In framing a government which is to be administrated by...

In framing a government which is to be administrated by men over men, the great difficulty lies in this: You must first enable the government to control the governed; and in the

next place oblige it to control itself.-The Federalist No. 51

Copyright © Pearson Education, Inc. Slide 2Chapter 1, Opener

ObjectivesObjectives

1. Define government and the basic powers every government holds.

2. Describe the four defining characteristics of a state.

3. Identify four theories that attempt to explain the origin of the state.

4. Understand the purpose of government in the United States and other countries.


Key TermsKey Terms

• government: the institution through which a society makes and enforces public policies

• public policies: all the things a government decides to do

• legislative power: the power to make laws• executive power: the power to enforce and

administer laws• judicial power: the power to interpret laws• dictatorship: a government in which all power

rests with an individual or small group


Key Terms, cont.Key Terms, cont.

• democracy: a government in which supreme authority rests with the people

• state: a body of people, living in a defined territory, with a government that can make and enforce law without the consent of any higher authority

• sovereign: to have supreme and absolute power within a territory

• divine right: the theory that governments gain their authority from the will of God


IntroductionIntroduction

• What is government and what is its purpose?

– Government is the institution that allows a society to make and enforce public policies

– Every government has three basic types of power. These include the legislative power to make laws, the executive power to enforce laws, and the judicial power to interpret laws and settle disputes.


Basic Types of GovernmentBasic Types of Government

• In a dictatorship, all powers are held by one person or group.

• In a democracy, authority lies with the people.

• The U.S. government gives executive power to the President, legislative power to Congress, and judicial power to the Supreme Court.


The StateThe State

• States are the main unit of government in the world today.

– There are more than 200 states, varying greatly in size, population, and power.

– A state is not strictly the same thing as a nation (which refers to large groups of people) or a country (which refers to a particular region).

• Every state has four basic characteristics: population, territory, sovereignty, anda government.

Copyright © Pearson Education, Inc. Slide 8Chapter 1, OpenerChapter 1, Section 1

The StateThe State

PopulationA state must have people,the number of which doesnot directly relate to itsexistence.

TerritoryA state must be comprisedof land—territory with knownand recognized boundaries.

SovereigntyEvery state is sovereign. Ithas supreme and absolutepower within its ownterritory and decides its ownforeign and domesticpolicies.

GovernmentEvery state has agovernment — that is, it ispolitically organized.

The state can be defined as having these four characteristics:


Population and TerritoryPopulation and Territory

• Every state has a population, whether large or small, diverse or homogeneous.– China (right) has a

large population that is reflected in its landscape.

• A state must have territory, land with known and recognized boundaries.


Sovereignty and GovernmentSovereignty and Government

• Every state has sovereignty, the absolute power within its own territory to decide domestic and foreign policies.

• Each state has a government, a political organization to make and enforce its policies.


Origins of the StateOrigins of the State

• Many theories have been developed to explain the origins of the state.

• These include the force theory, the evolutionary theory, the divine right theory, and the social contract theory.


• The force theory holds that an individual or group claims control over a territory and forces the population to submit.

• The state then becomes sovereign and those in control form a government.

The Force TheoryThe Force Theory


• The evolutionary theory says that a population formed out of primitive families.

• The heads of these families became the government.

• When these families settled in one territory and claimed it as their own, they became a sovereign state.

Evolutionary TheoryEvolutionary Theory


• The divine right theory holds that God created the state, making it sovereign.

• The government is made up of those chosen by God to rule a certain territory. The population must obey their ruler.

Divine Right TheoryDivine Right Theory


• Checkpoint: What is the Social Contract Theory?– The social contract theory was

developed by philosophers such as Thomas Hobbes, John Locke, and Jean Jacques Rousseau and has had the greatest influence on United States government.

– This theory holds that the people chose to give the state enough power to promote the well-being of everyone and that all political power comes from the will of the people.

Social Contract TheorySocial Contract Theory


Origins of the StateOrigins of the State

• Social Contract TheoryThe social contract theory argues that the state arose out of a voluntary act of free people.


