Midterm Study Guide

What had the colonists fought for? What is fundamental to the framers of the Constitution?

Fought for independence

Liberty is fundamental, evidence of this seen in the Constitution

What philosophers did the colonists look to when establishing a government?

Hobbes: all humans are created equal; popular sovereignty (agreement among people to decide ruler)

Locke: natural rights; agreement between people and sovereign; people have a right to revolt against an unjust government

Montesquieu: separation of powers; checks and balances

Rosseau: social contract; popular sovereignty

Problems with the Articles of Confederation

The federal government had no power, there was no bank and no taxes (and without taxes, war debts couldn’t be paid off)

Why was the Constitutional Convention called?

To amend the Articles of Confederation → ended up rewriting the Constitution

Constitutional plans set forward

Virginia Plan: representation based on population (from a big state), 3/5 compromise

New Jersey Plan: representation is equal (from a small state)

The Great Compromise

Without it, the Constitution wouldn’t have been ratified

Bicameral legislature: House is based on population, Senate is equal

Three-fifths compromise

Allowed slaves to count as part of a person in terms of votes → more representative power to slaveholding states

Ratification of the Constitution

9/13 special conventions from each state would have to ratify it: members of the convention were elected by the people

Federalist v. Antifederalist

F: supported Constitution, wanted a stronger central government (Hamilton, Jay, Madison)

A: wanted more power to the states and individual; Bill of Rights (Jeff, Yates \[Brutus\])

Federalist #10

Author: James Madison

Argument: Can’t get rid of factions because that would be a violation of liberties. Large republic will help control factions because when more representatives are elected, there will be a greater number of opinions.

Federalist #51

Author: Alexander Hamilton

Argument: checks and balances as exhibited by the Constitution are good

Key Principles of the Constitution

Popular sovereignty (will of the people)

Limited government (people decide how much power the government has)

Separation of Powers

Federalism

Checks and balances

Judicial Review

Branches of Government

Legislative: makes laws, Article I

Executive: carries out laws, Article II

Judicial: evaluates constitutionality of laws, Article III

Checks of one branch over another

President can veto Congressional decisions

President can nominate judges

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Congress can override presidential vetoes

Congress can confirm appointments for judges

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Court can overturn unconstitutional laws

Court can overturn unconstitutional executive orders

What was missing from the original Constitution?

The Bill of Rights

How can the Constitution be amended?

Amendments are proposed by Congress, and 3/4 of state legislatures must approve it

What are conflicts that arise between states and the national government based on?

The Commerce clause - Gibons v. Ogden, U.S. v. Lopez

Supremacy clause - McCulloch v. Maryland, Arizona v. U.S., Obergefell v. Hodges

Necessary and Proper clause - McCulloch v. Maryland

What is federalism?

In a federal system, the national and state governments share power.

Differs from a unitary system: all power lies in national government

Differs from confederatoin: all power lies in states

Tenth Amendment and Importance

The federal government only has powers delegated to it in the Constitution, with the rest being delegated to the states and individuals: balances power

Supremacy Clause

“supreme law of the land”

Found in Article 6

First Congress made this power clear in the Judiciary Act of 1789

McCulloch v. Maryland

Supremacy: the states cannot tax the federal government

Necessary and Proper: Congress’ implied powers included the right to make a national bank

Gibbons v. Ogden

Commerce: Congress has the right to regulate commerce among several states

Supremacy: Congress’ laws are supreme over state laws in situations where they have the power under the commerce clause

U.S. v. Lopez

Commerce: Federal government CANNOT have a law prohibiting gun possession near schools based on the commerce clause

Printz v. U.S.

Unconstitutional to require state and local governments to conduct background checks on firearms purchasers

Arizona v. U.S.

Supremacy: states cannot implement their own immigration laws

Obergefell v. Hodges

Same sex marriage is protected under the equal protection and due process clause of the 14th amendment. Bans are unconstitutional

Marshall Court v. Taney Court

Marshall: guided by the belief in the supremacy of national over state governments

Taney: didn’t favor national over state or vice versa, depended on the case

Why was the issue of commerce so controversial?

