Principles of Government

What Is the Government? What is Politics?

• Government is the set of formal and informal institutions, people, and processes used to create and implement public policy.

• Politics is defined by political scientist Harold Laswell as "who gets what, when, and how". It refers to the informal ways in which public policy is developed and implemented.

• Government and politics are methods used to develop public policy.

• Public policy is the use of government power to maintain authority and control over society.

Purposes of Government

The goals of public policy for the United States are addressed in the preamble of the US Constitution.

• Forming a more perfect union: creation of a strong union of the states while maintaining state sovereignty.

• Establishing justice: reasonable, fair, and impartial law.

• Insuring domestic tranquility: preservation of public order.

• Providing for the common defense: protection and maintenance of national defense.

• Promoting the general welfare: providing public services and economic health of the nation.

• Securing the blessings of liberty: promoting individual freedoms.

Forms of Government

Aristotle's classification is based on the number of individuals involved in political decisions.

• Anarchy - Lack of Government

• Autocracy - Rule by One

  - Absolute Monarchy - Inherited power, no restrictions on ruler's power.

  - Constitutional Monarchy - Inherited power, formal restrictions limit power, usually ceremonial status for monarch.

  -Dictatorship - Seized power, maintained by force, opposition restricted.

• Oligarchy - Rule by a few

  - Aristocracy - Rule by the elite, determined by social status/wealth.

  - Theocracy - Rule by religious leaders.

• Democracy - Rule by the People

  - Direct Democracy - Citizens make policy decisions.

  - Representative Democracy - citizens choose officials to make policy decisions (most "democratic" nations).

Theories of Democratic Government

Theories of democratic government explore the distribution of power and influence in decision-making at different levels of government.

• Participatory Democratic Theory: Governance relies on the consent of the governed, either directly or through representatives.

• Pluralist Theory: Interest groups compete to promote their preferred policies, leading to bargaining and compromise. (Robert Dahl).

• Elite Theory: A small group of powerful elites form a ruling upper class and make decisions in their self-interest. (C. Wright Mills).

• Bureaucratic Theory: Bureaucrats hold real power over public policy due to their role in the day-to-day workings of government. (Max Weber).

• Hyperpluralism: Many groups hold significant power, leading to gridlock and ineffectiveness.

Origins of the American Government

Influences on the American Government

• The early British colonial empire established a permanent colony at Jamestown, Virginia in 1607.

• Early colonists brought limited government & representative government ideas to the colony.

• Enlightenment Era philosophers like John Locke & Thomas Jefferson supported the concept of a social contract.

• Locke believed in natural rights (life, liberty, property) & that governments are created to support those rights.

• Jefferson adopted Locke's ideas in the Declaration of Independence.

• Montesquieu wrote about the need for branches of government.

• The American government is based on ideas of limited government, natural rights, popular sovereignty, republicanism & social contract.

  - Limited government: power is limited by the rule of law (Constitution, laws).

  - Natural rights: basic rights guaranteed to all people and cannot be denied by any government/individual.

  - Popular sovereignty: People are the source of all governmental power, with ultimate power and authority resting with "we the people".

  - Republicanism: People give authority to the government and exercise power through elected representatives.

  - Social contract: Voluntary agreement between members of society and government, defining and limiting rights and duties.

Colonial Experiences

• From 1607 to 1776, the American colonies were in a continuous state of political self-development.

• This was due to factors such as the long distance from England, colonists' indifference to the king's authority, and disputed political authority in England.

• The colonies made the most of their English heritage but made changes to create a new and unique style of government based on the principles of equality, liberty, and limited government.

• Difficulties with Britain:

  - Before 1750, Britain provided defense and manufactured goods for the colonies, which in return provided raw materials and markets for manufactured goods.

  - After the French and Indian War, Britain expected the colonies to help pay the cost of the war and future defense.

  - The British government began enforcing taxes and passed new taxes, leading to conflict between the colonies and Britain.

  - After the Boston Massacre and Tea Party, the British government passed the Coercive or Intolerable Acts.

