columbus’s landing. As the ships arrive, the Arawak people tower over the Spanish, suggesting the native population density of the islands. This historic moment in 1492 sparked new rivalries among European powers as they scrambled to create New World colonies, fueled by the quest for wealth and power as well as by religious passions. Almost continuous war resulted. Spain achieved early preeminence, creating a far-flung empire and growing rich with treasures from the Americas. Native Americans who confronted the newcomers from Europe suffered unprecedented losses of life, however, as previously unknown diseases sliced through their populations. They also were victims of the arrogance of the Europeans, who viewed themselves as uncontested masters of the New World, sent by God to bring Christianity to the “Indians.”	oercommons	2025-03-18T00:38:52.855266	null	{ "license": "Creative Commons - Attribution - https://creativecommons.org/licenses/by/4.0/", "url": "https://oercommons.org/courseware/lesson/15402/overview", "title": "U.S. History, Early Globalization: The Atlantic World, 1492–1650", "author": null }
https://oercommons.org/courseware/lesson/15403/overview	Portuguese Exploration and Spanish Conquest Overview By the end of this section, you will be able to: - Describe Portuguese exploration of the Atlantic and Spanish exploration of the Americas, and the importance of these voyages to the developing Atlantic World - Explain the importance of Spanish exploration of the Americas in the expansion of Spain’s empire and the development of Spanish Renaissance culture Portuguese colonization of Atlantic islands in the 1400s inaugurated an era of aggressive European expansion across the Atlantic. In the 1500s, Spain surpassed Portugal as the dominant European power. This age of exploration and the subsequent creation of an Atlantic World marked the earliest phase of globalization, in which previously isolated groups—Africans, Native Americans, and Europeans—first came into contact with each other, sometimes with disastrous results. PORTUGUESE EXPLORATION Portugal’s Prince Henry the Navigator spearheaded his country’s exploration of Africa and the Atlantic in the 1400s. With his support, Portuguese mariners successfully navigated an eastward route to Africa, establishing a foothold there that became a foundation of their nation’s trade empire in the fifteenth and sixteenth centuries. Portuguese mariners built an Atlantic empire by colonizing the Canary, Cape Verde, and Azores Islands, as well as the island of Madeira. Merchants then used these Atlantic outposts as debarkation points for subsequent journeys. From these strategic points, Portugal spread its empire down the western coast of Africa to the Congo, along the western coast of India, and eventually to Brazil on the eastern coast of South America. It also established trading posts in China and Japan. While the Portuguese didn’t rule over an immense landmass, their strategic holdings of islands and coastal ports gave them almost unrivaled control of nautical trade routes and a global empire of trading posts during the 1400s. The travels of Portuguese traders to western Africa introduced them to the African slave trade, already brisk among African states. Seeing the value of this source of labor in growing the profitable crop of sugar on their Atlantic islands, the Portuguese soon began exporting African slaves along with African ivory and gold. Sugar fueled the Atlantic slave trade, and the Portuguese islands quickly became home to sugar plantations. The Portuguese also traded these slaves, introducing much-needed human capital to other European nations. In the following years, as European exploration spread, slavery spread as well. In time, much of the Atlantic World would become a gargantuan sugar-plantation complex in which Africans labored to produce the highly profitable commodity for European consumers. Elmina Castle In 1482, Portuguese traders built Elmina Castle (also called São Jorge da Mina, or Saint George’s of the Mine) in present-day Ghana, on the west coast of Africa (Figure). A fortified trading post, it had mounted cannons facing out to sea, not inland toward continental Africa; the Portuguese had greater fear of a naval attack from other Europeans than of a land attack from Africans. Portuguese traders soon began to settle around the fort and established the town of Elmina. Although the Portuguese originally used the fort primarily for trading gold, by the sixteenth century they had shifted their focus. The dungeon of the fort now served as a holding pen for African slaves from the interior of the continent, while on the upper floors Portuguese traders ate, slept, and prayed in a chapel. Slaves lived in the dungeon for weeks or months until ships arrived to transport them to Europe or the Americas. For them, the dungeon of Elmina was their last sight of their home country. SPANISH EXPLORATION AND CONQUEST The Spanish established the first European settlements in the Americas, beginning in the Caribbean and, by 1600, extending throughout Central and South America. Thousands of Spaniards flocked to the Americas seeking wealth and status. The most famous of these Spanish adventurers are Christopher Columbus (who, though Italian himself, explored on behalf of the Spanish monarchs), Hernán Cortés, and Francisco Pizarro. The history of Spanish exploration begins with the history of Spain itself. During the fifteenth century, Spain hoped to gain advantage over its rival, Portugal. The marriage of Ferdinand of Aragon and Isabella of Castile in 1469 unified Catholic Spain and began the process of building a nation that could compete for worldwide power. Since the 700s, much of Spain had been under Islamic rule, and King Ferdinand II and Queen Isabella I, arch-defenders of the Catholic Church against Islam, were determined to defeat the Muslims in Granada, the last Islamic stronghold in Spain. In 1492, they completed the Reconquista: the centuries-long Christian conquest of the Iberian Peninsula. The Reconquista marked another step forward in the process of making Spain an imperial power, and Ferdinand and Isabella were now ready to look further afield. Their goals were to expand Catholicism and to gain a commercial advantage over Portugal. To those ends, Ferdinand and Isabella sponsored extensive Atlantic exploration. Spain’s most famous explorer, Christopher Columbus, was actually from Genoa, Italy. He believed that, using calculations based on other mariners’ journeys, he could chart a westward route to India, which could be used to expand European trade and spread Christianity. Starting in 1485, he approached Genoese, Venetian, Portuguese, English, and Spanish monarchs, asking for ships and funding to explore this westward route. All those he petitioned—including Ferdinand and Isabella at first—rebuffed him; their nautical experts all concurred that Columbus’s estimates of the width of the Atlantic Ocean were far too low. However, after three years of entreaties, and, more important, the completion of the Reconquista, Ferdinand and Isabella agreed to finance Columbus’s expedition in 1492, supplying him with three ships: the Nina, the Pinta, and the Santa Maria. The Spanish monarchs knew that Portuguese mariners had reached the southern tip of Africa and sailed the Indian Ocean. They understood that the Portuguese would soon reach Asia and, in this competitive race to reach the Far East, the Spanish rulers decided to act. Columbus held erroneous views that shaped his thinking about what he would encounter as he sailed west. He believed the earth to be much smaller than its actual size and, since he did not know of the existence of the Americas, he fully expected to land in Asia. On October 12, 1492, however, he made landfall on an island in the Bahamas. He then sailed to an island he named Hispaniola (present-day Dominican Republic and Haiti) (Figure). Believing he had landed in the East Indies, Columbus called the native Taínos he found there “Indios,” giving rise to the term “Indian” for any native people of the New World. Upon Columbus’s return to Spain, the Spanish crown bestowed on him the title of Admiral of the Ocean Sea and named him governor and viceroy of the lands he had discovered. As a devoted Catholic, Columbus had agreed with Ferdinand and Isabella prior to sailing west that part of the expected wealth from his voyage would be used to continue the fight against Islam. Columbus’s 1493 letter—or probanza de mérito (proof of merit)—describing his “discovery” of a New World did much to inspire excitement in Europe. Probanzas de méritos were reports and letters written by Spaniards in the New World to the Spanish crown, designed to win royal patronage. Today they highlight the difficult task of historical work; while the letters are primary sources, historians need to understand the context and the culture in which the conquistadors, as the Spanish adventurers came to be called, wrote them and distinguish their bias and subjective nature. While they are filled with distortions and fabrications, probanzas de méritos are still useful in illustrating the expectation of wealth among the explorers as well as their view that native peoples would not pose a serious obstacle to colonization. In 1493, Columbus sent two copies of a probanza de mérito to the Spanish king and queen and their minister of finance, Luis de Santángel. Santángel had supported Columbus’s voyage, helping him to obtain funding from Ferdinand and Isabella. Copies of the letter were soon circulating all over Europe, spreading news of the wondrous new land that Columbus had “discovered.” Columbus would make three more voyages over the next decade, establishing Spain’s first settlement in the New World on the island of Hispaniola. Many other Europeans followed in Columbus’s footsteps, drawn by dreams of winning wealth by sailing west. Another Italian, Amerigo Vespucci, sailing for the Portuguese crown, explored the South American coastline between 1499 and 1502. Unlike Columbus, he realized that the Americas were not part of Asia but lands unknown to Europeans. Vespucci’s widely published accounts of his voyages fueled speculation and intense interest in the New World among Europeans. Among those who read Vespucci’s reports was the German mapmaker Martin Waldseemuller. Using the explorer’s first name as a label for the new landmass, Waldseemuller attached “America” to his map of the New World in 1507, and the name stuck. Columbus’s Probanza de mérito of 1493 The exploits of the most famous Spanish explorers have provided Western civilization with a narrative of European supremacy and Indian savagery. However, these stories are based on the self-aggrandizing efforts of conquistadors to secure royal favor through the writing of probanzas de méritos (proofs of merit). Below are excerpts from Columbus’s 1493 letter to Luis de Santángel, which illustrates how fantastic reports from European explorers gave rise to many myths surrounding the Spanish conquest and the New World. This island, like all the others, is most extensive. It has many ports along the sea-coast excelling any in Christendom—and many fine, large, flowing rivers. The land there is elevated, with many mountains and peaks incomparably higher than in the centre isle. They are most beautiful, of a thousand varied forms, accessible, and full of trees of endless varieties, so high that they seem to touch the sky, and I have been told that they never lose their foliage. . . . There is honey, and there are many kinds of birds, and a great variety of fruits. Inland there are numerous mines of metals and innumerable people. Hispaniola is a marvel. Its hills and mountains, fine plains and open country, are rich and fertile for planting and for pasturage, and for building towns and villages. The seaports there are incredibly fine, as also the magnificent rivers, most of which bear gold. The trees, fruits and grasses differ widely from those in Juana. There are many spices and vast mines of gold and other metals in this island. They have no iron, nor steel, nor weapons, nor are they fit for them, because although they are well-made men of commanding stature, they appear extraordinarily timid. The only arms they have are sticks of cane, cut when in seed, with a sharpened stick at the end, and they are afraid to use these. Often I have sent two or three men ashore to some town to converse with them, and the natives came out in great numbers, and as soon as they saw our men arrive, fled without a moment’s delay although I protected them from all injury. What does this letter show us about Spanish objectives in the New World? How do you think it might have influenced Europeans reading about the New World for the first time? The 1492 Columbus landfall accelerated the rivalry between Spain and Portugal, and the two powers vied for domination through the acquisition of new lands. In the 1480s, Pope Sixtus IV had granted Portugal the right to all land south of the Cape Verde islands, leading the Portuguese king to claim that the lands discovered by Columbus belonged to Portugal, not Spain. Seeking to ensure that Columbus’s finds would remain Spanish, Spain’s monarchs turned to the Spanish-born Pope Alexander VI, who issued two papal decrees in 1493 that gave legitimacy to Spain’s Atlantic claims at the expense of Portugal. Hoping to salvage Portugal’s Atlantic holdings, King João II began negotiations with Spain. The resulting Treaty of Tordesillas in 1494 drew a north-to-south line through South America (Figure); Spain gained territory west of the line, while Portugal retained the lands east of the line, including the east coast of Brazil. Columbus’s discovery opened a floodgate of Spanish exploration. Inspired by tales of rivers of gold and timid, malleable natives, later Spanish explorers were relentless in their quest for land and gold. Hernán Cortés hoped to gain hereditary privilege for his family, tribute payments and labor from natives, and an annual pension for his service to the crown. Cortés arrived on Hispaniola in 1504 and took part in the conquest of that island. In anticipation of winning his own honor and riches, Cortés later explored the Yucatán Peninsula. In 1519, he entered Tenochtitlán, the capital of the Aztec (Mexica) Empire. He and his men were astonished by the incredibly sophisticated causeways, gardens, and temples in the city, but they were horrified by the practice of human sacrifice that was part of the Aztec religion. Above all else, the Aztec wealth in gold fascinated the Spanish adventurers. Hoping to gain power over the city, Cortés took Moctezuma, the Aztec ruler, hostage. The Spanish then murdered hundreds of high-ranking Mexica during a festival to celebrate Huitzilopochtli, the god of war. This angered the people of Tenochtitlán, who rose up against the interlopers in their city. Cortés and his people fled for their lives, running down one of Tenochtitlán’s causeways to safety on the shore. Smarting from their defeat at the hands of the Aztec, Cortés slowly created alliances with native peoples who resented Aztec rule. It took nearly a year for the Spanish and the tens of thousands of native allies who joined them to defeat the Mexica in Tenochtitlán, which they did by laying siege to the city. Only by playing upon the disunity among the diverse groups in the Aztec Empire were the Spanish able to capture the grand city of Tenochtitlán. In August 1521, having successfully fomented civil war as well as fended off rival Spanish explorers, Cortés claimed Tenochtitlán for Spain and renamed it Mexico City. The traditional European narrative of exploration presents the victory of the Spanish over the Aztec as an example of the superiority of the Europeans over the savage Indians. However, the reality is far more complex. When Cortés explored central Mexico, he encountered a region simmering with native conflict. Far from being unified and content under Aztec rule, many peoples in Mexico resented it and were ready to rebel. One group in particular, the Tlaxcalan, threw their lot in with the Spanish, providing as many as 200,000 fighters in the siege of Tenochtitlán. The Spanish also brought smallpox into the valley of Mexico. The disease took a heavy toll on the people in Tenochtitlán, playing a much greater role in the city’s demise than did Spanish force of arms. Cortés was also aided by a Nahua woman called Malintzin (also known as La Malinche or Doña Marina, her Spanish name), whom the natives of Tabasco gave him as tribute. Malintzin translated for Cortés in his dealings with Moctezuma and, whether willingly or under pressure, entered into a physical relationship with him. Their son, Martín, may have been the first mestizo (person of mixed indigenous American and European descent). Malintzin remains a controversial figure in the history of the Atlantic World; some people view her as a traitor because she helped Cortés conquer the Aztecs, while others see her as a victim of European expansion. In either case, she demonstrates one way in which native peoples responded to the arrival of the Spanish. Without her, Cortés would not have been able to communicate, and without the language bridge, he surely would have been less successful in destabilizing the Aztec Empire. By this and other means, native people helped shape the conquest of the Americas. Spain’s acquisitiveness seemingly knew no bounds as groups of its explorers searched for the next trove of instant riches. One such explorer, Francisco Pizarro, made his way to the Spanish Caribbean in 1509, drawn by the promise of wealth and titles. He participated in successful expeditions in Panama before following rumors of Inca wealth to the south. Although his first efforts against the Inca Empire in the 1520s failed, Pizarro captured the Inca emperor Atahualpa in 1532 and executed him one year later. In 1533, Pizarro founded Lima, Peru. Like Cortés, Pizarro had to combat not only the natives of the new worlds he was conquering, but also competitors from his own country; a Spanish rival assassinated him in 1541. Spain’s drive to enlarge its empire led other hopeful conquistadors to push further into the Americas, hoping to replicate the success of Cortés and Pizarro. Hernando de Soto had participated in Pizarro’s conquest of the Inca, and from 1539 to 1542 he led expeditions to what is today the southeastern United States, looking for gold. He and his followers explored what is now Florida, Georgia, the Carolinas, Tennessee, Alabama, Mississippi, Arkansas, Oklahoma, Louisiana, and Texas. Everywhere they traveled, they brought European diseases, which claimed thousands of native lives as well as the lives of the explorers. In 1542, de Soto himself died during the expedition. The surviving Spaniards, numbering a little over three hundred, returned to Mexico City without finding the much-anticipated mountains of gold and silver. Francisco Vásquez de Coronado was born into a noble family and went to Mexico, then called New Spain, in 1535. He presided as governor over the province of Nueva Galicia, where he heard rumors of wealth to the north: a golden city called Quivira. Between 1540 and 1542, Coronado led a large expedition of Spaniards and native allies to the lands north of Mexico City, and for the next several years, they explored the area that is now the southwestern United States (Figure). During the winter of 1540–41, the explorers waged war against the Tiwa in present-day New Mexico. Rather than leading to the discovery of gold and silver, however, the expedition simply left Coronado bankrupt. THE SPANISH GOLDEN AGE The exploits of European explorers had a profound impact both in the Americas and back in Europe. An exchange of ideas, fueled and financed in part by New World commodities, began to connect European nations and, in turn, to touch the parts of the world that Europeans conquered. In Spain, gold and silver from the Americas helped to fuel a golden age, the Siglo de Oro, when Spanish art and literature flourished. Riches poured in from the colonies, and new ideas poured in from other countries and new lands. The Hapsburg dynasty, which ruled a collection of territories including Austria, the Netherlands, Naples, Sicily, and Spain, encouraged and financed the work of painters, sculptors, musicians, architects, and writers, resulting in a blooming of Spanish Renaissance culture. One of this period’s most famous works is the novel The Ingenious Gentleman Don Quixote of La Mancha, by Miguel de Cervantes. This two-volume book (1605 and 1618) told a colorful tale of an hidalgo (gentleman) who reads so many tales of chivalry and knighthood that he becomes unable to tell reality from fiction. With his faithful sidekick Sancho Panza, Don Quixote leaves reality behind and sets out to revive chivalry by doing battle with what he perceives as the enemies of Spain. Explore the collection at The Cervantes Project for images, complete texts, and other resources relating to Cervantes’s works. Spain attracted innovative foreign painters such as El Greco, a Greek who had studied with Italian Renaissance masters like Titian and Michelangelo before moving to Toledo. Native Spaniards created equally enduring works. Las Meninas (The Maids of Honor), painted by Diego Velázquez in 1656, is one of the best-known paintings in history. Velázquez painted himself into this imposingly large royal portrait (he’s shown holding his brush and easel on the left) and boldly placed the viewer where the king and queen would stand in the scene (Figure). Section Summary Although Portugal opened the door to exploration of the Atlantic World, Spanish explorers quickly made inroads into the Americas. Spurred by Christopher Columbus’s glowing reports of the riches to be found in the New World, throngs of Spanish conquistadors set off to find and conquer new lands. They accomplished this through a combination of military strength and strategic alliances with native peoples. Spanish rulers Ferdinand and Isabella promoted the acquisition of these new lands in order to strengthen and glorify their own empire. As Spain’s empire expanded and riches flowed in from the Americas, the Spanish experienced a golden age of art and literature. Review Questions Which country initiated the era of Atlantic exploration? - France - Spain - England - Portugal Hint: D Which country established the first colonies in the Americas? - England - Portugal - Spain - the Netherlands Hint: C Where did Christopher Columbus first land? - Hispaniola - the Bahamas - Jamestown - Mexico Hint: B Why did the authors of probanzas de méritos choose to write in the way that they did? What should we consider when we interpret these documents today? Hint: Probanzas de méritos featured glowing descriptions of lands of plenty. The Spanish explorers hoped to find cities of gold, so they made their discoveries sound as wonderful as possible in these letters to convince the Spanish crown to fund more voyages. When we read them now, we need to take the descriptions with a grain of salt. But we can also fact-check these descriptions, whereas the Spanish court could only take them at face value.	oercommons	2025-03-18T00:38:52.887948	null	{ "license": "Creative Commons - Attribution - https://creativecommons.org/licenses/by/4.0/", "url": "https://oercommons.org/courseware/lesson/15403/overview", "title": "U.S. History, Early Globalization: The Atlantic World, 1492–1650", "author": null }
https://oercommons.org/courseware/lesson/15404/overview	Religious Upheavals in the Developing Atlantic World Overview By the end of this section, you will be able to: - Explain the changes brought by the Protestant Reformation and how it influenced the development of the Atlantic World - Describe Spain’s response to the Protestant Reformation Until the 1500s, the Catholic Church provided a unifying religious structure for Christian Europe. The Vatican in Rome exercised great power over the lives of Europeans; it controlled not only learning and scholarship but also finances, because it levied taxes on the faithful. Spain, with its New World wealth, was the bastion of the Catholic faith. Beginning with the reform efforts of Martin Luther in 1517 and John Calvin in the 1530s, however, Catholic dominance came under attack as the Protestant Reformation, a split or schism among European Christians, began. During the sixteenth century, Protestantism spread through northern Europe, and Catholic countries responded by attempting to extinguish what was seen as the Protestant menace. Religious turmoil between Catholics and Protestants influenced the history of the Atlantic World as well, since different nation-states competed not only for control of new territories but also for the preeminence of their religious beliefs there. Just as the history of Spain’s rise to power is linked to the Reconquista, so too is the history of early globalization connected to the history of competing Christian groups in the Atlantic World. MARTIN LUTHER Martin Luther (Figure) was a German Catholic monk who took issue with the Catholic Church’s practice of selling indulgences, documents that absolved sinners of their errant behavior. He also objected to the Catholic Church’s taxation of ordinary Germans and the delivery of Mass in Latin, arguing that it failed to instruct German Catholics, who did not understand the language. Many Europeans had called for reforms of the Catholic Church before Martin Luther did, but his protest had the unintended consequence of splitting European Christianity. Luther compiled a list of what he viewed as needed Church reforms, a document that came to be known as The Ninety-Five Theses, and nailed it to the door of a church in Wittenberg, Germany, in 1517. He called for the publication of the Bible in everyday language, took issue with the Church’s policy of imposing tithes (a required payment to the Church that appeared to enrich the clergy), and denounced the buying and selling of indulgences. Although he had hoped to reform the Catholic Church while remaining a part of it, Luther’s action instead triggered a movement called the Protestant Reformation that divided the Church in two. The Catholic Church condemned him as a heretic, but a doctrine based on his reforms, called Lutheranism, spread through northern Germany and Scandinavia. Visit Fordham University’s Internet Medieval Sourcebook for access to many primary sources relating to the Protestant Reformation. JOHN CALVIN Like Luther, the French lawyer John Calvin advocated making the Bible accessible to ordinary people; only by reading scripture and reflecting daily about their spiritual condition, he argued, could believers begin to understand the power of God. In 1535, Calvin fled Catholic France and led the Reformation movement from Geneva, Switzerland. Calvinism emphasized human powerlessness before an omniscient God and stressed the idea of predestination, the belief that God selected a few chosen people for salvation while everyone else was predestined to damnation. Calvinists believed that reading scripture prepared sinners, if they were among the elect, to receive God’s grace. In Geneva, Calvin established a Bible commonwealth, a community of believers whose sole source of authority was their interpretation of the Bible, not the authority of any prince or monarch. Soon Calvin’s ideas spread to the Netherlands and Scotland. PROTESTANTISM IN ENGLAND Protestantism spread beyond the German states and Geneva to England, which had been a Catholic nation for centuries. Luther’s idea that scripture should be available in the everyday language of worshippers inspired English scholar William Tyndale to translate the Bible into English in 1526. The seismic break with the Catholic Church in England occurred in the 1530s, when Henry VIII established a new, Protestant state religion. A devout Catholic, Henry had initially stood in opposition to the Reformation. Pope Leo X even awarded him the title “Defender of the Faith.” The tides turned, however, when Henry desired a male heir to the Tudor monarchy. When his Spanish Catholic wife, Catherine (the daughter of Ferdinand and Isabella), did not give birth to a boy, the king sought an annulment to their marriage. When the Pope refused his request, Henry created a new national Protestant church, the Church of England, with himself at its head. This left him free to annul his own marriage and marry Anne Boleyn. Anne Boleyn also failed to produce a male heir, and when she was accused of adultery, Henry had her executed. His third wife, Jane Seymour, at long last delivered a son, Edward, who ruled for only a short time before dying in 1553 at the age of fifteen. Mary, the daughter of Henry VIII and his discarded first wife Catherine, then came to the throne, committed to restoring Catholicism. She earned the nickname “Bloody Mary” for the many executions of Protestants, often by burning alive, that she ordered during her reign. Religious turbulence in England was finally quieted when Elizabeth, the Protestant daughter of Henry VIII and Anne Boleyn, ascended the throne in 1558. Under Elizabeth, the Church of England again became the state church, retaining the hierarchical structure and many of the rituals of the Catholic Church. However, by the late 1500s, some English members of the Church began to agitate for more reform. Known as Puritans, they worked to erase all vestiges of Catholicism from the Church of England. At the time, the term “puritan” was a pejorative one; many people saw Puritans as holier-than-thou frauds who used religion to swindle their neighbors. Worse still, many in power saw Puritans as a security threat because of their opposition to the national church. Under Elizabeth, whose long reign lasted from 1558 to 1603, Puritans grew steadily in number. After James I died in 1625 and his son Charles I ascended the throne, Puritans became the target of increasing state pressure to conform. Many crossed the Atlantic in the 1620s and 1630s instead to create a New England, a haven for reformed Protestantism where Puritan was no longer a term of abuse. Thus, the religious upheavals that affected England so much had equally momentous consequences for the Americas. RELIGIOUS WAR By the early 1500s, the Protestant Reformation threatened the massive Spanish Catholic empire. As the preeminent Catholic power, Spain would not tolerate any challenge to the Holy Catholic Church. Over the course of the 1500s, it devoted vast amounts of treasure and labor to leading an unsuccessful effort to eradicate Protestantism in Europe. Spain’s main enemies at this time were the runaway Spanish provinces of the North Netherlands. By 1581, these seven northern provinces had declared their independence from Spain and created the Dutch Republic, also called Holland, where Protestantism was tolerated. Determined to deal a death blow to Protestantism in England and Holland, King Philip of Spain assembled a massive force of over thirty thousand men and 130 ships, and in 1588 he sent this navy, the Spanish Armada, north. But English sea power combined with a maritime storm destroyed the fleet. The defeat of the Spanish Armada in 1588 was but one part of a larger but undeclared war between Protestant England and Catholic Spain. Between 1585 and 1604, the two rivals sparred repeatedly. England launched its own armada in 1589 in an effort to cripple the Spanish fleet and capture Spanish treasure. However, the foray ended in disaster for the English, with storms, disease, and the strength of the Spanish Armada combining to bring about defeat. The conflict between Spain and England dragged on into the early seventeenth century, and the newly Protestant nations, especially England and the Dutch Republic, posed a significant challenge to Spain (and also to Catholic France) as imperial rivalries played out in the Atlantic World. Spain retained its mighty American empire, but by the early 1600s, the nation could no longer keep England and other European rivals—the French and Dutch—from colonizing smaller islands in the Caribbean (Figure). Religious intolerance characterized the sixteenth and seventeenth centuries, an age of powerful state religions with the authority to impose and enforce belief systems on the population. In this climate, religious violence was common. One of the most striking examples is the St. Bartholomew’s Day Massacre of 1572, in which French Catholic troops began to kill unarmed French Protestants (Figure). The murders touched off mob violence that ultimately claimed nine thousand lives, a bloody episode that highlights the degree of religious turmoil that gripped Europe in the aftermath of the Protestant Reformation. Section Summary The sixteenth century witnessed a new challenge to the powerful Catholic Church. The reformist doctrines of Martin Luther and John Calvin attracted many people dissatisfied with Catholicism, and Protestantism spread across northern Europe, spawning many subgroups with conflicting beliefs. Spain led the charge against Protestantism, leading to decades of undeclared religious wars between Spain and England, and religious intolerance and violence characterized much of the sixteenth and seventeenth centuries. Despite the efforts of the Catholic Church and Catholic nations, however, Protestantism had taken hold by 1600. Review Questions Where did the Protestant Reformation begin? - Northern Europe - Spain - England - the American colonies Hint: A What was the chief goal of the Puritans? - to achieve a lasting peace with the Catholic nations of Spain and France - to eliminate any traces of Catholicism from the Church of England - to assist Henry VIII in his quest for an annulment to his marriage - to create a hierarchy within the Church of England modeled on that of the Catholic Church Hint: B What reforms to the Catholic Church did Martin Luther and John Calvin call for? Hint: Luther was most concerned about indulgences, which allowed the wealthy to purchase their way to forgiveness, and protested the Church’s taxation of ordinary Germans. Both wanted the liturgy to be given in churchgoers’ own language, making scripture more accessible.	oercommons	2025-03-18T00:38:52.915658	null	{ "license": "Creative Commons - Attribution - https://creativecommons.org/licenses/by/4.0/", "url": "https://oercommons.org/courseware/lesson/15404/overview", "title": "U.S. History, Early Globalization: The Atlantic World, 1492–1650", "author": null }
https://oercommons.org/courseware/lesson/15405/overview	Challenges to Spain’s Supremacy Overview By the end of this section, you will be able to: - Identify regions where the English, French, and Dutch explored and established settlements - Describe the differences among the early colonies - Explain the role of the American colonies in European nations’ struggles for domination For Europeans, the discovery of an Atlantic World meant newfound wealth in the form of gold and silver as well as valuable furs. The Americas also provided a new arena for intense imperial rivalry as different European nations jockeyed for preeminence in the New World. The religious motives for colonization spurred European expansion as well, and as the Protestant Reformation gained ground beginning in the 1520s, rivalries between Catholic and Protestant Christians spilled over into the Americas. ENGLISH EXPLORATION Disruptions during the Tudor monarchy—especially the creation of the Protestant Church of England by Henry VIII in the 1530s, the return of the nation to Catholicism under Queen Mary in the 1550s, and the restoration of Protestantism under Queen Elizabeth—left England with little energy for overseas projects. More important, England lacked the financial resources for such endeavors. Nonetheless, English monarchs carefully monitored developments in the new Atlantic World and took steps to assert England’s claim to the Americas. As early as 1497, Henry VII of England had commissioned John Cabot, an Italian mariner, to explore new lands. Cabot sailed from England that year and made landfall somewhere along the North American coastline. For the next century, English fishermen routinely crossed the Atlantic to fish the rich waters off the North American coast. However, English colonization efforts in the 1500s were closer to home, as England devoted its energy to the colonization of Ireland. Queen Elizabeth favored England’s advance into the Atlantic World, though her main concern was blocking Spain’s effort to eliminate Protestantism. Indeed, England could not commit to large-scale colonization in the Americas as long as Spain appeared ready to invade Ireland or Scotland. Nonetheless, Elizabeth approved of English privateers, sea captains to whom the home government had given permission to raid the enemy at will. These skilled mariners cruised the Caribbean, plundering Spanish ships whenever they could. Each year the English took more than £100,000 from Spain in this way; English privateer Francis Drake first made a name for himself when, in 1573, he looted silver, gold, and pearls worth £40,000. Elizabeth did sanction an early attempt at colonization in 1584, when Sir Walter Raleigh, a favorite of the queen’s, attempted to establish a colony at Roanoke, an island off the coast of present-day North Carolina. The colony was small, consisting of only 117 people, who suffered a poor relationship with the local Indians, the Croatans, and struggled to survive in their new land (Figure). Their governor, John White, returned to England in late 1587 to secure more people and supplies, but events conspired to keep him away from Roanoke for three years. By the time he returned in 1590, the entire colony had vanished. The only trace the colonists left behind was the word Croatoan carved into a fence surrounding the village. Governor White never knew whether the colonists had decamped for nearby Croatoan Island (now Hatteras) or whether some disaster had befallen them all. Roanoke is still called “the lost colony.” English promoters of colonization pushed its commercial advantages and the religious justification that English colonies would allow the establishment of Protestantism in the Americas. Both arguments struck a chord. In the early 1600s, wealthy English merchants and the landed elite began to pool their resources to form joint stock companies. In this novel business arrangement, which was in many ways the precursor to the modern corporation, investors provided the capital for and assumed the risk of a venture in order to reap significant returns. The companies gained the approval of the English crown to establish colonies, and their investors dreamed of reaping great profits from the money they put into overseas colonization. The first permanent English settlement was established by a joint stock company, the Virginia Company. Named for Elizabeth, the “virgin queen,” the company gained royal approval to establish a colony on the east coast of North America, and in 1606, it sent 144 men and boys to the New World. In early 1607, this group sailed up Chesapeake Bay. Finding a river they called the James in honor of their new king, James I, they established a ramshackle settlement and named it Jamestown. Despite serious struggles, the colony survived. Many of Jamestown’s settlers were desperate men; although they came from elite families, they were younger sons who would not inherit their father’s estates. The Jamestown adventurers believed they would find instant wealth in the New World and did not actually expect to have to perform work. Henry Percy, the eighth son of the Earl of Northumberland, was among them. His account, excerpted below, illustrates the hardships the English confronted in Virginia in 1607. George Percy and the First Months at Jamestown The 144 men and boys who started the Jamestown colony faced many hardships; by the end of the first winter, only 38 had survived. Disease, hunger, and poor relationships with local natives all contributed to the colony’s high death toll. George Percy, who served twice as governor of Jamestown, kept records of the colonists’ first months in the colony. These records were later published in London in 1608. This excerpt is from his account of August and September of 1607. The fourth day of September died Thomas Jacob Sergeant. The fifth day, there died Benjamin Beast. Our men were destroyed with cruel diseases, as Swellings, Fluxes, Burning Fevers, and by wars, and some departed suddenly, but for the most part they died of mere famine. There were never Englishmen left in a foreign Country in such misery as we were in this new discovered Virginia. . . . Our food was but a small Can of Barley sod* in water, to five men a day, our drink cold water taken out of the River, which was at a flood very salty, at a low tide full of slime and filth, which was the destruction of many of our men. Thus we lived for the space of five months in this miserable distress, not having five able men to man our Bulwarks upon any occasion. If it had not pleased God to have put a terror in the Savages’ hearts, we had all perished by those wild and cruel Pagans, being in that weak estate as we were; our men night and day groaning in every corner of the Fort most pitiful to hear. If there were any conscience in men, it would make their hearts to bleed to hear the pitiful murmurings and outcries of our sick men without relief, every night and day, for the space of six weeks, some departing out of the World, many times three or four in a night; in the morning, their bodies trailed out of their Cabins like Dogs to be buried. In this sort did I see the mortality of diverse of our people. *soaked According to George Percy’s account, what were the major problems the Jamestown settlers encountered? What kept the colony from complete destruction? By any measure, England came late to the race to colonize. As Jamestown limped along in the 1610s, the Spanish Empire extended around the globe and grew rich from its global colonial project. Yet the English persisted, and for this reason the Jamestown settlement has a special place in history as the first permanent colony in what later became the United States. After Jamestown’s founding, English colonization of the New World accelerated. In 1609, a ship bound for Jamestown foundered in a storm and landed on Bermuda. (Some believe this incident helped inspire Shakespeare’s 1611 play The Tempest.) The admiral of the ship, George Somers, claimed the island for the English crown. The English also began to colonize small islands in the Caribbean, an incursion into the Spanish American empire. They established themselves on small islands such as St. Christopher (1624), Barbados (1627), Nevis (1628), Montserrat (1632), and Antigua (1632). From the start, the English West Indies had a commercial orientation, for these islands produced cash crops: first tobacco and then sugar. Very quickly, by the mid-1600s, Barbados had become one of the most important English colonies because of the sugar produced there. Barbados was the first English colony dependent on slaves, and it became a model for other English slave societies on the American mainland. These differed radically from England itself, where slavery was not practiced. English Puritans also began to colonize the Americas in the 1620s and 1630s. These intensely religious migrants dreamed of creating communities of reformed Protestantism where the corruption of England would be eliminated. One of the first groups of Puritans to remove to North America, known as Pilgrims and led by William Bradford, had originally left England to live in the Netherlands. Fearing their children were losing their English identity among the Dutch, however, they sailed for North America in 1620 to settle at Plymouth, the first English settlement in New England. The Pilgrims differed from other Puritans in their insistence on separating from what they saw as the corrupt Church of England. For this reason, Pilgrims are known as Separatists. Like Jamestown, Plymouth occupies an iconic place in American national memory. The tale of the 102 migrants who crossed the Atlantic aboard the Mayflower and their struggle for survival is a well-known narrative of the founding of the country. Their story includes the signing of the Mayflower Compact, a written agreement whereby the English voluntarily agreed to help each other. Some interpret this 1620 document as an expression of democratic spirit because of the cooperative and inclusive nature of the agreement to live and work together. In 1630, a much larger contingent of Puritans left England to escape conformity to the Church of England and founded the Massachusetts Bay Colony. In the following years, thousands more arrived to create a new life in the rocky soils and cold climates of New England. In comparison to Catholic Spain, however, Protestant England remained a very weak imperial player in the early seventeenth century, with only a few infant colonies in the Americas in the early 1600s. The English never found treasure equal to that of the Aztec city of Tenochtitlán, and England did not quickly grow rich from its small American outposts. The English colonies also differed from each other; Barbados and Virginia had a decidedly commercial orientation from the start, while the Puritan colonies of New England were intensely religious at their inception. All English settlements in America, however, marked the increasingly important role of England in the Atlantic World. FRENCH EXPLORATION Spanish exploits in the New World whetted the appetite of other would-be imperial powers, including France. Like Spain, France was a Catholic nation and committed to expanding Catholicism around the globe. In the early sixteenth century, it joined the race to explore the New World and exploit the resources of the Western Hemisphere. Navigator Jacques Cartier claimed northern North America for France, naming the area New France. From 1534 to 1541, he made three voyages of discovery on the Gulf of St. Lawrence and the St. Lawrence River. Like other explorers, Cartier made exaggerated claims of mineral wealth in America, but he was unable to send great riches back to France. Due to resistance from the native peoples as well as his own lack of planning, he could not establish a permanent settlement in North America. Explorer Samuel de Champlain occupies a special place in the history of the Atlantic World for his role in establishing the French presence in the New World. Champlain explored the Caribbean in 1601 and then the coast of New England in 1603 before traveling farther north. In 1608 he founded Quebec, and he made numerous Atlantic crossings as he worked tirelessly to promote New France. Unlike other imperial powers, France—through Champlain’s efforts—fostered especially good relationships with native peoples, paving the way for French exploration further into the continent: around the Great Lakes, around Hudson Bay, and eventually to the Mississippi. Champlain made an alliance with the Huron confederacy and the Algonquins and agreed to fight with them against their enemy, the Iroquois (Figure). The French were primarily interested in establishing commercially viable colonial outposts, and to that end, they created extensive trading networks in New France. These networks relied on native hunters to harvest furs, especially beaver pelts, and to exchange these items for French glass beads and other trade goods. (French fashion at the time favored broad-brimmed hats trimmed in beaver fur, so French traders had a ready market for their North American goods.) The French also dreamed of replicating the wealth of Spain by colonizing the tropical zones. After Spanish control of the Caribbean began to weaken, the French turned their attention to small islands in the West Indies, and by 1635 they had colonized two, Guadeloupe and Martinique. Though it lagged far behind Spain, France now boasted its own West Indian colonies. Both islands became lucrative sugar plantation sites that turned a profit for French planters by relying on African slave labor. To see how cartographers throughout history documented the exploration of the Atlantic World, browse the hundreds of digitized historical maps that make up the collection American Shores: Maps of the Middle Atlantic Region to 1850 at the New York Public Library. DUTCH COLONIZATION Dutch entrance into the Atlantic World is part of the larger story of religious and imperial conflict in the early modern era. In the 1500s, Calvinism, one of the major Protestant reform movements, had found adherents in the northern provinces of the Spanish Netherlands. During the sixteenth century, these provinces began a long struggle to achieve independence from Catholic Spain. Established in 1581 but not recognized as independent by Spain until 1648, the Dutch Republic, or Holland, quickly made itself a powerful force in the race for Atlantic colonies and wealth. The Dutch distinguished themselves as commercial leaders in the seventeenth century (Figure), and their mode of colonization relied on powerful corporations: the Dutch East India Company, chartered in 1602 to trade in Asia, and the Dutch West India Company, established in 1621 to colonize and trade in the Americas. While employed by the Dutch East India Company in 1609, the English sea captain Henry Hudson explored New York Harbor and the river that now bears his name. Like many explorers of the time, Hudson was actually seeking a northwest passage to Asia and its wealth, but the ample furs harvested from the region he explored, especially the coveted beaver pelts, provided a reason to claim it for the Netherlands. The Dutch named their colony New Netherlands, and it served as a fur-trading outpost for the expanding and powerful Dutch West India Company. With headquarters in New Amsterdam on the island of Manhattan, the Dutch set up several regional trading posts, including one at Fort Orange—named for the royal Dutch House of Orange-Nassau—in present-day Albany. (The color orange remains significant to the Dutch, having become particularly associated with William of Orange, Protestantism, and the Glorious Revolution of 1688.) A brisk trade in furs with local Algonquian and Iroquois peoples brought the Dutch and native peoples together in a commercial network that extended throughout the Hudson River Valley and beyond. The Dutch West India Company in turn established colonies on Aruba, Bonaire, and Curaçao, St. Martin, St. Eustatius, and Saba. With their outposts in New Netherlands and the Caribbean, the Dutch had established themselves in the seventeenth century as a commercially powerful rival to Spain. Amsterdam became a trade hub for all the Atlantic World. Section Summary By the beginning of the seventeenth century, Spain’s rivals—England, France, and the Dutch Republic—had each established an Atlantic presence, with greater or lesser success, in the race for imperial power. None of the new colonies, all in the eastern part of North America, could match the Spanish possessions for gold and silver resources. Nonetheless, their presence in the New World helped these nations establish claims that they hoped could halt the runaway growth of Spain’s Catholic empire. English colonists in Virginia suffered greatly, expecting riches to fall into their hands and finding reality a harsh blow. However, the colony at Jamestown survived, and the output of England’s islands in the West Indies soon grew to be an important source of income for the country. New France and New Netherlands were modest colonial holdings in the northeast of the continent, but these colonies’ thriving fur trade with native peoples, and their alliances with those peoples, helped to create the foundation for later shifts in the global balance of power. Review Questions Why didn’t England make stronger attempts to colonize the New World before the late sixteenth to early seventeenth century? - English attention was turned to internal struggles and the encroaching Catholic menace to Scotland and Ireland. - The English monarchy did not want to declare direct war on Spain by attempting to colonize the Americas. - The English military was occupied in battling for control of New Netherlands. - The English crown refused to fund colonial expeditions. Hint: A What was the main goal of the French in colonizing the Americas? - establishing a colony with French subjects - trading, especially for furs - gaining control of shipping lanes - spreading Catholicism among native peoples Hint: B What were some of the main differences among the non-Spanish colonies? Hint: Many English colonists in Virginia were aristocrats who had never worked and didn’t expect to start. They hoped to find gold and silver and were unprepared for the realities of colonial life. Farther north, the English Puritan colonies were largely founded not for profit but for religious reasons. The French and Dutch colonies were primarily trading posts. Their colonists enjoyed good relationships with many native groups because they made alliances with and traded with them.	oercommons	2025-03-18T00:38:52.944865	null	{ "license": "Creative Commons - Attribution - https://creativecommons.org/licenses/by/4.0/", "url": "https://oercommons.org/courseware/lesson/15405/overview", "title": "U.S. History, Early Globalization: The Atlantic World, 1492–1650", "author": null }
https://oercommons.org/courseware/lesson/15406/overview	New Worlds in the Americas: Labor, Commerce, and the Columbian Exchange Overview By the end of this section, you will be able to: - Describe how Europeans solved their labor problems - Describe the theory of mercantilism and the process of commodification - Analyze the effects of the Columbian Exchange European promoters of colonization claimed the Americas overflowed with a wealth of treasures. Burnishing national glory and honor became entwined with carving out colonies, and no nation wanted to be left behind. However, the realities of life in the Americas—violence, exploitation, and particularly the need for workers—were soon driving the practice of slavery and forced labor. Everywhere in America a stark contrast existed between freedom and slavery. The Columbian Exchange, in which Europeans transported plants, animals, and diseases across the Atlantic in both directions, also left a lasting impression on the Americas. LABOR SYSTEMS Physical power—to work the fields, build villages, process raw materials—is a necessity for maintaining a society. During the sixteenth and seventeenth centuries, humans could derive power only from the wind, water, animals, or other humans. Everywhere in the Americas, a crushing demand for labor bedeviled Europeans because there were not enough colonists to perform the work necessary to keep the colonies going. Spain granted encomiendas—legal rights to native labor—to conquistadors who could prove their service to the crown. This system reflected the Spanish view of colonization: the king rewarded successful conquistadors who expanded the empire. Some native peoples who had sided with the conquistadors, like the Tlaxcalan, also gained encomiendas; Malintzin, the Nahua woman who helped Cortés defeat the Mexica, was granted one. The Spanish believed native peoples would work for them by right of conquest, and, in return, the Spanish would bring them Catholicism. In theory the relationship consisted of reciprocal obligations, but in practice the Spaniards ruthlessly exploited it, seeing native people as little more than beasts of burden. Convinced of their right to the land and its peoples, they sought both to control native labor and to impose what they viewed as correct religious beliefs upon the land’s inhabitants. Native peoples everywhere resisted both the labor obligations and the effort to change their ancient belief systems. Indeed, many retained their religion or incorporated only the parts of Catholicism that made sense to them. The system of encomiendas was accompanied by a great deal of violence (Figure). One Spaniard, Bartolomé de Las Casas , denounced the brutality of Spanish rule. A Dominican friar, Las Casas had been one of the earliest Spanish settlers in the Spanish West Indies. In his early life in the Americas, he owned Indian slaves and was the recipient of an encomienda. However, after witnessing the savagery with which encomenderos (recipients of encomiendas) treated the native people, he reversed his views. In 1515, Las Casas released his native slaves, gave up his encomienda, and began to advocate for humane treatment of native peoples. He lobbied for new legislation, eventually known as the New Laws, which would eliminate slavery and the encomienda system. Las Casas’s writing about the Spaniards’ horrific treatment of Indians helped inspire the so-called Black Legend, the idea that the Spanish were bloodthirsty conquerors with no regard for human life. Perhaps not surprisingly, those who held this view of the Spanish were Spain’s imperial rivals. English writers and others seized on the idea of Spain’s ruthlessness to support their own colonization projects. By demonizing the Spanish, they justified their own efforts as more humane. All European colonizers, however, shared a disregard for Indians. Bartolomé de Las Casas on the Mistreatment of Indians Bartolomé de Las Casas’s A Short Account of the Destruction of the Indies, written in 1542 and published ten years later, detailed for Prince Philip II of Spain how Spanish colonists had been mistreating natives. Into and among these gentle sheep, endowed by their Maker and Creator with all the qualities aforesaid, did creep the Spaniards, who no sooner had knowledge of these people than they became like fierce wolves and tigers and lions who have gone many days without food or nourishment. And no other thing have they done for forty years until this day, and still today see fit to do, but dismember, slay, perturb, afflict, torment, and destroy the Indians by all manner of cruelty—new and divers and most singular manners such as never before seen or read or heard of—some few of which shall be recounted below, and they do this to such a degree that on the Island of Hispaniola, of the above three millions souls that we once saw, today there be no more than two hundred of those native people remaining. . . . Two principal and general customs have been employed by those, calling themselves Christians, who have passed this way, in extirpating and striking from the face of the earth those suffering nations. The first being unjust, cruel, bloody, and tyrannical warfare. The other—after having slain all those who might yearn toward or suspire after or think of freedom, or consider escaping from the torments that they are made to suffer, by which I mean all the native-born lords and adult males, for it is the Spaniards’ custom in their wars to allow only young boys and females to live—being to oppress them with the hardest, harshest, and most heinous bondage to which men or beasts might ever be bound into. How might these writings have been used to promote the “black legend” against Spain as well as subsequent English exploration and colonization? Indians were not the only source of cheap labor in the Americas; by the middle of the sixteenth century, Africans formed an important element of the labor landscape, producing the cash crops of sugar and tobacco for European markets. Europeans viewed Africans as non-Christians, which they used as a justification for enslavement. Denied control over their lives, slaves endured horrendous conditions. At every opportunity, they resisted enslavement, and their resistance was met with violence. Indeed, physical, mental, and sexual violence formed a key strategy among European slaveholders in their effort to assert mastery and impose their will. The Portuguese led the way in the evolving transport of slaves across the Atlantic; slave “factories” on the west coast of Africa, like Elmina Castle in Ghana, served as holding pens for slaves brought from Africa’s interior. In time, other European imperial powers would follow in the footsteps of the Portuguese by constructing similar outposts on the coast of West Africa. The Portuguese traded or sold slaves to Spanish, Dutch, and English colonists in the Americas, particularly in South America and the Caribbean, where sugar was a primary export. Thousands of African slaves found themselves growing, harvesting, and processing sugarcane in an arduous routine of physical labor. Slaves had to cut the long cane stalks by hand and then bring them to a mill, where the cane juice was extracted. They boiled the extracted cane juice down to a brown, crystalline sugar, which then had to be cured in special curing houses to have the molasses drained from it. The result was refined sugar, while the leftover molasses could be distilled into rum. Every step was labor-intensive and often dangerous. Las Casas estimated that by 1550, there were fifty thousand slaves on Hispaniola. However, it is a mistake to assume that during the very early years of European exploration all Africans came to America as slaves; some were free men who took part in expeditions, for example, serving as conquistadors alongside Cortés in his assault on Tenochtitlán. Nonetheless, African slavery was one of the most tragic outcomes in the emerging Atlantic World. Browse the PBS collection Africans in America: Part 1 to see information and primary sources for the period 1450 through 1750. COMMERCE IN THE NEW WORLD The economic philosophy of mercantilism shaped European perceptions of wealth from the 1500s to the late 1700s. Mercantilism held that only a limited amount of wealth, as measured in gold and silver bullion, existed in the world. In order to gain power, nations had to amass wealth by mining these precious raw materials from their colonial possessions. During the age of European exploration, nations employed conquest, colonization, and trade as ways to increase their share of the bounty of the New World. Mercantilists did not believe in free trade, arguing instead that the nation should control trade to create wealth. In this view, colonies existed to strengthen the colonizing nation. Mercantilists argued against allowing their nations to trade freely with other nations. Spain’s mercantilist ideas guided its economic policy. Every year, slaves or native workers loaded shipments of gold and silver aboard Spanish treasure fleets that sailed from Cuba for Spain. These ships groaned under the sheer weight of bullion, for the Spanish had found huge caches of silver and gold in the New World. In South America, for example, Spaniards discovered rich veins of silver ore in the mountain called Potosí and founded a settlement of the same name there. Throughout the sixteenth century, Potosí was a boom town, attracting settlers from many nations as well as native people from many different cultures. Colonial mercantilism, which was basically a set of protectionist policies designed to benefit the nation, relied on several factors: colonies rich in raw materials, cheap labor, colonial loyalty to the home government, and control of the shipping trade. Under this system, the colonies sent their raw materials, harvested by slaves or native workers, back to their mother country. The mother country sent back finished materials of all sorts: textiles, tools, clothing. The colonists could purchase these goods only from their mother country; trade with other countries was forbidden. The 1500s and early 1600s also introduced the process of commodification to the New World. American silver, tobacco, and other items, which were used by native peoples for ritual purposes, became European commodities with a monetary value that could be bought and sold. Before the arrival of the Spanish, for example, the Inca people of the Andes consumed chicha, a corn beer, for ritual purposes only. When the Spanish discovered chicha, they bought and traded for it, turning it into a commodity instead of a ritual substance. Commodification thus recast native economies and spurred the process of early commercial capitalism. New World resources, from plants to animal pelts, held the promise of wealth for European imperial powers. THE COLUMBIAN EXCHANGE As Europeans traversed the Atlantic, they brought with them plants, animals, and diseases that changed lives and landscapes on both sides of the ocean. These two-way exchanges between the Americas and Europe/Africa are known collectively as the Columbian Exchange (Figure). Of all the commodities in the Atlantic World, sugar proved to be the most important. Indeed, sugar carried the same economic importance as oil does today. European rivals raced to create sugar plantations in the Americas and fought wars for control of some of the best sugar production areas. Although refined sugar was available in the Old World, Europe’s harsher climate made sugarcane difficult to grow, and it was not plentiful. Columbus brought sugar to Hispaniola in 1493, and the new crop was growing there by the end of the 1490s. By the first decades of the 1500s, the Spanish were building sugar mills on the island. Over the next century of colonization, Caribbean islands and most other tropical areas became centers of sugar production. Though of secondary importance to sugar, tobacco achieved great value for Europeans as a cash crop as well. Native peoples had been growing it for medicinal and ritual purposes for centuries before European contact, smoking it in pipes or powdering it to use as snuff. They believed tobacco could improve concentration and enhance wisdom. To some, its use meant achieving an entranced, altered, or divine state; entering a spiritual place. Tobacco was unknown in Europe before 1492, and it carried a negative stigma at first. The early Spanish explorers considered natives’ use of tobacco to be proof of their savagery and, because of the fire and smoke produced in the consumption of tobacco, evidence of the Devil’s sway in the New World. Gradually, however, European colonists became accustomed to and even took up the habit of smoking, and they brought it across the Atlantic. As did the Indians, Europeans ascribed medicinal properties to tobacco, claiming that it could cure headaches and skin irritations. Even so, Europeans did not import tobacco in great quantities until the 1590s. At that time, it became the first truly global commodity; English, French, Dutch, Spanish, and Portuguese colonists all grew it for the world market. Native peoples also introduced Europeans to chocolate, made from cacao seeds and used by the Aztec in Mesoamerica as currency. Mesoamerican Indians consumed unsweetened chocolate in a drink with chili peppers, vanilla, and a spice called achiote. This chocolate drink—xocolatl—was part of ritual ceremonies like marriage and an everyday item for those who could afford it. Chocolate contains theobromine, a stimulant, which may be why native people believed it brought them closer to the sacred world. Spaniards in the New World considered drinking chocolate a vile practice; one called chocolate “the Devil’s vomit.” In time, however, they introduced the beverage to Spain. At first, chocolate was available only in the Spanish court, where the elite mixed it with sugar and other spices. Later, as its availability spread, chocolate gained a reputation as a love potion. Visit Nature Transformed for a collection of scholarly essays on the environment in American history. The crossing of the Atlantic by plants like cacao and tobacco illustrates the ways in which the discovery of the New World changed the habits and behaviors of Europeans. Europeans changed the New World in turn, not least by bringing Old World animals to the Americas. On his second voyage, Christopher Columbus brought pigs, horses, cows, and chickens to the islands of the Caribbean. Later explorers followed suit, introducing new animals or reintroducing ones that had died out (like horses). With less vulnerability to disease, these animals often fared better than humans in their new home, thriving both in the wild and in domestication. Europeans encountered New World animals as well. Because European Christians understood the world as a place of warfare between God and Satan, many believed the Americas, which lacked Christianity, were home to the Devil and his minions. The exotic, sometimes bizarre, appearances and habits of animals in the Americas that were previously unknown to Europeans, such as manatees, sloths, and poisonous snakes, confirmed this association. Over time, however, they began to rely more on observation of the natural world than solely on scripture. This shift—from seeing the Bible as the source of all received wisdom to trusting observation or empiricism—is one of the major outcomes of the era of early globalization. Travelers between the Americas, Africa, and Europe also included microbes: silent, invisible life forms that had profound and devastating consequences. Native peoples had no immunity to diseases from across the Atlantic, to which they had never been exposed. European explorers unwittingly brought with them chickenpox, measles, mumps, and smallpox, which ravaged native peoples despite their attempts to treat the diseases, decimating some populations and wholly destroying others (Figure). In eastern North America, some native peoples interpreted death from disease as a hostile act. Some groups, including the Iroquois, engaged in raids or “mourning wars,” taking enemy prisoners in order to assuage their grief and replace the departed. In a special ritual, the prisoners were “requickened”—assigned the identity of a dead person—and adopted by the bereaved family to take the place of their dead. As the toll from disease rose, mourning wars intensified and expanded. Section Summary In the minds of European rulers, colonies existed to create wealth for imperial powers. Guided by mercantilist ideas, European rulers and investors hoped to enrich their own nations and themselves, in order to gain the greatest share of what was believed to be a limited amount of wealth. In their own individual quest for riches and preeminence, European colonizers who traveled to the Americas blazed new and disturbing paths, such as the encomienda system of forced labor and the use of tens of thousands of Africans as slaves. All native inhabitants of the Americas who came into contact with Europeans found their worlds turned upside down as the new arrivals introduced their religions and ideas about property and goods. Europeans gained new foods, plants, and animals in the Columbian Exchange, turning whatever they could into a commodity to be bought and sold, and Indians were introduced to diseases that nearly destroyed them. At every turn, however, Indians placed limits on European colonization and resisted the newcomers’ ways. Review Questions How could Spaniards obtain encomiendas? - by serving the Spanish crown - by buying them from other Spaniards - by buying them from native chiefs - by inheriting them Hint: A Which of the following best describes the Columbian Exchange? - the letters Columbus and other conquistadors exchanged with the Spanish crown - an exchange of plants, animals, and diseases between Europe and the Americas - a form of trade between the Spanish and natives - the way in which explorers exchanged information about new lands to conquer Hint: B Why did diseases like smallpox affect Indians so badly? - Indians were less robust than Europeans. - Europeans deliberately infected Indians. - Indians had no immunity to European diseases. - Conditions in the Americas were so harsh that Indians and Europeans alike were devastated by disease. Hint: C Critical Thinking Questions What were the consequences of the religious upheavals of the sixteenth and seventeenth centuries? What types of labor systems were used in the Americas? Did systems of unfree labor serve more than an economic function? What is meant by the Columbian Exchange? Who was affected the most by the exchange? What were the various goals of the colonial European powers in the expansion of their empires? To what extent were they able to achieve these goals? Where did they fail? On the whole, what was the impact of early European explorations on the New World? What was the impact of the New World on Europeans?	oercommons	2025-03-18T00:38:52.978832	null	{ "license": "Creative Commons - Attribution - https://creativecommons.org/licenses/by/4.0/", "url": "https://oercommons.org/courseware/lesson/15406/overview", "title": "U.S. History, Early Globalization: The Atlantic World, 1492–1650", "author": null }
https://oercommons.org/courseware/lesson/11817/overview	Introduction to Religion Why do sociologists study religion? For centuries, humankind has sought to understand and explain the “meaning of life.” Many philosophers believe this contemplation and the desire to understand our place in the universe are what differentiate humankind from other species. Religion, in one form or another, has been found in all human societies since human societies first appeared. Archaeological digs have revealed ritual objects, ceremonial burial sites, and other religious artifacts. Social conflict and even wars often result from religious disputes. To understand a culture, sociologists must study its religion. What is religion? Pioneer sociologist Émile Durkheim described it with the ethereal statement that it consists of “things that surpass the limits of our knowledge” (1915). He went on to elaborate: Religion is “a unified system of beliefs and practices relative to sacred things, that is to say set apart and forbidden, beliefs and practices which unite into one single moral community, called a church, all those who adhere to them” (1915). Some people associate religion with places of worship (a synagogue or church), others with a practice (confession or meditation), and still others with a concept that guides their daily lives (like dharma or sin). All these people can agree that religion is a system of beliefs, values, and practices concerning what a person holds sacred or considers to be spiritually significant. Does religion bring fear, wonder, relief, explanation of the unknown or control over freedom and choice? How do our religious perspectives affect our behavior? These are questions sociologists ask and are reasons they study religion. What are peoples' conceptions of the profane and the sacred? How do religious ideas affect the real-world reactions and choices of people in a society? Religion can also serve as a filter for examining other issues in society and other components of a culture. For example, after the terrorist attacks of September 11, 2001, it became important for teachers, church leaders, and the media to educate Americans about Islam to prevent stereotyping and to promote religious tolerance. Sociological tools and methods, such as surveys, polls, interviews, and analysis of historical data, can be applied to the study of religion in a culture to help us better understand the role religion plays in people’s lives and the way it influences society. References Durkheim, Émile. 1947 [1915]. The Elementary Forms of Religious Life, translated by J. Swain. Glencoe, IL: Free Press.	oercommons	2025-03-18T00:38:52.995061	null	{ "license": "Creative Commons - Attribution - https://creativecommons.org/licenses/by/4.0/", "url": "https://oercommons.org/courseware/lesson/11817/overview", "title": "Introduction to Sociology 2e, Religion", "author": null }
https://oercommons.org/courseware/lesson/11818/overview	The Sociological Approach to Religion Overview - Discuss the historical view of religion from a sociological perspective - Understand how the major sociological paradigms view religion From the Latin religio (respect for what is sacred) andreligare (to bind, in the sense of an obligation), the term religion describes various systems of belief and practice that define what people consider to be sacred or spiritual (Fasching and deChant 2001; Durkheim 1915). Throughout history, and in societies across the world, leaders have used religious narratives, symbols, and traditions in an attempt to give more meaning to life and understand the universe. Some form of religion is found in every known culture, and it is usually practiced in a public way by a group. The practice of religion can include feasts and festivals, intercession with God or gods, marriage and funeral services, music and art, meditation or initiation, sacrifice or service, and other aspects of culture. While some people think of religion as something individual because religious beliefs can be highly personal, religion is also a social institution. Social scientists recognize that religion exists as an organized and integrated set of beliefs, behaviors, and norms centered on basic social needs and values. Moreover, religion is a cultural universal found in all social groups. For instance, in every culture, funeral rites are practiced in some way, although these customs vary between cultures and within religious affiliations. Despite differences, there are common elements in a ceremony marking a person’s death, such as announcement of the death, care of the deceased, disposition, and ceremony or ritual. These universals, and the differences in the way societies and individuals experience religion, provide rich material for sociological study. In studying religion, sociologists distinguish between what they term the experience, beliefs, and rituals of a religion. Religious experience refers to the conviction or sensation that we are connected to “the divine.” This type of communion might be experienced when people are pray or meditate.Religious beliefs are specific ideas members of a particular faith hold to be true, such as that Jesus Christ was the son of God, or that reincarnation exists. Another illustration of religious beliefs is the creation stories we find in different religions.Religious rituals are behaviors or practices that are either required or expected of the members of a particular group, such as bar mitzvah or confession of sins (Barkan and Greenwood 2003). The History of Religion as a Sociological Concept In the wake of nineteenth century European industrialization and secularization, three social theorists attempted to examine the relationship between religion and society: Émile Durkheim, Max Weber, and Karl Marx. They are among the founding thinkers of modern sociology. As stated earlier, French sociologist Émile Durkheim (1858–1917) defined religion as a “unified system of beliefs and practices relative to sacred things” (1915). To him, sacred meant extraordinary—something that inspired wonder and that seemed connected to the concept of “the divine.” Durkheim argued that “religion happens” in society when there is a separation between the profane (ordinary life) and the sacred (1915). A rock, for example, isn’t sacred or profane as it exists. But if someone makes it into a headstone, or another person uses it for landscaping, it takes on different meanings—one sacred, one profane. Durkheim is generally considered the first sociologist who analyzed religion in terms of its societal impact. Above all, he believed religion is about community: It binds people together (social cohesion), promotes behavior consistency (social control), and offers strength during life’s transitions and tragedies (meaning and purpose). By applying the methods of natural science to the study of society, Durkheim held that the source of religion and morality is the collective mind-set of society and that the cohesive bonds of social order result from common values in a society. He contended that these values need to be maintained to maintain social stability. But what would happen if religion were to decline? This question led Durkheim to posit that religion is not just a social creation but something that represents the power of society: When people celebrate sacred things, they celebrate the power of their society. By this reasoning, even if traditional religion disappeared, society wouldn’t necessarily dissolve. Whereas Durkheim saw religion as a source of social stability, German sociologist and political economist Max Weber (1864–1920) believed it was a precipitator of social change. He examined the effects of religion on economic activities and noticed that heavily Protestant societies—such as those in the Netherlands, England, Scotland, and Germany—were the most highly developed capitalist societies and that their most successful business leaders were Protestant. In his writing The Protestant Ethic and the Spirit of Capitalism (1905), he contends that the Protestant work ethic influenced the development of capitalism. Weber noted that certain kinds of Protestantism supported the pursuit of material gain by motivating believers to work hard, be successful, and not spend their profits on frivolous things. (The modern use of “work ethic” comes directly from Weber’s Protestant ethic, although it has now lost its religious connotations.) The Protestant Work Ethic in the Information Age Max Weber (1904) posited that, in Europe in his time, Protestants were more likely than Catholics to value capitalist ideology, and believed in hard work and savings. He showed that Protestant values directly influenced the rise of capitalism and helped create the modern world order. Weber thought the emphasis on community in Catholicism versus the emphasis on individual achievement in Protestantism made a difference. His century-old claim that the Protestant work ethic led to the development of capitalism has been one of the most important and controversial topics in the sociology of religion. In fact, scholars have found little merit to his contention when applied to modern society (Greeley 1989). What does the concept of work ethic mean today? The work ethic in the information age has been affected by tremendous cultural and social change, just as workers in the mid- to late nineteenth century were influenced by the wake of the Industrial Revolution. Factory jobs tend to be simple, uninvolved, and require very little thinking or decision making on the part of the worker. Today, the work ethic of the modern workforce has been transformed, as more thinking and decision making is required. Employees also seek autonomy and fulfillment in their jobs, not just wages. Higher levels of education have become necessary, as well as people management skills and access to the most recent information on any given topic. The information age has increased the rapid pace of production expected in many jobs. On the other hand, the “McDonaldization” of the United States (Hightower 1975; Ritzer 1993), in which many service industries, such as the fast-food industry, have established routinized roles and tasks, has resulted in a “discouragement” of the work ethic. In jobs where roles and tasks are highly prescribed, workers have no opportunity to make decisions. They are considered replaceable commodities as opposed to valued employees. During times of recession, these service jobs may be the only employment possible for younger individuals or those with low-level skills. The pay, working conditions, and robotic nature of the tasks dehumanizes the workers and strips them of incentives for doing quality work. Working hard also doesn’t seem to have any relationship with Catholic or Protestant religious beliefs anymore, or those of other religions; information age workers expect talent and hard work to be rewarded by material gain and career advancement. German philosopher, journalist, and revolutionary socialist Karl Marx (1818–1883) also studied the social impact of religion. He believed religion reflects the social stratification of society and that it maintains inequality and perpetuates the status quo. For him, religion was just an extension of working-class (proletariat) economic suffering. He famously argued that religion “is the opium of the people” (1844). For Durkheim, Weber, and Marx, who were reacting to the great social and economic upheaval of the late nineteenth century and early twentieth century in Europe, religion was an integral part of society. For Durkheim, religion was a force for cohesion that helped bind the members of society to the group, while Weber believed religion could be understood as something separate from society. Marx considered religion inseparable from the economy and the worker. Religion could not be understood apart from the capitalist society that perpetuated inequality. Despite their different views, these social theorists all believed in the centrality of religion to society. Theoretical Perspectives on Religion Modern-day sociologists often apply one of three major theoretical perspectives. These views offer different lenses through which to study and understand society: functionalism, symbolic interactionism, and conflict theory. Let’s explore how scholars applying these paradigms understand religion. Functionalism Functionalists contend that religion serves several functions in society. Religion, in fact, depends on society for its existence, value, and significance, and vice versa. From this perspective, religion serves several purposes, like providing answers to spiritual mysteries, offering emotional comfort, and creating a place for social interaction and social control. In providing answers, religion defines the spiritual world and spiritual forces, including divine beings. For example, it helps answer questions like, “How was the world created?” “Why do we suffer?” “Is there a plan for our lives?” and “Is there an afterlife?” As another function, religion provides emotional comfort in times of crisis. Religious rituals bring order, comfort, and organization through shared familiar symbols and patterns of behavior. One of the most important functions of religion, from a functionalist perspective, is the opportunities it creates for social interaction and the formation of groups. It provides social support and social networking and offers a place to meet others who hold similar values and a place to seek help (spiritual and material) in times of need. Moreover, it can foster group cohesion and integration. Because religion can be central to many people’s concept of themselves, sometimes there is an “in-group” versus “out-group” feeling toward other religions in our society or within a particular practice. On an extreme level, the Inquisition, the Salem witch trials, and anti-Semitism are all examples of this dynamic. Finally, religion promotes social control: It reinforces social norms such as appropriate styles of dress, following the law, and regulating sexual behavior. Conflict Theory Conflict theorists view religion as an institution that helps maintain patterns of social inequality. For example, the Vatican has a tremendous amount of wealth, while the average income of Catholic parishioners is small. According to this perspective, religion has been used to support the “divine right” of oppressive monarchs and to justify unequal social structures, like India’s caste system. Conflict theorists are critical of the way many religions promote the idea that believers should be satisfied with existing circumstances because they are divinely ordained. This power dynamic has been used by Christian institutions for centuries to keep poor people poor and to teach them that they shouldn’t be concerned with what they lack because their “true” reward (from a religious perspective) will come after death. Conflict theorists also point out that those in power in a religion are often able to dictate practices, rituals, and beliefs through their interpretation of religious texts or via proclaimed direct communication from the divine. The feminist perspective is a conflict theory view that focuses specifically on gender inequality. In terms of religion, feminist theorists assert that, although women are typically the ones to socialize children into a religion, they have traditionally held very few positions of power within religions. A few religions and religious denominations are more gender equal, but male dominance remains the norm of most. Rational Choice Theory: Can Economic Theory Be Applied to Religion? How do people decide which religion to follow, if any? How does one pick a church or decide which denomination “fits” best? Rational choice theory (RCT) is one way social scientists have attempted to explain these behaviors. The theory proposes that people are self-interested, though not necessarily selfish, and that people make rational choices—choices that can reasonably be expected to maximize positive outcomes while minimizing negative outcomes. Sociologists Roger Finke and Rodney Stark (1988) first considered the use of RCT to explain some aspects of religious behavior, with the assumption that there is a basic human need for religion in terms of providing belief in a supernatural being, a sense of meaning in life, and belief in life after death. Religious explanations of these concepts are presumed to be more satisfactory than scientific explanations, which may help to account for the continuation of strong religious connectedness in countries such as the United States, despite predictions of some competing theories for a great decline in religious affiliation due to modernization and religious pluralism. Another assumption of RCT is that religious organizations can be viewed in terms of “costs” and “rewards.” Costs are not only monetary requirements, but are also the time, effort, and commitment demands of any particular religious organization. Rewards are the intangible benefits in terms of belief and satisfactory explanations about life, death, and the supernatural, as well as social rewards from membership. RCT proposes that, in a pluralistic society with many religious options, religious organizations will compete for members, and people will choose between different churches or denominations in much the same way they select other consumer goods, balancing costs and rewards in a rational manner. In this framework, RCT also explains the development and decline of churches, denominations, sects, and even cults; this limited part of the very complex RCT theory is the only aspect well supported by research data. Critics of RCT argue that it doesn’t fit well with human spiritual needs, and many sociologists disagree that the costs and rewards of religion can even be meaningfully measured or that individuals use a rational balancing process regarding religious affiliation. The theory doesn’t address many aspects of religion that individuals may consider essential (such as faith) and further fails to account for agnostics and atheists who don’t seem to have a similar need for religious explanations. Critics also believe this theory overuses economic terminology and structure and point out that terms such as “rational” and “reward” are unacceptably defined by their use; they would argue that the theory is based on faulty logic and lacks external, empirical support. A scientific explanation for why something occurs can’t reasonably be supported by the fact that itdoes occur. RCT is widely used in economics and to a lesser extent in criminal justice, but the application of RCT in explaining the religious beliefs and behaviors of people and societies is still being debated in sociology today. Symbolic Interactionism Rising from the concept that our world is socially constructed, symbolic interactionism studies the symbols and interactions of everyday life. To interactionists, beliefs and experiences are not sacred unless individuals in a society regard them as sacred. The Star of David in Judaism, the cross in Christianity, and the crescent and star in Islam are examples of sacred symbols. Interactionists are interested in what these symbols communicate. Because interactionists study one-on-one, everyday interactions between individuals, a scholar using this approach might ask questions focused on this dynamic. The interaction between religious leaders and practitioners, the role of religion in the ordinary components of everyday life, and the ways people express religious values in social interactions—all might be topics of study to an interactionist. Summary Religion describes the beliefs, values, and practices related to sacred or spiritual concerns. Social theorist Émile Durkheim defined religion as a “unified system of beliefs and practices relative to sacred things” (1915). Max Weber believed religion could be a force for social change. Karl Marx viewed religion as a tool used by capitalist societies to perpetuate inequality. Religion is a social institution, because it includes beliefs and practices that serve the needs of society. Religion is also an example of a cultural universal, because it is found in all societies in one form or another. Functionalism, conflict theory, and interactionism all provide valuable ways for sociologists to understand religion. Section Quiz In what ways does religion serve the role of a social institution? - Religions have a complex and integrated set of norms. - Religious practices and beliefs are related to societal values. - Religions often meet several basic needs. - All of the above Hint: D A cultural universal is something that: - addresses all aspects of a group’s behavior - is found in all cultures - is based on social norms - may or may not be of value in meeting social needs Hint: B Which of the main theoretical perspectives would approach religion from the micro-level, studying how religion impacts an individual’s sense of support and well-being? - Functionalism - Symbolic interactionism - Conflict theory - Feminism Hint: B Which perspective most emphasizes the ways in which religion helps keep the social system running smoothly? - Functional perspective - Symbolic interactionist perspective - Conflict perspective - Feminist perspective Hint: A Which socialist perspective most emphasizes the ways in which religion helps to maintain social inequalities within a society? - Functional - Symbolic interactionist - Conflict theory - Feminist perspective Hint: C Which of the following do the functionalist and conflict perspectives share? - Position that religion relates to social control, enforcing social norms - Emphasis on religion as providing social support - Belief that religion helps explain the mysteries of life - None of the above Hint: A The Protestant work ethic was viewed in terms of its relationship to: - evolution and natural selection - capitalism - determinism - prejudice and discrimination Hint: B Short Answer List some ways that you see religion having social control in the everyday world. What are some sacred items that you’re familiar with? Are there some objects, such as cups, candles, or clothing, that would be considered profane in normal settings but are considered sacred in special circumstances or when used in specific ways? Consider a religion that you are familiar with, and discuss some of its beliefs, behaviors, and norms. Discuss how these meet social needs. Then, research a religion that you don’t know much about. Explain how its beliefs, behaviors, and norms are like/unlike the other religion. Further Research For more discussion on the study of sociology and religion, check out the following blog: http://openstaxcollege.org/l/immanent_frame/. The Immanent Frame is a forum for the exchange of ideas about religion, secularism, and society by leading thinkers in the social sciences and humanities. Read more about functionalist views on religion at http://openstaxcollege.org/l/Grinnell_functionalism, symbolic interactionist view on religion athttp://openstaxcollege.org/l/flat_Earth, and women in the clergy athttp://openstaxcollege.org/l/women_clergy. Some would argue that the Protestant work ethic is still alive and well in the United States. Read British historian Niall Ferguson’s view at http://openstaxcollege.org/l/Protestant_work_ethic. References Barkan, Steven E., and Susan Greenwood. 2003. “Religious Attendance and Subjective Well-Being among Older Americans: Evidence from the General Social Survey.” Review of Religious Research 45:116–129. Durkheim, Émile. 1933 [1893]. Division of Labor in Society. Translated by George Simpson. New York: Free Press. Durkheim, Émile. 1947 [1915]. The Elementary Forms of Religious Life. Translated by J. Swain. Glencoe, IL: Free Press. Ellway, P. 2005. “The Rational Choice Theory of Religion: Shopping for Faith or Dropping your Faith?” Retrieved February 21, 2012 (http://www.csa.com/discoveryguides/religion/overview.php). Fasching, Darrel, and Dell deChant. 2001. Comparative Religious Ethics: A Narrative Approach. Hoboken, NJ: Wiley-Blackwel. Finke, R., and R. Stark. 1988. “Religious Economies and Sacred Canopies: Religious Mobilization in American Cities, 1906.” American Sociological Review 53:41–49. Greeley, Andrew. 1989. “Protestant and Catholic: Is the Analogical Imagination Extinct?” American Sociological Review 54:485–502. Hechter, M. 1997. “Sociological Rational Choice Theory.” Annual Review of Sociology 23:191–214. Retrieved January 20, 2012 (http://personal.lse.ac.uk/KANAZAWA/pdfs/ARS1997.pdf). Hightower, Jim. 1975. Eat Your Heart Out: Food Profiteering in America. New York: Crown Publishers, Inc. Marx, Karl. 1973 [1844]. Contribution to Critique of Hegel's Philosophy of Right. Cambridge, England: Cambridge University Press. Ritzer, George. 1993. The McDonaldization of Society. Thousand Oaks, CA: Pine Forge. Weber, Max. 2002 [1905]. The Protestant Ethic and the Spirit of Capitalism and Other Writings, translated by Peter R. Baehr and Gordon C. Wells. New York: Penguin.	oercommons	2025-03-18T00:38:53.031997	null	{ "license": "Creative Commons - Attribution - https://creativecommons.org/licenses/by/4.0/", "url": "https://oercommons.org/courseware/lesson/11818/overview", "title": "Introduction to Sociology 2e, Religion", "author": null }
https://oercommons.org/courseware/lesson/11819/overview	World Religions Overview - Explain the differences between various types of religious organizations - Understand classifications of religion, like animism, polytheism, monotheism, and atheism - Describe several major world religions The major religions of the world (Hinduism, Buddhism, Islam, Confucianism, Christianity, Taoism, and Judaism) differ in many respects, including how each religion is organized and the belief system each upholds. Other differences include the nature of belief in a higher power, the history of how the world and the religion began, and the use of sacred texts and objects. Types of Religious Organizations Religions organize themselves—their institutions, practitioners, and structures—in a variety of fashions. For instance, when the Roman Catholic Church emerged, it borrowed many of its organizational principles from the ancient Roman military and turned senators into cardinals, for example. Sociologists use different terms, like ecclesia, denomination, and sect, to define these types of organizations. Scholars are also aware that these definitions are not static. Most religions transition through different organizational phases. For example, Christianity began as a cult, transformed into a sect, and today exists as an ecclesia. Cults, like sects, are new religious groups. In the United States today this term often carries pejorative connotations. However, almost all religions began as cults and gradually progressed to levels of greater size and organization. The term cult is sometimes used interchangeably with the term new religious movement (NRM). In its pejorative use, these groups are often disparaged as being secretive, highly controlling of members’ lives, and dominated by a single, charismatic leader. Controversy exists over whether some groups are cults, perhaps due in part to media sensationalism over groups like polygamous Mormons or the Peoples Temple followers who died at Jonestown, Guyana. Some groups that are controversially labeled as cults today include the Church of Scientology and the Hare Krishna movement. A sect is a small and relatively new group. Most of the well-known Christian denominations in the United States today began as sects. For example, the Methodists and Baptists protested against their parent Anglican Church in England, just as Henry VIII protested against the Catholic Church by forming the Anglican Church. From “protest” comes the term Protestant. Occasionally, a sect is a breakaway group that may be in tension with larger society. They sometimes claim to be returning to “the fundamentals” or to contest the veracity of a particular doctrine. When membership in a sect increases over time, it may grow into a denomination. Often a sect begins as an offshoot of a denomination, when a group of members believes they should separate from the larger group. Some sects dissolve without growing into denominations. Sociologists call these established sects. Established sects, such as the Amish or Jehovah’s Witnesses fall halfway between sect and denomination on the ecclesia–cult continuum because they have a mixture of sect-like and denomination-like characteristics. A denomination is a large, mainstream religious organization, but it does not claim to be official or state sponsored. It is one religion among many. For example, Baptist, African Methodist Episcopal, Catholic, and Seventh-day Adventist are all Christian denominations. The term ecclesia, originally referring to a political assembly of citizens in ancient Athens, Greece, now refers to a congregation. In sociology, the term is used to refer to a religious group that most all members of a society belong to. It is considered a nationally recognized, or official, religion that holds a religious monopoly and is closely allied with state and secular powers. The United States does not have an ecclesia by this standard; in fact, this is the type of religious organization that many of the first colonists came to America to escape. One way to remember these religious organizational terms is to think of cults, sects, denominations, and ecclesia representing a continuum, with increasing influence on society, where cults are least influential and ecclesia are most influential. Types of Religions Scholars from a variety of disciplines have strived to classify religions. One widely accepted categorization that helps people understand different belief systems considers what or who people worship (if anything). Using this method of classification, religions might fall into one of these basic categories, as shown in . \| Religious Classification \| What/Who Is Divine \| Example \| \|---\|---\|---\| \| Polytheism \| Multiple gods \| Belief systems of the ancient Greeks and Romans \| \| Monotheism \| Single god \| Judaism, Islam \| \| Atheism \| No deities \| Atheism \| \| Animism \| Nonhuman beings (animals, plants, natural world) \| Indigenous nature worship (Shinto) \| \| Totemism \| Human-natural being connection \| Ojibwa (Native American) beliefs \| Note that some religions may be practiced—or understood—in various categories. For instance, the Christian notion of the Holy Trinity (God, Jesus, Holy Spirit) defies the definition of monotheism, which is a religion based on belief in a single deity, to some scholars. Similarly, many Westerners view the multiple manifestations of Hinduism’s godhead aspolytheistic, which is a religion based on belief in multiple deities,, while Hindus might describe those manifestations are a monotheistic parallel to the Christian Trinity. Some Japanese practice Shinto, which followsanimism, which is a religion that believes in the divinity of nonhuman beings, like animals, plants, and objects of the natural world, while people who practicetotemism believe in a divine connection between humans and other natural beings. It is also important to note that every society also has nonbelievers, such as atheists, who do not believe in a divine being or entity, and agnostics, who hold that ultimate reality (such as God) is unknowable. While typically not an organized group, atheists and agnostics represent a significant portion of the population. It is important to recognize that being a nonbeliever in a divine entity does not mean the individual subscribes to no morality. Indeed, many Nobel Peace Prize winners and other great humanitarians over the centuries would have classified themselves as atheists or agnostics. The World’s Religions Religions have emerged and developed across the world. Some have been short-lived, while others have persisted and grown. In this section, we will explore seven of the world’s major religions. Hinduism The oldest religion in the world, Hinduism originated in the Indus River Valley about 4,500 years ago in what is now modern-day northwest India and Pakistan. It arose contemporaneously with ancient Egyptian and Mesopotamian cultures. With roughly one billion followers, Hinduism is the third-largest of the world’s religions. Hindus believe in a divine power that can manifest as different entities. Three main incarnations—Brahma, Vishnu, and Shiva—are sometimes compared to the manifestations of the divine in the Christian Trinity. Multiple sacred texts, collectively called the Vedas, contain hymns and rituals from ancient India and are mostly written in Sanskrit. Hindus generally believe in a set of principles called dharma, which refer to one’s duty in the world that corresponds with “right” actions. Hindus also believe in karma, or the notion that spiritual ramifications of one’s actions are balanced cyclically in this life or a future life (reincarnation). Buddhism Buddhism was founded by Siddhartha Gautama around 500 B.C.E. Siddhartha was said to have given up a comfortable, upper-class life to follow one of poverty and spiritual devotion. At the age of thirty-five, he famously meditated under a sacred fig tree and vowed not to rise before he achieved enlightenment (bodhi). After this experience, he became known as Buddha, or “enlightened one.” Followers were drawn to Buddha’s teachings and the practice of meditation, and he later established a monastic order. Buddha’s teachings encourage Buddhists to lead a moral life by accepting the four Noble Truths: 1) life is suffering, 2) suffering arises from attachment to desires, 3) suffering ceases when attachment to desires ceases, and 4) freedom from suffering is possible by following the “middle way.” The concept of the “middle way” is central to Buddhist thinking, which encourages people to live in the present and to practice acceptance of others (Smith 1991). Buddhism also tends to deemphasize the role of a godhead, instead stressing the importance of personal responsibility (Craig 2002). Confucianism Confucianism was the official religion of China from 200 B.C.E. until it was officially abolished when communist leadership discouraged religious practice in 1949. The religion was developed by Kung Fu-Tzu (Confucius), who lived in the sixth and fifth centuries B.C.E. An extraordinary teacher, his lessons—which were about self-discipline, respect for authority and tradition, and jen (the kind treatment of every person)—were collected in a book called theAnalects. Some religious scholars consider Confucianism more of a social system than a religion because it focuses on sharing wisdom about moral practices but doesn’t involve any type of specific worship; nor does it have formal objects. In fact, its teachings were developed in context of problems of social anarchy and a near-complete deterioration of social cohesion. Dissatisfied with the social solutions put forth, Kung Fu-Tzu developed his own model of religious morality to help guide society (Smith 1991). Taoism In Taoism, the purpose of life is inner peace and harmony. Tao is usually translated as “way” or “path.” The founder of the religion is generally recognized to be a man named Laozi, who lived sometime in the sixth century B.C.E. in China. Taoist beliefs emphasize the virtues of compassion and moderation. The central concept of tao can be understood to describe a spiritual reality, the order of the universe, or the way of modern life in harmony with the former two. The ying-yang symbol and the concept of polar forces are central Taoist ideas (Smith 1991). Some scholars have compared this Chinese tradition to its Confucian counterpart by saying that “whereas Confucianism is concerned with day-to-day rules of conduct, Taoism is concerned with a more spiritual level of being” (Feng and English 1972). Judaism After their Exodus from Egypt in the thirteenth century B.C.E., Jews, a nomadic society, became monotheistic, worshipping only one God. The Jews’ covenant, or promise of a special relationship with Yahweh (God), is an important element of Judaism, and their sacred text is the Torah, which Christians also follow as the first five books of the Bible. Talmud refers to a collection of sacred Jewish oral interpretation of the Torah. Jews emphasize moral behavior and action in this world as opposed to beliefs or personal salvation in the next world. Islam Islam is monotheistic religion and it follows the teaching of the prophet Muhammad, born in Mecca, Saudi Arabia, in 570 C.E. Muhammad is seen only as a prophet, not as a divine being, and he is believed to be the messenger of Allah (God), who is divine. The followers of Islam, whose U.S. population is projected to double in the next twenty years (Pew Research Forum 2011), are called Muslims. Islam means “peace” and “submission.” The sacred text for Muslims is the Qur’an (or Koran). As with Christianity’s Old Testament, many of the Qur’an stories are shared with the Jewish faith. Divisions exist within Islam, but all Muslims are guided by five beliefs or practices, often called “pillars”: 1) Allah is the only god, and Muhammad is his prophet, 2) daily prayer, 3) helping those in poverty, 4) fasting as a spiritual practice, and 5) pilgrimage to the holy center of Mecca. Christianity Today the largest religion in the world, Christianity began 2,000 years ago in Palestine, with Jesus of Nazareth, a charismatic leader who taught his followers about caritas (charity) or treating others as you would like to be treated yourself. The sacred text for Christians is the Bible. While Jews, Christians, and Muslims share many of same historical religious stories, their beliefs verge. In their shared sacred stories, it is suggested that the son of God—a messiah—will return to save God’s followers. While Christians believe that he already appeared in the person of Jesus Christ, Jews and Muslims disagree. While they recognize Christ as an important historical figure, their traditions don’t believe he’s the son of God, and their faiths see the prophecy of the messiah’s arrival as not yet fulfilled. Different Christian groups have variations among their sacred texts. For instance, Mormons, an established Christian sect, also use the Book of Mormon, which they believe details other parts of Christian doctrine and Jesus’ life that aren’t included in the Bible. Similarly, the Catholic Bible includes the Apocrypha, a collection that, while part of the 1611 King James translation, is no longer included in Protestant versions of the Bible. Although monotheistic, Christians often describe their god through three manifestations that they call the Holy Trinity: the father (God), the son (Jesus), and the Holy Spirit. The Holy Spirit is a term Christians often use to describe religious experience, or how they feel the presence of the sacred in their lives. One foundation of Christian doctrine is the Ten Commandments, which decry acts considered sinful, including theft, murder, and adultery. Summary Sociological terms for different kinds of religious organizations are, in order of decreasing influence in society, ecclesia, denomination, sect, and cult. Religions can be categorized according to what or whom its followers worship. Some of the major, and oldest, of the world’s religions include Hinduism, Buddhism, Confucianism, Taoism, Judaism, Islam, and Christianity. Section Quiz What are some denominations of the Christian Protestant church? - Catholic and Jewish - Jehovah’s Witnesses and Presbyterians - Scientology and Hare Krishna - Methodist and Seventh-day Adventist Hint: D A sect: - has generally grown so large that it needs new buildings and multiple leaders - often believes it must split from the larger group to return to important fundamentals - is another term for a cult - All of the above Hint: B The main difference between an ecclesia and a denomination is: - the number of followers or believers is much larger for denominations - the geographical location varies for ecclesia versus denominations - ecclesia are state-sponsored and considered an official religion - there are no important differences; the terms are interchangeable Hint: C Some controversial groups that may be mislabeled as cults include: - Scientology and the Hare Krishna - the Peoples Temple and Heaven’s Gate - the Branch Davidians and the Manson Family - Quakers and Pentecostals Hint: A In what part of the world have Confucianism and Taoism been primarily practiced? - India - Europe - China - The Middle East Hint: C Many stories in the sacred text of Judaism are: - referred to as the Apocrypha - oral traditions only because Judaism has no sacred text - shared by Christianity and Islam - no longer part of the Torah Hint: C What do Christianity and Islam have in common? - Both believe in a single supreme god. - Both share many of the same stories in their central religious texts. - Both believe in an afterlife. - All of the above Hint: D Short Answer Consider the different types of religious organizations in the United States. What role did ecclesia play in the history of the United States? How have sects tended to change over time? What role do cults have today? What is your understanding of monotheism versus polytheism? How might your ideology be an obstacle to understanding the theism of another religion you’re unfamiliar with? In U.S. society, do you believe there is social stratification that correlates with religious beliefs? What about within the practitioners of a given religion? Provide examples to illustrate your point. Further Research PBS’s Frontline explores “the life of Jesus and the rise of Christianity” in this in-depth documentary. View the piece in its entirety here:http://openstaxcollege.org/l/PBS_Frontline. For more insight on Confucianism, read the Analects by Confucius, at http://openstaxcollege.org/l/Confucius_Analects. For a primer on Judaism, read Judaism 101 athttp://openstaxcollege.org/l/Jew_FAQ. Sorting through the different Christian denominations can be a daunting task. To help clarify these groups, go to http://openstaxcollege.org/l/Christian_denominations. References Craig, Mary, transl. 2002. The Pocket Dalai Lama. Boston, MA: Shambhala. Feng, Gia-fu, and Jane English, transl. 1972. “Introduction” in Tao Te Ching. New York: Random House. Holy Bible: 1611 Edition, King James Version. 1982 [1611]. Nashville, TN: Thomas Nelson. Smith, Huston. 1991 [1958]. The World’s Religions. San Francisco, CA: Harper Collins.	oercommons	2025-03-18T00:38:53.070765	null	{ "license": "Creative Commons - Attribution - https://creativecommons.org/licenses/by/4.0/", "url": "https://oercommons.org/courseware/lesson/11819/overview", "title": "Introduction to Sociology 2e, Religion", "author": null }
https://oercommons.org/courseware/lesson/11820/overview	Religion in the United States Overview - Give examples of religion as an agent of social change - Describe current U.S. trends including megachurches and secularization In examining the state of religion in the United States today, we see the complexity of religious life in our society, plus emerging trends like the rise of the megachurch, secularization, and the role of religion in social change. Religion and Social Change Religion has historically been an impetus to social change. The translation of sacred texts into everyday, nonscholarly language empowered people to shape their religions. Disagreements between religious groups and instances of religious persecution have led to wars and genocides. The United States is no stranger to religion as an agent of social change. In fact, the United States' first European arrivals were acting largely on religious convictions when they were compelled to settle in the United States. Liberation Theology Liberation theology began as a movement within the Roman Catholic Church in the 1950s and 1960s in Latin America, and it combines Christian principles with political activism. It uses the church to promote social change via the political arena, and it is most often seen in attempts to reduce or eliminate social injustice, discrimination, and poverty. A list of proponents of this kind of social justice (although some pre-date liberation theory) could include Francis of Assisi, Leo Tolstoy, Martin Luther King Jr., and Desmond Tutu. Although begun as a moral reaction against the poverty caused by social injustice in that part of the world, today liberation theology is an international movement that encompasses many churches and denominations. Liberation theologians discuss theology from the point of view of the poor and the oppressed, and some interpret the scriptures as a call to action against poverty and injustice. In Europe and North America, feminist theology has emerged from liberation theology as a movement to bring social justice to women. Religious Leaders and the Rainbow of Gay Pride What happens when a religious leader officiates a gay marriage against denomination policies? What about when that same minister defends the action in part by coming out and making her own lesbian relationship known to the church? In the case of the Reverend Amy DeLong, it meant a church trial. Some leaders in her denomination assert that homosexuality is incompatible with their faith, while others feel this type of discrimination has no place in a modern church (Barrick 2011). As the LBGT community increasingly advocates for, and earns, basic civil rights, how will religious communities respond? Many religious groups have traditionally discounted LBGT sexualities as “wrong.” However, these organizations have moved closer to respecting human rights by, for example, increasingly recognizing females as an equal gender. The Roman Catholic Church drew controversial attention to this issue in 2010 when the Vatican secretary of state suggested homosexuality was in part to blame for pedophilic sexual abuse scandals that have plagued the church (Beck 2010). Because numerous studies have shown there to be no relationship between homosexuality and pedophilia, nor a higher incidence of pedophilia among homosexuals than among heterosexuals (Beck 2010), the Vatican’s comments seem suspect. More recently Pope Francis has been pushing for a more open church, and some Catholic bishops have been advocating for a more "gay-friendly" church (McKenna, 2014). This has not come to pass, but some scholars believe these changes are a matter of time. No matter the situation, most religions have a tenuous (at best) relationship with practitioners and leaders in the gay community. As one of the earliest Christian denominations to break barriers by ordaining women to serve as pastors, will Amy DeLong’s United Methodist denomination also be a leader in LBGT rights within Christian churchgoing society? Megachurches A megachurch is a Christian church that has a very large congregation averaging more than 2,000 people who attend regular weekly services. As of 2009, the largest megachurch in the United States was in Houston Texas, boasting an average weekly attendance of more than 43,000 (Bogan 2009). Megachurches exist in other parts of the world, especially in South Korea, Brazil, and several African countries, but the rise of the megachurch in the United States is a fairly recent phenomenon that has developed primarily in California, Florida, Georgia, and Texas. Since 1970 the number of megachurches in this country has grown from about fifty to more than 1,000, most of which are attached to the Southern Baptist denomination (Bogan 2009). Approximately six million people are members of these churches (Bird and Thumma 2011). The architecture of these church buildings often resembles a sport or concert arena. The church may include jumbotrons (large-screen televisual technology usually used in sports arenas to show close-up shots of an event). Worship services feature contemporary music with drums and electric guitars and use state-of-the-art sound equipment. The buildings sometimes include food courts, sports and recreation facilities, and bookstores. Services such as child care and mental health counseling are often offered. Typically, a single, highly charismatic pastor leads the megachurch; at present, most are male. Some megachurches and their preachers have a huge television presence, and viewers all around the country watch and respond to their shows and fundraising. Besides size, U.S. megachurches share other traits, including conservative theology, evangelism, use of technology and social networking (Facebook, Twitter, podcasts, blogs), hugely charismatic leaders, few financial struggles, multiple sites, and predominantly white membership. They list their main focuses as youth activities, community service, and study of the Scripture (Hartford Institute for Religion Research b). Critics of megachurches believe they are too large to promote close relationships among fellow church members or the pastor, as could occur in smaller houses of worship. Supporters note that, in addition to the large worship services, congregations generally meet in small groups, and some megachurches have informal events throughout the week to allow for community-building (Hartford Institute for Religion Research a). Secularization Historical sociologists Émile Durkheim, Max Weber, and Karl Marx and psychoanalyst Sigmund Freud anticipated secularization and claimed that the modernization of society would bring about a decrease in the influence of religion. Weber believed membership in distinguished clubs would outpace membership in Protestant sects as a way for people to gain authority or respect. Conversely, some people suggest secularization is a root cause of many social problems, such as divorce, drug use, and educational downturn. One-time presidential contender Michele Bachmann even linked Hurricane Irene and the 2011 earthquake felt in Washington D.C. to politicians’ failure to listen to God (Ward 2011). While some scholars see the United States becoming increasingly secular, others observe a rise in fundamentalism. Compared to other democratic, industrialized countries, the United States is generally perceived to be a fairly religious nation. Whereas 65 percent of U.S. adults in a 2009 Gallup survey said religion was an important part of their daily lives, the numbers were lower in Spain (49 percent), Canada (42 percent), France (30 percent), the United Kingdom (27 percent), and Sweden (17 percent) (Crabtree and Pelham 2009). Secularization interests social observers because it entails a pattern of change in a fundamental social institution. Thank God for that Touchdown: Separation of Church and State Imagine three public universities with football games scheduled on Saturday. At University A, a group of students in the stands who share the same faith decide to form a circle amid the spectators to pray for the team. For fifteen minutes, people in the circle share their prayers aloud among their group. At University B, the team ahead at halftime decides to join together in prayer, giving thanks and seeking support from God. This lasts for the first ten minutes of halftime on the sidelines of the field while spectators watch. At University C, the game program includes, among its opening moments, two minutes set aside for the team captain to share a prayer of his choosing with the spectators. In the tricky area of separation of church and state, which of these actions is allowed and which is forbidden? In our three fictional scenarios, the last example is against the law while the first two situations are perfectly acceptable. In the United States, a nation founded on the principles of religious freedom (many settlers were escaping religious persecution in Europe), how stringently do we adhere to this ideal? How well do we respect people’s right to practice any belief system of their choosing? The answer just might depend on what religion you practice. In 2003, for example, a lawsuit escalated in Alabama regarding a monument to the Ten Commandments in a public building. In response, a poll was conducted by USA Today, CNN, and Gallup. Among the findings: 70 percent of people approved of a Christian Ten Commandments monument in public, while only 33 percent approved of a monument to the Islamic Qur’an in the same space. Similarly, survey respondents showed a 64 percent approval of social programs run by Christian organizations, but only 41 percent approved of the same programs run by Muslim groups (Newport 2003). These statistics suggest that, for most people in the United States, freedom of religion is less important than the religion under discussion. And this is precisely the point made by those who argue for separation of church and state. According to their contention, any state-sanctioned recognition of religion suggests endorsement of one belief system at the expense of all others—contradictory to the idea of freedom of religion. So what violates separation of church and state and what is acceptable? Myriad lawsuits continue to test the answer. In the case of the three fictional examples above, the issue of spontaneity is key, as is the existence (or lack thereof) of planning on the part of event organizers. The next time you’re at a state event—political, public school, community—and the topic of religion comes up, consider where it falls in this debate. Summary Liberation theology combines Christian principles with political activism to address social injustice, discrimination, and poverty. Megachurches are those with a membership of more than 2,000 regular attendees, and they are a vibrant, growing and highly influential segment of U.S. religious life. Some sociologists believe levels of religiosity in the United States are declining (called secularization), while others observe a rise in fundamentalism. Section Quiz Social scientists refer to the use of a church to combat social injustice in the political realm as: - the protestant work ethic - conflict management - liberation theology - justice work Hint: C Megachurches tend to have: - a variety of male and female clergy - numerous buildings in which to meet - high attendance for only a limited time - large arenas where services are held Hint: D Short Answer Do you believe the United States is becoming more secularized or more fundamentalist? Comparing your generation to that of your parents or grandparents, what differences do you see in the relationship between religion and society? What would popular media have you believe is the state of religion in the United States today? Further Research What is a megachurch and how are they changing the face of religion? Read “Exploring the Megachurch Phenomena: Their Characteristics and Cultural Context” at http://openstaxcollege.org/l/megachurch. Curious about the LGBT religious movement? Visit the Gay and Lesbian Alliance Against Defamation (GLAAD) and Human Rights Campaign (HRC) web sites for current news about the growing inclusion of LGBT citizens into their respective religious communities, both in the pews and from the pulpit: http://openstaxcollege.org/l/GLAAD andhttp://openstaxcollege.org/l/human_rights_campaign. How do Christians feel about gay marriage? How many Mormons are there in the United States? Check out http://openstaxcollege.org/l/Pew_Forum, the Pew Forum on Religion and Public Life, a research institute examining U.S. religious trends. References Barrick, Audrey. 2011. “Church Trial Set for Lesbian Methodist Minister.” Christian Post, Feb 15. Retrieved January 22, 2012 (http://www.christianpost.com/news/church-trial-set-for-lesbian-methodist-minister-48993). Beck, Edward L. 2010. “Are Gay Priests the Problem?” ABC News/Good Morning America, April 15. Retrieved January 22, 2012 (http://abcnews.go.com/GMA/Spirituality/gay-priests-problem/story?id=10381964). Bird, Warren, and Scott Thumma. 2011. “A New Decade of Megachurches: 2011 Profile of Large Attendance Churches in the United States.” Hartford Institute for Religion Research. Retrieved February 21, 2012 (http://hirr.hartsem.edu/megachurch/megachurch-2011-summary-report.htm). Bogan, Jesse. 2009. “America’s Biggest Megachurches.” Forbes.com, June 26. Retrieved February 21, 2012 (http://www.forbes.com/2009/06/26/americas-biggest-megachurches-business-megachurches.html). Crabtree, Steve, and Brett Pelham. 2009. “What Alabamians and Iranians Have in Common.” Gallup World, February 9. Retrieved February 21, 2012 (http://www.gallup.com/poll/114211/alabamians-iranians-common.aspx). Hartford Institute for Religion Research a. “Database of Megachurches in the US.” Retrieved February 21, 2012(http://hirr.hartsem.edu/megachurch/database.html). Hartford Institute for Religion Research b. “Megachurch Definition.” Retrieved February 21, 2012 (http://hirr.hartsem.edu/megachurch/definition.html). McKenna, Josephine. 2014. "Catholic Bishops Narrowly Reject a Wider Welcome to Gays, Divorced Catholics." Religion News Service. Retrieved Oct. 27, 2014 (http://www.religionnews.com/2014/10/18/gays-missing-final-message-vaticans-heated-debate-family/). Newport, Frank. 2003. “Americans Approve of Displays of Religious Symbols.” Gallup, October 3. Retrieved February 21, 2012 (http://www.gallup.com/poll/9391/americans-approve-public-displays-religious-symbols.aspx). Pew Research Forum. 2011. “The Future of the Global Muslim Population.” The Pew Forum on Religion and Public Life, January 27. Retrieved February 21, 2012 (http://www.pewforum.org/The-Future-of-the-Global-Muslim-Population.aspx). Ward, Jon. 2011. “Michele Bachman Says Hurricane and Earthquake Are Divine Warnings to Washington.” Huffington Post, August 29. Retrieved February 21, 2012 (http://www.huffingtonpost.com/2011/08/29/michele-bachmann-hurricane-irene_n_940209.html).	oercommons	2025-03-18T00:38:53.099847	null	{ "license": "Creative Commons - Attribution - https://creativecommons.org/licenses/by/4.0/", "url": "https://oercommons.org/courseware/lesson/11820/overview", "title": "Introduction to Sociology 2e, Religion", "author": null }