Thomas Hobbes (1588-1679)Thomas Hobbes (1588-1679)

• Man was first free to do whatever he wanted, not subject to any government.

• Some used their freedom to prey on others.

• Life was “solitary, poor, nasty, brutish, and short.”

Leviathan, 1651


Thomas Hobbes (1588-1679)Thomas Hobbes (1588-1679)

• To escape this misery, people entered into a social contract

• Gave up some of their freedom to an absolute ruler in exchange for peace, order and safety.

Leviathan, 1651


John Locke (1632-1704)John Locke (1632-1704)

• “Second Treatise on Government” (1689)

• In the state of nature, all men enjoyed natural rights—life, liberty, & ownership of property

Second Treatise on Government, 1689



• In people’s self interest to enter into a social contract that exchanged some of their freedom for protection of government




• Social contract is provisional

• If ruler fails to protect, people have a right to overthrow that ruler and establish a new government



Jean-Jacques Rousseau (1712-1778)Jean-Jacques Rousseau (1712-1778)

• For a government formed by social contract to have legitimacy, it must be based on popular sovereignty or the general will of the people.

The Social Contract, 1752


Reconcile these two statementsReconcile these two statements

“It is in a person’s self interest to enter into a social contract that exchanges some of their freedom for protection of government.”

“They that give up essential liberty to obtain a little temporary safety deserve neither liberty nor safety”


Purpose of GovernmentPurpose of Government

• The Preamble to the U.S. Constitution sets forth the basic purposes of America’s government.

– It forms “a more perfect Union” by uniting the state governments and the American people.

– It establishes justice by attempting to create and administer laws in a fair, reasonable, and impartial fashion.


Purpose of Government, cont.Purpose of Government, cont.

• Government offers domestic tranquility, or peace at home, by providing law and order.

• Government provides for the nation’s defense by maintaining armed forces and safe-guarding national security.


Purpose of Government, cont.Purpose of Government, cont.

• The U.S. government promotes the general welfare of citizens by providing services, such as public education, that benefit all or most people.

• The government helps secure the blessings of liberty by guaranteeing many individual rights and liberties.– These freedoms are not absolute—you are

not free to violate the liberties of others.

Chapter 1: Principles of GovernmentSection 2



1. Classify governments according to three sets of characteristics.

2. Define systems of government based on who can participate.

3. Identify different ways that power can be distributed, geographically, within a state.

4. Describe a government by the distribution of power between the executive and legislative branch.


Key TermsKey Terms

• autocracy: government in which a single person holds all political power

• oligarchy: government in which a small, usually self-appointed group has the sole power to rule

• unitary government: a government in which all power belongs to one central agency

• federal government: a government in which power is divided between one central and several local governments


Key Terms, cont.Key Terms, cont.

• division of powers: the split of power between central and local governments

• confederation: an alliance of independent states

• presidential government: a government with separate executive and legislative branches

• parliamentary government: a government in which the executive branch is part of the legislative branch and subject to its control



• What are some forms of government in the world today?

– Democracies and dictatorships are classified according to who can participate in government.

– Unitary, federal, and confederation-style governments are classified based on how power is divided geographically.

– Presidential and parliamentary governments are defined by the relationship between the executive and legislative branches.


Direct DemocracyDirect Democracy

• In a direct or pure democracy, the people pass laws by discussing and voting on them in meetings, such as town meetings.

• This system works only in small communities.


Indirect DemocracyIndirect Democracy

• In an indirect orrepresentative democracy, the people elect agents who make and carry out the laws.

• These representatives rule with the consent of the governed and can be removed by the people at election time.


• The United Kingdom is a constitutional monarchy.

• Most power lies with the Parliament, which is elected by the people.

• The queen is the head of state, while the head of government is the Prime Minister, who is the head of the leading party in Parliament.

Example DemocraciesExample Democracies


Example Democracies, cont.Example Democracies, cont.

• The United States is a constitution-based federal republic.

• The President and members of Congress are chosen by the people.

