Key Terms•Government: procedures and institutions by which people govern and rule themselves.• Why Is Government Necessary?

•Politics: the process by which people decide who shall govern and what policies shall be adopted.

•Politicians: people who fulfill the tasks of operating government.

OrderLiberty

AuthorityLegitimacy

“Politicians are like diapers. They both need changing regularly and for the same reason.” - Anonymous

Key Terms

Forms of Government

• Totalitarian

• Authoritarianism

• Aristocracy

• Democracy

Derived from the Greek words demos (“the people”) and kratos (“authority”).

• Theocracy

• Oligarchy

• Monarchy

• Anarchy

Key Terms•Political Science: the study of the principles, procedures, and structures of government; and the analysis of political ideas, institutions, behaviors, and practices.

Thomas Jefferson, one of our best-known champions of constitutional democracy

•Democracy: a political form of government carried out either directly by the people or by means of elected representatives of the people, with free and frequent elections.

“Democracy is not so much a form of government as a set of principles.”

- Woodrow T. Wilson

Whose Words are These?

“Political competition is the heartbeat of democracy…”

“Today, the quality of our state does not match civil society’s readiness to participate in it.”

“The problem…comes from the lack of transparency and accountability of government...”

Defining Democracy

Democracy

Government by the people, either directly or indirectly,

with free and frequent elections

Direct Democracy

Government in which citizens vote on laws and select officials more directly

Representative Democracy

Government that derives its powers indirectly from the

people, who elect those who will govern

Constitutional Democracy

Government that enforces recognized limits on those who

govern and allows the voice of the people to be heard through free,

fair, and relatively frequent elections

Direct Democracy

• Political decisions are made by the people directly, rather than by their elected representatives

• Attained most easily in small political communities.

(AP Photo/Nam Y. Huh)

• Initiative

• Referendum

• Recall

American Government and Politicians in Context

•Government by the people requires faith concerning common human enterprise.

•Constitutional democracy requires constant attention to protecting the rights and opinions of others.

•Constitutional democracy is necessarily government by representative politicians.

Is Direct Democracy Dangerous?

A Democratic RepublicDemocratic republic and representative democracy really mean the same thing - government based on elected representatives - except for the historical quirk that a republic cannot have a vestigial king. (National Portrait Gallery)

• Principles of Democratic Government– Universal suffrage– Majority rule

• Constitutional Democracy– Limited government

• Conditions Conducive To Constitutional Democracy•Educational conditions - Democracy puts a premium on education

•Economic conditions - Extremes of poverty and wealth undermine the possibilities for a healthy constitutional democracy

•Social conditions - Overlapping associations and groupings, so that allegiance to one group is not overpowering

•Ideological conditions - Acceptance of the ideals of democracy and a willingness from the majority to proceed democratically

Defining Democracy

•Democracy As A System Of Interacting Values

•Personal liberty

•Respect for the individual

•Equality of opportunity

•Popular consent

Defining Democracy

Democracy

Government by the People

Demos

(The People)

Kratos

(authority)

These basic values of democracy do not always

coexist happily.

•Democracy As A System of Interrelated Political Processes

•Fair and free elections

•Majority rule

•Freedom of expression

•The right to assemble and protest

Defining Democracy

“Democracy encourages the majority to decide things about which the majority is blissfully ignorant.” - John Simon

•Democracy As A System Of Interdependent Political Structures

•Federalism

•Separation of powers

•Bicameralism

•Checks and Balances

•Bill of Rights

Defining Democracy

Separation of Powers

The Constitutional Roots of the American Experiment

•The Colonial Beginnings•Mayflower Compact - Legalized the Pilgrim’s position as a body politic

•Colonial assemblies - Every colony in the New World had an assembly

•The Rise of Revolutionary Fervor•The Declaration of Independence - We hold these truths to be self-evident, that all men are created equal, that they are endowed by their Creator with certain unalienable Rights, that among these are Life, Liberty and the pursuit of Happiness.

Chronology of EventsAmerican Revolution begins on 04/18 /1775 Second Continental Congress convenes on 05/10/1775 Ben Franklin presents a plan for confederation on 07/21/1775Richard Henry Lee introduces independence resolution on 06/07/1776Declaration of Independence adopted on 07/04/ 1776 – “That to secure these rights, Governments are instituted among Men, deriving their just powers from the consent of the governed, That whenever any Form of Government becomes destructive of these ends, it is the Right of the People to alter or to abolish it, and to institute new Government, laying its foundation on such principles and organizing its powers in such form, as to them shall seem most likely to effect their Safety and Happiness.”Third Continental Congress convenes on 12/20/1776Articles of Confederation proposed on 11/15 /1777Articles of Confederation ratified on 03/01/1781English declare hostilities at an end on 02/04/1783America declares hostilities at an end on 04/11/1783Revolutionary War Ends (Treaty of Paris) on 01/14/1784Constitutional Convention opens on 05/25/1787Final draft of the Constitution sent to Congress on 09/17/1787

The Colonial Background

Separatists were dissatisfied with the Church of England and sought a place where they could practice their religious beliefs.