https://oercommons.org/courseware/lesson/15190/overview		oercommons	2025-03-18T00:38:53.118434	null	{ "license": "Creative Commons - Attribution - https://creativecommons.org/licenses/by/4.0/", "url": "https://oercommons.org/courseware/lesson/15190/overview", "title": "Biology, Geological Time", "author": null }
https://oercommons.org/courseware/lesson/15290/overview	Electoral College Votes by State, 2012–2020 The number of Electoral College votes granted to each state equals the total number of representatives and senators that state has in the U.S. Congress or, in the case of Washington, DC, as many electors as it would have if it were a state. The number of representatives may fluctuate based on state population, which is determined every ten years by the U.S. Census, mandated by Article I, Section 2 of the Constitution. The most recent census was conducted in 2010. The number of Electoral College votes granted to each state equals the total number of representatives and senators that state has in the U.S. Congress or, in the case of Washington, DC, as many electors as it would have if it were a state. The number of representatives may fluctuate based on state population, which is determined every ten years by the U.S. Census, mandated by Article I, Section 2 of the Constitution. The most recent census was conducted in 2010. The number of Electoral College votes granted to each state equals the total number of representatives and senators that state has in the U.S. Congress or, in the case of Washington, DC, as many electors as it would have if it were a state. The number of representatives may fluctuate based on state population, which is determined every ten years by the U.S. Census, mandated by Article I, Section 2 of the Constitution. The most recent census was conducted in 2010.	oercommons	2025-03-18T00:38:53.146606	null	{ "license": "Creative Commons - Attribution - https://creativecommons.org/licenses/by/4.0/", "url": "https://oercommons.org/courseware/lesson/15290/overview", "title": "American Government, Electoral College Votes by State, 2012–2020", "author": null }
https://oercommons.org/courseware/lesson/15316/overview	Introduction Imagine standing on a city street corner. You might be struck by movement everywhere as cars and people go about their business, by the sound of a street musician’s melody or a horn honking in the distance, by the smell of exhaust fumes or of food being sold by a nearby vendor, and by the sensation of hard pavement under your feet. We rely on our sensory systems to provide important information about our surroundings. We use this information to successfully navigate and interact with our environment so that we can find nourishment, seek shelter, maintain social relationships, and avoid potentially dangerous situations. This chapter will provide an overview of how sensory information is received and processed by the nervous system and how that affects our conscious experience of the world. We begin by learning the distinction between sensation and perception. Then we consider the physical properties of light and sound stimuli, along with an overview of the basic structure and function of the major sensory systems. The chapter will close with a discussion of a historically important theory of perception called Gestalt. References Aaron, J. I., Mela, D. J., & Evans, R. E. (1994). The influences of attitudes, beliefs, and label information on perceptions of reduced-fat spread. Appetite, 22, 25–37. Abraira, V. E., & Ginty, D. D. (2013). The sensory neurons of touch. Neuron, 79, 618–639. Ayabe-Kanamura, S., Saito, S., Distel, H., Martínez-Gómez, M., & Hudson, R. (1998). Differences and similarities in the perception of everyday odors: A Japanese-German cross-cultural study. Annals of the New York Academy of Sciences, 855, 694–700. Chen, Q., Deng, H., Brauth, S. E., Ding, L., & Tang, Y. (2012). Reduced performance of prey targeting in pit vipers with contralaterally occluded infrared and visual senses. 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H. (1999). Human behavior in global perspective (2nd ed.). Boston: Allyn & Bacon. Semaan, M. T., & Megerian, C. A. (2010). Contemporary perspectives on the pathophysiology of Meniere’s disease: implications for treatment. Current opinion in Otolaryngology & Head and Neck Surgery, 18(5), 392–398. Shamma, S. (2001). On the role of space and time in auditory processing. Trends in Cognitive Sciences, 5, 340–348. Simons, D. J., & Chabris, C. F. (1999). Gorillas in our midst: Sustained inattentional blindness for dynamic events. Perception, 28, 1059–1074. Spors, H., Albeanu, D. F., Murthy, V. N., Rinberg, D., Uchida, N., Wachowiak, M., & Friedrich, R. W. (2013). Illuminating vertebrate olfactory processing. Journal of Neuroscience, 32, 14102–14108. Spray, D. C. (1986). Cutaneous temperature receptors. Annual Review of Physiology, 48, 625–638. Strain, G. M. (2003). How well do dogs and other animals hear? Retrieved from http://www.lsu.edu/deafness/HearingRange.html Swets, J. A. (1964). Signal detection and recognition by human observers. Psychological Bulletin, 60, 429–441. Ungerleider, L. G., & Haxby, J. V. (1994). ‘What’ and ‘where’ in the human brain. Current Opinion in Neurobiology, 4, 157–165. U.S. National Library of Medicine. (2013). Genetics home reference: Congenital insensitivity to pain. Retrieved from http://ghr.nlm.nih.gov/condition/congenital-insensitivity-to-pain Vecera, S. P., & O’Reilly, R. C. (1998). Figure-ground organization and object recognition processes: An interactive account. Journal of Experimental Psychology-Human Perception and Performance, 24, 441–462. Wakakuwa, M., Stavenga, D. G., & Arikawa, K. (2007). Spectral organization of ommatidia in flower-visiting insects. Photochemistry and Photobiology, 83, 27–34. Weller, A. (1998). Human pheromones: Communication through body odour. Nature, 392, 126–127. Wells, D. L. (2010). Domestic dogs and human health: An overview. British Journal of Health Psychology, 12, 145–156. Wolfgang-Kimball, D. (1992). Pheromones in humans: myth or reality?. Retrieved from http://www.anapsid.org/pheromones.html Wysocki, C. J., & Preti, G. (2004). Facts, fallacies, fears, and frustrations with human pheromones. The Anatomical Record Part A: Discoveries in Molecular, Cellular, and Evolutionary Biology, 281, 1201–1211.	oercommons	2025-03-18T00:38:53.169740	null	{ "license": "Creative Commons - Attribution - https://creativecommons.org/licenses/by/4.0/", "url": "https://oercommons.org/courseware/lesson/15316/overview", "title": "Psychology, Sensation and Perception", "author": null }
https://oercommons.org/courseware/lesson/15317/overview	Sensation versus Perception Overview By the end of this section, you will be able to: - Distinguish between sensation and perception - Describe the concepts of absolute threshold and difference threshold - Discuss the roles attention, motivation, and sensory adaptation play in perception SENSATION What does it mean to sense something? Sensory receptors are specialized neurons that respond to specific types of stimuli. When sensory information is detected by a sensory receptor, sensation has occurred. For example, light that enters the eye causes chemical changes in cells that line the back of the eye. These cells relay messages, in the form of action potentials (as you learned when studying biopsychology), to the central nervous system. The conversion from sensory stimulus energy to action potential is known as transduction. You have probably known since elementary school that we have five senses: vision, hearing (audition), smell (olfaction), taste (gustation), and touch (somatosensation). It turns out that this notion of five senses is oversimplified. We also have sensory systems that provide information about balance (the vestibular sense), body position and movement (proprioception and kinesthesia), pain (nociception), and temperature (thermoception). The sensitivity of a given sensory system to the relevant stimuli can be expressed as an absolute threshold. Absolute threshold refers to the minimum amount of stimulus energy that must be present for the stimulus to be detected 50% of the time. Another way to think about this is by asking how dim can a light be or how soft can a sound be and still be detected half of the time. The sensitivity of our sensory receptors can be quite amazing. It has been estimated that on a clear night, the most sensitive sensory cells in the back of the eye can detect a candle flame 30 miles away (Okawa & Sampath, 2007). Under quiet conditions, the hair cells (the receptor cells of the inner ear) can detect the tick of a clock 20 feet away (Galanter, 1962). It is also possible for us to get messages that are presented below the threshold for conscious awareness—these are called subliminal messages. A stimulus reaches a physiological threshold when it is strong enough to excite sensory receptors and send nerve impulses to the brain: This is an absolute threshold. A message below that threshold is said to be subliminal: We receive it, but we are not consciously aware of it. Over the years there has been a great deal of speculation about the use of subliminal messages in advertising, rock music, and self-help audio programs. Research evidence shows that in laboratory settings, people can process and respond to information outside of awareness. But this does not mean that we obey these messages like zombies; in fact, hidden messages have little effect on behavior outside the laboratory (Kunst-Wilson & Zajonc, 1980; Rensink, 2004; Nelson, 2008; Radel, Sarrazin, Legrain, & Gobancé, 2009; Loersch, Durso, & Petty, 2013). Absolute thresholds are generally measured under incredibly controlled conditions in situations that are optimal for sensitivity. Sometimes, we are more interested in how much difference in stimuli is required to detect a difference between them. This is known as the just noticeable difference (jnd) or difference threshold. Unlike the absolute threshold, the difference threshold changes depending on the stimulus intensity. As an example, imagine yourself in a very dark movie theater. If an audience member were to receive a text message on her cell phone which caused her screen to light up, chances are that many people would notice the change in illumination in the theater. However, if the same thing happened in a brightly lit arena during a basketball game, very few people would notice. The cell phone brightness does not change, but its ability to be detected as a change in illumination varies dramatically between the two contexts. Ernst Weber proposed this theory of change in difference threshold in the 1830s, and it has become known as Weber’s law: The difference threshold is a constant fraction of the original stimulus, as the example illustrates. PERCEPTION While our sensory receptors are constantly collecting information from the environment, it is ultimately how we interpret that information that affects how we interact with the world. Perception refers to the way sensory information is organized, interpreted, and consciously experienced. Perception involves both bottom-up and top-down processing. Bottom-up processing refers to the fact that perceptions are built from sensory input. On the other hand, how we interpret those sensations is influenced by our available knowledge, our experiences, and our thoughts. This is called top-down processing. One way to think of this concept is that sensation is a physical process, whereas perception is psychological. For example, upon walking into a kitchen and smelling the scent of baking cinnamon rolls, the sensation is the scent receptors detecting the odor of cinnamon, but the perception may be “Mmm, this smells like the bread Grandma used to bake when the family gathered for holidays.” Although our perceptions are built from sensations, not all sensations result in perception. In fact, we often don’t perceive stimuli that remain relatively constant over prolonged periods of time. This is known as sensory adaptation. Imagine entering a classroom with an old analog clock. Upon first entering the room, you can hear the ticking of the clock; as you begin to engage in conversation with classmates or listen to your professor greet the class, you are no longer aware of the ticking. The clock is still ticking, and that information is still affecting sensory receptors of the auditory system. The fact that you no longer perceive the sound demonstrates sensory adaptation and shows that while closely associated, sensation and perception are different. There is another factor that affects sensation and perception: attention. Attention plays a significant role in determining what is sensed versus what is perceived. Imagine you are at a party full of music, chatter, and laughter. You get involved in an interesting conversation with a friend, and you tune out all the background noise. If someone interrupted you to ask what song had just finished playing, you would probably be unable to answer that question. See for yourself how inattentional blindness works by checking out this selective attention test from Simons and Chabris (1999). One of the most interesting demonstrations of how important attention is in determining our perception of the environment occurred in a famous study conducted by Daniel Simons and Christopher Chabris (1999). In this study, participants watched a video of people dressed in black and white passing basketballs. Participants were asked to count the number of times the team in white passed the ball. During the video, a person dressed in a black gorilla costume walks among the two teams. You would think that someone would notice the gorilla, right? Nearly half of the people who watched the video didn’t notice the gorilla at all, despite the fact that he was clearly visible for nine seconds. Because participants were so focused on the number of times the white team was passing the ball, they completely tuned out other visual information. Failure to notice something that is completely visible because of a lack of attention is called inattentional blindness. In a similar experiment, researchers tested inattentional blindness by asking participants to observe images moving across a computer screen. They were instructed to focus on either white or black objects, disregarding the other color. When a red cross passed across the screen, about one third of subjects did not notice it (Figure) (Most, Simons, Scholl, & Chabris, 2000). Motivation can also affect perception. Have you ever been expecting a really important phone call and, while taking a shower, you think you hear the phone ringing, only to discover that it is not? If so, then you have experienced how motivation to detect a meaningful stimulus can shift our ability to discriminate between a true sensory stimulus and background noise. The ability to identify a stimulus when it is embedded in a distracting background is called signal detection theory. This might also explain why a mother is awakened by a quiet murmur from her baby but not by other sounds that occur while she is asleep. Signal detection theory has practical applications, such as increasing air traffic controller accuracy. Controllers need to be able to detect planes among many signals (blips) that appear on the radar screen and follow those planes as they move through the sky. In fact, the original work of the researcher who developed signal detection theory was focused on improving the sensitivity of air traffic controllers to plane blips (Swets, 1964). Our perceptions can also be affected by our beliefs, values, prejudices, expectations, and life experiences. As you will see later in this chapter, individuals who are deprived of the experience of binocular vision during critical periods of development have trouble perceiving depth (Fawcett, Wang, & Birch, 2005). The shared experiences of people within a given cultural context can have pronounced effects on perception. For example, Marshall Segall, Donald Campbell, and Melville Herskovits (1963) published the results of a multinational study in which they demonstrated that individuals from Western cultures were more prone to experience certain types of visual illusions than individuals from non-Western cultures, and vice versa. One such illusion that Westerners were more likely to experience was the Müller-Lyer illusion (Figure): The lines appear to be different lengths, but they are actually the same length. These perceptual differences were consistent with differences in the types of environmental features experienced on a regular basis by people in a given cultural context. People in Western cultures, for example, have a perceptual context of buildings with straight lines, what Segall’s study called a carpentered world (Segall et al., 1966). In contrast, people from certain non-Western cultures with an uncarpentered view, such as the Zulu of South Africa, whose villages are made up of round huts arranged in circles, are less susceptible to this illusion (Segall et al., 1999). It is not just vision that is affected by cultural factors. Indeed, research has demonstrated that the ability to identify an odor, and rate its pleasantness and its intensity, varies cross-culturally (Ayabe-Kanamura, Saito, Distel, Martínez-Gómez, & Hudson, 1998). Children described as thrill seekers are more likely to show taste preferences for intense sour flavors (Liem, Westerbeek, Wolterink, Kok, & de Graaf, 2004), which suggests that basic aspects of personality might affect perception. Furthermore, individuals who hold positive attitudes toward reduced-fat foods are more likely to rate foods labeled as reduced fat as tasting better than people who have less positive attitudes about these products (Aaron, Mela, & Evans, 1994). Summary Sensation occurs when sensory receptors detect sensory stimuli. Perception involves the organization, interpretation, and conscious experience of those sensations. All sensory systems have both absolute and difference thresholds, which refer to the minimum amount of stimulus energy or the minimum amount of difference in stimulus energy required to be detected about 50% of the time, respectively. Sensory adaptation, selective attention, and signal detection theory can help explain what is perceived and what is not. In addition, our perceptions are affected by a number of factors, including beliefs, values, prejudices, culture, and life experiences. Review Questions ________ refers to the minimum amount of stimulus energy required to be detected 50% of the time. - absolute threshold - difference threshold - just noticeable difference - transduction Hint: A Decreased sensitivity to an unchanging stimulus is known as ________. - transduction - difference threshold - sensory adaptation - inattentional blindness Hint: C ________ involves the conversion of sensory stimulus energy into neural impulses. - sensory adaptation - inattentional blindness - difference threshold - transduction Hint: D ________ occurs when sensory information is organized, interpreted, and consciously experienced. - sensation - perception - transduction - sensory adaptation Hint: B Critical Thinking Question Not everything that is sensed is perceived. Do you think there could ever be a case where something could be perceived without being sensed? Hint: This would be a good time for students to think about claims of extrasensory perception. Another interesting topic would be the phantom limb phenomenon experienced by amputees. Please generate a novel example of how just noticeable difference can change as a function of stimulus intensity. Hint: There are many potential examples. One example involves the detection of weight differences. If two people are holding standard envelopes and one contains a quarter while the other is empty, the difference in weight between the two is easy to detect. However, if those envelopes are placed inside two textbooks of equal weight, the ability to discriminate which is heavier is much more difficult. Personal Application Question Think about a time when you failed to notice something around you because your attention was focused elsewhere. If someone pointed it out, were you surprised that you hadn’t noticed it right away?	oercommons	2025-03-18T00:38:53.199227	null	{ "license": "Creative Commons - Attribution - https://creativecommons.org/licenses/by/4.0/", "url": "https://oercommons.org/courseware/lesson/15317/overview", "title": "Psychology, Sensation and Perception", "author": null }
https://oercommons.org/courseware/lesson/15318/overview	Waves and Wavelengths Overview By the end of this section, you will be able to: - Describe important physical features of wave forms - Show how physical properties of light waves are associated with perceptual experience - Show how physical properties of sound waves are associated with perceptual experience Visual and auditory stimuli both occur in the form of waves. Although the two stimuli are very different in terms of composition, wave forms share similar characteristics that are especially important to our visual and auditory perceptions. In this section, we describe the physical properties of the waves as well as the perceptual experiences associated with them. AMPLITUDE AND WAVELENGTH Two physical characteristics of a wave are amplitude and wavelength (Figure). The amplitude of a wave is the height of a wave as measured from the highest point on the wave (peak or crest) to the lowest point on the wave (trough). Wavelength refers to the length of a wave from one peak to the next. Wavelength is directly related to the frequency of a given wave form. Frequency refers to the number of waves that pass a given point in a given time period and is often expressed in terms of hertz (Hz), or cycles per second. Longer wavelengths will have lower frequencies, and shorter wavelengths will have higher frequencies (Figure). LIGHT WAVES The visible spectrum is the portion of the larger electromagnetic spectrum that we can see. As Figure shows, the electromagnetic spectrum encompasses all of the electromagnetic radiation that occurs in our environment and includes gamma rays, x-rays, ultraviolet light, visible light, infrared light, microwaves, and radio waves. The visible spectrum in humans is associated with wavelengths that range from 380 to 740 nm—a very small distance, since a nanometer (nm) is one billionth of a meter. Other species can detect other portions of the electromagnetic spectrum. For instance, honeybees can see light in the ultraviolet range (Wakakuwa, Stavenga, & Arikawa, 2007), and some snakes can detect infrared radiation in addition to more traditional visual light cues (Chen, Deng, Brauth, Ding, & Tang, 2012; Hartline, Kass, & Loop, 1978). In humans, light wavelength is associated with perception of color (Figure). Within the visible spectrum, our experience of red is associated with longer wavelengths, greens are intermediate, and blues and violets are shorter in wavelength. (An easy way to remember this is the mnemonic ROYGBIV: red, orange, yellow, green, blue, indigo, violet.) The amplitude of light waves is associated with our experience of brightness or intensity of color, with larger amplitudes appearing brighter. SOUND WAVES Like light waves, the physical properties of sound waves are associated with various aspects of our perception of sound. The frequency of a sound wave is associated with our perception of that sound’s pitch. High-frequency sound waves are perceived as high-pitched sounds, while low-frequency sound waves are perceived as low-pitched sounds. The audible range of sound frequencies is between 20 and 20000 Hz, with greatest sensitivity to those frequencies that fall in the middle of this range. As was the case with the visible spectrum, other species show differences in their audible ranges. For instance, chickens have a very limited audible range, from 125 to 2000 Hz. Mice have an audible range from 1000 to 91000 Hz, and the beluga whale’s audible range is from 1000 to 123000 Hz. Our pet dogs and cats have audible ranges of about 70–45000 Hz and 45–64000 Hz, respectively (Strain, 2003). The loudness of a given sound is closely associated with the amplitude of the sound wave. Higher amplitudes are associated with louder sounds. Loudness is measured in terms of decibels (dB), a logarithmic unit of sound intensity. A typical conversation would correlate with 60 dB; a rock concert might check in at 120 dB (Figure). A whisper 5 feet away or rustling leaves are at the low end of our hearing range; sounds like a window air conditioner, a normal conversation, and even heavy traffic or a vacuum cleaner are within a tolerable range. However, there is the potential for hearing damage from about 80 dB to 130 dB: These are sounds of a food processor, power lawnmower, heavy truck (25 feet away), subway train (20 feet away), live rock music, and a jackhammer. The threshold for pain is about 130 dB, a jet plane taking off or a revolver firing at close range (Dunkle, 1982). Although wave amplitude is generally associated with loudness, there is some interaction between frequency and amplitude in our perception of loudness within the audible range. For example, a 10 Hz sound wave is inaudible no matter the amplitude of the wave. A 1000 Hz sound wave, on the other hand, would vary dramatically in terms of perceived loudness as the amplitude of the wave increased. Watch this brief video demonstrating how frequency and amplitude interact in our perception of loudness. Of course, different musical instruments can play the same musical note at the same level of loudness, yet they still sound quite different. This is known as the timbre of a sound. Timbre refers to a sound’s purity, and it is affected by the complex interplay of frequency, amplitude, and timing of sound waves. Summary Both light and sound can be described in terms of wave forms with physical characteristics like amplitude, wavelength, and timbre. Wavelength and frequency are inversely related so that longer waves have lower frequencies, and shorter waves have higher frequencies. In the visual system, a light wave’s wavelength is generally associated with color, and its amplitude is associated with brightness. In the auditory system, a sound’s frequency is associated with pitch, and its amplitude is associated with loudness. Review Questions Which of the following correctly matches the pattern in our perception of color as we move from short wavelengths to long wavelengths? - red to orange to yellow - yellow to orange to red - yellow to red to orange - orange to yellow to red Hint: B The visible spectrum includes light that ranges from about ________. - 400–700 nm - 200–900 nm - 20–20000 Hz - 10–20 dB Hint: A The electromagnetic spectrum includes ________. - radio waves - x-rays - infrared light - all of the above Hint: C The audible range for humans is ________. - 380–740 Hz - 10–20 dB - less than 300 dB - 20-20,000 Hz Hint: D The quality of a sound that is affected by frequency, amplitude, and timing of the sound wave is known as ________. - pitch - tone - electromagnetic - timbre Hint: D Critical Thinking Question Why do you think other species have such different ranges of sensitivity for both visual and auditory stimuli compared to humans? Hint: Other species have evolved to best suit their particular environmental niches. For example, the honeybee relies on flowering plants for survival. Seeing in the ultraviolet light might prove especially helpful when locating flowers. Once a flower is found, the ultraviolet rays point to the center of the flower where the pollen and nectar are contained. Similar arguments could be made for infrared detection in snakes as well as for the differences in audible ranges of the species described in this section. Why do you think humans are especially sensitive to sounds with frequencies that fall in the middle portion of the audible range? Hint: Once again, one could make an evolutionary argument here. Given that the human voice falls in this middle range and the importance of communication among humans, one could argue that it is quite adaptive to have an audible range that centers on this particular type of stimulus. Personal Application Question If you grew up with a family pet, then you have surely noticed that they often seem to hear things that you don’t hear. Now that you’ve read this section, you probably have some insight as to why this may be. How would you explain this to a friend who never had the opportunity to take a class like this?	oercommons	2025-03-18T00:38:53.229064	null	{ "license": "Creative Commons - Attribution - https://creativecommons.org/licenses/by/4.0/", "url": "https://oercommons.org/courseware/lesson/15318/overview", "title": "Psychology, Sensation and Perception", "author": null }
https://oercommons.org/courseware/lesson/15319/overview	Vision Overview By the end of this section, you will be able to: - Describe the basic anatomy of the visual system - Discuss how rods and cones contribute to different aspects of vision - Describe how monocular and binocular cues are used in the perception of depth The visual system constructs a mental representation of the world around us (Figure). This contributes to our ability to successfully navigate through physical space and interact with important individuals and objects in our environments. This section will provide an overview of the basic anatomy and function of the visual system. In addition, we will explore our ability to perceive color and depth. ANATOMY OF THE VISUAL SYSTEM The eye is the major sensory organ involved in vision (Figure). Light waves are transmitted across the cornea and enter the eye through the pupil. The cornea is the transparent covering over the eye. It serves as a barrier between the inner eye and the outside world, and it is involved in focusing light waves that enter the eye. The pupil is the small opening in the eye through which light passes, and the size of the pupil can change as a function of light levels as well as emotional arousal. When light levels are low, the pupil will become dilated, or expanded, to allow more light to enter the eye. When light levels are high, the pupil will constrict, or become smaller, to reduce the amount of light that enters the eye. The pupil’s size is controlled by muscles that are connected to the iris, which is the colored portion of the eye. After passing through the pupil, light crosses the lens, a curved, transparent structure that serves to provide additional focus. The lens is attached to muscles that can change its shape to aid in focusing light that is reflected from near or far objects. In a normal-sighted individual, the lens will focus images perfectly on a small indentation in the back of the eye known as the fovea, which is part of the retina, the light-sensitive lining of the eye. The fovea contains densely packed specialized photoreceptor cells (Figure). These photoreceptor cells, known as cones, are light-detecting cells. The cones are specialized types of photoreceptors that work best in bright light conditions. Cones are very sensitive to acute detail and provide tremendous spatial resolution. They also are directly involved in our ability to perceive color. While cones are concentrated in the fovea, where images tend to be focused, rods, another type of photoreceptor, are located throughout the remainder of the retina. Rods are specialized photoreceptors that work well in low light conditions, and while they lack the spatial resolution and color function of the cones, they are involved in our vision in dimly lit environments as well as in our perception of movement on the periphery of our visual field. We have all experienced the different sensitivities of rods and cones when making the transition from a brightly lit environment to a dimly lit environment. Imagine going to see a blockbuster movie on a clear summer day. As you walk from the brightly lit lobby into the dark theater, you notice that you immediately have difficulty seeing much of anything. After a few minutes, you begin to adjust to the darkness and can see the interior of the theater. In the bright environment, your vision was dominated primarily by cone activity. As you move to the dark environment, rod activity dominates, but there is a delay in transitioning between the phases. If your rods do not transform light into nerve impulses as easily and efficiently as they should, you will have difficulty seeing in dim light, a condition known as night blindness. Rods and cones are connected (via several interneurons) to retinal ganglion cells. Axons from the retinal ganglion cells converge and exit through the back of the eye to form the optic nerve. The optic nerve carries visual information from the retina to the brain. There is a point in the visual field called the blind spot: Even when light from a small object is focused on the blind spot, we do not see it. We are not consciously aware of our blind spots for two reasons: First, each eye gets a slightly different view of the visual field; therefore, the blind spots do not overlap. Second, our visual system fills in the blind spot so that although we cannot respond to visual information that occurs in that portion of the visual field, we are also not aware that information is missing. The optic nerve from each eye merges just below the brain at a point called the optic chiasm. As Figure shows, the optic chiasm is an X-shaped structure that sits just below the cerebral cortex at the front of the brain. At the point of the optic chiasm, information from the right visual field (which comes from both eyes) is sent to the left side of the brain, and information from the left visual field is sent to the right side of the brain. Once inside the brain, visual information is sent via a number of structures to the occipital lobe at the back of the brain for processing. Visual information might be processed in parallel pathways which can generally be described as the “what pathway” and the “where/how” pathway. The “what pathway” is involved in object recognition and identification, while the “where/how pathway” is involved with location in space and how one might interact with a particular visual stimulus (Milner & Goodale, 2008; Ungerleider & Haxby, 1994). For example, when you see a ball rolling down the street, the “what pathway” identifies what the object is, and the “where/how pathway” identifies its location or movement in space. COLOR AND DEPTH PERCEPTION We do not see the world in black and white; neither do we see it as two-dimensional (2-D) or flat (just height and width, no depth). Let’s look at how color vision works and how we perceive three dimensions (height, width, and depth). Color Vision Normal-sighted individuals have three different types of cones that mediate color vision. Each of these cone types is maximally sensitive to a slightly different wavelength of light. According to the trichromatic theory of color vision, shown in Figure, all colors in the spectrum can be produced by combining red, green, and blue. The three types of cones are each receptive to one of the colors. The trichromatic theory of color vision is not the only theory—another major theory of color vision is known as the opponent-process theory. According to this theory, color is coded in opponent pairs: black-white, yellow-blue, and green-red. The basic idea is that some cells of the visual system are excited by one of the opponent colors and inhibited by the other. So, a cell that was excited by wavelengths associated with green would be inhibited by wavelengths associated with red, and vice versa. One of the implications of opponent processing is that we do not experience greenish-reds or yellowish-blues as colors. Another implication is that this leads to the experience of negative afterimages. An afterimage describes the continuation of a visual sensation after removal of the stimulus. For example, when you stare briefly at the sun and then look away from it, you may still perceive a spot of light although the stimulus (the sun) has been removed. When color is involved in the stimulus, the color pairings identified in the opponent-process theory lead to a negative afterimage. You can test this concept using the flag in Figure. But these two theories—the trichromatic theory of color vision and the opponent-process theory—are not mutually exclusive. Research has shown that they just apply to different levels of the nervous system. For visual processing on the retina, trichromatic theory applies: the cones are responsive to three different wavelengths that represent red, blue, and green. But once the signal moves past the retina on its way to the brain, the cells respond in a way consistent with opponent-process theory (Land, 1959; Kaiser, 1997). Watch this video to see the first part of a documentary explaining color vision in more detail. Depth Perception Our ability to perceive spatial relationships in three-dimensional (3-D) space is known as depth perception. With depth perception, we can describe things as being in front, behind, above, below, or to the side of other things. Our world is three-dimensional, so it makes sense that our mental representation of the world has three-dimensional properties. We use a variety of cues in a visual scene to establish our sense of depth. Some of these are binocular cues, which means that they rely on the use of both eyes. One example of a binocular depth cue is binocular disparity, the slightly different view of the world that each of our eyes receives. To experience this slightly different view, do this simple exercise: extend your arm fully and extend one of your fingers and focus on that finger. Now, close your left eye without moving your head, then open your left eye and close your right eye without moving your head. You will notice that your finger seems to shift as you alternate between the two eyes because of the slightly different view each eye has of your finger. A 3-D movie works on the same principle: the special glasses you wear allow the two slightly different images projected onto the screen to be seen separately by your left and your right eye. As your brain processes these images, you have the illusion that the leaping animal or running person is coming right toward you. Although we rely on binocular cues to experience depth in our 3-D world, we can also perceive depth in 2-D arrays. Think about all the paintings and photographs you have seen. Generally, you pick up on depth in these images even though the visual stimulus is 2-D. When we do this, we are relying on a number of monocular cues, or cues that require only one eye. If you think you can’t see depth with one eye, note that you don’t bump into things when using only one eye while walking—and, in fact, we have more monocular cues than binocular cues. An example of a monocular cue would be what is known as linear perspective. Linear perspective refers to the fact that we perceive depth when we see two parallel lines that seem to converge in an image (Figure). Some other monocular depth cues are interposition, the partial overlap of objects, and the relative size and closeness of images to the horizon. Stereoblindness Bruce Bridgeman was born with an extreme case of lazy eye that resulted in him being stereoblind, or unable to respond to binocular cues of depth. He relied heavily on monocular depth cues, but he never had a true appreciation of the 3-D nature of the world around him. This all changed one night in 2012 while Bruce was seeing a movie with his wife. The movie the couple was going to see was shot in 3-D, and even though he thought it was a waste of money, Bruce paid for the 3-D glasses when he purchased his ticket. As soon as the film began, Bruce put on the glasses and experienced something completely new. For the first time in his life he appreciated the true depth of the world around him. Remarkably, his ability to perceive depth persisted outside of the movie theater. There are cells in the nervous system that respond to binocular depth cues. Normally, these cells require activation during early development in order to persist, so experts familiar with Bruce’s case (and others like his) assume that at some point in his development, Bruce must have experienced at least a fleeting moment of binocular vision. It was enough to ensure the survival of the cells in the visual system tuned to binocular cues. The mystery now is why it took Bruce nearly 70 years to have these cells activated (Peck, 2012). Summary Light waves cross the cornea and enter the eye at the pupil. The eye’s lens focuses this light so that the image is focused on a region of the retina known as the fovea. The fovea contains cones that possess high levels of visual acuity and operate best in bright light conditions. Rods are located throughout the retina and operate best under dim light conditions. Visual information leaves the eye via the optic nerve. Information from each visual field is sent to the opposite side of the brain at the optic chiasm. Visual information then moves through a number of brain sites before reaching the occipital lobe, where it is processed. Two theories explain color perception. The trichromatic theory asserts that three distinct cone groups are tuned to slightly different wavelengths of light, and it is the combination of activity across these cone types that results in our perception of all the colors we see. The opponent-process theory of color vision asserts that color is processed in opponent pairs and accounts for the interesting phenomenon of a negative afterimage. We perceive depth through a combination of monocular and binocular depth cues. Review Questions The ________ is a small indentation of the retina that contains cones. - optic chiasm - optic nerve - fovea - iris Hint: C ________ operate best under bright light conditions. - cones - rods - retinal ganglion cells - striate cortex Hint: A ________ depth cues require the use of both eyes. - monocular - binocular - linear perspective - accommodating Hint: B If you were to stare at a green dot for a relatively long period of time and then shift your gaze to a blank white screen, you would see a ________ negative afterimage. - blue - yellow - black - red Hint: D Critical Thinking Question Compare the two theories of color perception. Are they completely different? Hint: The trichromatic theory of color vision and the opponent-process theory are not mutually exclusive. Research has shown they apply to different levels of the nervous system. For visual processing on the retina, trichromatic theory applies: the cones are responsive to three different wavelengths that represent red, blue, and green. But once the signal moves past the retina on its way to the brain, the cells respond in a way consistent with opponent-process theory. Color is not a physical property of our environment. What function (if any) do you think color vision serves? Hint: Color vision probably serves multiple adaptive purposes. One popular hypothesis suggests that seeing in color allowed our ancestors to differentiate ripened fruits and vegetables more easily. Personal Application Question Take a look at a few of your photos or personal works of art. Can you find examples of linear perspective as a potential depth cue?	oercommons	2025-03-18T00:38:53.260389	null	{ "license": "Creative Commons - Attribution - https://creativecommons.org/licenses/by/4.0/", "url": "https://oercommons.org/courseware/lesson/15319/overview", "title": "Psychology, Sensation and Perception", "author": null }
https://oercommons.org/courseware/lesson/15320/overview	Hearing Overview By the end of this section, you will be able to: - Describe the basic anatomy and function of the auditory system - Explain how we encode and perceive pitch - Discuss how we localize sound Our auditory system converts pressure waves into meaningful sounds. This translates into our ability to hear the sounds of nature, to appreciate the beauty of music, and to communicate with one another through spoken language. This section will provide an overview of the basic anatomy and function of the auditory system. It will include a discussion of how the sensory stimulus is translated into neural impulses, where in the brain that information is processed, how we perceive pitch, and how we know where sound is coming from. ANATOMY OF THE AUDITORY SYSTEM The ear can be separated into multiple sections. The outer ear includes the pinna, which is the visible part of the ear that protrudes from our heads, the auditory canal, and the tympanic membrane, or eardrum. The middle ear contains three tiny bones known as the ossicles, which are named the malleus (or hammer), incus (or anvil), and the stapes (or stirrup). The inner ear contains the semi-circular canals, which are involved in balance and movement (the vestibular sense), and the cochlea. The cochlea is a fluid-filled, snail-shaped structure that contains the sensory receptor cells (hair cells) of the auditory system (Figure). Sound waves travel along the auditory canal and strike the tympanic membrane, causing it to vibrate. This vibration results in movement of the three ossicles. As the ossicles move, the stapes presses into a thin membrane of the cochlea known as the oval window. As the stapes presses into the oval window, the fluid inside the cochlea begins to move, which in turn stimulates hair cells, which are auditory receptor cells of the inner ear embedded in the basilar membrane. The basilar membrane is a thin strip of tissue within the cochlea. The activation of hair cells is a mechanical process: the stimulation of the hair cell ultimately leads to activation of the cell. As hair cells become activated, they generate neural impulses that travel along the auditory nerve to the brain. Auditory information is shuttled to the inferior colliculus, the medial geniculate nucleus of the thalamus, and finally to the auditory cortex in the temporal lobe of the brain for processing. Like the visual system, there is also evidence suggesting that information about auditory recognition and localization is processed in parallel streams (Rauschecker & Tian, 2000; Renier et al., 2009). PITCH PERCEPTION Different frequencies of sound waves are associated with differences in our perception of the pitch of those sounds. Low-frequency sounds are lower pitched, and high-frequency sounds are higher pitched. How does the auditory system differentiate among various pitches? Several theories have been proposed to account for pitch perception. We’ll discuss two of them here: temporal theory and place theory. The temporal theory of pitch perception asserts that frequency is coded by the activity level of a sensory neuron. This would mean that a given hair cell would fire action potentials related to the frequency of the sound wave. While this is a very intuitive explanation, we detect such a broad range of frequencies (20–20,000 Hz) that the frequency of action potentials fired by hair cells cannot account for the entire range. Because of properties related to sodium channels on the neuronal membrane that are involved in action potentials, there is a point at which a cell cannot fire any faster (Shamma, 2001). The place theory of pitch perception suggests that different portions of the basilar membrane are sensitive to sounds of different frequencies. More specifically, the base of the basilar membrane responds best to high frequencies and the tip of the basilar membrane responds best to low frequencies. Therefore, hair cells that are in the base portion would be labeled as high-pitch receptors, while those in the tip of basilar membrane would be labeled as low-pitch receptors (Shamma, 2001). In reality, both theories explain different aspects of pitch perception. At frequencies up to about 4000 Hz, it is clear that both the rate of action potentials and place contribute to our perception of pitch. However, much higher frequency sounds can only be encoded using place cues (Shamma, 2001). SOUND LOCALIZATION The ability to locate sound in our environments is an important part of hearing. Localizing sound could be considered similar to the way that we perceive depth in our visual fields. Like the monocular and binocular cues that provided information about depth, the auditory system uses both monaural (one-eared) and binaural (two-eared) cues to localize sound. Each pinna interacts with incoming sound waves differently, depending on the sound’s source relative to our bodies. This interaction provides a monaural cue that is helpful in locating sounds that occur above or below and in front or behind us. The sound waves received by your two ears from sounds that come from directly above, below, in front, or behind you would be identical; therefore, monaural cues are essential (Grothe, Pecka, & McAlpine, 2010). Binaural cues, on the other hand, provide information on the location of a sound along a horizontal axis by relying on differences in patterns of vibration of the eardrum between our two ears. If a sound comes from an off-center location, it creates two types of binaural cues: interaural level differences and interaural timing differences. Interaural level difference refers to the fact that a sound coming from the right side of your body is more intense at your right ear than at your left ear because of the attenuation of the sound wave as it passes through your head. Interaural timing difference refers to the small difference in the time at which a given sound wave arrives at each ear (Figure). Certain brain areas monitor these differences to construct where along a horizontal axis a sound originates (Grothe et al., 2010). HEARING LOSS Deafness is the partial or complete inability to hear. Some people are born deaf, which is known as congenital deafness. Many others begin to suffer from conductive hearing loss because of age, genetic predisposition, or environmental effects, including exposure to extreme noise (noise-induced hearing loss, as shown in Figure), certain illnesses (such as measles or mumps), or damage due to toxins (such as those found in certain solvents and metals). Given the mechanical nature by which the sound wave stimulus is transmitted from the eardrum through the ossicles to the oval window of the cochlea, some degree of hearing loss is inevitable. With conductive hearing loss, hearing problems are associated with a failure in the vibration of the eardrum and/or movement of the ossicles. These problems are often dealt with through devices like hearing aids that amplify incoming sound waves to make vibration of the eardrum and movement of the ossicles more likely to occur. When the hearing problem is associated with a failure to transmit neural signals from the cochlea to the brain, it is called sensorineural hearing loss. One disease that results in sensorineural hearing loss is Ménière's disease. Although not well understood, Ménière's disease results in a degeneration of inner ear structures that can lead to hearing loss, tinnitus (constant ringing or buzzing), vertigo (a sense of spinning), and an increase in pressure within the inner ear (Semaan & Megerian, 2011). This kind of loss cannot be treated with hearing aids, but some individuals might be candidates for a cochlear implant as a treatment option. Cochlear implants are electronic devices that consist of a microphone, a speech processor, and an electrode array. The device receives incoming sound information and directly stimulates the auditory nerve to transmit information to the brain. Watch this video describe cochlear implant surgeries and how they work. Deaf Culture In the United States and other places around the world, deaf people have their own language, schools, and customs. This is called deaf culture. In the United States, deaf individuals often communicate using American Sign Language (ASL); ASL has no verbal component and is based entirely on visual signs and gestures. The primary mode of communication is signing. One of the values of deaf culture is to continue traditions like using sign language rather than teaching deaf children to try to speak, read lips, or have cochlear implant surgery. When a child is diagnosed as deaf, parents have difficult decisions to make. Should the child be enrolled in mainstream schools and taught to verbalize and read lips? Or should the child be sent to a school for deaf children to learn ASL and have significant exposure to deaf culture? Do you think there might be differences in the way that parents approach these decisions depending on whether or not they are also deaf? Summary Sound waves are funneled into the auditory canal and cause vibrations of the eardrum; these vibrations move the ossicles. As the ossicles move, the stapes presses against the oval window of the cochlea, which causes fluid inside the cochlea to move. As a result, hair cells embedded in the basilar membrane become enlarged, which sends neural impulses to the brain via the auditory nerve. Pitch perception and sound localization are important aspects of hearing. Our ability to perceive pitch relies on both the firing rate of the hair cells in the basilar membrane as well as their location within the membrane. In terms of sound localization, both monaural and binaural cues are used to locate where sounds originate in our environment. Individuals can be born deaf, or they can develop deafness as a result of age, genetic predisposition, and/or environmental causes. Hearing loss that results from a failure of the vibration of the eardrum or the resultant movement of the ossicles is called conductive hearing loss. Hearing loss that involves a failure of the transmission of auditory nerve impulses to the brain is called sensorineural hearing loss. Review Questions Hair cells located near the base of the basilar membrane respond best to ________ sounds. - low-frequency - high-frequency - low-amplitude - high-amplitude Hint: B The three ossicles of the middle ear are known as ________. - malleus, incus, and stapes - hammer, anvil, and stirrup - pinna, cochlea, and urticle - both a and b Hint: D Hearing aids might be effective for treating ________. - Ménière's disease - sensorineural hearing loss - conductive hearing loss - interaural time differences Hint: C Cues that require two ears are referred to as ________ cues. - monocular - monaural - binocular - binaural Hint: D Critical Thinking Question Given what you’ve read about sound localization, from an evolutionary perspective, how does sound localization facilitate survival? Hint: Sound localization would have allowed early humans to locate prey and protect themselves from predators. How can temporal and place theories both be used to explain our ability to perceive the pitch of sound waves with frequencies up to 4000 Hz? Hint: Pitch of sounds below this threshold could be encoded by the combination of the place and firing rate of stimulated hair cells. So, in general, hair cells located near the tip of the basilar membrane would signal that we’re dealing with a lower-pitched sound. However, differences in firing rates of hair cells within this location could allow for fine discrimination between low-, medium-, and high-pitch sounds within the larger low-pitch context. Personal Application Question If you had to choose to lose either your vision or your hearing, which would you choose and why?	oercommons	2025-03-18T00:38:53.291953	null	{ "license": "Creative Commons - Attribution - https://creativecommons.org/licenses/by/4.0/", "url": "https://oercommons.org/courseware/lesson/15320/overview", "title": "Psychology, Sensation and Perception", "author": null }
https://oercommons.org/courseware/lesson/15321/overview	The Other Senses Overview By the end of this section, you will be able to: - Describe the basic functions of the chemical senses - Explain the basic functions of the somatosensory, nociceptive, and thermoceptive sensory systems - Describe the basic functions of the vestibular, proprioceptive, and kinesthetic sensory systems Vision and hearing have received an incredible amount of attention from researchers over the years. While there is still much to be learned about how these sensory systems work, we have a much better understanding of them than of our other sensory modalities. In this section, we will explore our chemical senses (taste and smell) and our body senses (touch, temperature, pain, balance, and body position). THE CHEMICAL SENSES Taste (gustation) and smell (olfaction) are called chemical senses because both have sensory receptors that respond to molecules in the food we eat or in the air we breathe. There is a pronounced interaction between our chemical senses. For example, when we describe the flavor of a given food, we are really referring to both gustatory and olfactory properties of the food working in combination. Taste (Gustation) You have learned since elementary school that there are four basic groupings of taste: sweet, salty, sour, and bitter. Research demonstrates, however, that we have at least six taste groupings. Umami is our fifth taste. Umami is actually a Japanese word that roughly translates to yummy, and it is associated with a taste for monosodium glutamate (Kinnamon & Vandenbeuch, 2009). There is also a growing body of experimental evidence suggesting that we possess a taste for the fatty content of a given food (Mizushige, Inoue, & Fushiki, 2007). Molecules from the food and beverages we consume dissolve in our saliva and interact with taste receptors on our tongue and in our mouth and throat. Taste buds are formed by groupings of taste receptor cells with hair-like extensions that protrude into the central pore of the taste bud (Figure). Taste buds have a life cycle of ten days to two weeks, so even destroying some by burning your tongue won’t have any long-term effect; they just grow right back. Taste molecules bind to receptors on this extension and cause chemical changes within the sensory cell that result in neural impulses being transmitted to the brain via different nerves, depending on where the receptor is located. Taste information is transmitted to the medulla, thalamus, and limbic system, and to the gustatory cortex, which is tucked underneath the overlap between the frontal and temporal lobes (Maffei, Haley, & Fontanini, 2012; Roper, 2013). Smell (Olfaction) Olfactory receptor cells are located in a mucous membrane at the top of the nose. Small hair-like extensions from these receptors serve as the sites for odor molecules dissolved in the mucus to interact with chemical receptors located on these extensions (Figure). Once an odor molecule has bound a given receptor, chemical changes within the cell result in signals being sent to the olfactory bulb: a bulb-like structure at the tip of the frontal lobe where the olfactory nerves begin. From the olfactory bulb, information is sent to regions of the limbic system and to the primary olfactory cortex, which is located very near the gustatory cortex (Lodovichi & Belluscio, 2012; Spors et al., 2013). There is tremendous variation in the sensitivity of the olfactory systems of different species. We often think of dogs as having far superior olfactory systems than our own, and indeed, dogs can do some remarkable things with their noses. There is some evidence to suggest that dogs can “smell” dangerous drops in blood glucose levels as well as cancerous tumors (Wells, 2010). Dogs’ extraordinary olfactory abilities may be due to the increased number of functional genes for olfactory receptors (between 800 and 1200), compared to the fewer than 400 observed in humans and other primates (Niimura & Nei, 2007). Many species respond to chemical messages, known as pheromones, sent by another individual (Wysocki & Preti, 2004). Pheromonal communication often involves providing information about the reproductive status of a potential mate. So, for example, when a female rat is ready to mate, she secretes pheromonal signals that draw attention from nearby male rats. Pheromonal activation is actually an important component in eliciting sexual behavior in the male rat (Furlow, 1996, 2012; Purvis & Haynes, 1972; Sachs, 1997). There has also been a good deal of research (and controversy) about pheromones in humans (Comfort, 1971; Russell, 1976; Wolfgang-Kimball, 1992; Weller, 1998). TOUCH, THERMOCEPTION, AND NOCICEPTION A number of receptors are distributed throughout the skin to respond to various touch-related stimuli (Figure). These receptors include Meissner’s corpuscles, Pacinian corpuscles, Merkel’s disks, and Ruffini corpuscles.Meissner’s corpuscles respond to pressure and lower frequency vibrations, and Pacinian corpuscles detect transient pressure and higher frequency vibrations. Merkel’s disks respond to light pressure, while Ruffini corpuscles detect stretch (Abraira & Ginty, 2013). In addition to the receptors located in the skin, there are also a number of free nerve endings that serve sensory functions. These nerve endings respond to a variety of different types of touch-related stimuli and serve as sensory receptors for both thermoception (temperature perception) and nociception (a signal indicating potential harm and maybe pain) (Garland, 2012; Petho & Reeh, 2012; Spray, 1986). Sensory information collected from the receptors and free nerve endings travels up the spinal cord and is transmitted to regions of the medulla, thalamus, and ultimately to somatosensory cortex, which is located in the postcentral gyrus of the parietal lobe. Pain Perception Pain is an unpleasant experience that involves both physical and psychological components. Feeling pain is quite adaptive because it makes us aware of an injury, and it motivates us to remove ourselves from the cause of that injury. In addition, pain also makes us less likely to suffer additional injury because we will be gentler with our injured body parts. Generally speaking, pain can be considered to be neuropathic or inflammatory in nature. Pain that signals some type of tissue damage is known as inflammatory pain. In some situations, pain results from damage to neurons of either the peripheral or central nervous system. As a result, pain signals that are sent to the brain get exaggerated. This type of pain is known as neuropathic pain. Multiple treatment options for pain relief range from relaxation therapy to the use of analgesic medications to deep brain stimulation. The most effective treatment option for a given individual will depend on a number of considerations, including the severity and persistence of the pain and any medical/psychological conditions. Some individuals are born without the ability to feel pain. This very rare genetic disorder is known as congenital insensitivity to pain (or congenital analgesia). While those with congenital analgesia can detect differences in temperature and pressure, they cannot experience pain. As a result, they often suffer significant injuries. Young children have serious mouth and tongue injuries because they have bitten themselves repeatedly. Not surprisingly, individuals suffering from this disorder have much shorter life expectancies due to their injuries and secondary infections of injured sites (U.S. National Library of Medicine, 2013). Watch this video to learn more about congenital insensitivity to pain. THE VESTIBULAR SENSE, PROPRIOCEPTION, AND KINESTHESIA The vestibular sense contributes to our ability to maintain balance and body posture. As Figure shows, the major sensory organs (utricle, saccule, and the three semicircular canals) of this system are located next to the cochlea in the inner ear. The vestibular organs are fluid-filled and have hair cells, similar to the ones found in the auditory system, which respond to movement of the head and gravitational forces. When these hair cells are stimulated, they send signals to the brain via the vestibular nerve. Although we may not be consciously aware of our vestibular system’s sensory information under normal circumstances, its importance is apparent when we experience motion sickness and/or dizziness related to infections of the inner ear (Khan & Chang, 2013). In addition to maintaining balance, the vestibular system collects information critical for controlling movement and the reflexes that move various parts of our bodies to compensate for changes in body position. Therefore, both proprioception (perception of body position) and kinesthesia (perception of the body’s movement through space) interact with information provided by the vestibular system. These sensory systems also gather information from receptors that respond to stretch and tension in muscles, joints, skin, and tendons (Lackner & DiZio, 2005; Proske, 2006; Proske & Gandevia, 2012). Proprioceptive and kinesthetic information travels to the brain via the spinal column. Several cortical regions in addition to the cerebellum receive information from and send information to the sensory organs of the proprioceptive and kinesthetic systems. Summary Taste (gustation) and smell (olfaction) are chemical senses that employ receptors on the tongue and in the nose that bind directly with taste and odor molecules in order to transmit information to the brain for processing. Our ability to perceive touch, temperature, and pain is mediated by a number of receptors and free nerve endings that are distributed throughout the skin and various tissues of the body. The vestibular sense helps us maintain a sense of balance through the response of hair cells in the utricle, saccule, and semi-circular canals that respond to changes in head position and gravity. Our proprioceptive and kinesthetic systems provide information about body position and body movement through receptors that detect stretch and tension in the muscles, joints, tendons, and skin of the body. Review Questions Chemical messages often sent between two members of a species to communicate something about reproductive status are called ________. - hormones - pheromones - Merkel’s disks - Meissner’s corpuscles Hint: B Which taste is associated with monosodium glutamate? - sweet - bitter - umami - sour Hint: C ________ serve as sensory receptors for temperature and pain stimuli. - free nerve endings - Pacinian corpuscles - Ruffini corpuscles - Meissner’s corpuscles Hint: A Which of the following is involved in maintaining balance and body posture? - auditory nerve - nociceptors - olfactory bulb - vestibular system Hint: D Critical Thinking Question Many people experience nausea while traveling in a car, plane, or boat. How might you explain this as a function of sensory interaction? Hint: When traveling by car, we often have visual information that suggests that we are in motion while our vestibular sense indicates that we’re not moving (assuming we’re traveling at a relatively constant speed). Normally, these two sensory modalities provide congruent information, but the discrepancy might lead to confusion and nausea. The converse would be true when traveling by plane or boat. If you heard someone say that they would do anything not to feel the pain associated with significant injury, how would you respond given what you’ve just read? Hint: Pain serves important functions that are critical to our survival. As noxious as pain stimuli may be, the experiences of individuals who suffer from congenital insensitivity to pain makes the consequences of a lack of pain all too apparent. Do you think women experience pain differently than men? Why do you think this is? Hint: Research has shown that women and men do differ in their experience of and tolerance for pain: Women tend to handle pain better than men. Perhaps this is due to women’s labor and childbirth experience. Men tend to be stoic about their pain and do not seek help. Research also shows that gender differences in pain tolerance can vary across cultures. Personal Application Question As mentioned earlier, a food’s flavor represents an interaction of both gustatory and olfactory information. Think about the last time you were seriously congested due to a cold or the flu. What changes did you notice in the flavors of the foods that you ate during this time?	oercommons	2025-03-18T00:38:53.323751	null	{ "license": "Creative Commons - Attribution - https://creativecommons.org/licenses/by/4.0/", "url": "https://oercommons.org/courseware/lesson/15321/overview", "title": "Psychology, Sensation and Perception", "author": null }
https://oercommons.org/courseware/lesson/15322/overview	Gestalt Principles of Perception Overview By the end of this section, you will be able to: - Explain the figure-ground relationship - Define Gestalt principles of grouping - Describe how perceptual set is influenced by an individual’s characteristics and mental state In the early part of the 20th century, Max Wertheimer published a paper demonstrating that individuals perceived motion in rapidly flickering static images—an insight that came to him as he used a child’s toy tachistoscope. Wertheimer, and his assistants Wolfgang Köhler and Kurt Koffka, who later became his partners, believed that perception involved more than simply combining sensory stimuli. This belief led to a new movement within the field of psychology known as Gestalt psychology. The word gestalt literally means form or pattern, but its use reflects the idea that the whole is different from the sum of its parts. In other words, the brain creates a perception that is more than simply the sum of available sensory inputs, and it does so in predictable ways. Gestalt psychologists translated these predictable ways into principles by which we organize sensory information. As a result, Gestalt psychology has been extremely influential in the area of sensation and perception (Rock & Palmer, 1990). One Gestalt principle is the figure-ground relationship. According to this principle, we tend to segment our visual world into figure and ground. Figure is the object or person that is the focus of the visual field, while the ground is the background. As Figure shows, our perception can vary tremendously, depending on what is perceived as figure and what is perceived as ground. Presumably, our ability to interpret sensory information depends on what we label as figure and what we label as ground in any particular case, although this assumption has been called into question (Peterson & Gibson, 1994; Vecera & O’Reilly, 1998). Another Gestalt principle for organizing sensory stimuli into meaningful perception is proximity. This principle asserts that things that are close to one another tend to be grouped together, as Figure illustrates. How we read something provides another illustration of the proximity concept. For example, we read this sentence like this, notl iket hiso rt hat. We group the letters of a given word together because there are no spaces between the letters, and we perceive words because there are spaces between each word. Here are some more examples: Cany oum akes enseo ft hiss entence? What doth es e wor dsmea n? We might also use the principle of similarity to group things in our visual fields. According to this principle, things that are alike tend to be grouped together (Figure). For example, when watching a football game, we tend to group individuals based on the colors of their uniforms. When watching an offensive drive, we can get a sense of the two teams simply by grouping along this dimension. Two additional Gestalt principles are the law of continuity (or good continuation) and closure. The law of continuity suggests that we are more likely to perceive continuous, smooth flowing lines rather than jagged, broken lines (Figure). The principle of closure states that we organize our perceptions into complete objects rather than as a series of parts (Figure). Watch this video showing real world illustrations of Gestalt principles. According to Gestalt theorists, pattern perception, or our ability to discriminate among different figures and shapes, occurs by following the principles described above. You probably feel fairly certain that your perception accurately matches the real world, but this is not always the case. Our perceptions are based on perceptual hypotheses: educated guesses that we make while interpreting sensory information. These hypotheses are informed by a number of factors, including our personalities, experiences, and expectations. We use these hypotheses to generate our perceptual set. For instance, research has demonstrated that those who are given verbal priming produce a biased interpretation of complex ambiguous figures (Goolkasian & Woodbury, 2010). The Depths of Perception: Bias, Prejudice, and Cultural Factors In this chapter, you have learned that perception is a complex process. Built from sensations, but influenced by our own experiences, biases, prejudices, and cultures, perceptions can be very different from person to person. Research suggests that implicit racial prejudice and stereotypes affect perception. For instance, several studies have demonstrated that non-Black participants identify weapons faster and are more likely to identify non-weapons as weapons when the image of the weapon is paired with the image of a Black person (Payne, 2001; Payne, Shimizu, & Jacoby, 2005). Furthermore, White individuals’ decisions to shoot an armed target in a video game is made more quickly when the target is Black (Correll, Park, Judd, & Wittenbrink, 2002; Correll, Urland, & Ito, 2006). This research is important, considering the number of very high-profile cases in the last few decades in which young Blacks were killed by people who claimed to believe that the unarmed individuals were armed and/or represented some threat to their personal safety. Summary Gestalt theorists have been incredibly influential in the areas of sensation and perception. Gestalt principles such as figure-ground relationship, grouping by proximity or similarity, the law of good continuation, and closure are all used to help explain how we organize sensory information. Our perceptions are not infallible, and they can be influenced by bias, prejudice, and other factors. Review Questions According to the principle of ________, objects that occur close to one another tend to be grouped together. - similarity - good continuation - proximity - closure Hint: C Our tendency to perceive things as complete objects rather than as a series of parts is known as the principle of ________. - closure - good continuation - proximity - similarity Hint: A According to the law of ________, we are more likely to perceive smoothly flowing lines rather than choppy or jagged lines. - closure - good continuation - proximity - similarity Hint: B The main point of focus in a visual display is known as the ________. - closure - perceptual set - ground - figure Hint: D Critical Thinking Question The central tenet of Gestalt psychology is that the whole is different from the sum of its parts. What does this mean in the context of perception? Hint: This means that perception cannot be understood completely simply by combining the parts. Rather, the relationship that exists among those parts (which would be established according to the principles described in this chapter) is important in organizing and interpreting sensory information into a perceptual set. Take a look at the following figure. How might you influence whether people see a duck or a rabbit? Hint: Playing on their expectations could be used to influence what they were most likely to see. For instance, telling a story about Peter Rabbit and then presenting this image would bias perception along rabbit lines. Personal Application Question Have you ever listened to a song on the radio and sung along only to find out later that you have been singing the wrong lyrics? Once you found the correct lyrics, did your perception of the song change?	oercommons	2025-03-18T00:38:53.350922	null	{ "license": "Creative Commons - Attribution - https://creativecommons.org/licenses/by/4.0/", "url": "https://oercommons.org/courseware/lesson/15322/overview", "title": "Psychology, Sensation and Perception", "author": null }
https://oercommons.org/courseware/lesson/28888/overview	The Expenditure-Output Model (This appendix should be consulted after first reading The Aggregate Demand/Aggregate Supply Model and The Keynesian Perspective.) The fundamental ideas of Keynesian economics were developed before the AD/AS model was popularized. From the 1930s until the 1970s, Keynesian economics was usually explained with a different model, known as the expenditure-output approach. This approach is strongly rooted in the fundamental assumptions of Keynesian economics: it focuses on the total amount of spending in the economy, with no explicit mention of aggregate supply or of the price level (although as you will see, it is possible to draw some inferences about aggregate supply and price levels based on the diagram). The Axes of the Expenditure-Output Diagram The expenditure-output model, sometimes also called the Keynesian cross diagram, determines the equilibrium level of real GDP by the point where the total or aggregate expenditures in the economy are equal to the amount of output produced. The axes of the Keynesian cross diagram presented in Figure show real GDP on the horizontal axis as a measure of output and aggregate expenditures on the vertical axis as a measure of spending. Remember that GDP can be thought of in several equivalent ways: it measures both the value of spending on final goods and also the value of the production of final goods. All sales of the final goods and services that make up GDP will eventually end up as income for workers, for managers, and for investors and owners of firms. The sum of all the income received for contributing resources to GDP is called national income (Y). At some points in the discussion that follows, it will be useful to refer to real GDP as “national income.” Both axes are measured in real (inflation-adjusted) terms. The Potential GDP Line and the 45-degree Line The Keynesian cross diagram contains two lines that serve as conceptual guideposts to orient the discussion. The first is a vertical line showing the level of potential GDP. Potential GDP means the same thing here that it means in the AD/AS diagrams: it refers to the quantity of output that the economy can produce with full employment of its labor and physical capital. The second conceptual line on the Keynesian cross diagram is the 45-degree line, which starts at the origin and reaches up and to the right. A line that stretches up at a 45-degree angle represents the set of points (1, 1), (2, 2), (3, 3) and so on, where the measurement on the vertical axis is equal to the measurement on the horizontal axis. In this diagram, the 45-degree line shows the set of points where the level of aggregate expenditure in the economy, measured on the vertical axis, is equal to the level of output or national income in the economy, measured by GDP on the horizontal axis. When the macroeconomy is in equilibrium, it must be true that the aggregate expenditures in the economy are equal to the real GDP—because by definition, GDP is the measure of what is spent on final sales of goods and services in the economy. Thus, the equilibrium calculated with a Keynesian cross diagram will always end up where aggregate expenditure and output are equal—which will only occur along the 45-degree line. The Aggregate Expenditure Schedule The final ingredient of the Keynesian cross or expenditure-output diagram is the aggregate expenditure schedule, which will show the total expenditures in the economy for each level of real GDP. The intersection of the aggregate expenditure line with the 45-degree line—at point E0 in Figure—will show the equilibrium for the economy, because it is the point where aggregate expenditure is equal to output or real GDP. After developing an understanding of what the aggregate expenditures schedule means, we will return to this equilibrium and how to interpret it. Building the Aggregate Expenditure Schedule Aggregate expenditure is the key to the expenditure-income model. The aggregate expenditure schedule shows, either in the form of a table or a graph, how aggregate expenditures in the economy rise as real GDP or national income rises. Thus, in thinking about the components of the aggregate expenditure line—consumption, investment, government spending, exports and imports—the key question is how expenditures in each category will adjust as national income rises. Consumption as a Function of National Income How do consumption expenditures increase as national income rises? People can do two things with their income: consume it or save it (for the moment, let’s ignore the need to pay taxes with some of it). Each person who receives an additional dollar faces this choice. The marginal propensity to consume (MPC), is the share of the additional dollar of income a person decides to devote to consumption expenditures. The marginal propensity to save (MPS) is the share of the additional dollar a person decides to save. It must always hold true that: For example, if the marginal propensity to consume out of the marginal amount of income earned is 0.9, then the marginal propensity to save is 0.1. With this relationship in mind, consider the relationship among income, consumption, and savings shown in Figure. (Note that we use “Aggregate Expenditure” on the vertical axis in this and the following figures, because all consumption expenditures are parts of aggregate expenditures.) An assumption commonly made in this model is that even if income were zero, people would have to consume something. In this example, consumption would be $600 even if income were zero. Then, the MPC is 0.8 and the MPS is 0.2. Thus, when income increases by $1,000, consumption rises by $800 and savings rises by $200. At an income of $4,000, total consumption will be the $600 that would be consumed even without any income, plus $4,000 multiplied by the marginal propensity to consume of 0.8, or $ 3,200, for a total of $ 3,800. The total amount of consumption and saving must always add up to the total amount of income. (Exactly how a situation of zero income and negative savings would work in practice is not important, because even low-income societies are not literally at zero income, so the point is hypothetical.) This relationship between income and consumption, illustrated in Figure and Table, is called the consumption function. The pattern of consumption shown in Table is plotted in Figure. To calculate consumption, multiply the income level by 0.8, for the marginal propensity to consume, and add $600, for the amount that would be consumed even if income was zero. Consumption plus savings must be equal to income. \| Income \| Consumption \| Savings \| \|---\|---\|---\| \| $0 \| $600 \| –$600 \| \| $1,000 \| $1,400 \| –$400 \| \| $2,000 \| $2,200 \| –$200 \| \| $3,000 \| $3,000 \| $0 \| \| $4,000 \| $3,800 \| $200 \| \| $5,000 \| $4,600 \| $400 \| \| $6,000 \| $5,400 \| $600 \| \| $7,000 \| $6,200 \| $800 \| \| $8,000 \| $7,000 \| $1,000 \| \| $9,000 \| $7,800 \| $1,200 \| However, a number of factors other than income can also cause the entire consumption function to shift. These factors were summarized in the earlier discussion of consumption, and listed in Table. When the consumption function moves, it can shift in two ways: either the entire consumption function can move up or down in a parallel manner, or the slope of the consumption function can shift so that it becomes steeper or flatter. For example, if a tax cut leads consumers to spend more, but does not affect their marginal propensity to consume, it would cause an upward shift to a new consumption function that is parallel to the original one. However, a change in household preferences for saving that reduced the marginal propensity to save would cause the slope of the consumption function to become steeper: that is, if the savings rate is lower, then every increase in income leads to a larger rise in consumption. Investment as a Function of National Income Investment decisions are forward-looking, based on expected rates of return. Precisely because investment decisions depend primarily on perceptions about future economic conditions, they do not depend primarily on the level of GDP in the current year. Thus, on a Keynesian cross diagram, the investment function can be drawn as a horizontal line, at a fixed level of expenditure. Figure shows an investment function where the level of investment is, for the sake of concreteness, set at the specific level of 500. Just as a consumption function shows the relationship between consumption levels and real GDP (or national income), the investment function shows the relationship between investment levels and real GDP. The appearance of the investment function as a horizontal line does not mean that the level of investment never moves. It means only that in the context of this two-dimensional diagram, the level of investment on the vertical aggregate expenditure axis does not vary according to the current level of real GDP on the horizontal axis. However, all the other factors that vary investment—new technological opportunities, expectations about near-term economic growth, interest rates, the price of key inputs, and tax incentives for investment—can cause the horizontal investment function to shift up or down. Government Spending and Taxes as a Function of National Income In the Keynesian cross diagram, government spending appears as a horizontal line, as in Figure, where government spending is set at a level of 1,300. As in the case of investment spending, this horizontal line does not mean that government spending is unchanging. It means only that government spending changes when Congress decides on a change in the budget, rather than shifting in a predictable way with the current size of the real GDP shown on the horizontal axis. The situation of taxes is different because taxes often rise or fall with the volume of economic activity. For example, income taxes are based on the level of income earned and sales taxes are based on the amount of sales made, and both income and sales tend to be higher when the economy is growing and lower when the economy is in a recession. For the purposes of constructing the basic Keynesian cross diagram, it is helpful to view taxes as a proportionate share of GDP. In the United States, for example, taking federal, state, and local taxes together, government typically collects about 30–35 % of income as taxes. Table revises the earlier table on the consumption function so that it takes taxes into account. The first column shows national income. The second column calculates taxes, which in this example are set at a rate of 30%, or 0.3. The third column shows after-tax income; that is, total income minus taxes. The fourth column then calculates consumption in the same manner as before: multiply after-tax income by 0.8, representing the marginal propensity to consume, and then add $600, for the amount that would be consumed even if income was zero. When taxes are included, the marginal propensity to consume is reduced by the amount of the tax rate, so each additional dollar of income results in a smaller increase in consumption than before taxes. For this reason, the consumption function, with taxes included, is flatter than the consumption function without taxes, as Figure shows. \| Income \| Taxes \| After-Tax Income \| Consumption \| Savings \| \|---\|---\|---\|---\|---\| \| $0 \| $0 \| $0 \| $600 \| –$600 \| \| $1,000 \| $300 \| $700 \| $1,160 \| –$460 \| \| $2,000 \| $600 \| $1,400 \| $1,720 \| –$320 \| \| $3,000 \| $900 \| $2,100 \| $2,280 \| –$180 \| \| $4,000 \| $1,200 \| $2,800 \| $2,840 \| –$40 \| \| $5,000 \| $1,500 \| $3,500 \| $3,400 \| $100 \| \| $6,000 \| $1,800 \| $4,200 \| $3,960 \| $240 \| \| $7,000 \| $2,100 \| $4,900 \| $4,520 \| $380 \| \| $8,000 \| $2,400 \| $5,600 \| $5,080 \| $520 \| \| $9,000 \| $2,700 \| $6,300 \| $5,640 \| $660 \| Exports and Imports as a Function of National Income The export function, which shows how exports change with the level of a country’s own real GDP, is drawn as a horizontal line, as in the example in Figure (a) where exports are drawn at a level of $840. Again, as in the case of investment spending and government spending, drawing the export function as horizontal does not imply that exports never change. It just means that they do not change because of what is on the horizontal axis—that is, a country’s own level of domestic production—and instead are shaped by the level of aggregate demand in other countries. More demand for exports from other countries would cause the export function to shift up; less demand for exports from other countries would cause it to shift down. Imports are drawn in the Keynesian cross diagram as a downward-sloping line, with the downward slope determined by the marginal propensity to import (MPI), out of national income. In Figure (b), the marginal propensity to import is 0.1. Thus, if real GDP is $5,000, imports are $500; if national income is $6,000, imports are $600, and so on. The import function is drawn as downward sloping and negative, because it represents a subtraction from the aggregate expenditures in the domestic economy. A change in the marginal propensity to import, perhaps as a result of changes in preferences, would alter the slope of the import function. Using an Algebraic Approach to the Expenditure-Output Model In the expenditure-output or Keynesian cross model, the equilibrium occurs where the aggregate expenditure line (AE line) crosses the 45-degree line. Given algebraic equations for two lines, the point where they cross can be readily calculated. Imagine an economy with the following characteristics. Y = Real GDP or national income T = Taxes = 0.3Y C = Consumption = 140 + 0.9(Y – T) I = Investment = 400 G = Government spending = 800 X = Exports = 600 M = Imports = 0.15Y Step 1. Determine the aggregate expenditure function. In this case, it is: Step 2. The equation for the 45-degree line is the set of points where GDP or national income on the horizontal axis is equal to aggregate expenditure on the vertical axis. Thus, the equation for the 45-degree line is: AE = Y. Step 3. The next step is to solve these two equations for Y (or AE, since they will be equal to each other). Substitute Y for AE: Step 4. Insert the term 0.3Y for the tax rate T. This produces an equation with only one variable, Y. Step 5. Work through the algebra and solve for Y. This algebraic framework is flexible and useful in predicting how economic events and policy actions will affect real GDP. Step 6. Say, for example, that because of changes in the relative prices of domestic and foreign goods, the marginal propensity to import falls to 0.1. Calculate the equilibrium output when the marginal propensity to import is changed to 0.1. Step 7. Because of a surge of business confidence, investment rises to 500. Calculate the equilibrium output. For issues of policy, the key questions would be how to adjust government spending levels or tax rates so that the equilibrium level of output is the full employment level. In this case, let the economic parameters be: Y = National income T = Taxes = 0.3Y C = Consumption = 200 + 0.9(Y – T) I = Investment = 600 G = Government spending = 1,000 X = Exports = 600 Y = Imports = 0.1(Y – T) Step 8. Calculate the equilibrium for this economy (remember Y = AE). Step 9. Assume that the full employment level of output is 6,000. What level of government spending would be necessary to reach that level? To answer this question, plug in 6,000 as equal to Y, but leave G as a variable, and solve for G. Thus: Step 10. Solve this problem arithmetically. The answer is: G = 1,240. In other words, increasing government spending by 240, from its original level of 1,000, to 1,240, would raise output to the full employment level of GDP. Indeed, the question of how much to increase government spending so that equilibrium output will rise from 5,454 to 6,000 can be answered without working through the algebra, just by using the multiplier formula. The multiplier equation in this case is: Thus, to raise output by 546 would require an increase in government spending of 546/2.27=240, which is the same as the answer derived from the algebraic calculation. This algebraic framework is highly flexible. For example, taxes can be treated as a total set by political considerations (like government spending) and not dependent on national income. Imports might be based on before-tax income, not after-tax income. For certain purposes, it may be helpful to analyze the economy without exports and imports. A more complicated approach could divide up consumption, investment, government, exports and imports into smaller categories, or to build in some variability in the rates of taxes, savings, and imports. A wise economist will shape the model to fit the specific question under investigation. Building the Combined Aggregate Expenditure Function All the components of aggregate demand—consumption, investment, government spending, and the trade balance—are now in place to build the Keynesian cross diagram. Figure builds up an aggregate expenditure function, based on the numerical illustrations of C, I, G, X, and M that have been used throughout this text. The first three columns in Table are lifted from the earlier Table, which showed how to bring taxes into the consumption function. The first column is real GDP or national income, which is what appears on the horizontal axis of the income-expenditure diagram. The second column calculates after-tax income, based on the assumption, in this case, that 30% of real GDP is collected in taxes. The third column is based on an MPC of 0.8, so that as after-tax income rises by $700 from one row to the next, consumption rises by $560 (700 × 0.8) from one row to the next. Investment, government spending, and exports do not change with the level of current national income. In the previous discussion, investment was $500, government spending was $1,300, and exports were $840, for a total of $2,640. This total is shown in the fourth column. Imports are 0.1 of real GDP in this example, and the level of imports is calculated in the fifth column. The final column, aggregate expenditures, sums up C + I + G + X – M. This aggregate expenditure line is illustrated in Figure. \| National Income \| After-Tax Income \| Consumption \| Government Spending + Investment + Exports \| Imports \| Aggregate Expenditure \| \|---\|---\|---\|---\|---\|---\| \| $3,000 \| $2,100 \| $2,280 \| $2,640 \| $300 \| $4,620 \| \| $4,000 \| $2,800 \| $2,840 \| $2,640 \| $400 \| $5,080 \| \| $5,000 \| $3,500 \| $3,400 \| $2,640 \| $500 \| $5,540 \| \| $6,000 \| $4,200 \| $3,960 \| $2,640 \| $600 \| $6,000 \| \| $7,000 \| $4,900 \| $4,520 \| $2,640 \| $700 \| $6,460 \| \| $8,000 \| $5,600 \| $5,080 \| $2,640 \| $800 \| $6,920 \| \| $9,000 \| $6,300 \| $5,640 \| $2,640 \| $900 \| $7,380 \| The aggregate expenditure function is formed by stacking on top of each other the consumption function (after taxes), the investment function, the government spending function, the export function, and the import function. The point at which the aggregate expenditure function intersects the vertical axis will be determined by the levels of investment, government, and export expenditures—which do not vary with national income. The upward slope of the aggregate expenditure function will be determined by the marginal propensity to save, the tax rate, and the marginal propensity to import. A higher marginal propensity to save, a higher tax rate, and a higher marginal propensity to import will all make the slope of the aggregate expenditure function flatter—because out of any extra income, more is going to savings or taxes or imports and less to spending on domestic goods and services. The equilibrium occurs where national income is equal to aggregate expenditure, which is shown on the graph as the point where the aggregate expenditure schedule crosses the 45-degree line. In this example, the equilibrium occurs at 6,000. This equilibrium can also be read off the table under the figure; it is the level of national income where aggregate expenditure is equal to national income. Equilibrium in the Keynesian Cross Model With the aggregate expenditure line in place, the next step is to relate it to the two other elements of the Keynesian cross diagram. Thus, the first subsection interprets the intersection of the aggregate expenditure function and the 45-degree line, while the next subsection relates this point of intersection to the potential GDP line. Where Equilibrium Occurs The point where the aggregate expenditure line that is constructed from C + I + G + X – M crosses the 45-degree line will be the equilibrium for the economy. It is the only point on the aggregate expenditure line where the total amount being spent on aggregate demand equals the total level of production. In Figure, this point of equilibrium (E0) happens at 6,000, which can also be read off Table. The meaning of “equilibrium” remains the same; that is, equilibrium is a point of balance where no incentive exists to shift away from that outcome. To understand why the point of intersection between the aggregate expenditure function and the 45-degree line is a macroeconomic equilibrium, consider what would happen if an economy found itself to the right of the equilibrium point E, say point H in Figure, where output is higher than the equilibrium. At point H, the level of aggregate expenditure is below the 45-degree line, so that the level of aggregate expenditure in the economy is less than the level of output. As a result, at point H, output is piling up unsold—not a sustainable state of affairs. Conversely, consider the situation where the level of output is at point L—where real output is lower than the equilibrium. In that case, the level of aggregate demand in the economy is above the 45-degree line, indicating that the level of aggregate expenditure in the economy is greater than the level of output. When the level of aggregate demand has emptied the store shelves, it cannot be sustained, either. Firms will respond by increasing their level of production. Thus, the equilibrium must be the point where the amount produced and the amount spent are in balance, at the intersection of the aggregate expenditure function and the 45-degree line. Finding Equilibrium Table gives some information on an economy. The Keynesian model assumes that there is some level of consumption even without income. That amount is $236 – $216 = $20. $20 will be consumed when national income equals zero. Assume that taxes are 0.2 of real GDP. Let the marginal propensity to save of after-tax income be 0.1. The level of investment is $70, the level of government spending is $80, and the level of exports is $50. Imports are 0.2 of after-tax income. Given these values, you need to complete Table and then answer these questions: - What is the consumption function? - What is the equilibrium? - Why is a national income of $300 not at equilibrium? - How do expenditures and output compare at this point? \| National Income \| Taxes \| After-tax income \| Consumption \| I + G + X \| Imports \| Aggregate Expenditures \| \|---\|---\|---\|---\|---\|---\|---\| \| $300 \| $236 \| \|\|\|\|\| \| $400 \| \|\|\|\|\|\| \| $500 \| \|\|\|\|\|\| \| $600 \| \|\|\|\|\|\| \| $700 \| Step 1. Calculate the amount of taxes for each level of national income(reminder: GDP = national income) for each level of national income using the following as an example: Step 2. Calculate after-tax income by subtracting the tax amount from national income for each level of national income using the following as an example: Step 3. Calculate consumption. The marginal propensity to save is given as 0.1. This means that the marginal propensity to consume is 0.9, since MPS + MPC = 1. Therefore, multiply 0.9 by the after-tax income amount using the following as an example: Step 4. Consider why the table shows consumption of $236 in the first row. As mentioned earlier, the Keynesian model assumes that there is some level of consumption even without income. That amount is $236 – $216 = $20. Step 5. There is now enough information to write the consumption function. The consumption function is found by figuring out the level of consumption that will happen when income is zero. Remember that: Let C represent the consumption function, Y represent national income, and T represent taxes. Step 6. Use the consumption function to find consumption at each level of national income. Step 7. Add investment (I), government spending (G), and exports (X). Remember that these do not change as national income changes: Step 8. Find imports, which are 0.2 of after-tax income at each level of national income. For example: Step 9. Find aggregate expenditure by adding C + I + G + X – I for each level of national income. Your completed table should look like Table. \| National Income (Y) \| Tax = 0.2 × Y (T) \| After-tax income (Y – T) \| Consumption C = $20 + 0.9(Y – T) \| I + G + X \| Minus Imports (M) \| Aggregate Expenditures AE = C + I + G + X – M \| \|---\|---\|---\|---\|---\|---\|---\| \| $300 \| $60 \| $240 \| $236 \| $200 \| $48 \| $388 \| \| $400 \| $80 \| $320 \| $308 \| $200 \| $64 \| $444 \| \| $500 \| $100 \| $400 \| $380 \| $200 \| $80 \| $500 \| \| $600 \| $120 \| $480 \| $452 \| $200 \| $96 \| $556 \| \| $700 \| $140 \| $560 \| $524 \| $200 \| $112 \| $612 \| Step 10. Answer the question: What is equilibrium? Equilibrium occurs where AE = Y. Table shows that equilibrium occurs where national income equals aggregate expenditure at $500. Step 11. Find equilibrium mathematically, knowing that national income is equal to aggregate expenditure. Since T is 0.2 of national income, substitute T with 0.2 Y so that: Solve for Y. Step 12. Answer this question: Why is a national income of $300 not an equilibrium? At national income of $300, aggregate expenditures are $388. Step 13. Answer this question: How do expenditures and output compare at this point? Aggregate expenditures cannot exceed output (GDP) in the long run, since there would not be enough goods to be bought. Recessionary and Inflationary Gaps In the Keynesian cross diagram, if the aggregate expenditure line intersects the 45-degree line at the level of potential GDP, then the economy is in sound shape. There is no recession, and unemployment is low. But there is no guarantee that the equilibrium will occur at the potential GDP level of output. The equilibrium might be higher or lower. For example, Figure (a) illustrates a situation where the aggregate expenditure line intersects the 45-degree line at point E0, which is a real GDP of $6,000, and which is below the potential GDP of $7,000. In this situation, the level of aggregate expenditure is too low for GDP to reach its full employment level, and unemployment will occur. The distance between an output level like E0 that is below potential GDP and the level of potential GDP is called a recessionary gap. Because the equilibrium level of real GDP is so low, firms will not wish to hire the full employment number of workers, and unemployment will be high. What might cause a recessionary gap? Anything that shifts the aggregate expenditure line down is a potential cause of recession, including a decline in consumption, a rise in savings, a fall in investment, a drop in government spending or a rise in taxes, or a fall in exports or a rise in imports. Moreover, an economy that is at equilibrium with a recessionary gap may just stay there and suffer high unemployment for a long time; remember, the meaning of equilibrium is that there is no particular adjustment of prices or quantities in the economy to chase the recession away. The appropriate response to a recessionary gap is for the government to reduce taxes or increase spending so that the aggregate expenditure function shifts up from AE0 to AE1. When this shift occurs, the new equilibrium E1 now occurs at potential GDP as shown in Figure (a). Conversely, Figure (b) shows a situation where the aggregate expenditure schedule (AE0) intersects the 45-degree line above potential GDP. The gap between the level of real GDP at the equilibrium E0 and potential GDP is called an inflationary gap. The inflationary gap also requires a bit of interpreting. After all, a naïve reading of the Keynesian cross diagram might suggest that if the aggregate expenditure function is just pushed up high enough, real GDP can be as large as desired—even doubling or tripling the potential GDP level of the economy. This implication is clearly wrong. An economy faces some supply-side limits on how much it can produce at a given time with its existing quantities of workers, physical and human capital, technology, and market institutions. The inflationary gap should be interpreted, not as a literal prediction of how large real GDP will be, but as a statement of how much extra aggregate expenditure is in the economy beyond what is needed to reach potential GDP. An inflationary gap suggests that because the economy cannot produce enough goods and services to absorb this level of aggregate expenditures, the spending will instead cause an inflationary increase in the price level. In this way, even though changes in the price level do not appear explicitly in the Keynesian cross equation, the notion of inflation is implicit in the concept of the inflationary gap. The appropriate Keynesian response to an inflationary gap is shown in Figure (b). The original intersection of aggregate expenditure line AE0 and the 45-degree line occurs at $8,000, which is above the level of potential GDP at $7,000. If AE0 shifts down to AE1, so that the new equilibrium is at E1, then the economy will be at potential GDP without pressures for inflationary price increases. The government can achieve a downward shift in aggregate expenditure by increasing taxes on consumers or firms, or by reducing government expenditures. The Multiplier Effect The Keynesian policy prescription has one final twist. Assume that for a certain economy, the intersection of the aggregate expenditure function and the 45-degree line is at a GDP of 700, while the level of potential GDP for this economy is $800. By how much does government spending need to be increased so that the economy reaches the full employment GDP? The obvious answer might seem to be $800 – $700 = $100; so raise government spending by $100. But that answer is incorrect. A change of, for example, $100 in government expenditures will have an effect of more than $100 on the equilibrium level of real GDP. The reason is that a change in aggregate expenditures circles through the economy: households buy from firms, firms pay workers and suppliers, workers and suppliers buy goods from other firms, those firms pay their workers and suppliers, and so on. In this way, the original change in aggregate expenditures is actually spent more than once. This is called the multiplier effect: An initial increase in spending, cycles repeatedly through the economy and has a larger impact than the initial dollar amount spent. How Does the Multiplier Work? To understand how the multiplier effect works, return to the example in which the current equilibrium in the Keynesian cross diagram is a real GDP of $700, or $100 short of the $800 needed to be at full employment, potential GDP. If the government spends $100 to close this gap, someone in the economy receives that spending and can treat it as income. Assume that those who receive this income pay 30% in taxes, save 10% of after-tax income, spend 10% of total income on imports, and then spend the rest on domestically produced goods and services. As shown in the calculations in Figure and Table, out of the original $100 in government spending, $53 is left to spend on domestically produced goods and services. That $53 which was spent, becomes income to someone, somewhere in the economy. Those who receive that income also pay 30% in taxes, save 10% of after-tax income, and spend 10% of total income on imports, as shown in Figure, so that an additional $28.09 (that is, 0.53 × $53) is spent in the third round. The people who receive that income then pay taxes, save, and buy imports, and the amount spent in the fourth round is $14.89 (that is, 0.53 × $28.09). \| Original increase in aggregate expenditure from government spending \| 100 \| \| Which is income to people throughout the economy: Pay 30% in taxes. Save 10% of after-tax income. Spend 10% of income on imports. Second-round increase of… \| 70 – 7 – 10 = 53 \| \| Which is $53 of income to people through the economy: Pay 30% in taxes. Save 10% of after-tax income. Spend 10% of income on imports. Third-round increase of… \| 37.1 – 3.71 – 5.3 = 28.09 \| \| Which is $28.09 of income to people through the economy: Pay 30% in taxes. Save 10% of after-tax income. Spend 10% of income on imports. Fourth-round increase of… \| 19.663 – 1.96633 – 2.809 = 14.89 \| Thus, over the first four rounds of aggregate expenditures, the impact of the original increase in government spending of $100 creates a rise in aggregate expenditures of $100 + $53 + $28.09 + $14.89 = $195.98. Figure shows these total aggregate expenditures after these first four rounds, and then the figure shows the total aggregate expenditures after 30 rounds. The additional boost to aggregate expenditures is shrinking in each round of consumption. After about 10 rounds, the additional increments are very small indeed—nearly invisible to the naked eye. After 30 rounds, the additional increments in each round are so small that they have no practical consequence. After 30 rounds, the cumulative value of the initial boost in aggregate expenditure is approximately $213. Thus, the government spending increase of $100 eventually, after many cycles, produced an increase of $213 in aggregate expenditure and real GDP. In this example, the multiplier is $213/$100 = 2.13. Calculating the Multiplier Fortunately for everyone who is not carrying around a computer with a spreadsheet program to project the impact of an original increase in expenditures over 20, 50, or 100 rounds of spending, there is a formula for calculating the multiplier. The data from Figure and Table is: - Marginal Propensity to Save (MPS) = 30% - Tax rate = 10% - Marginal Propensity to Import (MPI) = 10% The MPC is equal to 1 – MPS, or 0.7. Therefore, the spending multiplier is: A change in spending of $100 multiplied by the spending multiplier of 2.13 is equal to a change in GDP of $213. Not coincidentally, this result is exactly what was calculated in Figure after many rounds of expenditures cycling through the economy. The size of the multiplier is determined by what proportion of the marginal dollar of income goes into taxes, saving, and imports. These three factors are known as “leakages,” because they determine how much demand “leaks out” in each round of the multiplier effect. If the leakages are relatively small, then each successive round of the multiplier effect will have larger amounts of demand, and the multiplier will be high. Conversely, if the leakages are relatively large, then any initial change in demand will diminish more quickly in the second, third, and later rounds, and the multiplier will be small. Changes in the size of the leakages—a change in the marginal propensity to save, the tax rate, or the marginal propensity to import—will change the size of the multiplier. Calculating Keynesian Policy Interventions Returning to the original question: How much should government spending be increased to produce a total increase in real GDP of $100? If the goal is to increase aggregate demand by $100, and the multiplier is 2.13, then the increase in government spending to achieve that goal would be $100/2.13 = $47. Government spending of approximately $47, when combined with a multiplier of 2.13 (which is, remember, based on the specific assumptions about tax, saving, and import rates), produces an overall increase in real GDP of $100, restoring the economy to potential GDP of $800, as Figure shows. The multiplier effect is also visible on the Keynesian cross diagram. Figure shows the example we have been discussing: a recessionary gap with an equilibrium of $700, potential GDP of $800, the slope of the aggregate expenditure function (AE0) determined by the assumptions that taxes are 30% of income, savings are 0.1 of after-tax income, and imports are 0.1 of before-tax income. At AE1, the aggregate expenditure function is moved up to reach potential GDP. Now, compare the vertical shift upward in the aggregate expenditure function, which is $47, with the horizontal shift outward in real GDP, which is $100 (as these numbers were calculated earlier). The rise in real GDP is more than double the rise in the aggregate expenditure function. (Similarly, if you look back at Figure, you will see that the vertical movements in the aggregate expenditure functions are smaller than the change in equilibrium output that is produced on the horizontal axis. Again, this is the multiplier effect at work.) In this way, the power of the multiplier is apparent in the income–expenditure graph, as well as in the arithmetic calculation. The multiplier does not just affect government spending, but applies to any change in the economy. Say that business confidence declines and investment falls off, or that the economy of a leading trading partner slows down so that export sales decline. These changes will reduce aggregate expenditures, and then will have an even larger effect on real GDP because of the multiplier effect. Read the following Clear It Up feature to learn how the multiplier effect can be applied to analyze the economic impact of professional sports. How can the multiplier be used to analyze the economic impact of professional sports? Attracting professional sports teams and building sports stadiums to create jobs and stimulate business growth is an economic development strategy adopted by many communities throughout the United States. In his recent article, “Public Financing of Private Sports Stadiums,” James Joyner of Outside the Beltway looked at public financing for NFL teams. Joyner’s findings confirm the earlier work of John Siegfried of Vanderbilt University and Andrew Zimbalist of Smith College. Siegfried and Zimbalist used the multiplier to analyze this issue. They considered the amount of taxes paid and dollars spent locally to see if there was a positive multiplier effect. Since most professional athletes and owners of sports teams are rich enough to owe a lot of taxes, let’s say that 40% of any marginal income they earn is paid in taxes. Because athletes are often high earners with short careers, let’s assume that they save one-third of their after-tax income. However, many professional athletes do not live year-round in the city in which they play, so let’s say that one-half of the money that they do spend is spent outside the local area. One can think of spending outside a local economy, in this example, as the equivalent of imported goods for the national economy. Now, consider the impact of money spent at local entertainment venues other than professional sports. While the owners of these other businesses may be comfortably middle-income, few of them are in the economic stratosphere of professional athletes. Because their incomes are lower, so are their taxes; say that they pay only 35% of their marginal income in taxes. They do not have the same ability, or need, to save as much as professional athletes, so let’s assume their MPC is just 0.8. Finally, because more of them live locally, they will spend a higher proportion of their income on local goods—say, 65%. If these general assumptions hold true, then money spent on professional sports will have less local economic impact than money spent on other forms of entertainment. For professional athletes, out of a dollar earned, 40 cents goes to taxes, leaving 60 cents. Of that 60 cents, one-third is saved, leaving 40 cents, and half is spent outside the area, leaving 20 cents. Only 20 cents of each dollar is cycled into the local economy in the first round. For locally-owned entertainment, out of a dollar earned, 35 cents goes to taxes, leaving 65 cents. Of the rest, 20% is saved, leaving 52 cents, and of that amount, 65% is spent in the local area, so that 33.8 cents of each dollar of income is recycled into the local economy. Siegfried and Zimbalist make the plausible argument that, within their household budgets, people have a fixed amount to spend on entertainment. If this assumption holds true, then money spent attending professional sports events is money that was not spent on other entertainment options in a given metropolitan area. Since the multiplier is lower for professional sports than for other local entertainment options, the arrival of professional sports to a city would reallocate entertainment spending in a way that causes the local economy to shrink, rather than to grow. Thus, their findings seem to confirm what Joyner reports and what newspapers across the country are reporting. A quick Internet search for “economic impact of sports” will yield numerous reports questioning this economic development strategy. Multiplier Tradeoffs: Stability versus the Power of Macroeconomic Policy Is an economy healthier with a high multiplier or a low one? With a high multiplier, any change in aggregate demand will tend to be substantially magnified, and so the economy will be more unstable. With a low multiplier, by contrast, changes in aggregate demand will not be multiplied much, so the economy will tend to be more stable. However, with a low multiplier, government policy changes in taxes or spending will tend to have less impact on the equilibrium level of real output. With a higher multiplier, government policies to raise or reduce aggregate expenditures will have a larger effect. Thus, a low multiplier means a more stable economy, but also weaker government macroeconomic policy, while a high multiplier means a more volatile economy, but also an economy in which government macroeconomic policy is more powerful. Key Concepts and Summary The expenditure-output model or Keynesian cross diagram shows how the level of aggregate expenditure (on the vertical axis) varies with the level of economic output (shown on the horizontal axis). Since the value of all macroeconomic output also represents income to someone somewhere else in the economy, the horizontal axis can also be interpreted as national income. The equilibrium in the diagram will occur where the aggregate expenditure line crosses the 45-degree line, which represents the set of points where aggregate expenditure in the economy is equal to output (or national income). Equilibrium in a Keynesian cross diagram can happen at potential GDP, or below or above that level. The consumption function shows the upward-sloping relationship between national income and consumption. The marginal propensity to consume (MPC) is the amount consumed out of an additional dollar of income. A higher marginal propensity to consume means a steeper consumption function; a lower marginal propensity to consume means a flatter consumption function. The marginal propensity to save (MPS) is the amount saved out of an additional dollar of income. It is necessarily true that MPC + MPS = 1. The investment function is drawn as a flat line, showing that investment in the current year does not change with regard to the current level of national income. However, the investment function will move up and down based on the expected rate of return in the future. Government spending is drawn as a horizontal line in the Keynesian cross diagram, because its level is determined by political considerations, not by the current level of income in the economy. Taxes in the basic Keynesian cross diagram are taken into account by adjusting the consumption function. The export function is drawn as a horizontal line in the Keynesian cross diagram, because exports do not change as a result of changes in domestic income, but they move as a result of changes in foreign income, as well as changes in exchange rates. The import function is drawn as a downward-sloping line, because imports rise with national income, but imports are a subtraction from aggregate demand. Thus, a higher level of imports means a lower level of expenditure on domestic goods. In a Keynesian cross diagram, the equilibrium may be at a level below potential GDP, which is called a recessionary gap, or at a level above potential GDP, which is called an inflationary gap. The multiplier effect describes how an initial change in aggregate demand generated several times as much as cumulative GDP. The size of the spending multiplier is determined by three leakages: spending on savings, taxes, and imports. The formula for the multiplier is: An economy with a lower multiplier is more stable—it is less affected either by economic events or by government policy than an economy with a higher multiplier. Self-Check Questions Sketch the aggregate expenditure-output diagram with the recessionary gap. The following figure shows the aggregate expenditure-output diagram with the recessionary gap. Sketch the aggregate expenditure-output diagram with an inflationary gap. The following figure shows the aggregate expenditure-output diagram with an inflationary gap. An economy has the following characteristics: Y = National income Taxes = T = 0.25Y C = Consumption = 400 + 0.85(Y – T) I = 300 G = 200 X = 500 M = 0.1(Y – T) Find the equilibrium for this economy. If potential GDP is 3,500, then what change in government spending is needed to achieve this level? Do this problem two ways. First, plug 3,500 into the equations and solve for G. Second, calculate the multiplier and figure it out that way. First, set up the calculation. Then insert Y for AE and 0.25Y for T. If full employment is 3,500, then one approach is to plug in 3,500 for Y throughout the equation, but to leave G as a separate variable. A G value of 331.25 is an increase of 131.25 from its original level of 200. Alternatively, the multiplier is that, out of every dollar spent, 0.25 goes to taxes, leaving 0.75, and out of after-tax income, 0.15 goes to savings and 0.1 to imports. Because (0.75)(0.15) = 0.1125 and (0.75)(0.1) = 0.075, this means that out of every dollar spent: 1 –0.25 –0.1125 –0.075 = 0.5625. Thus, using the formula, the multiplier is: To increase equilibrium GDP by 300, it will take a boost of 300/2.2837, which again works out to 131.25. Table represents the data behind a Keynesian cross diagram. Assume that the tax rate is 0.4 of national income; the MPC out of the after-tax income is 0.8; investment is $2,000; government spending is $1,000; exports are $2,000 and imports are 0.05 of after-tax income. What is the equilibrium level of output for this economy? \| National Income \| After-tax Income \| Consumption \| I + G + X \| Minus Imports \| Aggregate Expenditures \| \|---\|---\|---\|---\|---\|---\| \| $8,000 \| $4,340 \| \|\|\|\| \| $9,000 \| \|\|\|\|\| \| $10,000 \| \|\|\|\|\| \| $11,000 \| \|\|\|\|\| \| $12,000 \| \|\|\|\|\| \| $13,000 \| The following table illustrates the completed table. The equilibrium is level is italicized. \| National Income \| After-tax Income \| Consumption \| I + G + X \| Minus Imports \| Aggregate Expenditures \| \|---\|---\|---\|---\|---\|---\| \| $8,000 \| $4,800 \| $4,340 \| $5,000 \| $240 \| $9,100 \| \| $9,000 \| $5,400 \| $4,820 \| $5,000 \| $270 \| $9,550 \| \| $10,000 \| $6,000 \| $5,300 \| $5,000 \| $300 \| $10,000 \| \| $11,000 \| $6,600 \| $5,780 \| $5,000 \| $330 \| $10,450 \| \| $12,000 \| $7,200 \| $6,260 \| $5,000 \| $360 \| $10,900 \| \| $13,000 \| $7,800 \| $46,740 \| $5,000 \| $4,390 \| $11,350 \| The alternative way of determining equilibrium is to solve for Y, where Y = national income, using: Y = AE = C + I + G + X – M Solving for Y, we see that the equilibrium level of output is Y = $10,000. Explain how the multiplier works. Use an MPC of 80% in an example. The multiplier refers to how many times a dollar will turnover in the economy. It is based on the Marginal Propensity to Consume (MPC) which tells how much of every dollar received will be spent. If the MPC is 80% then this means that out of every one dollar received by a consumer, $0.80 will be spent. This $0.80 is received by another person. In turn, 80% of the $0.80 received, or $0.64, will be spent, and so on. The impact of the multiplier is diluted when the effect of taxes and expenditure on imports is considered. To derive the multiplier, take the 1/1 – F; where F is equal to percent of savings, taxes, and expenditures on imports. Review Questions What is on the axes of an expenditure-output diagram? What does the 45-degree line show? What determines the slope of a consumption function? What is the marginal propensity to consume, and how is it related to the marginal propensity to import? Why are the investment function, the government spending function, and the export function all drawn as flat lines? Why does the import function slope down? What is the marginal propensity to import? What are the components on which the aggregate expenditure function is based? Is the equilibrium in a Keynesian cross diagram usually expected to be at or near potential GDP? What is an inflationary gap? A recessionary gap? What is the multiplier effect? Why are savings, taxes, and imports referred to as “leakages” in calculating the multiplier effect? Will an economy with a high multiplier be more stable or less stable than an economy with a low multiplier in response to changes in the economy or in government policy? How do economists use the multiplier? Critical Thinking Questions What does it mean when the aggregate expenditure line crosses the 45-degree line? In other words, how would you explain the intersection in words? Which model, the AD/AS or the AE model better explains the relationship between rising price levels and GDP? Why? What are some reasons that the economy might be in a recession, and what is the appropriate government action to alleviate the recession? What should the government do to relieve inflationary pressures if the aggregate expenditure is greater than potential GDP? Two countries are in a recession. Country A has an MPC of 0.8 and Country B has an MPC of 0.6. In which country will government spending have the greatest impact? Compare two policies: a tax cut on income or an increase in government spending on roads and bridges. What are both the short-term and long-term impacts of such policies on the economy? What role does government play in stabilizing the economy and what are the tradeoffs that must be considered? If there is a recessionary gap of $100 billion, should the government increase spending by $100 billion to close the gap? Why? Why not? What other changes in the economy can be evaluated by using the multiplier? References Joyner, James. Outside the Beltway. “Public Financing of Private Sports Stadiums.” Last modified May 23, 2012. http://www.outsidethebeltway.com/public-financing-of-private-sports-stadiums/. Siegfried, John J., and Andrew Zimbalist. “The Economics of Sports Facilities and Their Communities.” Journal of Economic Perspectives. no. 3 (2000): 95-114. http://pubs.aeaweb.org/doi/pdfplus/10.1257/jep.14.3.95.	oercommons	2025-03-18T00:38:53.418761	null	{ "license": "Creative Commons - Attribution - https://creativecommons.org/licenses/by/4.0/", "url": "https://oercommons.org/courseware/lesson/28888/overview", "title": "Principles of Macroeconomics 2e, The Expenditure-Output Model", "author": null }
