Chapter 4 Foundations of American Democracy

Enlightenment Philosophies

• Framers lived at a time when there were new ideas about government organization/function
  • Challenged systems already in place
• Enlightenment (18th century): a philosophical movement that began in Western Europe with roots in Scientific Revolution
  • Use of reason over tradition when solving social problems
• Thomas Hobbes (Leviathan - 1660): believed that people could not govern themselves and that a monarch with absolute power would protect life best
  • Advocated for rule of law
  • Social contract with government: some freedoms sacrificed (respecting government) in exchange for government protection
• John Locke (Second Treatise on Civil Government - 1690): natural rights must be protected
  • Empiricism: people are born with a tabula rasa (blank slate) on equal footing and everything they do is shaped by experience
  • Natural rights (life, liberty, property) are granted by God and government must protect them
  • Right to revolution if natural rights are taken away
• Charles de Montesquieu (De l’Esprit des Lois/The Spirit of the Laws - 1748): separation of power into three branches of government
  • Checks and balances limited power of each branch
• Jean-Jacques Rousseau (The Social Contract - 1762): people are born good but corrupted by society and should act for the greater good rather than out of self-interest
• Voltaire (Candide): satirical novel, reflected dislike of Christian power and nobles
  • Rationality, advocate of freedom of thought, speech, religion, and politics
• Denis Diderot: producer/editor of first encyclopedia, wanted to change the ways people thought by adding his own/others’ philosophies to his work
  • Advocate of freedom of expression and universal education access
  • Criticized divine right, traditional values, and religion
• Philosophers favored democracy over absolute monarchy
• Forms of representative democracy:
  • Participatory democracy: broad participation in politics/society by people at various statuses
  • Pluralist democracy: group-based activism by citizens with common interests who seek the same goals
  • Elite democracy: power to the educated/wealthy, discourages participation by the majority of people
• Republicanism: supports individualism and natural rights, popular sovereignty (people give the government power), encourages civic participation
  • American Republicanism characterized by representative democracy
  • Elected officials representing a group of people
  • Popular sovereignty: government power derives from the consent of the governed (ex. elections, protests)

@@The Declaration of Independence@@

• A formal declaration of war between America and Great Britain
• Written by Thomas Jefferson
• List of grievances (“crimes” King George III committed against the colonies)
  • Used to explain why the colonies are declaring independence
• Used as a template by other nations declaring independence

The Weaknesses of the @@Articles of Confederation@@

• Outlined the first government of the United States of America
• Predecessor to the Constitution
• Followed from 1776 to 1781; ratified and named in 1781
• Accomplishments:
  • Created federalism: the way in which federal and state/regional governments Interact and share power
  • Ended the Revolutionary War on favorable terms for the United States (Treaty of Paris - 1783)
  • Established the Northwest Ordinance, which created methods through which states would enter the US
• Weaknesses:
  • 1787: trade between states declined, monetary value dropped, foreign countries posed threats, social disorder throughout the country
  • Shays’ Rebellion (1786-1787): 6-month rebellion formed by over 1,000 farmers in which a federal arsenal was attacked in protest of the foreclosure of farms in western Massachusetts
    • Major concern at the Constitutional Convention
    • Exposed issues with Articles of Confederation and showed necessity of a strong central government
  • Could not impose taxes (result of taxation without representation); only state governments could levy taxes
  • National government was in debt from the Revolutionary War had no way to pay for expenses
    • Could only acquire money by requesting it from states, borrowing from other governments, or selling lands in the West
  • No national military; could not draft soldiers
  • No national currency
  • No Supreme Court to interpret law
  • No executive branch to enforce laws
  • No control over taxes imposed between states and could not control interstate trade
  • Needed unanimous votes to amend the Articles
  • 9/13 states had to approve legislation before it was passed
  • Could not control states
  • No enforcement mechanisms/requests from within federal government
  • Needed to be revised
  • Constitutional Convention created Constitution
  • resulted in complete rewrite of the Articles => Constitution