Commerce wasn’t ever really defined in the Constitution, so its definition has to be established through court cases

Since it’s not defined, also difficult to understand what is under a state and what is under the national government

Dual Federalism

“layer cake federalism”

clearly enumerated powers between national and state governments - sovereignty in separate and equal spheres

popular from 1790s to 1930s

Cooperative Federalism

involves national and state governments sharing functions and collaborating on major national priorities

popular from 1930s to 1960s

Creative Federalism

characterized by overloaded cooperation and crosscutting regulations

popular from 1960s to 1980s

New Federalism

further devolution of power from national to state governments, while also an increased difficulty of states to fulfill their new mandates

popular 1981-present

Block Grants

federal government gives states money to use as they want

example of devolution

Grants-in-aid

money given by national government to states for things like education, building roads, Medicaid

Categorical Grants

federal grants for a specific purpose, many more restrictions and guidelines

Federal budget is an example of…

how the president and Congress have to work together and compromise

Who proposes a budget?

The president, but Congress develops and passes it

Reasons it is difficult for Congress to pass legislation

Ideological differences, which affect:

* compromises in policy making/budget decisions
* rules from committee/presiding officer about debate

The House works with…

tax and revenue policy

bills about this must start in the House

The Senate works with…

foreign poilcy

bills about this must start in the Senate

Where is most of the work of Congress done?

In committees, which conduct hearings and debate bills under consideration.

Structure of the House

more members, shorter terms

Speaker sets rules for referring bills to committees

Scheduling handled by majority party and Rules Committee

Limited debate (bigger chamber size), more formal atmosphere

Structure of the Senate

fewer members, longer terms

Presiding officer sets rules for referring bills to committees

scheduling agreed to by majority and minority leaders

unlimited debate (not as big a chamber), less formal atmosphere

Enumerated Powers of Congress

pass a federal budget

raise revenue

coin money

declare war

maintain armed forces

Implied Powers of Congress

enact legislation that addresses a wide range of economic, environmental, and social issues

Explanation of differences in each house

* Compromise: one house based on population, the other based on equality as a result of Great Compromise
* Majority party, Speaker, and Rules Committee have more power in House because party unity is more emphasized than in the Senate
* Members of the House are specialists because they come from smaller areas, so usually go along with the decision of other members of their party on issues they know nothing about --> one reason why there's more party unity than in the Senate
* Shorter terms of members of the House mean they're more focused on the needs of their constituents (generally) and becoming an influential member of their party than forming long term coalition bonds with other members

Impact of differences in each house

limited debate in House → more work done in committees

generalized knowledge of Senators → not as much party influence in decision making

How does party unity affect debate rules?

In the House, the Rules Committee (which is influenced by the majority party) sets debate rules, which might make debate limited for a bill that the majority party doesn't agree with, or vice versa

In the Senate, the presiding officer (the Vice President or President Pro Tempore) acts more as an impartial judge (so to speak) and doesn't use their party affiliation to influence debate on a bill (usually). This is usually done by members debating on a topic, who will use filibustering to prevent the passing of a bill.

Senate procedures

* Filibuster - attempt to defeat a bill by debating forever (stalling); done by someone who opposes something and doesn't want it to be passed
* Cloture - vote by 2/3 of members present to end filibuster; gets things moving again
* Holds - when a senator informs leadership that they don't want a measure to reach the floor; members with seniority might have enough influence to do this
* Unanimous consent - speed up the passing of legislation
* Treaty ratification - Senate gives advice to president on how to ratify treaty - if on same side as president, their decision might hold some importance
* Confirmation role - Senate has to agree to someone filling a position in the government after president recommends something: gives power to Senate if opposite party of president, also time not spent passing legislation
* PORK

House procedures

* Rules Committee - decides which committee gets which bill; can break up a "complicated" bill among several committees that the majority party doesn't favor so that it is harder for it to pass committee
* Committee of the Whole - everyone in the House meeting in a committee format; not as formal because no debate going on, open exchange of views that gets a bill passed quicker
* Discharge petitions - move a bill from a committee that fails to act upon it; takes power away from committee chairs, rare with majority party in charge
* PORK

What must the federal budget do?

Both address mandatory and optional spending, as well as growing entitlement programs

As entitlement spending increases, optional spending will decrease, unless taxes are raised

Behavior of Congress as an institution is influenced by…

ideological divisions that lead to the need to compromise (might defeat the original purpose of a bill and not actually meet the needs of the people --> gridlock) unequal representation as a result of gerrymandering/redistricting/etc --> somewhat addressed in Baker v. Carr

Baker v. Carr

With Industrial Revolution, many inhabitants of Tennessee moved to cities but representational districts remained the same

The result was unequal representation!