https://oercommons.org/courseware/lesson/66286/overview	Introduction: The Texas Court System Overview Introduction: The Texas Court System Learning Objective By the end of this chapter, you will be able to: - Explain the structure and function of the judicial branch of the Texas government Introduction How much does a bar or restaurant have to do to protect customers from harm, especially harm resulting in part from their own actions? In 2007, the Del Lago Resort, an upscale golf resort north of Houston, booked a wedding reception alongside the second night of a three-day college fraternity reunion. Members of both groups ended up in the resort’s bar, where a brawl ensued “involving twenty to forty ‘very intoxicated’ customers.” After they “waded into the scrum,” one of the fraternity members, Bradley Smith, was seriously injured. Smith sued Del Lago in a Texas state district court, claiming the resort should have done more to protect him from harm. After nine days of conflicting testimony, jurors found Smith 49 percent liable for his own injuries, but found Del Lago 51 percent at fault and awarded nearly $1.5 million to Smith. The Tenth Court of Appeals in Waco reviewed the case and upheld the verdict, ruling that a “reasonable person who knew or should have known of the one-and-a-half hours of ongoing ‘heated’ verbal altercations and shoving matches between intoxicated bar patrons would reasonably foresee the potential for assaultive conduct to occur and take action to make the condition of the premises reasonably safe.” On further appeal, the nine-member Texas Supreme Court upheld the Court of Appeals decision, issuing a 6-3 opinion. Chief Justice Nathan Hecht was one of three justices who wrote a dissenting opinion, disagreeing with the majority opinion. Among other reasons, Hecht felt Smith’s own actions played a larger part in his injuries than what had been determined by the lower courts. In Texas, you can’t recover at all if you’re more at fault than the party you’re suing. 49 percent is the greatest amount of fault you can have and still collect money. Court decisions like this one determine what happens to the parties in that specific case, but they can also set precedents that will be followed by other courts for years to come. After the Del Lago decision, bars and restaurants throughout Texas took a hard look at their policies and procedures to try to prevent such altercations from occurring, and to make sure they could protect themselves from liability in the event of a similar disturbance. In this chapter, we’ll take a look at the Texas Judicial System. License and Attribution CC LICENSED CONTENT, ORIGINAL The Court System of Texas: Introduction. Authored by: Andrew Teas. License: CC BY: Attribution	oercommons	2025-03-18T00:38:53.439496	null	{ "license": "Creative Commons - Attribution - https://creativecommons.org/licenses/by/4.0/", "url": "https://oercommons.org/courseware/lesson/66286/overview", "title": "Texas Government 2.0, The Court System of Texas", "author": null }
https://oercommons.org/courseware/lesson/66287/overview	Sources and Hierarchy of Law in Texas Overview Sources and Hierarchy of Law in Texas Learning Objective By the end of this section, you will be able to: - Identify the sources and hierachy of law in Texas Introduction It's often said that we are a "nation of laws," but it is also true that we are a state of laws. This section explores the various sources and hierarchies of law in Texas. Types of Law Within codified law, there are two forms of law that the courts are concerned about within any legal system: civil law and criminal law. Civil laws are rules and regulations which govern transactions and grievances between individual citizens. Criminal law is concerned with actions which are dangerous or harmful to society as a whole, in which prosecution is pursued not by an individual but by the state. The purpose of criminal law is to 1) provide the specific definition of what constitutes a crime and to 2) prescribe punishments for committing such a crime. No criminal law can be valid unless it includes both of these factors. Criminal justice is then primarily concerned with the enforcement of criminal law. Law \| Definition \| Punishment \| Burden of Proof \| Examples \| Civil \| concerns private rights relief or remedy \| \| a preponderance of the evidence \| divorce, lawsuit \| Criminal \| type of case that violates a specific penal law \| fine, imprisonment, or both \| beyond a reasonable doubt \| traffic violation, felony charge \| Table 5.1 Types of Law Sources of Law Sources of law in Texas include constitutional law, statutory law, administrative regulations, court precedence, and local codes and ordinances. Constitutional Law Constitutional law is the body of law which defines the role, powers, and structure of diﬀerent entities within a state, including the executive, legislature, and the judiciary; as well as the basic rights of citizens and the relationship between the central government and state, provincial, or territorial governments. In Texas, constitutional law includes: - National Constitution - Texas Constitution As we explored in Chapter Two, the Texas Constitution establishes the structure and purpose of the Texas government. The current Texas Constitution took eﬀect on February 15, 1876. Statutory Law Statutes are laws passed by a legislature. In Texas, statutory law can consist of National Laws (laws passed by the national Congress) Texas State Statutes (laws passed by the Texas State Legislature) Administrative Regulations Administrative regulations are laws that govern the activities of administrative agencies of government. Government agency action can include rule making, adjudication, or the enforcement of a specific regulatory agenda. In Texas, adminisrative regulatons can consist of: National regulations Texas State administrative code Court precedents Precedent is a principle or rule established in a previous legal case that is either binding on or persuasive for a court or other tribunal when deciding subsequent cases with similar issues or facts. Common-law legal systems place great value on deciding cases according to consistent principled rules, so that similar facts will yield similar and predictable outcomes, and observance of precedent is the mechanism by which that goal is attained. The principle by which judges are bound to precedents is known as stare decisis (a Latin phrase with the literal meaning of "Let the decision stand"). The courts considering the Del Lago case discussed in the introduction to this chapter looked at a variety of similar cases to determine the way responsibility for the plaintiff’s injuries should be decided. Local codes and ordinances A local ordinance is a law for a political division smaller than a state or nation, i.e., a local government such as a city or county. Hierarchy of Law The hierarchy of law in the Texas judicial system is relatively simple: Constitutional Law overrules statutory law which in turn overrules administrative regulations which finally overrules local codes and ordinances. Licenses and Attribution CC LICENSED CONTENT, ORIGINAL Law in Texas: Authored by: Andrew Teas. License: CC BY: Attribution	oercommons	2025-03-18T00:38:53.464645	null	{ "license": "Creative Commons - Attribution - https://creativecommons.org/licenses/by/4.0/", "url": "https://oercommons.org/courseware/lesson/66287/overview", "title": "Texas Government 2.0, The Court System of Texas", "author": null }
https://oercommons.org/courseware/lesson/66288/overview	The Structure of the Texas Court System Overview The Structure of the Texas Court System Learning Objective By the end of this section, you will be able to: - Describe how state courts are structured in Texas Introduction Even before Texas became its own Republic, Texas had a system of courts. As citizens of Mexico, Texans were given access to state and local courts created by the Mexican constitutions of 1824 and 1827. Appeals, however, were handled only in Saltillo, over 600 miles from the northern parts of the state. Accordingly, the Republic of Texas and, later, the State of Texas established a judiciary with local access to both trial and appeals courts. Texas has more courts than any other state, creating more access to courts, but also additional costs. The Structure of the Texas Court System Although the Supreme Court tends to draw the most public attention, it typically hears fewer than one hundred cases every year. In fact, the entire federal side—both trial and appellate—handles proportionately very few cases, with about 90 percent of all cases in the U.S. court system being heard at the state level. The several hundred thousand cases handled every year on the federal side pale in comparison to the several million handled by the states. State courts really are the core of the U.S. judicial system, and they are responsible for a huge area of law. Most crimes and criminal activity, such as robbery, rape, and murder, are violations of state laws, and cases are thus heard by state courts. State courts also handle civil matters; personal injury, malpractice, divorce, family, juvenile, probate, and contract disputes and real estate cases, to name just a few, are usually state-level cases. In our legal system criminal cases are those where a defendant is accused of violating the law. If found guilty, a punishment ranging from a small monetary fine to the death penalty may be inflicted. All other cases are civil, ranging from negligence cases like Del Lago v. Smith to eviction, divorce and child custody, wills and estates, protective orders and the enforcement of business contracts. In all cases, a trial court – generally with a jury of citizens – must determine matters of fact. Appellate courts are there only to determine matters of law did the trial court conduct its proceedings fairly and correctly? What sorts of courts handle judicial cases in Texas? Types of Jurisdiction Every court system has jurisdiction over certain cases, from enforcing traffic laws to hearing capital murder charges. There are three types of jurisdictions: - Original Jurisdiction– the court that gets to hear the case first. For example, Municipal courts typically have original jurisdiction over traffic offenses the occur within city limits. - Appellate Jurisdiction– the power for a higher court to review a lower courts decision. For example, the Texas Court of Appeals has appellate jurisdiction over the District Courts (see the hierarchy of Texas Court Structure in Section 5.2). - Exclusive Jurisdiction– only that court can hear a specific case. For example, only the Texas Court of Criminal Appeals Court can hear appeals for death penalty sentences. Judicial Hierarchy The Texas court system is hierarchical, meaning cases start in local trial courts, then work their way up to appeals courts. State district courts have original jurisdiction, meaning that cases are generally heard by juries of citizens. District courts in rural Texas can be all-purpose courts – hearing all types of criminal and civil cases. District courts in urban areas often specialize. Harris County, with its population of more than 5 million, has courts specifically assigned only to criminal cases, with others specifically assigned to civil, juvenile and family cases. Any case appealed from one of Texas’ 472 district courts goes to one of 14 courts of appeals, each of which hears all types of cases. From there, the system splits. Criminal cases appealed from any court of appeals go to the Texas Court of Criminal Appeals. All civil cases go to the Texas Supreme Court. These two co-equal highest courts have the final say on all cases in the state system, although some cases can be further appealed into the federal system. Municipal Courts Municipal courts are city courts, often with judges appointed by mayors and city councils – the only judges in Texas who are not elected by the citizens. They have exclusive jurisdiction over cases involving the violation of city ordinances (like building something without getting a building permit) but handle mostly parking and traffic tickets. Justice of the Peace Courts Texas has 822 justices of the peace (JPs), selected by voters in partisan elections. Harris County has 16 “JP” courts, but even rural counties have at least one. JPs are the true jacks-of-all-trades in the Texas judicial system. They handle traffic tickets and other low-level criminal offenses, civil cases involving amounts up to $20,000, debt collection cases, commercial and residential evictions, truancy – even inquests (declaring people dead) in all but the largest urban counties. Justices of the Peace do not have to be attorneys, and a majority of Texas JPs are, in fact, not lawyers. Constitutional County Courts The Texas Constitution assigns certain judicial powers to county commissioners’ courts, which are also the governing bodies of Texas counties. As a constitutional county court, they hold hearings on beer and wine license applications, assignment of the mentally ill to hospitals, juvenile work permits, and temporary guardianship. County Courts at Law Harris County has 16 county criminal courts-at-law, along with 4 county civil courts-at-law. The legislature has allowed counties specific numbers of these courts, depending on the county’s population. County criminal courts- at-law can handle cases involving up to a year in county jail, and where the fine would exceed $500. Civil courts-at-law handle disputes involving between $20,000 and $100,000, as well as civil appeals from justice of the peace courts. County court judges are elected by voters to four-year terms in partisan elections. Probate Courts Probate courts handle wills and estates for deceased persons in Texas’ largest counties. Judges are elected to 4-year terms by county voters in partisan elections. In smaller counties, these matters are handled by the local district or county court. State District Courts State District Courts are the starting point for serious criminal and civil cases in Texas. Civil cases involving more than $200 and criminal cases for which the penalty can involve the state prison system or the death penalty begin with a trial in state district court. District courts also have exclusive jurisdiction over divorce and land title cases. State District Judges are elected in partisan elections and serve 4-year terms. Appellate Courts Texas has 14 courts of appeal, each serving a specific set of counties. Each court has nine members, each of which is elected to a six-year term in a partisan election. The terms are staggered so that three of the nine positions on each court are placed before the area’s voters every two years. While each court of appeals has nine judges, the caseload for courts of appeal in Texas is staggering. For the sake of efficiency, nearly all cases are heard by three judge panels – allowing the court to triple the number of cases they can consider at any one time. Occasionally, a party to a particularly difficult or controversial case may petition to have the case heard en banc – meaning by all nine judges. While the district courts from which a court of appeals’ appellate cases are referred may be highly specialized, the courts of appeals are not. All 14 courts have first appellate jurisdiction over every type of criminal and civil case. If a case is appealed from one of Texas’ 14 courts of appeals, however, the system splits. Criminal cases go to the Texas Court of Criminal Appeals. Civil cases go to the Texas Supreme Court. Each of Texas’ two highest courts has nine members, elected statewide in partisan elections. Unlike courts of appeals, however, the Texas Supreme Court and Court of Criminal Appeals hear all cases en banc. Chapter Five: Check Your Understanding Check your understanding of of this section by taking the quiz linked below. The quiz will open in a new browser window or tab. Diagram of the Bifurcated Texas Court System The structure of the Texas court system is set up as a bifurcated system, meaning there are two highest courts of appeals for criminal and civil cases. The table below depicts the structure of the Texas court system with some additional jurisdiction and court information. Note that Juvenile Courts preside in the District Courts - In Texas, a juvenile is defined as young as 10 years old, and a juvenile can be convicted as an adult as young as 14 years old. Licenses and Attributions CC LICENSED CONTENT, ORIGINAL Court Organization. Authored by: Daniel M. Regalado. License: CC BY: Attribution The Structure of the Texas Court System. Authored by: Andrew Teas. License: CC BY: Attribution PUBLIC DOMAIN CONTENT Court Structure of Texas. Authored by: Texas Judicial Branch. Located at: http://www.txcourts.gov/media/1436909/court-structure-chart- jan-2017.pdf License: Public Domain: No Known Copyright CC LICENSED CONTENT, ORIGINAL The Court System of Texas: Introduction. Authored by: Andrew Teas. License: CC BY: Attribution	oercommons	2025-03-18T00:38:53.498593	null	{ "license": "Creative Commons - Attribution - https://creativecommons.org/licenses/by/4.0/", "url": "https://oercommons.org/courseware/lesson/66288/overview", "title": "Texas Government 2.0, The Court System of Texas", "author": null }
https://oercommons.org/courseware/lesson/66289/overview	Texas’ Civil and Criminal Justice Processes Overview Texas’ Civil and Criminal Justice Processes Learning Objective By the end of this section, you will be able to: - Explain the judicial procedures associated with civil lawsuits and criminal cases Introduction This section explores Texas' civil and criminal processes. Texas’ Civil Law Processes Unlike the criminal justice system, which has an intentional bias in favor of the accused, the civil justice system is meant to be like a balanced scale, with neither side having any special advantage. A civil case results from a disagreement or dispute between two or more individuals or organizations. The party bringing the civil suit is the plaintiﬀ. The party being sued is the defendant. Civil suits often involve disagreements about money or property, but also include divorce, child custody, contracts, protective orders, and evictions. Civil lawsuits can often take complex and unpredictable routes through the legal system, but here are the usual, basic steps: Complaint – In an initial petition to a civil court, the plaintiﬀ must describe the facts of the situation and what relief is being sought from the court. Summons – The defendant in a civil case must be oﬃcially served by the court with notice of the lawsuit and given the necessary information about how to respond. Discovery – For many civil lawsuits, both sides are given a period of discovery, during which both sides are required to share information and evidence with each other. Settlement – Before going to trial, most civil lawsuits are resolved through settlement – a formal agreement in which the plaintiﬀ agrees to forego continuing to trial in exchange for money and/or some other specific consideration from the defendant. In some cases, parties will agree to seek the help of a mediator to resolve the dispute amicably. Trial – If no settlement is agreed upon, a trial is held. Unlike a criminal trial, where the prosecution must show guilt “beyond a reasonable doubt,” a party to a civil trial can prevail simply by “a preponderance of the evidence.” Juries decide not only who wins, but often the specific financial amount of damages awarded. Appeal – The losing party in a civil case is entitled to appeal the court’s decision to a higher court. An appeal is not a “do- over.” The job of an appeals court is to review the way the trial was conducted. An appeals court can aﬃrm or reverse the lower court decision or can remand the case back to the lower court for further proceedings. The Criminal Justice Process in Texas There are several procedural steps in the Texas criminal justice process that occur after a person is arrested and prior to the determination of innocence or guilt. In Texas, as in most other states, this process can take months or even years. The Texas court systems have two conflicting goals: they must protect the people and the accused. Therefore, the state of Texas must ensure that every person is treated equally in legal matters - this is known as due process. The steps in the Texas criminal justice process are: 1. Arrest, 2. Indictment, 3. Plea bargaining, 4. Trial, and 5. Post-trial. 1. Arrest One aspect pertinent to arrest is the Miranda Rights. Miranda Rights derived from the landmark U.S. Supreme Court case Miranda vs. Arizona (1966). During the Miranda case, the question was whether or not procedures must be utilized by law enforcement oﬃcials to ensure that an individual’s 5th Amendment Self-incrimination rights are not violated. The United States Supreme Court ruled that a person must be made aware of their rights prior to being questioned. Once an arrest is made, the defendant is arraigned and bond is set. Arraignment is when a defendant is formally charged and made aware of their rights. After this, the defendant may be released on bail until the trial, although bail is not guaranteed (Texas Constitution Article 1, Section 11 & 11a-b). Bail is money that is provided by the defendant to ensure his or her appearance in court. Typically, if the defendant doesn't appear for trial, the bail is forfeited. If the defendant appears as required, the bail money is returned. If a person cannot provide bail or cannot pay a bondsman, the accused may be released on personal recognizance—the defendant's promise to appear. 2. Indictment If the charge is a felony, then an indictment must occur for the process to continue. A grand jury is in charge of determining whether there is suﬃcient evidence to hold the accused for trial. 9 out of 12 grand jury members must agree that the process can move forward. Grand juries do not find people guilty of a crime; they will either vote a “true bill” (finding probable cause that the accused committed a crime), or they will return a “No bill” (they did not find probable cause). A grand jury indictment is not a conviction; the accused is held for criminal trial only if the grand jury voted a "true bill." 3. Plea Bargaining After indictment for a felony, there will likely be a number of pretrial hearings in which the accused will formally plead guilty or not guilty. A plea bargain (also plea agreement or plea deal) is any agreement in a criminal case between the prosecutor and defendant whereby the defendant agrees to plead guilty or nolo contendere to a particular charge in return for some concession from the prosecutor. Due to the high frequency of overcrowded dockets, plea bargaining is the most common method for resolving criminal cases in Texas to avoid going to trial. Although plea bargaining can occur during a trial and even after a finding of guilt (but before sentencing), the prosecution and defense will often discuss punishment in exchange for a guilty plea and reach an agreement before the trial. Plea bargaining can present a dilemma to defense attorneys, in that they must choose between vigorously seeking a good deal for their present client, or maintaining a good relationship with the prosecutor for the sake of helping future clients. However, defense attorneys are required by the ethics of the bar to defend the present client's interests over the interests of others. Violation of this rule may result in disciplinary sanctions being imposed against the defense attorney by the appropriate state's bar association. 4. Trial If the case reaches trial, the defendant may choose to have a trial by jury (guaranteed by the Texas Constitution Article 1, Section 15); or waive that right and choose trial by a presiding judge. Texas utilizes an adversary system, which means the two sides will attempt to convince the jury or judge why they are correct. For both felonies and misdemeanors, decisions by criminal juries must be unanimous, and the standard of proof is "beyond a reasonable doubt." If the defendant is acquitted (found not guilty), he or she is set free. If the defendant is found guilty, there will be a jail or prison sentence, or probation and/or a fine. 5. Post Trial Post-trial is the final step where the defendant, if found guilty, will receive a form of rehabilitation or punishment. Some examples of rehabilitation or punishment are prison time, probation, parole, house arrest, and fines. In some cases, the judge may allow probation, or community supervision, rather than a jail or prison sentence. License and Attribution CC LICENSED CONTENT, ORIGINAL Plea Bargain. Authored by: Wikipedia. License: CC BY: Attribution Types of Law and Texas Criminal Justice Process. Authored by: Daniel M. Regalado. License: CC BY: Attribution	oercommons	2025-03-18T00:38:53.520160	null	{ "license": "Creative Commons - Attribution - https://creativecommons.org/licenses/by/4.0/", "url": "https://oercommons.org/courseware/lesson/66289/overview", "title": "Texas Government 2.0, The Court System of Texas", "author": null }
https://oercommons.org/courseware/lesson/66290/overview	Judicial Selection Processes in Texas Overview Judicial Selection Processes in Texas Learning Objective By the end of this section, you will be able to: - Outline the process of the judicial selection in Texas Introduction Each state has its own process for selecting its judges. This section explores the Texas process. Selecting Judges: Methods of Judicial Selection Methods of judicial selection vary substantially across the United States. Though each state has a unique set of guidelines governing how they fill their state and local judiciaries, there are five main methods: Partisan elections: Judges are elected by the people, and candidates are listed on the ballot alongside a label designating political party affiliation. Nonpartisan elections: Judges are elected by the people, and candidates are listed on the ballot without a label designating party affiliation. Legislative elections: Judges are selected by the state legislature. Gubernatorial appointment: Judges are appointed by the governor. In some cases, approval from the legislative body is required. Assisted appointment, also known as merit selection or the Missouri Plan: A nominating commission reviews the qualifications of judicial candidates and submits a list of names to the governor, who appoints a judge from the list. After serving an initial term, the judge must be confirmed by the people in a yes-no retention election to continue serving. A retention election or judicial retention is a periodic process whereby voters are asked whether an incumbent judge should remain in office for another term. The judge, who does not face an opponent, is removed from the position if a percentage of voters (often 50 percent) indicate that he or she should not be retained. Texas’ Judicial Selection Process Texas elects their judges (except at some of the municipal levels) in partisan elections, and the table below depicts the specifics for each level of court Link to Learning State leaders again want to review how Texas elects judges. Will they end partisan judicial elections? After an election that swept scores of Republican judges out of office, Gov. Greg Abbott is eyeing judicial selection reform. Advocates hope that the perennial issue may finally draw some attention. Arguments For And Against Partisan Elections Arguments Supporting Partisan Elections Proponents of judicial elections argue that this method of selection is the most democratic, allowing the people to have a direct voice in selecting judges. They believe voters are capable of selecting a judiciary that reflects their values and that they are entitled to that choice. “ [Y]ou cannot take the politics out of decisions about who is going to hold what office, but you can take the people out of the politics. This democracy business can be a little messy at times, certainly inefficient and occasionally some bad mistakes are made, but you can trust [voters] to get it right most of the time.” —Professor Michael E. DeBow of the Samford University School of Law Along similar lines, those in favor of elections say that the prospect of being voted out of office holds judges accountable to voters. Samford University law professor Michael E. DeBow points to examples from the late 1990s when judiciaries in Texas and Alabama appeared to be heavily inclined towards trial lawyers. When voters caught wind of this, they began what DeBow calls a “revolt,” replacing their judges and moving towards tort reform laws. “Could this have happened in Missouri Plan states? Or in states with nonpartisan elections? Probably not as quickly.… [I]t is a significant thing for voters to assert themselves as dramatically as they did in these two states. It strongly supports the view that voters are not incompetent to vote on judicial races, and lends aid and comfort to those working to effect legal reform.” —Professor Michael E. DeBow of the Samford University School of Law Arguments Against Partisan Elections Critics of partisan judicial elections argue that the growing amount of fundraising in election campaigns gives special interest groups a foothold to manipulate the judiciary to their liking. Judicial elections have become much more expensive in the last decade—partisan elections more so, perhaps because state parties serve as “ready-built infrastructures for ‘bundling’ donations,” according to Billy Corriher of the Center for American Progress. Those skeptical of the process also claim that it creates a highly polarized judiciary made up of judges who are pressured to please their campaign supporters. “I never felt so much like a hooker down by the bus station… as I did in a judicial race. Everyone interested in contributing has very specific interests. They mean to be buying a vote.” —Ohio Supreme Court Senior Associate Justice Paul Pfeifer "If voters understood how a Republican judge differs from a Democratic one in the run-of-the- mill cases that occupy most of the courts’ time, then partisan identification might prove more useful... When voters think of judges’ political affiliation, they often think of cases involving controversial social issues, such as abortion or gay marriage, that garner a lot of media attention but constitute merely a fraction of a court’s rulings. But in the states that have seen the most judicial campaign cash, the campaign donors are not concerned with social issues. Instead, liberal judges are supported by trial lawyers who want to see judges protecting individuals’ right to sue wrongdoers; conservative judges are strongly backed by corporate interest groups that want judges who will uphold “tort reform” laws that limit lawsuits.” —Billy Corriher, Director of Research for Legal Progress at the Center Addressing the argument that party affiliation gives voters useful information about a judge’s values, Corriher believes voters actually understand very little about how partisanship plays into everyday decisions on the bench. The Shepherd Study A 2013 study by Joanna Shepherd, a law professor at Emory University, analyzed data from 2,345 business-related state supreme court published opinions from all 50 states in 2010-2012 and more than 175,000 contribution records. Information was also collected on the characteristics of individual justices, including ideology. Sponsored by the American Constitution Society, “Justice At Risk: An empirical analysis of campaign contributions and judicial decisions” examined the effects of campaign contributions on judicial behavior and revealed a relationship between money and how state supreme court justices rule in business-related matters. The findings were reported as follows: - A significant relationship exists between business group contributions to state supreme court justices and the voting of those justices in cases involving business matters. - The more campaign contributions from business interests justices receive, the more likely they are to vote for business litigants appearing before them in court. - A justice who receives half of his or her contributions from business groups would be expected to vote in favor of business interests almost two-thirds of the time. - The empirical relationship between business contributions and justices’ voting for business interests exists only in partisan and nonpartisan systems; there is no statistically significant relationship between money and voting in retention election systems. - There is a stronger relationship between business contributions and justices’ voting among justices affiliated with the Democratic Party than among justices affiliated with the Republican Party. Licenses and Attributions CC LICENSED CONTENT, ORIGINAL Revision and Adaptation. Authored by: Kris S. Seago. License: CC BY: Attribution CC LICENSED CONTENT, SHARED PREVIOUSLY Judicial Selection in the States. Authored by: Ballotpedia. Located at: https://ballotpedia.org/Judicial_selection_in_the_states. License: CC BY: Attribution Judicial Selection in Texas. Authored by: Ballotpedia. Located at: https://ballotpedia.org/Judicial_selection_in_Texas. License: CC BY: Attribution	oercommons	2025-03-18T00:38:53.550155	null	{ "license": "Creative Commons - Attribution - https://creativecommons.org/licenses/by/4.0/", "url": "https://oercommons.org/courseware/lesson/66290/overview", "title": "Texas Government 2.0, The Court System of Texas", "author": null }
https://oercommons.org/courseware/lesson/66291/overview	Glossary Overview Glossary Glossary: The Court System of Texas arraignment: when a defendant is formally charged and made aware of their rights capital case: a criminal case in which the death penalty is a possible punishment civil law: a branch of law that deals with disputes, usually between private individuals over relationships, obligations, and responsibility complaint: the presentation of a grievance by the plaintiff in a civil case courts of appeal: the 14 intermediate-level appellate courts that hear appeals from district and county courts to determine whether the decisions of these lower courts followed legal principles and court procedures. criminal law: the branch of law that regulates the conduct of individuals, defines crimes, and specifies punishments for criminal acts. defendant: an individual, company, or institution sued or accused in a court of law district courts: the major trial courts in Texas, which usually have general jurisdiction over a broad range of civil and criminal cases due process: in the Texas criminal justice system, the state must ensure that every person is treated equally in legal matters felony: a serious criminal offense, punishable by a prison sentence or a fine; a capital felony is punishable by death or a life sentence hierarchical: In the Texas court system, cases start in local trial courts, then work their way up to appeals courts. justice of the peace courts: local trial courts with limited jurisdiction over small claims and very minor criminal misdemeanors juvenile courts: in Texas, a juvenile is defined as young as 10 years old, and a juvenile can be convicted as an adult as young as 14 years old. Juvenile courts preside in the District Courts misdemeanor: a minor criminal offense usually punishable by a small fine or short jail sentence municipal courts: local trial courts with limited jurisdiction over violations of city ordinances and very minor criminal misdemeanors plaintiff: the party who initiates a lawsuit (also known as an action) before a court in order to seek a legal remedy plea bargaining: occurs when the defendant and the prosecutor negotiate a deal to avoid having to go to trial precedent: in common law legal systems, a principle or rule established in a previous legal case that is either binding on or persuasive for a court or other tribunal when deciding subsequent cases with similar issues or facts. probate courts: handle wills and estates for deceased persons in Texas’ largest counties Texas Supreme Court: the highest civil court in Texas; consists of nine justices and has final state appellate authority over civil cases. Licenses and Attributions CC LICENSED CONTENT, ORIGINAL The Court System of Texas: Glossary. Authored by: Andrew Teas. License: CC BY: Attribution	oercommons	2025-03-18T00:38:53.574849	null	{ "license": "Creative Commons - Attribution - https://creativecommons.org/licenses/by/4.0/", "url": "https://oercommons.org/courseware/lesson/66291/overview", "title": "Texas Government 2.0, The Court System of Texas", "author": null }
https://oercommons.org/courseware/lesson/66292/overview	Assessment Overview This is a quiz for Chapter Five. Texas Government Chapter Five Quiz Check your knowledge of Chapter Five by taking the quiz linked below. The quiz will open in a new browser window or tab. This is a quiz for Chapter Five. Check your knowledge of Chapter Five by taking the quiz linked below. The quiz will open in a new browser window or tab.	oercommons	2025-03-18T00:38:53.592355	null	{ "license": "Creative Commons - Attribution - https://creativecommons.org/licenses/by/4.0/", "url": "https://oercommons.org/courseware/lesson/66292/overview", "title": "Texas Government 2.0, The Court System of Texas", "author": null }
https://oercommons.org/courseware/lesson/66270/overview	Introduction: The Texas Legislature Overview Introduction: The Texas Legislature Chapter Learning Objective By the end of this chapter, you will be able to: - Outline the function, structure, and responsibilities of the Texas legislature Introduction This chapter examines the Texas State Legislature--the lawmaking branch of Texas government. Licenses and Attributions CC LICENSED CONTENT, ORIGINAL Revision and Adaptation. Authored by: Kris S. Seago. License: CC BY: Attribution Revision and Adaptation: Introduction to the Texas Legislature. Authored by: John Osterman. License: CC BY: Attribution	oercommons	2025-03-18T00:38:53.608042	null	{ "license": "Creative Commons - Attribution - https://creativecommons.org/licenses/by/4.0/", "url": "https://oercommons.org/courseware/lesson/66270/overview", "title": "Texas Government 2.0, The Texas Legislature", "author": null }
https://oercommons.org/courseware/lesson/66271/overview	The Structure and Function of the Texas Legislature Overview The Structure and Function of the Texas Legislature Learning Objectives By the end of this section, you should be able to: - Describe the function and structure of the Texas legislature Introduction This section examines the structure and functions of the Texas State Legislature. Structure The structure of any institution or organization matters a great deal. The structure can determine how well an institution fulfills its duties and responsibilities. Article 3 of the Texas Constitution describes the legislative department (branch) of Texas. Texas Legislature utilizes a bicameral (two branches or chambers) system with the Texas Senate being the upper house, and the Texas House of Representatives the lower house. Every other state has a bicameral legislature except for Nebraska. One of the benefits of a bicameral legislature is the is forces either chamber to compromise on legislation before passing it onto the government. Much like the Framers of the U.S. Consitution, the men who wrote the Texas constitution recognizes the benefit of slowing down the legislative process. Moreover, there are a total of 181 members of the Texas Legislature: 31 Senators, and 150 members of the House. There will be more in the text about them later; however, for now, understand that the different sizes of each chamber also plays a role in how well they function. Texas uses single-member districts, meaning each member of the Texas Legislature represents one legislative district. This is also true of congressional seats. Every ten years, after the U.S. census, the state legislative districts and congressional districts are redrawn to maintain proportional representation. This is also called reapportionment when it is done at the national level because all 435 seats have to be approximately equal in size. This causes some states to lose or gain seats every ten years based on their changing population. Texas State House District Map Texas State Senate District Map Who Represents Me? Look on the district maps above, or visit the Texas Redistricting website to find out the state house and senate representatives who represent you. Duties and Roles The duties of the legislature include consideration of proposed laws and resolutions, consideration of proposed constitutional amendments for submission to the voters, and appropriation of all funds for the operation of state government. All bills for raising revenue considered by the legislature must originate in the house of representatives. The House alone can bring impeachment charges against a statewide officer, which charges must be tried by the senate. All bills for raising revenue considered by the Legislature must originate in the House of Representatives. The House alone can bring impeachment charges against a statewide officer, impeachment charges are tried by the Senate. The Legislature is the constitutional successor of the Congress of the Republic of Texas after Texas’s 1845 entrance into the Union. The Legislature held its first regular session from February 16 to May 13, 1846. Organization and Leadership Although members are elected on partisan ballots, both houses of the Legislature are officially organized on a nonpartisan basis, with members of both parties serving in leadership positions such as committee chairmanships. As of the 2019 Legislative Session, a majority of the members of each chamber are members of the Republican Party. The Lieutenant Governor (currently Dan Patrick), elected statewide separately from the governor, presides over the Senate, while the Speaker of the House (currently Dade Phelan from the Beaumont area) is elected from that body by its members. Both have wide latitude in choosing committee membership in their respective houses and have a large impact on lawmaking in the state. Legislative Sessions Regular Sessions The Texas Legislature uses biennial sessions which means they meet once every odd-numbered years, for 140 days. The Texas Legislature meets in regular session on the second Tuesday in January of each odd-numbered year. The Texas Constitution limits the regular session to 140 calendar days. Special Sessions Only the governor may call the legislature into special sessions, unlike other states where the legislature may call itself into session. The governor may call as many sessions as he or she desires. For example, Governor Rick Perry called three consecutive sessions to address the 2003 Texas congressional redistricting. The Texas Constitution limits the duration of each special session to 30 days; lawmakers may consider only those issues designated by the governor in his “call,” or proclamation convening the special session (though other issues may be added by the Governor during a session). Redistricting What is Redistricting? Redistricting is the process by which new congressional and state legislative district boundaries are drawn. Each of Texas’ 36 United States Representatives, 31 state senators, and 181 state legislators are elected from political divisions called districts. United States Senators are not elected by districts, but by the states at large. District lines are redrawn every 10 years following completion of the United States census. The federal government stipulates that districts must have nearly equal populations and must not discriminate on the basis of race or ethnicity based on the U.S. Supreme Court case of Reynolds v. Sims (1964). Why does Texas Have to Redistrict? The federal constitution calls for reapportionment of congressional seats according to population from a decennial census (Section 2, Article I). Reapportionment is the division of a set number of districts among established units of government. For example, the 435 congressional seats are reapportioned among the 50 states after each decennial census according to the method of equal proportions. The boundaries of the congressional districts are then redrawn by state legislatures in accordance with state and federal law. Redistricting is the revision or replacement of existing districts, resulting in new districts with different geographical boundaries. The basic purpose of decennial redistricting is to equalize population among electoral districts after publication of the United States census indicates an increase or decrease in or shift of population. The Texas Constitution requires the legislature to redistrict Texas house and senate seats during its first regular session following publication of each United States decennial census (Section 28, Article III). After each census, State Board of Education seats also must be redistricted to bring them into compliance with the one-person, one-vote requirement. Although the formal redistricting process under the Texas Constitution may remain the same, every decade sees a different, often unpredictable, path for state redistricting plans, depending on legislative, gubernatorial, Legislative Redistricting Board, and judicial action. The history of the redistricting process during the 1980s, 1990s, 2000s, and 2010s illustrates some of the different courses decennial redistricting can take. The timing and legal requirements, however, dictate that the basic process generally takes the following course, which is described in more detail in the associated sections. Federal census population data is delivered to the legislature no later than April 1 of the year following the decennial census, and the data is usually provided several weeks earlier. As soon as the census data is verified and loaded in the computer systems, the members of the legislature and other interested parties begin drawing plans. Bills to enact new state redistricting plans follow the same path through the legislature as other legislation. If Texas senate or house districts are not enacted during the first regular session following the publication of the decennial census, the Texas Constitution requires that the Legislative Redistricting Board (LRB), a five-member body of state officials including the lieutenant governor and speaker, meet and adopt its own plan. The LRB has jurisdiction only in the months immediately following that regular session. If congressional or State Board of Education districts are not enacted during the regular session, the governor may call a special session to consider the matter. If the governor does not call a special session, then a state or federal district court likely will issue court-ordered plans. Similarly, if the legislature and LRB fail to adopt a state senate or state house plan, a court will likely issue a plan to fill the void. A suit challenging an adopted redistricting plan may be brought at any time under the federal or state constitution or federal law. Before 2013, Texas and certain other states were required to obtain federal preclearance of any redistricting plans before they could be implemented. In 2013, the applicable provision of the federal Voting Rights Act was held invalid by the U.S. Supreme Court in Shelby County v. Holder. The filing deadline for primary elections established by the Texas Election Code allows approximately six and one-half months from the end of the regular legislative session for the governor to act on any redistricting legislation passed, for the LRB to meet if necessary, for any special session called to consider redistricting if necessary, for court action, and for counties to make necessary changes in county election precincts. Controversies There are conflicting opinions regarding the correlation between partisan gerrymandering and electoral competitiveness. In 2012, Jennifer Clark, a political science professor at the University of Houston, said, “The redistricting process has important consequences for voters. In some states, incumbent legislators work together to protect their own seats, which produces less competition in the political system. Voters may feel as though they do not have a meaningful alternative to the incumbent legislator. Legislators who lack competition in their districts have less incentive to adhere to their constituents’ opinions. Section 2 of the Voting Rights Act of 1965 mandates that electoral district lines cannot be drawn in such a manner as to “improperly dilute minorities’ voting power.” No voting qualification or prerequisite to voting, or standard, practice, or procedure shall be imposed or applied by any State or political subdivision to deny or abridge the right of any citizen of the United States to vote on account of race or color. States and other political subdivisions may create majority-minority districts in order to comply with Section 2 of the Voting Rights Act. A majority-minority district is a district in which minority groups compose a majority of the district’s total population. As of 2015, Texas was home to 18 congressional majority-minority districts. Proponents of majority-minority districts maintain that these districts are a necessary hindrance to the practice of cracking, which occurs when a constituency is divided between several districts in order to prevent it from achieving a majority in any one district. In addition, supporters argue that the drawing of majority-minority districts has resulted in an increased number of minority representatives in state legislatures and Congress. Critics, meanwhile, contend that the establishment of majority-minority districts can result in packing, which occurs when a constituency or voting group is placed within a single district, thereby minimizing its influence in other districts. Because minority groups tend to vote Democratic, critics argue that majority-minority districts ultimately present an unfair advantage to Republicans by consolidating Democratic votes into a smaller number of districts. Current District Maps View current district maps at Texas Redistricting website, where you can use the DistrictViewer software. Senate Elections at the Beginning of a New Decade Each senator serves a four-year term and one-half of the Senate membership is elected every two years in even-numbered years, with the exception that all the Senate seats are up for election for the first legislature following the decennial census in order to reflect the newly redrawn districts. After the initial election, the Senate is divided by lot into two classes, with one class having a re-election after two years and the other having a re-election after four years. This process protects the Senate’s membership and the Senate as an institution serving as the more elite legislative chamber during normal (i.e., not at the beginning of new decade) election cycles. Licenses and Attributions CC LICENSED CONTENT, ORIGINAL Revision and Adaptation. Authored by: Kris S. Seago. License: CC BY: Attribution Revision and Adaptation: Structure and Function of the Texas Legislature. Authored by: John Osterman. License: CC BY: Attribution	oercommons	2025-03-18T00:38:53.641696	null	{ "license": "Creative Commons - Attribution - https://creativecommons.org/licenses/by/4.0/", "url": "https://oercommons.org/courseware/lesson/66271/overview", "title": "Texas Government 2.0, The Texas Legislature", "author": null }
https://oercommons.org/courseware/lesson/66272/overview	Qualifications for Service in the Texas Legislature Overview Qualifications for Service in the Texas Legislature Learning Objective By the end of this section, you will be able to: - Discuss the qualifications for service in the Texas State Legislature Introduction This section describes the qualifications for service and terms of office for Texas State Legislators. Qualifications for Service in the Legislature The following are the legal requirements in order for someone to meet the qualifications to become a member of the Texas Legislature. Texas Representative (House) U.S. Citizen 2 years as a resident of Texas 12 months as a resident of their District At least 21 years old 2 year terms with unlimited terms, no term limit Texas Senator - U.S. Citizen - 5 years as a resident of Texas - 12 months as a resident of their District - At least 26 years old - 4-year terms with unlimited terms, no term limit Licenses and Attributions CC LICENSED CONTENT, ORIGINAL Revision and Adaptation. Authored by: Kris S. Seago. License: CC BY: Attribution Revision and Adaptation: Membership in the Texas Legislature. Authored by: John Osterman. License: CC BY: Attribution	oercommons	2025-03-18T00:38:53.662788	null	{ "license": "Creative Commons - Attribution - https://creativecommons.org/licenses/by/4.0/", "url": "https://oercommons.org/courseware/lesson/66272/overview", "title": "Texas Government 2.0, The Texas Legislature", "author": null }
https://oercommons.org/courseware/lesson/66273/overview	Demographic Composition of the Texas State Legislature Overview Demographic Composition of the Texas State Legislature Learning Objective At the end of this section, you will be able to: - Discuss the demographic composition of the Texas House of Representatives and the Texas Senate Introduction This section describes the demgraphic composition of the Texas House of Representatives and the Texas Senate General Description: Pale, Male, and Stale It’s often been said the Texas State Legislature is “pale, male, and stale.” This may not be quite as accurate as in the past, but the Texas State Legislature is predominantly white, male, and middle-aged, making it far less diverse than Texas as a whole. Descriptive data on the composition of the Texas State Legislature is available at the Legislative Reference Library. Partisan Makeup The Republican Party controls both the Texas State House of Representatives and the Texas State Senate: The Texas State House of Representatives currently has 83 Republicans and 67 Democrats. The Texas State Senate currently has 18 Republicans and 13 Democrats. Gender Makeup The Texas State Legislature is predominantly male. Although their overall count is growing, women remain incredibly outnumbered in the 87th Texas Legislature— just 48 of 181 seats in the House and Senate are currently held by women. Approximately 25% of the Texas State House of Representatives is female (112 males, 38 females) Approximately 32% of the Texas State Senate is female (21 males, 10 females) Taken together, only 27% of the total membership of the Texas State Legislature is female (48 of 181 total members). Notably, with the addition of Democrats Julie Johnson, Jessica González, and Erin Zwiener to the 86th Legislature in 2019, the number of legislators who identify as members of the LGBT community increased from two to five. Age Distribution Description \| House Members \| Senate Members \| Total \| Under 30 \| 0 \| 0 \| 0 \| 30 - 39 \| 16 \| 0 \| 16 \| 40 - 49 \| 43 \| 1 \| 44 \| 50 - 59 \| 44 \| 15 \| 59 \| 60 - 69 \| 29 \| 7 \| 36 \| 70 and over \| 17 \| 8 \| 2 \| Licenses and Attributions CC LICENSED CONTENT, ORIGINAL Revision and Adaptation. Authored by: Kris S. Seago. License: CC BY: Attribution Revision and Adaptation: Composition of Texas Legislature. Authored by: John Osterman. License: CC BY: Attribution	oercommons	2025-03-18T00:38:53.694181	null	{ "license": "Creative Commons - Attribution - https://creativecommons.org/licenses/by/4.0/", "url": "https://oercommons.org/courseware/lesson/66273/overview", "title": "Texas Government 2.0, The Texas Legislature", "author": null }
https://oercommons.org/courseware/lesson/66274/overview	The Legislative Process Overview The Legislative Process Learning Objectives By the end of this section, you will be able to: - Analyze the Texas legislative process (aka How a Bill Becomes a Law) Introduction This section discusses the Texas legislative process. How do Legislators Make Decisions? The people we elect to be lawmakers determines the rules we have to live by. So, it is good for us to understand what influences the decisions of lawmakers. Unfortunately, we can't know for sure. We would like to believe that whatever they promised on the campaign trail will be what they deliver on in office. That is often not the case. We know that public opinion polls sometimes reflect how lawmakers will decide to vote on issues. We also know that interest groups play a role in how decisions are made. One of the biggest factors is probably political ideology. Is the politician a conservative or a liberal? Or, partisanship might be a factor. Is the politician a Republican or a Democrat? At the end of the day, it is for us to determine whether we believe that politicians are doing the right thing regardless of the influences on their decisions. Setting the Stage and Making the Rules The legislature meets every odd-numbered year to write new laws and to find solutions to the problems facing the state. This meeting time, which begins on the second Tuesday in January and lasts 140 days, is called the regular session. The governor can direct the legislature to meet at other times also. These meetings, called special sessions, can last no more than 30 days and deal only with issues chosen by the governor. On the first day of each regular session, the 150 members of the House of Representatives choose one of their members to be the Speaker of the House. The speaker is the presiding officer of the House. The Speaker maintains order, recognizes members to speak during debate, and rules on procedural matters. The Speaker also appoints the chairs and vice chairs of the committees that study legislation and decides which other representatives will serve on those committees, subject to seniority rules. There are 31 committees, each of which deals with a different subject area, and five committees that deal with procedural or administrative matters for the house. Most members serve on two or three different committees. In the Senate, the presiding officer is the Lieutenant Governor, who is not actually a member of the Senate. The Lieutenant Governor is the second-highest-ranking officer of the executive branch of government and, like the Governor, is chosen for a four-year term by popular vote in a statewide election. The first thing that the Speaker of the House and the Lieutenant Governor ask their respective chambers to do is to decide on the rules that the legislators will follow during the session. Some legislative procedures are provided for in the state constitution, but additional rules can be adopted by a house of the legislature if approved by a majority vote of its members. Once rules have been adopted, the legislature begins to consider bills. Introducing a Bill A representative or senator gets an idea for a bill by listening to the people he or she represents and then working to solve their problem. A bill may also grow out of the recommendations of an interim committee study conducted when the legislature is not in session. The idea is researched to determine what state law needs to be changed or created to best solve that problem. A bill is then drafted by the legislator, often with the help of an interest group and with legal assistance from the Texas Legislative Council, a legislative agency that provides bill drafting services, research assistance, computer support, and other services for legislators. Once a bill has been written, it is introduced by a member of the House or Senate in the member’s own chamber. Sometimes, similar bills about a particular issue are introduced in both chambers at the same time by a representative and senator working together. However, any bill increasing taxes or raising money for use by the state must start in the House of Representatives. Representatives and senators can introduce bills on any subject during the first 60 calendar days of a regular session. After 60 days, the introduction of any bill other than a local bill or a bill related to an emergency declared by the governor requires the consent of at least four-fifths of the members present and voting in the house or four-fifths of the membership in the senate. After a bill has been introduced, a short description of the bill, called a caption, is read aloud while the chamber is in session so that all of the members are aware of the bill and its subject. This is called the first reading, and it is the point in the process where the presiding officer assigns the bill to a committee. This assignment is announced on the chamber floor during the first reading of the bill. The Committee Process The chair of each committee decides when the committee will meet and which bills will be considered. The House rules permit a House committee or subcommittee to meet: (1) in a public hearing where testimony is heard and where official action may be taken on bills, resolutions, or other matters; (2) in a formal meeting where the members may discuss and take official action without hearing public testimony; or (3) in a work session for discussion of matters before the committee without taking formal action. In the Senate, testimony may be heard and official action may be taken at any meeting of a Senate committee or subcommittee. Public testimony is almost always solicited on bills, allowing citizens the opportunity to present arguments on different sides of an issue. A House committee or subcommittee holding a public hearing during a legislative session must post notice of the hearing at least five calendar days before the hearing during a regular session and at least 24 hours in advance during a special session. For a formal meeting or a work session, written notice must be posted and sent to each member of the committee two hours in advance of the meeting or an announcement must be filed with the journal clerk and read while the House is in session. A Senate committee or subcommittee must post notice of a meeting at least 24 hours before the meeting. After considering a bill, a committee may choose to take no action or may issue a report on the bill. The committee report, expressing the committee’s recommendations regarding action on a bill, includes a record of the committee’s vote on the report, the text of the bill as reported by the committee, a detailed bill analysis, and a fiscal note or other impact statement, as necessary. The report is then printed, and a copy is distributed to every member of the house or senate. In the House, a copy of the committee report is sent to either the Committee on Calendars or the Committee on Local and Consent Calendars for placement on a calendar for consideration by the full house. In the Senate, local and noncontroversial bills are scheduled for senate consideration by the Senate Administration Committee. All other bills in the Senate are placed on the regular order of business for consideration by the full Senate in the order in which the bills were reported from the Senate committee. At the beginning of each legislative session, a “blocker bill” is placed on the regular order of business. This bill will never be brought to the floor for action. Consequently, unless the sponsor of the bill has talked to the president of the Senate, indicating intent to suspend the rules and bring a bill to the floor, the bill will not be considered. Thus, the president of the Senate maintains a so-called “intent calendar,” which determines the order of business in the Senate. In 2021, the Senate Rules required a vote of 18 members to suspend the rules so that a bill on the intent calendar could be considered on the floor. Floor Action Floor Debate When a bill comes up for consideration by the full House or Senate, it receives its second reading. The bill is read, again by caption only, and then debated by the full membership of the chamber. Any member may offer an amendment, but it must be approved by a majority of the members present and voting to be adopted. The members then vote on whether to pass the bill. The bill is then considered by the full body again on the third reading and final passage. A bill may be amended again on the third reading, but amendments at this stage require a two-thirds majority for adoption. Although the Texas Constitution requires a bill to be read on three separate days in each chamber before it can become law, this constitutional requirement may be suspended by a four-fifths vote of the chamber in which the bill is pending. The Senate routinely suspends this provision in order to give a bill a third reading immediately after its adopted on second reading. The House rarely suspends this provision. However, since the readings are required on three separate legislative days, the House can recess at the end of one calendar day, reconvene the next calendar day, pass a bill on second reading, then adjourn. During the same calendar day, the House can convene a new legislative day, pass the bill on third reading, and the constitutional requirement is met even though the bill was read twice on the same calendar day. This is especially important at the end of the regular legislative session. Voting on the Floor In either chamber, a bill may be passed on a voice vote or a record vote. In the House, record votes are tallied by an electronic vote board controlled by buttons on each member’s desk. In the Senate, record votes are taken by calling the roll of the members. If a bill receives a majority vote on third reading, it is considered passed. When a bill is passed in the house where it originated, the bill is engrossed, and a new copy of the bill which incorporates all corrections and amendments is prepared and sent to the opposite chamber for consideration. In the second house, the bill follows basically the same steps it followed in the first house. When the bill is passed in the opposite house, it is returned to the originating chamber with any amendments that have been adopted simply attached to the bill. Action on the Other Chamber's Amendments and Conference Committees The Texas Constitution requires a bill to pass both chambers in identical form. Consequently, if a bill is returned to the originating chamber with amendments, the originating chamber can either agree to the amendments or request a conference committee to work out differences between the House and Senate version. If the amendments are agreed to, the bill is put in final form, signed by the presiding officers, and sent to the governor. Conference committees are composed of five members from each house appointed by the presiding officers. Once the conference committee reaches agreement, a conference committee report is prepared and must be approved by at least three of the five conferees from each house. Conference committee reports are voted on in each house and must be approved or rejected without amendment. If approved by both chambers, the bill is signed by the presiding officers and sent to the governor. Governor’s Action Upon receiving a bill, the governor has 10 days in which to sign the bill, veto it, or allow it to become law without a signature. If the governor vetoes the bill and the legislature is still in session, the bill is returned to the house in which it originated with an explanation of the governor’s objections. A two-thirds majority in each house is required to override the veto. If the governor neither vetoes nor signs the bill within 10 days, the bill becomes a law. If a bill is sent to the governor within 10 days of final adjournment, the governor has until 20 days after final adjournment to sign the bill, veto it, or allow it to become law without a signature. At this point, the governor’s veto is absolute since the legislature has adjourned, and only the governor can call the legislature back for a special session. Enactment (When Laws Go Into Effect) Any bill passed by the Legislature takes effect 90 days after its passage unless two-thirds of each house votes to give the bill either immediate effect or earlier effect. The Legislature may provide for an effective date that is after the 90th day. Under current legislative practice, most bills are given an effective date of September 1 in odd-numbered years (September 1 is the start of the state’s fiscal year). Basic Steps in the Texas Legislative Process (Diagram) Constitutional Amendments Proposed amendments to the Texas Constitution are in the form of joint resolutions instead of bills and require a vote of two-thirds of the entire membership in each house for adoption. Joint resolutions are not sent to the governor for approval, but are filed directly with the secretary of state. A joint resolution proposing an amendment to the Texas Constitution does not become effective until it is approved by a simple majority of Texas voters in a general election. Link to Learning Want to Get Involved? Check out the Citizen Handbook the Secretary of the Senate, which includes information on the legislative process in Texas, advocacy etiquette, and guidelines. The Texas Legislative Council has provided a detailed description of the legislative process in Texas. You may research past and current legislation at the Texas Legislature Online. Licensing and Attribution CC LICENSED CONTENT, ORIGINAL Revision and Adaptation. Authored by: Kris S. Seago. License: CC BY: Attribution PUBLIC DOMAIN CONTENT How a Bill Becomes a Law. Authored by: Texas House of Representatives. Located at: https://house.texas.gov/about-us/bill/ License: Public Domain: No Known	oercommons	2025-03-18T00:38:53.728921	null	{ "license": "Creative Commons - Attribution - https://creativecommons.org/licenses/by/4.0/", "url": "https://oercommons.org/courseware/lesson/66274/overview", "title": "Texas Government 2.0, The Texas Legislature", "author": null }
https://oercommons.org/courseware/lesson/66275/overview	Compensation, Privileges, and Immunities Overview Compensation, Privileges, and Immunities Learning Objectives By the end of this section, you will be able to: - Discuss the basic compensation, privileges, and immunities of Texas legislators Introduction This section describes the basic compensation, privileges, and immunities of Texas legislators Compensation Salary State legislators in Texas make $600 per month or $7,200 per year, plus a per diem set by the Ethics Commission in Rule 50.1. The per diem in the 2021-2022 biennium was $221 for every day the Legislature is in session (regular or special). This adds up to a total of $38,140 in a year with a regular session ($7200 salary plus $30,940 per diem), and a two-year term paying a total of $45,340 ($14,400 salary plus $30,940 per diem). Retirement Options Legislators receive a pension after eight years of service, starting at age 60. A legislator’s pension is based not on a legislator’s salary of $600 a month, but on the current salary of a Texas state district court judge—a base salary of $140,000 per year. Legislative Immunities The Texas Constitution grants two types of immunities to Texas state legislators. One protects speech and debate. The other prevents or limits arrest during the legislative session. Speech and Debate Immunities The Texas Constitution (Article III, Section 21) grants Texas state legislators a fundamental protection of free speech and debate. This immunity protects legislators from punitive executive or judicial action. The intent is to allow lawmakers to work independently and unimpeded by the threat of intervention from the other branches of government in the discharge of their legislative duties. Arrest Immunities Texas state legislators are also protected from arrest traveling to and from and during legislative sessions. Exceptions include treason, felony, or breach of the peace. Licenses and Attributions CC LICENSED CONTENT, ORIGINAL Revision and Adaptation. Authored by: Kris S. Seago. License: CC BY: Attribution	oercommons	2025-03-18T00:38:53.748340	null	{ "license": "Creative Commons - Attribution - https://creativecommons.org/licenses/by/4.0/", "url": "https://oercommons.org/courseware/lesson/66275/overview", "title": "Texas Government 2.0, The Texas Legislature", "author": null }
https://oercommons.org/courseware/lesson/66276/overview	Glossary Overview Glossary Glossary: The Texas Legislature biennial sessions: In Texas, legislative sessions meet once every odd-numbered years, for 140 days bill: a proposed law that has been sponsored by a member of the legislature and submitted to the clerk of the House or Senate cracking: occurs when a constituency is divided between several districts in order to prevent it from achieving a majority in any one district. gerrymandering: the process in which voting districts are redrawn in a way to favor one party during elections legislative budget: the state budget that is prepared and submitted by the Legislative Budget Board (LBB) and that is fully considered by the House and Senate packing: occurs when a constituency or voting group is placed within a single district, thereby minimizing its influence in other districts. redistricting: the process of redrawing election districts and redistributing legislative representatives in the Texas House, Texas Senate, and U.S. House. Redistricting typically occurs every 10 years to reflect shifts in population or in response to legal challenges in existing districts single-member district: a district in which one official is elected rather than multiple officials. special session: a legislative session called by the governor that addresses an agenda set by him or her; lasts no longer than 30 days Voting Rights Act of 1965: mandates that electoral district lines cannot be drawn in such a manner as to “improperly dilute minorities’ voting power” License and Attribution CC LICENSED CONTENT, ORIGINAL The Texas Legislature: Glossary. Authored by: John Osterman. License: CC BY: Attribution	oercommons	2025-03-18T00:38:53.764790	null	{ "license": "Creative Commons - Attribution - https://creativecommons.org/licenses/by/4.0/", "url": "https://oercommons.org/courseware/lesson/66276/overview", "title": "Texas Government 2.0, The Texas Legislature", "author": null }
https://oercommons.org/courseware/lesson/66277/overview	Assessment Overview This is a quiz for Chapter Three. Texas Government Chapter Three Quiz Check your knowledge of Chapter Three by taking the quiz linked below. The quiz will open in a new browser window or tab. This is a quiz for Chapter Three. Check your knowledge of Chapter Three by taking the quiz linked below. The quiz will open in a new browser window or tab.	oercommons	2025-03-18T00:38:53.781655	null	{ "license": "Creative Commons - Attribution - https://creativecommons.org/licenses/by/4.0/", "url": "https://oercommons.org/courseware/lesson/66277/overview", "title": "Texas Government 2.0, The Texas Legislature", "author": null }
https://oercommons.org/courseware/lesson/15271/overview	Introduction What does the word “bureaucracy” conjure in your mind? For many, it evokes inefficiency, corruption, red tape, and government overreach (Figure). For others, it triggers very different images—of professionalism, helpful and responsive service, and government management. Your experience with bureaucrats and the administration of government probably informs your response to the term. The ability of bureaucracy to inspire both revulsion and admiration is one of several features that make it a fascinating object of study. More than that, the many arms of the federal bureaucracy, often considered the fourth branch of government, are valuable components of the federal system. Without this administrative structure, staffed by nonelected workers who possess particular expertise to carry out their jobs, government could not function the way citizens need it to. That does not mean, however, that bureaucracies are perfect. What roles do professional government employees carry out? Who are they, and how and why do they acquire their jobs? How do they run the programs of government enacted by elected leaders? Who makes the rules of a bureaucracy? This chapter uncovers the answers to these questions and many more.	oercommons	2025-03-18T00:38:53.795612	null	{ "license": "Creative Commons - Attribution - https://creativecommons.org/licenses/by/4.0/", "url": "https://oercommons.org/courseware/lesson/15271/overview", "title": "American Government, The Outputs of Government", "author": null }
https://oercommons.org/courseware/lesson/15272/overview	Bureaucracy and the Evolution of Public Administration Learning Objectives By the end of this section, you will be able to: - Define bureaucracy and bureaucrat - Describe the evolution and growth of public administration in the United States - Identify the reasons people undertake civil service Throughout history, both small and large nations have elevated certain types of nonelected workers to positions of relative power within the governmental structure. Collectively, these essential workers are called the bureaucracy. A bureaucracy is an administrative group of nonelected officials charged with carrying out functions connected to a series of policies and programs. In the United States, the bureaucracy began as a very small collection of individuals. Over time, however, it grew to be a major force in political affairs. Indeed, it grew so large that politicians in modern times have ridiculed it to great political advantage. However, the country’s many bureaucrats or civil servants, the individuals who work in the bureaucracy, fill necessary and even instrumental roles in every area of government: from high-level positions in foreign affairs and intelligence collection agencies to clerks and staff in the smallest regulatory agencies. They are hired, or sometimes appointed, for their expertise in carrying out the functions and programs of the government. WHAT DOES A BUREAUCRACY DO? Modern society relies on the effective functioning of government to provide public goods, enhance quality of life, and stimulate economic growth. The activities by which government achieves these functions include—but are not limited to—taxation, homeland security, immigration, foreign affairs, and education. The more society grows and the need for government services expands, the more challenging bureaucratic management and public administration becomes. Public administration is both the implementation of public policy in government bureaucracies and the academic study that prepares civil servants for work in those organizations. The classic version of a bureaucracy is hierarchical and can be described by an organizational chart that outlines the separation of tasks and worker specialization while also establishing a clear unity of command by assigning each employee to only one boss. Moreover, the classic bureaucracy employs a division of labor under which work is separated into smaller tasks assigned to different people or groups. Given this definition, bureaucracy is not unique to government but is also found in the private and nonprofit sectors. That is, almost all organizations are bureaucratic regardless of their scope and size; although public and private organizations differ in some important ways. For example, while private organizations are responsible to a superior authority such as an owner, board of directors, or shareholders, federal governmental organizations answer equally to the president, Congress, the courts, and ultimately the public. The underlying goals of private and public organizations also differ. While private organizations seek to survive by controlling costs, increasing market share, and realizing a profit, public organizations find it more difficult to measure the elusive goal of operating with efficiency and effectiveness. To learn more about the practice of public administration and opportunities to get involved in your local community, explore the American Society for Public Administration website. Bureaucracy may seem like a modern invention, but bureaucrats have served in governments for nearly as long as governments have existed. Archaeologists and historians point to the sometimes elaborate bureaucratic systems of the ancient world, from the Egyptian scribes who recorded inventories to the biblical tax collectors who kept the wheels of government well greased.For general information on ancient bureaucracies see Amanda Summer. 2012. “The Birth of Bureaucracy”. Archaeology 65, No. 4: 33–39; Clyde Curry Smith. 1977. “The Birth of Bureaucracy”. The Bible Archaeologist 40, No. 1: 24–28; Ronald J. Williams. 1972. “Scribal Training in Ancient Egypt,” Journal of the American Oriental Society 92, No. 2: 214–21. In Europe, government bureaucracy and its study emerged before democracies did. In contrast, in the United States, a democracy and the Constitution came first, followed by the development of national governmental organizations as needed, and then finally the study of U.S. government bureaucracies and public administration emerged.Richard Stillman. 2009. Public Administration: Concepts and Cases. 9th edition. Boston: Wadsworth Cengage Learning. In fact, the long pedigree of bureaucracy is an enduring testament to the necessity of administrative organization. More recently, modern bureaucratic management emerged in the eighteenth century from Scottish economist Adam Smith’s support for the efficiency of the division of labor and from Welsh reformer Robert Owen’s belief that employees are vital instruments in the functioning of an organization. However, it was not until the mid-1800s that the German scholar Lorenz von Stein argued for public administration as both a theory and a practice since its knowledge is generated and evaluated through the process of gathering evidence. For example, a public administration scholar might gather data to see whether the timing of tax collection during a particular season might lead to higher compliance or returns. Credited with being the father of the science of public administration, von Stein opened the path of administrative enlightenment for other scholars in industrialized nations. THE ORIGINS OF THE U.S. BUREAUCRACY In the early U.S. republic, the bureaucracy was quite small. This is understandable since the American Revolution was largely a revolt against executive power and the British imperial administrative order. Nevertheless, while neither the word “bureaucracy” nor its synonyms appear in the text of the Constitution, the document does establish a few broad channels through which the emerging government could develop the necessary bureaucratic administration. For example, Article II, Section 2, provides the president the power to appoint officers and department heads. In the following section, the president is further empowered to see that the laws are “faithfully executed.” More specifically, Article I, Section 8, empowers Congress to establish a post office, build roads, regulate commerce, coin money, and regulate the value of money. Granting the president and Congress such responsibilities appears to anticipate a bureaucracy of some size. Yet the design of the bureaucracy is not described, and it does not occupy its own section of the Constitution as bureaucracy often does in other countries’ governing documents; the design and form were left to be established in practice. Under President George Washington, the bureaucracy remained small enough to accomplish only the necessary tasks at hand.For the early origins of the U.S. bureaucracy see Michael Nelson. 1982. “A Short, Ironic History of American National Bureaucracy,” The Journal of Politics 44 No. 3: 747–78. Washington’s tenure saw the creation of the Department of State to oversee international issues, the Department of the Treasury to control coinage, and the Department of War to administer the armed forces. The employees within these three departments, in addition to the growing postal service, constituted the major portion of the federal bureaucracy for the first three decades of the republic (Figure). Two developments, however, contributed to the growth of the bureaucracy well beyond these humble beginnings. The first development was the rise of centralized party politics in the 1820s. Under President Andrew Jackson, many thousands of party loyalists filled the ranks of the bureaucratic offices around the country. This was the beginning of the spoils system, in which political appointments were transformed into political patronage doled out by the president on the basis of party loyalty.Daniel Walker Howe. 2007. What Hath God Wrought: The Transformation of America, 1815-1848. Oxford: Oxford University Press, 334. Political patronage is the use of state resources to reward individuals for their political support. The term “spoils” here refers to paid positions in the U.S. government. As the saying goes, “to the victor,” in this case the incoming president, “go the spoils.” It was assumed that government would work far more efficiently if the key federal posts were occupied by those already supportive of the president and his policies. This system served to enforce party loyalty by tying the livelihoods of the party faithful to the success or failure of the party. The number of federal posts the president sought to use as appropriate rewards for supporters swelled over the following decades. The second development was industrialization, which in the late nineteenth century significantly increased both the population and economic size of the United States. These changes in turn brought about urban growth in a number of places across the East and Midwest. Railroads and telegraph lines drew the country together and increased the potential for federal centralization. The government and its bureaucracy were closely involved in creating concessions for and providing land to the western railways stretching across the plains and beyond the Rocky Mountains. These changes set the groundwork for the regulatory framework that emerged in the early twentieth century. THE FALL OF POLITICAL PATRONAGE Patronage had the advantage of putting political loyalty to work by making the government quite responsive to the electorate and keeping election turnout robust because so much was at stake. However, the spoils system also had a number of obvious disadvantages. It was a reciprocal system. Clients who wanted positions in the civil service pledged their political loyalty to a particular patron who then provided them with their desired positions. These arrangements directed the power and resources of government toward perpetuating the reward system. They replaced the system that early presidents like Thomas Jefferson had fostered, in which the country’s intellectual and economic elite rose to the highest levels of the federal bureaucracy based on their relative merit.Jack Ladinsky. 1966. “Review of Status and Kinship in the Higher Civil Service: Standards of Selection in the Administrations of John Adams, Thomas Jefferson, and Andrew Jackson,” American Sociological Review 31 No. 6: 863–64. Criticism of the spoils system grew, especially in the mid-1870s, after numerous scandals rocked the administration of President Ulysses S. Grant (Figure). As the negative aspects of political patronage continued to infect bureaucracy in the late nineteenth century, calls for civil service reform grew louder. Those supporting the patronage system held that their positions were well earned; those who condemned it argued that federal legislation was needed to ensure jobs were awarded on the basis of merit. Eventually, after President James Garfield had been assassinated by a disappointed office seeker (Figure), Congress responded to cries for reform with the Pendleton Act, also called the Civil Service Reform Act of 1883. The act established the Civil Service Commission, a centralized agency charged with ensuring that the federal government’s selection, retention, and promotion practices were based on open, competitive examinations in a merit system.For more on the Pendleton Act and its effects see Sean M. Theriault. 2003. “Patronage, the Pendleton Act, and the Power of the People,” The Journal of Politics 65 No. 1: 50–68; Craig V. D. Thornton. 1983. “Review of Centenary Issues of the Pendleton Act of 1883: The Problematic Legacy of Civil Service Reform,” Journal of Policy Analysis and Management 2 No. 4: 653–53. The passage of this law sparked a period of social activism and political reform that continued well into the twentieth century. As an active member and leader of the Progressive movement, President Woodrow Wilson is often considered the father of U.S. public administration. Born in Virginia and educated in history and political science at Johns Hopkins University, Wilson became a respected intellectual in his fields with an interest in public service and a profound sense of moralism. He was named president of Princeton University, became president of the American Political Science Association, was elected governor of New Jersey, and finally was elected the twenty-eighth president of the United States in 1912. It was through his educational training and vocational experiences that Wilson began to identify the need for a public administration discipline. He felt it was getting harder to run a constitutional government than to actually frame one. His stance was that “It is the object of administrative study to discover, first, what government can properly and successfully do, and, secondly, how it can do these proper things with the utmost efficiency. . .”Jack Rabin and James S. Bowman. 1984. “Politics and Administration: Woodrow Wilson and American Public Administration,” Public Administration and Public Policy; 22: 104. Wilson declared that while politics does set tasks for administration, public administration should be built on a science of management, and political science should be concerned with the way governments are administered. Therefore, administrative activities should be devoid of political manipulations.For more on President Wilson’s efforts at reform see Kendrick A. Clements. 1998. “Woodrow Wilson and Administrative Reform,” Presidential Studies Quarterly 28 No. 2: 320–36; Larry Walker. 1989. “Woodrow Wilson, Progressive Reform, and Public Administration,” Political Science Quarterly 104, No. 3: 509–25. Wilson advocated separating politics from administration by three key means: making comparative analyses of public and private organizations, improving efficiency with business-like practices, and increasing effectiveness through management and training. Wilson’s point was that while politics should be kept separate from administration, administration should not be insensitive to public opinion. Rather, the bureaucracy should act with a sense of vigor to understand and appreciate public opinion. Still, Wilson acknowledged that the separation of politics from administration was an ideal and not necessarily an achievable reality. THE BUREAUCRACY COMES OF AGE The late nineteenth and early twentieth centuries were a time of great bureaucratic growth in the United States: The Interstate Commerce Commission was established in 1887, the Federal Reserve Board in 1913, the Federal Trade Commission in 1914, and the Federal Power Commission in 1920. With the onset of the Great Depression in 1929, the United States faced record levels of unemployment and the associated fall into poverty, food shortages, and general desperation. When the Republican president and Congress were not seen as moving aggressively enough to fix the situation, the Democrats won the 1932 election in overwhelming fashion. President Franklin D. Roosevelt and the U.S. Congress rapidly reorganized the government’s problem-solving efforts into a series of programs designed to revive the economy, stimulate economic development, and generate employment opportunities. In the 1930s, the federal bureaucracy grew with the addition of the Federal Deposit Insurance Corporation to protect and regulate U.S. banking, the National Labor Relations Board to regulate the way companies could treat their workers, the Securities and Exchange Commission to regulate the stock market, and the Civil Aeronautics Board to regulate air travel. Additional programs and institutions emerged with the Social Security Administration in 1935 and then, during World War II, various wartime boards and agencies. By 1940, approximately 700,000 U.S. workers were employed in the federal bureaucracy.https://www.opm.gov/policy-data-oversight/data-analysis-documentation/federal-employment-reports/historical-tables/executive-branch-civilian-employment-since-1940/ (May 15, 2016). Under President Lyndon B. Johnson in the 1960s, that number reached 2.2 million, and the federal budget increased to $332 billion.https://www.opm.gov/policy-data-oversight/data-analysis-documentation/federal-employment-reports/historical-tables/total-government-employment-since-1962 (May 15, 2016). This growth came as a result of what Johnson called his Great Society program, intended to use the power of government to relieve suffering and accomplish social good. The Economic Opportunity Act of 1964 was designed to help end poverty by creating a Job Corps and a Neighborhood Youth Corps. Volunteers in Service to America was a type of domestic Peace Corps intended to relieve the effects of poverty. Johnson also directed more funding to public education, created Medicare as a national insurance program for the elderly, and raised standards for consumer products. All of these new programs required bureaucrats to run them, and the national bureaucracy naturally ballooned. Its size became a rallying cry for conservatives, who eventually elected Ronald Reagan president for the express purpose of reducing the bureaucracy. While Reagan was able to work with Congress to reduce some aspects of the federal bureaucracy, he contributed to its expansion in other ways, particularly in his efforts to fight the Cold War.For more on LBJ and the Great Society see: John A. Andrew. 1998. Lyndon Johnson and the Great Society. Chicago: Ivan R Dee; Julian E. Zelizer. 2015. The Fierce Urgency of Now: Lyndon Johnson, Congress, and the Battle for the Great Society. New York: Penguin Press. For example, Reagan and Congress increased the defense budget dramatically over the course of the 1980s.John Mikesell. 2014. Fiscal Administration, 9th ed. Boston: Cengage. “The Nine Most Terrifying Words in the English Language” The two periods of increased bureaucratic growth in the United States, the 1930s and the 1960s, accomplished far more than expanding the size of government. They transformed politics in ways that continue to shape political debate today. While the bureaucracies created in these two periods served important purposes, many at that time and even now argue that the expansion came with unacceptable costs, particularly economic costs. The common argument that bureaucratic regulation smothers capitalist innovation was especially powerful in the Cold War environment of the 1960s, 70s, and 80s. But as long as voters felt they were benefiting from the bureaucratic expansion, as they typically did, the political winds supported continued growth. In the 1970s, however, Germany and Japan were thriving economies in positions to compete with U.S. industry. This competition, combined with technological advances and the beginnings of computerization, began to eat away at American prosperity. Factories began to close, wages began to stagnate, inflation climbed, and the future seemed a little less bright. In this environment, tax-paying workers were less likely to support generous welfare programs designed to end poverty. They felt these bureaucratic programs were adding to their misery in order to support unknown others. In his first and unsuccessful presidential bid in 1976, Ronald Reagan, a skilled politician and governor of California, stoked working-class anxieties by directing voters’ discontent at the bureaucratic dragon he proposed to slay. When he ran again four years later, his criticism of bureaucratic waste in Washington carried him to a landslide victory. While it is debatable whether Reagan actually reduced the size of government, he continued to wield rhetoric about bureaucratic waste to great political advantage. Even as late as 1986, he continued to rail against the Washington bureaucracy (Figure), once declaring famously that “the nine most terrifying words in the English language are: I’m from the government, and I’m here to help.” Why might people be more sympathetic to bureaucratic growth during periods of prosperity? In what way do modern politicians continue to stir up popular animosity against bureaucracy to political advantage? Is it effective? Why or why not? Summary During the post-Jacksonian era of the nineteenth century, the common charge against the bureaucracy was that it was overly political and corrupt. This changed in the 1880s as the United States began to create a modern civil service. The civil service grew once again in Franklin D. Roosevelt’s administration as he expanded government programs to combat the effects of the Great Depression. The most recent criticisms of the federal bureaucracy, notably under Ronald Reagan, emerged following the second great expansion of the federal government under Lyndon B Johnson in the 1960s. During George Washington’s administration, there were ________ cabinet positions. - four - five - six - seven Hint: A The “spoils system” allocated political appointments on the basis of ________. - merit - background - party loyalty - specialized education Two recent periods of large-scale bureaucratic expansion were ________. - the 1930s and the 1960s - the 1920s and the 1980s - the 1910s and the 1990s - the 1930s and the 1950s Hint: A Briefly explain the underlying reason for the emergence of the spoils system.	oercommons	2025-03-18T00:38:53.825561	null	{ "license": "Creative Commons - Attribution - https://creativecommons.org/licenses/by/4.0/", "url": "https://oercommons.org/courseware/lesson/15272/overview", "title": "American Government, The Outputs of Government", "author": null }
https://oercommons.org/courseware/lesson/15273/overview	Toward a Merit-Based Civil Service Learning Objectives By the end of this section, you will be able to: - Explain how the creation of the Civil Service Commission transformed the spoils system of the nineteenth century into a merit-based system of civil service - Understand how carefully regulated hiring and pay practices helps to maintain a merit-based civil service While the federal bureaucracy grew by leaps and bounds during the twentieth century, it also underwent a very different evolution. Beginning with the Pendleton Act in the 1880s, the bureaucracy shifted away from the spoils system toward a merit system. The distinction between these two forms of bureaucracy is crucial. The evolution toward a civil service in the United States had important functional consequences. Today the United States has a civil service that carefully regulates hiring practices and pay to create an environment in which, it is hoped, the best people to fulfill each civil service responsibility are the same people hired to fill those positions. THE CIVIL SERVICE COMMISSION The Pendleton Act of 1883 was not merely an important piece of reform legislation; it also established the foundations for the merit-based system that emerged in the decades that followed. It accomplished this through a number of important changes, although three elements stand out as especially significant. First, the law attempted to reduce the impact of politics on the civil service sector by making it illegal to fire or otherwise punish government workers for strictly political reasons. Second, the law raised the qualifications for employment in civil service positions by requiring applicants to pass exams designed to test their competence in a number of important skill and knowledge areas. Third, it allowed for the creation of the United States Civil Service Commission (CSC), which was charged with enforcing the elements of the law.United States Civil Service Commission. 1974. Biography of an Ideal: a history of the federal civil service. Washington, D.C.: Office of Public Affairs, U.S. Civil Service Commission. 40–44. The CSC, as created by the Pendleton Act, was to be made up of three commissioners, only two of whom could be from the same political party. These commissioners were given the responsibility of developing and applying the competitive examinations for civil service positions, ensuring that the civil service appointments were apportioned among the several states based on population, and seeing to it that no person in the public service is obligated to contribute to any political cause. The CSC was also charged with ensuring that all civil servants wait for a probationary period before being appointed and that no appointee uses his or her official authority to affect political changes either through coercion or influence. Both Congress and the president oversaw the CSC by requiring the commission to supply an annual report on its activities first to the president and then to Congress. In 1883, civil servants under the control of the commission amounted to about 10 percent of the entire government workforce. However, over the next few decades, this percentage increased dramatically. The effects on the government itself of both the law and the increase in the size of the civil service were huge. Presidents and representatives were no longer spending their days doling out or terminating appointments. Consequently, the many members of the civil service could no longer count on their political patrons for job security. Of course, job security was never guaranteed before the Pendleton Act because all positions were subject to the rise and fall of political parties. However, with civil service appointments no longer tied to partisan success, bureaucrats began to look to each other in order to create the job security the previous system had lacked. One of the most important ways they did this was by creating civil service organizations such as the National Association of All Civil Service Employees, formed in 1896. This organization worked to further civil service reform, especially in the area most important to civil service professionals: ensuring greater job security and maintaining the distance between themselves and the political parties that once controlled them.Ronald N. Johnson and Gary D. Libecap. 1994. The Federal Civil Service System and the Problem of Bureaucracy. Chicago: University of Chicago Press. Over the next few decades, civil servants gravitated to labor unions in much the same way that employees in the private sector did. Through the power of their collective voices amplified by their union representatives, they were able to achieve political influence. The growth of federal labor unions accelerated after the Lloyd–La Follette Act of 1912, which removed many of the penalties civil servants faced when joining a union. As the size of the federal government and its bureaucracy grew following the Great Depression and the Roosevelt reforms, many became increasingly concerned that the Pendleton Act prohibitions on political activities by civil servants were no longer strong enough. As a result of these mounting concerns, Congress passed the Hatch Act of 1939—or the Political Activities Act. The main provision of this legislation prohibits bureaucrats from actively engaging in political campaigns and from using their federal authority via bureaucratic rank to influence the outcomes of nominations and elections. Despite the efforts throughout the 1930s to build stronger walls of separation between the civil service bureaucrats and the political system that surrounds them, many citizens continued to grow skeptical of the growing bureaucracy. These concerns reached a high point in the late 1970s as the Vietnam War and the Watergate scandal prompted the public to a fever pitch of skepticism about government itself. Congress and the president responded with the Civil Service Reform Act of 1978, which abolished the Civil Service Commission. In its place, the law created two new federal agencies: the Office of Personnel Management (OPM) and the Merit Systems Protection Board (MSPB). The OPM has responsibility for recruiting, interviewing, and testing potential government employees in order to choose those who should be hired. The MSPB is responsible for investigating charges of agency wrongdoing and hearing appeals when corrective actions are ordered. Together these new federal agencies were intended to correct perceived and real problems with the merit system, protect employees from managerial abuse, and generally make the bureaucracy more efficient.Patricia W. Ingraham and Carolyn Ban. 1984. Legislating Bureaucratic Change : The Civil Service Reform Act of 1978. Albany: State University of New York Press. MERIT-BASED SELECTION The general trend from the 1880s to today has been toward a civil service system that is increasingly based on merit (Figure). In this system, the large majority of jobs in individual bureaucracies are tied to the needs of the organization rather than to the political needs of the party bosses or political leaders. This purpose is reflected in the way civil service positions are advertised. A general civil service position announcement will describe the government agency or office seeking an employee, an explanation of what the agency or office does, an explanation of what the position requires, and a list of the knowledge, skills, and abilities, commonly referred to as KSAs, deemed especially important for fulfilling the role. A budget analyst position, for example, would include KSAs such as experience with automated financial systems, knowledge of budgetary regulations and policies, the ability to communicate orally, and demonstrated skills in budget administration, planning, and formulation. The merit system requires that a person be evaluated based on his or her ability to demonstrate KSAs that match those described or better. The individual who is hired should have better KSAs than the other applicants. Many years ago, the merit system would have required all applicants to also test well on a civil service exam, as was stipulated by the Pendleton Act. This mandatory testing has since been abandoned, and now approximately eighty-five percent of all federal government jobs are filled through an examination of the applicant’s education, background, knowledge, skills, and abilities.Dennis V. Damp. 2008. The Book of U.S. Government Jobs: Where They Are, What’s Available, & How to Get One. McKees Rocks, PA: Bookhaven Press, 30. That would suggest that some 20 percent are filled through appointment and patronage. Among the first group, those hired based on merit, a small percentage still require that applicants take one of the several civil service exams. These are sometimes positions that require applicants to demonstrate broad critical thinking skills, such as foreign service jobs. More often these exams are required for positions demanding specific or technical knowledge, such as customs officials, air traffic controllers, and federal law enforcement officers. Additionally, new online tests are increasingly being used to screen the ever-growing pool of applicants.Lisa Rein, “For federal-worker hopefuls, the civil service exam is making a comeback,” Washington Post, 2 April 2015, https://www.washingtonpost.com/news/federal-eye/wp/2015/04/02/for-federal-worker-hopefuls-the-civil-service-exam-is-making-a-comeback/. Civil service exams currently test for skills applicable to clerical workers, postal service workers, military personnel, health and social workers, and accounting and engineering employees among others. Applicants with the highest scores on these tests are most likely to be hired for the desired position. Like all organizations, bureaucracies must make thoughtful investments in human capital. And even after hiring people, they must continue to train and develop them to reap the investment they make during the hiring process. A Career in Government: Competitive Service, Excepted Service, Senior Executive Service One of the significant advantages of the enormous modern U.S. bureaucracy is that many citizens find employment there to be an important source of income and meaning in their lives. Job opportunities exist in a number of different fields, from foreign service with the State Department to information and record clerking at all levels. Each position requires specific background, education, experience, and skills. There are three general categories of work in the federal government: competitive service, excepted service, and senior executive service. Competitive service positions are closely regulated by Congress through the Office of Personnel Management to ensure they are filled in a fair way and the best applicant gets the job (Figure). Qualifications for these jobs include work history, education, and grades on civil service exams. Federal jobs in the excepted service category are exempt from these hiring restrictions. Either these jobs require a far more rigorous hiring process, such as is the case at the Central Intelligence Agency, or they call for very specific skills, such as in the Nuclear Regulatory Commission. Excepted service jobs allow employers to set their own pay rates and requirements. Finally, senior executive service positions are filled by men and women who are able to demonstrate their experience in executive positions. These are leadership positions, and applicants must demonstrate certain executive core qualifications (ECQs). These qualifications are leading change, being results-driven, demonstrating business acumen, and building better coalitions. What might be the practical consequences of having these different job categories? Can you think of some specific positions you are familiar with and the categories they might be in? Where once federal jobs would have been posted in post offices and newspapers, they are now posted online. The most common place aspiring civil servants look for jobs is on USAjobs.gov, a web-based platform offered by the Office of Personnel Management for agencies to find the right employees. Visit their website to see the types of jobs currently available in the U.S. bureaucracy. Civil servants receive pay based on the U.S. Federal General Schedule. A pay schedule is a chart that shows salary ranges for different levels (grades) of positions vertically and for different ranks (steps) of seniority horizontally. The Pendleton Act of 1883 allowed for this type of pay schedule, but the modern version of the schedule emerged in the 1940s and was refined in the 1990s. The modern General Schedule includes fifteen grades, each with ten steps (Figure). The grades reflect the different required competencies, education standards, skills, and experiences for the various civil service positions. Grades GS-1 and GS-2 require very little education, experience, and skills and pay little. Grades GS-3 through GS-7 and GS-8 through GS-12 require ascending levels of education and pay increasingly more. Grades GS-13 through GS-15 require specific, specialized experience and education, and these job levels pay the most. When hired into a position at a specific grade, employees are typically paid at the first step of that grade, the lowest allowable pay. Over time, assuming they receive satisfactory assessment ratings, they will progress through the various levels. Many careers allow for the civil servants to ascend through the grades of the specific career as well.https://www.opm.gov/policy-data-oversight/classification-qualifications/general-schedule-qualification-policies/#url=General-Policies (May 16, 2016). The intention behind these hiring practices and structured pay systems is to create an environment in which those most likely to succeed are in fact those who are ultimately appointed. The systems almost naturally result in organizations composed of experts who dedicate their lives to their work and their agency. Equally important, however, are the drawbacks. The primary one is that permanent employees can become too independent of the elected leaders. While a degree of separation is intentional and desired, too much can result in bureaucracies that are insufficiently responsive to political change. Another downside is that the accepted expertise of individual bureaucrats can sometimes hide their own chauvinistic impulses. The merit system encouraged bureaucrats to turn to each other and their bureaucracies for support and stability. Severing the political ties common in the spoils system creates the potential for bureaucrats to steer actions toward their own preferences even if these contradict the designs of elected leaders. Summary The merit-based system of filling jobs in the government bureaucracy elevates ability and accountability over political loyalties. Unfortunately, this system also has its downsides. The most common complaint is that the bureaucrats are no longer as responsive to elected public officials as they once had been. This, however, may be a necessary tradeoff for the level of efficiency and specialization necessary in the modern world. The Civil Service Commission was created by the ________. - Pendleton Act of 1883 - Lloyd–La Follette Act of 1912 - Hatch Act of 1939 - Political Activities Act of 1939 Hint: A The Civil Service Reform Act of 1978 created the Office of Personnel Management and the ________. - Civil Service Commission - Merit Systems Protection Board - “spoils system” - General Schedule Briefly explain the benefits and drawbacks of a merit system. Hint: A benefit of the merit system is that it helps to ensure the most qualified applicants are given the position. A drawback is that the bureaucracy is less responsive to the will of elected leaders than under patronage.	oercommons	2025-03-18T00:38:53.851804	null	{ "license": "Creative Commons - Attribution - https://creativecommons.org/licenses/by/4.0/", "url": "https://oercommons.org/courseware/lesson/15273/overview", "title": "American Government, The Outputs of Government", "author": null }