• The President is both Chief of State and Head of Government.


DictatorshipsDictatorships

• Checkpoint: What is the difference between an oligarchy and an autocracy?

– In an autocracy, one person holds total political power, while in an oligarchy a small elite group shares political power.

– Both are forms of dictatorships, holding absolute and unchallenged authority over the people, who have no say in government.


Example DictatorshipsExample Dictatorships

• Some dictatorships are like that of China, where people can vote only for candidates from one political party and the legislature does whatever the dictatorship says.

• Other dictatorships are like the one in Myanmar, where the military rules and there are no elections.


Unitary GovernmentUnitary Government

• In a unitary model, all power belongs to the central government, which may grant some powers to local governments.

• The powers of the central government may be limited or unlimited.

• Most governments in the world are unitary in form.


Federal GovernmentFederal Government

• In the federal model, power is divided between a central government and several local governments, usually according to a constitution.

• The U.S. and some 25 other states have federal forms of government.


Confederate GovernmentConfederate Government

• A confederation is an alliance of independent governments that grant limited powers, usually involving defense or foreign affairs, to a central government.

• The European Union is similar to a confederation.


Classification by the Relationship Between Legislative and Executive

Branches

Classification by the Relationship Between Legislative and Executive

Branches

Chapter 1, Section 2


Presidential GovernmentPresidential Government

• A presidential government divides executive and legislative power between two branches.

• The details of this separation of powers are spelled out in a constitution.


Parliamentary GovernmentParliamentary Government

• In a parliamentary government, the legislature chooses the executive, which is part of the legislature and under its control.

• A majority of world governments use the parliamentary system, which lacks some checks and balances but promotes cooperation between the executive and legislative branches.


Parliamentary Government, cont.Parliamentary Government, cont.

• The prime minister is the head of the leading party in Parliament and chooses cabinet members from the Parliament.

• If the Parliament loses confidence in the Prime Minister and cabinet, elections are held to form a new government.



1. Identify the ancient foundations of the state in Athens, in Rome, and in the Feudal system.

2. Analyze the rise of sovereign states3. Explain how governments can achieve

legitimacy.4. Understand why European nations turned to

colonialism.5. Understand how Enlightenment ideas helped

influence the expansion of popular sovereignty.


Key TermsKey Terms

• patricians: rich upper-class, land-owning aristocrats of the Roman Republic

• plebians: the common folk in the Roman Republic

• feudalism: a loosely organized systems in which powerful lords divided their land among other, lesser lords

• sovereignty: utmost authority in decision-making and in maintaining order of a state


Key TermsKey Terms

• legitimacy: the belief of the people that the government has the right to make public policy

• divine right of kings: the belief that God grants authority to a government

• colonialism: the control of one nation over foreign lands

• mercantilism: an economic and political theory emphasizing money as the chief source of wealth to increase the absolute power of the monarchy and the nation


Key TermsKey Terms

• William Blackstone: English judge whose writings had a profound influence on the writers of the Declaration of Independence and Constitution, an important Enlightenment figure, believed in protecting the rights of the innocent, and basing judgments on common law (previous decisions about similar issues.

• François-Marie Arouet: Also known as Voltaire, an important Enlightenment thinker and writer.


Athens: First DemocracyAthens: First Democracy

• Assembly met 40 times per year, to debate and vote

• Decisions were made by majority vote• Agenda set by Council of 500, 500 citizens

who were chosen randomly and served 1 year terms.

• Courts staffed by volunteers at least 30 years old who also served one-year terms


Athens: First DemocracyAthens: First Democracy

• Greek civilization reached it’s height in 4th

Century B.C.• Consisted of several city-states, most

notably Athens• Began as monarchy, but overthrew

monarchy and established democracy• Direct democracy, it’s central feature was

The Assembly, consisting of every male over 18 years of age.


The Roman RepublicThe Roman Republic

• Romans overthrew their monarchy in 509 B.C. and established a popular form of government they called a republic.

