Unit I: Constitutional Underpinnings of U.S. Government Chapters 1-3.

Unit I: Constitutional Unit I: Constitutional Underpinnings of U.S. Underpinnings of U.S. GovernmentGovernment

Chapters 1-3

“The essence of Government is power; and power, lodged as it must be in human hands, will ever be liable to abuse.” - James Madison

Answer the Key Answer the Key QuestionsQuestionsAnswer the Key Answer the Key QuestionsQuestions

1. Who governs? ~How is political power actually

distributed in America?2. To what ends?

~What values matter most in American democracy? ~Are trade-offs among political values inevitable?

Politics and GovernmentPolitics and GovernmentPolitics: the art or science concerned with winning and holding control over a government

“Who gets what when and how.” Laswell ~ American Political Scientist

Government: institution in which decisions are made that resolve conflicts or allocate benefits and privileges

Why is government necessary?Why is government necessary?

To Maintain Order:Maintaining peace and security by protecting members of society from violence and criminal activity is the oldest purpose of government.

To Preserve Liberty:The greatest freedom of individuals that is consistent with the freedom of other individuals in the society; can be promoted by government.

What is political power?What is political power?What is political power?What is political power?• Definition- the ability of one

person to get another person to act in accordance with the first person’s intentions. (Ex.)

• Increasing extension of power into everyday “private” issues (Ex.)

~FDA~New Deal

~Patriot Act: http://videos.howstuffworks.com/howstuffworks/45614-post-9-11-the-patriot-act-video.htm

Authority and Legitimacy Authority and Legitimacy Authority is the right to use power ~Formal authority refers to the notion that the right to exercise power is vested in government office. Legitimacy is political authority conferred by law or state/national constitution.

~In the United States political authority is perceived as legitimate if it

conferred by the Constitution. ~Our history has been molded by a struggle over what constitutes legitimate authority.

http://video.msnbc.msn.com/rachel-maddow-show/52370499#52370499

Forms of GovernmentForms of GovernmentForms of Government

Totalitarian Regime

Government controls all aspects of the political and social life of a nation.

Authoritarian A type of regime in which only the government itself is fully controlled by the ruler. Social and economic institutions exist that are not under the government’s control.

Aristocracy Rule by the “best”; in reality, rule by an upper class.

Democracy A system of government in which political authority is vested in the people. Derived from the Greek words demos (“the people”) and kratos (“authority”).

STALIN

JUNG UN

ROUHANI

ABDULLAH

Types of DemocracyTypes of Democracy1. Direct or Participatory Democracy (Aristotelian

“rule of the many”) A government in which all or most citizens participate

directly. Fourth century B.C. Greek city-state (polis), most notably

the Athenian Assembly, practiced direct democracy. Characterized by political equality, citizen participation,

the rule of law, and free and open debate. Limitations were scale and exclusivity (free adult male

property owners) New England town meeting most closely approximates the

Aristotelian ideal Most have abandoned the town meeting style of government

because of size and complexity. They have replaced it with representative government.

Examples of direct democracy in America today: Initiative, Referendum, Recall

Types of Democracy (continued)Types of Democracy (continued)2. Representative Democracy or Elitist

Democracy A government in which leaders make decisions by

winning a competitive struggle for the popular vote (economist Joseph Schumpter)

Justified for two reasons: impractical for people to decide public policy and dangerous to allow people to make decisions on critical issues.

The framers use the phrase “republican form of government” to mean representative democracy. For this system of government to work there must be competition for leadership. Individuals and parties can run for

office Communication is free Voters perceive that there is a

meaningful choice

Is Representative Democracy Best?Is Representative Democracy Best?

The Framers of the Constitution favored representative democracy because:• Peoples will not synonymous

w./ the “public good”. • Masses lacked knowledge &

susceptible to manipulation. • It minimized the abuse of

power by a popular majority or officeholders.

http://www.youtube.com/watch?v=bVD0bZ5H4MY

1. Majoritarian Politics• Elected officials are the delegates

of the majority of the people and act in accordance to their will.