https://oercommons.org/courseware/lesson/15274/overview	Understanding Bureaucracies and their Types Learning Objectives By the end of this section, you will be able to: - Explain the three different models sociologists and others use to understand bureaucracies - Identify the different types of federal bureaucracies and their functional differences Turning a spoils system bureaucracy into a merit-based civil service, while desirable, comes with a number of different consequences. The patronage system tied the livelihoods of civil service workers to their party loyalty and discipline. Severing these ties, as has occurred in the United States over the last century and a half, has transformed the way bureaucracies operate. Without the patronage network, bureaucracies form their own motivations. These motivations, sociologists have discovered, are designed to benefit and perpetuate the bureaucracies themselves. MODELS OF BUREAUCRACY Bureaucracies are complex institutions designed to accomplish specific tasks. This complexity, and the fact that they are organizations composed of human beings, can make it challenging for us to understand how bureaucracies work. Sociologists, however, have developed a number of models for understanding the process. Each model highlights specific traits that help explain the organizational behavior of governing bodies and associated functions. The Weberian Model The classic model of bureaucracy is typically called the ideal Weberian model, and it was developed by Max Weber, an early German sociologist. Weber argued that the increasing complexity of life would simultaneously increase the demands of citizens for government services. Therefore, the ideal type of bureaucracy, the Weberian model, was one in which agencies are apolitical, hierarchically organized, and governed by formal procedures. Furthermore, specialized bureaucrats would be better able to solve problems through logical reasoning. Such efforts would eliminate entrenched patronage, stop problematic decision-making by those in charge, provide a system for managing and performing repetitive tasks that required little or no discretion, impose order and efficiency, create a clear understanding of the service provided, reduce arbitrariness, ensure accountability, and limit discretion.Susan J. Hekman. 1983. “Weber’s Ideal Type: A Contemporary Reassessment”. Polity 16 No. 1: 119–37. The Acquisitive Model For Weber, as his ideal type suggests, the bureaucracy was not only necessary but also a positive human development. Later sociologists have not always looked so favorably upon bureaucracies, and they have developed alternate models to explain how and why bureaucracies function. One such model is called the acquisitive model of bureaucracy. The acquisitive model proposes that bureaucracies are naturally competitive and power-hungry. This means bureaucrats, especially at the highest levels, recognize that limited resources are available to feed bureaucracies, so they will work to enhance the status of their own bureaucracy to the detriment of others. This effort can sometimes take the form of merely emphasizing to Congress the value of their bureaucratic task, but it also means the bureaucracy will attempt to maximize its budget by depleting all its allotted resources each year. This ploy makes it more difficult for legislators to cut the bureaucracy’s future budget, a strategy that succeeds at the expense of thrift. In this way, the bureaucracy will eventually grow far beyond what is necessary and create bureaucratic waste that would otherwise be spent more efficiently among the other bureaucracies. The Monopolistic Model Other theorists have come to the conclusion that the extent to which bureaucracies compete for scarce resources is not what provides the greatest insight into how a bureaucracy functions. Rather, it is the absence of competition. The model that emerged from this observation is the monopolistic model. Proponents of the monopolistic model recognize the similarities between a bureaucracy like the Internal Revenue Service (IRS) and a private monopoly like a regional power company or internet service provider that has no competitors. Such organizations are frequently criticized for waste, poor service, and a low level of client responsiveness. Consider, for example, the Bureau of Consular Affairs (BCA), the federal bureaucracy charged with issuing passports to citizens. There is no other organization from which a U.S. citizen can legitimately request and receive a passport, a process that normally takes several weeks. Thus there is no reason for the BCA to become more efficient or more responsive or to issue passports any faster. There are rare bureaucratic exceptions that typically compete for presidential favor, most notably organizations such as the Central Intelligence Agency, the National Security Agency, and the intelligence agencies in the Department of Defense. Apart from these, bureaucracies have little reason to become more efficient or responsive, nor are they often penalized for chronic inefficiency or ineffectiveness. Therefore, there is little reason for them to adopt cost-saving or performance measurement systems. While some economists argue that the problems of government could be easily solved if certain functions are privatized to reduce this prevailing incompetence, bureaucrats are not as easily swayed. TYPES OF BUREAUCRATIC ORGANIZATIONS A bureaucracy is a particular government unit established to accomplish a specific set of goals and objectives as authorized by a legislative body. In the United States, the federal bureaucracy enjoys a great degree of autonomy compared to those of other countries. This is in part due to the sheer size of the federal budget, approximately $3.5 trillion as of 2015.Congressional Budget Office Report, https://www.cbo.gov/publication/44172 (June 6, 2016). And because many of its agencies do not have clearly defined lines of authority—roles and responsibilities established by means of a chain of command—they also are able to operate with a high degree of autonomy. However, many agency actions are subject to judicial review. In Schechter Poultry Corp. v. United States (1935), the Supreme Court found that agency authority seemed limitless.A. L. A. Schechter Poultry Corp. v. United States, 295 U.S. 495 (1935). Yet, not all bureaucracies are alike. In the U.S. government, there are four general types: cabinet departments, independent executive agencies, regulatory agencies, and government corporations. Cabinet Departments There are currently fifteen cabinet departments in the federal government. Cabinet departments are major executive offices that are directly accountable to the president. They include the Departments of State, Defense, Education, Treasury, and several others. Occasionally, a department will be eliminated when government officials decide its tasks no longer need direct presidential and congressional oversight, such as happened to the Post Office Department in 1970. Each cabinet department has a head called a secretary, appointed by the president and confirmed by the Senate. These secretaries report directly to the president, and they oversee a huge network of offices and agencies that make up the department. They also work in different capacities to achieve each department’s mission-oriented functions. Within these large bureaucratic networks are a number of undersecretaries, assistant secretaries, deputy secretaries, and many others. The Department of Justice is the one department that is structured somewhat differently. Rather than a secretary and undersecretaries, it has an attorney general, an associate attorney general, and a host of different bureau and division heads (Table). \| Members of the Cabinet \| \|\|\| \|---\|---\|---\|---\| \| Department \| Year Created \| Secretary as of 2016 \| Purpose \| \| State \| 1789 \| John Kerry \| Oversees matters related to foreign policy and international issues relevant to the country \| \| Treasury \| 1789 \| Jack Lew \| Oversees the printing of U.S. currency, collects taxes, and manages government debt \| \| Justice \| 1870 \| Loretta Lynch (attorney general) \| Oversees the enforcement of U.S. laws, matters related to public safety, and crime prevention \| \| Interior \| 1849 \| Sally Jewell \| Oversees the conservation and management of U.S. lands, water, wildlife, and energy resources \| \| Agriculture \| 1862 \| Tom Vilsack \| Oversees the U.S. farming industry, provides agricultural subsidies, and conducts food inspections \| \| Commerce \| 1903 \| Penny Pritzker \| Oversees the promotion of economic growth, job creation, and the issuing of patents \| \| Labor \| 1913 \| Thomas Perez \| Oversees issues related to wages, unemployment insurance, and occupational safety \| \| Defense \| 1947 \| Ashton Carter \| Oversees the many elements of the U.S. armed forces, including the Army, Navy, Marine Corps, and Air Force \| \| Health and Human Services \| 1953 \| Sylvia Mathews Burwell \| Oversees the promotion of public health by providing essential human services and enforcing food and drug laws \| \| Housing and Urban Development \| 1965 \| Julián Castro \| Oversees matters related to U.S. housing needs, works to increase homeownership, and increases access to affordable housing \| \| Transportation \| 1966 \| Anthony Foxx \| Oversees the country’s many networks of national transportation \| \| Energy \| 1977 \| Ernest Moniz \| Oversees matters related to the country’s energy needs, including energy security and technological innovation \| \| Education \| 1980 \| John King \| Oversees public education, education policy, and relevant education research \| \| Veterans Affairs \| 1989 \| Robert McDonald \| Oversees the services provided to U.S. veterans, including health care services and benefits programs \| \| Homeland Security \| 2002 \| Jeh Johnson \| Oversees agencies charged with protecting the territory of the United States from natural and human threats \| Individual cabinet departments are composed of numerous levels of bureaucracy. These levels descend from the department head in a mostly hierarchical pattern and consist of essential staff, smaller offices, and bureaus. Their tiered, hierarchical structure allows large bureaucracies to address many different issues by deploying dedicated and specialized officers. For example, below the secretary of state are a number of undersecretaries. These include undersecretaries for political affairs, for management, for economic growth, energy, and the environment, and many others. Each controls a number of bureaus and offices. Each bureau and office in turn oversees a more focused aspect of the undersecretary’s field of specialization (Figure). For example, below the undersecretary for public diplomacy and public affairs are three bureaus: educational and cultural affairs, public affairs, and international information programs. Frequently, these bureaus have even more specialized departments under them. Under the bureau of educational and cultural affairs are the spokesperson for the Department of State and his or her staff, the Office of the Historian, and the United States Diplomacy Center.http://www.state.gov/r/pa/ei/rls/dos/436.htm (June 6, 2016). Created in 1939 by President Franklin D. Roosevelt to help manage the growing responsibilities of the White House, the Executive Office of the President still works today to “provide the President with the support that he or she needs to govern effectively.” Independent Executive Agencies and Regulatory Agencies Like cabinet departments, independent executive agencies report directly to the president, with heads appointed by the president. Unlike the larger cabinet departments, however, independent agencies are assigned far more focused tasks. These agencies are considered independent because they are not subject to the regulatory authority of any specific department. They perform vital functions and are a major part of the bureaucratic landscape of the United States. Some prominent independent agencies are the Central Intelligence Agency (CIA), which collects and manages intelligence vital to national interests, the National Aeronautics and Space Administration (NASA), charged with developing technological innovation for the purposes of space exploration (Figure), and the Environmental Protection Agency (EPA), which enforces laws aimed at protecting environmental sustainability. An important subset of the independent agency category is the regulatory agency. Regulatory agencies emerged in the late nineteenth century as a product of the progressive push to control the benefits and costs of industrialization. The first regulatory agency was the Interstate Commerce Commission (ICC), charged with regulating that most identifiable and prominent symbol of nineteenth-century industrialism, the railroad. Other regulatory agencies, such as the Commodity Futures Trading Commission, which regulates U.S. financial markets and the Federal Communications Commission, which regulates radio and television, have largely been created in the image of the ICC. These independent regulatory agencies cannot be influenced as readily by partisan politics as typical agencies and can therefore develop a good deal of power and authority. The Securities and Exchange Commission (SEC) illustrates well the potential power of such agencies. The SEC’s mission has expanded significantly in the digital era beyond mere regulation of stock floor trading. Government Corporations Agencies formed by the federal government to administer a quasi-business enterprise are called government corporations. They exist because the services they provide are partly subject to market forces and tend to generate enough profit to be self-sustaining, but they also fulfill a vital service the government has an interest in maintaining. Unlike a private corporation, a government corporation does not have stockholders. Instead, it has a board of directors and managers. This distinction is important because whereas a private corporation’s profits are distributed as dividends, a government corporation’s profits are dedicated to perpetuating the enterprise. Unlike private businesses, which pay taxes to the federal government on their profits, government corporations are exempt from taxes. The most widely used government corporation is the U.S. Postal Service. Once a cabinet department, it was transformed into a government corporation in the early 1970s. Another widely used government corporation is the National Railroad Passenger Corporation, which uses the trade name Amtrak (Figure). Amtrak was the government’s response to the decline in passenger rail travel in the 1950s and 1960s as the automobile came to dominate. Recognizing the need to maintain a passenger rail service despite dwindling profits, the government consolidated the remaining lines and created Amtrak.David C. Nice. 1998. Amtrak: the history and politics of a national railroad. Boulder, CO: Lynne Rienner. THE FACE OF DEMOCRACY Those who work for the public bureaucracy are nearly always citizens, much like those they serve. As such they typically seek similar long-term goals from their employment, namely to be able to pay their bills and save for retirement. However, unlike those who seek employment in the private sector, public bureaucrats tend to have an additional motivator, the desire to accomplish something worthwhile on behalf of their country. In general, individuals attracted to public service display higher levels of public service motivation (PSM). This is a desire most people possess in varying degrees that drives us to seek fulfillment through doing good and contributing in an altruistic manner.James L. Perry. 1996. “Measuring Public Service Motivation: An Assessment of Construct Reliability and Validity.” Journal of Public Administration Research and Theory 6, No. 1: 5–22. Dogs and Fireplugs In Caught between the Dog and the Fireplug, or How to Survive Public Service (2001), author Kenneth Ashworth provides practical advice for individuals pursuing a career in civil service.Kenneth H. Ashworth. 2001. Caught Between the Dog and the Fireplug, or, How to Survive Public Service. Washington, DC: Georgetown University Press. Through a series of letters, Ashworth shares his personal experience and professional expertise on a variety of issues with a relative named Kim who is about to embark upon an occupation in the public sector. By discussing what life is like in the civil service, Ashworth provides an “in the trenches” vantage point on public affairs. He goes on to discuss hot topics centering on bureaucratic behaviors, such as (1) having sound etiquette, ethics, and risk aversion when working with press, politicians, and unpleasant people; (2) being a subordinate while also delegating; (3) managing relationships, pressures, and influence; (4) becoming a functional leader; and (5) taking a multidimensional approach to addressing or solving complex problems. Ashworth says that politicians and civil servants differ in their missions, needs, and motivations, which will eventually reveal differences in their respective characters and, consequently, present a variety of challenges. He maintains that a good civil servant must realize he or she will need to be in the thick of things to provide preeminent service without actually being seen as merely a bureaucrat. Put differently, a bureaucrat walks a fine line between standing up for elected officials and their respective policies—the dog—and at the same time acting in the best interest of the public—the fireplug. In what ways is the problem identified by author Kenneth Ashworth a consequence of the merit-based civil service? Bureaucrats must implement and administer a wide range of policies and programs as established by congressional acts or presidential orders. Depending upon the agency’s mission, a bureaucrat’s roles and responsibilities vary greatly, from regulating corporate business and protecting the environment to printing money and purchasing office supplies. Bureaucrats are government officials subject to legislative regulations and procedural guidelines. Because they play a vital role in modern society, they hold managerial and functional positions in government; they form the core of most administrative agencies. Although many top administrators are far removed from the masses, many interact with citizens on a regular basis. Given the power bureaucrats have to adopt and enforce public policy, they must follow several legislative regulations and procedural guidelines. A regulation is a rule that permits government to restrict or prohibit certain behaviors among individuals and corporations. Bureaucratic rulemaking is a complex process that will be covered in more detail in the following section, but the rulemaking process typically creates procedural guidelines, or more formally, standard operating procedures. These are the rules that lower-level bureaucrats must abide by regardless of the situations they face. Elected officials are regularly frustrated when bureaucrats seem not follow the path they intended. As a result, the bureaucratic process becomes inundated with red tape. This is the name for the procedures and rules that must be followed to get something done. Citizens frequently criticize the seemingly endless networks of red tape they must navigate in order to effectively utilize bureaucratic services, although these devices are really meant to ensure the bureaucracies function as intended. Summary To understand why some bureaucracies act the way they do, sociologists have developed a handful of models. With the exception of the ideal bureaucracy described by Max Weber, these models see bureaucracies as self-serving. Harnessing self-serving instincts to make the bureaucracy work the way it was intended is a constant task for elected officials. One of the ways elected officials have tried to grapple with this problem is by designing different types of bureaucracies with different functions. These types include cabinet departments, independent regulatory agencies, independent executive agencies, and government corporations. Which describes the ideal bureaucracy according to Max Weber? - an apolitical, hierarchically organized agency - an organization that competes with other bureaucracies for funding - a wasteful, poorly organized agency - an agency that shows clear electoral responsiveness Which of the following models of bureaucracy best accounts for the way bureaucracies tend to push Congress for more funding each year? - the Weberian model - the acquisitive model - the monopolistic model - the ideal model Hint: B An example of a government corporation is ________. - NASA - the State Department - Amtrak - the CIA Briefly explain why government might create a government corporation. Hint: Congress tends to create government corporations to perform services that respond to market forces but are too important to the public to be allowed to fail.	oercommons	2025-03-18T00:38:53.885083	null	{ "license": "Creative Commons - Attribution - https://creativecommons.org/licenses/by/4.0/", "url": "https://oercommons.org/courseware/lesson/15274/overview", "title": "American Government, The Outputs of Government", "author": null }
https://oercommons.org/courseware/lesson/15275/overview	Controlling the Bureaucracy Learning Objectives By the end of this section, you will be able to: - Explain the way Congress, the president, bureaucrats, and citizens provide meaningful oversight over the bureaucracies - Identify the ways in which privatization has made bureaucracies both more and less efficient As our earlier description of the State Department demonstrates, bureaucracies are incredibly complicated. Understandably, then, the processes of rulemaking and bureaucratic oversight are equally complex. Historically, at least since the end of the spoils system, elected leaders have struggled to maintain control over their bureaucracies. This challenge arises partly due to the fact that elected leaders tend to have partisan motivations, while bureaucracies are designed to avoid partisanship. While that is not the only explanation, elected leaders and citizens have developed laws and institutions to help rein in bureaucracies that become either too independent, corrupt, or both. BUREAUCRATIC RULEMAKING Once the particulars of implementation have been spelled out in the legislation authorizing a new program, bureaucracies move to enact it. When they encounter grey areas, many follow the federal negotiated rulemaking process to propose a solution, that is, detailing how particular new federal polices, regulations, and/or programs will be implemented in the agencies. Congress cannot possibly legislate on that level of detail, so the experts in the bureaucracy do so. Negotiated rulemaking is a relatively recently developed bureaucratic device that emerged from the criticisms of bureaucratic inefficiencies in the 1970s, 1980s, and 1990s.Philip J. Harter. 1982. “Negotiating Regulations: A Cure for Malaise,” Georgetown Law Journal, 71, No. 1. Before it was adopted, bureaucracies used a procedure called notice-and-comment rulemaking. This practice required that agencies attempting to adopt rules publish their proposal in the Federal Register, the official publication for all federal rules and proposed rules. By publishing the proposal, the bureaucracy was fulfilling its obligation to allow the public time to comment. But rather than encouraging the productive interchange of ideas, the comment period had the effect of creating an adversarial environment in which different groups tended to make extreme arguments for rules that would support their interests. As a result, administrative rulemaking became too lengthy, too contentious, and too likely to provoke litigation in the courts. The Federal Register was once available only in print. Now, however, it is available online and is far easier to navigate and use. Have a look at all the important information the government’s journal posts online. Reformers argued that these inefficiencies needed to be corrected. They proposed the negotiated rulemaking process, often referred to as regulatory negotiation, or “reg-neg” for short. This process was codified in the Negotiated Rulemaking Acts of 1990 and 1996, which encouraged agencies to employ negotiated rulemaking procedures. While negotiated rulemaking is required in only a handful of agencies and plenty still use the traditional process, others have recognized the potential of the new process and have adopted it. In negotiated rulemaking, neutral advisors known as convenors put together a committee of those who have vested interests in the proposed rules. The convenors then set about devising procedures for reaching a consensus on the proposed rules. The committee uses these procedures to govern the process through which the committee members discuss the various merits and demerits of the proposals. With the help of neutral mediators, the committee eventually reaches a general consensus on the rules. GOVERNMENT BUREAUCRATIC OVERSIGHT The ability for bureaucracies to develop their own rules and in many ways control their own budgets has often been a matter of great concern for elected leaders. As a result, elected leaders have employed a number of strategies and devices to control public administrators in the bureaucracy. Congress is particularly empowered to apply oversight of the federal bureaucracy because of its power to control funding and approve presidential appointments. The various bureaucratic agencies submit annual summaries of their activities and budgets for the following year, and committees and subcommittees in both chambers regularly hold hearings to question the leaders of the various bureaucracies. These hearings are often tame, practical, fact-finding missions. Occasionally, however, when a particular bureaucracy has committed or contributed to a blunder of some magnitude, the hearings can become quite animated and testy. This occurred in 2013 following the realization by Congress that the IRS had selected for extra scrutiny certain groups that had applied for tax-exempt status. While the error could have been a mere mistake or have resulted from any number of reasons, many in Congress became enraged at the thought that the IRS might purposely use its power to inconvenience citizens and their groups.https://www.treasury.gov/tigta/auditreports/2013reports/201310053fr.pdf (May 1, 2016). The House directed its Committee on Oversight and Government Reform to launch an investigation into the IRS, during which time it interviewed and publicly scrutinized a number of high-ranking civil servants (Figure). The mission of the U.S. House Oversight Committee is to “ensure the efficiency, effectiveness, and accountability of the federal government and all its agencies.” The committee is an important congressional check on the power of the bureaucracy. Visit the website for more information about the U.S. House Oversight Committee. Perhaps Congress’s most powerful oversight tool is the Government Accountability Office (GAO).http://www.gao.gov/ (May 1, 2016). The GAO is an agency that provides Congress, its committees, and the heads of the executive agencies with auditing, evaluation, and investigative services. It is designed to operate in a fact-based and nonpartisan manner to deliver important oversight information where and when it is needed. The GAO’s role is to produce reports, mostly at the insistence of Congress. In the approximately nine hundred reports it completes per year, the GAO sends Congress information about budgetary issues for everything from education, health care, and housing to defense, homeland security, and natural resource management.http://www.gao.gov/about/products/about-gao-reports.html (May 1, 2016). Since it is an office within the federal bureaucracy, the GAO also supplies Congress with its own annual performance and accountability report. This report details the achievements and remaining weaknesses in the actions of the GAO for any given year. Apart from Congress, the president also executes oversight over the extensive federal bureaucracy through a number of different avenues. Most directly, the president controls the bureaucracies by appointing the heads of the fifteen cabinet departments and of many independent executive agencies, such as the CIA, the EPA, and the Federal Bureau of Investigation. These cabinet and agency appointments go through the Senate for confirmation. The other important channel through which the office of the president conducts oversight over the federal bureaucracy is the Office of Management and Budget (OMB).https://www.whitehouse.gov/omb (May 1, 2016). The primary responsibility of the OMB is to produce the president’s annual budget for the country. With this huge responsibility, however, comes a number of other responsibilities. These include reporting to the president on the actions of the various executive departments and agencies in the federal government, overseeing the performance levels of the bureaucracies, coordinating and reviewing federal regulations for the president, and delivering executive orders and presidential directives to the various agency heads. Controversy and the CFPB: Overseeing a Bureau Whose Job Is Oversight During the 1990s, the two political parties in the United States had largely come together over the issue of the federal bureaucracy. While differences remained, a great number of bipartisan attempts to roll back the size of government took place during the Clinton administration. This shared effort began to fall apart during the presidency of Republican George W. Bush, who made repeated attempts to use contracting and privatization to reduce the size of the federal bureaucracy more than Democrats were willing to accept. This growing division was further compounded by Great Recession that began in 2007. For many on the left side of the political spectrum, the onset of the recession reflected a failure of weakened federal bureaucracies to properly regulate the financial markets. To those on the right, it merely reinforced the belief that government bureaucracies are inherently inefficient. Over the next few years, as the government attempted to grapple with the consequences of the recession, these divisions only grew. The debate over one particular bureaucratic response to the recession provides important insight into these divisions. The bureau in question is the Consumer Financial Protection Bureau (CFPB), an agency created in 2011 specifically to oversee certain financial industries that had proven themselves to be especially prone to abusive practices, such as sub-prime mortgage lenders and payday lenders. To many in the Republican Party, this new bureau was merely another instance of growing the federal bureaucracy to take care of problems caused by an inefficient government. To many in the Democratic Party, the new agency was an important cop on a notably chaotic street. Divisions over this agency were so bitter that Republicans refused for a time to allow the Senate to consider confirming anyone to head the new bureau (Figure). Many wanted the bureau either scrapped or headed by a committee that would have to generate consensus in order to act. They attempted to cut the bureau’s budget and erected mountains of red tape designed to slow the CFPB’s achievement of its goals. During the height of the recession, many Democrats saw these tactics as a particularly destructive form of obstruction while the country reeled from the financial collapse. As the recession recedes into the past, however, the political heat the CFPB once generated has steadily declined. Republicans still push to reduce the power of the bureau and Democrats in general still support it, but lack of urgency has pushed these differences into the background. Indeed, there may be a growing consensus between the two parties that the bureau should be more tightly controlled. In the spring of 2016, as the agency was announcing new rules to help further restrict the predatory practices of payday lenders, a handful of Democratic members of Congress, including the party chair, joined Republicans to draft legislation to prevent the CFPB from further regulating lenders. This joint effort may be an anomaly. But it may also indicate the start of a return to more bipartisan interpretation of bureaucratic institutions. What do these divisions suggest about the way Congress exercises oversight over the federal bureaucracy? Do you think this oversight is an effective way to control a bureaucracy as large and complex as the U.S. federal bureaucracy? Why or why not? CITIZEN BUREAUCRATIC OVERSIGHT A number of laws passed in the decades between the end of the Second World War and the late 1970s have created a framework through which citizens can exercise their own bureaucratic oversight. The two most important laws are the Freedom of Information Act of 1966 and the Government in Sunshine Act of 1976.https://www.law.cornell.edu/uscode/text/5/552; https://www.gpo.gov/fdsys/pkg/STATUTE-90/pdf/STATUTE-90-Pg1241.pdf (June 6, 2016). Like many of the modern bureaucratic reforms in the United States, both emerged during a period of heightened skepticism about government activities. The first, the Freedom of Information Act of 1966 (FOIA), emerged in the early years of the Johnson presidency as the United States was conducting secret Cold War missions around the world, the U.S. military was becoming increasingly mired in the conflict in Vietnam, and questions were still swirling around the Kennedy assassination. FOIA provides journalists and the general public the right to request records from various federal agencies. These agencies are required by law to release that information unless it qualifies for one of nine exemptions. These exceptions cite sensitive issues related to national security or foreign policy, internal personnel rules, trade secrets, violations of personnel privacy rights, law enforcement information, and oil well data (Figure). FOIA also compels agencies to post some types of information for the public regularly without being requested. In fiscal year 2015, the government received 713,168 FOIA requests, with just three departments—Defense, Homeland Security, and Justice—accounting for more than half those queries.www.foia.gov (May 1, 2016). The Center for Effective Government analyzed the fifteen federal agencies that receive the most FOIA requests and concluded that they generally struggle to implement public disclosure rules. In its latest report, published in 2015 and using 2012 and 2013 data (the most recent available), ten of the fifteen did not earn satisfactory overall grades, scoring less than seventy of a possible one hundred points.http://www.foreffectivegov.org/access-to-information-scorecard-2015/ (May 1, 2016). The Government in Sunshine Act of 1976 is different from FOIA in that it requires all multi-headed federal agencies to hold their meetings in a public forum on a regular basis. The name “Sunshine Act” is derived from the old adage that “sunlight is the best disinfectant”—the implication being that governmental and bureaucratic corruption thrive in secrecy but shrink when exposed to the light of public scrutiny. The act defines a meeting as any gathering of agency members in person or by phone, whether in a formal or informal manner. Like FOIA, the Sunshine Act allows for exceptions. These include meetings where classified information is discussed, proprietary data has been submitted for review, employee privacy matters are discussed, criminal matters are brought up, and information would prove financially harmful to companies were it released. Citizens and citizen groups can also follow rulemaking and testify at hearings held around the country on proposed rules. The rulemaking process and the efforts by federal agencies to keep open records and solicit public input on important changes are examples of responsive bureaucracy. GOVERNMENT PRIVATIZATION A more extreme, and in many instances, more controversial solution to the perceived and real inefficiencies in the bureaucracy is privatization. In the United States, largely because it was born during the Enlightenment and has a long history of championing free-market principles, the urge to privatize government services has never been as strong as it is in many other countries. There are simply far fewer government-run services. Nevertheless, the federal government has used forms of privatization and contracting throughout its history. But following the growth of bureaucracy and government services during President Johnson’s Great Society in the mid-1960s, a particularly vocal movement began calling for a rollback of government services. This movement grew stronger in the 1970s and 1980s as politicians, particularly on the right, declared that air needed to be let out of the bloated federal government. In the 1990s, as President Bill Clinton and especially his vice president, Al Gore, worked to aggressively shrink the federal bureaucracy, privatization came to be embraced across the political spectrum.http://govinfo.library.unt.edu/npr/whoweare/history2.html (June 16, 2016). The rhetoric of privatization—that market competition would stimulate innovation and efficiency—sounded like the proper remedy to many people and still does. But to many others, talk of privatization is worrying. They contend that certain government functions are simply not possible to replicate in a private context. When those in government speak of privatization, they are often referring to one of a host of different models that incorporate the market forces of the private sector into the function of government to varying degrees.Kevin R. Kosar. “Privatization and the Federal Government: An Introduction,” CRS Report for Congress, December 28, 2006. https://www.fas.org/sgp/crs/misc/RL33777.pdf (June 16, 2016). These include using contractors to supply goods and/or services, distributing government vouchers with which citizens can purchase formerly government-controlled services on the private market, supplying government grants to private organizations to administer government programs, collaborating with a private entity to finance a government program, and even fully divesting the government of a function and directly giving it to the private sector (Figure). We will look at three of these types of privatization shortly. Divestiture, or full privatization, occurs when government services are transferred, usually through sale, from government bureaucratic control into an entirely market-based, private environment. At the federal level this form of privatization is very rare, although it does occur. Consider the Student Loan Marketing Association, often referred to by its nickname, Sallie Mae. When it was created in 1973, it was designed to be a government entity for processing federal student education loans. Over time, however, it gradually moved further from its original purpose and became increasingly private. Sallie Mae reached full privatization in 2004.https://www.salliemae.com/about/who-we-are/history/ (June 16, 2016). Another example is the U.S. Investigations Services, Inc., which was once the investigative branch of the Office of Personnel Management (OPM) until it was privatized in the 1990s. At the state level, however, the privatization of roads, public utilities, bridges, schools, and even prisons has become increasingly common as state and municipal authorities look for ways to reduce the cost of government. Possibly the best-known form of privatization is the process of issuing government contracts to private companies in order for them to provide necessary services. This process grew to prominence during President Bill Clinton’s National Partnership for Reinventing Government initiative, intended to streamline the government bureaucracy. Under President George W. Bush, the use of contracting out federal services reached new heights. During the Iraq War, for example, large corporations like Kellogg Brown & Root, owned by Haliburton at the time, signed government contracts to perform a number of services once done by the military, such as military base construction, food preparation, and even laundry services. By 2006, reliance on contracting to run the war was so great that contractors outnumbered soldiers. Such contracting has faced quite a bit of criticism for both its high cost and its potential for corruption and inefficiencies.James Risen, “Controversial Contractors Iraq Works is Split Up,” New York Times, 24 May 2008. http://www.nytimes.com/2008/05/24/world/middleeast/24contract.html (June 16, 2016). However, it has become so routine that it is unlikely to slow any time soon. Third-party financing is a far more complex form of privatization than divestiture or contracting. Here the federal government signs an agreement with a private entity so the two can form a special-purpose vehicle to take ownership of the object being financed. The special-purpose vehicle is empowered to reach out to private financial markets to borrow money. This type of privatization is typically used to finance government office space, military base housing, and other large infrastructure projects. Departments like the Congressional Budget Office have frequently criticized this form of privatization as particularly inefficient and costly for the government. One the most the most important forms of bureaucratic oversight comes from inside the bureaucracy itself. Those within are in the best position to recognize and report on misconduct. But bureaucracies tend to jealously guard their reputations and are generally resistant to criticism from without and from within. This can create quite a problem for insiders who recognize and want to report mismanagement and even criminal behavior. The personal cost of doing the right thing can be prohibitive.Alan K. Campbell. 1978. “Civil Service Reform: A New Commitment.” Public Administration Review 38 No. 2, 99. For a typical bureaucrat faced with the option of reporting corruption and risking possible termination or turning the other way and continuing to earn a living, the choice is sometimes easy. Under heightened skepticism due to government inefficiency and outright corruption in the 1970s, government officials began looking for solutions. When Congress drafted the Civil Service Reform Act of 1978, it specifically included rights for federal whistleblowers, those who publicize misdeeds committed within a bureaucracy or other organization, and set up protection from reprisals. The act’s Merit Systems Protection Board is a quasi-juridical institutional board headed by three members appointed by the president and confirmed by the Senate that hears complaints, conducts investigations into possible abuses, and institutes protections for bureaucrats who speak out.Campbell, “Civil Service Reform,” 100. Over time, Congress and the president have strengthened these protections with additional acts. These include the Whistleblower Protection Act of 1989 and the Whistleblower Protection Enhancement Act of 2012, which further compelled federal agencies to protect whistleblowers who reasonably perceive that an institution or the people in the institution are acting inappropriately (Figure). Summary To reduce the intra-institutional disagreements the traditional rulemaking process seemed to bring, the negotiated rulemaking process was designed to encourage consensus. Both Congress and the president exercise direct oversight over the bureaucracy by holding hearings, making appointments, and setting budget allowances. Citizens exercise their oversight powers through their use of the Freedom of Information Act (FOIA) and by voting. Finally, bureaucrats also exercise oversight over their own institutions by using the channels carved out for whistleblowers to call attention to bureaucratic abuses. The Freedom of Information Act of 1966 helps citizens exercise oversight over the bureaucracy by ________. - empowering Congress - opening government records to citizen scrutiny - requiring annual evaluations by the president - forcing agencies to hold public meetings When reformers speak of bureaucratic privatization, they mean all the following processes except ________. - divestiture - government grants - whistleblowing - third-party financing Hint: C Briefly explain the advantages of negotiated rulemaking. What concerns might arise when Congress delegates decision-making authority to unelected leaders, sometimes called the fourth branch of government? In what ways might the patronage system be made more efficient? Does the use of bureaucratic oversight staff by Congress and by the OMB constitute unnecessary duplication? Why or why not? Which model of bureaucracy best explains the way the government currently operates? Why? Do you think Congress and the president have done enough to protect bureaucratic whistleblowers? Why or why not? Frederickson, H. G., K. B. Smith, C. W. Larimer, and M. J. Licari. 2003. Public Administration Theory Primer, 2nd ed. Boulder, CO: Westview Press. Fry, B. R. 1989. Mastering Public Administration: From Max Weber to Dwight Waldo. London: Chatham House. McKinney, J. B. and L. C. Howard. 1998. Public Administration: Balancing Power and Accountability, 2nd ed. Westport, CT: Praeger. Riccucci, N. M. 2010. Public Administration: Traditions of Inquiry and Philosophies of Knowledge. Washington, DC: Georgetown University Press. Shafritz, J. M., A.C. Hyde, and S. J. Parkes. 2003. Classics of Public Administration. Boston: Wadsworth. Wilson, J. Q. 1991. Bureaucracy: What Government Agencies Do and Why They Do It. New York: Basic Books.	oercommons	2025-03-18T00:38:53.919354	null	{ "license": "Creative Commons - Attribution - https://creativecommons.org/licenses/by/4.0/", "url": "https://oercommons.org/courseware/lesson/15275/overview", "title": "American Government, The Outputs of Government", "author": null }
https://oercommons.org/courseware/lesson/15276/overview	Introduction On March 25, 2010, both chambers of Congress passed the Health Care and Education Reconciliation Act (HCERA).“H.R. 4872 — Health Care and Education Reconciliation Act of 2010,” https://www.congress.gov/bill/111th-congress/house-bill/4872 (March 1, 2016). The story of the HCERA, which expanded and improved some provisions of the Patient Protection and Affordable Care Act (ACA), also known as Obamacare, is a complicated tale of insider politics in which the Democratic Party was able to enact sweeping health care and higher education reforms over fierce Republican opposition (Figure). Some people laud the HCERA as an example of getting things done in the face of partisan gridlock in Congress; others see it a case of government power run amok. Regardless of your view, the HCERA vividly demonstrates public policymaking in action. Each of the individual actors and institutions in the U.S. political system, such as the president, Congress, the courts, interest groups, and the media, gives us an idea of the component parts of the system and their functions. But in the study of public policy, we look at the larger picture and see all the parts working together to make laws, like the HCERA, that ultimately affect citizens and their communities. What is public policy? How do different areas of policy differ, and what roles do policy analysts and advocates play? What programs does the national government currently provide? And how do budgetary policy and politics operate? This chapter answers these questions and more.	oercommons	2025-03-18T00:38:53.935308	null	{ "license": "Creative Commons - Attribution - https://creativecommons.org/licenses/by/4.0/", "url": "https://oercommons.org/courseware/lesson/15276/overview", "title": "American Government, The Outputs of Government", "author": null }
https://oercommons.org/courseware/lesson/15277/overview	What Is Public Policy? Learning Objectives By the end of this section, you will be able to: - Explain the concept of public policy - Discuss examples of public policy in action It is easy to imagine that when designers engineer a product, like a car, they do so with the intent of satisfying the consumer. But the design of any complicated product must take into account the needs of regulators, transporters, assembly line workers, parts suppliers, and myriad other participants in the manufacture and shipment process. And manufacturers must also be aware that consumer tastes are fickle: A gas-guzzling sports car may appeal to an unmarried twenty-something with no children; but what happens to product satisfaction when gas prices fluctuate, or the individual gets married and has children? In many ways, the process of designing domestic policy isn’t that much different. The government, just like auto companies, needs to ensure that its citizen-consumers have access to an array of goods and services. And just as in auto companies, a wide range of actors is engaged in figuring out how to do it. Sometimes, this process effectively provides policies that benefit citizens. But just as often, the process of policymaking is muddied by the demands of competing interests with different opinions about society’s needs or the role that government should play in meeting them. To understand why, we begin by thinking about what we mean by the term “public policy.” PUBLIC POLICY DEFINED One approach to thinking about public policy is to see it as the broad strategy government uses to do its job. More formally, it is the relatively stable set of purposive governmental actions that address matters of concern to some part of society.James E. Anderson. 2000. Public Policymaking: An Introduction, 4th ed. Boston: Houghton Mifflin. This description is useful in that it helps to explain both what public policy is and what it isn’t. First, public policy is a guide to legislative action that is more or less fixed for long periods of time, not just short-term fixes or single legislative acts. Policy also doesn’t happen by accident, and it is rarely formed simply as the result of the campaign promises of a single elected official, even the president. While elected officials are often important in shaping policy, most policy outcomes are the result of considerable debate, compromise, and refinement that happen over years and are finalized only after input from multiple institutions within government as well as from interest groups and the public. Consider the example of health care expansion. A follower of politics in the news media may come away thinking the reforms implemented in 2010 were as sudden as they were sweeping, having been developed in the final weeks before they were enacted. The reality is that expanding health care access had actually been a priority of the Democratic Party for several decades. What may have seemed like a policy developed over a period of months was in fact formed after years of analysis, reflection upon existing policy, and even trial implementation of similar types of programs at the state level. Even before passage of the ACA (2010), which expanded health care coverage to millions, and of the HCERA (2010), more than 50 percent of all health care expenditures in the United States already came from federal government programs such as Medicare and Medicaid. Several House and Senate members from both parties along with First Lady Hillary Clinton had proposed significant expansions in federal health care policy during the Democratic administration of Bill Clinton, providing a number of different options for any eventual health care overhaul.“National Health Insurance—A Brief History of Reform Efforts in the U.S.,” March 2009, https://kaiserfamilyfoundation.files.wordpress.com/2013/01/7871.pdf (March 1, 2016). Much of what became the ACA was drawn from proposals originally developed at the state level, by none other than Obama’s 2012 Republican presidential opponent Mitt Romney when he was governor of Massachusetts.“Romneycare vs. Obamacare: Key Similarities & Differences,” 13 November 2013. http://boston.cbslocal.com/2013/11/13/romneycare-vs-obamacare-key-similarities-differences/ (March 1, 2016). In addition to being thoughtful and generally stable, public policy deals with issues of concern to some large segment of society, as opposed to matters of interest only to individuals or a small group of people. Governments frequently interact with individual actors like citizens, corporations, or other countries. They may even pass highly specialized pieces of legislation, known as private bills, which confer specific privileges on individual entities. But public policy covers only those issues that are of interest to larger segments of society or that directly or indirectly affect society as a whole. Paying off the loans of a specific individual would not be public policy, but creating a process for loan forgiveness available to certain types of borrowers (such as those who provide a public service by becoming teachers) would certainly rise to the level of public policy. A final important characteristic of public policy is that it is more than just the actions of government; it also includes the behaviors or outcomes that government action creates. Policy can even be made when government refuses to act in ways that would change the status quo when circumstances or public opinion begin to shift.E. E. Schattschneider. 1960. The Semi-Sovereign People. New York: Holt, Rinehart & Winston. For example, much of the debate over gun safety policy in the United States has centered on the unwillingness of Congress to act, even in the face of public opinion that supports some changes to gun policy. In fact, one of the last major changes occurred in 2004, when lawmakers’ inaction resulted in the expiration of a piece of legislation known as the Federal Assault Weapons Ban (1994).Brad Plumer, “Everything you need to know about the assault weapons ban, in one post,” The Washington Post, 17 December 2012. https://www.washingtonpost.com/news/wonk/wp/2012/12/17/everything-you-need-to-know-about-banning-assault-weapons-in-one-post/ (March 1, 2016). PUBLIC POLICY AS OUTCOMES Governments rarely want to keep their policies a secret. Elected officials want to be able to take credit for the things they have done to help their constituents, and their opponents are all too willing to cast blame when policy initiatives fail. We can therefore think of policy as the formal expression of what elected or appointed officials are trying to accomplish. In passing the HCERA (2010), Congress declared its policy through an act that directed how it would appropriate money. The president can also implement or change policy through an executive order, which offers instructions about how to implement law under his or her discretion (Figure). Finally, policy changes can come as a result of court actions or opinions, such as Brown v. Board of Education of Topeka (1954), which formally ended school segregation in the United States.Brown v. Board of Education of Topeka, 347 U.S. 483 (1954). Typically, elected and even high-ranking appointed officials lack either the specific expertise or tools needed to successfully create and implement public policy on their own. They turn instead to the vast government bureaucracy to provide policy guidance. For example, when Congress passed the Clean Water Act (1972), it dictated that steps should be taken to improve water quality throughout the country. But it ultimately left it to the bureaucracy to figure out exactly how ‘clean’ water needed to be. In doing so, Congress provided the Environmental Protection Agency (EPA) with discretion to determine how much pollution is allowed in U.S. waterways. There is one more way of thinking about policy outcomes: in terms of winners and losers. Almost by definition, public policy promotes certain types of behavior while punishing others. So, the individuals or corporations that a policy favors are most likely to benefit, or win, whereas those the policy ignores or punishes are likely to lose. Even the best-intended policies can have unintended consequences and may even ultimately harm someone, if only those who must pay for the policy through higher taxes. A policy designed to encourage students to go to liberal arts colleges may cause trade school enrollment to decline. Strategies to promote diversity in higher education may make it more difficult for qualified white or male applicants to get accepted into competitive programs. Efforts to clean up drinking water supplies may make companies less competitive and cost employees their livelihood. Even something that seems to help everyone, such as promoting charitable giving through tax incentives, runs the risk of lowering tax revenues from the rich (who contribute a greater share of their income to charity) and shifting tax burdens to the poor (who must spend a higher share of their income to achieve a desired standard of living). And while policy pronouncements and bureaucratic actions are certainly meant to rationalize policy, it is whether a given policy helps or hurts constituents (or is perceived to do so) that ultimately determines how voters will react toward the government in future elections. The Social Safety Net During the Great Depression of the 1930s, the United States created a set of policies and programs that constituted a social safety net for the millions who had lost their jobs, their homes, and their savings (Figure). Under President Franklin Delano Roosevelt, the federal government began programs like the Work Progress Administration and Civilian Conservation Corps to combat unemployment and the Home Owners’ Loan Corporation to refinance Depression-related mortgage debts. As the effects of the Depression eased, the government phased out many of these programs. Other programs, like Social Security or the minimum wage, remain an important part of the way the government takes care of the vulnerable members of its population. The federal government has also added further social support programs, like Medicaid, Medicare, and the Special Supplemental Nutrition Program for Women, Infants, and Children, to ensure a baseline or minimal standard of living for all, even in the direst of times. In recent decades, however, some have criticized these safety net programs for inefficiency and for incentivizing welfare dependence. They deride “government leeches” who use food stamps to buy lobster or other seemingly inappropriate items. Critics deeply resent the use of taxpayer money to relieve social problems like unemployment and poverty; workers who may themselves be struggling to put food on the table or pay the mortgage feel their hard-earned money should not support other families. “If I can get by without government support,” the reasoning goes, “those welfare families can do the same. Their poverty is not my problem.” So where should the government draw the line? While there have been some instances of welfare fraud, the welfare reforms of the 1990s have made long-term dependence on the federal government less likely as the welfare safety net was pushed to the states. And with the income gap between the richest and the poorest at its highest level in history, this topic is likely to continue to receive much discussion in the coming years. Where is the middle ground in the public policy argument over the social safety net? How can the government protect its most vulnerable citizens without placing an undue burden on others? Explore historical data on United States budgets and spending from 1940 to the present from the Office of Management and Budget. Summary Public policy is the broad strategy government uses to do its job, the relatively stable set of purposive governmental behaviors that address matters of concern to some part of society. Most policy outcomes are the result of considerable debate, compromise, and refinement that happen over years and are finalized only after input from multiple institutions within government. Health care reform, for instance, was developed after years of analysis, reflection on existing policy, and even trial implementation at the state level. People evaluate public policies based on their outcomes, that is, who benefits and who loses. Even the best-intended policies can have unintended consequences and may even ultimately harm someone, if only those who must pay for the policy through higher taxes. Which of the following is not an example of a public policy outcome? - the creation of a program to combat drug trafficking - the passage of the Affordable Care Act (Obamacare) - the passage of tax cuts during the George W. Bush administration - none of the above; all are public policy outcomes Hint: D Public policy ________. - is more of a theory than a reality - is typically made by one branch of government acting alone - requires multiple actors and branches to carry out - focuses on only a few special individuals What are some of the challenges to getting a new public policy considered and passed as law? Hint: Approval of a new policy requires government to recognize that a problem needs solving, and the approval of the elected branches of government. This process can take a long time.	oercommons	2025-03-18T00:38:53.959224	null	{ "license": "Creative Commons - Attribution - https://creativecommons.org/licenses/by/4.0/", "url": "https://oercommons.org/courseware/lesson/15277/overview", "title": "American Government, The Outputs of Government", "author": null }
https://oercommons.org/courseware/lesson/15278/overview	Categorizing Public Policy Learning Objectives By the end of this section, you will be able to: - Describe the different types of goods in a society - Identify key public policy domains in the United States - Compare the different forms of policy and the way they transfer goods within a society The idea of public policy is by its very nature a politically contentious one. Among the differences between American liberals and conservatives are the policy preferences prevalent in each group. Modern liberals tend to feel very comfortable with the idea of the government shepherding progressive social and economic reforms, believing that these will lead to outcomes more equitable and fair for all members of society. Conservatives, on the other hand, often find government involvement onerous and overreaching. They feel society would function more efficiently if oversight of most “public” matters were returned to the private sphere. Before digging too deeply into a discussion of the nature of public policy in the United States, let us look first at why so many aspects of society come under the umbrella of public policy to begin with. DIFFERENT TYPES OF GOODS Think for a minute about what it takes to make people happy and satisfied. As we live our daily lives, we experience a range of physical, psychological, and social needs that must be met in order for us to be happy and productive. At the very least, we require food, water, and shelter. In very basic subsistence societies, people acquire these through farming crops, digging wells, and creating shelter from local materials (see Figure). People also need social interaction with others and the ability to secure goods they acquire, lest someone else try to take them. As their tastes become more complex, they may find it advantageous to exchange their items for others; this requires not only a mechanism for barter but also a system of transportation. The more complex these systems are, the greater the range of items people can access to keep them alive and make them happy. However, this increase in possessions also creates a stronger need to secure what they have acquired. Economists use the term goods to describe the range of commodities, services, and systems that help us satisfy our wants or needs. This term can certainly apply to the food you eat or the home you live in, but it can also describe the systems of transportation or public safety used to protect them. Most of the goods you interact with in your daily life are private goods, which means that they can be owned by a particular person or group of people, and are excluded from use by others, typically by means of a price. For example, your home or apartment is a private good reserved for your own use because you pay rent or make mortgage payments for the privilege of living there. Further, private goods are finite and can run out if overused, even if only in the short term. The fact that private goods are excludable and finite makes them tradable. A farmer who grows corn, for instance, owns that corn, and since only a finite amount of corn exists, others may want to trade their goods for it if their own food supplies begin to dwindle. Proponents of free-market economics believe that the market forces of supply and demand, working without any government involvement, are the most effective way for markets to operate. One of the basic principles of free-market economics is that for just about any good that can be privatized, the most efficient means for exchange is the marketplace. A well-functioning market will allow producers of goods to come together with consumers of goods to negotiate a trade. People facilitate trade by creating a currency—a common unit of exchange—so they do not need to carry around everything they may want to trade at all times. As long as there are several providers or sellers of the same good, consumers can negotiate with them to find a price they are willing to pay. As long as there are several buyers for a seller’s goods, providers can negotiate with them to find a price buyers are willing to accept. And, the logic goes, if prices begin to rise too much, other sellers will enter the marketplace, offering lower prices. A second basic principle of free-market economics is that it is largely unnecessary for the government to protect the value of private goods. Farmers who own land used for growing food have a vested interest in protecting their land to ensure its continued production. Business owners must protect the reputation of their business or no one will buy from them. And, to the degree that producers need to ensure the quality of their product or industry, they can accomplish that by creating a group or association that operates outside government control. In short, industries have an interest in self-regulating to protect their own value. According to free-market economics, as long as everything we could ever want or need is a private good, and so long as every member of society has some ability to provide for themselves and their families, public policy regulating the exchange of goods and services is really unnecessary. Some people in the United States argue that the self-monitoring and self-regulating incentives provided by the existence of private goods mean that sound public policy requires very little government action. Known as libertarians, these individuals believe government almost always operates less efficiently than the private sector (the segment of the economy run for profit and not under government control), and that government actions should therefore be kept to a minimum. Even as many in the United States recognize the benefits provided by private goods, we have increasingly come to recognize problems with the idea that all social problems can be solved by exclusively private ownership. First, not all goods can be classified as strictly private. Can you really consider the air you breathe to be private? Air is a difficult good to privatize because it is not excludable—everyone can get access to it at all times—and no matter how much of it you breathe, there is still plenty to go around. Geographic regions like forests have environmental, social, recreational, and aesthetic value that cannot easily be reserved for private ownership. Resources like migrating birds or schools of fish may have value if hunted or fished, but they cannot be owned due to their migratory nature. Finally, national security provided by the armed forces protects all citizens and cannot reasonably be reserved for only a few. These are all examples of what economists call public goods, sometimes referred to as collective goods. Unlike private property, they are not excludable and are essentially infinite. Forests, water, and fisheries, however, are a type of public good called common goods, which are not excludable but may be finite. The problem with both public and common goods is that since no one owns them, no one has a financial interest in protecting their long-term or future value. Without government regulation, a factory owner can feel free to pollute the air or water, since he or she will have no responsibility for the pollution once the winds or waves carry it somewhere else (see Figure). Without government regulation, someone can hunt all the migratory birds or deplete a fishery by taking all the fish, eliminating future breeding stocks that would maintain the population. The situation in which individuals exhaust a common resource by acting in their own immediate self-interest is called the tragedy of the commons. A second problem with strict adherence to free-market economics is that some goods are too large, or too expensive, for individuals to provide them for themselves. Consider the need for a marketplace: Where does the marketplace come from? How do we get the goods to market? Who provides the roads and bridges? Who patrols the waterways? Who provides security? Who ensures the regulation of the currency? No individual buyer or seller could accomplish this. The very nature of the exchange of private goods requires a system that has some of the openness of public or common goods, but is maintained by either groups of individuals or entire societies. Economists consider goods like cable TV, cellphone service, and private schools to be toll goods. Toll goods are similar to public goods in that they are open to all and theoretically infinite if maintained, but they are paid for or provided by some outside (nongovernment) entity. Many people can make use of them, but only if they can pay the price. The name “toll goods” comes from the fact that, early on, many toll roads were in fact privately owned commodities. Even today, states from Virginia to California have allowed private companies to build public roads in exchange for the right to profit by charging tolls.David Mildenberg, “Private Toll Road Investors Shift Revenue Risk to States,” 26 November 2013. http://www.bloomberg.com/news/articles/2013-11-27/private-toll-road-investors-shift-revenue-risk-to-states (March 1, 2016). So long as land was plentiful, and most people in the United States lived a largely rural subsistence lifestyle, the difference between private, public, common, and toll goods was mostly academic. But as public lands increasingly became private through sale and settlement, and as industrialization and the rise of mass production allowed monopolies and oligopolies to become more influential, support for public policies regulating private entities grew. By the beginning of the twentieth century, led by the Progressives, the United States had begun to search for ways to govern large businesses that had managed to distort market forces by monopolizing the supply of goods. And, largely as a result of the Great Depression, people wanted ways of developing and protecting public goods that were fairer and more equitable than had existed before. These forces and events led to the increased regulation of public and common goods, and a move for the public sector—the government—to take over of the provision of many toll goods. CLASSIC TYPES OF POLICY Public policy, then, ultimately boils down to determining the distribution, allocation, and enjoyment of public, common, and toll goods within a society. While the specifics of policy often depend on the circumstances, two broad questions all policymakers must consider are a) who pays the costs of creating and maintaining the goods, and b) who receives the benefits of the goods? When private goods are bought and sold in a market place, the costs and benefits go to the participants in the transaction. Your landlord benefits from receipt of the rent you pay, and you benefit by having a place to live. But non-private goods like roads, waterways, and national parks are controlled and regulated by someone other than the owners, allowing policymakers to make decisions about who pays and who benefits. In 1964, Theodore Lowi argued that it was possible to categorize policy based upon the degree to which costs and benefits were concentrated on the few or diffused across the many. One policy category, known as distributive policy, tends to collect payments or resources from many but concentrates direct benefits on relatively few. Highways are often developed through distributive policy. Distributive policy is also common when society feels there is a social benefit to individuals obtaining private goods such as higher education that offer long-term benefits, but the upfront cost may be too high for the average citizen. One example of the way distributive policy works is the story of the Transcontinental Railroad. In the 1860s, the U.S. government began to recognize the value of building a robust railroad system to move passengers and freight around the country. A particular goal was connecting California and the other western territories acquired during the 1840s war with Mexico to the rest of the country. The problem was that constructing a nationwide railroad system was a costly and risky proposition. To build and support continuous rail lines, private investors would need to gain access to tens of thousands of miles of land, some of which might be owned by private citizens. The solution was to charter two private corporations—the Central Pacific and Union Pacific Railroads—and provide them with resources and land grants to facilitate the construction of the railroads (see Figure).http://www.history.com/topics/inventions/transcontinental-railroad (March 1, 2016). Through these grants, publicly owned land was distributed to private citizens, who could then use it for their own gain. However, a broader public gain was simultaneously being provided in the form of a nationwide transportation network. The same process operates in the agricultural sector, where various federal programs help farmers and food producers through price supports and crop insurance, among other forms of assistance. These programs help individual farmers and agriculture companies stay afloat and realize consistent profits. They also achieve the broader goal of providing plenty of sustenance for the people of the United States, so that few of us have to “live off the land.” The Hoover Dam: The Federal Effort to Domesticate the Colorado River As westward expansion led to development of the American Southwest, settlers increasingly realized that they needed a way to control the frequent floods and droughts that made agriculture difficult in the region. As early as 1890, land speculators had tried diverting the Colorado River for this purpose, but it wasn’t until 1922 that the U.S. Bureau of Reclamation (then called the Reclamation Service) chose the Black Canyon as a good location for a dam to divert the river. Since it would affect seven states (as well as Mexico), the federal government took the lead on the project, which eventually cost $49 million and more than one hundred lives. The dam faced significant opposition from members of other states, who felt its massive price tag (almost $670 million in today’s dollarshttp://www.dollartimes.com/inflation/inflation.php?amount=49&year=1919 (March 1, 2016).) benefitted only a small group, not the whole nation. However, in 1928, Senator Hiram Johnson and Representative Phil Swing, both Republicans from California, won the day. Congress passed the Boulder Canyon Project Act, authorizing the construction of one of the most ambitious engineering feats in U.S. history. The Hoover Dam (Figure), completed in 1935, served the dual purposed of generating hydroelectric power and irrigating two million acres of land from the resulting reservoir (Lake Mead). Was the construction of the Hoover Dam an effective expression of public policy? Why or why not? Visit this site to see how the U.S. Bureau of Reclamation (USBR) presented the construction of the Hoover Dam. How would you describe the bureau’s perspective? American Rivers is an advocacy group whose goal is to protect and restore rivers, including the Colorado River. How does this group’s view of the Hoover Dam differ from that of the USBR? Other examples of distributive policy support citizens’ efforts to achieve “the American Dream.” American society recognizes the benefits of having citizens who are financially invested in the country’s future. Among the best ways to encourage this investment are to ensure that citizens are highly educated and have the ability to acquire high-cost private goods such as homes and businesses. However, very few people have the savings necessary to pay upfront for a college education, a first home purchase, or the start-up costs of a business. To help out, the government has created a range of incentives that everyone in the country pays for through taxes but that directly benefit only the recipients. Examples include grants (such as Pell grants), tax credits and deductions, and subsidized or federally guaranteed loans. Each of these programs aims to achieve a policy outcome. Pell grants exist to help students graduate from college, whereas Federal Housing Administration mortgage loans lead to home ownership. While distributive policy, according to Lowi, has diffuse costs and concentrated benefits, regulatory policy features the opposite arrangement, with concentrated costs and diffuse benefits. A relatively small number of groups or individuals bear the costs of regulatory policy, but its benefits are expected to be distributed broadly across society. As you might imagine, regulatory policy is most effective for controlling or protecting public or common resources. Among the best-known examples are policies designed to protect public health and safety, and the environment. These regulatory policies prevent manufacturers or businesses from maximizing their profits by excessively polluting the air or water, selling products they know to be harmful, or compromising the health of their employees during production. In the United States, nationwide calls for a more robust regulatory policy first grew loud around the turn of the twentieth century and the dawn of the Industrial Age. Investigative journalists—called muckrakers by politicians and business leaders who were the focus of their investigations—began to expose many of the ways in which manufacturers were abusing the public trust. Although various forms of corruption topped the list of abuses, among the most famous muckraker exposés was The Jungle, a 1906 novel by Upton Sinclair that focused on unsanitary working conditions and unsavory business practices in the meat-packing industry.Upton Sinclair. 1906. The Jungle. New York: Grosset and Dunlap. This work and others like it helped to spur the passage of the Pure Food and Drug Act (1906) and ultimately led to the creation of government agencies such as the U.S. Food and Drug Administration (FDA).http://www.fda.gov/AboutFDA/WhatWeDo/History/ (March 1, 2016). The nation’s experiences during the depression of 1896 and the Great Depression of the 1930s also led to more robust regulatory policies designed to improve the transparency of financial markets and prevent monopolies from forming. A final type of policy is redistributive policy, so named because it redistributes resources in society from one group to another. That is, according to Lowi, the costs are concentrated and so are the benefits, but different groups bear the costs and enjoy the benefits. Most redistributive policies are intended to have a sort of “Robin Hood” effect; their goal is to transfer income and wealth from one group to another such that everyone enjoys at least a minimal standard of living. Typically, the wealthy and middle class pay into the federal tax base, which then funds need-based programs that support low-income individuals and families. A few examples of redistributive policies are Head Start (education), Medicaid (health care), Temporary Assistance for Needy Families (TANF, income support), and food programs like the Supplementary Nutritional Aid Program (SNAP). The government also uses redistribution to incentivize specific behaviors or aid small groups of people. Pell grants to encourage college attendance and tax credits to encourage home ownership are other examples of redistribution. Summary Goods are the commodities, services, and systems that satisfy people’s wants or needs. Private goods can be owned by a particular person or group, and are excluded from use by others, typically by means of a price. Free-market economists believe that the government has no role in regulating the exchange of private goods because the market will regulate itself. Public goods, on the other hand, are goods like air, water, wildlife, and forests that no one owns, so no one has responsibility for them. Most people agree the government has some role to play in regulating public goods. We categorize policy based upon the degree to which costs and benefits are concentrated on the few or diffused across the many. Distributive policy collects from the many and benefits the few, whereas regulatory policy focuses costs on one group while benefitting larger society. Redistributive policy shares the wealth and income of some groups with others. Toll goods differ from public goods in that ________. - they provide special access to some and not all - they require the payment of a fee up front - they provide a service for only the wealthy - they are free and available to all Which type of policy directly benefits the most citizens? - regulatory policy - distributive policy - redistributive policy - self-regulatory policy Hint: A Of the types of goods introduced in this section, which do you feel is the most important to the public generally and why? Which public policies are most important and why?	oercommons	2025-03-18T00:38:53.987112	null	{ "license": "Creative Commons - Attribution - https://creativecommons.org/licenses/by/4.0/", "url": "https://oercommons.org/courseware/lesson/15278/overview", "title": "American Government, The Outputs of Government", "author": null }
https://oercommons.org/courseware/lesson/15279/overview	Policy Arenas Learning Objectives By the end of this section, you will be able to: - Identify the key domestic arenas of public policy - Describe the major social safety net programs - List the key agencies responsible for promoting and regulating U.S. business and industry In practice, public policy consists of specific programs that provide resources to members of society, create regulations that protect U.S. citizens, and attempt to equitably fund the government. We can broadly categorize most policies based on their goals or the sector of society they affect, although many, such as food stamps, serve multiple purposes. Implementing these policies costs hundreds of billions of dollars each year, and understanding the goals of this spending and where the money goes is of vital importance to citizens and students of politics alike. SOCIAL WELFARE POLICY The U.S. government began developing a social welfare policy during the Great Depression of the 1930s. By the 1960s, social welfare had become a major function of the federal government—one to which most public policy funds are devoted—and had developed to serve several overlapping functions. First, social welfare policy is designed to ensure some level of equity in a democratic political system based on competitive, free-market economics. During the Great Depression, many politicians came to fear that the high unemployment and low-income levels plaguing society could threaten the stability of democracy, as was happening in European countries like Germany and Italy. The assumption in this thinking is that democratic systems work best when poverty is minimized. In societies operating in survival mode, in contrast, people tend to focus more on short-term problem-solving than on long-term planning. Second, social welfare policy creates an automatic stimulus for a society by building a safety net that can catch members of society who are suffering economic hardship through no fault of their own. For an individual family, this safety net makes the difference between eating and starving; for an entire economy, it could prevent an economic recession from sliding into a broader and more damaging depression. One of the oldest and largest pieces of social welfare policy is Social Security, which cost the United States about $845 billion in 2014 alone.“An Update to the Budget and Economic Outlook: 2014 to 2024,” 27 August 2014. https://www.cbo.gov/publication/45653 (March 1, 2016). These costs are offset by a 12.4 percent payroll tax on all wages up to $118,500; employers and workers who are not self-employed split the bill for each worker, whereas the self-employed pay their entire share.“Update 2016,” https://www.ssa.gov/pubs/EN-05-10003.pdf (March 1, 2016). Social Security was conceived as a solution to several problems inherent to the Industrial Era economy. First, by the 1920s and 1930s, an increasing number of workers were earning their living through manual or day-wage labor that depended on their ability to engage in physical activity (Figure). As their bodies weakened with age or if they were injured, their ability to provide for themselves and their families was compromised. Second, and of particular concern, were urban widows. During their working years, most American women stayed home to raise children and maintain the household while their husbands provided income. Should their husbands die or become injured, these women had no wage-earning skills with which to support themselves or their families. Social Security addresses these concerns with three important tools. First and best known is the retirement benefit. After completing a minimum number of years of work, American workers may claim a form of pension upon reaching retirement age. It is often called an entitlement program since it guarantees benefits to a particular group, and virtually everyone will eventually qualify for the plan given the relatively low requirements for enrollment. The amount of money a worker receives is based loosely on his or her lifetime earnings. Full retirement age was originally set at sixty-five, although changes in legislation have increased it to sixty-seven for workers born after 1959.https://www.ssa.gov/planners/retire/ageincrease.html (March 1, 2016). A valuable added benefit is that, under certain circumstances, this income may also be claimed by the survivors of qualifying workers, such as spouses and minor children, even if they themselves did not have a wage income. A second Social Security benefit is a disability payout, which the government distributes to workers who become unable to work due to physical or mental disability. To qualify, workers must demonstrate that the injury or incapacitation will last at least twelve months. A third and final benefit is Supplemental Security Income, which provides supplemental income to adults or children with considerable disability or to the elderly who fall below an income threshold. During the George W. Bush administration, Social Security became a highly politicized topic as the Republican Party sought to find a way of preventing what experts predicted would be the impending collapse of the Social Security system (Figure). In 1950, the ratio of workers paying into the program to beneficiaries receiving payments was 16.5 to 1. By 2013, that number was 2.8 to 1 and falling. Most predictions in fact suggest that, due to continuing demographic changes including slower population growth and an aging population, by 2033, the amount of revenue generated from payroll taxes will no longer be sufficient to cover costs. The Bush administration proposed avoiding this by privatizing the program, in effect, taking it out of the government’s hands and making individuals’ benefits variable instead of defined. The effort ultimately failed, and Social Security’s long-term viability continues to remain uncertain. Numerous other plans for saving the program have been proposed, including raising the retirement age, increasing payroll taxes (especially on the wealthy) by removing the $118,500 income cap, and reducing payouts for wealthier retirees. None of these proposals have been able to gain traction, however. While Social Security was designed to provide cash payments to sustain the aged and disabled, Medicare and Medicaid were intended to ensure that vulnerable populations have access to health care. Medicare, like Social Security, is an entitlement program funded through payroll taxes. Its purpose is to make sure that senior citizens and retirees have access to low-cost health care they might not otherwise have, because most U.S. citizens get their health insurance through their employers. Medicare provides three major forms of coverage: a guaranteed insurance benefit that helps cover major hospitalization, fee-based supplemental coverage that retirees can use to lower costs for doctor visits and other health expenses, and a prescription drug benefit. Medicare faces many of the same long-term challenges as Social Security, due to the same demographic shifts. Medicare also faces the problem that health care costs are rising significantly faster than inflation. In 2014, Medicare cost the federal government almost $597 billion.“The Facts on Medicare Spending and Financing,” http://kff.org/medicare/fact-sheet/medicare-spending-and-financing-fact-sheet/ (March 1, 2016); “National Health Expenditure Fact Sheet,” https://www.cms.gov/research-statistics-data-and-systems/statistics-trends-and-reports/nationalhealthexpenddata/nhe-fact-sheet.html (March 1, 2016). Medicaid is a formula-based, health insurance program, which means beneficiaries must demonstrate they fall within a particular income category. Individuals in the Medicaid program receive a fairly comprehensive set of health benefits, although access to health care may be limited because fewer providers accept payments from the program (it pays them less for services than does Medicare). Medicaid differs dramatically from Medicare in that it is partially funded by states, many of which have reduced access to the program by setting the income threshold so low that few people qualify. The ACA (2010) sought to change that by providing more federal money to the states if they agreed to raise minimum income requirements. Many states have refused, which has helped to keep the overall costs of Medicaid lower, even though it has also left many people without health coverage they might receive if they lived elsewhere. Total costs for Medicaid in 2014 were about $492 billion, about $305 billion of which was paid by the federal government.“National Health Expenditure Fact Sheet,” https://www.cms.gov/research-statistics-data-and-systems/statistics-trends-and-reports/nationalhealthexpenddata/nhe-fact-sheet.html (March 1, 2016). Collectively, Social Security, Medicare, and Medicaid make up the lion’s share of total federal government spending, almost 50 percent in 2014 and more than 50 percent in 2015. Several other smaller programs also provide income support to families. Most of these are formula-based, or means-tested, requiring citizens to meet certain maximum income requirements in order to qualify. A few examples are TANF, SNAP (also called food stamps), the unemployment insurance program, and various housing assistance programs. Collectively, these programs add up to a little over $480 billion. SCIENCE, TECHNOLOGY, AND EDUCATION After World War II ended, the United States quickly realized that it had to address two problems to secure its fiscal and national security future. The first was that more than ten million servicemen and women needed to be reintegrated into the workforce, and many lacked appreciable work skills. The second problem was that the United States’ success in its new conflict with the Soviet Union depended on the rapid development of a new, highly technical military-industrial complex. To confront these challenges, the U.S. government passed several important pieces of legislation to provide education assistance to workers and research dollars to industry. As the needs of American workers and industry have changed, many of these programs have evolved from their original purposes, but they still remain important pieces of the public policy debate. Much of the nation’s science and technology policy benefits its military, for instance, in the form of research and development funding for a range of defense projects. The federal government still promotes research for civilian uses, mostly through the National Science Foundation, the National Institutes of Health, the National Aeronautics and Space Administration (NASA), and the National Oceanic and Atmospheric Administration. Recent debate over these agencies has focused on whether government funding is necessary or if private entities would be better suited. For example, although NASA continues to develop a replacement for the now-defunct U.S. space shuttle program (Figure), much of its workload is currently being performed by private companies working to develop their own space launch, resupply, and tourism programs. The problem of trying to direct and fund the education of a modern U.S. workforce is familiar to many students of American government. Historically, education has largely been the job of the states. While they have provided a very robust K–12 public education system, the national government has never moved to create an equivalent system of national higher education academies or universities as many other countries have done. As the need to keep the nation competitive with others became more pressing, however, the U.S. government did step in to direct its education dollars toward creating greater equity and ease of access to the existing public and private systems. The overwhelming portion of the government’s education money is spent on student loans, grants, and work-study programs. Resources are set aside to cover job-retraining programs for individuals who lack private-sector skills or who need to be retrained to meet changes in the economy’s demands for the labor force. National policy toward elementary and secondary education programs has typically focused on increasing resources available to school districts for nontraditional programs (such as preschool and special needs), or helping poorer schools stay competitive with wealthier institutions. BUSINESS STIMULUS AND REGULATION A final key aspect of domestic policy is the growth and regulation of business. The size and strength of the economy is very important to politicians whose jobs depend on citizens’ believing in their own future prosperity. At the same time, people in the United States want to live in a world where they feel safe from unfair or environmentally damaging business practices. These desires have forced the government to perform a delicate balancing act between programs that help grow the economy by providing benefits to the business sector and those that protect consumers, often by curtailing or regulating the business sector. Two of the largest recipients of government aid to business are agriculture and energy. Both are multi-billion dollar industries concentrated in rural and/or electorally influential states. Because voters are affected by the health of these sectors every time they pay their grocery or utility bill, the U.S. government has chosen to provide significant agriculture and energy subsidies to cover the risks inherent in the unpredictability of the weather and oil exploration. Government subsidies also protect these industries’ profitability. These two purposes have even overlapped in the government’s controversial decision to subsidize the production of ethanol, a fuel source similar to gasoline but generated from corn. When it comes to regulation, the federal government has created several agencies responsible for providing for everything from worker safety (OSHA, the Occupational Safety and Health Administration), to food safety (FDA), to consumer protection, where the recently created Bureau of Consumer Protection ensures that businesses do not mislead consumers with deceptive or manipulative practices. Another prominent federal agency, the EPA, is charged with ensuring that businesses do not excessively pollute the nation’s air or waterways. A complex array of additional regulatory agencies governs specific industries such as banking and finance, which are detailed later in this chapter. The policy areas we’ve described so far fall far short of forming an exhaustive list. This site contains the major topic categories of substantive policy in U.S. government, according to the Policy Agendas Project. View subcategories by clicking on the major topic categories. Summary The three major domestic policy areas are social welfare; science, technology, and education; and business stimulus and regulation. Social welfare programs like Social Security, Medicaid, and Medicare form a safety net for vulnerable populations. Science, technology, and education policies have the goal of securing the United States’ competitive advantages. Business stimulus and regulation policies have to balance business’ needs for an economic edge with consumers’ need for protection from unfair or unsafe practices. The United States spends billions of dollars on these programs. Social Security and Medicare are notable for their assistance to which group? - the poor - young families starting out - those in urban areas - the elderly Hint: D Setting aside Social Security and Medicare, other entitlement programs in the U.S. government ________. - constitute over half the budget - constitute well under one-quarter of the budget - are paid for by the states with no cost to the Federal government - none of the above What societal ills are social welfare programs designed to address? Hint: Need-based programs exist to provide at least a minimal standard of living for those in dire straits and to provide opportunities to improve their fate in life. In the short term, they allow mere survival, while in the long term, they can help the individual and society.	oercommons	2025-03-18T00:38:54.014183	null	{ "license": "Creative Commons - Attribution - https://creativecommons.org/licenses/by/4.0/", "url": "https://oercommons.org/courseware/lesson/15279/overview", "title": "American Government, The Outputs of Government", "author": null }
https://oercommons.org/courseware/lesson/15280/overview	Policymakers Learning Objectives By the end of this section, you will be able to: - Identify types of policymakers in different issue areas - Describe the public policy process Many Americans were concerned when Congress began debating the ACA. As the program took shape, some people felt the changes it proposed were being debated too hastily, would be implemented too quickly, or would summarily give the government control over an important piece of the U.S. economy—the health care industry. Ironically, the government had been heavily engaged in providing health care for decades. More than 50 percent of all health care dollars spent were being spent by the U.S. government well before the ACA was enacted. As you have already learned, Medicare was created decades earlier. Despite protesters’ resistance to government involvement in health care, there is no keeping government out of Medicare; the government IS Medicare. What many did not realize is that few if any of the proposals that eventually became part of the ACA were original. While the country was worried about problems like terrorism, the economy, and conflicts over gay rights, armies of individuals were debating the best ways to fix the nation’s health care delivery. Two important but overlapping groups defended their preferred policy changes: policy advocates and policy analysts. POLICY ADVOCATES Take a minute to think of a policy change you believe would improve some condition in the United States. Now ask yourself this: “Why do I want to change this policy?” Are you motivated by a desire for justice? Do you feel the policy change would improve your life or that of members of your community? Is your sense of morality motivating you to change the status quo? Would your profession be helped? Do you feel that changing the policy might raise your status? Most people have some policy position or issue they would like to see altered (see Figure). One of the reasons the news media are so enduring is that citizens have a range of opinions on public policy, and they are very interested in debating how a given change would improve their lives or the country’s. But despite their interests, most people do little more than vote or occasionally contribute to a political campaign. A few people, however, become policy advocates by actively working to propose or maintain public policy. One way to think about policy advocates is to recognize that they hold a normative position on an issue, that is, they have a conviction about what should or ought to be done. The best public policy, in their view, is one that accomplishes a specific goal or outcome. For this reason, advocates often begin with an objective and then try to shape or create proposals that help them accomplish that goal. Facts, evidence, and analysis are important tools for convincing policymakers or the general public of the benefits of their proposals. Private citizens often find themselves in advocacy positions, particularly if they are required to take on leadership roles in their private lives or in their organizations. The most effective advocates are usually hired professionals who form lobbying groups or think tanks to promote their agenda. A lobbying group that frequently takes on advocacy roles is AARP (formerly the American Association of Retired Persons) (Figure). AARP’s primary job is to convince the government to provide more public resources and services to senior citizens, often through regulatory or redistributive politics. Chief among its goals are lower health care costs and the safety of Social Security pension payments. These aims put AARP in the Democratic Party’s electoral coalition, since Democrats have historically been stronger advocates for Medicare’s creation and expansion. In 2002, for instance, Democrats and Republicans were debating a major change to Medicare. The Democratic Party supported expanding Medicare to include free or low-cost prescription drugs, while the Republicans preferred a plan that would require seniors to purchase drug insurance through a private insurer. The government would subsidize costs, but many seniors would still have substantial out-of-pocket expenses. To the surprise of many, AARP supported the Republican proposal. While Democrats argued that their position would have provided a better deal for individuals, AARP reasoned that the Republican plan had a much better chance of passing. The Republicans controlled the House and looked likely to reclaim control of the Senate in the upcoming election. Then-president George W. Bush was a Republican and would almost certainly have vetoed the Democratic approach. AARP’s support for the legislation helped shore up support for Republicans in the 2002 midterm election and also help convince a number of moderate Democrats to support the bill (with some changes), which passed despite apparent public disapproval. AARP had done its job as an advocate for seniors by creating a new benefit it hoped could later be expanded, rather than fighting for an extreme position that would have left it with nothing.Thomas R. Oliver, Philip R. Lee, and Helene L. Lipton. 2004. “A Political History of Medicare and Prescription Drug Coverage,” Milbank Quarterly 82, No. 2: 283–354, http://www.ncbi.nlm.nih.gov/pmc/articles/PMC2690175/. Not all policy advocates are as willing to compromise their positions. It is much easier for a group like AARP to compromise over the amount of money seniors will receive, for instance, than it is for an evangelical religious group to compromise over issues like abortion, or for civil rights groups to accept something less than equality. Nor are women’s rights groups likely to accept pay inequality as it currently exists. It is easier to compromise over financial issues than over our individual views of morality or social justice. POLICY ANALYSTS A second approach to creating public policy is a bit more objective. Rather than starting with what ought to happen and seeking ways to make it so, policy analysts try to identify all the possible choices available to a decision maker and then gauge their impacts if implemented. The goal of the analyst isn’t really to encourage the implementation of any of the options; rather, it is to make sure decision makers are fully informed about the implications of the decisions they do make. Understanding the financial and other costs and benefits of policy choices requires analysts to make strategic guesses about how the public and governmental actors will respond. For example, when policymakers are considering changes to health care policy, one very important question is how many people will participate. If very few people had chosen to take advantage of the new health care plans available under the ACA marketplace, it would have been significantly cheaper than advocates proposed, but it also would have failed to accomplish the key goal of increasing the number of insured. But if people who currently have insurance had dropped it to take advantage of ACA’s subsidies, the program’s costs would have skyrocketed with very little real benefit to public health. Similarly, had all states chosen to create their own marketplaces, the cost and complexity of ACA’s implementation would have been greatly reduced. Because advocates have an incentive to understate costs and overstate benefits, policy analysis tends to be a highly politicized aspect of government. It is critical for policymakers and voters that policy analysts provide the most accurate analysis possible. A number of independent or semi-independent think tanks have sprung up in Washington, DC, to provide assessments of policy options. Most businesses or trade organizations also employ their own policy-analysis wings to help them understand proposed changes or even offer some of their own. Some of these try to be as impartial as possible. Most, however, have a known bias toward policy advocacy. The Cato Institute, for example, is well known and highly respected policy analysis group that both liberal and conservative politicians have turned to when considering policy options. But the Cato Institute has a known libertarian bias; most of the problems it selects for analysis have the potential for private sector solutions. This means its analysts tend to include the rosiest assumptions of economic growth when considering tax cuts and to overestimate the costs of public sector proposals. The RAND Corporation has conducted objective policy analysis for corporate, nonprofit, and government clients since the mid-twentieth century. What are some of the policy areas it has explored? Both the Congress and the president have tried to reduce the bias in policy analysis by creating their own theoretically nonpartisan policy branches. In Congress, the best known of these is the Congressional Budget Office, or CBO. Authorized in the 1974 Congressional Budget and Impoundment Control Act, the CBO was formally created in 1975 as a way of increasing Congress’s independence from the executive branch. The CBO is responsible for scoring the spending or revenue impact of all proposed legislation to assess its net effect on the budget. In recent years, it has been the CBO’s responsibility to provide Congress with guidance on how to best balance the budget (see Figure). The formulas that the CBO uses in scoring the budget have become an important part of the policy debate, even as the group has tried to maintain its nonpartisan nature. In the executive branch, each individual department and agency is technically responsible for its own policy analysis. The assumption is that experts in the Federal Communications Commission or the Federal Elections Commission are best equipped to evaluate the impact of various proposals within their policy domain. Law requires that most regulatory changes made by the federal government also include the opportunity for public input so the government can both gauge public opinion and seek outside perspectives. Executive branch agencies are usually also charged with considering the economic impact of regulatory action, although some agencies have been better at this than others. Critics have frequently singled out the EPA and OSHA for failing to adequately consider the impact of new rules on business. Within the White House itself, the Office of Management and Budget (OMB) was created to “serve the President of the United States in implementing his [or her] vision” of policy. Policy analysis is important to the OMB’s function, but as you can imagine, it frequently compromises its objectivity during policy formulation. How do the OMB and the CBO compare when it comes to impartiality? Preparing to Be a Policymaker What is your passion? Is there an aspect of society you think should be changed? Become a public policy advocate for it! One way to begin is by petitioning the Office of the President. In years past, citizens wrote letters to express grievances or policy preferences. Today, you can visit We the People, the White House online petitions platform (Figure). At this government site, you can search for petitions related to your cause or post your own. If your petition gets enough signatures, the White House will issue a response. The petitions range from serious to silly, but the process is an important way to speak out about the policies that are important to you. Follow-up activity: Choose an issue you are passionate about. Visit We the People to see if there is already a petition there concerning your chosen issue. If so, join the community promoting your cause. If not, create your own petition and try to gather enough signatures to receive an official response. THE POLICY PROCESS The policy process contains four sequential stages: (1) agenda setting, (2) policy enactment, (3) policy implementation, and (4) evaluation. Given the sheer number of issues already processed by the government, called the continuing agenda, and the large number of new proposals being pushed at any one time, it is typically quite difficult to move a new policy all the way through the process. Agenda setting is the crucial first stage of the public policy process. Agenda setting has two subphases: problem identification and alternative specification. Problem identification identifies the issues that merit discussion. Not all issues make it onto the governmental agenda because there is only so much attention that government can pay. Thus, one of the more important tasks for a policy advocate is to frame his or her issue in a compelling way that raises a persuasive dimension or critical need.Bryan D. Jones and Frank R. Baumgartner. 2005. The Politics of Attention. Chicago: University of Chicago Press. For example, health care reform has been attempted on many occasions over the years. One key to making the topic salient has been to frame it in terms of health care access, highlighting the percentage of people who do not have health insurance. Alternative specification, the second subphase of agenda setting, considers solutions to fix the difficulty raised in problem identification. For example, government officials may agree in the problem subphase that the increase in childhood obesity presents a societal problem worthy of government attention. However, the solution can be complex, and people who otherwise agree might come into conflict over what the best answer is. Alternatives might range from reinvestment in school physical education programs and health education classes, to taking soda and candy machines out of the schools and requiring good nutrition in school lunches. Agenda setting ends when a given problem has been selected, a solution has been paired with that problem, and the solution goes to the decision makers for a vote. Acid rain provides another nice illustration of agenda setting and the problems and solutions subphases. Acid rain is a widely recognized problem that did not make it on to the governmental policy agenda until Congress passed the Air Quality Act of 1967, long after environmental groups started asking for laws to regulate pollution. In the second policy phase, enactment, the elected branches of government typically consider one specific solution to a problem and decide whether to pass it. This stage is the most visible one and usually garners the most press coverage. And yet it is somewhat anticlimatic. By the time a specific policy proposal (a solution) comes out of agenda setting for a yes/no vote, it can be something of a foregone conclusion that it will pass. Once the policy has been enacted—usually by the legislative and/or executive branches of the government, like Congress or the president at the national level or the legislature or governor of a state—government agencies do the work of actually implementing it. On a national level, policy implementation can be either top-down or bottom-up. In top-down implementation, the federal government dictates the specifics of the policy, and each state implements it the same exact way. In bottom-up implementation, the federal government allows local areas some flexibility to meet their specific challenges and needs.Daniel Mazmanian and Paul Sabatier. 1989. Implementation and Public Policy. Washington, DC: Rowman and Littlefield. Evaluation, the last stage of the process, should be tied directly to the policy’s desired outcomes. Evaluation essentially asks, “How well did this policy do what we designed it to do?” The answers can sometimes be surprising. In one hotly debated case, the United States funded abstinence-only sex education for teens with the goal of reducing teen pregnancy. A 2011 study published in the journal PLoS One, however, found that abstinence-only education actually increased teen pregnancy rates.Kathrin F. Stanger-Hall and David W. Hall. 2011. “Abstinence-Only Education and Teen Pregnancy Rates: Why We Need Comprehensive Sex Education in the U.S.,” PLoS One October 14, http://www.ncbi.nlm.nih.gov/pmc/articles/PMC3194801/. The information from the evaluation stage can feed back into the other stages, informing future decisions and creating a public policy cycle. Summary The two groups most engaged in making policy are policy advocates and policy analysts. Policy advocates are people who feel strongly enough about something to work toward changing public policy to fix it. Policy analysts, on the other hand, aim for impartiality. Their role is to assess potential policies and predict their outcomes. Although they are in theory unbiased, their findings often reflect specific political leanings. The public policy process has four major phases: identifying the problem, setting the agenda, implementing the policy, and evaluating the results. The process is a cycle, because the evaluation stage should feed back into the earlier stages, informing future decisions about the policy. Which stage of the public policy process includes identification of problems in need of fixing? - agenda setting - enactment - implementation - evaluation Policy analysts seek ________. - evidence - their chosen outputs - influence - money Hint: A In the implementation phase of the policy process, is it better to use a top-down approach or a bottom-up approach on Federal policies? Why?	oercommons	2025-03-18T00:38:54.041658	null	{ "license": "Creative Commons - Attribution - https://creativecommons.org/licenses/by/4.0/", "url": "https://oercommons.org/courseware/lesson/15280/overview", "title": "American Government, The Outputs of Government", "author": null }