  - In response, the colonies began to unite to influence the British government and express dissatisfaction with British policies.

• Continental Congresses:

  - The First Continental Congress was held in Philadelphia in 1774 and included delegates from 12 colonies. It resolved to send a Declaration of Rights to the king in protest of Britain's policies.

  - The Second Continental Congress became America's first national government in May 1775. Delegates from all 13 colonies were present, among them John Hancock, George Washington, Ben Franklin, Thomas Jefferson, John Adams, and Patrick Henry.

  - The Second Continental Congress created the Continental Army, borrowed money from France and the Netherlands, created a monetary system, made treaties with foreign governments, and commissioned the writing of the Declaration of Independence and the Articles of Confederation.

Declaration of Independence

• Authored primarily by Thomas Jefferson with contributions from John Adams and Benjamin Franklin.

• Based on the works of Enlightenment philosopher John Locke

• Key Principles:

  - All men are created equal.

  - People have inalienable rights (life, liberty, pursuit of happiness) given by God, not the king.

  - Governments are created by men and require the consent of the governed.

  - If a government does not act on behalf of the people, the people have a right and duty to alter or abolish it.

• Structure of Declaration of Independence

Divided into three parts:

- Theory of government based on social contract and natural rights.

- List of grievances against the king and Parliament.

- Statement of colonial unity and separation from Britain (becoming Free and Independent States).

• Impact

  - Supports popular sovereignty (people are the ultimate source of government's power).

  - Approved by the Second Continental Congress on July 4, 1776, leading the to separation of the 13 British colonies in North America and the creation of the United States.

  - Influences seen and felt within the US and around the world, reflected in the US Constitution and amendments.

Articles of Confederation

• Written in 1777 by the Second Continental Congress as the first national constitution for governing the American states.

• Created a confederation or "league of friendship" among the states with a weak national government and a unicameral legislature.

• Congress had limited powers, such as borrowing money, creating a national army and navy, declaring war, creating post offices, and signing treaties.

• No national executive or judicial branch, each state was equal with one vote, regardless of population or size.

• 9 of the 13 states were required for legislation to pass the Confederation Congress, amending the Articles required a unanimous vote.

• The weaknesses of the Articles allowed states to focus on their own powers, resulting in economic chaos and violence.

• The government's inability to tax, lack of enforcement powers, and lack of a centralized military led to conferences at Mt. Vernon and Annapolis but proved unsuccessful.

• A rebellion of farmers in Massachusetts (Shays' Rebellion) led to the calling of a Constitutional Convention.

Constitutional Convention

• The Convention was held in Philadelphia in May 1787 with the purpose of revising the Articles of Confederation.

• All states except Rhode Island were represented by delegates.

• James Madison presented his Virginia Plan, which proposed a strong national government, before the Convention officially began.

• George Washington was chosen as the president of the Convention.

• The decision was made to write a new constitution instead of revising the Articles of Confederation.

• The delegates agreed on a republic form of government with a federal system and three branches: executive, legislative, and judicial.

• Different plans, including the Virginia Plan and the New Jersey Plan, were presented to the delegates for consideration.

Compromises

• The Constitutional Convention debated on representation in the national legislature and arrived at the Great (Connecticut) Compromise.

• The bicameral legislature would have representation in the lower house based on the population of the state and equal representation of the states in the upper house.

• The Three-Fifths Compromise was reached regarding the counting of slaves for representation and taxation.

• The Commerce and Slave Trade Compromise addressed the differences between northern and southern states regarding exports and the slave trade.

• Other compromises were made regarding the executive and judicial branches, and the electoral college was established as a compromise for choosing a president.

Weakness of the Articles of Confederation and Constitutional Remedies

Weakness of the Articles of Confederation:

• Created a "league of friendship" between the states.

• Congress could only request contributions from the states; it couldn't tax.

• Congress couldn't regulate interstate trade or foreign commerce.

• No separate executive branch to enforce the acts of Congress.

• No national judiciary to handle state disputes.

• Both states and the national government had the authority to coin money.