• Applies when issues are simple and clear

2. Elitism• Rule by identifiable group of

persons who possess a disproportionate share of political power.

• Occurs when circumstances do not permit majoritarian decision making.

Theories of Political Decision Theories of Political Decision Making Making

1. Marxism• Karl Marx -The Communist Manifesto 1848)• Government is controlled by the dominant

social class2. Power Elite

• C. Wright Wills in The Power Elite (1956) • Power elite (corporate, military, political

leaders…others?) control and are served by the government

3. BureaucraticMax Weber in Economy and Society(1922)Power in the hands of appointed officials who exercise power when deciding how public laws are turned into action

4. PluralistBernard Berelson, Paul Lazarsfeld and William McPhee in Voting (1954)Competition among all affected interests shapes public policy. System is too complex to be controlled by one group within or outside of government.

Is democracy driven by self-Is democracy driven by self-interest ? interest ? Individual vs. Common GoodIndividual vs. Common Good

John Locke and Thomas Hobbes (Social Contract Theory)

Humans are reasonable creatures who can use reason to improve their own social existenceHumans are self-interested Political society exists to allow for prosperity Americans often act spontaneously and on behalf of the disinterested.Honor principle

“America is great because she is good. If America ceases to be good, America will cease

to be great.”~ Alexis de Toqueville

Locke’s Key Principles

INTRODUCING …………..INTRODUCING …………..Baron de Montesquieu

Jean-Jacques Rousseau

Thomas Hobbes

John Locke

Hobbes Locke Rousseau

State of Nature

The state of nature is a state of war. No morality exists. Everyone lives in constant fear. Because of this fear, no one is really free, but since even the “weakest” could kill the “strongest”… men ARE equal.

Men exist in the state of nature in perfect freedom to do what they want. The state of nature is not necessarily good or bad. It is chaotic. So, men do give it up to secure the advantages of civilized society.

Men in a state of nature are free and equal. In a state of nature, men are “Noble Savages”. Civilization is what corrupted him.

Purpose of Governmen

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To impose law and order to prevent the state of war.

To secure natural rights, namely man’s property and liberty.

To bring people into harmony. To unite them under the “General Will”.

Representation

Governments are designed to control, not necessarily represent.

Representation ensures that governments are responsive to the people. Representation is a safeguard against oppression.

Representation is not enough. Citizens cannot delegate their civic duties. They must be actively involved. Rousseau favors a more direct democracy to enact the general will.

Impact on Founders

Governments must be designed to protect the people from themselves.

• Governments must be designed to protect the people from the government.

• Natural Rights must be secured.

• Governments must be responsive and aligned with the general will.

• People make a nation, not institutions.

• Individual wills are subordinate to the general (collective) will.

Hobbes, Locke and Rousseau Comparison

“The state of nature has a law of nature to govern it, which treats everyone

equally…Being equal and independent, no one ought to harm another in his life, health, or possessions.” -John Locke

“The old traditions are apt to lead men into mistakes, as this idea of fatherly power’s probably has done, which seems so eager to place the power of parents over their

children wholly in the father, as if the mother has no share in it. Whereas if we consult reason or the Bible, we shall find she has an equal title.” -John Locke

“Whensoever the government shall put into the hands of any other an absolute power over the lives, liberty, and estates of the people, by this breach of trust they forfeit the power of the people…who have a right to

resume their original liberty, and by the establishment of the new government provide for their own safety and security.” -John Locke

Chapter 2 Chapter 2 The Constitution

Key QuestionsKey Questions1. Who governs?

~What is the difference between a democracy and a republic?

~What branch of government has the greatest power?

2. To what ends?~Does the Constitution tell us what goals the government should serve?~Whose freedom does the Constitution protect?