The compact they formed set forth the idea of consent of the governed.

(The Granger Collection)

British Restrictions & Colonial Grievances

In 1763, the British Parliament began to pass laws that treated the colonies as a unit. The major reason for these laws was to raise revenue to help pay off the war debt incurred during the French and Indian Wars (1756–1763).

First Continental Congress The focus was to restore the political structure that was in

existence before the passage of legislation affecting the internal operations of each colony by Parliament.

Had the Crown and Parliament relented on many of their demands it is possible the Declaration of Independence would never have been issued.

Second Continental Congress

Established an armyMade Washington the

general in chief and pursued the Revolutionary War

Painting by John Trumbull, 1819, Library of Congress

The Political Theory and Practices of the Revolutionary

Era• Conflicts over the meaning of

democracy and liberty in the new nation– Initially, the Revolution was fought to

preserve an existing way of life.– Traditional rights of life, liberty, and

property seemed to be threatened by British policies on trade and taxation.

– The Revolution was inspired by a concern for liberty together with the development of sentiments for popular sovereignty and political equality.

Prelude to the Declaration of Independence• Delegates to the Second Continental

Congress did not originally have independence in mind.

• By the spring of 1776, delegates concluded that separation and independence were inescapable.

• A special committee was appointed to draft a declaration of independence.

• The Declaration of Independence was unanimously adopted by the Second Continental Congress on July 4, 1776.

The Rise of Republicanism

Republicanism vs. The Republican PartyWhile republicans were opposed to rule by the

British, they were also opposed to rule by any central authority. They were even skeptical of a permanent union of the states.

Each state was seen as the sovereign authority and the only legitimate ruling force.

The Declaration of Independence

The Influence of John LockeNatural RightsSocial Contract

© Bettmann /Corbis

© Archivo Iconografico S.A. /Corbis

Key ideas in the Declaration of Independence• Human beings possess rights that

cannot be legitimately given away or taken from them.

• People create government to protect these rights.

• If government fails to protect people’s rights or itself becomes a threat to them, people can withdraw their consent from that government and create a new one

Omissions in the Declaration of Independence

• Did not deal with the issue of what to do about slavery

• Did not say anything about the political status of women, Native Americans, or African Americans who were not slaves

The Articles of Confederation: Our First Form of Government

States retained most of the power

Citizens loyal to their state

The Confederal Government Structure Under the Articles of Confederation

Library of Congress

The Articles of Confederation: The First Constitution

• Provisions of the Articles – A loose confederation of independent states– Weak central government

• Shortcomings of the Articles – Indebtedness and inability to finance its

activities– Inability to defend American interests in

foreign affairs– Commercial warfare among the states

Accomplishments Under the Articles

Articles established to: Organize the states so they could defeat the British

forces Gain independence from Britain

Weaknesses of the ArticlesStill no central authority to resolve disputes between the

states. To organize the states for the collective good, including the organization of a militia, was crucial to the development of the Constitutional Convention.

The Constitutional Roots of the American Experiment

•Toward Unity and Order•The Articles of Confederation - Adopted on March 1, 1781 to bring the thirteen states together while allowing each state to remain independent

•Shays’s Rebellion - Economic depression of mid-1780s

•Daniel Shays - Rallied farmers to demand change from government

•Tensions Over Big Government Today

• How much power should the American government have and what role should it play in the lives of citizens?

Shay’s Rebellion, 1786

• Farmers in western Massachusetts took up arms to prevent courts from meeting

• Armed farmers led by Captain Daniel Shays forced the ill-equipped state militia to withdraw.

• By the spring of 1787, special armed forces recruited from the Boston area defeated the rebels.

© Bettmann/Corbis

Widespread economic problems among farmers at the end of the Revolutionary War

Nonpayment of taxes and debts led to foreclosure proceedings and imprisonment for debt.

Aftermath of Shay’s Rebellion

• Shay’s Rebellion reinforced the fears of national leaders about the dangers of ineffective state governments and of popular democracy out of control.

• In this climate of crisis, a call was issued to meet in Philadelphia to correct defects in the Articles of Confederation.

• Delegates to the Philadelphia convention were instructed to propose revisions for the Articles of Confederation, but they wrote an entirely new constitution instead.

Why the Founders Were Worried

• An Excess of Democracy in the States– In the mid-1780s, popular conventions

were established to monitor and control the actions of state legislators.

– The Pennsylvania state constitution replaced the property qualifications as a requirement to vote with a very small tax.

