U.S. Government & Politics Comprehensive Study Notes

Constitutional Foundations

• Articles of Confederation (1781–1789):

  • Loose confederal arrangement; states retained sovereignty.
  • Weak national legislature; no separate executive or judiciary.
  • Could not levy taxes, regulate interstate commerce, or compel states to comply with laws.
  • Unanimous consent required for amendments—made change nearly impossible.
  • Shays’ Rebellion (1786–1787): armed uprising in Massachusetts; exposed inability of national gov’t to suppress domestic unrest ➔ catalyst for Constitutional Convention.

• U.S. Constitution (ratified 1788):

  • Replaced confederation with a federal system—power divided between national & state gov’ts.
  • Separation of Powers into legislative, executive, judicial branches.
  • Checks & Balances ensure no branch dominates.
  • Bicameral legislature balances large vs. small states (Great Compromise).
  • Supremacy Clause (Art. VI): national law > state law.
  • Necessary & Proper Clause (Art. I, §8, cl. 18): implied powers for Congress.
  • Amendment process: proposal by $\frac{2}{3}$ of Congress or states; ratification by $\frac{3}{4}$ of states—more flexible than Articles’ unanimity.

• Major Compromises at Convention:

  • Great/Connecticut Compromise: House by population; Senate equal per state.
  • Three-Fifths Compromise: slaves counted as $\frac{3}{5}$ of a person for representation & taxation.
  • Electoral College: indirect election of president—balances populous vs. less populous states.

• Majority Rule vs. Minority Rights:

  • Madison feared “tyranny of the majority.”
  • Solutions: large republic, separation of powers, bicameralism, staggered elections, Bill of Rights.

Federalist Papers & Theories of Power

• Authors: Alexander Hamilton, James Madison, John Jay (pseudonym “Publius”).

• Purpose: advocate ratification; explain new Constitution.

• Key Papers cited in class:

  • Federalist No. 10 (Madison): factions inevitable; large republic dilutes their effects.
  • Federalist No. 51 (Madison): “Ambition must be made to counteract ambition.”
  • Meaning: give each branch motive & means to check the others.
  • Constitutional mechanisms: bicameral Congress; presidential veto; Senate confirmation; judicial review (implied); federalism.
  • Federalist No. 78 (Hamilton): independent judiciary; judicial review & lifetime tenure.
  • Federalist No. 70 (Hamilton): unitary executive ensures energy, accountability.

• Examples of Checks & Balances (4–6):

  • Presidential veto of legislation; Congress can override with $\frac{2}{3}$ vote.
  • Senate advice & consent on treaties and appointments.
  • Judicial review (est. Marbury v. Madison) of statutes & executive acts.
  • Congress controls appropriations (“power of the purse”).
  • Congress may impeach & remove president or judges.
  • President can pardon federal offenses.

Key Supreme Court Cases

• Marbury v. Madison (1803): est. judicial review; Court can nullify unconstitutional laws.
• McCulloch v. Maryland (1819):
  • Issues: Congress’s power to create national bank; state taxation of federal entity.
  • Rulings: bank constitutional (Necessary & Proper); states cannot tax federal gov’t (Supremacy Clause).
• Gibbons v. Ogden (1824):
  • Steamboat monopoly (NY) vs. federal coastal license.
  • Court broadened interstate Commerce Clause; national gov’t regulates navigation ➔ foundation for modern commerce power.
• Dred Scott v. Sandford (1857): African Americans not citizens; Congress lacked power to ban slavery in territories.
• Plessy v. Ferguson (1896): “separate but equal” upheld segregation.
• Civil Rights Era Cases:
  • Brown v. Board of Education (1954): overturned Plessy; segregation inherently unequal.