EXPLAINED….. http://www.youtube.com/watch?v=E-gEkKzRvbI

The Problems of LibertyThe Problems of Liberty Colonists were focused on individual liberty

• The right to bring legal cases before independent judges• The right to not have troops in their homes• The right to trade without restrictions• The right to pay no tax that was levied without direct

representation

The colonial mind

• Believed men sought power because they are ambitious, greedy and easily corrupted

• Believed in a higher law that embodied natural rights (life, liberty and property)

• Declaration of Independence was designed to inform George III of ways that their unalienable rights were being violated. The list of 27 grievances was aimed at protecting the colonists rights as British citizens.

http://www.youtube.com/watch?v=nrvpZxMfKaU

Problems (continued)Problems (continued)The “Real” Revolution

• The real revolution was the “radical change in the principles, opinions, sentiments, and affections of the people” (John Adams) as it relates to legitimate authority and liberty.

• Government exists by the consent of the governed, not by the will of a king

• Political power can only be granted by a written constitution

• Human liberty exists prior to government and government must respect liberty

• Legislative branch would be superior to the executive branch because it directly represents the people.

Problems (continued)Problems (continued)

Shay's RebellionShay's Rebellion

"What country can preserve its liberties if its rulers are not warned from time to time that their people preserve the spirit of resistance? What signify a few lives lost in a century or two? The tree of liberty must be refreshed from time to time with the blood of patriots and tyrants. It is the natural manure.“ -- Thomas Jefferson in response to the rebellion

How to get citizens on board How to get citizens on board with a US Constitution….with a US Constitution….

Federalists papers (85 written under the name of “publius”)

He defines a faction as "a number of citizens, whether amounting to a minority or majority of the whole, who are united and actuated by some common impulse of passion, or of interest, adverse to the rights of other citizens, or to the permanent and aggregate interests of the community".

http://www.youtube.com/watch?v=GNN95-ICOMI&edufilter=TdPjsi_F4gag0RM4eydsBw#aid=P8rIYpHjmIA

The Constitutional ConventionThe Constitutional ConventionMay 25 – September 17, 1787May 25 – September 17, 1787Philadelphia, PAPhiladelphia, PA

Delegates- 74 appointed, 55 attended Purpose- Revise the Articles of

Confederation Absent-Thomas Jefferson, John

Adams and Patrick Henry Convention president- George

Washington Critical question- How could the

government be strong enough to preserve order but not threaten liberty?

Key ChallengesKey ChallengesPlan Key PointsThe Virginia PlanJames Madison

1. Strong national government organized into three branches2. Bicameral legislature (one by the people, one by the other house)3. Executive (1 term) and judiciary (life) chosen by the legislature4. National legislature had supreme power

The New Jersey PlanWilliam Paterson

1. Created for fear that legislative representation would be based on population , allowing more populated states more power

2. Amend, not replace the Articles of Confederation3. Proposed one vote per state, so that Congress would be responsible to states.

Congress could raise revenue and regulate commerce; acts of the Congress would be binding to the states

4. Protected small states’ interests while expanding the role of the national government

The Great Compromiseor the Connecticut CompromiseOliver Ellsworth

1. House of Representatives based on population and elected directly by the people (65 members)

2. Senate composed of two members from each state and elected by state legislatures

3. Legislation had to be approved by both chambers, so it reconciled interests of large and small states

A New Constitution is ApprovedA New Constitution is ApprovedSeptember 17, 1787September 17, 1787

Ratification ProcessDelaware- December 7, 1787 Pennsylvania - December 12, 1787 New Jersey - December 18, 1787 Georgia - January 2, 1788 Connecticut - January 9, 1788 Massachusetts - February 6, 1788 Maryland - April 28, 1788 South Carolina - May 23, 1788 New Hampshire - June 21, 1788 Virginia - June 25, 1788 New York - July 26, 1788 North Carolina - November 21, 1789 Rhode Island - May 29, 1790

Ben Franklin’s Speech

Debating Ratification:Federalists v. Antifederalists

Why were the Bill of Rights not Why were the Bill of Rights not included in the Constitution?included in the Constitution?