https://oercommons.org/courseware/lesson/15281/overview	Budgeting and Tax Policy Learning Objectives By the end of this section, you will be able to: - Discuss economic theories that shape U.S. economic policy - Explain how the government uses fiscal policy tools to maintain a healthy economy - Analyze the taxing and spending decisions made by Congress and the president - Discuss the role of the Federal Reserve Board in monetary policy A country spends, raises, and regulates money in accordance with its values. In all, the federal government’s budget for 2016 was $3.8 trillion. This chapter has provided a brief overview of some of the budget’s key areas of expenditure, and thus some insight into modern American values. But these values are only part of the budgeting story. Policymakers make considerable effort to ensure that long-term priorities are protected from the heat of the election cycle and short-term changes in public opinion. The decision to put some policymaking functions out of the reach of Congress also reflects economic philosophies about the best ways to grow, stimulate, and maintain the economy. The role of politics in drafting the annual budget is indeed large (Figure), but we should not underestimate the challenges elected officials face as a result of decisions made in the past. APPROACHES TO THE ECONOMY Until the 1930s, most policy advocates argued that the best way for the government to interact with the economy was through a hands-off approach formally known as laissez-faire economics. These policymakers believed the key to economic growth and development was the government’s allowing private markets to operate efficiently. Proponents of this school of thought believed private investors were better equipped than governments to figure out which sectors of the economy were most likely to grow and which new products were most likely to be successful. They also tended to oppose government efforts to establish quality controls or health and safety standards, believing consumers themselves would punish bad behavior by not trading with poor corporate citizens. Finally, laissez-faire proponents felt that keeping government out of the business of business would create an automatic cycle of economic growth and contraction. Contraction phases in which there is no economic growth for two consecutive quarters, called recessions, would bring business failures and higher unemployment. But this condition, they believed, would correct itself on its own if the government simply allowed the system to operate. The Great Depression challenged the laissez-faire view, however. When President Franklin Roosevelt came to office in 1933, the United States had already been in the depths of the Great Depression for several years, since the stock market crash of 1929. Roosevelt sought to implement a new approach to economic regulation known as Keynesianism. Named for its developer, the economist John Maynard Keynes, Keynesian economics argues that it is possible for a recession to become so deep, and last for so long, that the typical models of economic collapse and recovery may not work. Keynes suggested that economic growth was closely tied to the ability of individuals to consume goods. It didn’t matter how or where investors wanted to invest their money if no one could afford to buy the products they wanted to make. And in periods of extremely high unemployment, wages for newly hired labor would be so low that new workers would be unable to afford the products they produced. Keynesianism counters this problem by increasing government spending in ways that improve consumption. Some of the proposals Keynes suggested were payments or pension for the unemployed and retired, as well as tax incentives to encourage consumption in the middle class. His reasoning was that these individuals would be most likely to spend the money they received by purchasing more goods, which in turn would encourage production and investment. Keynes argued that the wealthy class of producers and employers had sufficient capital to meet the increased demand of consumers that government incentives would stimulate. Once consumption had increased and capital was flowing again, the government would reduce or eliminate its economic stimulus, and any money it had borrowed to create it could be repaid from higher tax revenues. Keynesianism dominated U.S. fiscal or spending policy from the 1930s to the 1970s. By the 1970s, however, high inflation began to slow economic growth. There were a number of reasons, including higher oil prices and the costs of fighting the Vietnam War. However, some economists, such as Arthur Laffer, began to argue that the social welfare and high tax policies created in the name of Keynesianism were overstimulating the economy, creating a situation in which demand for products had outstripped investors’ willingness to increase production.Arthur B. Laffer, Stephen Moore and Peter J. Tanous. 2009. The End of Prosperity: How Higher Taxes Will Doom the Economy. New York: Simon & Schuster. They called for an approach known as supply-side economics, which argues that economic growth is largely a function of the productive capacity of a country. Supply-siders have argued that increased regulation and higher taxes reduce the incentive to invest new money into the economy, to the point where little growth can occur. They have advocated reducing taxes and regulations to spur economic growth. MANDATORY SPENDING VS. DISCRETIONARY SPENDING The desire of Keynesians to create a minimal level of aggregate demand, coupled with a Depression-era preference to promote social welfare policy, led the president and Congress to develop a federal budget with spending divided into two broad categories: mandatory and discretionary (see Figure). Of these, mandatory spending is the larger, consisting of about $2.3 trillion of the projected 2015 budget, or roughly 57 percent of all federal expenditures.“Mandatory Spending in 2015: An Infographic,” 6 January 2016. www.cbo.gov/publication/51111 (March 1, 2016). The overwhelming portion of mandatory spending is earmarked for entitlement programs guaranteed to those who meet certain qualifications, usually based on age, income, or disability. These programs, discussed above, include Medicare and Medicaid, Social Security, and major income security programs such as unemployment insurance and SNAP. The costs of programs tied to age are relatively easy to estimate and grow largely as a function of the aging of the population. Income and disability payments are a bit more difficult to estimate. They tend to go down during periods of economic recovery and rise when the economy begins to slow down, in precisely the way Keynes suggested. A comparatively small piece of the mandatory spending pie, about 10 percent, is devoted to benefits designated for former federal employees, including military retirement and many Veterans Administration programs. Congress is ultimately responsible for setting the formulas for mandatory payouts, but as we saw in the earlier discussion regarding Social Security, major reforms to entitlement formulas are difficult to enact. As a result, the size and growth of mandatory spending in future budgets are largely a function of previous legislation that set the formulas up in the first place. So long as supporters of particular programs can block changes to the formulas, funding will continue almost on autopilot. Keynesians support this mandatory spending, along with other elements of social welfare policy, because they help maintain a minimal level of consumption that should, in theory, prevent recessions from turning into depressions, which are more severe downturns. Portions of the budget not devoted to mandatory spending are categorized as discretionary spending because Congress must pass legislation to authorize money to be spent each year. About 50 percent of the approximately $1.2 trillion set aside for discretionary spending each year pays for most of the operations of government, including employee salaries and the maintenance of federal buildings. It also covers science and technology spending, foreign affairs initiatives, education spending, federally provided transportation costs, and many of the redistributive benefits most people in the United States have come to take for granted.“Discretionary Spending in 2015: An Infographic,” 6 January 2016. www.cbo.gov/publication/51112 (March 1, 2016). The other half of discretionary spending—and the second-largest component of the total budget—is devoted to the military. (Only Social Security is larger.) Defense spending is used to maintain the U.S. military presence at home and abroad, procure and develop new weapons, and cover the cost of any wars or other military engagements in which the United States is currently engaged (Figure). In theory, the amount of revenue raised by the national government should be equal to these expenses, but with the exception of a brief period from 1998 to 2000, that has not been the case. The economic recovery from the 2007–2009 recession, and budget control efforts implemented since then, have managed to cut the annual deficit—the amount by which expenditures are greater than revenues—by more than half. However, the amount of money the U.S. government needed to borrow to pay its bills in 2016 was still in excess of $400 billion“The Federal Budget in 2015: An Infographic,” 6 January 2016. www.cbo.gov/publication/51110 (March 1, 2016).. This was in addition to the country’s almost $19 trillion of total debt—the amount of money the government owes its creditors—at the end of 2015, according to the Department of the Treasury. Balancing the budget has been a major goal of both the Republican and Democratic parties for the past several decades, although the parties tend to disagree on the best way to accomplish the task. One frequently offered solution, particularly among supply-side advocates, is to simply cut spending. This has proven to be much easier said than done. If Congress were to try to balance the budget only through discretionary spending, it would need to cut about one-third of spending on programs like defense, higher education, agriculture, police enforcement, transportation, and general government operations. Given the number and popularity of many of these programs, it is difficult to imagine this would be possible. To use spending cuts alone as a way to control the deficit, Congress will almost certainly be required to cut or control the costs of mandatory spending programs like Social Security and Medicare—a radically unpopular step. TAX POLICY The other option available for balancing the budget is to increase revenue. All governments must raise revenue in order to operate. The most common way is by applying some sort of tax on residents (or on their behaviors) in exchange for the benefits the government provides (Figure). As necessary as taxes are, however, they are not without potential downfalls. First, the more money the government collects to cover its costs, the less residents are left with to spend and invest. Second, attempts to raise revenues through taxation may alter the behavior of residents in ways that are counterproductive to the state and the broader economy. Excessively taxing necessary and desirable behaviors like consumption (with a sales tax) or investment (with a capital gains tax) will discourage citizens from engaging in them, potentially slowing economic growth. The goal of tax policy, then, is to determine the most effective way of meeting the nation’s revenue obligations without harming other public policy goals. As you would expect, Keynesians and supply-siders disagree about which forms of tax policy are best. Keynesians, with their concern about whether consumers can really stimulate demand, prefer progressive taxes systems that increase the effective tax rate as the taxpayer’s income increases. This policy leaves those most likely to spend their money with more money to spend. For example, in 2015, U.S. taxpayers paid a 10 percent tax rate on the first $18,450 of income, but 15 percent on the next $56,450 (some income is excluded).“2015 Federal Tax Rates, Personal Exemptions, and Standard Deductions,” http://www.irs.com/articles/2015-federal-tax-rates-personal-exemptions-and-standard-deductions (March 1, 2016). The rate continues to rise, to up to 39.6 percent on any taxable income over $464,850. These brackets are somewhat distorted by the range of tax credits, deductions, and incentives the government offers, but the net effect is that the top income earners pay a greater portion of the overall income tax burden than do those at the lowest tax brackets. According to the Pew Research Center, based on tax returns in 2014, 2.7 percent of filers made more than $250,000. Those 2.7 percent of filers paid 52 percent of the income tax paid.“High income Americans pay most income taxes, but enough to be ‘fair’?” http://www.pewresearch.org/fact-tank/2016/04/13/high-income-americans-pay-most-income-taxes-but-enough-to-be-fair/ (March 1, 2016). Supply-siders, on the other hand, prefer regressive tax systems, which lower the overall rate as individuals make more money. This does not automatically mean the wealthy pay less than the poor, simply that the percentage of their income they pay in taxes will be lower. Consider, for example, the use of excise taxes on specific goods or services as a source of revenue.“Excise tax,” https://www.irs.gov/Businesses/Small-Businesses-&-Self-Employed/Excise-Tax (March 1, 2016). Sometimes called “sin taxes” because they tend to be applied to goods like alcohol, tobacco, and gasoline, excise taxes have a regressive quality, since the amount of the good purchased by the consumer, and thus the tax paid, does not increase at the same rate as income. A person who makes $250,000 per year is likely to purchase more gasoline than a person who makes $50,000 per year (Figure). But the higher earner is not likely to purchase five times more gasoline, which means the proportion of his or her income paid out in gasoline taxes is less than the proportion for a lower-earning individual. Another example of a regressive tax paid by most U.S. workers is the payroll tax that funds Social Security. While workers contribute 7.65 percent of their income to pay for Social Security and their employers pay a matching amount, in 2015, the payroll tax was applied to only the first $118,500 of income. Individuals who earned more than that, or who made money from other sources like investments, saw their overall tax rate fall as their income increased. In 2015, the United States raised about $3.2 trillion in revenue. Income taxes ($1.54 trillion), payroll taxes on Social Security and Medicare ($1.07 trillion), and excise taxes ($98 billion) make up three of the largest sources of revenue for the federal government. When combined with corporate income taxes ($344 billion), these four tax streams make up about 95 percent of total government revenue. The balance of revenue is split nearly evenly between revenues from the Federal Reserve and a mix of revenues from import tariffs, estate and gift taxes, and various fees or fines paid to the government (Figure). THE FEDERAL RESERVE BOARD AND INTEREST RATES Financial panics arise when too many people, worried about the solvency of their investments, try to withdraw their money at the same time. Such panics plagued U.S. banks until 1913 (Figure), when Congress enacted the Federal Reserve Act. The act established the Federal Reserve System, also known as the Fed, as the central bank of the United States. The Fed’s three original goals to promote were maximum employment, stable prices, and moderate long-term interest rates.“U.S. Code § 225a - Maintenance of long run growth of monetary and credit aggregates,” https://www.law.cornell.edu/uscode/text/12/225a (March 1, 2016). All of these goals bring stability. The Fed’s role is now broader and includes influencing monetary policy (the means by which the nation controls the size and growth of the money supply), supervising and regulating banks, and providing them with financial services like loans. The Federal Reserve System is overseen by a board of governors, known as the Federal Reserve Board. The president of the United States appoints the seven governors, each of whom serves a fourteen-year term (the terms are staggered). A chair and vice chair lead the board for terms of four years each. The most important work of the board is participating in the Federal Open Market Committee to set monetary policy, like interest rate levels and macroeconomic policy. The board also oversees a network of twelve regional Federal Reserve Banks, each of which serves as a “banker’s bank” for the country’s financial institutions. The Role of the Federal Reserve Chair If you have read or watched the news for the past several years, perhaps you have heard the names Janet Yellen, Ben Bernanke, or Alan Greenspan. Bernanke and Greenspan are recent past chairs of the board of governors of the Federal Reserve System; Yellen is the current chair (Figure). The role of the Fed chair is one of the most important in the country. By raising or lowering banks’ interest rates, the chair has the ability reduce inflation or stimulate growth. The Fed’s dual mandate is to keep inflation low (under 2 percent) and unemployment low (below 5 percent), but efforts to meet these goals can often lead to contradictory monetary policies. The Fed, and by extension its chair, have a tremendous responsibility. Many of the economic events of the past five decades, both good and bad, are the results of Fed policies. In the 1970s, double-digit inflation brought the economy almost to a halt, but when Paul Volcker became chair in 1979, he raised interest rates and jump-started the economy. After the stock market crash of 1987, then-chair Alan Greenspan declared, “The Federal Reserve, consistent with its responsibilities as the nation’s central bank, affirmed today its readiness to…support the economic and financial system.”https://www.federalreserveeducation.org/about-the-fed/history (March 1, 2016). His lowering of interest rates led to an unprecedented decade of economic growth through the 1990s. In the 2000s, consistently low interest rates and readily available credit contributed to the sub-prime mortgage boom and subsequent bust, which led to a global economic recession beginning in 2008. Should the important tasks of the Fed continue to be pursued by unelected appointees like those profiled in this box, or should elected leaders be given the job? Why? Do you think you have what it takes to be chair of the Federal Reserve Board? Play this game and see how you fare! Summary Until the Great Depression of the 1930s, the U.S. government took a laissez-faire or hands-off approach to economic policy, assuming that if left to itself, the economy would go through cycles of boom and bust, but would remain healthy overall. Keynesian economic policies, with their emphasis on government spending to increase consumer consumption, helped raise the country out of the Depression. The goal of federal fiscal policy is to have a balanced budget, in which expenditures and revenues match up. More frequently, the budget has a deficit, a gap between expenditures and revenues. It is very difficult to reduce the budget, which consists of mandatory and discretionary spending, but no one really wants to raise revenue by raising taxes. One way monetary policies can change the economy is through the level of interest rates. The Federal Reserve Board sets these rates and thus guiding monetary policy in the United States. A deficit is ________. - the overall amount owed by government for past borrowing - the annual budget shortfall between revenues and expenditures - the cancellation of an entitlement program - all the above Hint: B Entitlement (or mandatory) spending is ________. - formula-based spending that goes to individual citizens - a program of contracts to aerospace companies - focused on children - concentrated on education When times are tough economically, what can the government do to get the economy moving again? Hint: A Keynesian approach would recommend deficit spending to stimulate the economy. Supply-side economists would advocate cutting taxes to get more money flowing in the economy. What might indicate that a government is passing the policies the country needs? If you had to define the poverty line, what would you expect people to be able to afford just above that line? For those below that line, what programs should the government offer to improve quality of life? What is the proper role of the government in regulating the private sector so people are protected from unfair or dangerous business practices? Why? Is it realistic to expect the U.S. government to balance its budget? Why or why not? What in your view is the most important policy issue facing the United States? Why is it important and which specific problems need to be solved? What are some suggested solutions to the anticipated Social Security shortfall? Why haven’t these solutions tended to gain support? Whose role is more important in a democracy, the policy advocate’s or the policy analyst’s? Why? Which stage of the policy progress is the most important and why? Alesina, Alberto and Howard Rosenthal. 1995. Partisan Politics, Divided Government and the Economy. New York: Cambridge University Press. Baumgartner, Frank R. and Bryan D. Jones. 1993. Agendas and Instability in American Politics. Chicago: University of Chicago Press. Birkland, Thomas A. 1997. After Disaster: Agenda Setting, Public Policy, and Focusing Events. Washington, DC: Georgetown University Press. Glick, Henry R. 1992. The Right to Die: Policy Innovation and Its Consequences. New York: Columbia University Press. Guell, Robert. 2014. Issues in Economics Today, 7th ed. New York: McGraw-Hill Education. Keech, William R. 1995. Economic Politics: The Costs of Democracy. New York: Cambridge University Press. Kingdon, John W. 1995. Agendas, Alternatives and Public Policies, 2nd ed. New York: HarperCollins. Lowi, Theodore J. 1969. The End of Liberalism: Ideology, Policy, and the Crisis of Public Authority. New York: W.W. Norton. Pierson, Paul. 2004. Politics in Time: History, Institutions, and Social Analysis. Princeton, NJ: Princeton University Press. Riker, William H. 1986. The Art of Political Manipulation. New Haven, CT: Yale University Press. Robertson, David B. and Dennis R. Judd. 1989. The Development of American Public Policy: The Structure of Policy Restraint. Glenview, IL: Scott, Foresman. Rochefort, David A. and Roger W. Cobb. 1994. The Politics of Problem Definition: Shaping the Policy Agenda. Lawrence, KS: University Press of Kansas. Sabatier, Paul A. 1999. Theories of the Policy Process. Boulder, CO: Westview Press.	oercommons	2025-03-18T00:38:54.078598	null	{ "license": "Creative Commons - Attribution - https://creativecommons.org/licenses/by/4.0/", "url": "https://oercommons.org/courseware/lesson/15281/overview", "title": "American Government, The Outputs of Government", "author": null }
https://oercommons.org/courseware/lesson/15282/overview	Introduction The U.S. government interacts with a large number of international actors, from other governments to private organizations, to fight global problems like terrorism and human trafficking, and to meet many other national foreign policy goals such as encouraging trade and protecting the environment. Sometimes these goals are conflicting. Perhaps because of these realities, the president is in many ways the leader of the foreign policy domain. When the United States wishes to discuss important issues with other nations, the president (or a representative such as the secretary of state) typically does the talking, as when President Barack Obama visited with Russian president Vladimir Putin in 2013 (Figure). But don’t let this image mislead you. While the president is the country’s foreign policy leader, Congress also has many foreign policy responsibilities, including approving treaties and agreements, allocating funding, making war, and confirming ambassadors. These and various other activities constitute the patchwork quilt that is U.S. foreign policy. How are foreign and domestic policymaking different, and how are they linked? What are the main foreign policy goals of the United States? How do the president and Congress interact in the foreign policy realm? In what different ways might foreign policy be pursued? This chapter will delve into these and other issues to present an overview U.S. foreign policy.	oercommons	2025-03-18T00:38:54.094197	null	{ "license": "Creative Commons - Attribution - https://creativecommons.org/licenses/by/4.0/", "url": "https://oercommons.org/courseware/lesson/15282/overview", "title": "American Government, The Outputs of Government", "author": null }
https://oercommons.org/courseware/lesson/15283/overview	Defining Foreign Policy Learning Objectives By the end of this section, you will be able to: - Explain what foreign policy is and how it differs from domestic policy - Identify the objectives of U.S. foreign policy - Describe the different types of foreign policy - Identify the U.S. government’s main challenges in the foreign policy realm When we consider policy as our chapter focus, we are looking broadly at the actions the U.S. government carries out for particular purposes. In the case of foreign policy, that purpose is to manage its relationships with other nations of the world. Another distinction is that policy results from a course of action or a pattern of actions over time, rather than from a single action or decision. For example, U.S. foreign policy with Russia has been forged by several presidents, as well as by cabinet secretaries, House and Senate members, and foreign policy agency bureaucrats. Policy is also purposive, or intended to do something; that is, policymaking is not random. When the United States enters into an international agreement with other countries on aims such as free trade or nuclear disarmament, it does so for specific reasons. With that general definition of policy established, we shall now dig deeper into the specific domain of U.S. foreign policy. FOREIGN POLICY BASICS What is foreign policy? We can think of it on several levels, as “the goals that a state’s officials seek to attain abroad, the values that give rise to those objectives, and the means or instruments used to pursue them.”Eugene R. Wittkopf, Christopher M. Jones, and Charles W. Kegley, Jr. 2007. American Foreign Policy: Pattern and Process, 7th ed. Belmont, CA: Thomson Wadsworth. This definition highlights some of the key topics in U.S. foreign policy, such as national goals abroad and the manner in which the United States tries to achieve them. Note too that we distinguish foreign policy, which is externally focused, from domestic policy, which sets strategies internal to the United States, though the two types of policies can become quite intertwined. So, for example, one might talk about Latino politics as a domestic issue when considering educational policies designed to increase the number of Hispanic Americans who attend and graduate from a U.S. college or university.Michelle Camacho Liu. 2011. Investing in Higher Education for Latinos: Trends in Latino College Access and Success. Washington, DC: National Conference of State Legislatures. http://www.ncsl.org/documents/educ/trendsinlatinosuccess.pdf (May 12, 2016). However, as demonstrated in the primary debates leading up to the 2016 election, Latino politics can quickly become a foreign policy matter when considering topics such as immigration from and foreign trade with countries in Central America and South America (Figure).Charlene Barshefsky and James T. Hill. 2008. U.S.–Latin America Relations: A New Direction for a New Reality. Washington, DC: Council on Foreign Relations. i.cfr.org/content/publications/attachments/LatinAmerica_TF.pdf (May 12, 2016). What are the objectives of U.S. foreign policy? While the goals of a nation’s foreign policy are always open to debate and revision, there are nonetheless four main goals to which we can attribute much of what the U.S. government does in the foreign policy realm: (1) the protection of the U.S. and its citizens, (2) the maintenance of access to key resources and markets, (3) the preservation of a balance of power in the world, and (4) the protection of human rights and democracy. The first goal is the protection of the United States and the lives of it citizens, both while they are in the United States and when they travel abroad. Related to this security goal is the aim of protecting the country’s allies, or countries with which the United States is friendly and mutually supportive. In the international sphere, threats and dangers can take several forms, including military threats from other nations or terrorist groups and economic threats from boycotts and high tariffs on trade. In an economic boycott, the United States ceases trade with another country unless or until it changes a policy to which the United States objects. Ceasing trade means U.S. goods cannot be sold in that country and its goods cannot be sold in the United States. For example, in recent years the United States and other countries implemented an economic boycott of Iran as it escalated the development of its nuclear energy program. The recent Iran nuclear deal is a pact in which Iran agrees to halt nuclear development while the United States and six other countries lift economic sanctions to again allow trade with Iran. Barriers to trade also include tariffs, or fees charged for moving goods from one country to another. Protectionist trade policies raise tariffs so that it becomes difficult for imported goods, now more expensive, to compete on price with domestic goods. Free trade agreements seek to reduce these trade barriers. The second main goal of U.S. foreign policy is to ensure the nation maintains access to key resources and markets across the world. Resources include natural resources, such as oil, and economic resources, including the infusion of foreign capital investment for U.S. domestic infrastructure projects like buildings, bridges, and weapons systems. Of course, access to the international marketplace also means access to goods that American consumers might want, such as Swiss chocolate and Australian wine. U.S. foreign policy also seeks to advance the interests of U.S. business, to both sell domestic products in the international marketplace and support general economic development around the globe (especially in developing countries). A third main goal is the preservation of a balance of power in the world. A balance of power means no one nation or region is much more powerful militarily than are the countries of the rest of the world. The achievement of a perfect balance of power is probably not possible, but general stability, or predictability in the operation of governments, strong institutions, and the absence of violence within and between nations may be. For much of U.S. history, leaders viewed world stability through the lens of Europe. If the European continent was stable, so too was the world. During the Cold War era that followed World War II, stability was achieved by the existence of dual superpowers, the United States and the Soviet Union, and by the real fear of the nuclear annihilation of which both were capable. Until approximately 1989–1990, advanced industrial democracies aligned themselves behind one of these two superpowers. Today, in the post–Cold War era, many parts of Europe are politically more free than they were during the years of the Soviet bloc, and there is less fear of nuclear war than when the United States and the Soviet Union had missiles pointed at each other for four straight decades. However, despite the mostly stabilizing presence of the European Union (EU), which now has twenty-eight member countries, several wars have been fought in Eastern Europe and the former Soviet Union. Moreover, the EU itself faces some challenges, including a vote in the United Kingdom to leave the EU, the ongoing controversy about how to resolve the national debt of Greece, and the crisis in Europe created by thousands of refugees from the Middle East. Carefully planned acts of terrorism in the United States, Asia, and Europe have introduced a new type of enemy into the balance of power equation—nonstate or nongovernmental organizations, such as al-Qaeda and ISIS (or ISIL), consisting of various terrorist cells located in many different countries and across all continents (Figure). The fourth main goal of U.S. foreign policy is the protection of human rights and democracy. The payoff of stability that comes from other U.S. foreign policy goals is peace and tranquility. While certainly looking out for its own strategic interests in considering foreign policy strategy, the United States nonetheless attempts to support international peace through many aspects of its foreign policy, such as foreign aid, and through its support of and participation in international organizations such as the United Nations, the North Atlantic Treaty Organization (NATO), and the Organization of American States. The United Nations (UN) is perhaps the foremost international organization in the world today. The main institutional bodies of the UN are the General Assembly and the Security Council. The General Assembly includes all member nations and admits new members and approves the UN budget by a two-thirds majority. The Security Council includes fifteen countries, five of which are permanent members (including the United States) and ten that are nonpermanent and rotate on a five-year-term basis. The entire membership is bound by decisions of the Security Council, which makes all decisions related to international peace and security. Two other important units of the UN are the International Court of Justice in The Hague (Netherlands) and the UN Secretariat, which includes the Secretary-General of the UN and the UN staff directors and employees. The Creation of the United Nations One of the unique and challenging aspects of global affairs is the fact that no world-level authority exists to mandate when and how the world’s nations interact. After the failed attempt by President Woodrow Wilson and others to formalize a “League of Nations” in the wake of World War I in the 1920s, and on the heels of a worldwide depression that began in 1929, came World War II, history’s deadliest military conflict. Now, in the early decades of the twenty-first century, it is common to think of the September 11 terrorist attacks in 2001 as the big game-changer. Yet while 9/11 was hugely significant in the United States and abroad, World War II was even more so. The December 1941 Japanese attack on Pearl Harbor (Hawaii) was a comparable surprise-style attack that plunged the United States into war. The scope of the conflict, fought in Europe and the Pacific Ocean, and Hitler’s nearly successful attempt to take over Europe entirely, struck fear in minds and hearts. The war brought about a sea change in international relations and governance, from the Marshall Plan to rebuild Europe, to NATO that created a cross-national military shield for Western Europe, to the creation of the UN in 1945, when the representatives of fifty countries met and signed the Charter of the United Nations in San Francisco, California (Figure). Today, the United Nations, headquartered in New York City, includes 193 of the 195 nations of the world. It is a voluntary association to which member nations pay dues based on the size of their economy. The UN’s main purposes are to maintain peace and security, promote human rights and social progress, and develop friendly relationships among nations. Follow-up activity: In addition to facilitating collective decision-making on world matters, the UN carries out many different programs. Go to the UN website to find information about three different UN programs that are carried out around the world. An ongoing question for the United States in waging the war against terrorism is to what degree it should work in concert with the UN to carry out anti-terrorism initiatives around the world in a multilateral manner, rather than pursuing a “go it alone” strategy of unilateralism. The fact that the U.S. government has such a choice suggests the voluntary nature of the United States (or another country) accepting world-level governance in foreign policy. If the United States truly felt bound by UN opinion regarding the manner in which it carries out its war on terrorism, it would approach the UN Security Council for approval. Another cross-national organization to which the United States is tied, and that exists to forcefully represent Western allies and in turn forge the peace, is the North Atlantic Treaty Organization (NATO). NATO was formed after World War II as the Cold War between East and West started to emerge. While more militaristic in approach than the United Nations, NATO has the goal of protecting the interests of Europe and the West and the assurance of support and defense from partner nations. However, while it is a strong military coalition, it has not sought to expand and take over other countries. Rather, the peace and stability of Europe are its main goals. NATO initially included only Western European nations and the United States. However, since the end of the Cold War, additional countries from the East, such as Turkey, have entered into the NATO alliance. Besides participating in the UN and NATO, the United States also distributes hundreds of billions of dollars each year in foreign aid to improve the quality of life of citizens in developing countries. The United States may also forgive the foreign debts of these countries. By definition, developing countries are not modernized in terms of infrastructure and social services and thus suffer from instability. Helping them modernize and develop stable governments is intended as a benefit to them and a prop to the stability of the world. An alternative view of U.S. assistance is that there are more nefarious goals at work, that perhaps it is intended to buy influence in developing countries, secure a position in the region, obtain access to resources, or foster dependence on the United States. The United States pursues its four main foreign policy goals through several different foreign policy types, or distinct substantive areas of foreign policy in which the United States is engaged. These types are trade, diplomacy, sanctions, military/defense, intelligence, foreign aid, and global environmental policy. Trade policy is the way the United States interacts with other countries to ease the flow of commerce and goods and services between countries. A country is said to be engaging in protectionism when it does not permit other countries to sell goods and services within its borders, or when it charges them very high tariffs (or import taxes) to do so. At the other end of the spectrum is a free trade approach, in which a country allows the unfettered flow of goods and services between itself and other countries. At times the United States has been free trade–oriented, while at other times it has been protectionist. Perhaps its most free trade–oriented move was the 1991 implementation of the North American Free Trade Agreement (NAFTA). This pact removed trade barriers and other transaction costs levied on goods moving between the United States, Mexico, and Canada. Critics see a free trade approach as problematic and instead advocate for protectionist policies that shield U.S. companies and their products against cheaper foreign products that might be imported here. One of the more prominent recent examples of protectionist policies occurred in the steel industry, as U.S. companies in the international steel marketplace struggled with competition from Chinese factories in particular. The balance of trade is the relationship between a country’s inflow and outflow of goods. The United States sells many goods and services around the world, but overall it maintains a trade deficit, in which more goods and services are coming in from other countries than are going out to be sold overseas. The current U.S. trade deficit is $37.4 billion, which means the value of what the United States imports from other countries is much larger than the value of what it exports to other countries.U.S. Census Bureau, “Foreign Trade: U.S. International Trade Data” https://www.census.gov/foreign-trade/data/index.html (May 12, 2016). This trade deficit has led some to advocate for protectionist trade policies. For many, foreign policy is synonymous with diplomacy. Diplomacy is the establishment and maintenance of a formal relationship between countries that governs their interactions on matters as diverse as tourism, the taxation of goods they trade, and the landing of planes on each other’s runways. While diplomatic relations are not always rosy, when they are operating it does suggest that things are going well between the countries. Diplomatic relations are formalized through the sharing of ambassadors. Ambassadors are country representatives who live and maintain an office (known as an embassy) in the other country. Just as exchanging ambassadors formalizes the bilateral relationship between countries, calling them home signifies the end of the relationship. Diplomacy tends to be the U.S. government’s first step when it tries to resolve a conflict with another country. To illustrate how international relations play out when countries come into conflict, consider what has become known as the Hainan Island incident. In 2001, a U.S. spy plane collided with a Chinese jet fighter near Chinese airspace, where U.S. planes were not authorized to be. The Chinese jet fighter crashed and the pilot died. The U.S. plane made an emergency landing on the island of Hainan. China retrieved the aircraft and captured the U.S. pilots. U.S. ambassadors then attempted to negotiate for their return. These negotiations were slow and ended up involving officials of the president’s cabinet, but they ultimately worked. Had they not succeeded, an escalating set of options likely would have included diplomatic sanctions (removal of ambassadors), economic sanctions (such as an embargo on trade and the flow of money between the countries), minor military options (such as establishment of a no-fly zone just outside Chinese airspace), or more significant military options (such as a focused campaign to enter China and get the pilots back). Nonmilitary tools to influence another country, like economic sanctions, are referred to as soft power, while the use of military power is termed hard power.Joseph S. Nye, Jr. 2005. Soft Power: The Means to Success in World Politics. Washington, DC: Public Affairs. At the more serious end of the foreign policy decision-making spectrum, and usually as a last resort when diplomacy fails, the U.S. military and defense establishment exists to provide the United States the ability to wage war against other state and nonstate actors. Such war can be offensive, as were the Iraq War in 2003 and the 1989 removal of Panamanian leader Manuel Noriega. Or it can be defensive, as a means to respond to aggression from others, such as the Persian Gulf War in 1991, also known as Operation Desert Storm (Figure). The potential for military engagement, and indeed the scattering about the globe of hundreds of U.S. military installations, can also be a potential source of foreign policy strength for the United States. On the other hand, in the world of diplomacy, such an approach can be seen as imperialistic by other world nations. Intelligence policy is related to defense and includes the overt and covert gathering of information from foreign sources that might be of strategic interest to the United States. The intelligence world, perhaps more than any other area of foreign policy, captures the imagination of the general public. Many books, television shows, and movies entertain us (with varying degrees of accuracy) through stories about U.S. intelligence operations and people. Foreign aid and global environmental policy are the final two foreign policy types. With both, as with the other types, the United States operates as a strategic actor with its own interests in mind, but here it also acts as an international steward trying to serve the common good. With foreign aid, the United States provides material and economic aid to other countries, especially developing countries, in order to improve their stability and their citizens’ quality of life. This type of aid is sometimes called humanitarian aid; in 2013 the U.S. contribution totaled $32 billion. Military aid is classified under military/defense or national security policy (and totaled $8 billion in 2013). At $40 billion the total U.S. foreign aid budget for 2013 was sizeable, though it represented less than 1 percent of the entire federal budget.U.S. Agency for International Development, “U.S. Overseas Loans and Grants (Greenbook),” https://explorer.usaid.gov/reports-greenbook.html (June 18, 2016); C. Eugene Emery Jr., and Amy Sherman. 2016. “Marco Rubio says foreign aid is less than 1 percent of federal budget,” Politifact, 11 March 2016. www.politifact.com/truth-o-meter/statements/2016/mar/11/marco-rubio/marco-rubio-says-foreign-aid-less-1-percent-federa/. Global environmental policy addresses world-level environmental matters such as climate change and global warming, the thinning of the ozone layer, rainforest depletion in areas along the Equator, and ocean pollution and species extinction. The United States’ commitment to such issues has varied considerably over the years. For example, the United States was the largest country not to sign the 1997 Kyoto Protocol on greenhouse gas emissions. However, few would argue that the U.S. government has not been a leader on global environmental matters. UNIQUE CHALLENGES IN FOREIGN POLICY U.S. foreign policy is a massive and complex enterprise. What are its unique challenges for the country? First, there exists no true world-level authority dictating how the nations of the world should relate to one another. If one nation negotiates in bad faith or lies to another, there is no central world-level government authority to sanction that country. This makes diplomacy and international coordination an ongoing bargain as issues evolve and governmental leaders and nations change. Foreign relations are certainly made smoother by the existence of cross-national voluntary associations like the United Nations, the Organization of American States, and the African Union. However, these associations do not have strict enforcement authority over specific nations, unless a group of member nations takes action in some manner (which is ultimately voluntary). The European Union is the single supranational entity with some real and significant authority over its member nations. Adoption of its common currency, the euro, brings with it concessions from countries on a variety of matters, and the EU’s economic and environmental regulations are the strictest in the world. Yet even the EU has enforcement issues, as evidenced by the battle within its ranks to force member Greece to reduce its national debt or the recurring problem of Spain overfishing in the North Atlantic Ocean. International relations take place in a relatively open venue in which it is seldom clear how to achieve collective action among countries generally or between the United States and specific other nations in particular. When does it make sense to sign a multinational pact and when doesn’t it? Is a particular bilateral economic agreement truly as beneficial to the United States as to the other party, or are we giving away too much in the deal? These are open and complicated questions, which the various schools of thought discussed later in the chapter will help us answer. A second challenge for the United States is the widely differing views among countries about the role of government in people’s lives. The government of hardline communist North Korea regulates everything in its people’s lives every day. At the other end of the spectrum are countries with little government activity at all, such as parts of the island of New Guinea. In between is a vast array of diverse approaches to governance. Countries like Sweden provide cradle-to-grave human services programs like health care and education that in some parts of India are minimal at best. In Egypt, the nonprofit sector provides many services rather than the government. The United States relishes its tradition of freedom and the principle of limited government, but practice and reality can be somewhat different. In the end, it falls somewhere in the middle of this continuum because of its focus on law and order, educational and training services, and old-age pensions and health care in the form of Social Security and Medicare. The challenge of pinpointing the appropriate role of government may sound more like a domestic than a foreign policy matter, and to some degree it is an internal choice about the way government interacts with the people. Yet the internal (or domestic) relationship between a government and its people can often become intertwined with foreign policy. For example, the narrow stance on personal liberty that Iran has taken in recent decades led other countries to impose economic sanctions that crippled the country internally. Some of these sanctions have eased in light of the new nuclear deal with Iran. So the domestic and foreign policy realms are intertwined in terms of what we view as national priorities—whether they consist of nation building abroad or infrastructure building here at home, for example. This latter choice is often described as the “guns versus butter” debate. A third, and related, unique challenge for the United States in the foreign policy realm is other countries’ varying ideas about the appropriate form of government. These forms range from democracies on one side to various authoritarian (or nondemocratic) forms of government on the other. Relations between the United States and democratic states tend to operate more smoothly, proceeding from the shared core assumption that government’s authority comes from the people. Monarchies and other nondemocratic forms of government do not share this assumption, which can complicate foreign policy discussions immensely. People in the United States often assume that people who live in a nondemocratic country would prefer to live in a democratic one. However, in some regions of the world, such as the Middle East, this does not seem to be the case—people often prefer having stability within a nondemocratic system over changing to a less predictable democratic form of government. Or they may believe in a theocratic form of government. And the United States does have formal relations with some more totalitarian and monarchical governments, such as Saudi Arabia, when it is in U.S. interests to do so. A fourth challenge is that many new foreign policy issues transcend borders. That is, there are no longer simply friendly states and enemy states. Problems around the world that might affect the United States, such as terrorism, the international slave trade, and climate change, originate with groups and issues that are not country-specific. They are transnational. So, for example, while we can readily name the enemies of the Allied forces in World War II (Germany, Italy, and Japan), the U.S. war against terrorism has been aimed at terrorist groups that do not fit neatly within the borders of any one country with which the United States could quickly interact to solve the problem. Intelligence-gathering and focused military intervention are needed more than traditional diplomatic relations, and relations can become complicated when the United States wants to pursue terrorists within other countries’ borders. An ongoing example is the use of U.S. drone strikes on terrorist targets within the nation of Pakistan, in addition to the 2011 campaign that resulted in the death of Osama bin Laden, the founder of al-Qaeda (Figure). The fifth and final unique challenge is the varying conditions of the countries in the world and their effect on what is possible in terms of foreign policy and diplomatic relations. Relations between the United States and a stable industrial democracy are going to be easier than between the United States and an unstable developing country being run by a military junta (a group that has taken control of the government by force). Moreover, an unstable country will be more focused on establishing internal stability than on broader world concerns like environmental policy. In fact, developing countries are temporarily exempt from the requirements of certain treaties while they seek to develop stable industrial and governmental frameworks. The Council on Foreign Relations is one of the nation’s oldest organizations that exist to promote thoughtful discussion on U.S. foreign policy. Summary As the president, Congress, and others carry out U.S. foreign policy in the areas of trade, diplomacy, defense, intelligence, foreign aid, and global environmental policy, they pursue a variety of objectives and face a multitude of challenges. The four main objectives of U.S. foreign policy are the protection of the United States and its citizens and allies, the assurance of continuing access to international resources and markets, the preservation of a balance of power in the world, and the protection of human rights and democracy. The challenges of the massive and complex enterprise of U.S. foreign policy are many. First, there exists no true world-level authority dictating how the nations of the world should relate to one another. A second challenge is the widely differing views among countries about the role of government in people’s lives. A third is other countries’ varying ideas about the appropriate form of government. A fourth challenge is that many new foreign policy issues transcend borders. Finally, the varying conditions of the countries in the world affect what is possible in foreign policy and diplomatic relations. Why are foreign policy issues more complicated than domestic policy issues? - They are more specific. - They are more complex. - The international environment is unpredictable. - They are more expensive. Hint: C Which of the following is not a foreign policy type? - trade policy - intelligence policy - war-making - bureaucratic oversight The goals of U.S. foreign policy include ________. - keeping the country safe - securing access to foreign markets - protecting human rights - all the above Hint: D What are two key differences between domestic policymaking and foreign policymaking?	oercommons	2025-03-18T00:38:54.126989	null	{ "license": "Creative Commons - Attribution - https://creativecommons.org/licenses/by/4.0/", "url": "https://oercommons.org/courseware/lesson/15283/overview", "title": "American Government, The Outputs of Government", "author": null }
https://oercommons.org/courseware/lesson/15284/overview	Foreign Policy Instruments Learning Objectives By the end of this section, you will be able to: - Describe the outputs of broadly focused U.S. foreign policy - Describe the outputs of sharply focused U.S. foreign policy - Analyze the role of Congress in foreign policy The decisions or outputs of U.S. foreign policy vary from presidential directives about conducting drone strokes to the size of the overall foreign relations budget passed by Congress, and from presidential summits with other heads of state to U.S. views of new policies considered in the UN Security Council. In this section, we consider the outputs of foreign policy produced by the U.S. government, beginning with broadly focused decisions and then discussing more sharply focused strategies. Drawing this distinction brings some clarity to the array of different policy outcomes in foreign policy. Broadly focused decisions typically take longer to formalize, bring in more actors in the United States and abroad, require more resources to carry out, are harder to reverse, and hence tend to have a lasting impact. Sharply focused outputs tend to be processed quickly, are often unilateral moves by the president, have a shorter time horizon, are easier for subsequent decision-makers to reverse, and hence do not usually have so lasting an impact as broadly focused foreign policy outputs. BROADLY FOCUSED FOREIGN POLICY OUTPUTS Broadly focused foreign policy outputs not only span multiple topics and organizations, but they also typically require large-scale spending and take longer to implement than sharply focused outputs. In the realm of broadly focused outputs, we will consider public laws, the periodic reauthorization of the foreign policy agencies, the foreign policy budget, international agreements, and the appointment process for new executive officials and ambassadors. Public Laws When we talk about new laws enacted by Congress and the president, we are referring to public laws. Public laws, sometimes called statutes, are policies that affect more than a single individual. All policies enacted by Congress and the president are public laws, except for a few dozen each year. They differ from private laws, which require some sort of action or payment by a specific individual or individuals named in the law. Many statutes affect what the government can do in the foreign policy realm, including the National Security Act, the Patriot Act, the Homeland Security Act, and the War Powers Resolution. The National Security Act governs the way the government shares and stores information, while the Patriot Act (passed immediately after 9/11) clarifies what the government may do in collecting information about people in the name of protecting the country. The Homeland Security Act of 2002 authorized the creation of a massive new federal agency, the Department of Homeland Security, consolidating powers that had been under the jurisdiction of several different agencies. Their earlier lack of coordination may have prevented the United States from recognizing warning signs of the 9/11 terrorist attacks. The War Powers Resolution was passed in 1973 by a congressional override of President Richard Nixon’s veto. The bill was Congress’s attempt to reassert itself in war-making. Congress has the power to declare war, but it had not formally done so since Japan’s 1941 attack on Pearl Harbor brought the United States into World War II. Yet the United States had entered several wars since that time, including in Korea, in Vietnam, and in focused military campaigns such as the failed 1961 Bay of Pigs invasion of Cuba. The War Powers Resolution created a new series of steps to be followed by presidents in waging military conflict with other countries. Its main feature was a requirement that presidents get approval from Congress to continue any military campaign beyond sixty days. To many, however, the overall effect was actually to strengthen the role of the president in war-making. After all, the law clarified that presidents could act on their own for sixty days before getting authorization from Congress to continue, and many smaller-scale conflicts are over within sixty days. Before the War Powers Resolution, the first approval for war was supposed to come from Congress. In theory, Congress, with its constitutional war powers, could act to reverse the actions of a president once the sixty days have passed. However, a clear disagreement between Congress and the president, especially once an initiative has begun and there is a “rally around the flag” effect, is relatively rare. More likely are tough questions about the campaign to which continuing congressional funding is tied. Reauthorization All federal agencies, including those dedicated to foreign policy, face reauthorization every three to five years. If not reauthorized, agencies lose their legal standing and the ability to spend federal funds to carry out programs. Agencies typically are reauthorized, because they coordinate carefully with presidential and congressional staff to get their affairs in order when the time comes. However, the reauthorization requirements do create a regular conversation between the agency and its political principals about how well it is functioning and what could be improved. The federal budget process is an important annual tradition that affects all areas of foreign policy. The foreign policy and defense budgets are part of the discretionary budget, or the section of the national budget that Congress vets and decides on each year. Foreign policy leaders in the executive and legislative branches must advocate for funding from this budget, and while foreign policy budgets are usually renewed, there are enough proposed changes each year to make things interesting. In addition to new agencies, new cross-national projects are proposed each year to add to infrastructure and increase or improve foreign aid, intelligence, and national security technology. Agreements International agreements represent another of the broad-based foreign policy instruments. The United States finds it useful to enter into international agreements with other countries for a variety of reasons and on a variety of different subjects. These agreements run the gamut from bilateral agreements about tariffs to multinational agreements among dozens of countries about the treatment of prisoners of war. One recent multinational pact was the seven-country Iran Nuclear Agreement in 2015, intended to limit nuclear development in Iran in exchange for the lifting of long-standing economic sanctions on that country (Figure). The format that an international agreement takes has been the point of considerable discussion in recent years. The U.S. Constitution outlines the treaty process in Article II. The president negotiates a treaty, the Senate consents to the treaty by a two-thirds vote, and finally the president ratifies it. Despite that constitutional clarity, today over 90 percent of the international agreements into which the United States enters are not treaties but rather executive agreements.Glen S. Krutz and Jeffrey S. Peake. 2009. Treaty Politics and the Rise of Executive Agreements: International Commitments in a System of Shared Powers. Ann Arbor, MI: University of Michigan Press. Executive agreements are negotiated by the president, and in the case of sole executive agreements, they are simultaneously approved by the president as well. On the other hand, congressional-executive agreements, like the North American Free Trade Agreement (NAFTA), are negotiated by the president and then approved by a simple majority of the House and Senate (rather than a two-thirds vote in the Senate as is the case for a treaty). In the key case of United States v. Pink (1942), the Supreme Court ruled that executive agreements were legally equivalent to treaties provided they did not alter federal law.United States v. Pink, 315 U.S. 203 (1942). Most executive agreements are not of major importance and do not spark controversy, while some, like the Iran Nuclear Agreement, generate considerable debate. Many in the Senate thought the Iran deal should have been completed as a treaty rather than as a sole executive agreement. Treaty or Executive Agreement? Should new international agreements into which the United States enters be forged through the Article II treaty process of the U.S. Constitution, or through executive agreements? This question arose again in 2015 as the Iran Nuclear Agreement was being completed. That pact required Iran to halt further nuclear development and agree to nuclear inspections, while the United States and five other signatories lifted long-standing economic sanctions on Iran. The debate over whether the United States should have entered the agreement and whether it should have been a treaty rather than an executive agreement was conducted in the news media and on political comedy shows like The Daily Show. Your view on the form of the pact will depend on how you see executive agreements being employed. Do presidents use them to circumvent the Senate (as the “evasion hypothesis” suggests)? Or are they an efficient tool that saves the Senate Committee on Foreign Relations the work of processing hundreds of agreements each year? Politicians’ opinions about the form of the Iran Nuclear Agreement fell along party lines. Democrats accepted the president’s decision to use an executive agreement to finalize the pact, which they tended to support. Republicans, who were overwhelmingly against the pact, favored the use of the treaty process, which would have allowed them to vote the deal down. In the end, the president used an executive agreement and the pact was enacted. The downside is that an executive agreement can be reversed by the next president. Treaties are much more difficult to undo because they require a new process to be undertaken in the Senate in order for the president to gain approval. Which approach do you favor for the Iran Nuclear Agreement, an executive agreement or a treaty? Why? Watch “Under Miner” and “Start Wars” to see the take of Jon Stewart and The Daily Show on the Iran Nuclear Agreement. Appointments The last broad type of foreign policy output consists of the foreign policy appointments made when a new president takes office. Typically, when the party in the White House changes, more new appointments are made than when the party does not change, because the incoming president wants to put in place people who share his or her agenda. This was the case in 2001 when Republican George W. Bush succeeded Democrat Bill Clinton, and again in 2009 when Democrat Barack Obama succeeded Bush. Most foreign policy–related appointments, such as secretary of state and the various undersecretaries and assistant secretaries, as well as all ambassadors, must be confirmed by a majority vote of the Senate (Figure). Presidents seek to nominate people who know the area to which they’re being appointed and who will be loyal to the president rather than to the bureaucracy in which they might work. They also want their nominees to be readily confirmed. As we will see in more detail later in the chapter, an isolationist group of appointees will run the country’s foreign policy agencies very differently than a group that is more internationalist in its outlook. Isolationists might seek to pull back from foreign policy involvement around the globe, while internationalists would go in the other direction, toward more involvement and toward acting in conjunction with other countries. SHARPLY FOCUSED FOREIGN POLICY OUTPUTS In addition to the broad-based foreign policy outputs above, which are president-led with some involvement from Congress, many other decisions need to be made. These sharply focused foreign policy outputs tend to be exclusively the province of the president, including the deployment of troops and/or intelligence agents in a crisis, executive summits between the president and other heads of state on targeted matters of foreign policy, presidential use of military force, and emergency funding measures to deal with foreign policy crises. These measures of foreign policy are more quickly enacted and demonstrate the “energy and dispatch” that Alexander Hamilton, writing in the Federalist Papers, saw as inherent in the institution of the presidency. Emergency spending does involve Congress through its power of the purse, but Congress tends to give presidents what they need to deal with emergencies. That said, the framers were consistent in wanting checks and balances sprinkled throughout the Constitution, including in the area of foreign policy and war powers. Hence, Congress has several roles, as discussed at points throughout this chapter. Perhaps the most famous foreign policy emergency was the Cuban Missile Crisis in 1962. With the Soviet Union placing nuclear missiles in Cuba, just a few hundred miles from Florida, a Cold War standoff with the United States escalated. The Soviets at first denied the existence of the missiles, but U.S. reconnaissance flights proved they were there, gathering photographic evidence that was presented at the UN (Figure). The Soviets stood firm, and U.S. foreign policy leaders debated their approach. Some in the military were pushing for aggressive action to take out the missiles and the installation in Cuba, while State Department officials favored a diplomatic route. President John F. Kennedy ended up taking the recommendation of a special committee, and the United States implemented a naval blockade of Cuba that subtly forced the Soviets’ hands. The Soviets agreed to remove their Cuban missiles and the United States in turn agreed six months later to remove its missiles from Turkey. Listen to President Kennedy’s speech announcing the naval blockade the United States imposed on Cuba, ending the Cuban Missile Crisis of 1962. Another form of focused foreign policy output is the presidential summit. Often held at the Presidential Retreat at Camp David, Maryland, these meetings bring together the president and one or more other heads of state. Presidents use these types of summits when they and their visitors need to dive deeply into important issues that are not quickly solved. An example is the 1978 summit that led to the Camp David Accords, in which President Jimmy Carter, Egyptian president Anwar El Sadat, and Israeli prime minister Menachem Begin met privately for twelve days at Camp David negotiating a peace process for the two countries, which had been at odds with each other in the Middle East. Another example is the Malta Summit between President George H. W. Bush and Soviet leader Mikhail Gorbachev, which took place on the island of Malta over two days in December 1989 (Figure). The meetings were an important symbol of the end of the Cold War, the Berlin Wall having come down just a few months earlier. Another focused foreign policy output is the military use of force. Since the 1941 Pearl Harbor attacks and the immediate declaration of war by Congress that resulted, all such initial uses of force have been authorized by the president. Congress in many cases has subsequently supported additional military action, but the president has been the instigator. While there has sometimes been criticism, Congress has never acted to reverse presidential action. As discussed above, the War Powers Resolution clarified that the first step in the use of force was the president’s, for the first sixty days. A recent example of the military use of force was the U.S. role in enforcing a no-fly zone over Libya in 2011, which included kinetic strikes—or active engagement of the enemy—to protect anti-government forces on the ground. U.S. fighter jets flew out of Aviano Air Base in northern Italy (Figure). The final example of a focused foreign policy input is the passage of an emergency funding measure for a specific national security task. Congress tends to pass at least one emergency spending measure per year, which must be signed by the president to take effect, and it often provides funding for domestic disasters. However, at times foreign policy matters drive an emergency spending measure, as was the case right after the 9/11 attacks. In such a case, the president or the administration proposes particular amounts for emergency foreign policy plans. Summary U.S. foreign policy outputs vary considerably. At one end of the continuum are sharply focused outputs such as the presidential use of military force via a specific drone strike on an enemy target, or the forging of a presidential summit with another country’s president or head of state. At the other end of the spectrum are broadly focused outputs that typically bring more involvement from the Congress and other world leaders, such as the process to formalize a multilateral treaty on the global environment or the process to finalize the U.S. diplomatic budget each fiscal year. Broadly focused outputs typically take more time to decide, involve more nation-states, are more expensive, and are quite difficult to reverse once in place. Sharply focused outputs are faster, tend to be led by the president, and are easier for future policymakers to undo. A sole executive agreement is likely to be in effect longer than is a treaty. - true - false Hint: B All the following are examples of sharply focused foreign policy outputs except ________. - presidential summits - military uses of force - emergency spending measures - international agreements The War Powers Resolution ________. - strengthened congressional war powers - strengthened presidential war powers - affected the presidency and congress equally - ultimately had little impact on war-making Hint: B The federal budget process matters in foreign policy for all the following reasons except ________. - Congress has the power of the purse, so the president needs its approval - the budget provides the funding needed to run the foreign policy agencies - the budget for every presidential action has to be approved in advance - the budget allows political institutions to increase funding in key new areas Which types of foreign policy outputs have more impact, broadly conceived ones or sharply focused ones? Why? Hint: Broadly conceived foreign policy outputs tend to have a longer impact overall because of their permanence, though sharply focused foreign policy outputs can have more impact in the short term.	oercommons	2025-03-18T00:38:54.158129	null	{ "license": "Creative Commons - Attribution - https://creativecommons.org/licenses/by/4.0/", "url": "https://oercommons.org/courseware/lesson/15284/overview", "title": "American Government, The Outputs of Government", "author": null }
https://oercommons.org/courseware/lesson/15285/overview	Institutional Relations in Foreign Policy Learning Objectives By the end of this section, you will be able to: - Describe the use of shared power in U.S. foreign policymaking - Explain why presidents lead more in foreign policy than in domestic policy - Discuss why individual House and Senate members rarely venture into foreign policy - List the actors who engage in foreign policy Institutional relationships in foreign policy constitute a paradox. On the one hand, there are aspects of foreign policymaking that necessarily engage multiple branches of government and a multiplicity of actors. Indeed, there is a complexity to foreign policy that is bewildering, in terms of both substance and process. On the other hand, foreign policymaking can sometimes call for nothing more than for the president to make a formal decision, quickly endorsed by the legislative branch. This section will explore the institutional relationships present in U.S. foreign policymaking. FOREIGN POLICY AND SHARED POWER While presidents are more empowered by the Constitution in foreign than in domestic policy, they nonetheless must seek approval from Congress on a variety of matters; chief among these is the basic budgetary authority needed to run foreign policy programs. Indeed, most if not all of the foreign policy instruments described earlier in this chapter require interbranch approval to go into effect. Such approval may sometimes be a formality, but it is still important. Even a sole executive agreement often requires subsequent funding from Congress in order to be carried out, and funding calls for majority support from the House and Senate. Presidents lead, to be sure, but they must consult with and engage the Congress on many matters of foreign policy. Presidents must also delegate a great deal in foreign policy to the bureaucratic experts in the foreign policy agencies. Not every operation can be run from the West Wing of the White House. At bottom, the United States is a separation-of-powers political system with authority divided among executive and legislative branches, including in the foreign policy realm. Table shows the formal roles of the president and Congress in conducting foreign policy. \| Roles of the President and Congress in Conducting Foreign Policy \| \|\| \|---\|---\|---\| \| Policy Output \| Presidential Role \| Congressional Role \| \| Public laws \| Proposes, signs into law \| Proposes, approves for passage \| \| Agency reauthorizations \| Proposes, signs into law \| Approves for passage \| \| Foreign policy budget \| Proposes, signs into law \| Authorizes/appropriates for passage \| \| Treaties \| Negotiates, ratifies \| Senate consents to treaty (two-thirds) \| \| Sole executive agreements \| Negotiates, approves \| None (unless funding is required) \| \| Congressional-executive agreements \| Negotiates \| Approves by majority vote \| \| Declaration of war \| Proposes \| Approves by majority vote \| \| Military use of force \| Carries out operations at will (sixty days) \| Approves for operations beyond sixty days \| \| Presidential appointments \| Nominates candidates \| Senate approves by majority vote \| The main lesson of Table is that nearly all major outputs of foreign policy require a formal congressional role in order to be carried out. Foreign policy might be done by executive say-so in times of crisis and in the handful of sole executive agreements that actually pertain to major issues (like the Iran Nuclear Agreement). In general, however, a consultative relationship between the branches in foreign policy is the usual result of their constitutional sharing of power. A president who ignores Congress on matters of foreign policy and does not keep them briefed may find later interactions on other matters more difficult. Probably the most extreme version of this potential dynamic occurred during the Eisenhower presidency. When President Dwight D. Eisenhower used too many executive agreements instead of sending key ones to the Senate as treaties, Congress reacted by considering a constitutional amendment (the Bricker Amendment) that would have altered the treaty process as we know it. Eisenhower understood the message and began to send more agreements through the process as treaties.Krutz and Peake. Treaty Politics and the Rise of Executive Agreements. Shared power creates an incentive for the branches to cooperate. Even in the midst of a crisis, such as the Cuban Missile Crisis in 1962, it is common for the president or senior staff to brief congressional leaders in order to keep them up to speed and ensure the country can stand unified on international matters. That said, there are areas of foreign policy where the president has more discretion, such as the operation of intelligence programs, the holding of foreign policy summits, and the mobilization of troops or agents in times of crisis. Moreover, presidents have more power and influence in foreign policymaking than they do in domestic policymaking. It is to that power that we now turn. THE TWO PRESIDENCIES THESIS When the media cover a domestic controversy, such as social unrest or police brutality, reporters consult officials at different levels and in branches of government, as well as think tanks and advocacy groups. In contrast, when an international event occurs, such as a terrorist bombing in Paris or Brussels, the media flock predominately to one actor—the president of the United States—to get the official U.S. position. In the realm of foreign policy and international relations, the president occupies a leadership spot that is much clearer than in the realm of domestic policy. This dual domestic and international role has been described by the two presidencies thesis. This theory originated with University of California–Berkeley professor Aaron Wildavsky and suggests that there are two distinct presidencies, one for foreign policy and one for domestic policy, and that presidents are more successful in foreign than domestic policy. Let’s look at the reasoning behind this thesis. The Constitution names the president as the commander-in-chief of the military, the nominating authority for executive officials and ambassadors, and the initial negotiator of foreign agreements and treaties. The president is the agenda-setter for foreign policy and may move unilaterally in some instances. Beyond the Constitution, presidents were also gradually given more authority to enter into international agreements without Senate consent by using the executive agreement. We saw above that the passage of the War Powers Resolution in 1973, though intended as a statute to rein in executive power and reassert Congress as a check on the president, effectively gave presidents two months to wage war however they wish. Given all these powers, we have good reason to expect presidents to have more influence and be more successful in foreign than in domestic policy. A second reason for the stronger foreign policy presidency has to do with the informal aspects of power. In some eras, Congress will be more willing to allow the president to be a clear leader and speak for the country. For instance, the Cold War between the Eastern bloc countries (led by the Soviet Union) and the West (led by the United States and Western European allies) prompted many to want a single actor to speak for the United States. A willing Congress allowed the president to take the lead because of urgent circumstances (Figure). Much of the Cold War also took place when the parties in Congress included more moderates on both sides of the aisle and the environment was less partisan than today. A phrase often heard at that time was, “Partisanship stops at the water’s edge.” This means that foreign policy matters should not be subject to the bitter disagreements seen in party politics. Does the thesis’s expectation of a more successful foreign policy presidency apply today? While the president still has stronger foreign policy powers than domestic powers, the governing context has changed in two key ways. First, the Cold War ended in 1989 with the demolition of the Berlin Wall, the subsequent disintegration of the Soviet Union, and the eventual opening up of Eastern European territories to independence and democracy. These dramatic changes removed the competitive superpower aspect of the Cold War, in which the United States and the USSR were dueling rivals on the world stage. The absence of the Cold War has led to less of a rally-behind-the-president effect in the area of foreign policy. Second, beginning in the 1980s and escalating in the 1990s, the Democratic and Republican parties began to become polarized in Congress. The moderate members in each party all but disappeared, while more ideologically motivated candidates began to win election to the House and later the Senate. Hence, the Democrats in Congress became more liberal on average, the Republicans became more conservative, and the moderates from each party, who had been able to work together, were edged out. It became increasingly likely that the party opposite the president in Congress might be more willing to challenge his initiatives, whereas in the past it was rare for the opposition party to publicly stand against the president in foreign policy. Finally, several analysts have tried applying the two presidencies thesis to contemporary presidential-congressional relationships in foreign policy. Is the two presidencies framework still valid in the more partisan post–Cold War era? The answer is mixed. On the one hand, presidents are more successful on foreign policy votes in the House and Senate, on average, than on domestic policy votes. However, the gap has narrowed. Moreover, analysis has also shown that presidents are opposed more often in Congress, even on the foreign policy votes they win.Jon Bond, Richard Fleisher, Stephen Hanna, and Glen S. Krutz. 2000. “The Demise of the. Two Presidencies,” American Politics Quarterly 28, No. 1: 3–25. Democratic leaders regularly challenged Republican George W. Bush on the Iraq War and it became common to see the most senior foreign relations committee members of the Republican Party opposing the foreign policy positions of Democratic president Barack Obama. Such challenging of the president by the opposition party simply didn’t happen during the Cold War. Therefore, it seems presidents no longer enjoy unanimous foreign policy support as they did in the early 1960s. They have to work harder to get a consensus and are more likely to face opposition. Still, because of their formal powers in foreign policy, presidents are overall more successful on foreign policy than on domestic policy. THE PERSPECTIVE OF HOUSE AND SENATE MEMBERS Congress is a bicameral legislative institution with 100 senators serving in the Senate and 435 representatives serving in the House. How interested in foreign policy are typical House and Senate members? While key White House, executive, and legislative leaders monitor and regularly weigh in on foreign policy matters, the fact is that individual representatives and senators do so much less often. Unless there is a foreign policy crisis, legislators in Congress tend to focus on domestic matters, mainly because there is not much to be gained with their constituents by pursuing foreign policy matters.James M. McCormick. 2010. American Foreign Policy and Process, 5th ed. Boston: Wadsworth. Domestic policy matters resonate more strongly with the voters at home. A sluggish economy, increasing health care costs, and crime matter more to them than U.S. policy toward North Korea, for example. In an open-ended Gallup poll question from early 2016 about the “most important problem” in the United States, fewer than 15 percent of respondents named a foreign policy topic (half of those respondents mentioned immigration). These results suggest that foreign policy is not at the top of many voters’ minds. In the end, legislators must be responsive to constituents in order to be good representatives and to achieve reelection.The Gallup Organization, “Most Important Problem,” http://www.gallup.com/poll/1675/most-important-problem.aspx (May 12, 2016). However, some House and Senate members do wade into foreign policy matters. First, congressional party leaders in the majority and minority parties speak on behalf of their institution and their party on all types of issues, including foreign policy. Some House and Senate members ask to serve on the foreign policy committees, such as the Senate Committee on Foreign Relations, the House Foreign Affairs Committee, and the two defense committees (Figure). These members might have military bases within their districts or states and hence have a constituency reason for being interested in foreign policy. Legislators might also simply have a personal interest in foreign policy matters that drives their engagement in the issue. Finally, they may have ambitions to move into an executive branch position that deals with foreign policy matters, such as secretary of state or defense, CIA director, or even president. Let People Know What You Think! Most House and Senate members do not engage in foreign policy because there is no electoral benefit to doing so. Thus, when citizens become involved, House members and senators will take notice. Research by John Kingdon on roll-call voting and by Richard Hall on committee participation found that when constituents are activated, their interest becomes salient to a legislator and he or she will respond.John W. Kingdon. 1973. Congressmen’s Voting Decisions. New York: Harper & Row; Richard Hall. 1996. Participation in Congress. New Haven, CT: University of Yale Press. One way you can become active in the foreign policy realm is by writing a letter or e-mail to your House member and/or your two U.S. senators about what you believe the U.S. foreign policy approach in a particular area ought to be. Perhaps you want the United States to work with other countries to protect dolphins from being accidentally trapped in tuna nets. You can also state your position in a letter to the editor of your local newspaper, or post an opinion on the newspaper’s website where a related article or op-ed piece appears. You can share links to news coverage on Facebook or Twitter and consider joining a foreign policy interest group such as Greenpeace. When you engaged in foreign policy discussion as suggested above, what type of response did you receive? For more information on the two key congressional committees on U.S. foreign policy, visit the Senate Committee on Foreign Relations and the House Foreign Affairs Committee websites. THE MANY ACTORS IN FOREIGN POLICY A variety of actors carry out the various and complex activities of U.S. foreign policy: White House staff, executive branch staff, and congressional leaders. The White House staff members engaged in foreign policy are likely to have very regular contact with the president about their work. The national security advisor heads the president’s National Security Council, a group of senior-level staff from multiple foreign policy agencies, and is generally the president’s top foreign policy advisor. Also reporting to the president in the White House is the director of the Central Intelligence Agency (CIA). Even more important on intelligence than the CIA director is the director of national intelligence, a position created in the government reorganizations after 9/11, who oversees the entire intelligence community in the U.S. government. The Joint Chiefs of Staff consist of six members, one each from the Army, Navy, Air Force, and Marines, plus a chair and vice chair. The chair of the Joint Chiefs of Staff is the president’s top uniformed military officer. In contrast, the secretary of defense is head of the entire Department of Defense but is a nonmilitary civilian. The U.S. trade representative develops and directs the country’s international trade agenda. Finally, within the Executive Office of the President, another important foreign policy official is the director of the president’s Office of Management and Budget (OMB). The OMB director develops the president’s yearly budget proposal, including funding for the foreign policy agencies and foreign aid. In addition to those who work directly in the White House or Executive Office of the President, several important officials work in the broader executive branch and report to the president in the area of foreign policy. Chief among these is the secretary of state. The secretary of state is the nation’s chief diplomat, serves in the president’s cabinet, and oversees the Foreign Service. The secretary of defense, who is the civilian (nonmilitary) head of the armed services housed in the Department of Defense, is also a key cabinet member for foreign policy (as mentioned above). A third cabinet secretary, the secretary of homeland security, is critically important in foreign policy, overseeing the massive Department of Homeland Security (Figure). Former Secretary of Defense Robert Gates Former secretary of defense Robert Gates served under both Republican and Democratic presidents. First Gates rose through the ranks of the CIA to become the director during the George H. W. Bush administration. He then left government to serve as an academic administrator at Texas A&M University in College Station, Texas, where he rose to the position of university president. He was able to win over reluctant faculty and advance the university’s position, including increasing the faculty at a time when budgets were in decline in Texas. Then, when Secretary of Defense Donald Rumsfeld resigned, President George W. Bush invited Gates to return to government service as Rumsfeld’s replacement. Gates agreed, serving in that capacity for the remainder of the Bush years and then for several years in the Obama administration before retiring from government service a second time (Figure). He has generally been seen as thorough, systematic, and fair. In his memoir, Duty: Memoirs of a Secretary at War,Robert M. Gates. 2015. Duty: Memoirs of a Secretary at War. New York: Alfred A. Knopf. Secretary Gates takes issue with the actions of both the presidents for whom he worked, but ultimately he praises them for their service and for upholding the right principles in protecting the United States and U.S. military troops. In this and earlier books, Gates discusses the need to have an overarching plan but says plans cannot be too tight or they will fail when things change in the external environment. After leaving politics, Gates served as president of the Boy Scouts of America, where he presided over the change in policy that allowed openly gay scouts and leaders, an issue with which he had had experience as secretary of defense under President Obama. In that role Gates oversaw the end of the military’s “Don’t ask, don’t tell” policy.David A. Graham, “Robert Gates, America’s Unlikely Gay-Rights Hero,” The Atlantic, 28 July 2015. http://www.theatlantic.com/politics/archive/2015/07/robert-gates-boy-scouts-gay-leaders/399716/. What do you think about a cabinet secretary serving presidents from two different political parties? Is this is a good idea? Why or why not? The final group of official key actors in foreign policy are in the U.S. Congress. The Speaker of the House, the House minority leader, and the Senate majority and minority leaders are often given updates on foreign policy matters by the president or the president’s staff. They are also consulted when the president needs foreign policy support or funding. However, the experts in Congress who are most often called on for their views are the committee chairs and the highest-ranking minority members of the relevant House and Senate committees. In the House, that means the Foreign Affairs Committee and the Committee on Armed Services. In the Senate, the relevant committees are the Committee on Foreign Relations and the Armed Services Committee. These committees hold regular hearings on key foreign policy topics, consider budget authorizations, and debate the future of U.S. foreign policy. Summary Many aspects of foreign policymaking rely on the powers shared between Congress and the president, including foreign policy appointments and the foreign affairs budget. Within the executive branch, an array of foreign policy leaders report directly to the president. Foreign policy can at times seem fragmented and diffuse because of the complexity of actors and topics. However, the president is clearly the leader, having both formal authority and the ability to delegate to Congress, as explained in the two presidencies thesis. With this leadership, presidents at times can make foreign policymaking quick and decisive, especially when it calls for executive agreements and the military use of force. In terms of formal powers in the realm of foreign policy, ________. - the president is entirely in charge - the president and Congress share power - Congress is entirely in charge - decisions are delegated to experts in the bureaucracy Why do House members and senators tend to be less active on foreign policy matters than domestic ones? - Foreign policy matters are more technical and difficult. - Legislators do not want to offend certain immigrant groups within their constituency. - Constituents are more directly affected by domestic policy topics than foreign ones. - Legislators themselves are not interested in foreign policy matters. Hint: C	oercommons	2025-03-18T00:38:54.189109	null	{ "license": "Creative Commons - Attribution - https://creativecommons.org/licenses/by/4.0/", "url": "https://oercommons.org/courseware/lesson/15285/overview", "title": "American Government, The Outputs of Government", "author": null }
https://oercommons.org/courseware/lesson/15286/overview	Approaches to Foreign Policy Learning Objectives By the end of this section, you will be able to: - Explain classic schools of thought on U.S. foreign policy - Describe contemporary schools of thought on U.S. foreign policy - Delineate the U.S. foreign policy approach with Russia and China Frameworks and theories help us make sense of the environment of governance in a complex area like foreign policy. A variety of schools of thought exist about how to approach foreign policy, each with different ideas about what “should” be done. These approaches also vary in terms of what they assume about human nature, how many other countries ought to be involved in U.S. foreign policy, and what the tenor of foreign policymaking ought to be. They help us situate the current U.S. approach to many foreign policy challenges around the world. CLASSIC APPROACHES A variety of traditional concepts of foreign policy remain helpful today as we consider the proper role of the United States in, and its approach to, foreign affairs. These include isolationism, the idealism versus realism debate, liberal internationalism, hard versus soft power, and the grand strategy of U.S. foreign policy. From the end of the Revolutionary War in the late eighteenth century until the early twentieth century, isolationism—whereby a country stays out of foreign entanglements and keeps to itself—was a popular stance in U.S. foreign policy. Among the founders, Thomas Jefferson especially was an advocate of isolationism or non-involvement. He thought that by keeping to itself, the United States stood a better chance of becoming a truly free nation. This fact is full of irony, because Jefferson later served as ambassador to France and president of the United States, both roles that required at least some attention to foreign policy. Still, Jefferson’s ideas had broad support. After all, Europe was where volatile changes were occurring. The new nation was tired of war, and there was no reason for it to be entangled militarily with anyone. Indeed, in his farewell address, President George Washington famously warned against the creation of “entangling alliances.”“George Washington’s Farewell Address.” 1796. New Haven, CT: School Avalon Project, Yale Law Library. http://avalon.law.yale.edu/18th_century/washing.asp (May 12, 2016). Despite this legacy, the United States was pulled squarely into world affairs with its entry into World War I. But between the Armistice in 1918 that ended that war and U.S. entry into World War II in 1941, isolationist sentiment returned, based on the idea that Europe should learn to govern its own affairs. Then, after World War II, the United States engaged the world stage as one of two superpowers and the military leader of Europe and the Pacific. Isolationism never completely went away, but now it operated in the background. Again, Europe seemed to be the center of the problem, while political life in the United States seemed calmer somehow. The end of the Cold War opened up old wounds as a variety of smaller European countries sought independence and old ethnic conflicts reappeared. Some in the United States felt the country should again be isolationist as the world settled into a new political arrangement, including a vocal senator, Jesse Helms (R-NC), who was against the United States continuing to be the military “policeman” of the world. Helms was famous for opposing nearly all treaties brought to the Senate during his tenure. Congressman Ron Paul (R-TX) and his son Senator Rand Paul (R-KY) were both isolationist candidates for the presidency (in 2008 and 2016, respectively); both thought the United States should retreat from foreign entanglements, spend far less on military and foreign policy, and focus more on domestic issues. At the other end of the spectrum is liberal internationalism. Liberal internationalism advocates a foreign policy approach in which the United States becomes proactively engaged in world affairs. Its adherents assume that liberal democracies must take the lead in creating a peaceful world by cooperating as a community of nations and creating effective world structures such as the United Nations. To fully understand liberal internationalism, it is helpful to understand the idealist versus realist debate in international relations. Idealists assume the best in others and see it as possible for countries to run the world together, with open diplomacy, freedom of the seas, free trade, and no militaries. Everyone will take care of each other. There is an element of idealism in liberal internationalism, because the United States assumes other countries will also put their best foot forward. A classic example of a liberal internationalist is President Woodrow Wilson, who sought a League of Nations to voluntarily save the world after World War I. Realists assume that others will act in their own self-interest and hence cannot necessarily be trusted. They want a healthy military and contracts between countries in case others want to wiggle out of their commitments. Realism also has a place in liberal internationalism, because the United States approaches foreign relationships with open eyes and an emphasis on self-preservation. Soft power, or diplomacy, with which the United States often begins a foreign policy relationship or entanglement, is in line with liberal internationalism and idealism, while hard power, which allows the potential for military force, is the stuff of realism. For example, at first the United States was rather isolationist in its approach to China, assuming it was a developing country of little impact that could safely be ignored. Then President Nixon opened up China as an area for U.S. investment, and an era of open diplomatic relations began in the early 1970s (Figure). As China modernized and began to dominate the trade relationship with the United States, many came to see it through a realist lens and to consider whether China’s behavior really warranted its beneficial most-favored-nation trading status. The final classic idea of foreign policy is the so-called grand strategy—employing all available diplomatic, economic, and military resources to advance the national interest. The grand strategy invokes the possibility of hard power, because it relies on developing clear strategic directions for U.S. foreign policy and the methods to achieve those goals, often with military capability attached. The U.S. foreign policy plan in Europe and Asia after World War II reflects a grand strategy approach. In order to stabilize the world, the United States built military bases in Italy, Germany, Spain, England, Belgium, Japan, Guam, and Korea. It still operates nearly all these, though often under a multinational arrangement such as NATO. These bases help preserve stability on the one hand, and U.S. influence on the other. MORE RECENT SCHOOLS OF THOUGHTS Two particular events in foreign policy caused many to change their views about the proper approach to U.S. involvement in world affairs. First, the debacle of U.S. involvement in the civil war in Vietnam in the years leading up to 1973 caused many to rethink the country’s traditional containment approach to the Cold War. Containment was the U.S. foreign policy goal of limiting the spread of communism. In Vietnam the United States supported one governing faction within the country (democratic South Vietnam), whereas the Soviet Union supported the opposing governing faction (communist North Vietnam). The U.S. military approach of battlefield engagement did not translate well to the jungles of Vietnam, where “guerilla warfare” predominated. Skeptics became particularly pessimistic about liberal internationalism given how poorly the conflict in Vietnam had played out. U.S. military forces withdrew from South Vietnam in 1973, and Saigon, its capital, fell to North Vietnam and the communists eighteen months later. Many of those pessimists then became neoconservatives on foreign policy. Neoconservatives believe that rather than exercising restraint and always using international organizations as the path to international outcomes, the United States should aggressively use its might to promote its values and ideals around the world. The aggressive use (or threat) of hard power is the core value of neoconservatism. Acting unilaterally is acceptable in this view, as is adopting a preemptive strategy in which the United States intervenes militarily before the enemy can make its move. Preemption is a new idea; the United States has tended to be retaliatory in its use of military force, as in the case of Pearl Harbor at the start of World War II. Examples of neoconservativism in action are the 1980s U.S. campaigns in Central American countries to turn back communism under President Ronald Reagan, the Iraq War of 2003 led by President George W. Bush and his vice president Dick Cheney (Figure), and the use of drones as counterterrorism weapons during the Obama administration. Neo-isolationism, like earlier isolationism, advocates keeping free of foreign entanglements. Yet no advanced industrial democracy completely separates itself from the rest of the world. Foreign markets beckon, tourism helps spur economic development at home and abroad, and global environmental challenges require cross-national conversation. In the twenty-first century, neo-isolationism means distancing the United States from the United Nations and other international organizations that get in the way. The strategy of selective engagement—retaining a strong military presence and remaining engaged across the world through alliances and formal installations—is used to protect the national security interests of the United States. However, this strategy also seeks to avoid being the world’s policeman. The second factor that changed minds about twenty-first century foreign policy is the rise of elusive new enemies who defy traditional designations. Rather than countries, these enemies are terrorist groups such as al-Qaeda and ISIS (or ISIL) that spread across national boundaries. A hybrid approach to U.S. foreign policy that uses multiple schools of thought as circumstances warrant may thus be the wave of the future. President Obama often took a hybrid approach. In some respects, he was a liberal internationalist seeking to put together broad coalitions to carry out world business. At the same time, his sending teams of troops and drones to take out terrorist targets in other legitimate nation-states without those states’ approval fits with a neoconservative approach. Finally, his desire to not be the “world’s policeman” led him to follow a practice of selective engagement. Several interest groups debate what should happen in U.S. foreign policy, many of which are included in this list compiled by the Council on Foreign Relations. U.S. FOREIGN POLICY IN THE COLD WAR AND WITH CHINA The foreign policy environment from the end of World War II until the end of the Cold War in 1990 was dominated by a duel of superpowers between the United States and its Western allies on the one hand and the Soviet Union and the communist bloc of countries in the East on the other. Both superpowers developed thousands of weapons of mass destruction and readied for a potential world war to be fought with nuclear weapons. That period was certainly challenging and ominous at times, but it was simpler than the present era. Nations knew what team they were on, and there was generally an incentive to not go to war because it would lead to the unthinkable—the end of the Earth as we know it, or mutually assured destruction. The result of this logic, essentially a standoff between the two powers, is sometime referred to as nuclear deterrence. When the Soviet Union imploded and the Cold War ended, it was in many ways a victory for the West and for democracy. However, once the bilateral nature of the Cold War was gone, dozens of countries sought independence and old ethnic conflicts emerged in several regions of the world, including Eastern Europe. This new era holds great promise, but it is in many ways more complex than the Cold War. The rise of cross-national terrorist organizations further complicates the equation because the enemy hides within the borders of potentially dozens of countries around the globe. In summary, the United States pursues a variety of topics and goals in different areas of the world in the twenty-first century. The Soviet Union dissolved into many component parts after the Cold War, including Russia, various former Soviet republics like Georgia and Ukraine, and smaller nation-states in Eastern Europe, such as the Czech Republic. The general approach of the United States has been to encourage the adoption of democracy and economic reforms in these former Eastern bloc countries. Many of them now align with the EU and even with the West’s cross-national military organization, NATO. With freedoms can come conflict, and there has been much of that in these fledgling countries as opposition coalitions debate how the future course should be charted, and by whom. Under President Vladimir Putin, Russia is again trying to strengthen its power on the country’s western border, testing expansionism while invoking Russian nationalism. The United States is adopting a defensive position and trying to prevent the spread of Russian influence. The EU and NATO factor in here from the standpoint of an internationalist approach. In many ways the more visible future threat to the United States is China, the potential rival superpower of the future. A communist state that has also encouraged much economic development, China has been growing and modernizing for more than thirty years. Its nearly 1.4 billion citizens are stepping onto the world economic stage with other advanced industrial nations. In addition to fueling an explosion of industrial domestic development, public and private Chinese investors have spread their resources to every continent and most countries of the world. Indeed, Chinese investors lend money to the United States government on a regular basis, as U.S. domestic borrowing capacity is pushed to the limit in most years. Many in the United States are worried by the lack of freedom and human rights in China. During the Tiananmen Square massacre in Beijing on June 4, 1989, thousands of pro-democracy protestors were arrested and many were killed as Chinese authorities fired into the crowd and tanks crushed people who attempted to wall them out. Over one thousand more dissidents were arrested in the following weeks as the Chinese government investigated the planning of the protests in the square. The United States instituted minor sanctions for a time, but President George H. W. Bush chose not to remove the most-favored-nation trading status of this long-time economic partner. Most in the U.S. government, including leaders in both political parties, wish to engage China as an economic partner at the same time that they keep a watchful eye on its increasing influence around the world, especially in developing countries. Elsewhere in Asia, the United States has good relationships with most other countries, especially South Korea and Japan, which have both followed paths the United States favored after World War II. Both countries embraced democracy, market-oriented economies, and the hosting of U.S. military bases to stabilize the region. North Korea, however, is another matter. A closed, communist, totalitarian regime, North Korea has been testing nuclear bombs in recent decades, to the concern of the rest of the world. Like China many decades earlier, India is a developing country with a large population that is expanding and modernizing. Unlike China, India has embraced democracy, especially at the local level. You can plot U.S. government attention to different types of policy matters (including international affairs and foreign aid and its several dozen more focused subtopics) by using the online trend analysis tool at the Comparative Agendas Project. Summary Classic theories of foreign policy divide into the isolationist camp and the internationalist camp. The use of hard versus soft power comes into play in the internationalist route. Neoconservatism, a more recent school of thought in foreign policy, takes the view that the United States should go it alone as a single superpower, retreating from foreign involvement with the exception of trade and economic policy. In the end, the complexity of international relationships, combined with a multifaceted decision-making process and a multiplicity of actors, leads to a U.S. foreign policy approach that uses a bit of all the schools of thought. The United States is being neoconservative when drone strikes are carried out unilaterally within the boundaries of another sovereign nation. It is being internationalist when building a coalition on the Iran nuclear deal or when participating in NATO initiatives. Neoconservativism is an isolationist foreign policy approach of a nation keeping to itself and engaging less internationally. - true - false Hint: B President George W. Bush was a proponent of liberal internationalism in his foreign policy. - true - false The U.S. policy of containment during the Cold War related to keeping ________. - terrorism from spreading - rogue countries like North Korea from developing nuclear weapons - communism from spreading - oil prices from rising Hint: C The use of drones within other countries’ borders is consistent with which school of thought? - liberal internationalism - neoconservativism - neo-isolationism - grand strategy What are the pros and cons of the neoconservative foreign policy approach followed in recent decades? Hint: The pros are that the United States is less bogged down in international process and can move more quickly to squelch conflict. The cons are that the United States, in acting alone, might offend other countries that would prefer everyone act together, and that the country might decide to go directly to military-based solutions rather than using diplomacy. In your view, what are the best ways to get the community of nations working together? What are the three most important foreign policy issues facing the United States today? Why? Which is more important as an influencer of foreign policy, the president or a cabinet department like the Department of State or Defense? Why? What do you think is the most advantageous school of thought for the United States to follow in foreign policy in the future? Why? If you were president and wanted to gather support for a new foreign policy initiative, which three U.S. foreign policy actors would you approach and why? Brands, H. William. 1994. The United States in the World: A History of American Foreign Policy. Boston: Houghton Mifflin. Howell, William G. and Jon C. Pevehouse. 2007. While Dangers Gather: Congressional Checks on Presidential War Powers. Princeton, NJ: Princeton University Press. Krutz, Glen S. and Jeffrey S. Peake. 2009. Treaty Politics and the Rise of Executive Agreements: International Commitments in a System of Shared Powers. Ann Arbor: University of Michigan Press. Nye, Joseph S. 2004. Soft Power: The Means to Success in World Politics. New York: Public Affairs.	oercommons	2025-03-18T00:38:54.222811	null	{ "license": "Creative Commons - Attribution - https://creativecommons.org/licenses/by/4.0/", "url": "https://oercommons.org/courseware/lesson/15286/overview", "title": "American Government, The Outputs of Government", "author": null }
https://oercommons.org/courseware/lesson/15288/overview	The Constitution of the United States We the People of the United States, in Order to form a more perfect Union, establish Justice, insure domestic Tranquility, provide for the common defence, promote the general Welfare, and secure the Blessings of Liberty to ourselves and our Posterity, do ordain and establish this Constitution for the United States of America. Article. I. Section. 1. All legislative Powers herein granted shall be vested in a Congress of the United States, which shall consist of a Senate and House of Representatives. Section. 2. The House of Representatives shall be composed of Members chosen every second Year by the People of the several States, and the Electors in each State shall have the Qualifications requisite for Electors of the most numerous Branch of the State Legislature. No Person shall be a Representative who shall not have attained to the Age of twenty five Years, and been seven Years a Citizen of the United States, and who shall not, when elected, be an Inhabitant of that State in which he shall be chosen. Representatives and direct Taxes shall be apportioned among the several States which may be included within this Union, according to their respective Numbers, which shall be determined by adding to the whole Number of free Persons, including those bound to Service for a Term of Years, and excluding Indians not taxed, three fifths of all other Persons. The actual Enumeration shall be made within three Years after the first Meeting of the Congress of the United States, and within every subsequent Term of ten Years, in such Manner as they shall by Law direct. The Number of Representatives shall not exceed one for every thirty Thousand, but each State shall have at Least one Representative; and until such enumeration shall be made, the State of New Hampshire shall be entitled to chuse three, Massachusetts eight, Rhode-Island and Providence Plantations one, Connecticut five, New-York six, New Jersey four, Pennsylvania eight, Delaware one, Maryland six, Virginia ten, North Carolina five, South Carolina five, and Georgia three. When vacancies happen in the Representation from any State, the Executive Authority thereof shall issue Writs of Election to fill such Vacancies. The House of Representatives shall chuse their Speaker and other Officers; and shall have the sole Power of Impeachment. Section. 3. The Senate of the United States shall be composed of two Senators from each State, chosen by the Legislature thereof, for six Years; and each Senator shall have one Vote. Immediately after they shall be assembled in Consequence of the first Election, they shall be divided as equally as may be into three Classes. The Seats of the Senators of the first Class shall be vacated at the Expiration of the second Year, of the second Class at the Expiration of the fourth Year, and of the third Class at the Expiration of the sixth Year, so that one third may be chosen every second Year; and if Vacancies happen by Resignation, or otherwise, during the Recess of the Legislature of any State, the Executive thereof may make temporary Appointments until the next Meeting of the Legislature, which shall then fill such Vacancies. No Person shall be a Senator who shall not have attained to the Age of thirty Years, and been nine Years a Citizen of the United States, and who shall not, when elected, be an Inhabitant of that State for which he shall be chosen. The Vice President of the United States shall be President of the Senate, but shall have no Vote, unless they be equally divided. The Senate shall chuse their other Officers, and also a President pro tempore, in the Absence of the Vice President, or when he shall exercise the Office of President of the United States. The Senate shall have the sole Power to try all Impeachments. When sitting for that Purpose, they shall be on Oath or Affirmation. When the President of the United States is tried, the Chief Justice shall preside: And no Person shall be convicted without the Concurrence of two thirds of the Members present. Judgment in Cases of Impeachment shall not extend further than to removal from Office, and disqualification to hold and enjoy any Office of honor, Trust or Profit under the United States: but the Party convicted shall nevertheless be liable and subject to Indictment, Trial, Judgment and Punishment, according to Law. Section. 4. The Times, Places and Manner of holding Elections for Senators and Representatives, shall be prescribed in each State by the Legislature thereof; but the Congress may at any time by Law make or alter such Regulations, except as to the Places of chusing Senators. The Congress shall assemble at least once in every Year, and such Meeting shall be on the first Monday in December, unless they shall by Law appoint a different Day. Section. 5. Each House shall be the Judge of the Elections, Returns and Qualifications of its own Members, and a Majority of each shall constitute a Quorum to do Business; but a smaller Number may adjourn from day to day, and may be authorized to compel the Attendance of absent Members, in such Manner, and under such Penalties as each House may provide. Each House may determine the Rules of its Proceedings, punish its Members for disorderly Behaviour, and, with the Concurrence of two thirds, expel a Member. Each House shall keep a Journal of its Proceedings, and from time to time publish the same, excepting such Parts as may in their Judgment require Secrecy; and the Yeas and Nays of the Members of either House on any question shall, at the Desire of one fifth of those Present, be entered on the Journal. Neither House, during the Session of Congress, shall, without the Consent of the other, adjourn for more than three days, nor to any other Place than that in which the two Houses shall be sitting. Section. 6. The Senators and Representatives shall receive a Compensation for their Services, to be ascertained by Law, and paid out of the Treasury of the United States. They shall in all Cases, except Treason, Felony and Breach of the Peace, be privileged from Arrest during their Attendance at the Session of their respective Houses, and in going to and returning from the same; and for any Speech or Debate in either House, they shall not be questioned in any other Place. No Senator or Representative shall, during the Time for which he was elected, be appointed to any civil Office under the Authority of the United States, which shall have been created, or the Emoluments whereof shall have been encreased during such time; and no Person holding any Office under the United States, shall be a Member of either House during his Continuance in Office. Section. 7. All Bills for raising Revenue shall originate in the House of Representatives; but the Senate may propose or concur with Amendments as on other Bills. Every Bill which shall have passed the House of Representatives and the Senate, shall, before it become a Law, be presented to the President of the United States; If he approve he shall sign it, but if not he shall return it, with his Objections to that House in which it shall have originated, who shall enter the Objections at large on their Journal, and proceed to reconsider it. If after such Reconsideration two thirds of that House shall agree to pass the Bill, it shall be sent, together with the Objections, to the other House, by which it shall likewise be reconsidered, and if approved by two thirds of that House, it shall become a Law. But in all such Cases the Votes of both Houses shall be determined by yeas and Nays, and the Names of the Persons voting for and against the Bill shall be entered on the Journal of each House respectively. If any Bill shall not be returned by the President within ten Days (Sundays excepted) after it shall have been presented to him, the Same shall be a Law, in like Manner as if he had signed it, unless the Congress by their Adjournment prevent its Return, in which Case it shall not be a Law. Every Order, Resolution, or Vote to which the Concurrence of the Senate and House of Representatives may be necessary (except on a question of Adjournment) shall be presented to the President of the United States; and before the Same shall take Effect, shall be approved by him, or being disapproved by him, shall be repassed by two thirds of the Senate and House of Representatives, according to the Rules and Limitations prescribed in the Case of a Bill. Section. 8. The Congress shall have Power To lay and collect Taxes, Duties, Imposts and Excises, to pay the Debts and provide for the common Defence and general Welfare of the United States; but all Duties, Imposts and Excises shall be uniform throughout the United States; To borrow Money on the credit of the United States; To regulate Commerce with foreign Nations, and among the several States, and with the Indian Tribes; To establish an uniform Rule of Naturalization, and uniform Laws on the subject of Bankruptcies throughout the United States; To coin Money, regulate the Value thereof, and of foreign Coin, and fix the Standard of Weights and Measures; To provide for the Punishment of counterfeiting the Securities and current Coin of the United States; To establish Post Offices and post Roads; To promote the Progress of Science and useful Arts, by securing for limited Times to Authors and Inventors the exclusive Right to their respective Writings and Discoveries; To constitute Tribunals inferior to the supreme Court; To define and punish Piracies and Felonies committed on the high Seas, and Offences against the Law of Nations; To declare War, grant Letters of Marque and Reprisal, and make Rules concerning Captures on Land and Water; To raise and support Armies, but no Appropriation of Money to that Use shall be for a longer Term than two Years; To provide and maintain a Navy; To make Rules for the Government and Regulation of the land and naval Forces; To provide for calling forth the Militia to execute the Laws of the Union, suppress Insurrections and repel Invasions; To provide for organizing, arming, and disciplining, the Militia, and for governing such Part of them as may be employed in the Service of the United States, reserving to the States respectively, the Appointment of the Officers, and the Authority of training the Militia according to the discipline prescribed by Congress; To exercise exclusive Legislation in all Cases whatsoever, over such District (not exceeding ten Miles square) as may, by Cession of particular States, and the Acceptance of Congress, become the Seat of the Government of the United States, and to exercise like Authority over all Places purchased by the Consent of the Legislature of the State in which the Same shall be, for the Erection of Forts, Magazines, Arsenals, dock-Yards, and other needful Buildings;—And To make all Laws which shall be necessary and proper for carrying into Execution the foregoing Powers, and all other Powers vested by this Constitution in the Government of the United States, or in any Department or Officer thereof. Section. 9. The Migration or Importation of such Persons as any of the States now existing shall think proper to admit, shall not be prohibited by the Congress prior to the Year one thousand eight hundred and eight, but a Tax or duty may be imposed on such Importation, not exceeding ten dollars for each Person. The Privilege of the Writ of Habeas Corpus shall not be suspended, unless when in Cases of Rebellion or Invasion the public Safety may require it. No Bill of Attainder or ex post facto Law shall be passed. No Capitation, or other direct, Tax shall be laid, unless in Proportion to the Census or enumeration herein before directed to be taken. No Tax or Duty shall be laid on Articles exported from any State. No Preference shall be given by any Regulation of Commerce or Revenue to the Ports of one State over those of another: nor shall Vessels bound to, or from, one State, be obliged to enter, clear, or pay Duties in another. No Money shall be drawn from the Treasury, but in Consequence of Appropriations made by Law; and a regular Statement and Account of the Receipts and Expenditures of all public Money shall be published from time to time. No Title of Nobility shall be granted by the United States: And no Person holding any Office of Profit or Trust under them, shall, without the Consent of the Congress, accept of any present, Emolument, Office, or Title, of any kind whatever, from any King, Prince, or foreign State. Section. 10. No State shall enter into any Treaty, Alliance, or Confederation; grant Letters of Marque and Reprisal; coin Money; emit Bills of Credit; make any Thing but gold and silver Coin a Tender in Payment of Debts; pass any Bill of Attainder, ex post facto Law, or Law impairing the Obligation of Contracts, or grant any Title of Nobility. No State shall, without the Consent of the Congress, lay any Imposts or Duties on Imports or Exports, except what may be absolutely necessary for executing it’s inspection Laws: and the net Produce of all Duties and Imposts, laid by any State on Imports or Exports, shall be for the Use of the Treasury of the United States; and all such Laws shall be subject to the Revision and Controul of the Congress. No State shall, without the Consent of Congress, lay any Duty of Tonnage, keep Troops, or Ships of War in time of Peace, enter into any Agreement or Compact with another State, or with a foreign Power, or engage in War, unless actually invaded, or in such imminent Danger as will not admit of delay. Article. II. Section. 1. The executive Power shall be vested in a President of the United States of America. He shall hold his Office during the Term of four Years, and, together with the Vice President, chosen for the same Term, be elected, as follows Each State shall appoint, in such Manner as the Legislature thereof may direct, a Number of Electors, equal to the whole Number of Senators and Representatives to which the State may be entitled in the Congress: but no Senator or Representative, or Person holding an Office of Trust or Profit under the United States, shall be appointed an Elector. The Electors shall meet in their respective States, and vote by Ballot for two Persons, of whom one at least shall not be an Inhabitant of the same State with themselves. And they shall make a List of all the Persons voted for, and of the Number of Votes for each; which List they shall sign and certify, and transmit sealed to the Seat of the Government of the United States, directed to the President of the Senate. The President of the Senate shall, in the Presence of the Senate and House of Representatives, open all the Certificates, and the Votes shall then be counted. The Person having the greatest Number of Votes shall be the President, if such Number be a Majority of the whole Number of Electors appointed; and if there be more than one who have such Majority, and have an equal Number of Votes, then the House of Representatives shall immediately chuse by Ballot one of them for President; and if no Person have a Majority, then from the five highest on the List the said House shall in like Manner chuse the President. But in chusing the President, the Votes shall be taken by States, the Representation from each State having one Vote; A quorum for this Purpose shall consist of a Member or Members from two thirds of the States, and a Majority of all the States shall be necessary to a Choice. In every Case, after the Choice of the President, the Person having the greatest Number of Votes of the Electors shall be the Vice President. But if there should remain two or more who have equal Votes, the Senate shall chuse from them by Ballot the Vice President. The Congress may determine the Time of chusing the Electors, and the Day on which they shall give their Votes; which Day shall be the same throughout the United States. No Person except a natural born Citizen, or a Citizen of the United States, at the time of the Adoption of this Constitution, shall be eligible to the Office of President; neither shall any Person be eligible to that Office who shall not have attained to the Age of thirty five Years, and been fourteen Years a Resident within the United States. In Case of the Removal of the President from Office, or of his Death, Resignation, or Inability to discharge the Powers and Duties of the said Office, the Same shall devolve on the Vice President, and the Congress may by Law provide for the Case of Removal, Death, Resignation or Inability, both of the President and Vice President, declaring what Officer shall then act as President, and such Officer shall act accordingly, until the Disability be removed, or a President shall be elected. The President shall, at stated Times, receive for his Services, a Compensation, which shall neither be encreased nor diminished during the Period for which he shall have been elected, and he shall not receive within that Period any other Emolument from the United States, or any of them. Before he enter on the Execution of his Office, he shall take the following Oath or Affirmation:—"I do solemnly swear (or affirm) that I will faithfully execute the Office of President of the United States, and will to the best of my Ability, preserve, protect and defend the Constitution of the United States." Section. 2. The President shall be Commander in Chief of the Army and Navy of the United States, and of the Militia of the several States, when called into the actual Service of the United States; he may require the Opinion, in writing, of the principal Officer in each of the executive Departments, upon any Subject relating to the Duties of their respective Offices, and he shall have Power to grant Reprieves and Pardons for Offences against the United States, except in Cases of Impeachment. He shall have Power, by and with the Advice and Consent of the Senate, to make Treaties, provided two thirds of the Senators present concur; and he shall nominate, and by and with the Advice and Consent of the Senate, shall appoint Ambassadors, other public Ministers and Consuls, Judges of the supreme Court, and all other Officers of the United States, whose Appointments are not herein otherwise provided for, and which shall be established by Law: but the Congress may by Law vest the Appointment of such inferior Officers, as they think proper, in the President alone, in the Courts of Law, or in the Heads of Departments. The President shall have Power to fill up all Vacancies that may happen during the Recess of the Senate, by granting Commissions which shall expire at the End of their next Session. Section. 3. He shall from time to time give to the Congress Information of the State of the Union, and recommend to their Consideration such Measures as he shall judge necessary and expedient; he may, on extraordinary Occasions, convene both Houses, or either of them, and in Case of Disagreement between them, with Respect to the Time of Adjournment, he may adjourn them to such Time as he shall think proper; he shall receive Ambassadors and other public Ministers; he shall take Care that the Laws be faithfully executed, and shall Commission all the Officers of the United States. Section. 4. The President, Vice President and all civil Officers of the United States, shall be removed from Office on Impeachment for, and Conviction of, Treason, Bribery, or other high Crimes and Misdemeanors. Article III. Section. 1. The judicial Power of the United States, shall be vested in one supreme Court, and in such inferior Courts as the Congress may from time to time ordain and establish. The Judges, both of the supreme and inferior Courts, shall hold their Offices during good Behaviour, and shall, at stated Times, receive for their Services, a Compensation, which shall not be diminished during their Continuance in Office. Section. 2. The judicial Power shall extend to all Cases, in Law and Equity, arising under this Constitution, the Laws of the United States, and Treaties made, or which shall be made, under their Authority;—to all Cases affecting Ambassadors, other public Ministers and Consuls;—to all Cases of admiralty and maritime Jurisdiction;—to Controversies to which the United States shall be a Party;—to Controversies between two or more States;—between a State and Citizens of another State,—between Citizens of different States,—between Citizens of the same State claiming Lands under Grants of different States, and between a State, or the Citizens thereof, and foreign States, Citizens or Subjects. In all Cases affecting Ambassadors, other public Ministers and Consuls, and those in which a State shall be Party, the supreme Court shall have original Jurisdiction. In all the other Cases before mentioned, the supreme Court shall have appellate Jurisdiction, both as to Law and Fact, with such Exceptions, and under such Regulations as the Congress shall make. The Trial of all Crimes, except in Cases of Impeachment, shall be by Jury; and such Trial shall be held in the State where the said Crimes shall have been committed; but when not committed within any State, the Trial shall be at such Place or Places as the Congress may by Law have directed. Section. 