The lower courts didn't want to get involved because they thought the issue too political

However, the Supreme Court decided that based on the Equal Protection Clause of the 14th Amendment, the district maps of Tennessee needed to be redrawn

* "one man, one vote"

Shaw v. Reno

North Carolina redrew its maps after the 1900 census, but only one district had more minority voters (black voters)

The Department of Justice said that the plan had to be adjusted to be in accordance with the Voting Rights Act

The second minority district was a clear example of gerrymandering, and a violation of the Equal Protection Clause of the 14th Amendment

The Supreme Court decided that redistricting couldn't be done PURELY on the basis of race

Logrolling

act of exchanging favors for mutual gain; especially trading of influence or votes among legislators to gain passage of certain projects

* can be pork, but not always

President as Head of State

Acts as an ambassador and symbol of the U.S.

President as Chief Executive

Ambassador with superiority

“Faithfully execute” laws

require the opinion of heads of executive departments

grant pardons for federal offenses (besides impeachment)

nominate judges of the Supreme Court with consent of Senate

President as Chief Legislator

Sign laws into effect

Give state of Union address

Recommend “measures” (ones they want to see made into effect)

in extraordinary measures, convene both houses of Congress

Presidential veto: veto a law 10 days within passing Congress, use pocket veto

* threat of veto makes Congress more likely to alter legislation, because overriding a veto is very rare

President as Political Party Leader

Head of the party

Assists in members’ elections or appointments to office

President as Crisis Manager

Addresses sudden needs in response to disasters (both natural and man-made)

President as Moral Persuader

White House as bully pulpit, platform where the president can advocate for a particular agenda with persuasive tactics

President as Commander-in-Chief

Lead army, navy, and state militias (National Guard)

Commission all officers

Powers the president shares with the Senate

make treaties

appoint ambassadors, judges, and high officials

Powers the president shares with Congress

approving legislation

Congressional checks on the President

override vetoes with 2/3 majority in both houses

confirm nominations

impeach

War Powers: Congress can declare war, not the president

Power of the Purse: withhold funding for something

Selection of the president in case of no majority in the electoral college

Senate checks on the President

President is elected by electoral college

He must deliver a State of the Union address

Senate approves treaties and appointment of ambassadors

Approves department appointments and federal judge appointments

Impeachment Trial

Judicial checks on the President

Judicial Review of Executive Actions (estabilshed with Marbury v. Madison)

Chief Justice presides over impeachment trial

Informal Checks on the President

Public Opinion

The Media

Partisan Poiltics

Congressional Investigations

Interest Groups and NonGovernmental Agencies

Amendments that relate to the President

12: president and vice president voted on separate ballots

20: presidential succession → if president dies, Vice President, then Speaker of the House, then President Pro Tempore of the Senate, then the Secretary of State

22: presidential term limits

25: presidential disability and succession → if president is unable to do his job, then the VP takes over as acting president

How have presidents interpreted and used their formal and informal powers?

Presidents usually expand their informal powers during times of threat to national security. An example is the Emancipation Proclamation.

Expansion not during wartime: Louisiana Purchase

Media has allowed the president to be viewed differently by the public: main partisan figure who has much more influence over things now

Informal/Implied Powers of the President

Executive Orders: carry the force of law

Executive Agreements: international trade agreements that carry the force of a treaty but do not need to be approved by the Senate

Executive Privilege: president has the right to decide that national interest will be better served if certain information is withheld

Signing Statements

Announcements made by the preisdent when signing bills into law that present the president’s view of hte law

War Powers Act: reason and results

Congress needed to reestablish its authority over decisions about foreign war: at the time, the president had committeed troops oversees when Congress had not declared it a war

President cannot claim war and checks their ability to act on armed conflict

Ad Hoc Communication Structure

Several subordinates, cabinet officers, and committees that all report directly to the president (staff and non-leadership holding people)

Advantage: very flexible and casual

Disadvantage: it does so at the risk of cutting the president off from decisions

Circular Communication Structure

Several of the president’s assistants report directly to him

Advantage: president gets lots of information

Disadvantage: more possibility for confusion among staff and repeat of information for the president

Pyramid Communication Structure

A president’s subordinates report to him through a clear chain of command headed by a Chief of Staff

Advantage: orderly process

Disadvanage: some information might get lost

Three Audiences of the President

1. Fellow politicians in Washington: reputation among them affects how much he will get support and how much power he has
2. Office holders and party activists not in Washington: help the president become reelected, primary campaign supporters
3. Public: the president makes promises during campaigns to appeal to diverse audiences, but doesn’t always carry these things out during time in office

How can the president implement a policy agenda?