Civil Liberties & Civil Rights Framework

• Due Process Clause: 5th & 14th Amendments; gov’t must follow fair procedures.
• Equal Protection Clause (14th): no state shall deny any person equal protection of the laws.
• 15th Amendment: prohibits denial of vote based on race.
• Civil Rights Act of 1964: bans discrimination in public accommodations, employment; uses Commerce Clause.
• Voting Rights Act of 1965: eliminates literacy tests; preclearance for jurisdictions with discrimination history.
• Key Civil-Rights Events 1954–1968:
  • 1954 Brown decision (school desegregation).
  • 1955 Montgomery Bus Boycott (Rosa Parks, MLK emergence).
  • 1963 March on Washington (“I Have a Dream”).
  • 1964 Civil Rights Act passage.
  • 1965 Selma–Montgomery March & Voting Rights Act.
  • 1968 Fair Housing Act (post-MLK assassination).
    Impact: dismantled Jim Crow, expanded federal enforcement, galvanized movements for other groups.

Federalism Concepts & Types

• Definitions:

  • Unitary System: central gov’t holds primary authority; subnational units administrate (e.g., UK, France).
  • Federal System: power divided between national & state/local (e.g., USA, Germany, India).
  • Confederal System: sovereign states cooperate via weak central body (e.g., Articles of Confederation, EU today).

• Advantages/Disadvantages:

  • Unitary: uniform laws, efficient; but risk distant gov’t, minority neglect.
  • Federal: regional autonomy, “laboratories of democracy”; but complexity, policy inequality.
  • Confederal: local sovereignty; but collective action problems, instability.

• Modern Federalism Tools:

  • Grants-in-Aid: categorical, block; incentivize state compliance.
  • Cross-cutting requirements: conditions applied to all grants (e.g., civil rights).
  • Cross-over sanctions: link unrelated policies (e.g., $21$-year drinking age tied to highway funds in 1984).
  • Preemption: national overrides state law.
  • Unfunded Mandate: federal rules without money (ADA elevators).
  • Competitive federalism: states compete for residents/investment.

Congressional Representation Models

• Delegate Model: member votes according to constituents’ explicit preferences; common on salient issues.

• Trustee Model: member uses own judgment/ expertise; more likely on complex or low-salience issues.

• Politico Model: hybrid; default delegate on salient matters, trustee on others.

• Paradox—Low Approval of Congress, High Incumbent Reelection:

  1. Fenno’s “Home Style” / particularized benefits: members deliver district-specific goods ➔ personal vote.
  2. Collective vs. individual blame: voters fault institution for gridlock but credit own member for efforts.
  3. Gerrymandering & weak challengers also reinforce incumbency.

Executive Orders

• Process: issued unilaterally by president; published in Federal Register; direct executive branch operations.
• Legal Basis: implied from Article II “executive power” & “take care” clauses.
• Limits: cannot contravene statutes or Constitution; subject to judicial review & congressional defunding.
• Purposes: act quickly, clarify law, manage crises, signal priorities (e.g., Truman integrates military, Biden COVID mandates).

Collective Action in Politics

• Definition: situation where group benefit exists but individual incentives lead to non-cooperation (free-riding).

• Types & Examples:

  • Public-goods problem: clean air, national defense.
  • Tragedy of the Commons: overfishing shared waters.
  • Coordination problem: states adopting daylight savings at different times.
  • Prisoner’s Dilemma: campaign spending arms race.

• Solutions: selective incentives, coercion (taxes), smaller groups, leadership/entrepreneurs, repeated interaction, trust norms.

Political Behavior & Strategy

• Politicians as Strategic Actors: office seekers choose actions maximizing re-election, prestige, policy goals.
  • Anticipate reactions of other players (voters, colleagues, courts, media).
  • Calculate timing of votes, bill sponsorship, positions.
• Differences from Voters:
  • Information asymmetry: politicians are policy specialists; voters are generalists.
  • Career incentives: politicians gain salary, status, legacy; voters seek policy outcomes and expressive benefits.

Gerrymandering & Representation Issues

• Gerrymandering: drawing districts to favor party/incumbent; techniques: packing & cracking.
• Preclearance (Shelby Co. v. Holder 2013 removed formula): required some states to obtain DOJ approval for redistricting.

Additional Key Terms & Doctrines

• Necessary & Proper Clause: source of implied powers (e.g., national bank, draft).
• Supremacy Clause: Constitution and federal laws the “supreme Law of the Land.”
• Free Rider Problem: individuals benefit without contributing—central to collective action theory.
• Laboratories of Democracy: states experiment with policy (e.g., marijuana legalization) before national adoption.