3. Treason against the United States, shall consist only in levying War against them, or in adhering to their Enemies, giving them Aid and Comfort. No Person shall be convicted of Treason unless on the Testimony of two Witnesses to the same overt Act, or on Confession in open Court. The Congress shall have Power to declare the Punishment of Treason, but no Attainder of Treason shall work Corruption of Blood, or Forfeiture except during the Life of the Person attainted. Article. IV. Section. 1. Full Faith and Credit shall be given in each State to the public Acts, Records, and judicial Proceedings of every other State. And the Congress may by general Laws prescribe the Manner in which such Acts, Records and Proceedings shall be proved, and the Effect thereof. Section. 2. The Citizens of each State shall be entitled to all Privileges and Immunities of Citizens in the several States. A Person charged in any State with Treason, Felony, or other Crime, who shall flee from Justice, and be found in another State, shall on Demand of the executive Authority of the State from which he fled, be delivered up, to be removed to the State having Jurisdiction of the Crime. No Person held to Service or Labour in one State, under the Laws thereof, escaping into another, shall, in Consequence of any Law or Regulation therein, be discharged from such Service or Labour, but shall be delivered up on Claim of the Party to whom such Service or Labour may be due. Section. 3. New States may be admitted by the Congress into this Union; but no new State shall be formed or erected within the Jurisdiction of any other State; nor any State be formed by the Junction of two or more States, or Parts of States, without the Consent of the Legislatures of the States concerned as well as of the Congress. The Congress shall have Power to dispose of and make all needful Rules and Regulations respecting the Territory or other Property belonging to the United States; and nothing in this Constitution shall be so construed as to Prejudice any Claims of the United States, or of any particular State. Section. 4. The United States shall guarantee to every State in this Union a Republican Form of Government, and shall protect each of them against Invasion; and on Application of the Legislature, or of the Executive (when the Legislature cannot be convened), against domestic Violence. Article. V. The Congress, whenever two thirds of both Houses shall deem it necessary, shall propose Amendments to this Constitution, or, on the Application of the Legislatures of two thirds of the several States, shall call a Convention for proposing Amendments, which, in either Case, shall be valid to all Intents and Purposes, as Part of this Constitution, when ratified by the Legislatures of three fourths of the several States, or by Conventions in three fourths thereof, as the one or the other Mode of Ratification may be proposed by the Congress; Provided that no Amendment which may be made prior to the Year One thousand eight hundred and eight shall in any Manner affect the first and fourth Clauses in the Ninth Section of the first Article; and that no State, without its Consent, shall be deprived of its equal Suffrage in the Senate. Article. VI. All Debts contracted and Engagements entered into, before the Adoption of this Constitution, shall be as valid against the United States under this Constitution, as under the Confederation. This Constitution, and the Laws of the United States which shall be made in Pursuance thereof; and all Treaties made, or which shall be made, under the Authority of the United States, shall be the supreme Law of the Land; and the Judges in every State shall be bound thereby, any Thing in the Constitution or Laws of any State to the Contrary notwithstanding. The Senators and Representatives before mentioned, and the Members of the several State Legislatures, and all executive and judicial Officers, both of the United States and of the several States, shall be bound by Oath or Affirmation, to support this Constitution; but no religious Test shall ever be required as a Qualification to any Office or public Trust under the United States. Article. VII. The Ratification of the Conventions of nine States, shall be sufficient for the Establishment of this Constitution between the States so ratifying the Same. Done in Convention by the Unanimous Consent of the States present the Seventeenth Day of September in the Year of our Lord one thousand seven hundred and Eighty seven and of the Independance of the United States of America the Twelfth In witness whereof We have hereunto subscribed our Names, G. Washington Presidt and deputy from Virginia Delaware Geo: Read Gunning Bedford jun John Dickinson Richard Bassett Jaco: Broom Maryland James McHenry Dan of St Thos. Jenifer Danl. Carroll Virginia John Blair James Madison Jr. North Carolina Wm. Blount Richd. Dobbs Spaight Hu Williamson South Carolina J. Rutledge Charles Cotesworth Pinckney Charles Pinckney Pierce Butler Georgia William Few Abr Baldwin New Hampshire John Langdon Nicholas Gilman Massachusetts Nathaniel Gorham Rufus King Connecticut Wm. Saml. Johnson Roger Sherman New York Alexander Hamilton New Jersey Wil: Livingston David Brearley Wm. Paterson Jona: Dayton Pensylvania B Franklin Thomas Mifflin Robt. Morris Geo. Clymer Thos. FitzSimons Jared Ingersoll James Wilson Gouv Morris Constitutional Amendments The U.S. Bill of Rights (Amendments 1–10) The Preamble to The Bill of Rights Congress of the United States begun and held at the City of New-York, on Wednesday the fourth of March, one thousand seven hundred and eighty nine. The Conventions of a number of the States, having at the time of their adopting the Constitution, expressed a desire, in order to prevent misconstruction or abuse of its powers, that further declaratory and restrictive clauses should be added: And as extending the ground of public confidence in the Government, will best ensure the beneficent ends of its institution. Resolved by the Senate and House of Representatives of the United States of America, in Congress assembled, two thirds of both Houses concurring, that the following Articles be proposed to the Legislatures of the several States, as amendments to the Constitution of the United States, all, or any of which Articles, when ratified by three fourths of the said Legislatures, to be valid to all intents and purposes, as part of the said Constitution; viz. Articles in addition to, and Amendment of the Constitution of the United States of America, proposed by Congress, and ratified by the Legislatures of the several States, pursuant to the fifth Article of the original Constitution. Note: The following text is a transcription of the first ten amendments to the Constitution in their original form. These amendments were ratified December 15, 1791, and form what is known as the “Bill of Rights.” Amendment I Congress shall make no law respecting an establishment of religion, or prohibiting the free exercise thereof; or abridging the freedom of speech, or of the press; or the right of the people peaceably to assemble, and to petition the Government for a redress of grievances. Amendment II A well regulated Militia, being necessary to the security of a free State, the right of the people to keep and bear Arms, shall not be infringed. Amendment III No Soldier shall, in time of peace be quartered in any house, without the consent of the Owner, nor in time of war, but in a manner to be prescribed by law. Amendment IV The right of the people to be secure in their persons, houses, papers, and effects, against unreasonable searches and seizures, shall not be violated, and no Warrants shall issue, but upon probable cause, supported by Oath or affirmation, and particularly describing the place to be searched, and the persons or things to be seized. Amendment V No person shall be held to answer for a capital, or otherwise infamous crime, unless on a presentment or indictment of a Grand Jury, except in cases arising in the land or naval forces, or in the Militia, when in actual service in time of War or public danger; nor shall any person be subject for the same offence to be twice put in jeopardy of life or limb; nor shall be compelled in any criminal case to be a witness against himself, nor be deprived of life, liberty, or property, without due process of law; nor shall private property be taken for public use, without just compensation. Amendment VI In all criminal prosecutions, the accused shall enjoy the right to a speedy and public trial, by an impartial jury of the State and district wherein the crime shall have been committed, which district shall have been previously ascertained by law, and to be informed of the nature and cause of the accusation; to be confronted with the witnesses against him; to have compulsory process for obtaining witnesses in his favor, and to have the Assistance of Counsel for his defence. Amendment VII In Suits at common law, where the value in controversy shall exceed twenty dollars, the right of trial by jury shall be preserved, and no fact tried by a jury, shall be otherwise re-examined in any Court of the United States, than according to the rules of the common law. Amendment VIII Excessive bail shall not be required, nor excessive fines imposed, nor cruel and unusual punishments inflicted. Amendment IX The enumeration in the Constitution, of certain rights, shall not be construed to deny or disparage others retained by the people. Amendment X The powers not delegated to the United States by the Constitution, nor prohibited by it to the States, are reserved to the States respectively, or to the people. Amendment XI The Judicial power of the United States shall not be construed to extend to any suit in law or equity, commenced or prosecuted against one of the United States by Citizens of another State, or by Citizens or Subjects of any Foreign State. Amendment XII The Electors shall meet in their respective states and vote by ballot for President and Vice-President, one of whom, at least, shall not be an inhabitant of the same state with themselves; they shall name in their ballots the person voted for as President, and in distinct ballots the person voted for as Vice-President, and they shall make distinct lists of all persons voted for as President, and of all persons voted for as Vice-President, and of the number of votes for each, which lists they shall sign and certify, and transmit sealed to the seat of the government of the United States, directed to the President of the Senate; — the President of the Senate shall, in the presence of the Senate and House of Representatives, open all the certificates and the votes shall then be counted; — The person having the greatest number of votes for President, shall be the President, if such number be a majority of the whole number of Electors appointed; and if no person have such majority, then from the persons having the highest numbers not exceeding three on the list of those voted for as President, the House of Representatives shall choose immediately, by ballot, the President. But in choosing the President, the votes shall be taken by states, the representation from each state having one vote; a quorum for this purpose shall consist of a member or members from two-thirds of the states, and a majority of all the states shall be necessary to a choice. [And if the House of Representatives shall not choose a President whenever the right of choice shall devolve upon them, before the fourth day of March next following, then the Vice-President shall act as President, as in case of the death or other constitutional disability of the President. —]* The person having the greatest number of votes as Vice-President, shall be the Vice-President, if such number be a majority of the whole number of Electors appointed, and if no person have a majority, then from the two highest numbers on the list, the Senate shall choose the Vice-President; a quorum for the purpose shall consist of two-thirds of the whole number of Senators, and a majority of the whole number shall be necessary to a choice. But no person constitutionally ineligible to the office of President shall be eligible to that of Vice-President of the United States. Superseded by Section 3 of the 20th amendment. Amendment XIII Section 1. Neither slavery nor involuntary servitude, except as a punishment for crime whereof the party shall have been duly convicted, shall exist within the United States, or any place subject to their jurisdiction. Section 2. Congress shall have power to enforce this article by appropriate legislation. Amendment XIV Section 1. All persons born or naturalized in the United States, and subject to the jurisdiction thereof, are citizens of the United States and of the State wherein they reside. No State shall make or enforce any law which shall abridge the privileges or immunities of citizens of the United States; nor shall any State deprive any person of life, liberty, or property, without due process of law; nor deny to any person within its jurisdiction the equal protection of the laws. Section 2. Representatives shall be apportioned among the several States according to their respective numbers, counting the whole number of persons in each State, excluding Indians not taxed. But when the right to vote at any election for the choice of electors for President and Vice-President of the United States, Representatives in Congress, the Executive and Judicial officers of a State, or the members of the Legislature thereof, is denied to any of the male inhabitants of such State, being twenty-one years of age, and citizens of the United States, or in any way abridged, except for participation in rebellion, or other crime, the basis of representation therein shall be reduced in the proportion which the number of such male citizens shall bear to the whole number of male citizens twenty-one years of age in such State. Section 3. No person shall be a Senator or Representative in Congress, or elector of President and Vice-President, or hold any office, civil or military, under the United States, or under any State, who, having previously taken an oath, as a member of Congress, or as an officer of the United States, or as a member of any State legislature, or as an executive or judicial officer of any State, to support the Constitution of the United States, shall have engaged in insurrection or rebellion against the same, or given aid or comfort to the enemies thereof. But Congress may by a vote of two-thirds of each House, remove such disability. Section 4. The validity of the public debt of the United States, authorized by law, including debts incurred for payment of pensions and bounties for services in suppressing insurrection or rebellion, shall not be questioned. But neither the United States nor any State shall assume or pay any debt or obligation incurred in aid of insurrection or rebellion against the United States, or any claim for the loss or emancipation of any slave; but all such debts, obligations and claims shall be held illegal and void. Section 5. The Congress shall have the power to enforce, by appropriate legislation, the provisions of this article. *Changed by Section 1 of the 26th amendment. Amendment XV Section 1. The right of citizens of the United States to vote shall not be denied or abridged by the United States or by any State on account of race, color, or previous condition of servitude— Section 2. The Congress shall have the power to enforce this article by appropriate legislation. Amendment XVI The Congress shall have power to lay and collect taxes on incomes, from whatever source derived, without apportionment among the several States, and without regard to any census or enumeration. Amendment XVII The Senate of the United States shall be composed of two Senators from each State, elected by the people thereof, for six years; and each Senator shall have one vote. The electors in each State shall have the qualifications requisite for electors of the most numerous branch of the State legislatures. When vacancies happen in the representation of any State in the Senate, the executive authority of such State shall issue writs of election to fill such vacancies: Provided, That the legislature of any State may empower the executive thereof to make temporary appointments until the people fill the vacancies by election as the legislature may direct. This amendment shall not be so construed as to affect the election or term of any Senator chosen before it becomes valid as part of the Constitution. Amendment XVIII Section 1. After one year from the ratification of this article the manufacture, sale, or transportation of intoxicating liquors within, the importation thereof into, or the exportation thereof from the United States and all territory subject to the jurisdiction thereof for beverage purposes is hereby prohibited. Section 2. The Congress and the several States shall have concurrent power to enforce this article by appropriate legislation. Section 3. This article shall be inoperative unless it shall have been ratified as an amendment to the Constitution by the legislatures of the several States, as provided in the Constitution, within seven years from the date of the submission hereof to the States by the Congress. Amendment XIX The right of citizens of the United States to vote shall not be denied or abridged by the United States or by any State on account of sex. Congress shall have power to enforce this article by appropriate legislation. Amendment XX Section 1. The terms of the President and the Vice President shall end at noon on the 20th day of January, and the terms of Senators and Representatives at noon on the 3d day of January, of the years in which such terms would have ended if this article had not been ratified; and the terms of their successors shall then begin. Section 2. The Congress shall assemble at least once in every year, and such meeting shall begin at noon on the 3d day of January, unless they shall by law appoint a different day. Section 3. If, at the time fixed for the beginning of the term of the President, the President elect shall have died, the Vice President elect shall become President. If a President shall not have been chosen before the time fixed for the beginning of his term, or if the President elect shall have failed to qualify, then the Vice President elect shall act as President until a President shall have qualified; and the Congress may by law provide for the case wherein neither a President elect nor a Vice President elect shall have qualified, declaring who shall then act as President, or the manner in which one who is to act shall be selected, and such person shall act accordingly until a President or Vice President shall have qualified. Section 4. The Congress may by law provide for the case of the death of any of the persons from whom the House of Representatives may choose a President whenever the right of choice shall have devolved upon them, and for the case of the death of any of the persons from whom the Senate may choose a Vice President whenever the right of choice shall have devolved upon them. Section 5. Sections 1 and 2 shall take effect on the 15th day of October following the ratification of this article. Section 6. This article shall be inoperative unless it shall have been ratified as an amendment to the Constitution by the legislatures of three-fourths of the several States within seven years from the date of its submission. Amendment XXI Section 1. The eighteenth article of amendment to the Constitution of the United States is hereby repealed. Section 2. The transportation or importation into any State, Territory, or possession of the United States for delivery or use therein of intoxicating liquors, in violation of the laws thereof, is hereby prohibited. Section 3. This article shall be inoperative unless it shall have been ratified as an amendment to the Constitution by conventions in the several States, as provided in the Constitution, within seven years from the date of the submission hereof to the States by the Congress. Amendment XXII Section 1. No person shall be elected to the office of the President more than twice, and no person who has held the office of President, or acted as President, for more than two years of a term to which some other person was elected President shall be elected to the office of the President more than once. But this Article shall not apply to any person holding the office of President when this Article was proposed by the Congress, and shall not prevent any person who may be holding the office of President, or acting as President, during the term within which this Article becomes operative from holding the office of President or acting as President during the remainder of such term. Section 2. This article shall be inoperative unless it shall have been ratified as an amendment to the Constitution by the legislatures of three-fourths of the several States within seven years from the date of its submission to the States by the Congress. Amendment XXIII Section 1. The District constituting the seat of Government of the United States shall appoint in such manner as the Congress may direct: A number of electors of President and Vice President equal to the whole number of Senators and Representatives in Congress to which the District would be entitled if it were a State, but in no event more than the least populous State; they shall be in addition to those appointed by the States, but they shall be considered, for the purposes of the election of President and Vice President, to be electors appointed by a State; and they shall meet in the District and perform such duties as provided by the twelfth article of amendment. Section 2. The Congress shall have power to enforce this article by appropriate legislation. Amendment XXIV Section 1. The right of citizens of the United States to vote in any primary or other election for President or Vice President, for electors for President or Vice President, or for Senator or Representative in Congress, shall not be denied or abridged by the United States or any State by reason of failure to pay any poll tax or other tax. Section 2. The Congress shall have power to enforce this article by appropriate legislation. Amendment XXV Section 1. In case of the removal of the President from office or of his death or resignation, the Vice President shall become President. Section 2. Whenever there is a vacancy in the office of the Vice President, the President shall nominate a Vice President who shall take office upon confirmation by a majority vote of both Houses of Congress. Section 3. Whenever the President transmits to the President pro tempore of the Senate and the Speaker of the House of Representatives his written declaration that he is unable to discharge the powers and duties of his office, and until he transmits to them a written declaration to the contrary, such powers and duties shall be discharged by the Vice President as Acting President. Section 4. Whenever the Vice President and a majority of either the principal officers of the executive departments or of such other body as Congress may by law provide, transmit to the President pro tempore of the Senate and the Speaker of the House of Representatives their written declaration that the President is unable to discharge the powers and duties of his office, the Vice President shall immediately assume the powers and duties of the office as Acting President. Thereafter, when the President transmits to the President pro tempore of the Senate and the Speaker of the House of Representatives his written declaration that no inability exists, he shall resume the powers and duties of his office unless the Vice President and a majority of either the principal officers of the executive department or of such other body as Congress may by law provide, transmit within four days to the President pro tempore of the Senate and the Speaker of the House of Representatives their written declaration that the President is unable to discharge the powers and duties of his office. Thereupon Congress shall decide the issue, assembling within forty-eight hours for that purpose if not in session. If the Congress, within twenty-one days after receipt of the latter written declaration, or, if Congress is not in session, within twenty-one days after Congress is required to assemble, determines by two-thirds vote of both Houses that the President is unable to discharge the powers and duties of his office, the Vice President shall continue to discharge the same as Acting President; otherwise, the President shall resume the powers and duties of his office. Amendment XXVI Section 1. The right of citizens of the United States, who are eighteen years of age or older, to vote shall not be denied or abridged by the United States or by any State on account of age. Section 2. The Congress shall have power to enforce this article by appropriate legislation. Amendment XXVII No law, varying the compensation for the services of the Senators and Representatives, shall take effect, until an election of Representatives shall have intervened.	oercommons	2025-03-18T00:38:54.271834	null	{ "license": "Creative Commons - Attribution - https://creativecommons.org/licenses/by/4.0/", "url": "https://oercommons.org/courseware/lesson/15288/overview", "title": "American Government, The Constitution of the United States", "author": null }
https://oercommons.org/courseware/lesson/66337/overview	The Criminal Justice System in Texas Overview The Criminal Justice System in Texas Chapter Learning Objective By the end of this chapter, you will be able to: - Explain the purpose, structure, and behavior of the criminal justice system in Texas Introduction Criminal justice is the delivery of justice to those who have committed crimes. In Texas, the criminal justice system is a series of government agencies and institutions whose goals are to identify and catch unlawful individuals to inflict a form of punishment on them. Insider Perspective: Theory Meets Practice Typically a person charged with a serious crime will have a brief hearing before a judge to be informed of the charges against him or her, to be made aware of the right to counsel, and to enter a plea. Other hearings may be held to decide on the admissibility of evidence seized or otherwise obtained by prosecutors. If the two sides cannot agree on a plea bargain during this period, the next stage is the selection of a jury. A pool of potential jurors is summoned to the court and screened for impartiality, with the goal of seating twelve (in most states) and one or two alternates. All hear the evidence in the trial; unless an alternate must serve, the original twelve decide whether the evidence overwhelmingly points toward guilt or innocence beyond a reasonable doubt. In the trial itself, the lawyers for the prosecution and defense make opening arguments, followed by testimony by witnesses for the prosecution (and any cross-examination), and then testimony by witnesses for the defense, including the defendant if he or she chooses. Additional prosecution witnesses may be called to rebut testimony by the defense. Finally, both sides make closing arguments. The judge then issues instructions to the jury, including an admonition not to discuss the case with anyone outside the jury room. The jury members leave the courtroom to enter the jury room and begin their deliberations (Figure 12.1). The jurors pick a foreman or forewoman to coordinate their deliberations. They may ask to review evidence or to hear transcripts of testimony. They deliberate in secret and their decision must be unanimous; if they are unable to agree on a verdict after extensive deliberation, a mistrial may be declared, which in eﬀect requires the prosecution to try the case all over again. A defendant found not guilty of all charges will be immediately released unless other charges are pending (e.g., the defendant is wanted for a crime in another jurisdiction). If the defendant is found guilty of one or more oﬀenses, the judge will choose an appropriate sentence based on the law and the circumstances; in the federal system, this sentence will typically be based on guidelines that assign point values to various oﬀenses and facts in the case. If the prosecution is pursuing the death penalty, the jury will decide whether the defendant should be subject to capital punishment or life imprisonment. The reality of court procedure is much less dramatic and exciting than what is typically portrayed in television shows and movies. Nonetheless, most Americans will participate in the legal system at least once in their lives as a witness, juror, or defendant. \| Have you or any member of your family served on a jury? If so, was the experience a positive one? Did the trial proceed as expected? If you haven’t served on a jury, is it something you look forward to? Why or why not? \| References and Further Reading Texas Department of Criminal Justice (2019). Texas Board of Criminal Justice. Retrieved September 10, 2019. Licensing and Attribution CC LICENSED CONTENT, ORIGINAL The Criminal Justice System in Texas: Introduction. Authored by: Andrew Teas. License: CC BY: Attribution CC LICENSED CONTENT, SHARED PREVIOUSLY The Criminal Justice System: Theory Meets Practice. Authored by: Rice University. Provided by: OpenStax. Located at: https://cnx.org/contents/W8wOWXNF@15.7:7SLLEy8U@2/The-Rights-of-Suspects. License: CC BY: Attribution	oercommons	2025-03-18T00:38:54.296335	null	{ "license": "Creative Commons - Attribution - https://creativecommons.org/licenses/by/4.0/", "url": "https://oercommons.org/courseware/lesson/66337/overview", "title": "Texas Government 2.0, The Criminal Justice System in Texas", "author": null }
https://oercommons.org/courseware/lesson/66338/overview	Classifying Criminal Offenses in Texas Overview Classifying Criminal Offenses in Texas Learning Objective By the end of this section, you will be able to: - Understand how Texas classifies criminal offenses Introduction The vast majority of crimes are prosecuted at the state level. In every state, crimes are put into distinct categories. The categories are usually “felony,” and “misdemeanor." Decisions on crime classification are made by state legislators; the determination focuses on the seriousness of the crime. This section discusses the classification Texas uses. Classification of Criminal Offenses in Texas There are two types of crimes in Texas: misdemeanors and felonies. Misdemeanors are considered minor crimes, and felonies are defined as major crimes. Misdemeanors and felonies are in turn classified according to the relative seriousness of the offense into three and five categories, respectively. Offense \| Punishment \| Court of Original Jurisdiction \| Murder(Capital Felony) Examples: Murder of a law enforcement official, prison guard, or firefighter on duty; commits murder with other types of felonies; murder for hire; mass murder; the murder of someone under the age of 10 \| Life without parole or death penalty \| District \| First-degree felony Examples: Murder; theft of property worth over $200,000 \| 5-99 years in prison, and a possible maximum fine of $10,000 \| District \| Second-degree felony Examples: Manslaughter; theft of property worth between $100,000-200,000 \| 2-20 years in prison, and a possible maximum fine of $10,000 \| District \| Third-degree felony Examples: Impersonating someone online; theft of property worth $20,000-100,000 \| 2-10 years in prison, and a possible maximum fine of $10,000 \| District \| State Jail Felony Examples: Possession of 4 ounces to 1lb of marijuana; theft of property worth $15,000-20,000 \| 180 days-2 years in prison, and a possible maximum fine of $10,000 \| District \| Class A Misdemeanor Examples: Resisting arrests; theft of property worth $500-1,500 \| maximum of 1 year in jail, and/or a maximum fine of $4,000 \| County \| Class B Misdemeanor Examples: Terroristic threat; theft of property worth $20-500 \| maximum of 180 days in jail, and/or a maximum fine of $2,000 \| County \| Class C Misdemeanor Examples: theft of property worth less than $20; a person under the age of 21 purchases, attempts to purchase, or in possession of alcohol \| maximum fine $500 \| Justice of the Peace or Municipal \| Table 12.1 Classifications of Criminal Oﬀenses in Texas, from Most Serious to Least Serious References and Further Reading "Huntsville Prison Blues". National Public Radio. All Things Considered. September 10, 2001. Retrieved on December 2, 2009. Texas State Law Library. Texas Constitution. Accessed October 11, 2019. Texas Department of Criminal Justice (2019). Texas Board of Criminal Justice. Accessed September 10, 2019. Texas Constitution and Statutes: Texas Penal Code. Accessed September 9, 2019. Licensing and Attribution CC LICENSED CONTENT, ORIGINAL Sources of Law. Authored by: Kris S. Seago. License: CC BY: Attribution CC LICENSED CONTENT, ORIGINAL Criminal Law Penalties: Revision and Adaptation. Authored by: Kris S. Seago. License: CC BY: Attribution	oercommons	2025-03-18T00:38:54.332364	null	{ "license": "Creative Commons - Attribution - https://creativecommons.org/licenses/by/4.0/", "url": "https://oercommons.org/courseware/lesson/66338/overview", "title": "Texas Government 2.0, The Criminal Justice System in Texas", "author": null }
https://oercommons.org/courseware/lesson/66339/overview	Crime and Criminal Defense Overview Crime and Criminal Defense Learning Objective By the end of this section, you will be able to: - Explain the right to counsel in Texas Introduction This section explores how Texas provides legal counsel to defendants Crime and Criminal Defense People accused of a crime can represent themselves or may retain a criminal defense lawyer to represent them. Since the famous Supreme court case Gideon v. Wainwright, persons too poor to hire a lawyer have the constitutional right to have an attorney appointed to represent them in serious cases. How exactly that counsel is provided, however, was left to states to decide, and in Texas, this “how” gets further relegated to the state’s 254 counties — meaning that each county decides how to appoint, and pay, lawyers for the poor. Last fiscal year, there were roughly 474,000 indigent cases in Texas. There are 19 public defender’s offices, which 39 counties rely on in some capacity, but the majority of counties contract with private lawyers, who are generally paid a modest flat fee per case. (This is the most common way that states fulfill their Gideon v. Wainwright obligations.) More than 150 counties also participate in a public defender program for death penalty cases. Because the Supreme Court did not, in its 1963 ruling, specify how states should pay for counsel, local policymakers facing other costs — for schools, roads, law enforcement — consistently shortchange indigent defense. This is why public defender’s offices are chronically understaffed. It’s also why court-appointed private lawyers are overloaded: The fees they’re paid are often so low that they are forced to take on a multitude of cases just to make a living. Some overburdened lawyers, in turn, contribute to so-called plea mills, in which, critics say, they encourage defendants to plead guilty because they are either too swamped to investigate claims or incentivized not to. (In Travis County, for instance, court-appointed lawyers are paid $600 for a felony case whether they secure a plea deal or get the charge dismissed.) The problem of funding is especially acute in Texas. Since 2001, when the state legislature passed the Fair Defense Act — a law that aimed to overhaul and standardize how the state’s poor received counsel — total spending on indigent defense has increased significantly, from some $91 million in 2001 to roughly $273 million in 2018. But Texas ranks among the states that spend the least per capita: Its counties, which shoulder most of the costs, are some of the fastest growing in the country, and what little the Legislature chips in to help — some $30 million last year — does not match demand. This creates a woeful game of numbers on the ground. In 2017, for example, the average court-appointed lawyer in Texas made only $247 per misdemeanor case and $598 per felony. In Texas, the situation is complicated by another factor: Indigent defense is largely overseen by judges. Contrary to the American Bar Association’s principles of public defense, which call for defense lawyers to be independent of the judiciary, judges in most Texas counties decide which lawyers get cases, how much they are paid and whether their motions — say, to reduce bail or test DNA — have merit. (Counties do have fee schedules for lawyers, but judges set the schedules and retain discretion over payment.) Given that judges are elected based, in part, on the efficiency of their courts, this is an inherent conflict of interest. “Whatever the judge wants to do, it’s probably not acquit your client,” said Charlie Gerstein, a lawyer for Civil Rights Corps, a Washington, D.C., nonprofit that has spent the past several years challenging criminal justice abuses around the country. “The judge wants to move the docket. The judge wants to get reelected.” (Civil Rights Corps filed the class-action lawsuitagainst the bail system of Harris County in 2016.) Lawyers trying to work a case properly — by devoting more time or requesting an investigator — face a quandary: Why make the effort if a judge can retaliate by appointing them to fewer cases or cutting their pay? References and Further Reading Gideon v. Wainwright, 372 U.S. 335 (1963) United States Courts. Facts and Case Summary - Miranda v. Arizona. Retrieved October 23, 2019. Vanover, J. W. (1998) Utilitarian Analysis of the Objectives of Criminal Plea Negotiation and Negotiation Strategy Choice University of Cincinnati Law Review, 183. American Bar Association. Rule 1.3 Diligence - Comment Retrieved October 23, 2019. "How judicial conflicts of interest are denying poor Texans their right to an effective lawyer." The Texas Tribune. August 19, 2019. Licensing and Attribution CC LICENSED CONTENT, ORIGINAL Plea Bargain. Authored by: Wikipedia. License: CC BY: Attribution Types of Law and Texas Criminal Justice Process. Authored by: Daniel M. Regalado. License: CC BY: Attribution	oercommons	2025-03-18T00:38:54.352649	null	{ "license": "Creative Commons - Attribution - https://creativecommons.org/licenses/by/4.0/", "url": "https://oercommons.org/courseware/lesson/66339/overview", "title": "Texas Government 2.0, The Criminal Justice System in Texas", "author": null }
https://oercommons.org/courseware/lesson/66342/overview	The Integrity of the Texas Criminal Justice System Overview The Integrity of the Texas Criminal Justice System Learning Objective By the end of this section, you will be able to: - Understand the integrity challenges facing Texas’ criminal justice system Introduction Texas' criminal justice system has faced a number of serious integrity allegations. This section explores some of those allegations. Rights of Crime Victims Texas has long been known as a law and order state. The United States Constitution has a Bill of Rights that guarantees certain rights for those accused of crimes. While the Texas Constitution has a Bill of Rights with an extensive list of rights for the accused, it is one of the only states that follows that list with a specific list of rights for crime victims. Sec. 30. RIGHTS OF CRIME VICTIMS. (a) A crime victim has the following rights: (1) the right to be treated with fairness and with respect for the victim's dignity and privacy throughout the criminal justice process; and (2) the right to be reasonably protected from the accused throughout the criminal justice process. (b) On the request of a crime victim, the crime victim has the following rights: (1) the right to notification of court proceedings; (2) the right to be present at all public court proceedings related to the oﬀense, unless the victim is to testify and the court determines that the victim's testimony would be materially aﬀected if the victim hears other testimony at the trial; (3) the right to confer with a representative of the prosecutor's oﬃce; (4) the right to restitution; and (5) the right to information about the conviction, sentence, imprisonment, and release of the accused. (c) The legislature may enact laws to define the term "victim" and to enforce these and other rights of crime victims. (d) The state, through its prosecuting attorney, has the right to enforce the rights of crime victims. (e) The legislature may enact laws to provide that a judge, attorney for the state, peace oﬃcer, or law enforcement agency is not liable for a failure or inability to provide a right enumerated in this section. The failure or inability of any person to provide a right or service enumerated in this section may not be used by a defendant in a criminal case as a ground for appeal or post- conviction writ of habeas corpus. A victim or guardian or legal representative of a victim has standing to enforce the rights enumerated in this section but does not have standing to participate as a party in a criminal proceeding or to contest the disposition of any charge. How Fair is the Texas Criminal Justice System? Texas has a reputation for long sentences, tough prisons (most, until recently, without air conditioning) and tough-on-crime judges. Every two years, the Chief Justice of the Texas Supreme Court is required by law to deliver a “state of the judiciary” address to a joint session of the Texas Legislature. In February, 2017, Chief Justice Nathan Hecht, a conservative Republican jurist from Dallas, warned the legislature of the astonishing number of people incarcerated in Texas jails who had not been convicted of the crime with which they were charged, but simply couldn’t aﬀord to pay the necessary bail to remain free until their trial: Twenty years ago, not quite one-third of the state’s jail population was awaiting trial. Now the number is three-fourths. Liberty is precious to Americans, and any deprivation must be scrutinized. To protect public safety and ensure that those accused of a crime will appear at trial, persons charged with breaking the law may be detained before their guilt or innocence can be adjudicated, but that detention must not extend beyond its justifications. Many who are arrested cannot aﬀord a bail bond and remain in jail awaiting a hearing. Though presumed innocent, they lose their jobs and families, and are more likely to re-oﬀend. And if all this weren’t bad enough, taxpayers must shoulder the cost—a staggering $1 billion per year. Take a recent case in point, from The Dallas Morning News. A middle-aged woman arrested for shoplifting $105 worth of clothing for her grandchildren sat in jail almost two months because bail was set at $150,000—far more than all her worldly goods. Was she a threat to society? No. A flight risk? No. Cost to taxpayers? $3,300. Benefit: we punished grandma. Was it worth it? No. And to add to the nonsense, Texas law limits judges’ power to detain high-risk defendants. High-risk defendants, a threat to society, are freed; low-risk defendants sit in jail, a burden on taxpayers. This makes no sense. Two months later, Federal District Judge Lee Rosenthal ruled Harris County’s bail system unconstitutional. A proposed settlement approved by Harris County Commissioners in 2019 would essentially end Harris County’s practice of requiring the posting of bail for all but the most violent oﬀenders, or those who pose a substantial flight risk. Still, Harris County District Attorney Kim Ogg filed a court brief objecting to the settlement. As Harris County’s chief prosecutor, Ogg feels the proposed settlement was unfair to crime victims and the public. As she explained in an interview with Houston Public Media in September 2019: "Well, in March of ’17, shortly after being elected, I stepped forward not as a party [to the bail lawsuit] but as the representative of an institution, the DA’s oﬃce and prosecutors, to support bail reform. And as a local criminal justice leader, I took a lot of political arrows for that support. I still support bail reform, but this proposed settlement is not bail reform that adequately protects the public. There’s two reasons we have bail: 1) to get the person back into court after they’ve been released, 2) to make sure the public is safe. So, I had to look at this proposal through the eyes of somebody other than the criminal defendant, and it’s an extremely slanted proposed settlement that really prioritizes their convenience over anybody else’s interest – whether it’s the victims or the community itself or the prosecutors and law enforcement who have to bring these cases against them. I see that the system that’s been crafted as a result of this lawsuit…that misdemeanor oﬀenders are not awaiting their trial in jail because they can’t aﬀord to get out. I see everybody being released on PR [personal recognizance] bond. In fact, I see too many people being released on PR bonds…For low- level, non-violence misdemeanors, I agree, this is appropriate, and I support that…but we see judges right now letting dangerous misdemeanor oﬀenders out – domestic violence abusers, pimps, people who stalk folks, DWI oﬀenders – and we see those individuals go out and commit additional crimes, only to be taken back in front of the courts and given another PR bond. This endangers the public. So as the chief prosecutor in Harris County, I think it’s incumbent on me to make sure that any proposed settlement, especially one that’s going to be enforceable for seven years, include provisions that protect the public." In the 1980s, most people in jail were there as a punishment because they were convicted of a crime. That is no longer true. Today, three out of four inmates in Texas county jails have been arrested but not yet convicted of a crime, many because they do not have the cash to get out. That costs Texas taxpayers about a billion dollars a year and has led to lawsuits in Harris and Dallas counties. How should Texas balance the need to protect the rights of the accused with the public’s right to law and order, and victims’ rights to see the criminals that victimized them brought to justice? Reforming the Texas Criminal Justice System Texas has had a significant number of people who have been wrongly convicted. Numerous recent cases in which convictions were overturned have raised questions about the criminal justice system in Texas. Concerns about wrongful convictions are often related to the methods that police and prosecutors use to convict suspects. In Dallas County, many of the wrongfully convicted were prosecuted during the administration of District Attorney Henry Wade, whose oﬃce was known for high conviction rates. Additionally, multiple issues with the handling and processing of evidence transported to local and state crime labs have been documented, including lab analysts not trained in the latest DNA technology, incompetent supervisors, lack of lab inspections from outside agencies, lack of quality control systems. DNA evidence is often touted as definitive proof of guilt or innocence; however, forensic science procedures cannot be definitive with defective facilities, personnel, and procedures. Texas has long led the nation in the number of people it exonerates, or clears of convictions, based on evidence of innocence. Since 2010, more than 200 people have been exonerated in Texas, according to the National Registry of Exonerations. That’s more than twice as many as any other state during the same period. Recent reforms that have been enacted may help reduce the number of wrongful convictions in Texas and improve the fairness of the criminal justice system. Dallas county established the first Conviction Integrity Unit (CIU) in America in 2007, and as of 2018, there are 44 units nationwide. In 2015, CIU in Harris County was responsible for 42 of the 58 conviction integrity unit exonerations in the United States that year. In Texas, there has been an increased emphasis (albeit gradually) on community supervision and rehabilitation programs, such as drug treatment programs and electronic monitoring of oﬀenders, with less emphasis on incarceration as a first response solution to crime. Costs for probation are estimated at 10% of the cost of prison. Similarly, while incarceration is around $50 a day, parole supervision costs $4 a day. Lawmakers entered 2019 with hopes that they could change Texas' bail procedures, death penalty laws, and drug policies. But the 86th legislative session ended in July 2019 without major reforms in any of those issues. Thus, bipartisan lawmakers created a new Criminal Justice Reform Caucus in the Texas House. Check Your Knowledge Check your knowledge of this section by taking the quiz linked below. The quiz will open in a new browser window or tab. Link to Learning The National Association for Public Defense represents public defenders, lobbying for better funding for public defense and improvements in the justice system in general. References and Further Reading The Texas Constitution. Article 1: Bill of Rights. Section 30: Rights of Crime Victims. Accessed October 11, 2019. Texas State Law Library. State of the Judiciary Messages. Accessed October 11, 2019. Houston Public Media (2017, February 1). State’s Top Judge Calls For Legislature To Enact Bail Reform. Accessed October 11, 2019. The State of the Judiciary in Texas (2017, February 1). Chief Justice Nathan L. Hecht. Presented to the 85th Legislature. Austin, Texas. Accessed October 11, 2019. Barajas, M. (2019, July 31). 'A Watershed Moment' for Bail Reform in Harris County. Texas Observer. Accessed October 11, 2019. Houston Public Radio (2019, September 3). Harris County DA Kim Ogg On Bail Reform Accessed October 11, 2019. Barajas, M. (2017, October 6). The Case to End Assembly Line Justice for Poor People in Harris County. Texas Observer. Accessed October 11, 2019. Connelly, C (2019). 5 Criminal Justice Issues Texas Lawmakers Are Expected To Consider. KERA KUT 90.5. McGonigle, S. (2007, January 22). Righting Wrongs. Dallas Morning News. Retrieved October 18, 2019. The National Registry of Exonerations (2018). Exonerations in 2018 (Infographic). Accessed October 18, 2019. Fromson, N. (2016, March 12). Conviction Integrity Units Expand Beyond Lone Star State Roots. The Texas Tribune. Accessed October 18, 2019. American Bar Association. Texas and Mississippi: Reducing Prison Population, Saving Money, and Reducing Recidivism. ABA Criminal Justice Section Parole & Probation. McCullough, J. (2019, July 18). After defeats in 2019, a group of Texas lawmakers is teaming up to push criminal justice reform. The Texas Tribune. Accessed October 12, 2019. Licensing and Attribution CC LICENSED CONTENT, ORIGINAL The Integrity of the Texas Criminal Justice System. Authored by: Andrew Teas. License: CC BY: Attribution	oercommons	2025-03-18T00:38:54.388415	null	{ "license": "Creative Commons - Attribution - https://creativecommons.org/licenses/by/4.0/", "url": "https://oercommons.org/courseware/lesson/66342/overview", "title": "Texas Government 2.0, The Criminal Justice System in Texas", "author": null }
https://oercommons.org/courseware/lesson/66341/overview	Civil Liberties and Criminal Justice in Texas Overview Civil Liberties and Criminal Justice in Texas Learning Objectives By the end of this section, you will be able to: - Understand the protections offered by our civil liberties in Texas, especially as concerns criminal justice Introduction Civil liberties are guarantees and freedoms that government commit not to abridge, either by legislation or judicial interpretation, without due process. This section explores civil liberties in Texas, especially as concerns criminal justice. Civil Liberties In addition to protecting the personal freedoms of individuals, the Bill of Rights protects those suspected or accused of crimes from various forms of unfair or unjust treatment. The prominence of these protections in the Bill of Rights may seem surprising. Given the colonists’ experience of what they believed to be unjust rule by British authorities, however, and the use of the legal system to punish rebels and their sympathizers for political oﬀenses, the impetus to ensure fair, just, and impartial treatment to everyone accused of a crime—no matter how unpopular—is perhaps more understandable. What is more, the revolutionaries, and the eventual framers of the Constitution, wanted to keep the best features of English law as well. In addition to the protections outlined in the Fourth Amendment, which largely pertain to investigations conducted before someone has been charged with a crime, the next four amendments pertain to those suspected, accused, or convicted of crimes, as well as people engaged in other legal disputes. At every stage of the legal process, the Bill of Rights incorporates protections for these people. Fifth Amendment Many of the provisions dealing with the rights of the accused are included in the Fifth Amendment; accordingly, it is one of the longest in the Bill of Rights. The Fifth Amendment states in full: “No person shall be held to answer for a capital, or otherwise infamous crime, unless on a presentment or indictment of a Grand Jury, except in cases arising in the land or naval forces, or in the Militia, when in actual service in time of War or public danger; nor shall any person be subject for the same oﬀence to be twice put in jeopardy of life or limb; nor shall be compelled in any criminal case to be a witness against himself, nor be deprived of life, liberty, or property, without due process of law; nor shall private property be taken for public use, without just compensation.” The first clause requires that serious crimes be prosecuted only after an indictment has been issued by a grand jury. However, several exceptions are permitted as a result of the evolving interpretation and understanding of this amendment by the courts, given the Constitution is a living document. First, the courts have generally found this requirement to apply only to felonies; less serious crimes can be tried without a grand jury proceeding. Second, this provision of the Bill of Rights does not apply to the states because it has not been incorporated; many states instead require a judge to hold a preliminary hearing to decide whether there is enough evidence to hold a full trial. Finally, members of the armed forces who are accused of crimes are not entitled to a grand jury proceeding. The Fifth Amendment also protects individuals against double jeopardy, a process that subjects a suspect to prosecution twice for the same criminal act. No one who has been acquitted (found not guilty) of a crime can be prosecuted again for that crime. But the prohibition against double jeopardy has its own exceptions. The most notable is that it prohibits a second prosecution only at the same level of government (federal or state) as the first; the federal government can try you for violating federal law, even if a state or local court finds you not guilty of the same action. For example, in the early 1990s, several Los Angeles police oﬃcers accused of brutally beating motorist Rodney King during his arrest were acquitted of various charges in a state court, but some were later convicted in a federal court of violating King’s civil rights. The double jeopardy rule does not prevent someone from recovering damages in a civil case—a legal dispute between individuals over a contract or compensation for an injury—that results from a criminal act, even if the person accused of that act is found not guilty. One famous case from the 1990s involved former football star and television personality O. J. Simpson. Simpson, although acquitted of the murders of his ex-wife Nicole Brown and her friend Ron Goldman in a criminal court, was later found to be responsible for their deaths in a subsequent civil case and as a result was forced to forfeit most of his wealth to pay damages to their families. Perhaps the most famous provision of the Fifth Amendment is its protection against self-incrimination, or the right to remain silent. This provision is so well known that we have a phrase for it: “taking the Fifth.” People have the right not to give evidence in court or to law enforcement oﬃcers that might constitute an admission of guilt or responsibility for a crime. Moreover, in a criminal trial, if someone does not testify in his or her own defense, the prosecution cannot use that failure to testify as evidence of guilt or imply that an innocent person would testify. This provision became embedded in the public consciousness following the Supreme Court’s 1966 ruling in Miranda v. Arizona, whereby suspects were required to be informed of their most important rights, including the right against self-incrimination, before being interrogated in police custody. However, contrary to some media depictions of the Miranda warning, law enforcement oﬃcials do not necessarily have to inform suspects of their rights before they are questioned in situations where they are free to leave. Like the Fourteenth Amendment’s due process clause, the Fifth Amendment prohibits the federal government from depriving people of their “life, liberty, or property, without due process of law.” Recall that due process is a guarantee that people will be treated fairly and impartially by government oﬃcials when the government seeks to fine or imprison them or take their personal property away from them. The courts have interpreted this provision to mean that government oﬃcials must establish consistent, fair procedures to decide when people’s freedoms are limited; in other words, citizens cannot be detained, their freedom limited, or their property taken arbitrarily or on a whim by police or other government oﬃcials. As a result, an entire body of procedural safeguards comes into play for the legal prosecution of crimes. However, the Patriot Act, passed into law after the 9/11 terrorist attacks, somewhat altered this notion. The final provision of the Fifth Amendment has little to do with crime at all. The takings clause says that “private property [cannot] be taken for public use, without just compensation.” This provision, along with the due process clause’s provisions limiting the taking of property, can be viewed as a protection of individuals’ economic liberty: their right to obtain, use, and trade tangible and intangible property for their own benefit. For example, you have the right to trade your knowledge, skills, and labor for money through work or the use of your property, or trade money or goods for other things of value, such as clothing, housing, education, or food. The greatest recent controversy over economic liberty has been sparked by cities’ and states’ use of the power of eminent domain to take property for redevelopment. Traditionally, the main use of eminent domain was to obtain property for transportation corridors like railroads, highways, canals and reservoirs, and pipelines, which require fairly straight routes to be eﬃcient. Because any single property owner could eﬀectively block a particular route or extract an unfair price for land if it was the last piece needed to assemble a route, there are reasonable arguments for using eminent domain as a last resort in these circumstances, particularly for projects that convey substantial benefits to the public at large. However, increasingly eminent domain has been used to allow economic development, with beneficiaries ranging from politically connected big businesses such as car manufacturers building new factories to highly profitable sports teams seeking ever-more- luxurious stadiums (Figure 12.3). And, while we traditionally think of property owners as relatively well-oﬀ people whose rights don’t necessarily need protecting since they can fend for themselves in the political system, frequently these cases pit lower- and middle-class homeowners against multinational corporations or multimillionaires with the ear of city and state oﬃcials. In a notorious 2005 case, Kelo v. City of New London, the Supreme Court sided with municipal oﬃcials taking homes in a middle-class neighborhood to obtain land for a large pharmaceutical company’s corporate campus. The case led to a public backlash against the use of eminent domain and legal changes in many states, making it harder for cities to take property from one private party and give it to another for economic redevelopment purposes. Eminent domain has once again become a salient issue in the context of President Trump's proposed border wall. To build the wall, the federal government is attempting to use the doctrine to seize a wide swath of property, including religious grounds. Some disputes over economic liberty have gone beyond the idea of eminent domain. In the past few years, the emergence of on- demand ride-sharing services like Lyft and Uber, direct sales by electric car manufacturer Tesla Motors, and short-term property rentals through companies like Airbnb have led to conflicts between people seeking to oﬀer profitable services online, states and cities trying to regulate these businesses, and the incumbent service providers that compete with these new business models. In the absence of new public policies to clarify rights, the path forward is often determined through norms established in practice, by governments, or by court cases. The Sixth Amendment Once someone has been charged with a crime and indicted, the next stage in a criminal case is typically the trial itself, unless a plea bargain is reached. The Sixth Amendment contains the provisions that govern criminal trials; in full, it states: “In all criminal prosecutions, the accused shall enjoy the right to a speedy and public trial, by an impartial jury of the State and district wherein the crime shall have been committed, which district shall have been previously ascertained by law, and to be informed of the nature and cause of the accusation; to be confronted with the witnesses against him; to have compulsory process for obtaining witnesses in his favor, and to have the Assistance of Counsel for his defence [sic].” The first of these guarantees is the right to have a speedy, public trial by an impartial jury. Although there is no absolute limit on the length of time that may pass between an indictment and a trial, the Supreme Court has said that excessively lengthy delays must be justified and balanced against the potential harm to the defendant. In eﬀect, the speedy trial requirement protects people from being detained indefinitely by the government. Yet the courts have ruled that there are exceptions to the public trial requirement; if a public trial would undermine the defendant’s right to a fair trial, it can be held behind closed doors, while prosecutors can request closed proceedings only in certain, narrow circumstances (generally, to protect witnesses from retaliation or to guard classified information). In general, a prosecution must also be made in the “state and district” where the crime was committed; however, people accused of crimes may ask for a change of venue for their trial if they believe pre-trial publicity or other factors make it diﬃcult or impossible for them to receive a fair trial where the crime occurred. Most people accused of crimes decline their right to a jury trial. This choice is typically the result of a plea bargain, an agreement between the defendant and the prosecutor in which the defendant pleads guilty to the charge(s) in question, or perhaps to less serious charges, in exchange for more lenient punishment than he or she might receive if convicted after a full trial. There are a number of reasons why this might happen. The evidence against the accused may be so overwhelming that conviction is a near-certainty, so he or she might decide that avoiding the more serious penalty (perhaps even the death penalty) is better than taking the small chance of being acquitted after a trial. Someone accused of being part of a larger crime or criminal organization might agree to testify against others in exchange for lighter punishment. At the same time, prosecutors might want to ensure a win in a case that might not hold up in court by securing convictions for oﬀenses they know they can prove, while avoiding a lengthy trial on other charges they might lose. The requirement that a jury be impartial is a critical requirement of the Sixth Amendment. Both the prosecution and the defense are permitted to reject potential jurors who they believe are unable to fairly decide the case without prejudice. However, the courts have also said that the composition of the jury as a whole may in itself be prejudicial; potential jurors may not be excluded simply because of their race or sex, for example. The Sixth Amendment guarantees the right of those accused of crimes to present witnesses in their own defense (if necessary, compelling them to testify) and to confront and cross-examine witnesses presented by the prosecution. In general, the only testimony acceptable in a criminal trial must be given in a courtroom and be subject to cross-examination; hearsay, or testimony by one person about what another person has said, is generally inadmissible, although hearsay may be presented as evidence when it is an admission of guilt by the defendant or a “dying declaration” by a person who has passed away. Although both sides in a trial have the opportunity to examine and cross-examine witnesses, the judge may exclude testimony deemed irrelevant or prejudicial. Finally, the Sixth Amendment guarantees the right of those accused of crimes to have the assistance of an attorney in their defense. Historically, many states did not provide attorneys to those accused of most crimes who could not aﬀord one themselves; even when an attorney was provided, his or her assistance was often inadequate at best. This situation changed as a result of the Supreme Court’s decision in Gideon v. Wainwright (1963). The Eighth Amendment The Eighth Amendment says, in full: “Excessive bail shall not be required, nor excessive fines imposed, nor cruel and unusual punishments inflicted.” Bail is a payment of money that allows a person accused of a crime to be freed pending trial; if you “make bail” in a case and do not show up for your trial, you will forfeit the money you paid. Since many people cannot aﬀord to pay bail directly, they may instead get a bail bond, which allows them to pay a fraction of the money (typically 10 percent) to a person who sells bonds and who pays the full bail amount. (In most states, the bond seller makes money because the defendant does not get back the money for the bond, and most people show up for their trials.) However, people believed likely to flee or who represent a risk to the community while free may be denied bail and held in jail until their trial takes place. It is rare for bail to be successfully challenged for being excessive. The Supreme Court has defined an excessive fine as one “so grossly excessive as to amount to deprivation of property without due process of law” or “grossly disproportional to the gravity of a defendant’s oﬀense.” In practice the courts have rarely struck down fines as excessive either. The most controversial provision of the Eighth Amendment is the ban on “cruel and unusual punishments.” Various torturous forms of execution common in the past—drawing and quartering, burning people alive, and the like—are prohibited by this provision. Recent controversies over lethal injections and firing squads to administer the death penalty suggest the topic is still salient. While the Supreme Court has never established a definitive test for what constitutes a cruel and unusual punishment, it has generally allowed most penalties short of death for adults, even when to outside observers the punishment might be reasonably seen as disproportionate or excessive. In recent years the Supreme Court has issued a series of rulings substantially narrowing the application of the death penalty. As a result, defendants who have mental disabilities may not be executed. Also, defendants who were under eighteen when they committed an oﬀense that is otherwise subject to the death penalty may not be executed. The court has generally rejected the application of the death penalty to crimes that did not result in the death of another human being, most notably in the case of rape. And, while permitting the death penalty to be applied to murder in some cases, the Supreme Court has generally struck down laws that require the application of the death penalty in certain circumstances. Further, the death penalty has been imposed less frequently since Texas allowed juries to sentence a defendant to life without parole for capital murder cases since 2005. At the same time, however, it appears that the public mood may have shifted somewhat against the death penalty, perhaps due in part to an overall decline in violent crime. The reexamination of past cases through DNA evidence has revealed dozens in which people were wrongfully executed. For example, Claude Jones was executed for murder based on 1990-era DNA testing of a single hair that was determined at that time to be his; however, with better DNA testing technology, it was later found to be that of the victim. Perhaps as a result of this and other cases, seven additional states have abolished capital punishment since 2007. As of 2015, nineteen states and the District of Columbia no longer apply the death penalty in new cases, and several other states do not carry out executions despite sentencing people to death. It remains to be seen whether this gradual trend toward the elimination of the death penalty by the states will continue, or whether the Supreme Court will eventually decide to follow former Justice Harry Blackmun’s decision to “no longer… tinker with the machinery of death” and abolish it completely. The rights of those suspected, accused, and convicted of crimes, along with rights in civil cases and economic liberties, are protected by the second major grouping of amendments within the Bill of Rights. The Fifth Amendment secures various procedural safeguards, protects suspects’ right to remain silent, forbids trying someone twice at the same level of government for the same criminal act, and limits the taking of property for public uses. The Sixth Amendment ensures fairness in criminal trials, including through a fair and speedy trial by an impartial jury, the right to assistance of counsel, and the right to examine and compel testimony from witnesses. The Seventh Amendment ensures the right to jury trials in most civil cases (but only at the federal level). Finally, the Eighth Amendment prohibits excessive fines and bails, as well as “cruel and unusual punishments,” although the scope of what is cruel and unusual is subject to debate. Links to Learning (Recommended Websites) References and Further Reading Miranda v. Arizona, 384 U.S. 436 (1966). Kelo et al. v. City of New London et al., 545 U.S. 469 (2005). John C. Moritz, J. C. (2018). Catholic Diocese Fights to Keep Historic Site from Being Used in Trump's Border Wall. Corpus Christi Caller Times. See, for example, Batson v. Kentucky, 476 U.S. 79 (1986); J. E. B. v. Alabama ex rel. T. B., 511 U.S. 127 (1994). Gideon v. Wainwright, 372 U.S. 335 (1963). Waters-Pierce Oil Co. v. Texas, 212 U.S. 86 (1909); United States v. Bajakajian, 524 U.S. 321 (1998). See, for example, the discussion in Wilkerson v. Utah, 99 U.S. 130 (1879). Perhaps the most notorious example, Harmelin v. Michigan, 501 U.S. 957 (1991), upheld a life sentence in a case where the defendant was convicted of possessing just over one pound of cocaine (and no other crime). Atkins v. Virginia, 536 U.S. 304 (2002). 10. Roper v. Simmons, 543 U.S. 551 (2005). Kennedy v. Louisiana, 554 U.S. 407 (2008). Elizabeth Lopatto, E (2014, April 29). How Many Innocent People Are Sentenced To Death? Forbes. Accessed October 11, 2019. Dave Mann, "DNA Tests Undermine Evidence in Texas Execution: New Results Show Claude Jones was Put to Death on Flawed Evidence," Texas Observer, 11 November 2010. (March 4, 2016). See, for example, "States With and Without the Death Penalty," Death Penalty Information Center, (March 4, 2016). Licensing and Attribution CC LICENSED CONTENT, SHARED PREVIOUSLY Civil Liberties in Texas. Adapted from American Government. Authored by: OpenStax. Provided by: OpenStax; Rice University. Located at: https://cnx.org/contents/W8wOWXNF@12.1:Y1CfqFju@5/Preface). License: CC BY: Attribution. 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https://oercommons.org/courseware/lesson/66340/overview	The Structure of the Texas Prison System Overview The Structure of the Texas Prison System Learning Objectives By the end of this section, you will be able to: - Explain how the Texas jail and prison system is structured Introduction Texas has the largest number of incarcerated adults of the fifty states. This section examines the Texas prison structure. A Brief History of the Texas Prison System Before a central state penitentiary was established in Texas, local jails housed convicted felons. In 1848, the Texas Legislature passed "An Act to Establish a State Penitentiary", which created an oversight board to manage the treatment of convicts and administration of the penitentiaries. Land was acquired in Huntsville and Rusk for later facilities. The Texas Prison System Today the Texas prison system is operated by the Texas Department of Criminal Justice (TDCJ). The TDCJ provides confinement, supervision, rehabilitation, and reintegration of the state’s convicted felons. The TDCJ is responsible for statewide criminal justice for adult oﬀenders, including managing oﬀenders in state prisons, state jails, and private correctional facilities, funding and certain oversight of community supervision, and supervision of oﬀenders released from prison on parole or mandatory supervision. The TDCJ operates the largest prison system in the United States. This agency is run by a nine-member Texas Board of Criminal Justice (TBCJ) that is appointed by the governor. Board members serve staggered six-year terms. The executive director, hired by the board, is responsible for developing the rules and regulations that govern the state's entire prison system. The department has its headquarters in the BOT Complex in Huntsville and oﬃces at the Price Daniel Sr. Building in downtown Austin. Texas was the first state to use private prisons. Proponents of private prisons argued that they would increase the quality of care by improving rehabilitation and reducing recidivism rates. Opponents to privatizing incarceration in Texas argue that profit incentives may put financial gain above the public interest of safety and rehabilitation. References and Further Reading NPR (2001). Huntsville Prison Blues [Podcast]. All Things Considered. Retrieved September 10, 2019. Texas State Library Archives Commission (n.d). Texas Prison Board: An Inventory of Records of the Texas Prison System at the Texas State Archives, 1913–1933, 1943, no date. Retrieved October 20, 2019. Lucko, P. (n.d.). Pope, Lawrence Chalmous. Handbook of Texas Online. Retrieved October 22, 2018. Smith, J. (2002). Landmark Prison Oversight Case Ends. The Austin Chronicle. Retrieved October 20, 2019. Crouther, M. (2010). Transforming the Texas prison system. UT News: Policy & Law. Retrieved October 23, 2019. Lucko, P. M. (n.d.). Prison System. Texas State Historical Association. Retrieved October 20, 2019. Texas Department of Criminal Justice. Texas Board of Criminal Justice. Retrieved October 20, 2019. Ethridge, P. A. & Marquart, J. W. (1993) Private prisons in Texas: The new penology for profit. Justice Quarterly, 10:1, 29-48. Gotsch, K. & Basti, V. (2018). Capitalizing on Mass Incarceration: U.S. Growth in Private Prisons. Licensing and Attribution CC LICENSED CONTENT, ORIGINAL The Structure of the Texas Prison System. Authored by: panOpen. License: CC BY: Attribution CC LICENSED CONTENT, PREVIOUSLY SHARED Adaptation: Texas Department of Criminal Justice. Authored by: Wikipedia. License: CC BY: Attribution	oercommons	2025-03-18T00:38:54.455242	null	{ "license": "Creative Commons - Attribution - https://creativecommons.org/licenses/by/4.0/", "url": "https://oercommons.org/courseware/lesson/66340/overview", "title": "Texas Government 2.0, The Criminal Justice System in Texas", "author": null }
https://oercommons.org/courseware/lesson/66343/overview	Glossary Overview Glossary Glossary: The Criminal Justice System in Texas assigned counsel: private lawyers appointed by judges to provide legal representation for indigent defendants in serious criminal cases; the lawyer's fee is determined by and paid by the county bail: a payment of money allowing the accused to be freed pending trial civil laws: rules and regulations which govern transactions and grievances between individual citizens. civil liberties: limitations on the power of government, designed to ensure personal freedoms civil rights: guarantees of equal treatment by government authorities criminal justice: the enforcement of criminal law. criminal law: division of the law concerned with actions which are dangerous or harmful to society as a whole, in which prosecution is pursued not by an individual but by the state. The purpose of criminal law is to 1) provide the specific definition of what constitutes a crime and to 2) prescribe punishments for committing such a crime. No criminal law can be valid unless it includes both of these factors. constitutional law: the body of law which defines the role, powers, and structure of diﬀerent entities within a state, including the executive, legislature, and the judiciary; as well as the basic rights of citizens and the relationship between the central government and state, provincial, or territorial governments. In Texas, constitutional law includes the national constitution and the Texas state constitution. double jeopardy: a prosecution pursued twice at the same level of government for the same criminal action due process clause: provisions of the Fifth and Fourteenth Amendments that limit government power to deny people “life, liberty, or property” on an unfair basis; it is a guarantee that people will be treated fairly and impartially by government oﬃcials when the government seeks to fine or imprison them or take their personal property away from them. economic liberty: the right of individuals to obtain, use, and trade things of value for their own benefit eminent domain: the power of government to take or use property for a public purpose after compensating its owner; also known as the takings clause of the Fifth Amendment exonerate: clears of conviction based on evidence of innocence. grand jury: jury that determines whether suﬃcient evidence is available to justify a trial; grand juries do not rule on the accused's guilt or innocence indictment: oﬃcial charges against an accused individual Miranda warning: a statement by law enforcement oﬃcers informing a person arrested or subject to interrogation of his or her rights plea bargain: an agreement between the defendant and the prosecutor in which the defendant pleads guilty to the charge(s) in question or perhaps to less serious charges, in exchange for more lenient punishment than if convicted after a full trial public defender: a salaried lawyer who is funded by the government or by grants who represents indigents in Texas in some counties or for some types of cases prison: a facility in which inmates are forcibly confined and denied a variety of freedoms under the authority of the state. Prisons are most commonly used within a criminal justice system: people charged with crimes may be imprisoned until their trial; those pleading or being found guilty of crimes at trial may be sentenced to a specified period of imprisonment. probation: a suspension of the jail or prison sentence. selective incorporation: the gradual process of making some guarantees of the Bill of Rights (so far) apply to state governments and the national government self-incrimination: an action or statement that admits guilt or responsibility for a crime Licensing and Attribution CC LICENSED CONTENT, ORIGINAL The Criminal Justice System in Texas: Glossary. Authored by: panOpen. License: CC BY: Attribution	oercommons	2025-03-18T00:38:54.475252	null	{ "license": "Creative Commons - Attribution - https://creativecommons.org/licenses/by/4.0/", "url": "https://oercommons.org/courseware/lesson/66343/overview", "title": "Texas Government 2.0, The Criminal Justice System in Texas", "author": null }
https://oercommons.org/courseware/lesson/66344/overview	Assessment Overview This is a quiz for Chapter 12. Texas Government Chapter Twelve Quiz Check your knowledge of Chapter Twelve by taking the quiz linked below. The quiz will open in a new browser window or tab. This is a quiz for Chapter 12. Check your knowledge of Chapter Twelve by taking the quiz linked below. The quiz will open in a new browser window or tab.	oercommons	2025-03-18T00:38:54.492351	null	{ "license": "Creative Commons - Attribution - https://creativecommons.org/licenses/by/4.0/", "url": "https://oercommons.org/courseware/lesson/66344/overview", "title": "Texas Government 2.0, The Criminal Justice System in Texas", "author": null }
https://oercommons.org/courseware/lesson/66315/overview	Introduction: Political Parties in Texas Overview Introduction: Political Parties in Texas Chapter Learning Objective By the end of this chapter, you will be able to: - Evaluate the role played by political parties in Texas Introduction At some point, most of us have found ourselves part of a group trying to solve a problem, like picking a restaurant or movie to attend or completing a big project at school or work. Members of the group probably had various opinions about what should be done. Some may have even refused to help make the decision or to follow it once it had been made. Still, others may have been willing to follow along but were less interested in contributing to a workable solution. Because of this disagreement, at some point, someone in the group had to find a way to make a decision, negotiate a compromise, and ultimately do the work needed for the group to accomplish its goals. This kind of collective action problem is very common in societies, as groups and entire societies try to solve problems or distribute scarce resources. In modern U.S. politics, such problems are usually solved by two important types of organizations: interest groups and political parties. There are many interest groups, all with opinions about what should be done and a desire to influence policy. Because they are usually not officially affiliated with any political party, they generally have no trouble working with either of the major parties. But at some point, society must find a way of taking all these opinions and turning them into solutions to real problems. This is where political parties come in. Essentially, political parties are groups of people with similar interests who work together to create and implement policies. They do this by gaining control over the government by winning elections. Party platforms guide members of the Legislature in drafting legislation. Parties guide proposed laws through the Legislature and inform party members how they should vote on important issues. Political parties also nominate candidates to run for state government, Congress, and the presidency. Finally, they coordinate political campaigns and mobilize voters. This chapter explores the role played by political parties in Texas. Licensing and Attribution CC LICENSED CONTENT, SHARED PREVIOUSLY American Government. Authored by: OpenStax. Provided by: OpenStax; Rice University. Located at https://cnx.org/contents/W8wOWXNF@12.1:Y1CfqFju@5/Preface. License: CC BY: Attribution License Terms: Download for free at http://cnx.org/contents/9e28f580-0d1b-4d72- 8795-c48329947ac2@1	oercommons	2025-03-18T00:38:54.508450	null	{ "license": "Creative Commons - Attribution - https://creativecommons.org/licenses/by/4.0/", "url": "https://oercommons.org/courseware/lesson/66315/overview", "title": "Texas Government 2.0, Political Parties in Texas", "author": null }
https://oercommons.org/courseware/lesson/66316/overview	Political Parties: Background and Structure Overview Political Parties: Background and Structure Learning Objective By the end of this section, you will be able to: - Describe the evolution of political parties in Texas and the state's current party system Introduction: Political Parties as Unique Organizations in Texas You can read the full platform of the Republican Party and the Democratic Party at their respective websites. Political Parties: A History Lesson In Federalist No. 10, written in the late eighteenth century, James Madison noted that the formation of self-interested groups, which he called factions, was inevitable in any society, as individuals started to work together to protect themselves from the government. Interest groups and political parties are two of the most easily identified forms of factions in the United States. These groups are similar in that they are both mediating institutions responsible for communicating public preferences to the government. They are not themselves government institutions in a formal sense. Neither is directly mentioned in the U.S. Constitution nor do they have any real, legal authority to influence policy. But whereas interest groups often work indirectly to influence our leaders, political parties are organizations that try to directly influence public policy through its members who seek to win and hold public oﬃce. Parties accomplish this by identifying and aligning sets of issues that are important to voters in the hopes of gaining support during elections; their positions on these critical issues are often presented in documents known as a party platform, which is adopted at each party’s presidential nominating convention every four years. If successful, a party can create a large enough electoral coalition to gain control of the government. Once in power, the party is then able to deliver, to its voters and elites, the policy preferences they choose by electing its partisans to the government. In this respect, parties provide choices to the electorate, something they are doing that is in such sharp contrast to their opposition. Winning elections and implementing policy would be hard enough in simple political systems, but in a country as complex as the United States, political parties must take on great responsibilities to win elections and coordinate behavior across the many local, state, and national governing bodies. Indeed, political diﬀerences between states and local areas can contribute much complexity. If a party stakes out issue positions on which few people agree and therefore builds too narrow a coalition of voter support, that party may find itself marginalized. But if the party takes too broad a position on issues, it might find itself in a situation where the members of the party disagree with one another, making it diﬃcult to pass legislation, even if the party can secure victory. It should come as no surprise that the story of U.S. political parties largely mirrors the story of the United States itself. The United States has seen sweeping changes to its size, its relative power, and its social and demographic composition. These changes have been mirrored by the political parties as they have sought to shift their coalitions to establish and maintain power across the nation and as party leadership has changed. As you will learn later, this also means that the structure and behavior of modern parties largely parallel the social, demographic, and geographic divisions within the United States today. To understand how this has happened, we look at the origins of the U.S. party system. The Party-in-the-Electorate A key fact about the U.S. political party system is that it’s all about the votes. If voters do not show up to vote for a party’s candidates on Election Day, the party has no chance of gaining office and implementing its preferred policies. As we have seen, for much of their history, the two parties have been adapting to changes in the size, composition, and preferences of the U.S. electorate. It only makes sense, then, that parties have found it in their interest to build a permanent and stable presence among the voters. By fostering a sense of loyalty, a party can insulate itself from changes in the system and improve its odds of winning elections. The party-in-the- electorate are those members of the voting public who consider themselves to be part of a political party and/or who consistently prefer the candidates of one party over the other. What it means to be part of a party depends on where a voter lives and how much he or she chooses to participate in politics. At its most basic level, being a member of the party-in-the-electorate simply means a voter is more likely to voice support for a party. These voters are often called party identifiers, since they usually represent themselves in public as being members of a party, and they may attend some party events or functions. Party identifiers are also more likely to provide financial support for the candidates of their party during election season. This does not mean self- identified Democrats will support all the party’s positions or candidates, but it does mean that, on the whole, they feel their wants or needs are more likely to be met if the Democratic Party is successful. Party identifiers make up the majority of the voting public. Gallup, the polling agency, has been collecting data on voter preferences for the past several decades. Its research suggests that historically, over half of American adults have called themselves “Republican” or “Democrat” when asked how they identify themselves politically. Even among self- proclaimed independents, the overwhelming majority claim to lean in the direction of one party or the other, suggesting they behave as if they identified with a party during elections even if they preferred not to publicly pick a side. Partisan support is so strong that, in a poll conducted from August 5 to August 9, 2015, about 88 percent of respondents said they either identified with or, if they were independents, at least leaned toward one of the major political parties. Thus, in a poll conducted in January 2016, even though about 42 percent of respondents said they were independent, this does not mean that they are not, in fact, more likely to favor one party over the other. Strictly speaking, party identification is not quite the same thing as party membership. People may call themselves Republicans or Democrats without being registered as a member of the party, and the Republican and Democratic parties do not require individuals to join their formal organization in the same way that parties in some other countries do. Many states require voters to declare a party aﬃliation before participating in primaries, but primary participation is irregular and infrequent, and a voter may change his or her identity long before changing party registration. For most voters, party identification is informal at best and often matters only in the weeks before an election. It does matter, however, because party identification guides some voters, who may know little about a particular issue or candidate, in casting their ballots. If, for example, someone thinks of him- or herself as a Republican and always votes Republican, he or she will not be confused when faced with a candidate, perhaps in a local or county election, whose name is unfamiliar. If the candidate is a Republican, the voter will likely cast a ballot for him or her. Party ties can manifest in other ways as well. The actual act of registering to vote and selecting a party reinforces party loyalty. Moreover, while pundits and scholars often deride voters who blindly vote their party, the selection of a party in the first place can be based on issue positions and ideology. In that regard, voting your party on Election Day is not a blind act—it is a shortcut based on issue positions. The Party Organization A significant subset of American voters views their party identification as something far beyond simply a shortcut to voting. These individuals get more energized by the political process and have chosen to become more active in the life of political parties. They are part of what is known as the party organization. The party organization is the formal structure of the political party, and its active members are responsible for coordinating party behavior and supporting party candidates. It is a vital component of any successful party because it bears most of the responsibility for building and maintaining the party “brand.” It also plays a key role in helping select, and elect, candidates for public oﬃce. Local Organizations Since winning elections is the first goal of the political party, it makes sense that the formal party organization mirrors the local-state-federal structure of the U.S. political system. While the lowest level of party organization is technically the precinct, many of the operational responsibilities for local elections fall upon the county-level organization. The county-level organization is in many ways the workhorse of the party system, especially around election time. This level of organization frequently takes on many of the most basic responsibilities of a democratic system, including identifying and mobilizing potential voters and donors, identifying and training potential candidates for public oﬃce, and recruiting new members for the party. County organizations are also often responsible for finding rank and file members to serve as volunteers on Election Day, either as oﬃcials responsible for operating the polls or as monitors responsible for ensuring that elections are conducted honestly and fairly. They may also hold regular meetings to provide members the opportunity to meet potential candidates and coordinate strategy. Of course, all this is voluntary and relies on dedicated party members being willing to pitch in to run the party. State Organizations Most of the county organizations’ formal eﬀorts are devoted to supporting party candidates running for county and city oﬃces. But a fair amount of political power is held by individuals in statewide oﬃce or in state-level legislative or judicial bodies. While the county-level oﬃces may be active in these local competitions, most of the coordination for them will take place in the state-level organizations. Like their more local counterparts, state-level organizations are responsible for key party functions, such as statewide candidate recruitment and campaign mobilization. Most of their eﬀorts focus on electing high-ranking oﬃcials such as the governor or occupants of other statewide oﬃces (e.g., the state’s treasurer or attorney general) as well as candidates to represent the state and its residents in the U.S. Senate and the U.S. House of Representatives. The greater value of state- and national-level oﬃces requires state organizations to take on several key responsibilities in the life of the party. First, state-level organizations usually accept greater fundraising responsibilities than do their local counterparts. Statewide races and races for national oﬃce have become increasingly expensive in recent years. The average cost of a successful House campaign was $1.2 million in 2014; for Senate races, it was $8.6 million. While individual candidates are responsible for funding and running their own races, it is typically up to the state-level organization to coordinate giving across multiple races and to develop the staﬃng expertise that these candidates will draw upon at election time. State organizations are also responsible for creating a sense of unity among members of the state party. Building unity can be very important as the party transitions from sometimes-contentious nomination battles to the all-important general election. The state organization uses several key tools to get its members working together towards a common goal. First, it helps the party’s candidates prepare for state primary elections or caucuses that allow voters to choose a nominee to run for public oﬃce at either the state or national level. Caucuses are a form of town hall meeting at which voters in a precinct get together to voice their preferences, rather than voting individually throughout the day. Second, the state organization is also responsible for drafting a state platform that serves as a policy guide for partisans who are eventually selected to public oﬃce. These platforms are usually the result of a negotiation between the various coalitions within the party and are designed to ensure that everyone in the party will receive some benefits if their candidates win the election. Finally, state organizations hold a statewide convention at which delegates from the various county organizations come together to discuss the needs of their areas. The state conventions are also responsible for selecting delegates to the national convention. National Party Organization The local and state-level party organizations are the workhorses of the political process. They take on most of the responsibility for party activities and are easily the most active participants in the party formation and electoral processes. They are also largely invisible to most voters. The average citizen knows very little about the local party’s behavior unless there is a phone call or a knock on the door in the days or weeks before an election. The same is largely true of the activities of the state-level party. Typically, the only people who notice are those who are already actively engaged in politics or are being targeted for donations. But most people are aware of the presence and activity of the national party organizations for several reasons. First, many Americans, especially young people, are more interested in the topics discussed at the national level than at the state or local level. According to John Green of the Ray C. Bliss Institute of Applied Politics: “Local elections tend to be about things like sewers, and roads and police protection— which are not as dramatic an issue as same-sex marriage or global warming or international aﬀairs.” Presidential elections and the behavior of the U.S. Congress are also far more likely to make the news broadcasts than the activities of county commissioners, and the national-level party organization is mostly responsible for coordinating the activities of participants at this level. The national party is a fundraising army for presidential candidates and also serves a key role in trying to coordinate and direct the efforts of the House and Senate. For this reason, its leadership is far more likely to become visible to media consumers, whether they intend to vote or not. A second reason for the prominence of the national organization is that it usually coordinates the grandest spectacles in the life of a political party. Most voters are never aware of the numerous county-level meetings or coordinating activities. Primary elections, one of the most important events to take place at the state level, have a much lower turnout than the nationwide general election. In 2012, for example, only one-third of the eligible voters in New Hampshire voted in the state’s primary, one of the earliest and thus most important in the nation; however, 70 percent of eligible voters in the state voted in the general election in November 2012. People may see or read an occasional story about the meetings of the state committees or convention but pay little attention. But the national conventions, organized and sponsored by the national-level party, can dominate the national discussion for several weeks in late summer, a time when the major media outlets are often searching for news. These conventions are the definition of a media circus at which high-ranking politicians, party elites, and sometimes celebrities, such as actor/director Clint Eastwood, along with individuals many consider to be the future leaders of the party are brought before the public so the party can make its best case for being the one to direct the future of the country. National party conventions culminate in the formal nomination of the party nominees for the oﬃces of president and vice president, and they mark the oﬃcial beginning of the presidential competition between the two parties. In the past, national conventions were often the sites of high drama and political intrigue. As late as 1968, the identities of the presidential and/or vice-presidential nominees were still unknown to the general public when the convention opened. It was also common for groups protesting key events and issues of the day to try to raise their profile by using the conventions to gain the media spotlight. National media outlets would provide “gavel to gavel” coverage of the conventions, and the relatively limited number of national broadcast channels meant most viewers were essentially forced to choose between following the conventions or checking out of the media altogether. Much has changed since the 1960s, however, and between 1960 and 2004, viewership of both the Democratic National Convention and the Republican National Convention had declined by half. National conventions are not the spectacles they once were, and this fact is almost certainly having an impact on the profile of the national party organization. Both parties have come to recognize the value of the convention as a medium through which they can communicate to the average viewer. To ensure that they are viewed in the best possible light, the parties have worked hard to turn the public face of the convention into a highly sanitized, highly orchestrated media event. Speakers are often required to have their speeches prescreened to ensure that they do not deviate from the party line or run the risk of embarrassing the eventual nominee—whose name has often been known by all for several months. And while protests still happen, party organizations have becoming increasingly adept at keeping protesters away from the convention sites, arguing that safety and security are more important than First Amendment rights to speech and peaceable assembly. For example, protestors were kept behind concrete barriers and fences at the Democratic National Convention in 2004. With the advent of cable TV news and the growth of internet blogging, the major news outlets have found it unnecessary to provide the same level of coverage they once did. Between 1976 and 1996, ABC and CBS cut their coverage of the nominating conventions from more than fifty hours to only five. NBC cut its coverage to fewer than five hours.10 One reason may be that the outcome of nominating conventions are also typically known in advance, meaning there is no drama. Today, the nominee’s acceptance speech is expected to be no longer than an hour, so it will not take up more than one block of prime-time TV programming. This is not to say the national conventions are no longer important, or that the national party organizations are becoming less relevant. The conventions, and the organizations that run them, still contribute heavily to a wide range of key decisions in the life of both parties. The national party platform is formally adopted at the convention, as are the key elements of the strategy for contesting the national campaign. And even though the media is paying less attention, key insiders and major donors often use the convention as a way of gauging the strength of the party and its ability to effectively organize and coordinate its members. They are also paying close attention to the rising stars who are given time at the convention’s podium, to see which are able to connect with the party faithful. Most observers credit Barack Obama’s speech at the 2004 Democratic National Convention with bringing him to national prominence. The Party-in-Government One of the first challenges facing the party-in-government, or the party identifiers who have been elected or appointed to hold public office, is to achieve their policy goals. The means to do this is chosen in meetings of the two major parties; Republican meetings are called party conferences and Democrat meetings are called party caucuses. Members of each party meet in these closed sessions and discuss what items to place on the legislative agenda and make decisions about which party members should serve on the committees that draft proposed laws. Party members also elect the leaders of their respective parties in the House and the Senate, and their party whips. Leaders serve as party managers and are the highest-ranking members of the party in each chamber of Congress. The party whip ensures that members are present when a piece of legislation is to be voted on and directs them how to vote. The whip is the second-highest ranking member of the party in each chamber. Thus, both the Republicans and the Democrats have a leader and a whip in the House, and a leader and a whip in the Senate. The leader and whip of the party that holds the majority of seats in each house are known as the majority leader and the majority whip. The leader and whip of the party with fewer seats are called the minority leader and the minority whip. The party that controls the majority of seats in the House of Representatives also elects someone to serve as Speaker of the House. People elected to Congress as independents (that is, not members of either the Republican or Democratic parties) must choose a party to conference or caucus with. For example, Vermont Senator Bernie Sanders, who ran for Senate as an independent candidate, caucuses with the Democrats in the Senate. One problem facing the party-in-government relates to the design of the country’s political system. The U.S. government is based on a complex principle of separation of powers, with power divided among the executive, legislative, and judiciary branches. The system is further complicated by federalism, which relegates some powers to the states, which also have separation of powers. This complexity creates a number of problems for maintaining party unity. The biggest is that each level and unit of government has different constituencies that the office holder must satisfy. The person elected to the White House is more beholden to the national party organization than are members of the House or Senate, because members of Congress must be reelected by voters in very different states, each with its own state-level and county-level parties. Some of this complexity is eased for the party that holds the executive branch of government. Executive offices are typically more visible to the voters than the legislature, in no small part because a single person holds the office. Voters are more likely to show up at the polls and vote if they feel strongly about the candidate running for president or governor, but they are also more likely to hold that person accountable for the government’s failures. Members of the legislature from the executive’s party are under a great deal of pressure to make the executive look good, because a popular president or governor may be able to help other party members win oﬃce. Even so, partisans in the legislature cannot be expected to simply obey the executive’s orders. First, legislators may serve a constituency that disagrees with the executive on key matters of policy. If the issue is important enough to voters, as in the case of gun control or abortion rights, an oﬃce holder may feel his or her job will be in jeopardy if he or she too closely follows the party line, even if that means disagreeing with the executive. A good example occurred when the Civil Rights Act of 1964, which desegregated public accommodations and prohibited discrimination in employment on the basis of race, was introduced in Congress. The bill was supported by Presidents John F. Kennedy and Lyndon Johnson, both of whom were Democrats. Nevertheless, many Republicans, such as William McCulloch, a conservative representative from Ohio, voted in its favor while many southern Democrats opposed it. A second challenge is that each house of the legislature has its own leadership and committee structure, and those leaders may not be in total harmony with the president. Key benefits like committee appointments, leadership positions, and money for important projects in their home district may hinge on legislators following the lead of the party. These pressures are particularly acute for the majority party, so named because it controls more than half the seats in one of the two chambers. The Speaker of the House and the Senate majority leader, the majority party’s congressional leaders, have significant tools at their disposal to punish party members who defect on a particular vote. Finally, a member of the minority party must occasionally work with the opposition on some issues in order to accomplish any of his or her constituency’s goals. This is especially the case in the Senate, which is a super-majority institution. Sixty votes (of the 100 possible) are required to get anything accomplished, because Senate rules allow individual members to block legislation via holds and filibusters. The only way to block the blocking is to invoke cloture, a procedure calling for a vote on an issue, which takes 60 votes. References and Resources Texas Secretary of State. Candidate Information. Accessed October 19, 2019. “Party Affiliation,” Gallup Poll. (March 1, 2016). Jeffrey L. Jones, “Democratic, Republican Identification Near Historical Lows,” Gallup Poll. (March 14, 2016). Russ Choma, “Money Won on Tuesday, But Rules of the Game Changed,” 5 November 2014. (March 1, 2016). Elizabeth Lehman, “Trend Shows Generation Focuses Mostly on Social, National Issues.” March 15, 2016). “Voter Turnout,” ElectProject.Org (March 14, 2016). Abdullah Halimah, “Eastwood, the Empty Chair, and the Speech Everyone’s Talking About,” 31 August 2012, (March 14, 2016). “Influence of Democratic and Republican Conventions on Opinions of the Presidential Candidates.” (March 14, 2016). Timothy Zick, “Speech and Spatial Tactics,” Texas Law Review February (2006): 581. Thomas E. Patterson, “Is There a Future for On-the-Air Televised Conventions?” (March 14, 2016). Todd Leopold, “The Day America Met Barack Obama.” (March 14, 2016). Sidney R. Waldman. 2007. America and the Limits of the Politics of Selfishness. New York: Lexington Books, 27. Alicia W. Stewart and Tricia Escobedo (2014, April 10). “What You Might Not Know About the 1964 Civil Rights Act.” Licensing and Attribution CC LICENSED CONTENT, ORIGINAL Revision and Adaptation. Authored by: Daniel M. Regalado. License: CC BY: Attribution Revision and Adaptation. Authored by: Kris S. Seago. License: CC BY: Attribution CC LICENSED CONTENT, SHARED PREVIOUSLY American Government. Authored by: OpenStax. Provided by: OpenStax; Rice University. Located at: http://cnx.org/contents/5bcc0e59-7345- 421d-8507-a1e4608685e8@18.11. License: : CC BY: Attribution License Terms: Download for free at http://cnx.org/contents/5bcc0e59-7345-421d-8507-a1e4608685e8@18.11	oercommons	2025-03-18T00:38:54.549572	null	{ "license": "Creative Commons - Attribution - https://creativecommons.org/licenses/by/4.0/", "url": "https://oercommons.org/courseware/lesson/66316/overview", "title": "Texas Government 2.0, Political Parties in Texas", "author": null }
https://oercommons.org/courseware/lesson/66317/overview	Political Parties in Texas Overview Political Parties in Texas Learning Objective By the end of this section, you will be able to: - Describe the history and trends of Texas’ major political parties Introduction Political parties are organized at three diﬀerent levels: national, state, and local. National consists of the quadrennial national convention, the party’s national chairpersons, and the party’s national committee. Next is the state, which consists of state central committees and state conventions, and congressional district committees. Lastly, there is the local level of organizations, which include city and county committees, precinct and ward committees, party activists and volunteers, and party identifiers and voters. Recent trends between the three levels are that they tend to overlap, and more often then not, state and local parties have more influence than the national party around their region, and their decisions tend to override those of the national party. Major Political Parties in Texas As of September 9, 2019, the state of Texas oﬃcially recognized four political parties. These are listed in the table below. In order to be recognized by the state, a political party must fulfill certain requirements, which are detailed here: Ballot access requirements for political parties in Texas. Party \| Website \| By-Laws/Platform \| Democratic Party of Texas \| \|\| Green Party of Texas \| \|\| Libertarian Party of Texas \| \|\| Republican Party of Texas \| http://www.texasgop.org/wp-content/uploads/2015/06/SREC-Bylaw 2014-2016-06.06.15.pdf \| Table 9.1 Oﬃcial Political Parties in Texas In some states, a candidate may choose to have a label other than that of an oﬃcially recognized party appear alongside his or her name on the ballot. Such labels are called political party designations. A political party designation would be used when a candidate qualifies as an independent but prefers to use a diﬀerent label. Texas does not allow candidates to identify in this way. A total of 25 states allow candidates to use political party designations in non- presidential elections. The Cultural Background of Political Parties in Texas The 19th-century culture of Texas was heavily influenced by the plantation culture of the Old South, dependent on African-American slave labor, as well as the patron system once prevalent (and still somewhat present) in northern Mexico and South Texas. In these societies, the government’s primary role was seen as being the preservation of social order. Solving of individual problems in society was seen as a local problem with the expectation that the individual with wealth should resolve his or her own issues. Historical Dominance of the Democratic Party From 1848 until Richard M. Nixon’s victory in 1972, Texas voted for the Democrat candidate for president in every election except 1928, when it did not support Catholic Al Smith. A full century of Democratic Governors stretched between the departure of Republican Governor E.J. Davis (1874) and the election of Republican William P. Clements (1979). The state had a white majority and Democrats re-established their dominance after the Civil War. In the mid-20th century 1952 and 1956 elections, the state voters joined the landslide for Dwight D. Eisenhower. (Texas did not vote in 1864 and 1868 due to the Civil War and Reconstruction). In the post-Civil War era, two of the most important Republican figures in Texas were African Americans George T. Ruby and Norris Wright Cuney. Ruby was a black community organizer, director in the federal Freedmen’s Bureau, and leader of the Galveston Union League. His protégé Cuney was a mulatto whose wealthy, white planter father freed him and his siblings before the Civil War and arranged for his education in Pennsylvania. Cuney returned and settled in Galveston, where he became active in the Union League and the Republican party; he rose to the leadership of the party. He became influential in Galveston and Texas politics, and is widely regarded as one of the most influential black leaders in the South during the 19th century. From 1902 through 1965, the Democrat-dominated legislature in Texas had virtually disenfranchised most blacks and many Latinos and poor whites through the imposition of the poll tax and white primaries. Voter turnout in Texas declined dramatically following these disenfranchisement measures, and Southern voting turnout was far below the national average. The Solid South exercised tremendous power in Congress, and Democrats gained important committee chairmanships by seniority. They gained federal funding for infrastructure projects in their states and the region, as well as support for numerous military bases, as two examples of how they brought federal investment to the state and region. Although blacks made up 20 percent of the state population at the turn of the century, they were essentially excluded from formal politics. Republican support in Texas had been based almost exclusively in the free black communities, particularly in Galveston, and in the so-called “German counties” – the rural Texas Hill Country inhabited by German immigrants and their descendants, who had opposed slavery in the antebellum period. The German counties continued to run Republican candidates. Harry M. Wurzbach was elected from the 14th district from 1920 to 1926, contesting and finally winning the election of 1928, and being re-elected in 1930. Some of the most important American political figures of the 20th century, such as President Lyndon B. Johnson, Vice-President John Nance Garner, Speaker of the House Sam Rayburn, and Senator Ralph Yarborough were Texas Democrats. But, the Texas Democrats were rarely united, being divided into conservative, moderate and liberal factions that vied with one another for power. Republicans Rising Some analysts suggest that the rebirth of the Republican Party in Texas among white conservatives can be traced to 1952, when Democrat Governor Allan Shivers clashed with the Truman Administration over the federal claim on the Tidelands, oﬀshore lands claimed by both Texas and the national government which were believed to contain oil. Shivers led a movement often known as the Shivercrat movement, which forecast a dramatic change in party alignments a quarter-century later. He worked to help Texas native General Dwight D. Eisenhower to carry the state. Eisenhower was generally highly respected due to his role as Commander of the Allies in World War II and was popular nationally, winning the election. Beginning in the late 1960s, Republican strength increased in Texas, particularly among residents of the expanding “country club suburbs” around Dallas and Houston. The election to Congress of Republicans such as John Tower (who had shifted from the Democrat Party) and George H. W. Bush in 1961 and 1966, respectively, reflected this trend. Nationally, outside of the South, Democrats supported the civil rights movement and achieved important passage of federal legislation in the mid-1960s. In the South, however, Democrat leaders had opposed changes to bring about black voting or desegregated schools and public facilities and in many places exercised resistance. Following passage of the Civil Rights Act of 1964, southern white Democrats began to leave the party and join the Republicans, a movement accelerated after the next year, when Congress passed the Voting Rights Act of 1965, providing for federal enforcement of minorities’ constitutional right to vote. Voter registration and turnout increased among blacks and Latinos in Texas and other states. Unlike the rest of the South, however, Texas voters were never especially supportive of the various third-party candidacies of Southern Democrats. It was the only state in the former Confederacy to back Democrat Hubert Humphrey in the 1968 presidential election. During the 1980s, a number of conservative Democrats defected to the GOP, including Senator Phil Gramm, Congressman Kent Hance, and GOP Governor Rick Perry, who was a Democrat during his time as a state lawmaker. John Tower’s 1961 election to the U.S. Senate made him the first statewide GOP oﬃceholder since Reconstruction and the disenfranchisement of black Republicans. Republican Governor Bill Clements and Senator Phil Gramm (also a former Democrat) were elected after him. Republicans became increasingly dominant in national elections in white-majority Texas. The last Democrat presidential candidate to win the state was Jimmy Carter in 1976. Previously, a Democrat had to win Texas to win the White House, but in the 1992 election, Bill Clinton won the Oval Oﬃce while losing Texas electoral votes. This result significantly reduced the power of Texas Democrats at the national level, as party leaders believed the state had become unwinnable. Republican Dominance As of June 2017, Democrats were the minority party in the state legislature, did not hold any statewide elected offices, and occupied 11 of the state's 36 congressional seats. After the 2018 election cycle, Republicans retained trifecta control of Texas state government; The Republican Party gained the state government trifecta in 2003. Republicans control all statewide Texas offices, both houses of the state legislature and have a majority in the Texas congressional delegation. This makes Texas one of the most Republican states in the U.S. When one party controls the three vital centers of state political power—the oﬃce of the governor, the state House, and the state Senate — that party controls a trifecta. Trifectas make it easier for the dominant party to pursue its agenda, and more diﬃcult for opposition parties to challenge it. There are currently 36 trifectas: 22 Republican trifectas and 14 Democratic trifectas. Texas is one of the 22 state governments under Republican control. Despite overall Republican dominance, Austin, the state capital, is primarily Democrat, as are El Paso, Houston, Dallas, San Antonio and the Rio Grande Valley. However, the suburbs of these cities remain heavily Republican. What Does the Future Hold? The Hispanic population has continued to increase, based on both natural increase and continued immigration from Mexico. As of 2011, the Hispanic population accounted for 38.1% of the state’s population (compared to 44.8% for non-Hispanic whites). The state’s changing demographics may result in a change in its overall political alignment, as most Hispanic and Latino voters support the Democrat Party. Analysts with Gallup suggest that low turnout among Texas Hispanics is all that enables continued Republican dominance. In addition to the descendants of the state’s former slave population, the African American population in Texas is also increasing due to the New Great Migration; the majority supporting the Democrat party. In 2018, Democratic Congressman Beto O'Rourke lost his Senate bid to the incumbent Ted Cruz by about 200,000 votes; a significant gain for Democrats in the state. O'Rourke's performance in the 2018 Senate race has challenged the notion of Republican dominance in Texas, with analysts predicting greater gains for the Democrats going into the 2020s. References and Further Reading Texas Secretary of State. Candidate Information. Accessed September 9, 2019. Texas Secretary of State. 2014 Independent Candidates. Texas Election Code. Title 9, Section 142.009. Hales, Douglas (2003). A Southern Family in White & Black: The Cuneys of Texas. Texas A&M University Press. ISBN 1-58544-200-3. Democratic Party of Texas. Ballotpedia. Accessed September 21, 2019. 2010 Federal Census of Texas. Quick Facts. Dugan, Andrew (2014). Texan Hispanics Tilt Democratic, but State Likely to Stay Red. Gallup. Rosenburg, Eli (2018, November 7). In Texas, Beto O’Rourke loses the race for Senate but still makes a mark. Washington Post. Accessed September 21, 2019. Licensing and Attribution CC LICENSED CONTENT, ORIGINAL Political Parties in Texas. Authored by: Ballotpedia. License: License: GNU FreeDocumentation License Revision and Adaptation. Authored by: Daniel M. Regalado. License: CC BY: Attribution Revision and Adaptation. Authored by: Kris S. Seago. License: CC BY: Attribution CC LICENSED CONTENT, SHARED PREVIOUSLY American Government. Authored by: OpenStax. Provided by: OpenStax; Rice University. Located at: http://cnx.org/contents/5bcc0e59-7345-421d-8507- a1e4608685e8@18.11 License: CC BY: Attribution. License Terms: Download for free at http://cnx.org/contents/5bcc0e59-7345-421d-8507-a1e4608685e8@18.11	oercommons	2025-03-18T00:38:54.591351	null	{ "license": "Creative Commons - Attribution - https://creativecommons.org/licenses/by/4.0/", "url": "https://oercommons.org/courseware/lesson/66317/overview", "title": "Texas Government 2.0, Political Parties in Texas", "author": null }