• Lasted until the establishment of the Roman Empire at the end of the 1st

century B.C.• Far from a democracy by current

standards, but did introduce the concept of representation.



• Struggle, often violent between the patricians (upper class) and the plebians (common people)

• Government centered in the Senate, senators elected by citizenry. Patricians dominated but over time an increasing number of plebians were elected to the senate and a lesser assemblies.

• 2 consuls, elected by the legislative assemblies were the heads of state


FeudalismFeudalism

• The fall of the Roman Empire in the 5th

century A.D. marked the collapse of centralized authority and organized government over much of the western world and the beginning of the Middle Ages.

• The feudal system developed in response to that chaos and disorder over the next 1000 years


FeudalismFeudalism

• Feudalism was a loosely organized system in which powerful lords divided their lands among lesser lords.

• Those with land and power agreed to protect others in exchange for loyalty, military service, and a share of the crops produced


The Structure of the Feudal SystemThe Structure of the Feudal System


Roman Catholic ChurchRoman Catholic Church

• The Roman Catholic Church spread across Europe with the Roman Empire. It survived the collapse of the empire and now in concert with feudalism provided some measure of government-like order to life during the Middle Ages.

• As most of Europe was converted to Christianity, the church became increasingly powerful.


Roman Catholic ChurchRoman Catholic Church

• The pope and his bishops ruled vast land holdings and frequently vied with monarchs and lords for political as well as religious influence over people’s lives.


Commerical RevolutionCommerical Revolution

• The Black Plague of the 1340s killed a third of the population of Europe.

• After the plague, manors still depended on the same amount of work, but from less serfs.

• Serfs and free peasants demanded higher wages for their labor. The price of crops fell and the lords made less money from their lands.


Commerical RevolutionCommerical Revolution

• Merchants and artisans became increasingly wealthy and more powerful

• The economy became increasingly based on wealth and trade rather than land.


Influence of TownsInfluence of Towns

• Lords had to find new ways to gather money. They accepted money from their vassals in place of military service.

• Others allowed free people to set up towns on their land for a fee under a charter.

• The income of these towns came from trade with Central Europe and Asia.


Influence of TownsInfluence of Towns

• Merchant paid fees for protection, duties on their trade goods and right to use roads, rivers, and bridges.

• Lords depended on loans from merchants and bankers.

• Trade guilds also developed in the cities and towns, and their members demanded a say in government.


Rise of MonarchiesRise of Monarchies

• All these factors weakened the lords and the feudal system.

• The leaders of towns saw benefits of supporting a central authority and aligned themselves with the monarchs.

• Monarchs saw wealth of towns as a source of wealth that could free them from dependence on their vassals.

• Rulers established national governments in England, France & Spain


Power of Absolute MonarchsPower of Absolute Monarchs

• To help manage national governments, monarchs hired loyal civil servants.

• The State, now in the form of the monarch had sovereignty (utmost authority in decision making and maintaining order.

• Everyone, including nobles, were subject to the rule of the monarchs.

• This ultimate authority became known as “absolute monarchy”


Forms of LegitimacyForms of Legitimacy

• Governments may hethrough tradition, what is accepted over a long period of time. One type of traditional legitimacy is the divine right of kings.

• Another way to earn legitimacy is through the power of personality, winning popular support through charismatic and strong leadership.

• The most durable legitimacy is through rule of law.


Major EnlightenmentFiguresMajor EnlightenmentFigures

• Several of the great thinkers of the Age of Enlightenment had a great impact on the founding fathers of the United States in separating themselves from the British monarchy and setting up a new form of government.



• Locke put forth the notion of the natural rights of all human beings, including the rights of life, liberty and property—ideas that later influenced the Declaration of Independence.



Thomas Hobbes (1588-1679)Thomas Hobbes (1588-1679)• Thomas Hobbes said that

people and rulers are parties to a social contract that defines the rights and powers of each.

Leviathan, 1651


Adam Smith (1723-1790)Adam Smith (1723-1790)

• Economist Adam Smith criticized economic policies that led to monarchs becoming ever wealthier, while their subjects became poorer and less free.