• The Threat to Property Rights in the States– Popular opinion – Stay acts– Shay’s Rebellion

The Articles and the Constitution

Convening the Constitutional Convention

• Consensus that a new Constitution was desperately needed

• Yet, growing concern by influential citizens about democratizing and egalitarian tendencies

The Constitutional Convention

• By 1787, most of America’s leaders were convinced that the new nation was in great danger of failing.

• Delegates to the Constitutional Convention– Wealthy men, well-educated, landowners– Young, but with broad experience in

American politics– Familiar with the great works of Western

philosophy and political science

Debate Over the Intentions of the Framers

• Historian Charles Beard: The framers were engaged in a conspiracy to protect their personal economic interests.

• Although the reality is surely more complex, broad economic and social-class motives were likely important.Factions Among

Delegates

The beliefs of the delegates ranged from the near-monarchism of Hamilton to definite decentralized republicanism.

© Archivo Iconografico, S.A./Corbis

The Constitutional Convention of 1787

Consensus Among the Delegates

• Agreement that a new constitution must replace the the Articles of Confederation

• Republican form of government• Support for a substantially strengthened

national government• Concern that a strong national government

is potentially tyrannical• Belief in a republican form of government

based on popular consent• Desire to insulate government from public

opinion and popular democracy

TABLE: The Virginia and New Jersey Plans

Virginia Plan New Jersey Plan

No Judicial power over statesJudicial life tenure, able to veto state legislation

Bicameral legislature Unicameral legislature

Executive size undetermined, elected and removable by Congress

More than one person, removable by state majority

Legitimacy derived from citizens, based on popular representation

Derived from states, based on equal votes for each state

Table: The Virginia and New Jersey Plans

Virginia Plan New Jersey Plan

Legislature can override state laws

Government can compel obedience to national laws

Ratification by citizens Ratification by states

A Council of Revisions to review national laws

A “Supremacy clause” similar to Article VI of Constitution

Disagreement Among the Delegates• Representation of the states in the legislature

• Status of slavery• Selection of the PresidentOverall, Conflict Often Centered Around

Disagreements Between Large and Small States. Slavery

• Three-fifths Compromise• Enactments against the slave trade were

prohibited until the year 1808, but a tax or duty on such importation was permitted.

• Return of runaway slavesOverall, these provisions explicitly recognize

the legal standing of slavery

Conflict and Compromise:The Conflict

State-based approach versus an individual-based approach

The CompromiseHouse of Representatives:

Proportional; Senate: Equal number of representatives from each state

The Conflict The fact that Northerners hated slavery worried Southerners, who feared that

their greater representation in Congress would be used to end slavery

The CompromiseSlaves counted as three-fifths of a

free person; protection of the Atlantic Slave Trade for at least 20

years

The Conflict Southerners feared that the North’s greater representation in Congress

would be used to end slavery

The CompromiseSlaves counted as three-fifths of a free person in determining representation in

the House of Representatives; protection of the Atlantic slave trade for

at least 20 years

Understanding the Constitution — What the Framers Created

• Republican form of government– Popular consent and some popular

participation, but barriers to majoritarian democracy

– Purposes and powers of government limited

The Madisonian Model Separation of powers Checks and balances

Library of Congress

The Struggle to Ratify the Constitution

• Delegates had been instructed to propose alterations to the Articles of Confederation, but they wrote an entirely new Constitution instead.

• Ratification was a difficult process.– Federalists — favored

ratification– Anti-Federalists — opposed

ratification

To Adopt or Not to Adopt?

•Federalists Versus Antifederalists

•The Politics of RatificationThe Federalist Papers

– James Madison– Alexander Hamilton– John Jay

The “Brutus” Essays

Ratification of the U.S. ConstitutionState Date Vote

Delaware December 7, 1787 30 - 0Pennsylvania December 12, 1787 46 - 23New Jersey December 18, 1787 38 - 0Georgia January 2, 1788 26 - 0Connecticut January 9, 1788 128 - 0Massachusetts February 6, 1788 187 - 168

*Maryland April 28, 1788 63 - 11South Carolina May 23, 1788 149 - 73

*New Hampshire June 21, 1788 57 - 46 *Virginia June 25, 1788 89 - 79 *New York July 26, 1788 30 - 27 *North Carolina November 21, 1789 194 - 77

*Rhode Island May 29, 1790 34 - 32 *

Ratifying Amendments

The Time for Ratification of the 27 Amendments to the Constitution

Four ways to Amend the Constitution

Four ways to Amend the Constitution

• Cope with any new and unforeseen problem

• Taken on with extreme caution

• Rigorous process

The Bill of Rights• A “Bill of Limits”• No explicit limits on state government powers• Did not apply to state governments

Amending the Constitution• Although 11,000 amendments have been

considered by Congress, only 33 have been submitted to the states after being approved, and only 27 have been ratified since 1789.

11,000 27