https://oercommons.org/courseware/lesson/66318/overview	Party Identification Overview Party Identification Learning Objective By the end of this section, you will be able to: - Understand party identification and the organization of the major political parties in Texas Introduction This section explores the psychological underpinnings, measurement, and expression of party identification in Texas. Political Ideologies A political ideology is a certain set of ethical ideals, principles, doctrines, myths or symbols of a social movement, institution, class or large group that explains how society should work and oﬀers some political and cultural blueprint for a certain social order. Predominant Ideologies Political ideologies in the United States (and as a subset, Texas) refers to the various ideologies and ideological demographics in the United States. Citizens in the U.S. generally classify themselves as adherent to positions along the political spectrum as either liberal, progressive, moderate, or conservative. Modern liberalism aims at the preservation and extension of human, social and civil rights as well as the government guaranteed provision of positive rights. Conservatism commonly refers to a combination of economic liberalism and libertarianism, and to an extent, social conservatism. It aims at protecting the concepts of small government and individual liberty while promoting traditional values on some social issues. Liberalism Liberals advocate strong civil liberties and social progressivism according to which societal practices need to be changed whenever necessary for the greater good of society or the benefits of those who wish to engage in those social arrangements. They believe that government action is needed in order for people to be as free as possible. The government must thereby ensure the provision of positive rights, protect civil liberties and ensure equality. Liberals commonly reject both laissez-faire capitalism and socialism as a means to distribute economic resources. A mixed economy, that is a capitalist free market economy with limited government regulation and intervention is seen as the ideal. Conservatism The word “conservative” comes from “conserve,” hence describing those who generally wish to conserve the status quo, conserve morality, or conserve money. Views on individual policies vary among diﬀerent sub-groups. Overall, a majority of conservatives support tax- cuts and other laissez-faire (reduced governmental interference) policies, oppose same-sex marriage, oppose abortion, oppose stricter gun control laws on the grounds of the Second Amendment and public safety, and favor increased military spending as opposed to other federal expenditures. Conservatives tend to favor (racial) color-blindness and oppose aﬃrmative action/positive discrimination quotas. Conservatives tend to favor state governments over the federal, reserving the federal for matters of national security. Moderates Moderate is a general term for people who fall in the center category between Liberals and Conservatives. Moderates incorporate diﬀerent aspects from liberalism and conservatism into their personal perspective. Moderates are commonly defined by limiting the extent to which they adopt liberal and conservative ideas \| Where do your beliefs come from? The Pew Research Center oﬀers a typology quiz to help you find out. Ask a friend or family member to answer a few questions with you and compare results. What do you think about government regulation? The military? The economy? Now compare your results. Are you both liberal? Conservative? Moderate? \| Party Identification Party identification refers to the political party with which an individual identifies. Party identification is loyalty to a political party. Party identification is typically determined by the political party that an individual most commonly supports (by voting or other means). Some researchers view party identification as “a form of social identity,” or a psychological attachment in the same way that a person identifies with a religious or ethnic group. This identity develops early in a person’s life mainly through family and social influences. This description would make party identification a stable perspective, which develops as a consequence of personal, family, social and environmental factors. Other researchers consider party identification to be more flexible and more of a conscious choice. They see it as a position and a choice based on the continued assessment of the political, economic and social environment. Party identification can increase or even shift by motivating events or conditions in the country. A number of studies have found that a partisan lens aﬀects how a person perceives the world. Partisan voters judge character flaws more harshly in rival candidates than their own, believe the economy is doing better if their own side is in power, and underplay scandals and failures of their own side. The past thirty years have brought a dramatic change in the relationship between the two parties as fewer conservative Democrats and liberal Republicans have been elected to oﬃce. As political moderates, or individuals with ideologies in the middle of the ideological spectrum, leave the political parties at all levels, the parties have grown farther apart ideologically, a result called partisan polarization. Partisan polarization is the degree to which Democrats have become more liberal and Republicans have become more conservative. In politics, partisan polarization may make it increasingly more diﬃcult for politicians to compromise on critical policy issues. Measuring Party Identification It is important to measure party identification in order to determine its strengths and weaknesses. Political scientists have developed many ways to measure party identification in order to examine and evaluate it. One American method of measuring party identification uses the Likert Scale, a 7-point scale to measure party identification, with Strong Democrat on one extreme and Strong Republican at the other. In between the two extremes are the classifications of “Lean Democrat/Republican” and “Weak Democrat/Republican.” The Importance of Party Identification Political scientists often refer to party identification as a “vote determinant.” Those people who identify with a party tend to vote for their party’s candidate for various oﬃces in high percentages. Those who consider themselves to be strong partisans, strong Democrats and strong Republicans respectively, tend to be the most faithful in voting for their party’s nominee for oﬃce. In the case of voting for president, since the 1970s, party identification on voting behavior has been increasing significantly. By the late 1990s, party identification on voting behavior was at the highest level of any election since the 1950s. When voting in congressional elections, the trend is similar. Strong party identifiers voted overwhelmingly for their party’s nominee in the general election. It is important to note that each party respectively in certain elections, would have stronger voting behavior of their strongest party identifiers. For instance, in the years the Democrats dominated House and Senate elections in the 1970s and 1980s, it can be explained that their strong party identifiers were more loyal in voting for their party’s nominee for Congress than the Republicans were. The same level of voting behavior can also be applied to state and local levels. While straight-ticket voting has declined among the general voting population, it is still prevalent in those who are strong Republicans and strong Democrats. According to Paul Allen Beck and colleagues, “the stronger an individual’s party identification was, the more likely he or she was to vote a straight ticket.” The Distribution of Party Identification in Texas Using the methodology described above, the University of Texas and the Texas Tribune surveyed respondents about their party identification. Figure 9.8 illustrates the results. Democratic and Republican Party Organization Although many Texans claim that they are "registered Republicans" or "registered Democrats," Texas does not have a system of party registration. Registered voters may vote in either the Democrat or Republican primary. One of the most important functions of political parties is to select candidates to run for oﬃce under the party label, which is currently accomplished through primary elections. Permanent Party Organization Organization of the parties themselves are often discussed in terms of the permanent organization of the party and the temporary (campaign) organization of the party (See Figure 9.9). In each election precinct, a precinct chair will be elected in the party primary. The precinct chair will head the precinct convention, in addition to serving on the party's county executive committee. In the primary, the county chair will also be elected. The county chair will lead the county executive committee, which is composed of the chair and precinct chairs. The main responsibility of the county executive committee is to run the county primary and plan the county conventions. At the state level, there is a state executive committee, which includes a state chair and vice-chair. These oﬃcers are selected every two years at the state party conventions. The state executive committee: - accepts filings by candidates for statewide oﬃce - helps raise funds for the party - and establishes party policy Temporary Party Organization The temporary organization of the party includes the precinct conventions. The main role of the precinct conventions is to select delegates to the county convention and to possibly submit resolutions that may eventually become part of the party platform. Delegates chosen at the precinct convention then go to the county conventions (or in urban areas, to district conventions). These conventions elect delegates to the state convention. Democratic and Republican parties hold state conventions every other year. At the state convention: - nominees are certified for statewide oﬃce - a party platform is adopted - and a chair, vice-chair, and state executive committee is elected In presidential election years, the state conventions: - select delegates for the national party conventions - elect delegates for the national party committee - and choose presidential electors to the Electoral College Recommended Websites References and Further Reading The Texas Politics Project. University of Texas/Texas University of Texas/Texas Tribune’s February 2018 Poll. Texas Election Code - Texas Statutes. TITLE 10. POLITICAL PARTIES. Accessed October 18, 2019. Licensing and Attribution CC LICENSED CONTENT, ORIGINAL Revision and Adaptation. Authored by: Kris S. Seago. License: CC BY: Attribution PUBLIC DOMAIN CONTENT Party Identification in Texas. Authored by: Texas Politics Project. Provided by: Texas Politics Project; Texas Tribune. Located at: https://texaspolitics.utexas.edu/polling License: Public Domain: No Known Copyright	oercommons	2025-03-18T00:38:54.628391	null	{ "license": "Creative Commons - Attribution - https://creativecommons.org/licenses/by/4.0/", "url": "https://oercommons.org/courseware/lesson/66318/overview", "title": "Texas Government 2.0, Political Parties in Texas", "author": null }
https://oercommons.org/courseware/lesson/66319/overview	Third-Party Movements in Texas Overview Third-Party Movements in Texas Learning Objective By the end of this section, you should be able to: Discuss electoral trends in Texas, specifically dealigned parties and third- party movements Introduction: Third-Party Movements in Texas At various points in the past 170 years, elites and voters have sought to create alternatives to the existing party system. Political parties that are formed as alternatives to the Republican and Democratic parties are known as third parties, or minor parties. As with many other states, the two-party system in Texas has made it very diﬃcult for third parties to get on the ballot. Many voters believe that their votes would be wasted if they vote for a third-party candidate. Because the history of elections shows that a Republican or Democrat will almost always win, most voters decide that it is more rational to vote for the major-party candidate whose ideology most closely aligns with their own. La Raza Unida La Raza Unida, meaning "united race," was created in the early 1970s to combat growing inequality and dissatisfaction with the Democratic Party that was typically supported by Mexican-American voters. José Ángel Gutiérrez led the party at its inception, which was concentrated in Zavala County. After its establishment in Texas, the party launched electoral campaigns in Colorado, Arizona, New Mexico, and California, though it only secured oﬃcial party status for statewide races in Texas. La Raza Unida was able to win races in Crystal City, Cotulla, and Carrizo Springs in Texas by taking advantage of nonpartisan elections. The party did so well in Zavala County and other surrounding counties that at one point the party won two city council majorities, two school board majorities, and two mayoralties. Although the party did poorly in the 1978 Texas elections and leaders and members dropped away, it signified the growing influence of Latinos in the state. Green Party of Texas The Green Party of Texas is the state party organization for Texas of the Green Party of the United States. The party was founded as the electoral arm of the political movements for grassroots democracy, social justice, ecological wisdom, peace, and nonviolence. The Green Party of Texas began to organize a statewide grassroots eﬀort in the late 1990s. Small, active Green groups existed in large cities throughout the state (particularly Houston, Dallas, and Austin) before this time, but Ralph Nader's 1996 campaign spurred the growth of the Green Party of Texas. The Texas Green Party has retroactively gained ballot access through 2026 via the passage and signing of HB-2504 in 2019 after having obtained 2% of the statewide vote for Railroad Commissioner in 2016. Libertarian Party of Texas In recent years, the Libertarian Party of Texas has emerged as a third-party alternative to the two major political parties. Libertarians believe in limited government and are typically considered fiscal conservatives and social liberals. Although the Libertarian Party has been unsuccessful at the polls and has had little impact on Election Day, they can influence politics in other ways. For example, the major parties may adopt some of the positions promoted by Libertarians (or members of other minor parties) in order to win their support in run-oﬀ elections. The Occupy and Tea Party Movements in Texas The new voices of the Occupy and Tea Party movements have become prominent both nationwide as well as in Texas. Created following government bailouts in 2008, the Occupy movement has held demonstrations in Austin and other major Texas cities, protesting the influence of big corporations and Wall Street on American politics. Born in part from an older third-party movement known as the Libertarian Party, the Tea Party movement has allied itself with the Republican Party and has had greater influence in Texas due to its antitax messaging. The Tea Party movement was launched following a February 19, 2009 call by CNBC reporter Rick Santelli on the floor of the Chicago Mercantile Exchange for a "tea party," when several conservative activists agreed by conference call to coalesce against Obama's agenda and scheduled a series of protests. Supporters of the movement subsequently have had a major impact on the internal politics of the Republican Party. The Tea Party is more hostile to government and views government intervention in all forms, and especially taxation and the regulation of business, as a threat to capitalism and democracy. It is less willing to tolerate interventions in the market place, even when they are designed to protect the markets themselves. Although an anti-tax faction within the Republican Party has existed for some time, some factions of the Tea Party movement are also active at the intersection of religious liberty and social issues, especially in opposing such initiatives as same-sex marriage and abortion rights. The Tea Party has argued that government, both directly and by neglect, is threatening the ability of evangelicals to observe their moral obligations, including practices some perceive as endorsing social exclusion. Although the Tea Party is a movement and not a political party, 86 percent of Tea Party members who voted in 2012 cast their votes for Republicans. Additionally, research has shown that members of the Tea Party Caucus vote like a third party in Congress. Some members of the Republican Party are closely aﬃliated with the movement, and before the 2012 elections, Tea Party activist Grover Norquist exacted promises from many Republicans in Congress that they would oppose any bill that sought to raise taxes. The inflexibility of Tea Party members has led to tense floor debates and was ultimately responsible for the 2014 primary defeat of Republican majority leader Eric Cantor and the 2015 resignation of the sitting Speaker of the House John Boehner. In 2015, Chris Christie, John Kasich, Ben Carson, Marco Rubio, and Ted Cruz, all of whom were Republican presidential candidates, signed Norquist’s pledge as well. References and Further Reading Ballotpedia. Minor Political Party. Accessed October 18, 2019. Acosta, T. P. (2019, May 7). "RAZA UNIDA PARTY.” Handbook of Texas Online. Retrieved October 16, 2019. Juarez, A. (1972). The Emergence of El Partido De La Raza Unida: California's New Political Party. Aztl√°n. M. Garcia, I. M. (1989). United we win: The rise and fall of La Raza Unida Party. University of Arizona Press. José Ángel Gutiérrez Papers, Benson Latin American Collection, University of Texas at Austin. Raza Unida Party Collection, Benson Latin American Collection, University of Texas at Austin. Byrne, E. (2019, May 20). Critics say bill moving through Texas Legislature designed to aid GOP reelection bids. The Texas Tribune. Retrieved October 20, 2019. Etheridge, E. (2009, Feb 20). "Rick Santelli: Tea Party Time.” New York Times: Opinionator. Pallasch, A. M. (2010, September 19). 'Best 5 minutes of my life'; His '09 CNBC rant against mortgage bailouts for 'losers' ignited the Tea Party movement. Chicago Sun-Times. p. A4. Pew Research Center (2011, Feb 23). The Tea Party and Religion. Accessed October 16, 2019. Ragusa, J. & Gaspar, A. (2016). Where's the Tea Party? An Examination of the Tea Party's Voting Behavior in the House of Representatives. Political Research Quarterly. 69 (2): 361-372. doi:10.1177/1065912916640901. Waldman, P. (2015, Aug 13). Nearly All the GOP Candidates Bow Down to Grover Norquist, The Washington Post. Accessed October 16, 2019. Licensing and Attribution CC-LICENSED CONTENT, ORIGINAL Revision and Adaptation: The Occupy and Tea Party Movements in Texas. Authored by: Daniel M. Regalado. License: CC BY: Attribution CC LICENSED CONTENT, SHARED PREVIOUSLY Green Party of Texas. Authored by: Wikipedia. Located at: https://en.wikipedia.org/wiki/Green_Party_of_Texas License: CC BY: Attribution La Raza Unida. Authored by: Wikipedia. Located at: https://en.wikipedia.org/wiki/Raza_Unida_Party License: CC BY: Attribution Tea Party Caucus. Authored by: Wikipedia. Located at: https://en.wikipedia.org/wiki/Tea_Party_Caucus License: CC BY: Attribution Tea Party Movement. Authored by: Wikipedia. Located at: https://en.wikipedia.org/wiki/Tea_Party_movement License: CC BY: Attribution	oercommons	2025-03-18T00:38:54.657010	null	{ "license": "Creative Commons - Attribution - https://creativecommons.org/licenses/by/4.0/", "url": "https://oercommons.org/courseware/lesson/66319/overview", "title": "Texas Government 2.0, Political Parties in Texas", "author": null }
https://oercommons.org/courseware/lesson/66320/overview	Candidate and Delegate Selection Processes in Texas Overview Candidate and Delegate Selection Processes in Texas Learning Objectives By the end of this section, you should be able to: - Compare and contrast primary and caucus candidate and delegate selection processes Introduction This section discusses the candidate and delegate selection process in Texas. Primary Election Systems Used in Texas Presidential Elections Presidential candidates in the United States are not directly nominated via primary elections; instead, presidential nominees are formally nominated at political party conventions. Presidential preference primary elections and caucuses are held in each state to determine how that state's delegation will vote during the nominating convention. The guidelines governing presidential nominating processes are set by the national committees of political parties, which in turn authorize individual state-level parties to conduct their own primaries and caucuses in accordance with their own participation standards. The terms under which presidential primaries are conducted therefore vary from state to state and from election cycle to election cycle. In 2016, a total of 35 U.S. jurisdictions (including both states and territories) held presidential preference primaries to allocate convention delegates to both the Democratic and Republican parties' presidential candidates. In 13 jurisdictions, both parties held caucuses instead to allocate delegates. Eight jurisdictions utilized a bifurcated process in which one party held a primary and the other conducted a caucus or convention. In 2016, Texas' political parties conducted open presidential preference primaries. Voters were not required to be a member of a party to participate in its primary. Congressional and State-Level Elections In 22 states, at least one political party utilizes open primaries to nominate partisan candidates for congressional and state-level (e.g. state legislators, governors, etc.) oﬃces. In 15 states, at least one party utilizes closed primaries to nominate partisan candidates for these oﬃces. In 14 states, at least one party utilizes semi-closed primaries. In two (California and Washington), top-two primaries are utilized. Texas law requires parties to conduct open primary elections for state and county oﬃces, as well as for congressional oﬃces. During the nineteenth century, candidates were nominated at party conventions, but early in the 20th century, the state moved to the primary as a way to select candidates. Winners in primary contests are determined by majority vote. In the case that no candidate receives a majority vote, the top two candidates proceed to a runoﬀ election. Office \| Number of Seats \| Governor of Texas \| 1 \| Lieutenant Governor of Texas \| 1 \| Attorney General of Texas \| 1 \| Land Comptroller of Public Accounts \| 1 \| Texas Land Commissioner \| 1 \| Texas Agriculture Commissioner \| 1 \| Texas Railroad Commission \| 3 \| State Legislators \| 181 \| United States Senators \| 2 \| United States Representatives \| 36 \| Local Officials \| Varies by municipality \| Table 9.2 Elective offices for Which Parties Must Conduct Primaries to Nominate General Election Candidates .Table adapted from Ballotpedia, Primary Elections in Texas, published under a GFDL License \| The Texas Caucuses The Texas caucuses are a political event associated with primaries, the process by which voters in the Texas ultimately select their parties' nominees for various oﬃces. The process as a whole has been referred to as the Texas Two-Step, after the partner dance of the same name, because Texans were required to first vote in the primary election in order to be eligible for participation in party caucuses in which delegates were selected. The current process diﬀers for Democrats and Republicans. The Republican Party of Texas has a winner-take-all provision in its primary, and the chances any candidate will get all of that party’s Texas delegates are very small. That candidate would have to win more than 50 percent of the vote statewide, and also in each of the state’s 36 congressional districts, to run the table. Absent such an event, a pro-rata system is followed to allocate delegates roughly according to votes received. The Texas Democratic Party no longer selects state delegates at caucuses. After the votes of Texans participating in the Democratic primary are counted, delegates are awarded among the candidates who received 15 percent or more of the vote, in proportion to the votes received by each. It would be even harder for a Democrat than for a Republican to get all of the Texas delegates from their party in a presidential primary. A democratic candidate could do so only by winning 85% of the vote statewide and, separately, 85% in each and every one of Texas’ 31 state Senate districts. Controversies The Texas Democratic Party abandoned the former caucus-based "Texas Two-step" primary system in 2015. The Democratic County (Senate District) Conventions in late March 2008 produced a great deal of confusion. Both Clinton and Obama supporters had concerns about how these conventions were conducted. The most common complaint had to do with the fact that delegates were not being apportioned based on Precinct Convention results. For instance, in Kleberg County, 9 delegates were elected to attend the State Convention, with only one Obama supporter among them. Obama won about one-third of the votes in the Precinct Caucuses/Conventions in Kleberg County. References and Further Reading Bartels, L. (1988). Presidential Primaries and the Dynamics of Public Choice. Princeton, NJ: Princeton University Press. (page 22) Democratic National Committee, "2016 Democratic National Convention Delegate/Alternate Allocation," updated February 19, 2016 CNN.com, "Democratic National Convention Roll Call," July 26, 2016 Republican National Committee, "2016 Presidential Nominating Process” accessed October 11, 2015 CNN.com, "Republican National Convention roll call vote," accessed July 20, 2016 FairVote, "Who Can Vote in Congressional Primaries," accessed August 17, 2017 National Conference of State Legislatures, "State Primary Election Types," July 21, 2016 Texas Legislature, "Chapter 172. Primary Elections," accessed September 2, 2017 Nassar, George. "Texas Democratic Caucus FAQ." The Texas Blue. 03/04/2008. "Texas Democrats dropping confusing caucus system.” Christy Hoppe. June 2015. Licensing and Attribution CC LICENSED CONTENT, ORIGINAL Primary Election Systems Used in Texas. Authored by: Ballotpedia. License: GNU Free Documentation License Texas Caucuses. Authored by Wikipedia. License: CC BY-SA 3.0	oercommons	2025-03-18T00:38:54.690802	null	{ "license": "Creative Commons - Attribution - https://creativecommons.org/licenses/by/4.0/", "url": "https://oercommons.org/courseware/lesson/66320/overview", "title": "Texas Government 2.0, Political Parties in Texas", "author": null }
https://oercommons.org/courseware/lesson/66321/overview	Glossary Overview Glossary Glossary: Political Parties in Texas Occupy movement: aimed at limiting the influence of Wall Street and big corporations in American politics. partisan polarization: the degree to which Republicans have become more conservative and Democrats have become more liberal party-in-government: party identifiers who have been elected or appointed to hold public office party organization: the formal structure of a political party that facilitates the coordination of party behavior and support for party candidates. party platform: a statement of principles and purpose issued by a political party political ideology: a certain set of ethical ideals, principles, doctrines, myths or symbols of a social movement, institution, class or large group that explains how society should work and oﬀers some political and cultural blueprint for a certain social order political party: a political organization that subscribes to a certain ideology and seeks to attain political power through representation in government political socialization: the process by which we are trained to understand and join a country’s political world public opinion: a collection of popular views about something; for example, a person, a local or national event, or a new idea Shivercrat movement: a movement led by the Texas governor Allan Shivers during the 1950s in which conservative Democrats in Texas supported Republican candidate Dwight Eisenhower for the presidency because many of those conservative Democrats believed that the national Democratic party had become too liberal straight-ticket voting: the practice of voting for every candidate that a political party has on a general election ballot The Tea Party movement: an American fiscally-conservative political movement within the Republican Party that has called for lower taxes, and for a reduction of the national debt of the United States and federal budget deficit through decreased government spending third parties (minor parties): political parties that are formed as alternatives to the Republican and Democratic parties trifecta: when one party controls the three vital centers of state political power—the oﬃce of the governor, the state House, and the state Senate two-party system: a system where two major political parties dominate voting in nearly all elections at every level of government and, as a result, nearly all elected oﬃcials are members of one of the two major parties white primary: primary election in which only white voters are eligible to participate References and Further Reading Hershey, Marjorie Randon (2007). Party Politics in America 12th ed. Longman Classics in Political Science. Pages 110-111. Berman, R. (2010, July 5). Gallup: Tea Party's top concerns are debt, size of government. () The Hill. Retrieved October 16, 2019. Somashekhar, S. (2010, September 12). Tea Party DC March: "Tea party activists march on Capitol Hill.” The Washington Post. Retrieved October 16, 2019. Ballotpedia. Party Control of Texas State Government. Retrieved October 20, 2019. Licensing and Attribution CC LICENSED CONTENT, ORIGINAL Political Parties in Texas: Glossary. Authored by: panOpen. License: CC BY: Attribution	oercommons	2025-03-18T00:38:54.711098	null	{ "license": "Creative Commons - Attribution - https://creativecommons.org/licenses/by/4.0/", "url": "https://oercommons.org/courseware/lesson/66321/overview", "title": "Texas Government 2.0, Political Parties in Texas", "author": null }
https://oercommons.org/courseware/lesson/66322/overview	Assessment Overview This is a quiz for Chapter 9. Texas Government Chapter Nine Quiz Check your knowledge of Chapter Nine by taking the quiz linked below. The quiz will open in a new browser window or tab. This is a quiz for Chapter 9. Check your knowledge of Chapter Nine by taking the quiz linked below. The quiz will open in a new browser window or tab.	oercommons	2025-03-18T00:38:54.728222	null	{ "license": "Creative Commons - Attribution - https://creativecommons.org/licenses/by/4.0/", "url": "https://oercommons.org/courseware/lesson/66322/overview", "title": "Texas Government 2.0, Political Parties in Texas", "author": null }
https://oercommons.org/courseware/lesson/84552/overview	1.3 Breakdown of Pryuvate and Krebs Cycle 1.4 Electron Transport Chain 1.5 Chemiosmosis and ATP Production 1.6 Anaerobic Cellular Respiration 1.7 Regulatory Mechanisms 1_Cellular-Respiration Cellular Respiration Overview Bovine mitochondrial ATP synthase based on PDB 5ARA. The FO, F1, axle, and stator regions are color coded magenta, green, orange, and cyan respectively. Picture Created in PyMol. BiochemEkaterina, CC BY-SA 4.0 <https://creativecommons.org/licenses/by-sa/4.0>, via Wikimedia Commons Principles of Biology by Robert Bear, David Rintoul, Bruce Snyder, Marth Smith -Caldas, Christopher Herren, Eva Horne. 2016. The textbook was originally published and is also available to download at http://cnx.org/contents/db89c8f8-a27c-4685-ad2a-19d11a2a7e2e@24.1.It is licensed under a Creative Commons Attribution License 4.0 license. Did you have an idea for improving this content? We’d love your input. Introduction Learning Objectives - Explain the process of glycolysis. - Distinguish between aerobic respiration and fermentation. - Explain how the Krebs cycle oxidizes pyruvate. - Explain the fate of the electrons in the Electron Transport Chain (ETC). - Explain why the production of ATP is called oxidative phosphorylation. Key Terms aerobic respiration - a process in which organisms convert energy in the presence of oxygen ATP - adenosine triphosphate, the cell's energy currency Beta-oxidation - a process by which fatty acids are catabolized Cellular respiration - a process in which an organism converts energy in the presence of oxygen Decarboxylation - removal of the carboxyl group as carbon atom or CO2 Electron transport chain - a group of proteins on the inner membrane of mitochondria that pass electrons and use the energy released by the electrons to move hydrogen ions against the concentration gradient into the intermembrane space Fermentation - a process of regenerating NAD+ with either an inorganic or organic compound serving as the final electron acceptor; occurs in the absence of oxygen Gluconeogenesis - the process of glucose synthesis Glucose - a six-carbon monosaccharide Glycolysis - the process of breaking glucose into two three-carbon molecules with the production of ATP and NADH Krebs cycle - (also citric acid cycle; tricarboxylic acid cycle; TCA cycle) series of enzyme-catalyzed chemical reactions of central importance in all living cells for extraction of energy from carbohydrates Metabolism - all the chemical reactions that take place inside cells, including anabolism and catabolism Mitochondria - (singular = mitochondrion) cell organelles responsible for carrying out cellular respiration, resulting in producing ATP, the cell's main energy-carrying molecule NADH - high-energy molecule Oxidation - loss of electrons Oxidative phosphorylation - production of ATP using the process of chemiosmosis in the presence of oxygen Oxidize - cause electron loss in a substance Pyruvate/Pyruvic acid - three-carbon sugar that can be decarboxylated and oxidized to make acetyl CoA, which enters the citric acid cycle under aerobic conditions, the end product of glycolysis The electrical energy plant in figure 2.1.1 converts energy from one form to another form that can be more easily used. This type of generating plant starts with underground thermal energy (heat) and transforms it into electrical energy that will be transported to homes and factories. Like a generating plant, plants and animals also must take in energy from the environment and convert it into a form that their cells can use. In the process of photosynthesis, plants and other photosynthetic producers take in energy in the form of light (solar energy) and convert it into chemical energy in the form of glucose, which stores this energy in its chemical bonds. Then, a series of metabolic pathways, collectively called cellular respiration, extracts the energy from the bonds in glucose and converts it into a form that all living things can use. Energy production within a cell involves many coordinated chemical pathways. Most of these pathways are combinations of oxidation and reduction reactions, which occur at the same time. An oxidation reaction strips an electron from an atom in a compound; the addition of this stripped electron to another compound is a reduction reaction. Because oxidation and reduction usually occur together, these pairs of reactions are called oxidation-reduction reactions, or redox reactions, figure 2.1.2. Electrons and Energy The removal of an electron from a molecule (oxidizing it), causes a decrease in the potential energy of the oxidized compound. However, the electron (sometimes as part of a hydrogen atom) does not remain unbonded in the cytoplasm of a cell. Rather, the electron is shifted to a second compound, reducing the second compound. The shift of an electron from one compound to another removes some potential energy from the first compound (the oxidized compound) and increases the potential energy of the second compound (the reduced compound). The transfer of electrons between molecules is important because most of the energy stored in atoms and used to fuel cell functions is in the form of high-energy electrons. The transfer of energy in the form of high-energy electrons allows the cell to transfer and use energy in an incremental fashion—in small packages rather than in a single, destructive burst. Electron Carriers In living systems, a small class of compounds functions as electron shuttles: they bind and carry high-energy electrons between compounds in biochemical pathways. The principal electron carriers we will consider are derived from the B vitamin group and are derivatives of nucleotides. These compounds can be easily reduced (that is, they accept electrons) or oxidized (they lose electrons). Nicotinamide adenine dinucleotide (NAD) (figure 2.1.3) is derived from vitamin B3—niacin. NAD+ is the oxidized form of the molecule; NADH is the reduced form of the molecule after it has accepted two electrons and a proton, which together are the equivalent of a hydrogen atom with an extra electron. Note that if a compound has an “H” on it, it is generally reduced; for instance, NADH is the reduced form of NAD. The second variation of NAD, NADP, contains an extra phosphate group NAD+ can accept electrons from an organic molecule according to the general equation: RH + NAD+ ------> NADH + R Reducing agent + Oxidizing agent -----> Reduced + Oxidized When electrons are added to a compound, it is reduced. A compound that reduces another is called a reducing agent. In the above equation, RH is a reducing agent, and NAD+ is reduced to NADH. When electrons are removed from a compound, it is oxidized. A compound that oxidizes another is called an oxidizing agent. In the above equation, NAD+ is an oxidizing agent that grabs the H and causes RH to be oxidized to R. Similarly, there are other electron carriers such as FAD+. Flavin adenine dinucleotide (FAD+) is derived from vitamin B2, also called riboflavin. Its reduced form is FADH2. Both NAD+ and FAD+ are extensively used in energy extraction from sugars, and NADP plays an important role in anabolic reactions and photosynthesis in plants. ATP in Living Systems A living cell cannot store significant amounts of free energy. Excess free energy would result in an increase of heat in the cell, which would result in excessive thermal motion that could damage and then destroy the cell. Rather, a cell must be able to handle that energy in a way that enables the cell to store energy safely and release it for use only as needed. Living cells accomplish this by using the compound adenosine triphosphate (ATP). ATP is often called the “energy currency” of the cell, and, like currency, this versatile compound can be used to fill any energy need of the cell. It can do this because it functions similarly to a rechargeable battery. When ATP is broken down, usually by the removal of its terminal phosphate group, energy is released. The energy is used to do work by the cell, usually when the released phosphate binds to another molecule, which activates it. For example, in the mechanical work of muscle contraction, ATP supplies the energy to move the contractile muscle proteins. Recall the active transport work of the sodium-potassium pump in cell membranes. ATP alters the structure of the integral protein that functions as the pump, changing its affinity for sodium and potassium. In this way, the cell performs work, pumping ions against their electrochemical gradients. ATP Structure and Function At the heart of ATP is a molecule of adenosine monophosphate (AMP), which is composed of an adenine molecule bonded to a ribose molecule and to a single phosphate group (Figure 2.1.4). Ribose is a five-carbon sugar found in RNA, and AMP is one of the nucleotides in RNA. The addition of a second phosphate group to this core molecule results in the formation of adenosine diphosphate (ADP); the addition of a third phosphate group forms adenosine triphosphate (ATP). The addition of a phosphate group to a molecule requires energy. Phosphate groups are negatively charged and thus repel one another when they are arranged in series, as they are in ADP and ATP. This repulsion makes the ADP and ATP molecules inherently unstable. The release of one or two phosphate groups from ATP, a process called dephosphorylation, releases energy. Energy from ATP Hydrolysis is the process of breaking complex macromolecules apart. During hydrolysis, water is split, or lysed, and the resulting hydrogen atom (H+) and a hydroxyl group (OH-), or hydroxide, are added to the larger molecule. The hydrolysis of ATP produces ADP, together with an inorganic phosphate ion (Pi), and the release of free energy. To carry out life processes, ATP is continuously broken down into ADP, and like a rechargeable battery, ADP is continuously regenerated into ATP by the reattachment of a third phosphate group. Water, which was broken down into its hydrogen atom and a hydroxyl group (hydroxide) during ATP hydrolysis, is regenerated when a third phosphate is added to the ADP molecule, reforming ATP. Obviously, energy must be infused into the system to regenerate ATP. In nearly every living thing on Earth, the energy comes from the metabolism of glucose, fructose, or galactose, all isomers with the chemical formula C6H12O6 but with different molecular configurations. In this way, ATP is a direct link between the limited set of exergonic pathways of glucose catabolism and the multitude of endergonic pathways that power living cells. Phosphorylation Recall that, in some chemical reactions, enzymes may bind to several substrates that react with each other on the enzyme, forming an intermediate complex. An intermediate complex is a temporary structure, and it allows one of the substrates (such as ATP) and reactants to more readily react with each other. In reactions involving ATP, ATP is one of the substrates and ADP is a product. During an endergonic chemical reaction, ATP forms an intermediate complex with the substrate and enzyme in the reaction. This intermediate complex allows the ATP to transfer its third phosphate group, with its energy, to the substrate; this is a process called phosphorylation. Phosphorylation refers to the addition of a phosphate (~P). This is illustrated by the following generic reaction, in which A and B represent two different substrates: A + enzyme + ATP→ [A − enzyme − ∼P] → B + enzyme + ADP + phosphate ion When the intermediate complex breaks apart, the energy is used to modify the substrate and convert it into a product of the reaction. The ADP molecule and a free phosphate ion are released into the medium and are available for recycling through cell metabolism. Substrate Phosphorylation ATP is generated through two mechanisms during the breakdown of glucose. A few ATP molecules are generated (that is, regenerated from ADP) as a direct result of the chemical reactions that occur in the catabolic pathways. A phosphate group is removed from an intermediate reactant in the pathway, and the free energy of the reaction is used to add the third phosphate to an available ADP molecule, producing ATP (Figure 2.1.5). This very direct method of phosphorylation is called substrate-level phosphorylation. Oxidative Phosphorylation Most of the ATP generated during glucose catabolism, however, is derived from a much more complex process: chemiosmosis. Chemiosmosis, a process of ATP production in cellular metabolism, is used to generate 90 percent of the ATP made during glucose catabolism and is also the method used in the light reactions of photosynthesis to harness the energy of sunlight. Chemiosmosis takes place in mitochondria, (Figure 2.1.6) within a eukaryotic cell or the plasma membrane of a prokaryotic cell. The production of ATP using the process of chemiosmosis is called oxidative phosphorylation because of the involvement of oxygen in the process. Glycolysis As you have read, nearly all of the energy used by living cells comes to them in the bonds of a sugar molecule called glucose. Glycolysis is the first step in the breakdown of glucose to extract energy for cellular metabolism. In fact, nearly all living organisms carry out glycolysis as part of their metabolism. The process does not use oxygen directly; therefore, it is termed anaerobic. Glycolysis takes place in the cytoplasm of both prokaryotic and eukaryotic cells. Glycolysis begins with the six-carbon ring-shaped structure of a single glucose molecule and ends with two molecules of a three-carbon sugar called pyruvate. Glycolysis consists of two distinct phases. The first part of the glycolysis pathway traps the glucose molecule in the cell and uses energy to modify it so that the six-carbon sugar molecule can be split evenly into the two three-carbon molecules. The second part of glycolysis extracts energy from the molecules and stores it in the form of ATP and NADH—the reduced form of NAD (figure 2.1.7). First Half of Glycolysis (Energy-Requiring Steps) Step 1. The first step in glycolysis (Figure 2.1.8) is catalyzed by hexokinase, an enzyme with broad specificity that catalyzes the phosphorylation of six-carbon sugars. ATP is used as the source of phosphate by hexokinase to phosphorylate glucose, producing glucose-6-phosphate, a more reactive form of glucose. This reaction prevents the phosphorylated glucose molecule from leaving the cell because the negatively charged phosphate will not allow it to cross the hydrophobic interior of the plasma membrane. Step 2. In the second step of glycolysis, an isomerase converts glucose-6-phosphate into one of its isomers: fructose-6-phosphate (this isomer has a phosphate attached at the location of the sixth carbon of the ring). An isomerase is an enzyme that catalyzes the conversion of a molecule into one of its isomers. (This conversion from phosphoglucose to phospho-fructose allows the eventual split of the sugar into two three-carbon molecules.) Step 3. The third step is the phosphorylation of fructose-6-phosphate, catalyzed by the enzyme phosphofructokinase. A second ATP molecule donates a high-energy phosphate to fructose-6-phosphate, producing fructose-1,6-bisphosphate. In this pathway, phosphofructokinase is a rate-limiting enzyme. It is active when the concentration of ADP is high; it is less active when ADP levels are low, and the concentration of ATP is high. Thus, if there is “sufficient” ATP in the system, the pathway slows down. This is a type of end product inhibition since ATP is the end product of glucose catabolism. Step 4. The newly added high-energy phosphates further destabilize fructose-1,6-bisphosphate. The fourth step in glycolysis employs the enzyme, aldolase, to cleave fructose-1,6-bisphosphate into two three-carbon isomers: dihydroxyacetone phosphate and glyceraldehyde-3-phosphate. Step 5. In the fifth step, an isomerase transforms the dihydroxyacetone-phosphate into its isomer: glyceraldehyde-3-phosphate. Thus, the pathway will continue with two molecules of a glyceraldehyde-3-phosphate. At this point in the pathway, there is a net investment of energy from two ATP molecules in the breakdown of one glucose molecule. Second Half of Glycolysis (Energy-Releasing Steps) So far, glycolysis has cost the cell two ATP molecules and produced two small, three-carbon sugar molecules. Both of these molecules will proceed through the second half of the pathway, and sufficient energy will be extracted to pay back the two ATP molecules that were used as an initial investment, as well as produce a profit for the cell of two additional ATP molecules and two even higher-energy NADH molecules. Step 6. The sixth step in glycolysis (Figure 2.1.9) oxidizes the sugar (glyceraldehyde-3-phosphate) by extracting high-energy electrons, which are picked up by the electron carrier NAD+, producing NADH. The sugar is then phosphorylated by the addition of a second phosphate group, producing 1,3-bisphosphoglycerate. Note that the second phosphate group does not require another ATP molecule. Here again, this is a potential limiting factor for this pathway. The continuation of the reaction depends upon the availability of the oxidized form of the electron carrier, NAD+. Thus, NADH must be continuously oxidized back into NAD+ in order to keep this step going. If NAD+ is not available, the second half of glycolysis slows down or stops. If oxygen is available in the system, the NADH will be oxidized readily, though indirectly, and the high-energy electrons from the hydrogen released in this process will be used to produce ATP. In an environment without oxygen, an alternate pathway (fermentation) can provide the oxidation of NADH to NAD+. Step 7. In the seventh step, catalyzed by phosphoglycerate kinase—an enzyme named for the reverse reaction, 1,3-bisphosphoglycerate donates a high-energy phosphate to ADP, forming one molecule of ATP. (This is an example of substrate-level phosphorylation.) A carbonyl group on the 1,3-bisphosphoglycerate is then oxidized to a carboxyl group, forming 3-phosphoglycerate. Step 8. In the eighth step, the remaining phosphate group in 3-phosphoglycerate moves from the third carbon to the second carbon, producing 2-phosphoglycerate—an isomer of 3-phosphoglycerate. The enzyme catalyzing this step is a mutase (an isomerase). Step 9. Enolase catalyzes the ninth step. This enzyme causes 2-phosphoglycerate to lose water from its structure; this is a dehydration reaction, resulting in the formation of a double bond that increases the potential energy in the remaining phosphate bond and produces phosphoenolpyruvate (PEP). Step 10. The last step in glycolysis is catalyzed by the enzyme pyruvate kinase (the enzyme in this case is named for the reverse reaction of pyruvate’s conversion into PEP). This step results in the production of a second ATP molecule by substrate-level phosphorylation and the compound pyruvic acid (or its salt form, pyruvate). Many enzymes in enzymatic pathways are named for the reverse reactions since the enzyme can catalyze both forward and reverse reactions; these may have been described initially by the reverse reaction that takes place in vitro, under non-physiological conditions. Gain a better understanding of the breakdown of glucose by glycolysis by visiting this site. below. Outcomes of Glycolysis Glycolysis begins with glucose and produces two pyruvate molecules, four new ATP molecules, and two molecules of NADH. (Note: two ATP molecules are used in the first half of the pathway to prepare the six-carbon ring for cleavage, so the cell has a net gain of two ATP molecules and two NADH molecules for its use). If the cell cannot catabolize the pyruvate molecules further, it will harvest only two ATP molecules from one molecule of glucose. Mature mammalian red blood cells do not have mitochondria and thus are not capable of aerobic respiration—the process in which organisms convert energy in the presence of oxygen; glycolysis is their sole source of ATP. If glycolysis is interrupted, these cells lose their ability to maintain their sodium-potassium pumps and eventually die. The last step in glycolysis will not occur if pyruvate kinase—the enzyme that catalyzes the formation of pyruvate—is not available in sufficient quantities. In this situation, the entire glycolysis pathway will proceed, but only two ATP molecules will be made in the second half. Thus, pyruvate kinase is a rate-limiting enzyme for glycolysis. Access for free at https://openstax.org/books/biology-2e/pages/7-2-glycolysis Breakdown of Pyruvate and Krebs Cycle If oxygen is available, aerobic respiration will go forward. In eukaryotic cells, the pyruvate molecules produced at the end of glycolysis are transported into the mitochondria, which are the sites of cellular respiration. There, pyruvate is transformed into an acetyl group that will be picked up and activated by a carrier compound called coenzyme A (CoA). The resulting compound is called acetyl CoA. CoA is derived from vitamin B5, pantothenic acid. Acetyl CoA can be used in a variety of ways by the cell, but its major function is to deliver the acetyl group derived from pyruvate to the next stage of the pathway in glucose catabolism. In order for pyruvate the product of glycolysis—to enter the next pathway, it must undergo several changes. The conversion is a three-step process (Figure 2.1.10). Step 1. A carboxyl group is removed from pyruvate, releasing a molecule of carbon dioxide into the surrounding medium. This reaction creates a two-carbon hydroxyethyl group bound to the enzyme (pyruvate dehydrogenase). We should note that this is the first of the six carbons from the original glucose molecule to be removed. (This step proceeds twice because there are two pyruvate molecules produced at the end of glycolysis for every molecule of glucose metabolized anaerobically; thus, two of the six carbons will have been removed at the end of both steps.) Step 2. The hydroxyethyl group is oxidized to an acetyl group, and the electrons are picked up by NAD+, forming NADH. The high-energy electrons from NADH will be used later to generate ATP. Step 3. The enzyme-bound acetyl group is transferred to CoA, producing a molecule of acetyl CoA. Note that during the second stage of glucose metabolism, whenever a carbon atom is removed, it is bound to two oxygen atoms, producing carbon dioxide—one of the major end products of cellular respiration. Acetyl CoA to CO2 In the presence of oxygen, acetyl CoA delivers its acetyl (2C) group to a four-carbon molecule known as oxaloacetate in order to form citrate—a six-carbon molecule with three carboxyl groups; this pathway will harvest the remainder of the extractable energy from what began as a glucose molecule and release the remaining four CO2 molecules. This single pathway is called different names: the citric acid cycle (named after the first intermediate formed), the TCA cycle (because citric acid or citrate and isocitrate are tricarboxylic acids), and the Krebs cycle (after Hans Krebs, who first identified the steps in the pathway in the 1930s in pigeon flight muscles). Citric Acid Cycle (Krebs Cycle) Like the conversion of pyruvate to acetyl CoA, the citric acid cycle takes place in the matrix of mitochondria. Almost all of the enzymes of the citric acid cycle are soluble, with the single exception of the enzyme succinate dehydrogenase, which is embedded in the inner membrane of the mitochondrion. Unlike glycolysis, the citric acid cycle is a closed-loop: the last part of the pathway regenerates the compound used in the first step. The eight steps of the cycle are a series of redox, dehydration, hydration, and decarboxylation reactions that produce two carbon dioxide molecules, one GTP/ATP, and the reduced carriers NADH and FADH2 (Figure 2.1.11). This is considered an aerobic pathway because the NADH and FADH2 produced must transfer their electrons to the next pathway in the system, which will use oxygen. If this transfer does not occur, the oxidation steps of the citric acid cycle also do not occur. Note that the citric acid cycle produces very little ATP directly and does not directly consume oxygen. Steps in the Citric Acid Cycle Step 1. Prior to the first step, a transitional phase occurs during which pyruvic acid is converted to acetyl CoA. Then, the first step of the cycle begins: This condensation step combines the two-carbon acetyl group with a four-carbon oxaloacetate molecule to form a six-carbon molecule of citrate. CoA is bound to a sulfhydryl group (-SH) and diffuses away to eventually combine with another acetyl group. This step is irreversible because it is highly exergonic. The rate of this reaction is controlled by negative feedback and the amount of ATP available. If ATP levels increase, the rate of this reaction decreases. If ATP is in short supply, the rate increases. Step 2. In step two, citrate loses one water molecule and gains another as citrate is converted into its isomer, isocitrate. Step 3. In step three, isocitrate is oxidized, producing a five-carbon molecule, α-ketoglutarate, along with a molecule of CO2 and two electrons, which reduce NAD+ to NADH. This step is also regulated by negative feedback from ATP and NADH and a positive effect of ADP. Step 4. Steps three and four are both oxidation and decarboxylation steps, which as we have seen, release electrons that reduce NAD+ to NADH and release carboxyl groups that form CO2 molecules. Alpha-ketoglutarate is the product of step three, and a succinyl group is the product of step four. CoA binds with the succinyl group to form succinyl CoA. The enzyme that catalyzes step four is regulated by feedback inhibition of ATP, succinyl CoA, and NADH. Step 5. In step five, a carboxyl group is substituted for coenzyme A, producing a high-energy bond. This energy is used in substrate-level phosphorylation (during the conversion of the succinyl group to succinate) to form either guanine triphosphate (GTP) or ATP. There are two possible forms of the enzyme—called isoenzymes—that may result during this step, depending upon the type of animal tissue in which they are found. One form is found in tissues that use large amounts of ATP, such as the heart and skeletal muscle; this form produces ATP. The second form of the enzyme is found in tissues that have a high number of anabolic pathways, such as the liver; this form produces GTP. GTP is energetically equivalent to ATP; however, its use is more restricted. In particular, protein synthesis primarily uses GTP. Step 6. Step six is a dehydration process that converts succinate into fumarate. Two hydrogen atoms are transferred to FAD, reducing it to FADH2. (Note: the energy contained in the electrons of these hydrogens is insufficient to reduce NAD+ but adequate to reduce FAD.) Unlike NADH, this carrier remains attached to the enzyme and transfers the electrons to the electron transport chain directly. This process is made possible by the localization of the enzyme catalyzing this step inside the inner membrane of the mitochondrion. Step 7. Water is added by hydrolysis to fumarate during step seven, and malate is produced. The last step in the citric acid cycle regenerates oxaloacetate by oxidizing malate. Another molecule of NADH is then produced in the process. Link to learning View an animation of the citric acid cycle here. Products of the Citric Acid Cycle Two carbon atoms come into the citric acid cycle from each acetyl group, representing four out of the six carbons of one glucose molecule. Two carbon dioxide molecules are released at each turn of the cycle; however, these do not necessarily contain the most recently added carbon atoms. The two acetyl carbon atoms will eventually be released during later turns of the cycle; thus, all six carbon atoms from the original glucose molecule are eventually incorporated into carbon dioxide. Each turn of the cycle forms three NADH molecules and one FADH2 molecule. These carriers will connect with the last portion of aerobic respiration, the electron transport chain, to produce ATP molecules. One GTP or ATP is also made in each cycle. Several of the intermediate compounds in the citric acid cycle can be used in synthesizing nonessential amino acids; therefore, the cycle is amphibolic (both catabolic and anabolic). Access for free at https://openstax.org/books/biology-2e/pages/7-3-oxidation-of-pyruvate-and-the-citric-acid-cycle Electron Transport Chain You have just read about two pathways in glucose catabolism—glycolysis and the citric acid cycle—that generate ATP. Most of the ATP generated during the aerobic catabolism of glucose, however, is not generated directly from these pathways. Instead, it is derived from a process that begins by moving electrons through a series of electron carriers that undergo redox reactions. This process causes hydrogen ions to accumulate within the intermembranous space. Therefore, a concentration gradient forms in which hydrogen ions diffuse out of the intermembranous space into the mitochondrial matrix by passing through ATP synthase. The current of hydrogen ions powers the catalytic action of ATP synthase, which phosphorylates ADP, producing ATP. The electron transport chain (Figure 2.1.12) is the last component of aerobic respiration and is the only part of glucose metabolism that uses atmospheric oxygen. Oxygen continuously diffuses into plant tissues (typically through stomata), as well as into fungi and bacteria; however, in animals, oxygen enters the body through a variety of respiratory systems. Electron transport is a series of redox reactions that resembles a relay race or bucket brigade in that electrons are passed rapidly from one component to the next, to the endpoint of the chain where the electrons reduce molecular oxygen and, along with associated protons, produce water. There are four complexes composed of proteins, labeled I through IV in Figure 2.1.12. The aggregation of these four complexes, together with associated mobile, accessory electron carriers, is called the electron transport chain. The electron transport chain is present with multiple copies in the inner mitochondrial membrane of eukaryotes and within the plasma membrane of prokaryotes. Complex I First, two electrons are carried to the first complex via NADH. This complex, labeled I, is composed of flavin mononucleotide (FMN) and an iron-sulfur (Fe-S)-containing protein. FMN, which is derived from vitamin B2—riboflavin—is one of several prosthetic groups or cofactors in the electron transport chain. A prosthetic group is a nonprotein molecule required for the activity of a protein. Prosthetic groups are organic or inorganic, nonpeptide molecules bound to a protein that facilitates its function. Prosthetic groups include coenzymes, which are the prosthetic groups of enzymes. The enzyme in complex I is NADH dehydrogenase and is composed of 44 separate polypeptide chains. Complex I can pump four hydrogen ions across the membrane from the matrix into the intermembrane space, and it is in this way that the hydrogen ion gradient is established and maintained between the two compartments separated by the inner mitochondrial membrane. Q and Complex II Complex II directly receives FADH2, which does not pass-through complex I. The compound connecting the first and second complexes to the third is ubiquinone B. The Q molecule is lipid soluble and freely moves through the hydrophobic core of the membrane. Once it is reduced (QH2), ubiquinone delivers its electrons to the next complex in the electron transport chain. Q receives the electrons derived from NADH from complex I, and the electrons derived from FADH2 from complex II. This enzyme and FADH2 form a small complex that delivers electrons directly to the electron transport chain, bypassing the first complex. Since these electrons bypass and thus do not energize the proton pump in the first complex, fewer ATP molecules are made from the FADH2 electrons. The number of ATP molecules ultimately obtained is directly proportional to the number of protons pumped across the inner mitochondrial membrane. Complex III The third complex is composed of cytochrome b—another Fe-S protein, a Rieske center (2Fe-2S center), and cytochrome c proteins. This complex is also called cytochrome oxidoreductase. Cytochrome proteins have a prosthetic group of heme. The heme molecule is similar to the heme in hemoglobin, but it carries electrons, not oxygen. As a result, the iron ion at its core is reduced and oxidized as it passes the electrons, fluctuating between different oxidation states: Fe++ (reduced) and Fe+++ (oxidized). The heme molecules in the cytochromes have different natures depending on how it is bound to the different proteins. Thus, giving each complex a slightly different characteristic. Complex III pumps out protons through the membrane and passes its electrons to cytochrome c for transport to complex four (Q carries pairs of electrons, whereas cytochrome c only carries one electron at a time). Complex IV The fourth complex is composed of cytochrome proteins c, a, and a3. This complex contains two heme groups (one in each of the two cytochromes, a, and a3) and three copper ions (a pair of CuA and one CuB in cytochrome a3). The cytochromes hold an oxygen molecule very tightly between the iron and copper ions until the oxygen is completely reduced by the gain of two electrons. The reduced oxygen then picks up two hydrogen ions from the surrounding medium to make water (H2O). The removal of the hydrogen ions from the system contributes to the ion gradient that forms the foundation for the process of chemiosmosis. Access for free at https://openstax.org/books/biology-2e/pages/7-4-oxidative-phosphorylation Chemiosmosis and ATP Production In chemiosmosis, the free energy from the series of redox reactions is used to pump hydrogen ions (protons) across the mitochondrial membrane. The uneven distribution of H+ ions across the membrane establishes both concentration and electrical gradients (thus, an electrochemical gradient), owing to the hydrogen ions’ positive charge and their aggregation on one side of the membrane. If the membrane were continuously open to simple diffusion by the hydrogen ions, the ions would tend to diffuse back across into the matrix, driven by the concentrations producing their electrochemical gradient. Recall that many ions cannot diffuse through the nonpolar regions of phospholipid membranes without the aid of ion channels. Similarly, hydrogen ions in the matrix space can only pass through the inner mitochondrial membrane by an integral membrane protein called ATP synthase (Figure 2.1.13). This complex protein acts as a tiny generator producing ATP as the hydrogen ions diffuse back into the mitochondria matrix along their concentration gradient. The turning parts of this molecular machine facilitate the addition of a phosphate to ADP, forming ATP, using the potential energy of the hydrogen ion gradient. Chemiosmosis (Figure 2.1.14) is used to generate 90 percent of the ATP made during aerobic glucose catabolism; it is also the method used in the light reactions of photosynthesis to harness the energy of sunlight in the process of photophosphorylation. Recall that the production of ATP using the process of chemiosmosis in mitochondria is called oxidative phosphorylation. The overall result of these reactions is the production of ATP from the energy of the electrons removed from hydrogen atoms. These atoms were originally part of a glucose molecule. At the end of the pathway, the electrons are used to reduce an oxygen molecule to oxygen ions. The extra electrons on the oxygen attract hydrogen ions (protons) from the surrounding medium, and water is formed. Thus, oxygen is the final electron acceptor in the electron transport chain. ATP Yield The number of ATP molecules generated from the catabolism of glucose varies. For example, the number of hydrogen ions that the electron transport chain complexes can pump through the membrane varies between species. Another source of variance stems from the shuttle of electrons across the membranes of the mitochondria. (The NADH generated from glycolysis cannot easily enter mitochondria.) Thus, electrons are picked up on the inside of mitochondria by either NAD+ or FAD+. As you have learned earlier, these FAD+ molecules can transport fewer ions; consequently, fewer ATP molecules are generated when FAD+ acts as a carrier. NAD+ is used as the electron transporter in the liver and FAD+ acts in the brain. Another factor that affects the yield of ATP molecules generated from glucose is the fact that intermediate compounds in these pathways are also used for other purposes. Glucose catabolism connects with the pathways that build or break down all other biochemical compounds in cells, and the result is somewhat messier than the ideal situations described thus far. For example, sugars other than glucose are fed into the glycolytic pathway for energy extraction. In addition, the five-carbon sugars that form nucleic acids are made from intermediates in glycolysis. Certain nonessential amino acids can be made from intermediates of both glycolysis and the citric acid cycle. Lipids, such as cholesterol and triglycerides, are also made from intermediates in these pathways, and both amino acids and triglycerides are broken down for energy through these pathways. Overall, in living systems, these pathways of glucose catabolism extract about 34 percent of the energy contained in glucose, with the remainder being released as heat. Access for free at https://openstax.org/books/biology-2e/pages/7-4-oxidative-phosphorylation Anaerobic Cellular Respiration In aerobic respiration, the final electron acceptor is an oxygen molecule, O2. If aerobic respiration occurs, then ATP will be produced using the energy of high-energy electrons carried by NADH or FADH2 to the electron transport chain. If aerobic respiration does not occur, NADH must be re-oxidized to NAD+ for reuse as an electron carrier for the glycolytic pathway to continue. In order to accomplish this, some living systems use an organic molecule as the final electron acceptor. Processes that use an organic molecule to regenerate NAD+ from NADH are collectively referred to as fermentation. In contrast, some living systems use an inorganic molecule as a final electron acceptor. Both methods are called anaerobic cellular respiration, in which organisms convert energy for their use in the absence of oxygen. Visit this site to see fermentation in action. Certain prokaryotes, including some species in the domains Bacteria and Archaea, use anaerobic respiration. For example, a group of archaeans called methanogens reduces carbon dioxide to methane to oxidize NADH. These microorganisms are found in the soil and in the digestive tracts of ruminants, such as cows and sheep. Similarly, sulfate-reducing bacteria, most of which are anaerobic (Figure 2.1.15), reduce sulfate to hydrogen sulfide to regenerate NAD+ from NADH. Lactic Acid Fermentation The fermentation method used by animals and certain bacteria, such as those in yogurt, is lactic acid fermentation (Figure 2.1.16). This type of fermentation is used routinely in mammalian red blood cells, which do not have mitochondria, and in skeletal muscle that has an insufficient oxygen supply to allow aerobic respiration to continue (that is, in muscles used to the point of fatigue). In muscles, lactic acid accumulation must be removed by the blood circulation, and when the lactic acid loses hydrogen, the resulting lactate is brought to the liver for further metabolism. The chemical reactions of lactic acid fermentation are the following: Pyruvic acid + NADH ↔ lactic acid + NAD+ The enzyme used in this reaction is lactate dehydrogenase (LDH). The reaction can proceed in either direction, but the reaction from left to right is inhibited by acidic conditions. Such lactic acid accumulation was once believed to cause muscle stiffness, fatigue, and soreness, although more recent research disputes this hypothesis. Once the lactic acid has been removed from the muscle and circulated to the liver, it can be reconverted into pyruvic acid and further catabolized for energy. Alcohol Fermentation Another familiar fermentation process is alcohol fermentation (Figure 2.1.17), which produces ethanol. The first chemical reaction of alcohol fermentation is the following (CO2 does not participate in the second reaction): pyruvic acid + H+ → CO2 + acetaldehyde + NADH + H+ → ethanol + NAD+ The first reaction is catalyzed by pyruvate decarboxylase, a cytoplasmic enzyme, with a coenzyme of thiamine pyrophosphate (TPP, derived from vitamin B1—thiamine). A carboxyl group is removed from pyruvic acid, releasing carbon dioxide as a gas. The loss of carbon dioxide reduces the size of the molecule by one carbon, producing acetaldehyde. The second reaction is catalyzed by alcohol dehydrogenase to oxidize NADH to NAD+ and reduce acetaldehyde to ethanol. The fermentation of pyruvic acid by yeast produces the ethanol found in alcoholic beverages. The ethanol tolerance of yeast is variable, ranging from about 5 percent to 21 percent, depending on the yeast strain and environmental conditions. Other Types of Fermentation Other fermentation methods take place in bacteria. We should note that many prokaryotes are facultatively anaerobic. This means that they can switch between aerobic respiration and fermentation, depending on the availability of free oxygen. Certain prokaryotes, such as Clostridia, are obligate anaerobes. Obligate anaerobes live and grow in the absence of molecular oxygen. Oxygen is a poison to these microorganisms and kills them on exposure. We should also note that all forms of fermentation, except lactic acid fermentation, produce gas. The production of particular types of gas is used as an indicator of the fermentation of specific carbohydrates, which plays a role in the laboratory identification of the bacteria. Various methods of fermentation are used by assorted organisms to ensure an adequate supply of NAD+ for the sixth step in glycolysis. Without fermentation, this step would not occur, and ATP could not be harvested from the breakdown of glucose. Access for free at https://openstax.org/books/biology-2e/pages/7-5-metabolism-without-oxygen Regulatory Mechanisms Cellular respiration must be regulated in order to provide balanced amounts of energy in the form of ATP. The cell also must generate a number of intermediate compounds that are used in the anabolism and catabolism of macromolecules. Without controls, metabolic reactions would quickly come to a standstill as the forward and backward reactions reached a state of equilibrium. Resources would be used inappropriately. A cell does not need the maximum amount of ATP that it can make all the time: At times, the cell needs to shunt some of the intermediates to pathways for amino acid, protein, glycogen, lipid, and nucleic acid production. In short, the cell needs to control its metabolism. A variety of mechanisms are used to control cellular respiration. Some type of control exists at each stage of glucose metabolism. Some reactions are controlled by having two different enzymes—one each for the two directions of a reversible reaction. Reactions that are catalyzed by only one enzyme can go to equilibrium, stalling the reaction. In contrast, if two different enzymes (each specific for a given direction) are necessary for a reversible reaction, the opportunity to control the rate of the reaction increases, and equilibrium is not reached. A number of enzymes involved in each of the pathways—in particular, the enzyme catalyzing the first committed reaction of the pathway—are controlled by the attachment of a molecule to an allosteric site on the protein. The molecules most commonly used in this capacity are the nucleotides ATP, ADP, AMP, NAD+, and NADH. These regulators—allosteric effectors—may increase or decrease enzyme activity, depending on the prevailing conditions. The allosteric effector alters the steric structure of the enzyme, usually affecting the configuration of the active site. This alteration of the protein’s (the enzyme’s) structure either increases or decreases its affinity for its substrate, with the effect of increasing or decreasing the rate of the reaction. The attachment signals to the enzyme. This binding can increase or decrease the enzyme’s activity, providing a feedback mechanism. This feedback type of control is effective as long as the chemical affecting it is attached to the enzyme. Once the overall concentration of the chemical decreases, it will diffuse away from the protein, and the control is relaxed. Visit this site to see an animation of the electron transport chain and ATP synthesis. Evolution Connection: Cellular respiration and Oxidative Phosphorylation and Photosynthesis The process of photosynthesis and cellular metabolism consists of several very complex pathways. It is generally thought that the first cells arose in an aqueous environment – a “soup” of nutrients – possibly on the surface of some porous clays, perhaps in the warm marine environment. An early form of photosynthesis developed that harnessed the sun’s energy using water as the source of hydrogen atoms, but this pathway did not produce free oxygen – anoxygenic photosynthesis. Another type of anoxygenic photosynthesis did not produce free oxygen because it did not use water as the source of hydrogen ions; instead, it used materials such as hydrogen sulfide and consequently produced sulfur. It is thought that glycolysis developed at this time and could take advantage of the simple sugars being produced but that these reactions were unable to fully extract the energy stored in the carbohydrates. The development of glycolysis probably predates the evolution of photosynthesis, as it was well suited to extract energy from materials spontaneously accumulating in the “primeval soup”. A later form of photosynthesis used water as a source of electrons and hydrogen and generated free oxygen. Over time, the atmosphere accumulated oxygen. This released oxygen caused metals to undergo oxidation in the oceans and created a “rust” layer in the sediment, permitting the dating of the rise of the first oxygen-producing phototrophs. Living things adapted to exploit this new atmosphere that allowed aerobic respiration as we know it to evolve. When the process of oxygenic photosynthesis evolved cells were finally able to use the oxygen expelled by photosynthesis to extract considerably more energy from the sugar molecules using the citric acid cycle and oxidative phosphorylation. Access for free at Access for free at https://openstax.org/books/biology-2e/pages/30-2-stems and https://openstax.org/books/biology-2e/pages/7-7-regulation-of-cellular-respiration Glossary acetyl CoA- combination of an acetyl group derived from pyruvic acid and coenzyme A, which is made from pantothenic acid (a B-group vitamin) ATP synthase - (also F1F0 ATP synthase) membrane-embedded protein complex that adds a phosphate to ADP with energy from protons diffusing through it Chemiosmosis - process in which there is a production of adenosine triphosphate (ATP) in cellular metabolism by the involvement of a proton gradient across a membrane dephosphorylation - removal of a phosphate group from a molecule Isomerase - enzyme that converts a molecule into its isomer phosphorylation - addition of a high-energy phosphate to a compound, usually a metabolic intermediate, a protein, or ADP prosthetic group - (also prosthetic cofactor) molecule bound to a protein that facilitates the function of the protein redox reaction - chemical reaction that consists of the coupling of an oxidation reaction and a reduction reaction substrate-level phosphorylation - production of ATP from ADP using the excess energy from a chemical reaction and a phosphate group from a reactant Ubiquinone - soluble electron transporter in the electron transport chain that connects the first or second complex to the third Attributions Biology 2e By Mary Ann Clark, Matthew Douglas, Jung Choi. OpenStax is licensed under Creative Commons Attribution License v4.0 Introduction to Organismal Biology at https://sites.gatech.edu/organismalbio/ is licensed under a Creative Commons Attribution-NonCommercial-ShareAlike 3.0 Unported License. Botany (Ha, Morrow, and Algiers) is shared under a CC BY-NC 4.0 license and was authored, remixed, and/or curated by Melissa Ha, Maria Morrow, & Kammy Algiers.	oercommons	2025-03-18T00:38:54.860163	null	{ "license": "Creative Commons - Attribution - https://creativecommons.org/licenses/by/4.0/", "url": "https://oercommons.org/courseware/lesson/84552/overview", "title": "Statewide Dual Credit Introduction to Plant Science, Plant Function", "author": null }
https://oercommons.org/courseware/lesson/87594/overview	2.3 Light Dependent Reaction 2.4 Light Independent Reaction 2.5 C4 & CAM Pathways as Means of Reducing Photorespiration 2.6 How Environmental Factors Affect Photosynthesis 2.7 The Energy Cycle 2_Photosynthesis Photosynthesis Overview Plastids; Kristian Peters -- Fabelfroh, CC BY-SA 3.0 <http://creativecommons.org/licenses/by-sa/3.0/>, via Wikimedia Commons Bear, Robert; Rintoul, David; Snyder, Bruce; Smith-Caldas, Martha; Herren, Christopher; and Horne, Eva, "Principles of Biology" (2016). Open Access Textbooks. 1. https://newprairiepress.org/textbooks/1 Did you have an idea for improving this content? We’d love your input. Introduction Learning Objectives - Explain the structure of chloroplast. - Describe the steps in the light-dependent reaction of photosynthesis. - Describe the steps in the light-independent reaction of photosynthesis. - Differentiate between C3, C4, and CAM photosynthesis. - List the effects of high-intensity and low-intensity light on photosynthesis. - Explain how plants adapt to changes in solar intensity. - List the drought and flood adaptations. - Explain how temperature, CO2 concentration, and air movement affect photosynthesis. Key Terms 3-phosphoglycerate - the first compound formed after CO2 assimilation by Rubisco Accessary pigment - light-absorbing pigments other than chlorophyll a C3 plants - plants in which the first product of CO2 fixation by Rubisco is a 3 carbon compound C4 plants - plants in which the first product of CO2 fixation is a 4 carbon compound CAM plants - plants that temporally separate light-dependent and light-independent reactions of photosynthesis Calvin cycle - light-independent reactions of photosynthesis that convert carbon dioxide from the atmosphere into carbohydrates using the energy and reducing power of ATP and NADPH Carbon fixation - a process of converting inorganic CO2 gas into organic compounds Carotenoid - photosynthetic pigment (yellow-orange-red) that functions to dispose of excess energy Chlorophyll - Two kinds of chlorophyll, a that absorb violet-blue and red light and consequently have a bluish-green color; the only pigment molecule that performs the photochemistry by getting excited and losing an electron to the electron transport chain; chlorophyll b is an accessory pigment that absorbs blue and red-orange light and consequently has a yellowish-green tint. Chloroplast - organelle in which photosynthesis takes place Cyclic photophosphorylation - ATP production by cyclic movement of electron through photosystem I Drought avoidance - adaptations in a plant that allow it to avoid drought conditions Drought tolerance - adaptations in a plant that allow it to survive under drought conditions Light-dependent reaction - the first stage of photosynthesis where certain wavelengths of the visible light are absorbed to form two energy-carrying molecules (ATP and NADPH) Light independent reaction - the second stage of photosynthesis, through which carbon dioxide is used to build carbohydrate molecules using energy from ATP and NADPH Light intensity - number of photons falling on a unit area of the leaf surface in unit time NADPH - the high-energy molecule Non-cyclic photophosphorylation - ATP and NADPH production by the movement of electrons through photosystem I and photosystem II Photolysis - the splitting of a water molecule in presence of sunlight Photosynthesis - the process by which autotrophs use sunlight, water, and CO2 to produce sugars Photosystem I - integral pigment and protein complex in thylakoid membranes that uses light energy to transport electrons from plastocyanin to NADP+ (which becomes reduced to NADPH in the process) Photosystem II - integral protein and pigment complex in thylakoid membranes that transports electrons from water to the electron transport chain; oxygen is a product of PSII Pigment - a molecule that is capable of absorbing certain wavelengths of light and reflecting others (which accounts for its color) secondary Pigment - same as an accessory pigment The metabolic processes in all organisms—from bacteria to humans—require energy. To get this energy, many organisms access stored energy by eating, that is, by ingesting other organisms. But where does the stored energy in food originate? All of this energy can be traced back to photosynthesis. Photosynthesis is essential to all life on earth; both plants and animals depend on it. It is the only biological process that can capture the energy that originates from sunlight and converts it into chemical compounds (carbohydrates) that every organism uses to power its metabolism. It is also a source of oxygen necessary for many living organisms. In brief, the energy of sunlight is “captured” to energize electrons, whose energy is then stored in the covalent bonds of sugar molecules. How long-lasting and stable are those covalent bonds? The energy extracted today by the burning of coal and petroleum products represents sunlight energy captured and stored by photosynthesis 350 to 200 million years ago during the Carboniferous Period. Plants, algae, and a group of bacteria called cyanobacteria are the only organisms capable of performing photosynthesis (figure 2.2.2). Because they use light to manufacture their own food, they are called photoautotrophs (literally, “self-feeders using light”). Other organisms—such as animals, fungi, and most other bacteria—are termed heterotrophs (“other feeders”), because they must rely on the sugars produced by photosynthetic organisms for their energy needs. A third very interesting group of bacteria synthesize sugars not by using sunlight’s energy but by extracting energy from inorganic chemical compounds. For this reason, they are referred to as chemoautotrophs. The importance of photosynthesis is not just that it can capture sunlight’s energy. In contrast, photosynthesis is vital because it evolved as a way to store the energy from solar radiation (the “photo-” part) to energy in the carbon-carbon bonds of carbohydrate molecules (the “-synthesis” part). Those carbohydrates are the energy source that heterotrophs use to power the synthesis of ATP via respiration. Therefore, photosynthesis powers 99 percent of Earth’s ecosystems. When a top predator, such as a wolf, preys on a deer, the wolf is at the end of an energy path that went from nuclear reactions on the surface of the sun, to visible light, to photosynthesis, to vegetation, to deer, and finally to the wolf. Photosynthesis is a multi-step process that requires specific wavelengths of visible sunlight, carbon dioxide (which is low in energy), and water as substrates (figure 2.2.3). After the process is complete, it releases oxygen and produces glyceraldehyde-3-phosphate (G3P), as well as simple carbohydrate molecules (high in energy) that can then be converted into glucose, sucrose, or any of dozens of other sugar molecules. These sugar molecules contain energy and the energized carbon that all living things need to survive. The following is the chemical equation for photosynthesis (figure 2.2.4): Although the equation in Figure 2.2.4. looks simple, the many steps that take place during photosynthesis are quite complex. Before learning the details of how photoautotrophs turn sunlight into food, it is important to become familiar with the structures involved. Access for free at https://openstax.org/books/biology-2e/pages/8-1-overview-of-photosynthesis Chloroplast In plants, photosynthesis generally takes place in leaves, which consist of several layers of cells. The process of photosynthesis occurs in a middle layer called the mesophyll. The gas exchange of carbon dioxide and oxygen occurs through small, regulated openings called stomata (singular: stoma), which also play roles in the regulation of gas exchange and water balance. The stomata are typically located on the underside of the leaf, which helps to minimize water loss due to high temperatures on the upper surface of the leaf. Each stoma is flanked by guard cells that regulate the opening and closing of the stomata by swelling or shrinking in response to osmotic changes. In all autotrophic eukaryotes, photosynthesis takes place inside an organelle called a chloroplast. For plants, chloroplast-containing cells exist mostly in the mesophyll. Chloroplasts have a double membrane envelope (composed of an outer membrane and an inner membrane) and are ancestrally derived from ancient free-living cyanobacteria. Within the chloroplast are stacked, disc-shaped structures called thylakoids. Embedded in the thylakoid membrane is chlorophyll, a pigment (a molecule that absorbs light) responsible for the initial interaction between light and plant material, and numerous proteins that make up the electron transport chain. The thylakoid membrane encloses an internal space called the thylakoid lumen. As shown in Figure 2.2.5, a stack of thylakoids is called a granum, and the liquid-filled space surrounding the granum is called stroma or “bed” (not to be confused with stoma or “mouth,” an opening on the leaf epidermis). The Two Parts of Photosynthesis Photosynthesis takes place in two sequential stages: light dependent reactions and light independent reactions. In light-dependent reactions, energy from sunlight is absorbed by chlorophyll and that energy is converted into stored chemical energy. In light-independent reactions, the chemical energy harvested during the light-dependent reactions drives the assembly of sugar molecules from carbon dioxide. Therefore, although the light-independent reactions do not use light as a reactant, they require the products of the light-dependent reactions to function. In addition, however, several enzymes of the light-independent reactions are activated by light. The light-dependent reactions utilize certain molecules to temporarily store the energy: these are referred to as energy carriers. The energy carriers that move energy from light-dependent reactions to light-independent reactions can be thought of as “full” because they are rich in energy. After the energy is released, the “empty” energy carriers return to the light-dependent reaction to obtain more energy. Figure 2.2.6 illustrates the components inside the chloroplast where light-dependent and light-independent reactions take place. Click the link to learn more about photosynthesis. Access for free at https://openstax.org/books/biology-2e/pages/8-1-overview-of-photosynthesis Light Dependent Reaction How can light energy be used to make food? When a person turns on a lamp, electrical energy becomes light energy. Like all other forms of kinetic energy, light can travel, change its form, and be harnessed to do work. In the case of photosynthesis, light energy is converted into chemical energy, which photoautotrophs use to build basic carbohydrate molecules (Figure 2.2.7). However, autotrophs only use a few specific wavelengths of sunlight. What Is Light Energy? The sun emits an enormous amount of electromagnetic radiation (solar energy in a spectrum from very short gamma rays to very long radio waves). How solar energy travels is described as waves. Scientists can determine the amount of energy of a wave by measuring its wavelength (represented by the Greek symbol lambda λ)—the distance between consecutive crest points of a wave (crest to crest or from trough to trough (figure 2.2.8). The frequency of a wavelength (represented by the Greek symbol nu n) is the number of crests or troughs passing a fixed point in unit time. Thus, for any electromagnetic wave, wavelength times frequency is equal to the speed of light (represented as C, equal to 3.0 X 108 m/s). C = λn Shorter wavelengths have more energy than longer wavelengths. The longer the wavelength, the less energy it carries. This may seem illogical but think of it in terms of a piece of moving heavy rope. It takes little effort by a person to move a rope in long, wide waves. To make a rope move in short, tight waves, a person would need to apply significantly more energy. Visible light constitutes only one of many types of electromagnetic radiation emitted from the sun and other stars. Scientists differentiate the various types of radiant energy from the sun within the electromagnetic spectrum. The electromagnetic spectrum is the range of all possible frequencies of radiation (Figure 2.2.9). The difference between wavelengths relates to the amount of energy carried by them. Electromagnetic radiations also exist as particles, called photons. All photons carry a definite amount of energy called quantum based on the wavelength. Photons are like packets of energy of an electromagnetic wave. Thus, frequency times Planck’s constant gives us the value of energy a photon is carrying. E = hn Where, h represents Planck’s constant (6.626 X 10-34 J s), n represents the frequency of the light. You can visualize photons as packet of sauces that you get at any fast-food restaurant, the spiciness depends on the kind of sauces that you picked (mild, medium, or hot). Each type of electromagnetic radiation travels at a particular wavelength. The electromagnetic spectrum (Figure 2.2.9) shows several types of electromagnetic radiation originating from the sun, including X-rays and ultraviolet (UV) rays. The higher-energy waves can penetrate tissues and damage cells and DNA, which explains why both X-rays and UV rays can be harmful to all living organisms. Absorption of Light Light energy initiates the process of photosynthesis when pigments absorb specific wavelengths of visible light. Organic pigments, of the chloroplast thylakoid, have a narrow range of energy levels that they can absorb. Energy levels lower than those represented by red light are insufficient to raise an orbital electron to an excited (quantum) state. Energy levels higher than those in blue light will physically tear the molecules apart, in a process called bleaching. Our retinal pigments can only “see” (absorb) wavelengths between 700 nm and 400 nm of light, a spectrum that is therefore called visible light. For the same reasons, pigment molecules in plants, absorb only light in the wavelength range of 700 nm to 400 nm; plant physiologists refer to this range for plants as photosynthetically active radiation (Figure 2.2.10). The visible light is seen by humans as white light exists in a rainbow of colors. Certain objects, such as a prism or a drop of water, disperse white light to reveal the colors to the human eye. The visible light portion of the electromagnetic spectrum shows the rainbow of colors, with violet and blue having shorter wavelengths, and therefore higher energy. At the other end of the spectrum toward red, the wavelengths are longer and have lower energy (Figure 2.2.11). Understanding Pigments Different kinds of pigments exist, and each absorbs only specific wavelengths (colors) of visible light. Pigments reflect or transmit the wavelengths they cannot absorb, making them appear a mixture of the reflected or transmitted light colors. Chlorophylls and carotenoids are the two major classes of photosynthetic pigments found in plants and algae; each class has multiple types of pigment molecules. There are five major chlorophylls: a, b, c, and d, as well as a related molecule found in prokaryotes called bacteriochlorophyll. Chlorophyll a and chlorophyll b are found in the chloroplast of higher plants. With dozens of different forms, carotenoids are a much larger group of pigments. The carotenoids found in fruit—such as the red of tomato (lycopene), the yellow of corn seeds (zeaxanthin), or the orange of an orange peel (β-carotene)—are used as advertisements to attract seed dispersers. In photosynthesis, carotenoids function as photosynthetic pigments that are very efficient molecules for the disposal of excess energy. When a leaf is exposed to full sun, the light-dependent reactions are required to process an enormous amount of energy; if that energy is not handled properly, it can do significant damage. Therefore, many carotenoids reside in the thylakoid membrane, absorb excess energy, and safely dissipate that energy as heat. Each type of pigment can be identified by the specific pattern of wavelengths it absorbs from visible light: This is termed the absorption spectrum. The graph in Figure 2.2.12 shows the absorption spectra for chlorophyll a, chlorophyll b, and a type of carotenoid pigment called β-carotene (which absorbs blue and green light). Notice how each pigment has a distinct set of peaks and troughs, revealing a highly specific pattern of absorption. Chlorophyll a absorbs wavelengths from either end of the visible spectrum (blue and red), but not green. Because green is reflected or transmitted, chlorophyll appears green. Carotenoids absorb in the short-wavelength blue region and reflect the longer yellow, red, and orange wavelengths. Many photosynthetic organisms have a mixture of pigments, and by using these pigments, the organism can absorb energy from a wider range of wavelengths. Not all photosynthetic organisms have full access to sunlight. Some organisms grow underwater where light intensity and quality decrease and change with depth. Other organisms grow in competition for light. Plants on the rainforest floor must be able to absorb any bit of light that comes through; this is because the taller trees absorb most of the sunlight and scatter the remaining solar radiation (Figure 2.2.13). When studying a photosynthetic organism, scientists can determine the types of pigments present by generating absorption spectra. An instrument called a spectrophotometer can differentiate which wavelengths of light a substance can absorb. A spectrophotometer measure transmitted light and compute from it the absorption. By extracting pigments from leaves and placing these samples into a spectrophotometer, scientists can identify which wavelengths of light an organism can absorb. Additional methods for the identification of plant pigments include various types of chromatography that separate the pigments by their relative affinities to solid and mobile phases. How Light-Dependent Reactions Work The overall function of light-dependent reactions is to convert solar energy into chemical energy in the form of NADPH and ATP. This chemical energy supports light-independent reactions and fuels the assembly of sugar molecules. The light-dependent reactions are depicted in Figure 2.2.14. Protein complexes and pigment molecules work together to produce NADPH and ATP. The numbering of the photosystems is derived from the order in which they were discovered, not in the order of the transfer of electrons. The actual step that converts light energy into chemical energy takes place in a multiprotein complex called a photosystem, two types of which are found embedded in the thylakoid membrane: photosystem II (PSII) and photosystem I (PSI) (Figure 2.2.15). The two complexes differ on the basis of what they oxidize (that is, the source of the low-energy electron supply) and what they reduce (the place to which they deliver their energized electrons). Both photosystems have the same basic structure; a number of antenna proteins to which the chlorophyll molecules are bound surrounding the reaction center where the photochemistry takes place. Each photosystem is serviced by the light-harvesting complex, which passes energy from sunlight to the reaction center; it consists of multiple antenna proteins that contain a mixture of 300 to 400 chlorophyll a and b molecules, as well as other pigments like carotenoids. The absorption of a single photon or distinct quantity or “packet” of light by any of the chlorophylls pushes that molecule into an excited state. In short, light energy has now been captured by biological molecules but is not stored in any useful form yet. The energy is transferred from chlorophyll to chlorophyll until eventually (after about a millionth of a second), it is delivered to the reaction center. Up to this point, only energy has been transferred between molecules, not electrons. The reaction center contains a pair of chlorophyll a that have a special property. Those two chlorophylls can undergo oxidation upon excitation; they can actually give up an electron in a process that is called a photoact. It is at this step in the reaction center, during photosynthesis, that light energy is converted into an excited electron. All of the subsequent steps involve getting that electron onto the energy carrier NADPH for delivery to the Calvin cycle where the electron is deposited onto carbon for long-term storage in the form of carbohydrate. PSII and PSI are two major components of the photosynthetic electron transport chain, which also includes the cytochrome complex. The cytochrome complex, an enzyme composed of two protein complexes, transfers the electrons from the carrier molecule plastoquinone (Pq) to the protein plastocyanin (Pc), thus enabling both the transfer of protons across the thylakoid membrane and the transfer of electrons from PSII to PSI. The reaction center of PSII (called P680) delivers its high-energy electrons, one at a time, to the primary electron acceptor, and through the electron transport chain (Pq to cytochrome complex to plastocyanin) to PSI. P680’s missing electron is replaced by extracting a low-energy electron from water; thus, water is “split” during this stage of photosynthesis, and PSII is re-reduced after every photoact. Splitting one H2O molecule releases two electrons, two hydrogen atoms, and one atom of oxygen. However, splitting two molecules is required to form one molecule of diatomic O2 gas. About 10 percent of the oxygen is used by mitochondria in the leaf to support oxidative phosphorylation. The remainder escapes to the atmosphere where it is used by aerobic organisms to support respiration. As electrons move through the proteins that reside between PSII and PSI, they lose energy. This energy is used to move hydrogen atoms from the stromal side of the membrane to the thylakoid lumen. Those hydrogen atoms, plus the ones produced by splitting water, accumulate in the thylakoid lumen and will be used to synthesize ATP in a later step. Because the electrons have lost energy prior to their arrival at PSI, they must be re-energized by PSI, hence, another photon is absorbed by the PSI antenna. That energy is relayed to the PSI reaction center (called P700). P700 is oxidized and sends a high-energy electron to NADP+ to form NADPH. Thus, PSII captures the energy to create proton gradients to make ATP, and PSI captures the energy to reduce NADP+ into NADPH. The two photosystems partly work in concert to guarantee that the production of NADPH will roughly equal the production of ATP. Other mechanisms exist to fine-tune that ratio to exactly match the chloroplast’s constantly changing energy needs. Generating an Energy Carrier: ATP As in the intermembrane space of the mitochondria during cellular respiration, the buildup of hydrogen ions inside the thylakoid lumen creates a concentration gradient. The passive diffusion of hydrogen ions from high concentration (in the thylakoid lumen) to low concentration (in the stroma) is harnessed to create ATP, just as in the electron transport chain of cellular respiration. The ions build up energy because of diffusion and because they all have the same electrical charge, repelling each other. To release this energy, hydrogen ions will rush through any opening, similar to water jetting through a hole in a dam. In the thylakoid, that opening is a passage through a specialized protein channel called the ATP synthase. The energy released by the hydrogen ion stream allows ATP synthase to attach a third phosphate group to ADP, which forms a molecule of ATP (Figure 2.2.15). The flow of hydrogen ions through ATP synthase is called chemiosmosis because the ions move from an area of high to an area of low concentration through a semi-permeable structure of the thylakoid. Visit the site and click through the animation to view the process of photosynthesis within a leaf. Access for free at https://openstax.org/books/biology-2e/pages/8-2-the-light-dependent-reactions-of-photosynthesis Light Independent Reaction After the energy from the sun is converted into chemical energy and temporarily stored in ATP and NADPH molecules, the cell has the fuel needed to build carbohydrate molecules for long-term energy storage. The products of the light-dependent reactions, ATP and NADPH—have lifespans in the range of millionths of seconds, whereas the products of the light-independent reactions (carbohydrates and other forms of reduced carbon) can survive almost indefinitely. The carbohydrate molecules made will have a backbone of carbon atoms. But where does the carbon come from? It comes from carbon dioxide—the gas that is a waste product of respiration in microbes, fungi, plants, and animals. In plants, carbon dioxide (CO2) enters the leaves through stomata, where it diffuses over short distances through intercellular spaces until it reaches the mesophyll cells. Once in the mesophyll cells, CO2 diffuses into the stroma of the chloroplast—the site of light-independent reactions of photosynthesis. These reactions actually have several names associated with them. One of those names, the Calvin cycle, is used to honor the man who discovered it, as well as because these reactions function as a cycle. Others call it the Calvin-Benson cycle to include the name of another scientist involved in its discovery. The most outdated name is “dark reaction,” which was used because light is not directly required (figure 2.2.16). The term dark reaction can be misleading because it implies incorrectly that the reaction only occurs at night or is independent of light, which is why most scientists and instructors no longer use it. The light-independent reactions of the Calvin cycle can be organized into three basic stages: fixation, reduction, and regeneration. Stage 1: Fixation In the stroma, in addition to CO2, two other components are present to initiate the light-independent reactions: an enzyme called ribulose-1,5-bisphosphate carboxylase/oxygenase (RuBisCO) and three molecules of ribulose bisphosphate (RuBP), as shown in Figure 2.2.17. RuBP has five atoms of carbon, flanked by two phosphates. RuBisCO catalyzes a reaction between CO2 and RuBP. Each RuBP molecule combines with one CO2 molecule producing one molecule of 1, 3-bisphosphoglycerate. This molecule splits into two molecules of 3-phosphoglyceric acid (3-PGA) or 3-phosphoglycerate. PGA has three carbons and one phosphate. Each turn of the cycle involves only one RuBP and one carbon dioxide and forms two molecules of 3-PGA. The number of carbon atoms remains the same, as the atoms move to form new bonds during the reactions: 3 C atoms from 3CO2 + 15 C atoms from 3RuBP = 18 C atoms in 6 molecules of 3-PGA This process is called carbon fixation because CO2 is “fixed” from an inorganic form into organic molecules. Since the first intermediate formed is a 3-C compound, plants that produce this compound are also called C3 plants About 85% of the plant species on the planet are C3 plants; some examples are rice, wheat, soybeans, and all trees. Stage 2: Reduction ATP and NADPH are used to convert the six molecules of 3-PGA into six molecules of a chemical called glyceraldehyde 3-phosphate (G3P). That is a reduction reaction because it involves the gain of electrons by 3-PGA. (Recall that a reduction is the gain of an electron by an atom or molecule.) Six molecules of both ATP and NADPH are used. For ATP, energy is released with the loss of the terminal phosphate atom, converting it into ADP; for NADPH, both energy and a hydrogen atom are lost, converting it into NADP+. Both of these molecules return to the nearby light-dependent reactions to be reused and re-energized. Stage 3: Regeneration Interestingly, at this point, only one of the G3P molecules leaves the Calvin cycle and is sent to the cytoplasm to contribute to the formation of other compounds needed by the plant. Because the G3P exported from the chloroplast has three carbon atoms, it takes three “turns” of the Calvin cycle to fix enough net carbon to export one G3P. But each turn makes two G3Ps, thus three turns make six G3Ps. One is exported while the remaining five G3P molecules remain in the cycle and are used to regenerate RuBP, which enables the system to prepare for more CO2 to be fixed. Three more molecules of ATP are used in these regeneration reactions. The process of photosynthesis has a theoretical efficiency of 30% (i.e., the maximum amount of chemical energy output would be only 30% of the solar energy input), but the efficiency is much lower in reality. It is only about 3% on cloudy days. Why is so much solar energy lost? There are a number of factors contributing to this energy loss, and one metabolic pathway that contributes to this low efficiency is photorespiration. During photorespiration, the key photosynthetic enzyme Rubisco (ribulose-1,5-bisphosphate carboxylase oxygenase) uses O2 as a substrate instead of CO2. This process uses up a considerable amount of energy without making sugars (Figure 2.2.18). When a plant has its stomata open (when CO2 is diffusing in while O2 and water are diffusing out), photorespiration is minimized because Rubisco has a higher affinity for CO2 than for O2 when air temperatures are below 30°C (86°F). However, when a plant closes its stomata during times of water stress and O2 from respiration builds up inside the cell, the rate of photorespiration increases because O2 is now more abundant inside the mesophyll. So, there is a tradeoff. Plants can leave the stomata open and risk drying out, or they can close the stomata, thereby reducing the uptake of CO2, and decreasing the efficiency of photosynthesis. In addition, Rubisco has a higher affinity for O2 when temperatures increase, which means that C3 plants use more energy (ATP) for photorespiration at higher temperatures. Access for free at https://openstax.org/books/biology-2e/pages/8-3-using-light-energy-to-make-organic-molecules C4 & CAM Pathways as Means of Reducing Photorespiration The C4 and CAM pathways for fixing CO2 are two adaptations that improve the efficiency of photosynthesis, by ensuring that Rubisco encounters high CO2 concentrations and thus reduces photorespiration. These two photosynthetic adaptations for fixing CO2 have evolved independently several times in species that evolved from wet and dry, but typically warm climates. Why have these mechanisms evolved independently so many times? Plants that minimize photorespiration may have a significant competitive advantage because a considerable amount of energy (in the form of ATP) is lost in plants during photorespiration. In many environments, plants that use solar energy more efficiently should out-compete those which are less efficient. C4 Pathway Many angiosperms have developed adaptations that minimize the losses to photorespiration. They all use a supplementary method of CO2 uptake which initially forms a four-carbon molecule compared to the two three-carbon molecules that are initially formed in the C3 pathway. Hence, these plants are called C4 plants. Note that C4 plants will eventually conduct the light-independent reactions (C3 pathway), but they form a four-carbon molecule first. C4 plants have structural changes in their leaf anatomy (Kranz anatomy) so that synthesizing the four-carbon sugar (the C4 pathway) and resuming the light-independent reactions (C3 pathways) are separated in different parts of the leaf with RuBisCO sequestered in bundle sheath cells, where the CO2 level is high and the O2 level low. After entering through the stomata, CO2 diffuses into a mesophyll cell (Figure 2.2.19; Figure 2.2.20). Being close to the leaf surface, these cells are exposed to high levels of O2, but they have no RuBisCO so cannot start photorespiration (nor the light-independent reactions). How does this work? Atmospheric CO2 is fixed in the mesophyll cells as a simple 4-carbon organic acid (malate) by an enzyme that has no affinity for O2. Malate is then transported to the bundle sheath cells. Inside the bundle sheath, malate is oxidized to a 3-C organic acid, and in the process, 1 molecule of CO2 is produced from every malate molecule (Figure 2.2.21). The CO2 is then fixed by Rubisco into sugars, via the Calvin cycle, exactly as in C3 photosynthesis. There is an additional cost of two ATPs associated with moving the three-carbon “ferry” molecule from the bundle sheath cell back to the mesophyll to pick up another molecule of atmospheric CO2. Since the spatial separation in bundle-sheath cells minimizes O2 concentrations in the locations where Rubisco is located, photorespiration is minimized (Figure 2.2.21). This arrangement of cells reduces photorespiration and increases the efficiency of photosynthesis for C4 plants. In addition, C4 plants require about half as much water as a C3 plant. The reason C4 plants require less water is that the physical shape of the stomata and leaf structure of C4 plants helps reduce water loss by developing a large CO2 concentration gradient between the outside of the leaf (400 ppm) and the mesophyll cells (10 ppm). The large CO2 concentration gradient reduces water loss via transpiration through the stomata. These C4 plants are well adapted to (and likely to be found in) habitats with high daytime temperatures and intense sunlight. Because they use the C4 pathway to prevent photorespiration, they do not have to open their stomata to the same extent as C3 plants and can thus conserve water. Some examples are crabgrass, corn (maize), sugarcane, and sorghum. Although comprising only ~3% of the angiosperms by species, C4 plants are responsible for ~25% of all the photosynthesis on land. CAM Many plants such as cacti and pineapples, which are adapted to arid environments, use different energy and water-saving pathway called crassulacean acid metabolism (CAM). This name comes from the family of plants (Crassulaceae) in which scientists first discovered the pathway. Instead of spatially separating the light-dependent reactions and the use of CO2 in the Calvin cycle, CAM plants separate these processes temporally (Figure 2.2 22). At night, CAM plants open their stomata, and an enzyme in the mesophyll cells fixes the CO2 as an organic acid; then, they store the organic acid in vacuoles until morning. During the day the light-dependent reactions supply the ATP and NADPH necessary for the Calvin cycle to function, and the CO2 is released from those organic acids in order to make sugars. Plant species using CAM photosynthesis are the most water-efficient of all; the stomata are only open at night when humidity is typically higher, and the temperatures are much cooler (which serves to lower the diffusive gradient driving water loss from leaves). The CAM pathway is primarily an adaptation to water-limited environments; the fact that this pathway also stops photorespiration is an added benefit. Overall, C3, C4 and CAM plants all use the Calvin cycle to make sugars from CO2. Table 2.2.1, list the various ways in which plants fix CO2 and the advantages and disadvantages associated with the various mechanisms and the habitats where plants are found. \| C3 plant \| C4 plant \| CAM Plant \| cost \| photorespiration \| The cost in terms of ATP associated with fixing carbon is double. Carbon fixation is less efficient under cold conditions. \| Reduced amount of fixed carbon, stomata only open at night \| benefits \| Carbon fixation without using ATP \| Reduced photorespiration and ability to fix Carbon under high temperatures and reduced water loss \| Reduced photorespiration and reduced water loss \| Separation of light-dependent reactions and carbon fixation \| None, all of these reactions occur in the same cells \| Spatial, these two sets of reactions occur in different cells \| Temporal, these two sets of reactions occur at different times of day \| This link explains why C4 plants can start with an alternative enzyme (PEP carboxylase) and CAM plants can alter the timing of their Calvin cycle processes to avoid/minimize O2 use and water loss. This link leads to an animation of photosynthesis and the Calvin cycle. How Environmental Factors Affect Photosynthesis In the previous section, we learn how light has both wave and particle properties as well as how photons are utilized in photosynthesis. Plants grow in diverse climates and under ever-changing environmental conditions. The rate of photosynthesis also changes with changing environmental conditions. This change in photosynthetic rate directly affects crop yield. In this section, we will briefly discuss how light intensity, the concentration of CO2, high and low temperatures, water availability, and air movement affect photosynthesis. Light Intensity In photosynthesis, irradiance or intensity can be measured as the number of photons falling on a unit area of the leaf surface in unit time. We already know that the energy of a photon depends on the wavelength. Photosynthesis-irradiance curve (figure 2.2.23) depicts how with increasing light intensity, the rate of photosynthesis continues to increase (left portion of the graph) until it reaches a saturation point (middle portion showing flat line or plateau) and then drops (right portion of the graph). This drop in the rate of photosynthesis is due to many factors, such as CO2 concentration, temperatures change, and water conditions. When exposure to high-intensity light causes damage to photosystem II, it is called photoinhibition (Figure 2.2.24). Few mechanisms that plants use to prevent photoinhibition. - Paraheliotropism: For efficient photosynthesis, plants orient their leaves perpendicular to the incident light. To reduce the damage from photoinhibition, some plant that exhibits paraheliotropism, orient their leaves parallel to the plane of incident light. - Chloroplast movement: cytoplasmic streaming or cyclosis has been observed in algae, mosses as well as in the leaves of higher plants. Elements of the cytoskeleton (Unit 1, lesson 1, The cell) participate in cytoplasmic streaming and move organelles such as chloroplast around the plant cell. Cytoplasmic streaming leads to changes in the location and orientation of chloroplast. Repositioning of chloroplast blocks the over-exposure to high-intensity light and prevents photoinhibition. Click this link provide to see cytoplasmic streaming in elodea leaves. - Xanthophyll cycle: If too much light is absorbed, the pH gradient developed across the thylakoid membranes becomes greater. This is sensed by a protein, PsbS, and through subsequent conformational changes transmitted through the light-harvesting antennae, the excess light energy must be dissipated as thermal energy. Molecules called xanthophylls (synthesized from carotenes - vitamin A precursors) such as zeaxanthin are important in excess energy dissipation. These molecules appear to cause excited-state chlorophyll (singlet-like excited state dioxygen) to become de-excited (Figure 2.2.25). Without the xanthophylls, the excited state chlorophyll could deexcite by transfer of energy to ground state triplet dioxygen, promoting it to the singlet, reactive state, which through electron acquisition, could also be converted to superoxide. These reactive oxygen species (ROS) can lead to oxidative damage to proteins, lipids, and nucleic acids, alteration in gene transcription, and even programmed cell death. Carotenoids can also act as ROS scavengers. Hence both heat dissipation and inhibition of the formation of ROS (by such molecules as vitamin E) are both mechanisms of defense against excessive solar energy. - Sun and shade leave: Plants show variation in the size and thickness of their leaves. Sun leaves are smaller and thicker than shade leaves. Thicker cuticle, more palisade parenchyma cells or layers, and more vascular tissues are observed in the sun leaves. This makes sun leaves more efficient in capturing high-intensity light while preventing water loss via stomata due to transpiration. Shade leaves are larger. This increased surface area in shade leaves increases the absorption of light (Figure 2.2.26). CO2 concentration The partial pressure of CO2 is identical in the atmosphere. C4 plants evolved anatomical structures called Kranz anatomy. (figure 2.2.19; unit 2 lesson 2 section 5) to concentrate CO2 while CAM plants separate CO2 fixation temporally. The rate of photosynthesis increases with increasing CO2 concentration only if stomata remain open. The opening and closing of stomata depend on the ratio of the rate of water loss by transpiration to the rate of CO2 fixation. Many factors affect this ratio. Under high CO2 concentrations, the components of light-independent reactions (RuBisCo enzyme, regeneration of Ribulose-1, 5-bisphosphate) are saturated and the rate of photosynthesis cannot be increased any further. The availability of ATP and NADPH from light-dependent reactions also limits the rate of CO2 fixation under high CO2 conditions. Photorespiration is likely to occur under low CO2 concentrations inside the leaf. Wind speed When winds are calm, the rate of exchange of CO2 and water vapor via stomata is slower than when there is a breeze or a gust. The rate of exchange of gases depends on the thickness of the boundary layer, a layer of stagnant air around the leaf. A breeze or a gust disrupts the boundary layer and helps in increasing the rate of gas exchange thus enhancing the rate of diffusion of CO2 into the leaves. The increased rate of CO2 diffusion supports a higher rate of photosynthesis. Similarly, on humid days, the rate of exchange of water vapor and CO2 goes down decreasing the rate of photosynthesis. Temperature Low and high temperatures are relative to the range of temperature where a plant is growing. The temperature range for photosynthesis is wide, 59°F to 104°F. Rate of photosynthesis increases as the temperature rises, but only up to a certain level. Plants grow in different climates and under a wide range of temperatures and are well adapted to the temperature fluctuations in the area. The probability of photorespiration increases with high temperatures. This is because, at high temperatures, RuBisCO has a lower affinity for CO2. Lower temperatures bring down the activity of multiple enzymes involved in photosynthesis as well as transport in phloem and xylem. Water availability As we already know, plants grow in different climates and are well adapted to the environmental conditions of those regions. Low water conditions or drought conditions disrupt the water potential of the cells and thus affect all functions including photosynthesis. Remember, CO2 exchange occurs via stomata. To do photosynthesis plants must open stomata and this can cause further aggravate the water stress. Depending on the species and climate, plants show many adaptations to avoid water loss, such as sunken stomata, thick waxy cuticle, fewer stomata, deep roots, water storage in roots or other parts of the plant, reduced growth, smaller or reduced leaf to decrease the surface area for transpiration or in some cases complete loss of leaves, for example, spines on cacti are reduced leaves. Some plants called xerophytes are naturally tolerant to drought and can survive under extreme drought conditions. Draught-tolerant plants continue to grow and function under severe drought conditions. Whereas plants that germinate, grow, and reproduce only when water is available are called drought-avoiding plants. Flooding also reduces the rate of photosynthesis. Roots are non-photosynthetic and depend on cellular respiration to support all functions. When submerged under water for long periods roots face oxygen scarcity. Many plants develop spaces or channels within tissue to store diffused air from aerial parts of the plant. For example, water lilies develop aerenchyma (figure 2.2.27). Many plants develop adventitious roots, roots growing from stems or other parts of plants above the water level. Intertidal zones are areas of seashore where land is submerged during high tide and exposed during low tide. Mangroves are well adapted to overcome the effects of flooding due to high tides. Mangroves grow aerial roots called pneumatophores (Figure 2.2.28) that grow upwards and stick out of the water surface. Numerous lenticels cover the surface of these roots to aid in O2 absorption. Lenticels (Figure 2.2.29) are openings in the bark, made up of cells that are permeable to O2 due to a lack of suberin deposition. Some plants, such as rice and cottonwood germinate as well as grow well under flooded conditions. The Energy Cycle Whether the organism is a bacterium, plant, or animal, all living things access energy by breaking down carbohydrates and other carbon-rich organic molecules. But if plants make carbohydrate molecules, why would they need to break them down, especially when it has been shown that the gas organisms release as a “waste product” (CO2) acts as a substrate for the formation of more food in photosynthesis? Remember, living things need the energy to perform life functions. In addition, an organism can either make its own food or eat another organism—either way, the food still needs to be broken down. Finally, in the process of breaking down food, called cellular respiration, heterotrophs release needed energy and produce “waste” in the form of CO2 gas. However, in nature, there is no such thing as “waste.” Every single atom of matter and energy is conserved and recycled over and over infinitely. Substances change the form or move from one type of molecule to another, but their constituent atoms never disappear (Figure 8.2.30). In reality, CO2 is no more a form of waste than oxygen is wasteful to photosynthesis. Both are byproducts of reactions that move on to other reactions. Photosynthesis absorbs light energy to build carbohydrates in chloroplasts, and aerobic cellular respiration releases energy by using oxygen to metabolize carbohydrates in the cytoplasm and mitochondria. Both processes use electron transport chains to capture the energy necessary to drive other reactions. These two powerhouse processes, photosynthesis and cellular respiration (Figure 2.2.31), function in biological, cyclical harmony to allow organisms to access life-sustaining energy that originates millions of miles away in a burning star humans call the sun. Everyday Connection: Photosynthesis at the Grocery Store Major grocery stores in the United States are organized into departments, such as dairy, meats, produce, bread, cereals, and so forth. Each aisle (figure 2.2.32) contains hundreds, if not thousands, of different products for customers to buy and consume. Although there is a large variety, each item ultimately can be linked back to photosynthesis. Meats and dairy link because the animals were fed plant-based foods The bread, cereals, and pasta come largely from starchy grains, which are the seeds of photosynthesis in plants. What about desserts and drinks? All of these products contain sugar – sucrose in a plant product, a disaccharide, a carbohydrate molecule, which is built directly from photosynthesis. Moreover, many items are less obviously derived from plants: paper goods are generally plant products and many plastics (abundant as products and packaging) are derived from “algae” (unicellular photosynthesizing protozoans and cyanobacteria). Virtually every specie and flavoring in the spice aisle was produced by a plant as a leaf, root, bark, flower, fruit, or stem. Ultimately, photosynthesis connects to every meal and every food a person consumes. Access for free at https://openstax.org/books/biology-2e/pages/8-3-using-light-energy-to-make-organic-molecules Attributions Biology 2e By Mary Ann Clark, Matthew Douglas, Jung Choi. OpenStax is licensed under Creative Commons Attribution License v4.0 Introduction to Organismal Biology at https://sites.gatech.edu/organismalbio/ is licensed under a Creative Commons Attribution-NonCommercial-ShareAlike 3.0 Unported License. Botany (Ha, Morrow, and Algiers) is shared under a CC BY-NC 4.0 license and was authored, remixed, and/or curated by Melissa Ha, Maria Morrow, & Kammy Algiers. Bear, Robert; Rintoul, David; Snyder, Bruce; Smith-Caldas, Martha; Herren, Christopher; and Horne, Eva, "Principles of Biology" (2016). Open Access Textbooks. 1. https://newprairiepress.org/textbooks/1 Glossary absorption spectrum - range of wavelengths of electromagnetic radiation absorbed by a given substance antenna protein - pigment molecule that directly absorbs light and transfers the energy absorbed to other pigment molecules Calvin cycle - light-independent reactions of photosynthesis that convert carbon dioxide from the atmosphere into carbohydrates using the energy and reducing power of ATP and NADPH carbon fixation - process of converting inorganic CO2 gas into organic compounds carotenoid - photosynthetic pigment (yellow-orange-red) that functions to dispose of excess energy chemoautotroph - organism that can build organic molecules using energy derived from inorganic chemicals instead of sunlight chlorophyll a - form of chlorophyll that absorbs violet-blue and red light and consequently has a bluish-green color; the only pigment molecule that performs the photochemistry by getting excited and losing an electron to the electron transport chain chlorophyll b - accessory pigment that absorbs blue and red-orange light and consequently has a yellowish-green tint chloroplast - organelle in which photosynthesis takes place cytochrome complex - group of reversibly oxidizable and reducible proteins that forms part of the electron transport chain between photosystem II and photosystem I electromagnetic spectrum - range of all possible frequencies of radiation electron transport chain - group of proteins between PSII and PSI that pass energized electrons and use the energy released by the electrons to move hydrogen ions against their concentration gradient into the thylakoid lumen granum - stack of thylakoids located inside a chloroplast heterotroph - organism that consumes organic substances or other organisms for food light harvesting complex - complex that passes energy from sunlight to the reaction center in each photosystem; consists of multiple antenna proteins that contain a mixture of 300 to 400 chlorophyll a and b molecules, as well as other pigments like carotenoids light-dependent reaction - first stage of photosynthesis where certain wavelengths of the visible light are absorbed to form two energy-carrying molecules (ATP and NADPH) light-independent reaction - second stage of photosynthesis, through which carbon dioxide is used to build carbohydrate molecules using energy from ATP and NADPH mesophyll - middle layer of chlorophyll-rich cells in a leaf P680 - reaction center of photosystem II P700 - reaction center of photosystem I photoact - ejection of an electron from a reaction center using the energy of an absorbed photon photoautotroph - organism capable of producing its own organic compounds from sunlight photon - distinct quantity or “packet” of light energy photosystem - group of proteins, chlorophyll, and other pigments that are used in the light-dependent reactions of photosynthesis to absorb light energy and convert it into chemical energy photosystem I - integral pigment and protein complex in thylakoid membranes that uses light energy to transport electrons from plastocyanin to NADP+ (which becomes reduced to NADPH in the process) photosystem II - integral protein and pigment complex in thylakoid membranes that transports electrons from water to the electron transport chain; oxygen is a product of PSII pigment - molecule that is capable of absorbing certain wavelengths of light and reflecting others (which accounts for its color) primary electron acceptor - pigment or other organic molecule in the reaction center that accepts an energized electron from the reaction center reaction center - complex of chlorophyll molecules and other organic molecules that is assembled around a special pair of chlorophyll molecules and a primary electron acceptor, capable of undergoing oxidation and reduction reduction - gain of electron(s) by an atom or molecule spectrophotometer - instrument that can measure transmitted light and compute the absorption stoma - opening that regulates gas exchange and water evaporation between leaves and the environment, typically situated on the underside of leaves stroma - fluid-filled space surrounding the grana inside a chloroplast where the light-independent reactions of photosynthesis take place thylakoid - disc-shaped, membrane-bound structure inside a chloroplast where the light-dependent reactions of photosynthesis take place; stacks of thylakoids are called grana thylakoid lumen - aqueous space bound by a thylakoid membrane where protons accumulate during light-driven electron transport wavelength - distance between consecutive points of equal position (two crests or two troughs) of a wave in a graphic representation; inversely proportional to the energy of the radiation	oercommons	2025-03-18T00:38:55.025998	null	{ "license": "Creative Commons - Attribution - https://creativecommons.org/licenses/by/4.0/", "url": "https://oercommons.org/courseware/lesson/87594/overview", "title": "Statewide Dual Credit Introduction to Plant Science, Plant Function", "author": null }
