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)