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
    * $<strong>Social contract</strong>$ 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
• $<strong>Republicanism</strong>$: supports individualism and natural rights, popular sovereignty (people give the government power), encourages civic participation
    * American Republicanism characterized by $<strong>representative democracy</strong>$
      * Elected officials representing a group of people
    * $<strong>Popular sovereignty</strong>$: 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 $<strong>federalism</strong>$: 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
      * $<strong>Shays’ Rebellion</strong>$ (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 $<strong>Virginia Plan</strong>$: bicameral legislature based on population size
            * Supported by larger states b/c of better representation
          * $<strong>New Jersey Plan</strong>$: unicameral legislature, one vote per state
            * Similar to Articles of Confederation
            * Smaller states worried that gov’t would be dominated by larger states
          * $<strong>The Great Compromise</strong>$ (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
        * $<strong>Three-Fifths Compromise</strong>$: 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
      * $<strong>Federalists</strong>$: 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
      * $<strong>Anti-Federalists</strong>$: 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 $<strong>Electoral College</strong>$: 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
• $<strong>Articles I-III</strong>$: set up the three branches of government (in order):
    * $<strong>Legislative</strong>$ branch
    * $<strong>Executive</strong>$ branch
      * “The executive power shall be vested in a President of the United states of America”
        * Power to issue $<strong>executive orders</strong>$
          * 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
        * $<strong>Executive agreements</strong>$ between country leaders are similar to treaties
          * Bypass ratification power of the Senate
          * Not mentioned in the Constitution
    * $<strong>Judicial</strong>$ branch
      * %%Marbury v. Madison (1803)%%: Supreme Court increased its own power by giving itself the power to overturn laws passed by legislature ($<strong>judicial review</strong>$)
• Article I, Section 8 - the $<strong>necessary and proper clause</strong>$: 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
• $<strong>Supremacy clause</strong>$: 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”

$<strong>Federalism</strong>$

• 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

• $<strong>Delegated (enumerated) powers</strong>$: 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
• $<strong>Reserved powers</strong>$: powers that belong to the states
    * $<strong>10th Amendment</strong>$: 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
• $<strong>Concurrent powers</strong>$: 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:
      * $<strong>Categorical grants</strong>$: aid with strict rules from the federal government about how it is used
        * Used by those who favor federal power
      * $<strong>Block grants</strong>$: 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)

$<strong>Separation of Powers</strong>$

• 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 $<strong>Checks and Balances</strong>$

• 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 $<strong>veto</strong>$ (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

• $<strong>Amendment</strong>$: 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 $<strong>ratify</strong>$ (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 $<strong>ratifying convention</strong>$ (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 $<strong>constitutional convention</strong>$
      * 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 $<strong>governor</strong>$
      * Direct state executive agencies (education, roads/building, policing)
      * Command state National Guard
      * May grant $<strong>pardons</strong>$ and $<strong>reprieves</strong>$
      * Most can appoint state judges with the “advice and consent” of a state legislative body
      * Can veto state legislation
      * May use a $<strong>line-item veto</strong>$ 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 $<strong>gubernatorial</strong>$ (governor) $<strong>veto</strong>$
    * State judiciaries interpret state law
      * Trial courts and appeals courts
      * Hear criminal cases and civil cases (lawsuits)