The Constitutional Convention

• Meeting of the framers in 1787 in Philadelphia, Pennsylvania
  • Division over powers, structure, and responsibilities of government
  • Some believed that the government under the Articles was too weak, others believed that it shouldn’t be changed
  • Generally accepted as pragmatists who tried to protect their and everyone else’s property + rights
  • Stronger central gov’t necessary, potential to be corrupted
  • Federal legislature had two main issues:
    • Unicameral (single house) vs bicameral (two house) legislative branch
    • Madison’s Virginia Plan: bicameral legislature based on population size
      • Supported by larger states b/c of better representation
    • New Jersey Plan: unicameral legislature, one vote per state
      • Similar to Articles of Confederation
      • Smaller states worried that gov’t would be dominated by larger states
    • The Great Compromise (Connecticut Compromise): a bicameral legislature with a House of Representatives (population) and Senate (equal representation)
  • Representation of enslaved people
    • Northerners: enslaved people should not be counted for electoral votes
    • Southerners: enslaved people should be counted for electoral votes
    • Larger population when enslaved people were counted
    • Three-Fifths Compromise: enslaved people would be counted as 3/5 of a person when deciding seats in the House of Representatives
  • Authority to enforce laws
  • Created chief executive (president)
    • Enforcer of the law, could keep the legislative branch in check
    • Presidential approval required before bills become law
    • President can veto acts of legislature
    • Congress can override veto if 2/3 of both houses vote
  • Supreme Court
  • Could mediate disputes between legislative and executive branches, between states, and between state + federal government
  • Acceptance of the Constitution
  • Had to be submitted to states for ratification
  • Federalists: supporters of the Constitution, advocated for a strong central government
    • Alexander Hamilton, James Madison, and John Jay wrote @@The Federalist Papers@@: a collection of articles supporting the Constitution
    • Best reflects original intent of the framers
    • Persuaded states of the superiority of a strong central government plus power kept by the states
  • Anti-Federalists: opponents of the Constitution, preferred smaller state governments (Articles of Confederation)
    • Believed that the Constitution would threaten personal liberties and make the president a king
    • Feared tyranny + abuse of power
    • Wanted a @@Bill of Rights@@: protects the rights of citizens from the government
    • Guaranteed by the Federalists and was added immediately after ratification
    • 10 amendments written by James Madison
  • Created the Electoral College: composed of elected officials from each state based on population (each given 2 votes + 1 vote per member of House of Representatives) with a total of 538 electors
  • Originally created because the framers didn’t trust American citizens to be educated enough to choose a good president
  • Thought the Electoral College would protect election against the influence of small groups
  • Would ensure that states with larger populations didn’t completely overpower smaller states
  • The presidential candidate who wins 270 electoral votes wins the election regardless of who wins popular vote

The Federalist Papers and Anti-Federalist Dissent

@@Brutus No. 1@@

• Anonymous author (pseudonym Brutus) asked questions about + critiqued the draft of the Constitution
• The first publication that began a series of essays known as the Federalist and Anti-Federalist Papers
• National government had too much power, an army could prevent liberty, and representatives may not truly be representative of the people
• Major dissent: The Federalist Papers attempted to answer questions and address concerns posed by Brutus + other Anti-Federalists

@@Federalist No. 10@@

• Written by James Madison
• Addresses dangers of factions + how to protect minority interest groups in a nation ruled by majority
• Argues that a large republic keeps any single faction from taking control
• Major dissent: Anti-Federalists thought that Madison’s claims were unrealistic and that a country with multiple factions could never create a good union
  • Believed that no large nation could survive and that states’ separate interests would fracture the republic

@@Federalist No. 51@@

• Written by James Madison
• Argued that separation of powers would make the government efficient, dividing responsibilities and tasks
• Major dissent: Anti-Federalists believed that there was no perfect separation of powers and that one branch of government would eventually hold more power