https://oercommons.org/courseware/lesson/87595/overview	3.3 Movement of Water and Minerals in the Roots 3.4 Movement of Water Against Gravity 3.5 Control of Transpiration 3_Water-Movement-in-Xylem Water Movement in Xylem Overview Photohound, Public domain, via Wikimedia Commons Did you have an idea for improving this content? We’d love your input. Introduction Learning Objectives - Identify the components of water potential. - Define transpiration. - Explain the cohesion tension theory of xylem transport. Key Terms adhesion - the attraction between water molecules and other molecules apoplastic movement - the movement of water along with dissolved ions in the space between the cell wall and plasma membrane capillary rise - the tendency of a liquid to move up against gravity when confine within a narrow tube cation exchange capacity - the measure of the total amount of changeable positive ions that a soil can hold central vacuole - large plant cell organelle that regulates the cell's storage compartment, holds water and plays a significant role in cell growth as the site of macromolecule degradation cohesion tension theory - is the hypothesis that explains the movement of water up the xylem vessels using the physical properties of water and the process of transpiration electronegativity - the ability of a compound or particle to attract electrons evaporation - the process by which water changes from a liquid to a gas or vapor hydrologic cycle - the continuous circulation of water from land and sea to the atmosphere and back again stomata - an opening on the leaf surface for the exchange of CO2 and water vapor symplastic movement - the movement of water along with the dissolved ions from the cytoplasm of one cell into the next cell via plasmodesmata that physically join different plant cells translocation - mass transport of photosynthates from source to sink in the phloem of vascular plants transmembrane movement - the movement of water along with the dissolved ions from outside of the cell to inside across the plasma membrane transpiration - loss of water vapor to the atmosphere through stomata turgor pressure - the outward pressure generated by the inflow of water via osmosis across the semipermeable plasma membrane causing the plasma membrane to swell and push against the cell wall water potential - the potential energy of a water solution per unit volume in relation to pure water at atmospheric pressure and ambient temperature The structure of plant roots, stems, and leaves facilitate the transport of water, nutrients, and photosynthates throughout the plant. The phloem and xylem are the main tissues responsible for this movement. Water potential, evapotranspiration, and stomatal regulation influence how water and nutrients are transported in plants. To understand how these processes work, we must first understand the energetics of water potential. Water Potential Plants are phenomenal hydraulic engineers. Using only the basic laws of physics and the simple manipulation of potential energy, plants can move water to the top of a 116-meter-tall tree. Plants can also use hydraulics to generate enough force to split rocks and buckle sidewalks (Figure 2.3.1). Plants achieve this because of water potential. Water potential is a measure of the potential energy in water—specifically, water movement between two systems. Water potential can be defined as the difference in potential energy between any given water sample and pure water (at atmospheric pressure and ambient temperature). Water potential is denoted by the Greek letter Ψ (psi) and is expressed in units of pressure (pressure is a form of energy) called megapascals (MPa). The potential of pure water (Ψpure H2O) is designated a value of zero (even though pure water contains plenty of potential energy, that energy is ignored). Water potential values for the water in a plant root, stem, or leaf are expressed relative to Ψpure H2O. The water potential measurement combines the effects of solute concentration (S) and pressure (P): Ψwater = ΨS + ΨP where Ψs = solute potential, and Ψp = pressure potential. The addition of more solutes will decrease the water potential, and the removal of solutes will increase the water potential. The addition of pressure will increase the water potential, and the removal of the pressure (creation of a vacuum) will decrease the water potential. Water always moves from a region of high water potential to an area of low water potential, until it equilibrates the water potential of the system. At equilibrium, there is no difference in water potential on either side of the system (the difference in water potential is zero). For water to move through the plant from the soil to the air (a process called transpiration), Ψsoil must be > Ψroot > Ψstem > Ψleaf > Ψatmosphere. Let’s consider solute and pressure potential in the context of plant cells: Solute potential (Ψs), also called osmotic potential, is negative in a plant cell and zero in distilled water, because solutes reduce water potential to a negative Ψs. The internal water potential of a plant cell is more negative than pure water because of the cytoplasm’s high solute content. Because of this difference in water potential, water will move from the soil into a plant’s root cells via the process of osmosis. This is why solute potential is sometimes called osmotic potential. Plant cells can metabolically manipulate Ψs by adding or removing solute molecules (figure 2.3.2). Pressure potential (Ψp), also called turgor potential, may be positive or negative. Positive pressure (compression) increases Ψp, and negative pressure (vacuum) decreases Ψp. Positive pressure inside cells is contained by the rigid cell wall, producing turgor pressure. Pressure potentials can reach as high as 1.5 MPa in a well-watered plant. A Ψp of 1.5 MPa equates to 210 pounds per square inch (psi); for comparison, most automobile tires are kept at a pressure of 30-34 psi. A plant can manipulate Ψp via its ability to manipulate Ψs, as well as by the process of osmosis. If a plant cell increases the cytoplasmic solute concentration, Ψs will decline, water will move into the cell by osmosis, and Ψp will increase. Ψp is also under indirect plant control via the opening and closing of stomata. Stomatal openings allow water to evaporate from the leaf, reducing Ψp and Ψtotal of the leaf and increasing the water potential difference between the water in the leaf and the petiole, thereby allowing water to flow from the petiole into the leaf (figure 2.3.2). This video provides an overview of water potential, including solute and pressure potential. And this video describes how plants manipulate water potential to absorb water and how water and minerals move through the root tissues. Access for free at https://openstax.org/books/biology-2e/pages/30-5-transport-of-water-and-solutes-in-plants Movement of Water and Minerals in the Roots Negative water potential continues to drive movement once water (and minerals) are inside the root; Ψ of the soil is much higher than Ψ or the root, and Ψ of the cortex (ground tissue) is much higher than Ψ of the stele (location of the root vascular tissue). Once the water has been absorbed by a root hair, it moves through the ground tissue through one of three possible routes before entering the plant’s xylem: - the symplast “Sym” means “same” or “shared,” so symplast is shared cytoplasm. In this pathway, water and minerals move from the cytoplasm of one cell into the next, via plasmodesmata that physically join different plant cells until eventually reaching the xylem (Figure 2.3.4). - the transmembrane pathway In this pathway, water moves through water channels present in the plant cell plasma membranes, from one cell to the next, until eventually reaching the xylem (Figure 2.3.4). - the apoplast “A” means “outside of,” so the apoplast is outside of the cell. In this pathway, water and dissolved minerals never move through a cell’s plasma membrane; instead, they travel through the porous cell walls that surround plant cells (Figure 2.3.4.). Movement of Water Against Gravity How is water transported up a plant against gravity, when there is no “pump” to move water through a plant’s vascular tissue? There are three hypotheses that explain the movement of water up a plant against gravity. These hypotheses are not mutually exclusive, and each contributes to the movement of water in a plant, but only one can explain the height of tall trees: - Root pressure pushes water up. - Capillary action draws water up within the xylem. - Cohesion-tension pulls water up the xylem. We’ll consider each of these in turn. Root pressure relies on positive pressure that forms in the roots as water moves into the roots from the soil. Water moves into the roots from the soil by osmosis, due to the low solute potential in the roots (lower Ψs in roots than in soil). This intake of water in the roots increases Ψp in the root xylem, driving water up. In extreme circumstances, root pressure results in guttation—or secretion of water droplets from stomata in the leaves. However, root pressure can only move water against gravity by a few meters, so it is not strong enough to move water up the height of a tall tree. Capillary action or capillarity is the tendency of a liquid to move up against gravity when confined within a narrow tube (capillary). Capillarity occurs due to three properties of water: - Surface tension occurs because hydrogen bonding between water molecules is stronger at the air-water interface than among molecules within the water. - Adhesion is the molecular attraction between “unlike” molecules. In the case of the xylem, adhesion occurs between water molecules and the molecules of the xylem cell walls. - Cohesion is the molecular attraction between “like” molecules. In water, cohesion occurs due to hydrogen bonding between water molecules. On its own, capillarity can work well within a vertical stem for up to approximately 1 meter, so it is not strong enough to move water up a tall tree. This video provides an overview of the important properties of water that facilitate this movement. The cohesion-tension hypothesis (Figure 2.3.7.) is the most widely accepted model for the movement of water in vascular plants. Cohesion-tension essentially combines the process of capillary action with transpiration, or the evaporation of water from the plant stomata. Transpiration is ultimately the main driver of water movement in the xylem. The cohesion-tension model works like this: - Transpiration (evaporation) occurs because stomata are open to allow the gas exchange for photosynthesis. As transpiration occurs, it deepens the meniscus of water in the leaf, creating negative pressure (also called tension or suction). - The tension created by transpiration “pulls” water in the plant xylem, drawing the water upward in much the same way that you draw water upward when you suck on a straw. - Cohesion (water sticking to each other) causes more water molecules to fill the gap in the xylem as the top-most water is pulled toward the stomata. Here is a bit more detail on how this process works: Inside the leaf at the cellular level, water on the surface of mesophyll cells saturates the cellulose microfibrils of the primary cell wall. The leaf contains many large intercellular air spaces for the exchange of oxygen for carbon dioxide, which is required for photosynthesis. The wet cell wall is exposed to this leaf's internal air space, and the water on the surface of the cells evaporates into the air spaces, decreasing the thin film on the surface of the mesophyll cells. This decrease creates a greater tension on the water in the mesophyll cells, thereby increasing the pull on the water in the xylem vessels. The xylem vessels and tracheids are structurally adapted to cope with large changes in pressure. Rings in the vessels maintain their tubular shape, much like the rings on a vacuum cleaner hose keep the hose open while it is under pressure. Small perforations between vessel elements reduce the number and size of gas bubbles that can form via a process called cavitation. The formation of gas bubbles in the xylem interrupts the continuous stream of water from the base to the top of the plant, causing a break termed an embolism in the flow of xylem sap. The taller the tree, the greater the tension forces needed to pull water, and the more cavitation events. In larger trees, the resulting embolisms can plug xylem vessels, making them non-functional. Control of Transpiration Transpiration is a passive process, meaning that ATP is not required for water movement. The energy that drives transpiration is the water potential difference between the water in the soil and the water in the atmosphere. However, transpiration is tightly controlled. The atmosphere to which the leaf is exposed drives transpiration, but it also causes massive water loss from the plant. Up to 90 percent of the water taken up by roots may be lost through transpiration. Leaves are covered by a waxy cuticle on the outer surface that prevents the loss of water. Regulation of transpiration, therefore, is achieved primarily through the opening and closing of stomata on the leaf surface. stomata are surrounded by two specialized cells called guard cells, which open and close in response to environmental cues such as light intensity and quality, leaf water status, and carbon dioxide concentrations. Stomata must open to allow air containing carbon dioxide and oxygen to diffuse into the leaf for photosynthesis and respiration. When stomata are open, however, water vapor is lost to the external environment, increasing the rate of transpiration. Therefore, plants must maintain a balance between efficient photosynthesis and water loss. Plants have evolved over time to adapt to their local environment and reduce transpiration. Desert plants (xerophytes) and plants that grow on other plants (epiphytes) have limited access to water. Such plants usually have a much thicker waxy cuticle than those growing in more moderate, well-watered environments (mesophytes). Aquatic plants (hydrophytes) also have their own set of anatomical and morphological leaf adaptations. Xerophytes and epiphytes often have a thick covering of trichomes or of stomata that are sunken below the leaf’s surface. Trichomes are specialized hair-like epidermal cells that secrete oils and substances. These adaptations impede air flow across the stomatal pore and reduce transpiration. Multiple epidermal layers are also commonly found in these types of plants. Dig Deeper Chapter 23 Bear, Robert; Rintoul, David; Snyder, Bruce; Smith-Caldas, Martha; Herren, Christopher; and Horne, Eva, "Principles of Biology" (2016). Open Access Textbooks. 1. https://newprairiepress.org/textbooks/1 Attributions Biology 2e By Mary Ann Clark, Matthew Douglas, Jung Choi. OpenStax is licensed under Creative Commons Attribution License v4.0 Introduction to Organismal Biology at https://sites.gatech.edu/organismalbio/ is licensed under a Creative Commons Attribution-NonCommercial-ShareAlike 3.0 Unported License. Botany (Ha, Morrow, and Algiers) is shared under a CC BY-NC 4.0 license and was authored, remixed, and/or curated by Melissa Ha, Maria Morrow, & Kammy Algiers.	oercommons	2025-03-18T00:38:55.110469	null	{ "license": "Creative Commons - Attribution - https://creativecommons.org/licenses/by/4.0/", "url": "https://oercommons.org/courseware/lesson/87595/overview", "title": "Statewide Dual Credit Introduction to Plant Science, Plant Function", "author": null }
https://oercommons.org/courseware/lesson/87596/overview	4.3 Pressure Flow Model for Phloem Transport 4_Phloem-Translocation Phloem Translocation Overview xylem (blue) carries water from the roots upwards phloem (orange) carries products of photosynthesis from the place of their origin (source) to organs where they are needed (roots, storage organs, flowers, fruits – sink); note that e.g. the storage organs may be source and leaves may be sink at the beginning of the growing season Nefronus, CC BY-SA 4.0 <https://creativecommons.org/licenses/by-sa/4.0>, via Wikimedia Commons Did you have an idea for improving this content? We’d love your input. Introduction Learning Objectives - Differentiate between source and sinks in a plant. - Explain the pressure-flow model for sugar translocation in phloem tissue. - Describe the roles of proton pumps, co-transporters, and facilitated diffusion in the pressure-flow model. - Recognize how different sugar concentrations at sources and different types of sinks affect the transport pathway used for loading or unloading sugars. - Compare and contrast the mechanisms of fluid transport in the xylem and phloem. Key Terms co-transporter - proteins that move two molecules across a membrane at the same time, one with the concentration gradient other against the concentration gradient facilitated diffusion - the movement of molecules across a membrane with the concentration gradient via a specific protein girdling - to cut through and remove the bark of a tree trunk all the way around phloem - one of the vascular tissues in plants, transport photosynthates photosynthates - carbohydrates produced during photosynthesis pressure-flow model - the hypothesis that explains the movement of sugars in phloem proton pump - use energy from ATP to create an electrochemical gradient across the plasma membrane. sink - tissue or site in a plant where photosynthates are utilized or stored source - tissue or site in a plant where photosynthates are produced usually green leaves translocation - the movement of sugars from source to sink Plants need an energy source to grow. In growing plants, photosynthates (sugars produced by photosynthesis) are produced in leaves by photosynthesis and are then transported to sites of active growth where sugars are needed to support new tissue growth. During the growing season, the mature leaves produce excess sugars that are transported to storage locations including ground tissue in the roots or bulbs (a type of modified stem). Many plants lose leaves and stop photosynthesizing over the winter. At the start of the growing season, they rely on stored sugars to grow new leaves to begin photosynthesis again. Sugars move from “source” to “sink” Locations that produce or release sugars for the growing plant are referred to as sources. Sugars produced in sources, such as leaves, need to be delivered to growing parts of the plant via the phloem in a process called translocation, or movement of sugar. The points of sugar delivery—such as roots, young shoots, and developing seeds—are called sinks. Sinks include areas of active growth (apical and lateral meristems, developing leaves, flowers, seeds, and fruits) or areas of sugar storage (roots, tubers, and bulbs). Storage locations can be either a source or a sink, depending on the plant’s stage of development and the season. The photosynthates from the source are usually translocated to the nearest sink through the phloem sieve tube elements. For example, the highest leaves will send sugars upward to the growing shoot tip, whereas, lower leaves will direct sugars downward to the roots. Intermediate leaves will send products in both directions, unlike the flow in the xylem, which is always unidirectional (soil to leaf to atmosphere). Note that the fluid in a single sieve tube element can only flow in a single direction at a time, but fluid in adjacent sieve tube elements can move in different directions. The direction flow also changes as the plant grows and develops, such as in the following situations: - In the middle of the growing season, actively photosynthesizing mature leaves and stems serve as source, producing excess sugars which are transported to sinks where sugar use is high. Sinks during the growing season include areas of active growth meristems, new leaves, and reproductive structures. Sinks also include sugar storage locations, such as roots, tubers, or bulbs. At the end of the growing season, the plant will drop leaves and no longer have actively photosynthesizing tissues. - Early at the start of the next growing season, a plant must resume growth after dormancy (winter or dry season). Because the plant has no existing leaves, its only source of sugar for growth is the sugar stored in roots, tubers, or bulbs from the last growing season. These storage sites now serve as sources, while actively developing leaves are sinks. Once the leaves mature, they will become sources of sugar during the growing season. Translocation: Transport from Source to Sink The most accepted hypothesis to explain the movement of sugars in phloem is the pressure-flow model for phloem transport. This hypothesis accounts for several observations: - Phloem is under pressure. - Translocation stops if the phloem tissue is killed. - Translocation proceeds in both directions simultaneously (but not within the same tube). - Translocation is inhibited by compounds that stop the production of ATP in the sugar source. In very general terms, the pressure-flow model works like this: a high concentration of sugar at the source creates a low solute potential (Ψs), which draws water into the phloem from the adjacent xylem. This creates a high-pressure potential (Ψp), or high turgor pressure, in the phloem. The high turgor pressure drives the movement of phloem sap by “bulk flow” from source to sink, where the sugars are rapidly removed from the phloem at the sink. Removal of the sugar increases the Ψs, which causes water to leave the phloem and return to the xylem, decreasing Ψp. This video provides a concise overview of sugar sources, sinks, and the pressure-flow hypothesis. Transport pathways in sugar translocation Before we get into the details of how the pressure-flow model works, let’s first revisit some of the transport pathways: - Diffusion occurs when molecules move from an area of high concentration to an area of low concentration. Diffusion does not require energy because the molecules move down their concentration gradient (from areas of high to low concentration). - Proton pumps use energy from ATP to create electrochemical gradients, with a high concentration of protons on one side of a plasma membrane. This electrochemical gradient can then be used as a source of energy to move other molecules against their concentration gradients via co-transporters. - Co-transporters are channels that perform a type of secondary active (energy-requiring) transport. Co-transporters move two molecules at the same time: one molecule is transported along (“down”) its concentration gradient, which releases energy that is used to transport the other molecule against its concentration gradient. - Symporters are a type of co-transporter that transports two molecules in the same direction; both into the cell, or both out of the cell. - Antiporters are a type of co-transporter that transports two molecules in opposite directions; one into the cell, and the other out of the cell. Each of these transport pathways plays a role in the pressure-flow model for phloem transport. Pressure Flow Model for Phloem Transport Photosynthates, such as sucrose, are produced in the mesophyll cells (a type of parenchyma cell) of photosynthesizing leaves. Sugars are actively transported from source cells into the sieve-tube companion cells, which are associated with the sieve-tube elements in the vascular bundles. This active transport of sugar into the companion cells occurs via a proton-sucrose symporter: the companion cells use an ATP-powered proton pump to create an electrochemical gradient outside of the cell. The cotransport of a proton with sucrose allows movement of sucrose against its concentration gradient into the companion cells. From the companion cells, the sugar diffuses into the phloem sieve-tube elements through the plasmodesmata that link the companion cell to the sieve tube elements. Phloem sieve-tube elements have reduced cytoplasmic contents and are connected by a sieve plate with pores that allow for pressure-driven bulk flow, or translocation, of phloem sap (Figure 2.4.2.). The presence of high concentrations of sugar in the sieve tube elements drastically reduces Ψs, which causes water to move by osmosis from the xylem into the phloem cells. This movement of water into the sieve tube cells causes Ψp to increase, increasing both the turgor pressure in the phloem and the total water potential in the phloem at the source. This increase in water potential drives the bulk flow of phloem from source to sink (Figure 2.4.3.). Sugar loading and unloading into and from phloem sieve tube members can be apoplastic or symplastic. Unloading at the sink end of the phloem tube can also occur either by diffusion if the concentration of sugar is lower at the sink than in the phloem, or by active transport, if the concentration of sucrose is higher at the sink than in the phloem. If the sink is an area of active growth, such as a new leaf or a reproductive structure, then the sucrose concentration in the sink cells is usually lower than in the phloem sieve-tube elements because the sucrose at the sink is rapidly metabolized for growth. If the sink is an area of storage where sugar is converted to starch, such as a root or bulb, then the sugar concentration in the sink is usually lower than in the phloem sieve-tube elements because the sink sucrose is rapidly converted to starch for storage. If the sink is an area of storage where the sugar is stored as sucrose, such as sugar beet or sugar cane, then the sink may have a higher concentration of sugar than the phloem sieve-tube cells. In this situation, active transport by a proton-sucrose antiporter is used to transport sugar from the companion cells into storage vacuoles in the storage cells. Once sugar is unloaded at the sink cells, the Ψs increase, causing water to diffuse by osmosis from the phloem back into the xylem. This movement of water out of the phloem causes Ψp to decrease, reducing the turgor pressure in the phloem at the sink and maintaining the direction of bulk flow from source to sink. This video has a detailed discussion of the pressure-flow hypothesis. Movement of Fluid in Xylem vs Phloem \| Xylem \| Phloem \| Driving force for fluid movement \| transpiration (evaporation) from leaves, combined with cohesion and tension of water in the vessel elements and tracheids (passive; no energy required) \| Active transport of sucrose from source cells into phloem sieve tube elements (energy required) \| Cells facilitating fluid movement \| Non-living vessel elements and tracheids \| Living sieve tube elements (supported by companion cells) \| Pressure potential \| Negative due to the pull from the top (transpiration, tension) \| Positive due to push from source (Ψp increases due to influx of water which increases turgor pressure at source) \| Attributions Biology 2e By Mary Ann Clark, Matthew Douglas, Jung Choi. OpenStax is licensed under Creative Commons Attribution License v4.0 Introduction to Organismal Biology at https://sites.gatech.edu/organismalbio/ is licensed under a Creative Commons Attribution-NonCommercial-ShareAlike 3.0 Unported License. Botany (Ha, Morrow, and Algiers) is shared under a CC BY-NC 4.0 license and was authored, remixed, and/or curated by Melissa Ha, Maria Morrow, & Kammy Algiers.	oercommons	2025-03-18T00:38:55.179481	null	{ "license": "Creative Commons - Attribution - https://creativecommons.org/licenses/by/4.0/", "url": "https://oercommons.org/courseware/lesson/87596/overview", "title": "Statewide Dual Credit Introduction to Plant Science, Plant Function", "author": null }
https://oercommons.org/courseware/lesson/87597/overview	5.3 Plant Response to Light_Phototropism & Germination 5.4 Plant Response to Gravity_Gravitropism 5.5 Other Plant Growth Responses 5.6 Plant Response to Herbivore & Pathogen Attack 5_Plant-Hormones Exercise 2a Photosynthesis and Cellular Respiration Exercise 2b Plant Hormones Plant Hormones Overview Daisies (Bellis perennis) facing the sun after opening in the morning, and they follow the sun through the day böhringer friedrich, CC BY-SA 2.5 <https://creativecommons.org/licenses/by-sa/2.5>, via Wikimedia Commons Georgia Tech Organismal Biology https://organismalbio.biosci.gatech.edu/ Did you have an idea for improving this content? We’d love your input. Introductions Learning Objectives - list the five major plant hormones, including auxin, cytokinins, gibberellins, abscisic acid, and ethylene. - List some of the plant behaviors regulated by these hormones including phototropism, gravitropism, germination, shade avoidance, thigmotropism, water stress, and pathogen/herbivory defense. Key Terms abscisic acid (ABA) - a plant hormone that induces dormancy in seeds and other organs apical dominance - a phenomenon where the growth of lateral branches is inhibited by the main stem of a tree auxin - a plant hormone that influences cell elongation (in phototropism), gravitropism, apical dominance, and root growth cytokinin - a plant hormone that promotes cell division dormancy - the inert state in an organism when most functions are suspended ethylene - volatile plant hormone that is associated with fruit ripening, flower wilting, and leaf fall germination - the process of a seedling emerging from a seed gibberellin (GA) - is a plant hormone that stimulates shoot elongation, seed germination, and the maturation and dropping of fruit and flowers gravitropism - growth toward Earth’s gravitational center phototropism - directional bending of a plant toward a light source plant hormone - signaling molecules that are produced at different parts of a plant. The interaction of these hormones regulates growth, development, and many other functions. thigmotropism - directional growth of a plant in response to constant contact Shade avoidance - plant response to grow away from shade saturated with far-red light water stress - a condition caused due to drought, flooding, salinity, or acidity of water available to plant A plant’s sensory response to external stimuli relies on chemical messengers (hormones). Plant hormones affect all aspects of plant life, from flowering to fruit setting and maturation, and from phototropism to leaf fall. Just as in animals, hormones are signaling molecules that are present in very small amounts, transported throughout the plant body, and only elicit responses in cells that have the appropriate hormone receptors. In plants, hormones travel large throughout the body via the vascular tissue (xylem and phloem) and cell-to-cell via plasmodesmata. Potentially every cell in a plant can produce plant hormones. In contrast, many animal hormones are produced only in specific glands. Plants do not have specialized hormone-producing glands. Hormones in Plant Hormones regulate a variety of plant behaviors in response to different stimuli or environmental conditions. Let us first look at the most common plant hormones and their effects. Thereafter, we will look at the stimuli that provoke these responses and the pathways that regulate the response. Throughout this reading, you should aim to recognize both the stimuli that provoke a specific behavior, as well as the hormones and (when described) the signaling pathway that mediates the response. Auxins: The Master Growth Regulator The term auxin is derived from the Greek word auxein, which means “to grow.” Auxins are the main hormones responsible for cell elongation in phototropism (movement in response to light) and gravitropism (movement in response to gravity). Apical dominance (inhibition of lateral bud formation) is triggered by auxins produced in the apical meristem. Flowering, fruit ripening, and inhibition of abscission (leaf falling) are other plant responses under the direct or indirect control of auxins. Auxins also act as a relay for the effects of blue light (via phot1 and phot2) and red/far-red responses (via phytochrome). Synthetic auxin is used as a rooting hormone to promote the growth of roots on cuttings and detached leaves. Cytokinins: Cell Division Cytokinins promote cytokinesis or cell division. Cytokinins are most abundant in growing tissues, such as roots, embryos, and fruits, where cell division is occurring. Cytokinins also delay senescence (aging) in leaf tissues, promote mitosis (cell division), and stimulate differentiation of the meristem in shoots and roots. Many effects on plant development are under the influence of cytokinins, often in combination with auxin or another hormone. For example, apical dominance seems to result from a balance between auxins that inhibit lateral buds, and cytokinins that promote bushier growth. Gibberellins: Stem, Fruit, and Seed Growth Gibberellins (GAs) are a group of about 125 closely related plant hormones that stimulate shoot elongation, seed germination, and fruit and flower maturation. Maturing grapes are routinely treated with GA to promote a larger fruit size. GAs is synthesized in the root and stem apical meristems, young leaves, and seed embryos. Gibberellins were first identified in the fungus, Gibberella fujikuroi. GAs also delays senescence (aging) in leaves and fruit and break dormancy (a state of inhibited growth and development) in the seeds of plants that require exposure to cold or light to germinate. Abscisic acid (described next) is a strong GA antagonist (works against it). Abscisic Acid (ABA): Dormancy Abscisic acid (ABA) causes abscission (dropping) leaves. ABA accumulates as a response to stressful environmental conditions, such as dehydration, cold temperatures, or shortened day lengths. Its activity counteracts many of the growth-promoting effects of GAs and auxins. ABA also inhibits stem elongation, induces dormancy in lateral buds and seeds, and closes stomata in drought conditions. ABA induces dormancy in seeds by blocking germination and promoting the synthesis of storage proteins. Many plants require a long period of cold temperature before seeds germinate, which protects young plants from sprouting too early during unseasonably warm weather in winter. As the hormone gradually breaks down over winter, the seed is released from dormancy and germinates when conditions are favorable in spring. ABA also regulates the short-term drought response: low soil moisture causes an increase in ABA, which causes stomata to close, reducing water loss. This video describes the activities of both auxins: gibberellins and abscisic acid: Ethylene: Aging Ethylene promotes fruit ripening, flower wilting, and leaf fall. Ethylene is unusual as a hormone because it is a volatile gas (C2H4). Aging tissues (especially older leaves) and nodes of stems produce ethylene. The best-known effect of the hormone is the promotion of fruit ripening: ethylene stimulates the conversion of starch and acids into simple sugars. Ethylene also triggers leaf and fruit abscission, flower fading, and dropping. Ethylene is widely used in agriculture. Commercial fruit growers control the timing of fruit ripening with the application of the gas. Horticulturalists inhibit leaf dropping in ornamental plants by removing ethylene from greenhouses using fans and ventilation. This video provides a quick summary of the different roles of ethylene in plants: Two other plant hormones—jasmonic acid and salicylic acid—participate in plant-pathogen interactions. Systemin: Anti-Herbivory Systemin, named for the fact that it is distributed systemically (everywhere) in the plant body upon production, activates plant responses to wounds from herbivores. Systemin initiates the production of compounds, like jasmonic acid, which tastes bad and inhibits digestion by herbivores (causing a stomachache!) to deter them from continuing to eat the plant. Methyl Salicylate (MeSa): Immune Response Methyl salicylate (MeSa) helps regulate responses to infection by parasites or pathogens. When a parasite or pathogen infects a cell, there is a specific, localized response called the hypersensitive response (HR). Following this very localized response, the plant initiates a systemic (whole body) response called the systemic acquired response (SAR). MeSA is responsible for inducing the SAR in response to the HR. This section provided a brief description of plant hormones. The next section focuses to explain how these hormones regulate the different plant behaviors. Access for free at https://openstax.org/books/biology-2e/pages/30-6-plant-sensory-systems-and-responses Plant Response to Light: Phototropism & Germination Plants are generally capable of detecting and responding to at least three wavelengths of light: blue light, red light, and far-red light. The different wavelengths are detected by different photoreceptors, which are comprised of a protein covalently bonded to a light-absorbing pigment called a chromophore. Together, the two are called a chromoprotein. The behaviors regulated by light stimuli include: phototropism (movement toward the light), stem elongation (growth), shade avoidance (growth) germination(seed sprouting). Blue light: Phototropism Plants are dependent on access to sunlight in order to fix carbon dioxide into sugars; thus, as stationary organisms, they must grow toward the sunlight in order to survive. Phototropism is a movement toward or away from light. Tropism means movement, and photo means light, so “phototropism” is “movement in response to light.” Phototropins are the chromoproteins responsible for mediating the phototropic response. Other responses under the control of phototropins are leaf opening and closing, chloroplast movement within cells, and the opening of stomata to permit gas exchange (and thus photosynthesis). Charles Darwin and his son Francis determined that light was perceived by the tip of the plant (the apical meristem), but that the response (bending) took place in a different part of the plant. They concluded that the signal had to travel from the apical meristem to the base of the plant to cause the bending. We now know that the detection of light in the apical meristem occurs via phototropin called phot1 and phot2, which specifically detect blue light (Figure 2.5.1.). In 1913, Peter Boysen-Jensen cut off the tip of a seedling, covered the cut section with a layer of gelatin (essentially jello), and then replaced the tip (Figure 2.5.2.). The cut seedling bent toward the light. However, when he inserted an impermeable barrier between the tip and the cut base, the seedling could no longer bend in response to light. Later experiments showed that the signal traveled on the shaded side of the seedling. When the barrier was inserted only on the illuminated side, the plant could still bend towards the light. Therefore, the chemical signal was a growth stimulant because the phototropic response involved faster cell elongation on the shaded side than on the illuminated side. We now know that the chemical signal is the plant hormone auxin, also called indole acetic acid or IAA. Auxin stimulates cell elongation on the shady side of the stem through a process called the acid growth hypothesis where auxin causes cells to activate proton pumps, which then pump protons out of the cells and into the space between the plasma membrane and the cell wall. The movement of protons into the extracellular space does two things: - The lower pH activates expansin, which breaks the links between the cellulose fibers in the cell walls, making them more flexible. - The high concentration of protons causes sugars to move into the cell, which then creates an osmotic gradient where water moves into the cell causing the cell to expand. To sum up, the phototropic response works in the following fashion. The phototropin phot1 and phot2 are present in the plant apical meristem. When activated by blue light, phot1 and phot2 cause an accumulation of auxin on the shaded side of the plant. Auxin promotes cell elongation due to the weakening of the cell wall combined with an influx of water (which literally stretches the cells). Because the cell expansion occurs only on the shaded side of the stem, the plant bends away from the shade and toward the light. This video provides a concise summary of auxin’s role in phototropism and the acid growth hypothesis. Red Light: Growth, Germination, and Photoperiodism Blue light promotes stem bending, but red light (as opposed to far-red light) promotes stem elongation or growth. This happens because red light indicates the full sun to a plant, while far-red light indicates that a plant is being shaded out by another plant, which is due to the fact that unfiltered, full sunlight contains much more red light than far-red light. Chlorophyll absorbs strongly in the red region of the visible spectrum, but not in the far-red region, so any plant in the shade of another plant on the forest floor will be exposed to light that has been depleted of red light and enriched for far-red-light. The non-shaded areas on the forest floor have more red light, and red light triggers plant growth. In other words, plants use the red vs far-red light detection to grow away from shade and towards the light. This response is called Shade avoidance. The chromoproteins responsible for red/far-red light detection are called phytochromes (Figure 2.5.3). Phytochromes have two photo-interconvertible forms: Pr (phytochrome red) and Pfr (phytochrome far-red). The forms are named for what they are capable of absorbing next: the Pr form is capable of absorbing red light (~667 nm), and the Pfr form is capable of absorbing far-red light (~730 nm). When the Pr form absorbs red light, it is immediately converted to Pfr; and when Pfr absorbs far-red light, it is quickly converted back to Pr. Absorption of red or far-red light causes a massive change to the shape of the chromophore, altering the conformation and activity of the phytochrome protein to which it is bound. Pfr is the physiologically active form of protein. Because phytochrome is in the Pfr state after exposure to red light, this means that exposure to red light turns the phytochrome “on.” Exposure to far-red light inhibits phytochrome activity. Together, the two forms represent the phytochrome system. Plant Response to Gravity: Gravitropism Whether or not they germinate in the light or in total darkness, shoots usually sprout up from the ground, and roots grow down into the ground. A plant laid on its side in the dark will send shoots upward when given enough time. Gravitropism ensures that roots grow into the soil and that shoots grow toward sunlight. Growth of the shoot apical tip upward is called negative gravitropism, whereas, growth of the roots downward is called positive gravitropism. Amyloplasts (also known as statoliths) are specialized cellular compartments that contain starch granules that move in response to gravity. The starch granules are heavy and literally fall to the bottom of the cellular compartment in response to gravity. Amyloplasts are found in shoots and in specialized cells of the root cap. When a plant is tilted, the statoliths drop to the new bottom cell wall, which causes auxin (produced by the root apical meristem just like at the shoot apical meristem) to redistribute to the new bottom of the root. In roots, a high concentration of auxin inhibits cell elongation, slowing growth on the lower side of the root, while cells develop normally on the upper side and causing the root to bend toward the high concentration of auxin and thus causing the root to be grown down. Note that this is the exact opposite of auxin’s effect on shoots, where a higher concentration stimulates cell expansion, causing the shoot to bend away from the higher concentration of auxin. After the root begins to grow vertically again, the amyloplasts return to their normal position, and auxin is equally distributed on both sides of the root tip (Figure 2.5.5.). Other Plant Growth Responses Other plant responses to different growth-related stimuli include apical dominance, leaf abscission, fruit growth, and fruit ripening. Many plants grow primarily at a single apical meristem and have limited lateral branches (which would result in multiple meristems). This phenomenon is called apical dominance and is regulated by the presence of auxin at the apical meristem. Auxin is required for the function of other growth-regulating hormones such as cytokinins, which promote cell division but only in the presence of auxin. Abscisic acid in the lateral buds inhibits the production of auxin, and removal of the apical bud will release this inhibition of auxin, allowing the lateral buds to begin growing (Figure 2.5.6.). Some plants drop leaves in response to changing seasons (based on temperatures, photoperiod, water, or other environmental conditions). This process is called leaf abscission and is regulated by interactions between auxin and ethylene. During the growing season, the leaf produces high levels of auxin which blocks the activity of ethylene; however, as the seasons change the leaf produces lower levels of auxin. Lower levels of auxin permit ethylene to initiate senescence (aging) and ultimately programmed cell death at the site of leaf attachment to the stem, allowing the leaf to fall off in a controlled manner without harming the rest of the plant. The growth of fruits in size is promoted by gibberellins. The artificial addition of gibberellins to fruits while still on the plant will cause them to grow larger than they ordinarily would. And once fruits have grown to the appropriate size, they begin ripening; this process is stimulated by ethylene. Fruit ripening is a form of senescence (aging), so the role that ethylene plays in fruit ripening is very similar to its role in leaf abscission. Plant Responses to Water or Water Stress (Drought) Though germination can be controlled by the phytochrome system, the seeds of some plant species instead rely on the imbibition (intake) of water to initiate germination (shown below). Intake of water activates the hormone gibberellin, which then signals to transcribe the gene encoding amylase, an enzyme that breaks down starches stored in the seed into simple sugars, and then germination proceeds (note these final steps are identical to what occurs in phytochrome-regulated germination). When water is absent, germination in this pathway is blocked by a hormone called abscisic acid (also called ABA), which inhibits the activity of gibberellins. Thus, gibberellins and abscisic acid act in opposition to regulating the germination response (Figure 2.5.7.). As briefly noted above, activation of phot1 and phot2 by blue light cause stomata to open to permit gas exchange so that photosynthesis can occur. But in addition to sunlight and carbon dioxide, photosynthesis also requires water. When the plant is dehydrated due to drought, the hormone abscisic acid (ABA) causes stomata to close, preventing gas exchange and halting photosynthesis. This is the stomata closing response to stress, and this response to abscisic acid occurs even if blue light is present (Signaling from drought via ABA overrides the signaling from blue light via phot1) (Figure 2.5.8.). In drought conditions, the immediate response is closing stomata, as noted above. However, because closed stomata prevent gas exchange, plants will die if the stomata remain closed for too long. Thus, if the drought persists for too long, the plant will begin sacrificing certain areas by allowing the leaves or stems to die in localized regions—also known as localized cell death. This process may be regulated by the hormone ethylene, which can induce localized cell death under certain conditions. Plant Responses to Touch: Thigmotropism Thigmotropism is movement in response to touch. Different plant species have different types of responses to touch, including slow thigmotropism and fast thigmotropism. Slow thigmotropism describes a plant response to a touch stimulus that affects the direction of growth, such as vines that wrap around or grow along with structures. Slow thigmotropism is regulated by auxin, which redistributes in the elongating stem in response to the touch, ultimately resulting in differential cell elongation (much like the role auxin plays in phototropism). Fast thigmotropism only occurs in a few plant species and describes a rapid plant response to touches, such as the way the Venus flytrap snaps shut to trap an insect or the way mimosa plants clamp their leaves closed in response to touch. This response occurs as a result of an electrical signal that causes rapid changes in cell turgor pressure and thus rapid movement of structures associated with those cells. This video shows an example of slow thigmotropism (mediated by auxin) in morning glory plants, which require a support structure of some type to grow optimally. The time-lapse images were taken at 10-minute intervals. And this video shows an example of fast thigmotropism (mediated by membrane potential) in a Venus flytrap. Access for free at https://openstax.org/books/biology-2e/pages/30-6-plant-sensory-systems-and-responses Plant Response to Herbivore & Pathogen Attack Plants face two types of enemies: herbivores and pathogens. Herbivores both large and small use plants as food and actively chew them. Pathogens are agents of disease. These infectious microorganisms—such as fungi, bacteria, and nematodes—live off of the plant and damage its tissues. Plants have developed a variety of strategies to discourage or kill attackers. The first line of defense in plants is an intact and impenetrable barrier. Bark and the waxy cuticle can protect against predators. Other adaptations against herbivory include thorns—modified branches—and spines—modified leaves. They discourage animals by causing physical damage and inducing rashes and allergic reactions. A plant’s exterior protection can be compromised by mechanical damage, which may provide an entry point for pathogens. If the first line of defense is breached, the plant must resort to a different set of defense mechanisms, such as toxins and enzymes. Herbivory When herbivores breach a plant’s physical defenses, chemical responses are induced to deter further herbivory through a couple of different mechanisms, depending on the plant species: volatile compounds or systemin and jasmonic acid. In some plant species, damage to tissues from insects induces the production of a hormone called systemin. Systemin is named for the fact that it travels throughout the plant (systemic) after it is produced locally (though this is true of all hormones, of course). Systemin activates the production of jasmonic acid, which induces the transcription of proteinase inhibitors. Proteinase inhibitors both taste bad and prevent the breakdown of proteins in the herbivore’s gut, thus making the insect sick and deterring further herbivory. In some plant species, damage to tissues from insects induces the production of volatile chemical attractants—or volatile compounds—that are released into the air and attract certain parasites of the insects that are eating the plant. These parasites are often parasitoid wasps that lay their eggs inside of the insect-eating the plant; when the eggs hatch into larvae, the larvae eat the insect from the inside out and kill it. This video describes some of the chemical signalings that can occur between plants to communicate about herbivory and other threats. Pathogens and Parasites Plants demonstrate two sequential responses to parasites and pathogens: the hypersensitive response, which then induces the systemic acquired response (SAR). The hypersensitive response occurs when a pathogen infects a plant cell. The response occurs via recognition of specific pathogen molecules, meaning the plant has specialized pathogen-specific receptors capable of detecting the pathogen molecules. Activation of these receptors induces a three-pronged, localized stress response: - the plant produces phytoalexins, toxins that help kill the pathogen, - the cells infected by the pathogen are physically walled off to prevent pathogen escape, - and the cells infected by the pathogen undergo programmed cell death, removing those cells as a food source for the pathogens. In addition, activation of the hypersensitive response induces the production of the hormone methyl salicylate (MeSA), which then induces activation of the systemic acquired response (SAR). The SAR is only induced in response to the hypersensitive response. The SAR activates transcription of general “pathogenesis-resistance” genes, which are not pathogen-specific (unlike in the hypersensitive response) but serve as a general defense against pathogenic infection. The SAR is slower than the hypersensitive response, and it also differs in that it is systemic instead of localized to the site of the infection. This video describes a general overview of the HR and SAR, though it does not mention the signaling molecules by name. Access for free at https://openstax.org/books/biology-2e/pages/30-6-plant-sensory-systems-and-responses Unit 2 Lab Exercises Exercise 2a: Photosynthesis and Cellular Respiration Students focus on the processes by which plants convert light energy into chemical energy and how they utilize this energy for growth and maintenance. It includes detailed explanations and diagrams to illustrate these essential biological functions. Exercise 2b: Plant Hormones Students focus on understanding the roles and effects of different plant hormones, such as auxins, gibberellins, and cytokinins, on plant growth and development. It includes activities to observe and analyze these hormones’ impact on various plant processes. Attributions Biology 2e By Mary Ann Clark, Matthew Douglas, Jung Choi. OpenStax is licensed under Creative Commons Attribution License v4.0 Introduction to Organismal Biology at https://sites.gatech.edu/organismalbio/ is licensed under a Creative Commons Attribution-NonCommercial-ShareAlike 3.0 Unported License. Botany (Ha, Morrow, and Algiers) is shared under a CC BY-NC 4.0 license and was authored, remixed, and/or curated by Melissa Ha, Maria Morrow, & Kammy Algiers.	oercommons	2025-03-18T00:38:55.284388	null	{ "license": "Creative Commons - Attribution - https://creativecommons.org/licenses/by/4.0/", "url": "https://oercommons.org/courseware/lesson/87597/overview", "title": "Statewide Dual Credit Introduction to Plant Science, Plant Function", "author": null }
https://oercommons.org/courseware/lesson/85008/overview	1.3 Layout and Development 1_Nursery-Site-Selection 6a - Nursery-Site Selection, Layout, and Development PUBLIC DOMAIN https://ufdcimages.uflib.ufl.edu/IR/00/00/32/68/00001/EP03400.pdf Nursery Site Selection Overview Title image "20150515-NRCS-LSC-0923" by USDAgov is licensed under CC PDM 1.0 Did you have an idea for improving this content? We’d love your input. Introduction Lesson Objectives Evaluate the factors that influence site selection of a production nursery. Identify factors that influence nursery site selection. Explain the influence of climate, soil, water, topography, previous land use, site potential, and location to nursery site selection. Key Terms climate - an average of the long-term, prevailing weather conditions of a region drainage - the natural or artificial removal of surface water soil - the layer(s) of generally loose mineral and/or organic material that are affected by physical, chemical, and/or biological processes at or near the planetary surface, and usually hold water, air, and organisms and support plants supply chain - the system of operations that collaborate to plan, produce, and provide a product or service to a market water supply - the water available for a region which may be delivered via natural or man-made waterways Site Selection Criteria Modified from "Nursery-Site Selection, Layout, and Development" by F.E. Morby, USDA Forest Service is in the Public Domain Climate Requirements for climate and growing season will vary depending on the species and ecotypic variants that will be grown. An ecotype is a genetically distinct population that has adapted to its particular environment. For example, red maple (Acer rubrum) has a wide natural distribution throughout Eastern North America, as far north as Canada and south into Florida. Tennessee growers would have a difficult time growing a Canadian ecotype of red maple that is adapted to the longer daylengths and shorter growing season common at a northerly latitude. A Canadian ecotype would come out of winter dormancy later in the season than a Tennessee variant. Conversely, a Florida ecotype of red maple may break dormancy too early in the growing season, resulting in cold damage (Raulston, 1994). Climatic concerns for species or ecotypes go beyond the seasonal daylengths or the overall length of growing season. Nursery growers should also consider the temperature, precipitation, wind, and light conditions of a site. Temperature Extremely hot periods reduce plant growth and can damage appearance. As temperatures increase, the rate of transpiration rapidly rises, increasing the amount of water needed from irrigation. Short periods of daytime temperatures of 110°F or more can tax irrigation systems, but properly designed irrigation systems can protect plants from burning during those periods. Growth of most species is greatly impeded by ambient temperatures of 90°F and above. Extremely low temperatures can be detrimental to unprotected young material or container plants. The site may need to be modified by incorporating a pot-in-pot system or constructing a high tunnel. Extreme cold can drive frost deep into the soil for field-grown plants, delaying harvesting and processing into spring (see Unit 6, Lesson 2: Growing Methods for Nursery Production for more information). Precipitation High rainfall areas are best avoided. However, the season in which the precipitation occurs is important. Heavy spring rains can delay spring operations, such as adding soil amendments, starting a cover or green manure crop, or sowing tree seed. Summer rains tend to be a problem only when they occur as cloudbursts and result in flooding, erosion, or wash-out. Frequent summer rains may be detrimental because rains may disrupt stock hardening processes already induced by withholding irrigation. Areas with heavy winter rains should be avoided; heavy rain saturates nursery soil to the point of hindering lifting, damaging soil structure, and causing flooding and erosion. Wind Wind can damage plants, blow over containerized material, and limit operations, such as pesticide applications. Winds will affect irrigation application and uniformity and may cause erosion. High winds can desiccate plants. In areas with high winds, choose a site with natural windbreaks or install artificial windbreaks (Acquaah, 2009). Light Plants grown in outdoor nurseries rely on natural sunlight for healthy growth. Sites with heavy tree cover or tall structures may need to be modified to increase light penetration to the growing environment. Exposed sites may require shade houses to protect shade-loving plants (Acquaah, 2009). Soil Containerized nurseries tend to use soilless growing media to fill pots rather than native soil (see Unit 6, Lesson 2: Growing Methods for Nursery Production for more information). Field production requires plants be grown in the site’s native soil. Soil qualities, such as texture, pH, and fertility, can vary across the property. Soil testing is a crucial step in choosing a site that has the most suitable soil for the crop and production method. Texture Soils that have good drainage, proper aeration, and a sufficient water-holding capacity are ideal for in-ground nursery production. The ideal soil texture will vary depending on whether field-grown plants will be harvested as ball-and-burlap or bare root. Ball-and-burlap plants should be grown in soil that is cohesive enough to hold around the root ball. Bare root trees should be grown in a loose sand or loam that will be easier to remove from the roots (Acquaah, 2009). Sandy loams or loamy sands with good drainage are excellent for field-grown nurseries. Soil pH The optimum soil reaction, or pH, for most tree species is between pH 5.0 and 6.0. Nutrients are less available to plants at excessively low and high pH levels. Soil pH can be altered with soil additives, such as sulfur, or by injecting phosphoric or sulfuric acid into irrigation water. Fertility While nutrients can be added in the form of fertilizer or organic matter, the soil should be responsive to fertilization (Acquaah, 2009). Soil testing will help the grower identify the nutrient holding capacity, nutrient availability, and organic matter content of the native soil. Water Securing an adequate water supply for domestic or irrigation reasons use can be a major problem. Water rights must be obtained for any water source. Therefore, special consideration must be given to a site where the quantity and quality of water are adequate for current and possible future requirements. All water needs and the timing of those needs must be considered. For example, in most nurseries, irrigation is necessary during the growing season and for frost protection. Restrictions on flow and on periods of delivery must be closely scrutinized. Irrigation Water Sources Lakes are a good source of irrigation water. Storage capacity, draw-down, other uses, and contaminants must be examined before any commitment is made. Screening may be necessary to remove water-borne debris. Streams are sometimes used for nursery irrigation and must be checked for water rights, other uses, and quality. In addition, attention must be paid to intakes, diversions for pumping stations, protection during runoff periods, and maintenance of the stream channel to ensure maximum carrying capacity. Stream water may need to be screened to alleviate contamination by vegetation, weed seeds, animals, algae, and other water-borne debris. Irrigation water delivered through open ditches is usually controlled by irrigation districts and is subject to specific short delivery periods. Such a source is not reliable unless storage is made available on site; therefore, irrigation water is not recommended. Water drawn from wells is probably one of the best irrigation sources for most locations. Draw-down and pumping capacity must be checked to ensure that water is available in reliable quantities when it is required. Domestic or irrigation pipelines are reliable. In many instances, clean water will be supplied with adequate pressure and volume to eliminate the need for pumping. The two types of pipelines are similar, and both generally well designed and constructed. However, domestic water lines usually have more connections creating a high demand for water and more concern for failure of the system. Systems must be reviewed to ensure that maintenance is adequate and repairs are timely. Water Quality Chemical contaminants may infiltrate an irrigation source through the soil or from precipitation or surface runoff. Contamination by minerals, such as calcium or boron, will usually be found in well water. However, because streams, lakes, and ditches also may have mineral contaminants, any potential site must have its water sources evaluated for mineral content and concentration. Water from any open source (lake, stream, or ditch) may contain weed seeds. High concentrations of these can lead to unwanted vegetation in seedbeds and cover crops, which is a major problem. Special, well-designed screening devices can alleviate this problem. Water-borne diseases can infect root systems and foliage. Chemical water treatment may be necessary if pathogens are present, such as Phytophthora—a fungus causing root disease. Water Runoff Modern nurseries must also consider how surface water runoff will be handled. Excess water from irrigation or precipitation can carry chemical or biological contaminants or eroded soil. While there are several ways to limit surface runoff, some municipalities may require growers to construct a retention pond to capture runoff in an effort to prevent contamination of waterways or groundwater (Figure 6.1.1) (Fulcher, 2013). This runoff can be re-used for irrigation (Figure 6.1.2). Topography The area for nursery beds should be level, or nearly so. A slight slope (2% maximum) is beneficial for better surface drainage, but slopes greater than 2% can cause erosion, necessitating expensive control measures, as well as result in leaching of soluble fertilizer salts (Wilde, 1958). Topography can also impact the ability to use farm equipment (Figure 6.1.3) and irrigation systems. Low areas may be poorly drained and can be more susceptible damage caused by frost pockets (Acquaah, 2009). The importance of aspect will depend on the latitude and altitude of the nursery site. In most of the temperate zone, eastern and southeastern aspects should be avoided because of greater frost danger, as well as southern and southwestern aspects because of excessive dryness during periods of drought. Where irrigation is available, southern aspects in northern latitudes at high elevations are best because of their greater warmth. For most sites, though, a northwestern aspect is best because vegetative growth starts later in spring and is not subjected to injury by frost. Water loss through evaporation from the soil surface is not so rapid on northwestern aspects. Previous Land Use Past use of the land may influence its value as a potential nursery site. For example, past practices that have altered soil acidity or caused toxic chemicals to accumulate will be detrimental to field-grown production. If the site has been altered, the grower should determine what was done when. Site Production Potential Many nursery sites have been selected and developed with little or no allowance made for future expansion. Regardless of how remote it may seem; expansion should be considered. To do so, the site-selection team must examine areas adjacent or close to the property. Proximity to Customers, Labor, and Services Proximity of the nursery to customers, work force, transportation, utilities, and facilities for people are all important components of the supply chain. These factors should be evaluated by the site-selection team. Locating the site geographically close to customers seems to be most judicious, although, with the advent of transportation systems and refrigerated trucks, this is not as necessary as it once was. Often, other criteria prevail. Customers Without customer demand, the nursery business cannot succeed. The grower should ask themselves several questions as they plan the nursery, including: Will the business serve local customers or ship plants to online customers? Will the material be sold wholesale to other nurseries or landscapers, or directly to individuals as retail? Does the local area support a large enough population with sufficient income for targeted sales? (McMahon, 2020). Labor Force The nursery should be within easy commuting distance—about 35 miles—of an adequate, dependable labor supply. The number of workers needed varies widely, depending on size of the nursery, extent of mechanization, amount of work contracted out, degree of chemical weed control, and type of stock grown. Transportation A good transportation network is essential. In the case of a retail nursery, there must be a way to receive plant material from growers. In the case of a wholesale or an online order nursery, there must be a way to deliver material to customers. Climate-controlled transportation equipment is critical when delivering plants over long distances. County or state roads that are well traveled, maintained, and connected to freeways will aid the transport of both plants and people. Utilities Telephone, electric power, and other utilities required for nursery operation must be already available or easily secured. The history of these utilities must be evaluated, along with their current cost, supply, and reliability. Land Availability and Cost Are the sites under consideration actually for sale and within the price range given to the selection team? What are the owners' sale stipulations? Look at total developed cost. Unimproved land may initially cost less but require such large capital outlays for development that ultimate total cost may be more. Land that may initially cost more, on the other hand, may be developed to the point that few subsequent improvements are needed, and total cost may be less. Layout and Development Modified from "Nursery-Site Selection, Layout, and Development" by F.E. Morby, USDA Forest Service is in the Public Domain The Team Approach Like site selection, layout and development benefit from the team approach. The development team should consist of the nursery manager; civil, electrical, and mechanical engineers; landscape and structural architects; and consultants for soils, irrigation, subsurface drainage, or other areas where on-site team expertise is weak or lacking. It's a good idea to visit similar facilities for comparison. It is expensive to develop a new nursery, and any new technology either already developed or under consideration must be evaluated. New ideas always surface when other nurseries are visited and when both positive and negative sides of a particular site or procedure are discussed. Access and Traffic Flow The nursery should be as compact as possible to minimize the length of the boundary fence and reduce the time lost moving from one part of the nursery to another (Aldhous, 1972). Roads provide access to the site and to growing fields. When the site is developed, all access roads should be paved; they must be capable of taking heavy "semi" truck and tractor traffic in all kinds of weather. Parking areas must be evaluated and particular attention given to pedestrian and vehicle traffic flows. While considering connecting points (entries and exits) to existing road systems, the development team should solicit input from the local community. Administrative Site The administrative site includes administrative offices; storage areas for equipment, trees, seed, pesticides, other chemicals, and fuels; shops; a fuel-dispensing station; an employee center; and processing facilities. The type, number, and location of required buildings can be determined with the team approach. Other administrative development could include employee-enrichment areas (in the form of parklike surroundings), holding areas for irrigation water or soil amendments, a culled-plant disposal area, and an area for holding scrap material and used equipment until sale is possible (potential aesthetic conflicts with neighbors may arise in this last case). Although possible future expansion must always be kept in mind, the administrative complex must optimize the use of space to avoid being spread out. The results of poor or inadequate planning can cause the manager and staff considerable anxiety in future years. The Master Plan Once agreement has been reached on placement of all structures and development begins, a master plan—a dynamic tool—must be made to document the team decision. Once the development team has disbanded, this plan will stand as an illustrated document of site layout, indicating growing areas, roads, buildings, outdoor storage areas, reservoirs, streams, fences, neighbors, possible expansion areas for buildings, and other site development. The master plan is not cast in concrete and should be updated as management needs change. Development Program To properly develop a site, an action plan must be prepared. One approach is to construct a critical-path chart that shows events and operations on a timeline (Figure 6.1.4). Tree-production scheduling must be coordinated with site development. Structures that are needed first must be built first. Throughout nursery development, the action plan is continuously reviewed—by an individual, a team, or a contractor—and revised, as needed. Critical factors that may have been overlooked initially are identified and incorporated. It is important for everything to be viewed objectively and in proper perspective. Budgeting and Accountability Budgeting is critical and must have highest priority in the development process. Budgets should be planned 2 to 3 years in advance to ensure that funding, people, and facilities will be available when needed. The budget and the action plan must be developed together. If shortages of funds or people are anticipated, construction may have to be delayed or other alternatives sought. The process of "fixing accountability" identifies objectives and action steps (Morrisey, 1976), as well as the individuals responsible for their accomplishment in the outlined time frames. Responsibilities must be reasonable, however, and should be adjusted if necessary to ensure that the work can realistically be completed. Dig Deeper "Nursery-Site Selection, Layout, and Development" by F.E. Morby, USDA Forest Service is in the Public Domain "Layout and Design Considerations for a Wholesale Container Nursery" by T.H. Yeager & D.L. Ingram, University of Florida IFAS Extension. Copyright © University of Florida IFAS Extension. Used with permission. Attribution and References Attribution Lesson modified from "Nursery-Site Selection, Layout, and Development" by F.E. Morby, USDA Forest Service is in the Public Domain Title image "20150515-NRCS-LSC-0923" by USDAgov is licensed under CC PDM 1.0 References Acquaah, G. (2009). Horticulture principles and practices (Fourth edition). Pearson Education, Inc. Aldhous, J. R. (1972). Nursery practice. Her Majesty's Stationery Office, London. Forestry Commun. Bull. 43. 184 p. Chavasse, C. G. R. (1980). The means to excellence through plantation establishment: the New Zealand experience. Pages 119- 139 in Proc., Forest plantations, the shape of the future. Weyerhaeuser Science symposium, April 30-May 3, 1979. Weyerhaeuser Co., Tacoma, Washington. Fulcher, A. & Fernandez, T. (2013). Sustainable nursery irrigation management series: Part III. Strategies to manage nursery runoff. University of Tennessee Extension. Retrieved June 2021 from, https://extension.tennessee.edu/publications/Documents/W280.pdf Krugman, S. L., and E. C. Stone. (1966). The effect of cold nights on the root-generating potential of ponderosa pine seedlings. Forest Science. 12:451-459. Kepner-Tregoe. Inc. (1973). Problem analysis and decision making. Princeton Research Press, Princeton, New Jersey. 99 p. McMahon, M. (2020). Plant science: Growth, development, and utilization of cultivated plants (Sixth edition). Pearson Education, Inc. Morby, F.E. (1984). Nursery-site selection, layout, and development. Forest nursery manual: Production of bareroot seedlings. Retrieved June 2021 from https://rngr.net/publications/nursery-manuals/fnm/Chapter%202 Morrisey, G. L. (1976). Management by objectives and results in the public sector. Addison-Wesley Publishing Co., Reading, Massachusetts. 278 p. Raulston, J.C. & Tripp, K.E. (1994). Exploring the complexities of plant hardiness. Arnolida, 54(3): 22-31. Van den Driessche, R. (1969). Forest nursery handbook. B. C. Forest Service. Victoria. Res. Note 48. 44 p. Wilde, S. A. (1958). Forest soils - Their properties and relation to silviculture. Ronald Press, New York. 537 p.	oercommons	2025-03-18T00:38:55.356450	null	{ "license": "Creative Commons - Attribution - https://creativecommons.org/licenses/by/4.0/", "url": "https://oercommons.org/courseware/lesson/85008/overview", "title": "Statewide Dual Credit Introduction to Plant Science, Nursery Production", "author": null }
https://oercommons.org/courseware/lesson/87613/overview	2.3 Containerized Production 2_Growing-Methods-for-Nursery-Production 6b - Planting and Establishing Trees COPYRIGHTED 6b - Strategies for Growing COPYRIGHTED https://ufdcimages.uflib.ufl.edu/IR/00/00/32/68/00001/EP03400.pdf Growing Methods for Nursery Production Overview Title image "20170831-OSEC-LSC-0145" by USDAgov is licensed under CC PDM 1.0 Did you have an idea for improving this content? We’d love your input. Introduction Lesson Objectives Compare various growing methods for nursery production. Describe ball-and-burlap, bare root, pot-in-pot, and in-ground fabric container growing methods, and identify advantages and disadvantages of the various growing methods for nursery production. Explain the impact of growing method on transplant success. Key Terms ball-and-burlap - plants are grown to marketable size in fields and harvested by digging the root ball from the soil, wrapping in burlap, and securing within a wire basket bare root - plants are harvested during the dormant season; roots are cleaned of soil then wrapped in a moist protective material prior to delivery to the customer containerized production - involves growing plants directly in a container (typically plastic pots) pot-in-pot production - a form of containerized production where the planted container is placed inside an in-ground permanent container Introduction There are several common methods for producing woody plants in a nursery, including ball-and-burlap, bare root, traditional containerized production, pot-in-pot, and in-ground fabric container systems. At the end of this section, you will be able to describe each production technique, identify advantages and disadvantages of the various growing methods for nursery production, and explain the impact of growing method on transplant success. Field Production In field production, young nursery-grown plants (also called “liners”) are planted directly in the soil. Rows of these small plants are arranged in blocks based on species, date of planting, and expected date of harvest, as well as other factors. It is important to properly space liners in the field to limit competition between plants and to allow plenty of space for healthy development and harvesting (McMahon, 2020). Blocks and rows must also allow space for any tractors and trucks that will require access for maintenance and harvesting. Some growers may space liners somewhat close together with the intention of harvesting plants at different times. For example, liners may be spaced close enough to allow every other tree in a row to be harvested at an early date. After the first harvest, the remaining trees will have more room to grow, allowing them to be harvested at a larger size at a later date. However, there are some problems with this method of harvesting every other tree. If consumer demand does not meet grower expectations, the first crop may need to be culled (removed) to prevent competition between trees and to allow the remaining trees to develop a healthy branching structure (McMahon, 2020). Digging from the field can be a traumatic event for a tree. More than 80 percent of roots are usually left behind in the soil (McMahon, 2020). Some growers practice root pruning as a way to encourage more root growth in the area that will be harvested. The grower will slice through lateral roots around a tree 5 years and again 2 years before harvest, leaving the tree in the soil. New roots will branch from where the root was severed, promoting more dense rooting within the root ball (Watson, 1986). Field-grown trees are typically harvested during the dormant season, either in the fall between when leaves drop and the soil freezes, or in the spring after the soil thaws and before budbreak. Waiting until plants are fully dormant reduces demands on the plant for water and nutrients and limits stress on the plant. Historically, field-grown trees have been harvested by hand-digging around the root ball of the plant. Digging woody plants by hand (especially large trees) is both physically demanding and time-intensive. Fortunately, tree harvesting technology continues to improve. One common method of harvesting is to use a mechanized tree spade. Each blade of the spade is spaced around the tree trunk. Hydraulic pressure forces the blades into the soil, slicing through plant roots (Figure 6.2.1). An air spade is another useful tool for harvesting field-grown trees. The mechanical spade forces pressurized air into the soil while the tree is being dug. This air removes soil from around the roots, limiting damage during harvest. Field-grown trees may be produced as either ball-and-burlap or bare root plants (McMahon, 2020). Ball-and-Burlap In ball-and-burlap production, the root ball with soil is lifted from the earth and placed in a wire basket that is lined with burlap (Figure 6.2.2). Ball-and-burlap techniques allow larger trees to be harvested more easily than other nursery methods. If ball-and-burlap trees or shrubs are planted relatively soon after harvest, their roots should establish well in the new soil environment. If plants are stored for an extended period of time, it is possible for roots to begin circling around the root ball. If these circling roots are not removed before planting, they will eventually girdle the tree by cutting off circulation between the roots and the stem (Gilman, 2017). While ball-and-burlap trees will need to be watered regularly to prevent the root ball from drying out, they may not need to be watered as frequently as container-grown plants because the roots are held in natural soil. However, natural soil does weigh more than the materials used to wrap bare root plants or the soilless mixtures used in container production. This added weight increases the cost of transporting ball-and-burlap trees. Workers must also take special care to prevent injuries caused by lifting and moving heavy ball-and-burlap plants. Bare Root In bare root production, soil is removed from the plant’s roots before delivery to the customer. While soil can be removed by hand, this practice can result in damage to the roots. Many growers use water to gently wash soil from roots or air to blow soil from roots. As soon as the soil is removed, the roots must be protected from drying out. Growers may wrap the roots in damp sphagnum moss, shredded newspaper, moisture-retentive gel packs, or some other moist material (McMahon, 2020). Bare root trees are usually harvested as soon as possible before packaging and shipping. The longer these trees are stored outside of the soil, the greater the risk of damage from the roots drying out. Harvesting bare-root trees often uses less expensive equipment than ball-and burlap. Growers also save money in comparison to container production because there is no need for plastic containers, growing media, and labor associated with potting up plants. Because there isn’t any weight from soil or bulk from containers, shipping bare root plants is less expensive than other production methods. Bare root production is usually more successful with young trees rather than larger trees. While the majority of bare root plants are grown in traditional field production, new methods are growing in popularity. The Missouri Gravel Bed System is a new production method that allows bare root trees to be harvested and planted locally at any time of year. If bare root plants need to be packaged and shipped, they should be harvested when dormant (Starbuck, 2005). First, a planting bed is prepared with a rubber liner, then filled with a mixture of pea gravel, sand, and calcined clay. Bare root trees are planted during the dormant season. Liners can be spaced more closely than in a Missouri Gravel Bed system than in traditional field production. Consistent, daily irrigation is required to ensure roots remain moist in the free-draining sand and gravel mixture. A drip irrigation system is installed with emitters spaced over the root zone of the young trees. Slow-release fertilizer can be applied at planting, or a liquid fertigation system can be connected to the drip irrigation system (DeMaris, 2015). When it is time to harvest, trees can be lifted relatively easily from the sand and gravel mixture and the roots can be cleaned by hand or with a water hose (Figure 6.2.3). If the trees are to be planted locally soon after harvest, the roots can be wrapped in a tarp to conserve moisture and for ease of transportation. If the trees are to be shipped, the roots should be wrapped in damp sphagnum moss, shredded newspaper, moisture-retentive gel packs, or some other moist material. While bare root plant production tends to be limited to smaller plant material, larger caliper trees can be produced in a Missouri Gravel Bed system. Containerized Production Growing both herbaceous and woody species of plants in plastic containers that sit above the ground is one of the most popular forms of plant production (Figure 6.2.4). Containerized production is very different from field-grown production and presents its own unique set of challenges and benefits. Growing Medium Plants are grown in plastic containers that are filled with growing medium, which is a mixture that often contains soilless products, such as peat moss, coconut coir, composted bark, composted sawdust, vermiculite, perlite, parboiled rice hulls, or sand ( McMahon, 2020). The grower will often create a custom mixture for the species grown, which allows for better consistency for the root environment between plants and more control for the grower. This increased control over the growing environment can speed up production time for container nurseries when compared to traditional field-grown production. Growing media is usually more lightweight than native soil, which allows for easier and less expensive transportation than ball-and-burlap plants. Roots of container plants are completely contained within a plastic pot, which prevents damage and root loss common when harvesting field-grown trees. Container plants can be grown much closer together than they would in field production, which allows for higher yields of harvestable plants. Managing Wind Tipping Plants grown in containers are prone to blowing over in the wind. Correcting plants that have blown over can be a labor-intensive part of container production. Containers must be upright to receive rainwater or sprinkler irrigation. Plants that have blown onto their side may become drought stressed. Top-dressed fertilizer and some of the growing media may be lost when pots blow over, causing inconsistent growth between plants (Mathers, 2003). Container nurseries often plant trees quite deeply in the pot in an effort to prevent blowing over. While this practice doesn’t usually negatively impact plant health in the nursery, it can ultimately lead serious damage for some species of trees in the landscape. Landscapers are encouraged to remove the top layer of growing medium at planting and identify the root flare. The root flare is the area where the first woody roots emerge from the trunk or stem. This root-shoot junction should be level with the soil at planting (Gilman, 2017). Some growers limit blow-over by staking rows or running pipes tightly alongside containers between rows (Figure 6.2.5). Managing Circling Roots While “plantable” and compostable nursery pots are available to growers, black plastic is by-far the most common material used for container production, which has some limitations (Nambuthiri, 2015). When plant roots touch the smooth sides of plastic pots, they begin to grow in a circular fashion around the outside of the root ball. Plants with circling roots take longer to anchor into soil after planting as well as establish in the landscape. As the plant increases in size, circling roots can develop into girdling roots, which will cut off circulation between the root system belowground and the stem and leaves aboveground, eventually killing the plant (Figure 6.2.6). Such plants are also more susceptible to wind damage in the landscape due to poor root colonization and lack of anchorage (Gilman, 2017). Simply teasing or breaking these circling roots at planting is not enough to prevent future girdling. The outer inch of all sides of the root ball must be sliced with a sharp spade before planting to completely remove all circling roots. While this practice may seem severe, it is best for the long-term health of the tree (Gilman, 2017). Typically, plants in larger containers can be sold for higher prices than plants in smaller containers. As plants increase in size, they are often moved from smaller to larger pot sizes. When nursery plants with circling roots are moved to a larger pot size, there may be a layer of circling roots within the larger root ball that customers may not be able to see. These circling roots also have the potential to grow into girdling roots. Nurseries should pot on plants before they become rootbound, remove circling roots before increasing pot size, or use “root pruning” containers (Gilman, 2009). There are a variety of root pruning containers available to growers. Some nurseries may coat the interior of a standard plastic container with a root pruning chemical (typically a copper agent). When roots come into contact with the side of the pot, the root tip will die back rather than turning to grow along the side of the pot, promoting more lateral rooting within the root ball. Other growers may opt for air pruning containers that have small holes or slits along the sides of the pot (Figure 6.2.7). Root tips will die back when exposed to air outside of the pot, promoting more lateral rooting within the container (Stuewe, 2006). Moderating Container Temperature Moderating the temperature of the root zone of container-grown plants is a major concern for growers. In the heat of summer, black plastic pots can become extremely hot, reaching temperatures up to 137 degrees Fahrenheit in some Southern states. In the cold of winter, the roots of container plants aren’t insulated by soil as with field-grown production and can be exposed to extremely cold temperatures before plants have completely acclimated for winter. Both extremes in temperature can damage or kill plant roots, which in turn will damage or kill the plants themselves (Mathers, 2003). Tennessee nursery growers tend to rely on high tunnels (or “poly houses”) to protect container plants from extreme temperatures. When temperatures dip in the fall, a single layer of polyethylene plastic film is stretched over a hoop frame (Figure 6.2.8). The growing environment within the polyhouse is warmed by the radiant energy of the sun during the day and holds warmer temperatures into part of the evening. Even though a polyhouse will lose a great deal of heat on cold days, temperatures within high tunnels are usually several degrees warmer than outside. Growers in northern climates may need to provide additional insulation around container plants by layering straw, mulch, or poly-coated plant foam around pots. The sides of the polyhouse may need to be raised on warm, sunny days to ventilate hot air and to allow plants to acclimate to outside temperatures. When temperatures begin to rise in the spring, growers often remove the polyethylene covering and may replace it with shade cloth (Figure 6.2.9) (McMahon, 2020). Pot-in-Pot Production In pot-in-pot production, container plants are placed within a slightly larger plastic pot that is buried at ground level. This production system was developed in the South as a way to help moderate extremely warm temperatures in the root zone during the heat of summer. The insulating qualities of the surrounding soil in pot-in-pot production can help prevent cold damage in northern climates as well (Mathers, 2003). In fact, plants that are grown in a pot-in-pot system typically don’t require protection from insulation or a high tunnel (McMahon, 2020). Pot-in-pot production completely removes the challenges associated with pot blow-over in normal container production. Supplemental watering is often tailored for individual plants, with each pot connected to a drip irrigation emitter or next to a micro-irrigation spray stake. In addition to using more water-efficient irrigation techniques, plants grown in a pot-in-pot system tend to lose less water due to runoff and evaporation. Harvesting is as simple as lifting the potted plant from the larger in-ground container (McMahon, 2020). In-Ground Fabric Containers Some nurseries produce woody material by planting liners in fabric rather than plastic containers. Native soil is used to fill the containers rather than soilless growing media common in other forms of container production. These containers are then planted in-ground where plants are left to grow and develop (Fabric, 2020). Plants grown using in-ground fabric containers can develop the same amount or more roots than plants grown in ball-and-burlap production. However, the root ball of plants grown in fabric containers will have a smaller volume than those grown using ball-and-burlap methods, which makes the plant easier to handle (Gilman, 1996). This is important, as root loss caused by harvesting field-grown plants or removing circling roots of container plants is typically the primary cause of transplant failure. Root loss affects hormone synthesis which regulates shoot growth (Vandergriff, 200). Some fabric containers prevent large roots from developing outside of the container. This promotes more fibrous rooting and can make harvesting somewhat easier. Other systems allow larger roots to explore the soil beyond the fabric container. Because their root growth is restricted to the container, plants grown in fabric bags require more supplemental irrigation than those grown using traditional field production methods (Fabric, 2020). When it is time to harvest, the grower digs around the fabric bag, cuts any roots that have grown through, and lifts the plant and bag from the soil. Plants may be sold in their fabric bags (usually to landscapers) or potted up in a plastic container prior to sale. Plants grown in fabric containers must be “hardened off” for several weeks between harvesting and planting. This hardening off period is crucial to allow plants to recover from the loss of roots growing beyond the bag (Fabric, 2020). Dig Deeper "Layout and Design Considerations for a Wholesale Container Nursery" by T.H. Yeager & D.L. Ingram, University of Florida. Copyright © University of Florida IFAS Extension. Used with permission. "Planting and Establishing Trees" by E.F. Gilman & L Sadowski, University of Florida IFAS Extension. Copyright © University of Florida IFAS Extension. Used with permission. "Strategies for Growing a High‐Quality Root System, Trunk, and Crown in a Container Nursery" by E.F. Gilman & B. Kempf, Urban Tree Foundation. Copyright © University of Florida IFAS Extension. Used with permission. Attribution and References Attribution Title image "20170831-OSEC-LSC-0145" by USDAgov is licensed under CC PDM 1.0 References DeMaris, S., & Shervey, M. (2015). Missouri gravel bed. North Dakota Urban and Community Forestry Association. Retrieved November 2021 from, https://nducfa.org/wp-content/uploads/2015/09/Missouri-Gravel-Bed.pdf Fabric grown container trees. (2020). University of Florida IFAS. Retrieved November 2021 from, https://hort.ifas.ufl.edu/woody/grow-bag-more.shtml Gilman, E.F. & Beeson, R.C. (1996). Nursery production method affects root growth. Journal of Environmental Horticulture, 14(2): 88-91. Gilman, E.F. & Kempf, B. (2009). Strategies for growing a high-quality root system, trunk, and crown in a container nursery. University of Florida IFAS. Retrieved June 2021 from, https://hort.ifas.ufl.edu/woody/documents/BMP-container-production.pdf Gilman, E. F. & Sadowski, L. (2017). Planting and establishing trees. University of Florida IFAS. Retrieved June 2021 from, https://edis.ifas.ufl.edu/pdf%5CEP%5CEP31400.pdf Mathers, H.M. (2003). Summary of temperature stress issues in nursery containers and current methods of protections. HortTechnology, 13(4): 617-624. McMahon, M. (2020). Plant science: Growth, development, and utilization of cultivated plants (Sixth edition.). Pearson Education, Inc. Nambuthiri, S. Fulcher, A., Koeser, A.K., Geneve, R. & Niu, G. (2015). Moving towards sustainability with alternative containers for greenhouse and nursery crop production: A review and research update. HortTechnology, 25(1): 8-16. Starbuck, C., Struve, D. K., & Mathers, H. (2005). Bareroot and balled-and-burlapped red oak and green ash can be summer transplanted using the Missouri gravel bed system. HortTechnology, 15(1), 122–127. https://doi.org/10.21273/HORTTECH.15.1.0122 Stuewe, E. (2006). Panel discussion: Trends in container types. National Proceedings: Forest and Conservation Nursery Associations-2005, Fort Collins, CO. Retrieved November 2021, from https://rngr.net/publications/fnn/2007-winter/new-nursery-literature/panel-discussion-trends-in-container-types/?searchterm= University of Missouri. (n.d.). Improving the efficacy of the Missouri gravel bed as a tool for facilitating bare root handling of trees and shrubs. USDA Research, Education & Economics Information System. Retrieved November 2021, from https://reeis.usda.gov/web/crisprojectpages/0208698-improving-the-efficacy-of-the-missouri-gravel-bed-as-a-tool-for-facilitating-bare-root-handling-of-trees-and-shrubs.html Vandergriff, D.S. & Clatterbuck, W.K. (2000). Transplanting Trees. University of Tennessee Extension. Retrieved June 2021 from https://extension.tennessee.edu/publications/Documents/sp572.pdf Watson, G.W. (1986). Cultural practices can influence root development for better transplanting success. Journal of Environmental Horticulture, 4(1): 32-34.	oercommons	2025-03-18T00:38:55.418293	null	{ "license": "Creative Commons - Attribution - https://creativecommons.org/licenses/by/4.0/", "url": "https://oercommons.org/courseware/lesson/87613/overview", "title": "Statewide Dual Credit Introduction to Plant Science, Nursery Production", "author": null }
https://oercommons.org/courseware/lesson/87614/overview	6c - Choosing Suitable Trees for Urban and Suburban Sites COPYRIGHTED 6c - Urban Tree Selection for Diversity COPYRIGHTED Environmental Factors that Influence Plant Selection Overview Title image "Team Work" by USFWS/Southeast is licensed under CC BY 2.0 Did you have an idea for improving this content? We’d love your input. Introduction Lesson Objectives Identify various environmental factors that influence landscape plant selection. Describe the influence of photoperiod, hardiness, nativity, availability, and durability on landscape plant selection. Key Terms hardiness - the ability of a plant to withstand cold temperatures nativity - describes a species that has occurred naturally in a particular region, ecosystem, or habitat without human introduction photoperiod - the daylength (or period of daily illumination from supplemental light) required for normal plant growth; many species require specific photoperiods to initiate floral development, begin cold acclimation, or overcome winter dormancy site adaptability - the relationship between the needs of the plant and the environment and soil conditions on the property and/or designated planting area Introduction Nurseries are trusted by their customers to provide high-quality plant material that will thrive in the landscape for years to come. Nurseries that supply a local or regional clientele are responsible for understanding common environmental conditions their customers may be dealing with and provide trees, shrubs, and herbaceous plants that will perform well in those situations. Clients should conduct a comprehensive site evaluation to determine the environmental conditions of the site to be planted, outline any proposed site modifications, and prepare a maintenance plan that specifies irrigation, pruning, fertilization, and cleanup. Landscapers should visit similar sites in the area, explore a local public garden, park, or nature preserve for inspiration, and reach out to a local nursery grower for advice about local availability (Gilman, 2017). Site Evaluation A comprehensive site evaluation that takes into account the growing environment both above- and below-ground is the first step in choosing the trees, shrubs, and herbaceous plants that will thrive in a given landscape. Researching the site’s average temperatures, light availability, topography, proximity to trees and structures, soil quality, and utilities are all important considerations when selecting plant species that will perform well in the landscape. Of course, various types of plants and gardening styles have different maintenance requirements. The relationship between the needs of the plant and the environment and soil conditions on the property and/or designated planting area is known as site adaptability. Conducting a site evaluation can take some time and research, but those who make the effort will be rewarded with a more resilient landscape and knowledge can be applied to similar projects in the future (Gilman, 2017). Temperature Hardiness is the ability of a plant to withstand cold temperatures. The USDA plant hardiness zones are defined according to the minimum temperatures that can be expected (Figure 6.3.1). However, these ratings only take into account average minimum temperature – not early or late freezes, precipitation, soil characteristics, or heat, which are all factors in overall plant hardiness (McMahon, 2020). For example, Knoxville, Tennessee is in the same hardiness zone (7a) as Navaho County, Arizona, Philadelphia, PA, and Walla Walla, Washington. The light intensity, day length, seasonal rainfall, and plant’s abilities to store up enough carbohydrates for winter vary for each location, but each of those factors into overall cold hardiness (Raulston, 1996). Microclimate plays a role in overall hardiness. Even the side of a city street that a plant is grown in can play a part in plant hardiness and performance, as the north-facing side may be more shaded and cooler than the other. Planting tender plants next to a warm, south-facing wall or a water feature can offer some winter protection (Raulston, 1994) Basic maintenance activities can also impact plant hardiness. Watering and fertilizing plants late in the season signals to plants that they should delay acclimation. The result is cold damage because plants are not prepared for winter. This is true both out in the landscape and in plant nurseries. That late season push to get a plant up to the next pot size can end up costing a nursery grower another growing season for recovery (Raulston, 1994). Plant hardiness varies depending on which plant organ is exposed to cold temperatures. Flower buds can be less cold hardy than vegetative buds. Roots are less cold hardy than shoots because they are typically insulated by soil. Container-grown plants may be less cold hardy than their in-ground counterparts because their roots are more exposed to cold (Raulston, 1994). With rising global temperatures, heat tolerance is another important factor to consider when selecting plants. The American Horticulture Society has prepared a map similar to the USDA hardiness map which is based on a region’s normal high temperatures (Figure 6.3.2). There are twelve zones on the map listed from Zone 1, which highlights areas with fewer than one “heat day” per year, to Zone 12, which includes locations that have more than 210 heat days each year. A heat day is a day where temperatures are at least 86 degrees Fahrenheit. Some landscape managers select species that demonstrate cold hardiness in their region and are ranked in a slightly warmer heat zone. Many species have been tested for cold hardiness, and a growing number of plants are being tested for their heat tolerance as well. However, it’s important to keep in mind that there is often ecotypic variation within species where individuals have adapted to specific environmental conditions. (An ecotype is a genetically distinct population that has adapted to its particular environment.) To revisit our example from Unit 6, Lesson 1: Nursery Site Selection, red maple (Acer rubrum) can be found growing naturally throughout Eastern North America, as far north as Canada and south into Florida. Tennessee growers would have a difficult time growing a Canadian ecotype of red maple that is adapted to the longer photoperiod and shorter growing season common at a northerly latitude. A Canadian ecotype would come out of winter dormancy later in the season than a Tennessee variant. Conversely, a Florida ecotype of red maple may break dormancy too early in the growing season, resulting in cold damage (Raulston, 1994). What does this practically mean to nursery growers and landscape professionals? The provenance of plant material will impact success in the landscape. To continue the earlier example, a nursery grower in Tennessee that wishes to cultivate red maple should source seed or cuttings from an ecotype that is compatible with the growing environment. However, not all species are restricted to their native range. Botanic gardens often experiment by growing species adapted to environments different than the site and are important resources to nursery growers and landscape professionals who are interested in using new plants. Above-Ground Site Analysis It is crucial to consider the above-ground growing environment before selecting plants. If a landscape design is being provided, it is important that the designer visit the site to evaluate elements such as light exposure, slope, wind, existing trees, utility wires, lights, and other structures before putting pen to paper. This information must be communicated to the installation crew and customer to ensure the correct species and varieties are used and that proper spacing is followed. Light Exposure Visit the site at various points throughout the day to map light exposure throughout the landscape. Plant species are categorized as needing full sun, partial sun, or full shade. Areas that receive 6 or more hours of sun are suitable for full sun plants. Partial sun plants will need between 3 to 6 hours of direct sunlight for healthy growth. Areas with fewer than 3 hours of direct sun are best suited for shade loving plants (Gilman, 2017). Topography South and west facing slopes tend to be drier than other aspects and will lose more water due to evaporation and transpiration from plants. Select drought tolerant plants, avoid trees with thin bark (such as cherries and maples), and add supplemental irrigation if needed. Northern slopes are usually more sheltered with less water lost to the environment (Gilman, 2017). However, plants grown on northern exposures may leaf out later in the growing season (Morby, 1964). Other Trees Trees that have the potential to develop into large shade trees usually prefer 6 hours of direct sun and need at least 3 hours of sun for healthy development. If young trees are not planted in an environment with sufficient sun, they will either bend toward the light resulting in an undesirable uneven canopy (Gilman, 2017). When light is limited due to existing large trees, many species of trees will adapt to grow extremely slowly until an opening in the canopy develops after a larger tree falls. Utility Wires, Lights, and Structures “Look up before you plant,” is some excellent advice from Dr. Edward Gilman and Laura Sadowski in their publication “Choosing Suitable Trees for Urban and Suburban Sites”. This may sound simple enough, but a short drive through an urban or suburban neighborhood will demonstrate that too often people do not look up before planting a tree (Figure 6.3.3). Species that have the potential to grow into large shade trees should be planted at least 20 feet away from utility wires, lights, signs, buildings, and other structures. Trees that are planted too close to utility lines are usually trimmed by utility companies, resulting in uneven and unsightly canopies (Gilman, 2017). Below-Ground Site Analysis Soils and other below-ground characteristics are often neglected during site analysis. Plants need healthy root systems to perform well in the landscape, and a less-than-ideal soil environment can lead to serious problems in the future. Soil Quality A soil’s texture (the percentage of sand, silt, and clay particles) will influence soil aeration, water holding capacity, and drainage. The acidity or alkalinity of a soil (measured as pH) will influence nutrient availability. The University of Tennessee Extension’s Soil, Plant, and Pest Center offers soil testing services that can provide growers with detailed information about a sample’s texture, pH, organic matter, and nutrient content, as well as instructions on how soil can be amended to maximize crop growth. Compacted Soil Soil can be compressed by heavy machinery (Figure 6.3.4) and human or animal traffic, leading to a compacted layer within the soil. Compacted soils are common in urban and suburban sites but can be found rural areas as well. Compacted soils are denser than they were prior to compaction, with less pore space for air and water, decreased drainage, and a higher bulk density (McMahon, 2020). It is much easier to prevent soil compaction than to fix compacted soils. Limit vehicle traffic across sites, especially when soils are wet. Use equipment with continuous tracks rather than wheels whenever possible. Protect the root zones of trees in high-traffic areas by installing underground cells (McMahon, 2020). Simply spreading a layer of topsoil over a site after construction will not remedy subsoil soil compaction. Plant roots are unable to colonize and anchor into compacted soils. Large trees will develop shallow root systems, making them more prone to wind damage and hazardous (Gilman, 2017). Underground Utilities All underground utilities, including electric, cable, telephone, water, sewer, and gas lines, must be marked before breaking ground. Tennessee residents can call 811 to reach the state’s underground utility center. The roots of large trees can take advantage of any cracks or leaks in water and sewer lines, leading to potentially expensive repairs. Avoid planting such trees within at least 10 feet of utility lines (Gilman, 2017). Evaluate Maintenance Practices Not all species of plant or landscape style have the same maintenance demands. Before specifying material that will require routine irrigation, annual pruning, supplemental fertilization, and pest control, ask about the maintenance plan. More clients today are shifting from heavily manicured landscapes that demand substantial water, fertilizer, and pesticide use and are looking for environmentally sustainable, biologically diverse, and native options that will have better durability. Unfortunately, in some areas, client choice is limited due to lack of availability of more durable selections. Online and mail order specialty nurseries have been filling the gap by producing specialty seed, plant plugs, and liners for delivery. Local nursery growers can keep up with demand by producing drought tolerant and low maintenance plants as well as species that are native to their region. Environmentally Sustainable Choices The most durable, resilient landscapes are the ones where plant material is tailored to the unique environment of the site. Putting the right plant in the right place will reduce maintenance demands and will lead to healthier plantings. Healthy plants are less susceptible to pest and disease pressures than stressed plants (Martinez, 2020). Use the information gathered in the site evaluation to select species that will thrive with little or no need for supplemental irrigation or fertilizer once established. Choose drought tolerant species (such as juniper, some oaks, and elms) to grow in dry soils. Select plants that will tolerate “wet feet” (like bald cypress, river birch, or red maple) for sites that have poor drainage. Choose compact or low growing varieties for areas where visibility, wires, structures, or aesthetics would otherwise require regular pruning. Biologically Diverse Selections Plantings that include representatives from different plant families are usually more resilient in the face of pest and disease pressure. In the past, many designers have opted to create mass plantings of just one or a few species. While these monoculture plantings do have uniform growth and aesthetic impact, exclusively planting just one species or using primarily members of the same plant family allows pest and disease to spread easily within the landscape. Lack of biodiversity in landscapes have led to catastrophic loss of urban tree canopy across the country. Dutch elm disease (Ophiostoma ulmi) was introduced to the United States in the 1930s. This devastating disease was spread by bark beetles and quickly decimated populations of American elm (Ulmus americana). This had widespread impacts on both street tree plantings and natural areas (Windham, 1999). The emerald ash borer (Agrilus planipennis) was accidentally introduced to the United States from Asia in 2002. By 2010, this destructive pest had spread to Tennessee through infected nursery plants, firewood, and other wood products and has quickly killed ash trees (Fraxinus spp.) growing in cultivated and natural areas through much of the eastern half of the state (Emerald, n.d.). While individual species can be more susceptible to some pests and disease pressures, members of the same plant family are often predisposed to the same health problems. Not only are the same species commonly repeated across plantings, genetically identical clones of popular varieties are usually preferred. Studies have shown that forests that are high in genetic diversity are less vulnerable to health problems caused by pests, diseases, and climate change (Hilbert, 2020). Avoid over-use of clonal varieties and cultivars in mass plantings, aim to combine different species of plants, and research plant families to create a resilient, genetically diverse landscape (Figure 6.3.5). Native Plants The term nativity in the green industry can mean different things to many people. Some growers mark a species as a native plant if it is native to North America. Other nurseries reserve the term native for species that naturally occur locally to their area. According to the National Wildlife Foundation, “A plant is considered native if it has occurred naturally in a particular region, ecosystem, or habitat without human introduction.” Native species have precise relationships with endemic wildlife, and many species of animals are dependent on specific families, genera, or species of plants to complete a part of their lifecycle. Keep in mind that a plant will not necessarily thrive in any landscape within its native range. As with any other species of plant, natives should be selected based on their suitability to the site. Dig Deeper "Choosing Suitable Trees for Urban and Suburban Sites: Site Evaluation and Species Selection" by E.F. Gilman & L. Sadowski, University of Florida IFAS Extension. Copyright © University of Florida IFAS Extension. Used with permission. "Urban Tree Selection for Diversity" by D.R. Hilbert, A.K. Koeser, R.J. Northrop, University of Florida IFAS Extension. Copyright © University of Florida IFAS Extension. Used with permission. Attribution and References Attribution Title image "Team Work" by USFWS/Southeast is licensed under CC BY 2.0 References Emerald ash borer. (n.d.). Protect TN Forests.org. Retrieved December 2021 from https://www.protecttnforests.org/emerald_ash_borer.html Gilman, E.F. & Sadowski, L. (2017). Choosing suitable trees for urban and suburban sites: Site evaluation and species selection. University of Florida IFAS Extension. Retrieved June 2021 from https://edis.ifas.ufl.edu/pdf%5CEP%5CEP31000.pdf Hilbert, D.R., Koeser, A.K. & Northrop, R.J. (2020). Urban tree selection for diversity. University of Florida IFAS Extension. Retrieved June 2021 from https://edis.ifas.ufl.edu/pdf/EP/EP58900.pdf Martinez, A. & Williams-Woodward, J. (2020). Common landscape diseases in Georgia. University of Georgia Extension. Retrieved December 2021 from https://secure.caes.uga.edu/extension/publications/files/pdf/B%201238_8.PDF McMahon, M. (2020). Plant science: Growth, development, and utilization of cultivated plants (Sixth edition). Pearson Education, Inc. Raulston, J.C. & Tripp, K.E. (1994). Exploring the complexities of plant hardiness. Arnolida, 54(3): 22-31. Windham, A.S. (1999). Diseases of shade and ornamental trees. University of Tennessee Extension. Retrieved December 2021 from https://extension.tennessee.edu/publications/Documents/SP546.pdf	oercommons	2025-03-18T00:38:55.473063	null	{ "license": "Creative Commons - Attribution - https://creativecommons.org/licenses/by/4.0/", "url": "https://oercommons.org/courseware/lesson/87614/overview", "title": "Statewide Dual Credit Introduction to Plant Science, Nursery Production", "author": null }

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