By influencing Congress through constituents

With technology, the president can more widely promote his policy agenda to the public, who will in turn push for their respective representatives to carry out what they as a public want (but they didn’t want originally and were persuaded to want through the president)

More directly, this influence can be done in the State of the Union address

How can the president’s agenda create tension with Congress?

The president might be able to influence the general public, but that doesn’t necessarily mean that members of Congress will choose to act as delegates.

Certain executive agencies can help a president in his policy agenda, but Congress is able to reduce their budget or the president’s budget, making this difficult.

If a president appoints a judge, then it is probably more likely SCOTUS will then support his bills.

How does the bureaucracy carry out the responsibilities of the federal government?

1. implementation: carries out the laws from Congress and executive orders from the president
2. administraton: performs routine administrative work, provides services
3. regulation: set issues, rules, and regulations that impact the public

Discretionary Authority

An agency’s ability to decide whether or not to take certain courses of actions when implementing existing laws.

Rulemaking Authority

An agency’s ability to make rules that affect how programs operate, and to force states and corporations to obey these rules as if they were laws.

How does the bureaucracy use discretionary authority and rulemaking authority when implementing?

The bureaucracy is responsible for implementing the policy spelled out in a law or executive order, but not all have super specific details on how this should be done. So, the bureaucracy uses these two things to create regulations about how things will work. This might include paying subsidies to specific groups and organizations, transferring money from the federal to state and local governments, and enforcing regulations for various sectors of the economy/society.

How does Congress use oversight power in its relationship with the executive branch?

*Oversight: review, monitoring, and supervision of federal agencies, programs, and policy implementation. Gives legislative branch opportunity to inspect, examine, review, and check the branch or agencies within*

* No agency can exist without congressional approval
* Behavior of agencies is often influenced/determined by Congress
* Money can only be spent with the approval of Congress
* Committees oversee agencies
* Congress can investigate agencies and their activities

How does the president ensure that agencies carry out their responsibilities in a way that agrees with his policy?

President only has so much authority, but presidential ideology and influence can effect how an agency does certain things:

Department head is appointed by President (may affect overall goal of the department so that its main focus is to implement presidential policy)

If a president is looked down upon and doesn’t have much influence, will be more difficult to get the bureaucracy to carry out the administration’s goals

* Executive orders to fight this would only make the confilct worse

Compliance monitoring oversees the implementation of policy

“Checks” by president on the bureaucracy

appoints/removes agency heads

reorganizes it

issues executive orders

reduces an agency’s budget

“Checks” by Congress on bureaucracy

create or abolish agencies

cutting funding

investigating activities

holding committee hearings

passing legislation that alter’s an agency’s function

influencing or failing to confirm presidential appointments

“Checks” by Courts on bureaucracy

using judicial review to rule on whether or not an agency is acting constitutional

providing due process for individuals affected by a bureaucratic action

Federalist 70

Author: Alexander Hamilton

Argument: only one person should be in charge with a lot of power → would be checked in the fact that they are elected by the people, but one executive makes decision making in times of crisis easier

Federalist 78

Author: Alexander Hamilton

Argument: The federal judiciary must depend on the other two branches to uphold its decisions, can decide whether actions by other two branches are unconstitutional or not and serves as a way to check

Commerce Clause

Article I, Section 8, Clause 1

“regulate all business activities that cross state lines, affect more than one state, or other nations”

* word ‘commerce’ is not defined

Reconstruction Amendments

13: abolished slavery

14: equal protection, all born in the U.S. are citizens

15: no denial of vote due to race or color

16th Amendment

Congress has the power to collect an income tax

17 Amendment

Senators are elected directly by the people

bill of attainder

a law that punishes a person accused of a crime without a trial or a fair hearing in court

coalition

an alliance of factions

Checks and Balances

A system that allows each branch of government to limit the powers of the other branches in order to prevent abuse of power

concurrent powers

Powers held jointly by the national and state governments.

Constitutional Convention

A meeting in Philadelphia in 1787 that produced a new constitution

enumerated powers

Powers given to the national government alone