@@Federalist No. 70@@

• Written by Alexander Hamilton
• Argued that the executive branch should only have one member: the president
  • Used the British monarchy as an example: the king had power but was checked by the House of Commons
• Proposed term limits as another way to limit the president’s power (not set until the 22nd Amendment in 1951)
• Major dissent: Anti-Federalists believed that only the president’s staff would influence him and disagreed with giving control of the military to one person

@@Federalist No. 78@@

• Written by Alexander Hamilton
• Addressed concerns about the power of the judicial branch
• Argued that the judicial branch would have the least amount of power under the Constitution but would also have the power of judicial review
  • Check on Congress
• Major dissent: Anti-Federalists claimed that a federal judiciary could overpower states’ judiciaries and that judges’ lifetime appointments could result in corruption

The Constitution as an Instrument of Government

• The Constitution is vague and only outlines the government structure
  • Written to allow change through amendments
  • Branches of government have evolved since ratification
• Articles I-III: set up the three branches of government (in order):
  • Legislative branch
  • Executive branch
  • “The executive power shall be vested in a President of the United states of America”
    • Power to issue executive orders
    • Same effect as law, bypasses Congress in policy-making
    • Not mentioned in the Constitution
    • Used as part of the enforcement duties
    • Ex. Executive Order 9066: FDR ordered people (Japanese and German Americans) from a military zone
    • Executive agreements between country leaders are similar to treaties
    • Bypass ratification power of the Senate
    • Not mentioned in the Constitution
  • Judicial branch
  • %%Marbury v. Madison (1803)%%: Supreme Court increased its own power by giving itself the power to overturn laws passed by legislature (judicial review)
• Article I, Section 8 - the necessary and proper clause: allows Congress to make any legislation that seems “necessary and proper” to carry through its powers
  • Aka the elastic clause
  • Ex. nothing in the Constitution that creates the Federal Reserve System (central bank), nothing about the executive branch’s cabinet
  • Federal District Courts and Courts of Appeals both created by Congress
• Supremacy clause: supremacy of Constitution and federal laws over state laws
  • “and the laws of the United States which shall be made in pursuance thereof…shall be the supreme law of the land; and the judges in every state shall be bound thereby, anything in the Constitution or laws of any State to the contrary notwithstanding”

Federalism

• A system of government under which the national and local governments share powers
• Ex. Germany, Switzerland, and Australia
• Confederation: a system in which decisions are made by an external member-state legislation; decisions on daily issues are taken by special majorities, consensus, or unanimity
• Supreme Court cases:
  • %%McCulloch v. Maryland (1819)%%: court ruled that states could not tax national bank
  • Reinforced supremacy clause of Constitution - issues between state + federal government laws should be ruled in favor of federal
  • Necessary and proper clause - banks were necessary to implement federal powers
  • %%United States v. Lopez (1995)%%: challenge to the Gun-Free School Zones Act of 1990 (banned guns on school property)
  • Held that commerce clause didn't allow regulation of carrying guns
  • New phase of federalism - state sovereignty and local control were important