Baron de Montesquieu (1689-1775)Baron de Montesquieu (1689-1775)

• Set forth the idea of separation of powers of government with checks and balances which became the basis of the Constitution of the United States


Voltaire (1694-1778)Voltaire (1694-1778)

Advocated: • Reason• Freedom of Religion• Importance of

scientific observation• Progress of man


William BlackstoneWilliam Blackstone

• English jurist who believed strongly in common law—the idea that legal decisions should be based upon similar decisions made in the past



1. Understand the foundations of democracy.

2. Analyze the connections between democracy and the free enterprise system.


Key TermsKey Terms

• majority rule: the principle that the will of the majority controls the actions of government

• compromise: the process of blending and adjusting competing views and interests

• citizen: one who holds certain rights and responsibilities within a state

• free enterprise system: an economic system characterized by the private ownership of capital goods, private investment, and a competitive marketplace that determines success or failure



• What are the basic concepts of democracy?

– Recognition of the fundamental worth and dignity of every person

– Respect for the equality of all persons

– Faith in majority rule and an insistence upon minority rights

– Acceptance of the necessity of compromise

– Insistence upon the widest possible degree of individual freedom


Worth of the Individual Worth of the Individual

• Democracy is based on a belief in the dignity and worth of every individual.

• Individuals can be forced to do things that serve the good of the many, like paying taxes.

• Respect for individuals means that serving the many should not be a case of simply benefiting the majority over the minority, but of trying to meet the needs of all individuals in society.


Equality of All PersonsEquality of All Persons

• Checkpoint: To what are citizens entitled under the democratic concept of equality?– All citizens are

entitled to equality of opportunity and equality before the law.

– This means that no person should be held back based on gender, race, color, or religion.


Equality of All Persons, cont.Equality of All Persons, cont.

• Every person must be free to develop as fully as they wish. Achieving this goal of equality is an ongoing process.

• For example, in Brownv. Board of Education,the Supreme Court ruled that segregated schools were unequal.


Majority Rules, Minority RightsMajority Rules, Minority Rights

• Democracy holds that the majority will be right more often than it is wrong and will be right more often than any small group.

• The majority will not always make the best decisions or even the right decisions, but in a democracy their choices can be improved or changed over time.

• The majority must respect the rights of minorities and listen to their viewpoint.


Necessity of CompromiseNecessity of Compromise

• Compromise is a key part of the democratic process.

– In a society made of many equal individuals with different opinions and interests, public decisions require compromises.

– Most public issues can be addressed in several ways.

– Determining which way best meets the needs of the public also requires compromise.


Individual FreedomIndividual Freedom

• Democracy cannot allow complete individual freedom, which would lead to anarchy and lawlessness.

• Democracy does require that each individual be as free as possible without interfering with the freedom of others.

• Democratic government works constantly to find the balance between individual freedom and government authority.


CitizenshipCitizenship

• Every democratic citizen has duties that they must obey.

• Each citizen also has responsibilities that they should fulfill to improve the quality of their government and community.


Citizenship OverviewCitizenship Overview

Duties Responsibilities

• Serving on a jury• Serving as a witness• Attending school• Paying taxes• Obeying local, state,

and national laws• Draft registration• Respecting the rights

of others

• Voting• Volunteering• Participating in civic

life• Understanding the

workings of our government


How Free Enterprise WorksHow Free Enterprise Works

• Free enterprise, also called capitalism, is an economic system based on private ownership, individual initiative, profit, and competition.

• Individuals, not the government, decide what to make, how to make it, at what price to sell it, and whether to buy it.– Greater demand tends to increase prices,

while lower demand tends to decrease them.


Government and Free EnterpriseGovernment and Free Enterprise

• Both democracy and free enterprise are based on the idea of individual freedom.

• U.S. government involvement in the economy is aimed at protecting both the public and private enterprise.

• The government regulates many economic activities to encourage competition and protect public welfare.

• The government also offers many essential services, such as public education and transportation.

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