• The Constitution included liberties before the addition of the Bill of Rights1. Writ of habeas corpus may not be suspended2. No bill of attainder or ex post facto law may

be passed by Congress or states3. Right of trial by jury guaranteed4. No religious test for federal office5. No law impairing contractual obligations

• Most states already had their own bill of rights

• Framers believed that they were creating a government with limited powers

A Need for a Bill of RightsA Need for a Bill of RightsFramers soon realized that the Constitution would not be ratified by large states without a promise that a Bill of Rights would soon be added.After all 13 states ratified, Madison introduced a ProposalTwelve were approved by the Congress and ten were ratified by the states.

Regulation on the number of representatives No law varying the compensation of

Senators and Representatives during a termThe Bill of Rights went into effect in 1791.Originally these amendments did not limit state power over citizens, only federal power.

http://www.youtube.com/watch?v=tlt6R1KD4E0

Constitution OverviewConstitution Overview

Article I- Legislative BranchArticle II- Executive BranchArticle III- Judicial BranchArticle IV- Full faith and credit, new

statesArticle V- Amendment process Article VI-Supremacy clause, oath of

office, no religious testArticle VII- Ratification process

The Constitution and The Constitution and DemocracyDemocracy

Framers had no intent of creating a pure or direct democracy.

Lack of minority rights, popular passions, time and distance

Created a representative democracyHouse elected directly by the peopleSenate elected by state legislatures (17th amendment)President elected by the electoral collegeAmendment process difficult

Informal Methods of Informal Methods of Constitutional ChangeConstitutional Change

1. Congressional Legislation2. Presidential Actions3. Custom and Usage4. Judicial Review Marbury v. Madison

(1803)

Constitutional Reform: Modern ViewsConstitutional Reform: Modern ViewsIs the federal government too weak or Is the federal government too weak or too strong?too strong?

Reducing the separation of powersMaking the system less democraticReduce the power of the court

Key Principles Key Principles 1. Separation of Powers- political power is

divided by three separate branches of government

2. Checks and Balances- power in the branches of government is restrained by other branches

3. Federalism- government authority is divided between the federal and state governments

Under these principles, government powers are divided into three broad categories:

1. Enumerated powers2. Reserved powers3. Concurrent powers

“The different governments will control each other, at the same time each will be controlled by itself.” James Madison

Separation of PowersSeparation of Powers The

Founders extended the limits on the power of the government by further dividing its powers.

Government Power

Legislative Executive Judicial

Checks and BalancesChecks and BalancesThe system of check and balances extends the

restrictions established by the separation of powers.

Each branch of government has the built-in authority and

responsibility to restrain the power of the other two

branches. This system makes government less efficient, but also prevents tyranny by one

branch.

Basic Principles 43

Chapter 3: Chapter 3: FederalismFederalism

Theories of FederalismTheories of FederalismDual Federalism Cooperative Federalism

Main Elements 1. Necessary and proper clause should be narrowly defined…enumerated powers only

2. National government powers are purposefully limited by the Constitution

3. Nation and states are sovereign in their spheres

1. National and state agencies work together

2. State and nation routinely share power

3. Power in not concentrated in any government level or agency

Critical Difference

Narrow interpretation of elastic clause and states’ rights

Broad interpretation of necessary and proper clause and the 10th amendment

Ideological alignment

Conservative Liberal

The Dynamics of Federalism: The Dynamics of Federalism: Legal Sanctions and Financial Legal Sanctions and Financial IncentivesIncentives

The balance of power between the nation and the states has always been political. Over time the power has shifted from the states to the national government for two key reasons:

1. Historical circumstances (i.e. Civil War, New Deal, Desegregation , War on Poverty)

2. Constitutional Amendments(Fourteenth and Sixteenth)

Other considerations:1. Federal Mandates2. Grants-in-Aid (Categorical and Block

Grants)3. Judicial Interpretation

Developing the concept of Developing the concept of FederalismFederalism McCulloch v. Maryland

(1819)- “duel (separate) federalism”

New Deal – “cooperative federalism”

Desegregation – “regulated” federalism”

War on Poverty “regulated” federalism”

Nixon’s New Federalism “state oriented”

Reagan and Bush “state oriented”