Powers Under Federalism

• Delegated (enumerated) powers: powers that belong to the national government
  • Ex. printing money, regulating interstate + international trade, making treaties + conducting foreign policy, declaring war, est. post offices, lower courts, rules of naturalization, and copyright/patent laws; raising + supporting armed forces, making all laws “necessary and proper” to carry out duties
• Reserved powers: powers that belong to the states
  • 10th Amendment: include any that the Constitution neither gives to the national government nor denies to the states
  • Ex. issuing licenses, regulating intrastate business, conducting elections, est. local governments, maintaining a justice system, educating residents, maintaining a militia, providing public health, safety, and welfare programs
• Concurrent powers: shared by federal and state governments
  • Ex. levying/collecting taxes, building roads, operating courts, establishing courts, chartering banks + corps, eminent domain, paying debts, borrowing money
• Constitution specifies which powers are denied to national government and states
• Constitution makes federal government guarantee states a republican government and protection against rebellion + invasion
  • Prevents states from dividing or combining without congressional approval
• States are required to accept court rulings, licenses, contracts, or other civil acts of other states
• Changed over time
  • First: federal/state governments were independent
  • Most Americans had contact w/government on state level
• Denied powers:
  • Federal government:
  • Suspend writ of habeas corpus except during a national crisis
  • Pass ex post facto laws or issuance of bills of attainder
  • Impose export taxes
  • Use money from treasury without appropriations bill
  • Grant titles of nobility
  • State government:
  • Enter into treaties w/other countries
  • Declare war
  • Maintain an army
  • Print money
  • Pass ex post facto laws or issuance of bills of attainder
  • Grant titles of nobilities
  • Impose import or export duties
• Federal government programs
  • Most administered through states
  • Paid for by federal government through grants-in-aid
  • Some politicians tie strings to grants (federal government still in control over money)
  • Other politicians want no strings attached (state/local government decides how to spend)
  • Grants:
  • Categorical grants: aid with strict rules from the federal government about how it is used
    • Used by those who favor federal power
  • Block grants: aid that lets the state use the money how it wants
    • Used by those who favor states’ rights
  • Federal government can still use techniques to make states follow federal law
    • Ex. direct orders, preemption
• Advantages of federalism:
  • Mass participation (many can participate on many issues)
  • Regional autonomy (states still have some powers)
  • Multi-level government (local, state, federal; many politicians connected to supporters)
  • Innovative methods (states can experiment with policies)
  • Diffusion of power (no party domination)
  • Diversity in government
• Disadvantages of federalism
  • Lack of consistency (differing policies creates inequality in states)
  • Inefficiency (overlapping/contradictory policies)
  • Bureaucracy (corruption/stalemate through spread-out power)
  • Resistance
  • Inequity (legislation/judicial outcomes)

Separation of Powers

• Borrowed idea from French political philosopher Charles de Montesquieu

• Assigned different tasks to each branch of government

  • Legislative branch makes laws
  • Executive branch enforces laws
  • Judicial branch interprets laws

• Prevents a person from being in more than one branch at a time

  • Has to resign in order to change positions

  

System of Checks and Balances

• Designed to prevent any branch of government from becoming dominant
• Requires different branches to work together and share power
  • Examples:
  • Nomination of federal judges, cabinet officials, and ambassadors
    • President chooses nominees who must be approved by the Senate
  • Negotiation of treaties
    • President is empowered to negotiate treaties, but they cannot go into effect until approved by 2/3 of the Senate
  • Enactment of legislation
    • Congress passes legislation, but the president can veto (reject) laws
    • Encourages Congress to pass laws that align with the president’s views or negotiate to avoid being vetoed
    • Congress can override veto by passing a law with 2/3 majority in both houses
      • Law becomes law regardless of president
    • Courts can determine constitutionality of law and overturn laws if they are unconstitutional

Amendment Process

• Amendment: the addition of a provision to the Constitution
• Main process:
  • Proposed amendment must be approved by 2/3 of both houses of Congress
  • 3/4 of state legislatures must ratify (approve) the amendment, and the states themselves are allowed to determine the votes required to ratify the amendment
  • Congress can also mandate that each state use a ratifying convention (delegates elected to vote on the amendment)
  • Used once to ratify the 21st amendment (1933) - ended prohibition
• Another process:
  • 2/3 of state legislatures petition Congress for a constitutional convention
  • Never happened before

State and Local Governments

• State governments
  • Can take any form, but must have a state constitution approved by Congress
  • Most structured after federal government
  • Executive branch led by governor
  • Direct state executive agencies (education, roads/building, policing)
  • Command state National Guard
  • May grant pardons and reprieves
  • Most can appoint state judges with the “advice and consent” of a state legislative body
  • Can veto state legislation
  • May use a line-item veto to reject parts of bills
    • Denied to presidents by Supreme Court - would take too much power away from legislature
  • 49/50 states have bicameral legislatures
  • Enact state law
  • Can override the gubernatorial (governor) veto
  • State judiciaries interpret state law
  • Trial courts and appeals courts
  • Hear criminal cases and civil cases (lawsuits)