• Each state had one vote, regardless of size or population.

• Nine out of thirteen states were required to pass legislation.

• Nine out of thirteen states were required to pass legislation.

How the Constitution Remedied Weaknesses:

• The Constitution established a federal system of government, dividing power between the national and state levels.

• The national government was given the power to tax, instead of just requesting contributions from the states.

• Congress was granted the authority to regulate interstate trade and foreign commerce.

• Article II created a separate executive branch responsible for enforcing laws passed by Congress.

• Article III created a national judiciary, with a Supreme Court and lower courts established by Congress, to handle state disputes.

• Only the national government has the authority to coin money, not the states.

• The House of Representatives is based on population while the Senate provides equal representation for all states.

• Bills need a simple majority in both houses of Congress to pass.

• Two-thirds of Congress and three-fourths of the states are required to amend the Constitution.

Comparison of the Virginia and New Jersey Plans

Virginia Plan:

• Proposed a bicameral legislature:

• Lower house elected by the people.

• Upper house chosen by the lower house from nominees submitted by state legislatures.

• Representation in each house based on population and/or monetary contributions to the national government by the state.

• Proposed a single executive chosen by the legislative branch, limited to one term only, with veto power over legislative acts, and removable by Congress.

• Judges chosen by the legislative branch.

New Jersey Plan:

• Prop[osed a unicameral legislature:

• Representatives chosen by state legislatures.

• Each state receives one vote.

• Representation in the House would be equal among the states.

• Proposed plural executives chosen by the legislative branch, without veto powers, removable by the states.

• Judges appointed for life by the executive.

Ratification of the Constitution

• The Constitution was signed by the delegates on September 17, 1787, but it still needed to be ratified by 9 of the 13 states to become effective.

• Ratifying conventions were held in each state over the next two years.

• The debate over ratification divided citizens into Federalist and Anti-Federalist positions.

• Federalists:

  - Supported a strong central government with expanded legislative powers.

  - Argued that the weaknesses of the Articles of Confederation called for a stronger government.

  - Were helped by the Federalist Papers, a collection of 85 essays written by James Madison, Alexander Hamilton, and John Jay, defending the new government created under the Constitution.

• Federalist No. 10:

  - Written by James Madison, it argues that the union under the new Constitution safeguards against domestic faction and insurrection.

  - Madison believes that any damage caused by factions could be controlled by the government under the new Constitution.

• Anti-Federalists:

  - Believed the new Constitution gave the national government too much power at the state governments' expense

  - Objected to the lack of a Bill of Rights to ensure fundamental liberties.

• Brutus No. 1:

  - Written by Anti-Federalist Robert Yates of New York, it attempts to convince people not to ratify the Constitution.

  - Argues that republics need to be small and homogeneous to be successful and that giving the government too much power would result in people losing their liberties.

  - Demands a Bill of Rights as a critical part of protecting the people's liberties.

Federalists Versus Anti-Federalists

Federalists:

• Favored Constitution

• Led by James Madison, Alexander Hamilton, John Jay

• Stressed weaknesses of Articles; strong government needed to protect nation and solve domestic problems

• Checks and balances would protect against abuses

• Protection of property rights

• Constitution is a bill of rights with limitations and reserved powers for the states; state constitutions already had protections in bill of rights

Anti-Federalists:

• Opposed Constitution

• Led by Patrick Henry, Richard Henry Lee, George Mason, Samuel Adams

• Wanted strong state governments; feared a strong national government

• Created a strong executive similar to monarchy

• Wanted fewer limits on popular participation Wanted a bill of rights to protect citizens
  against government

The United States Constitution

The Constitution of the United States is the oldest national constitution in use today, describing the structure and powers of the national government and the relationship between the national and state governments

Basic Principles Within the Constitution

The Constitution embodies several basic principles, including:

• Limited government: the belief that government has only the powers given to it and is not all-powerful.

• Popular sovereignty: the people are the source of government's authority.

• Separation of powers: power is separated among three branches of government, each with its own powers and duties, and is independent of and equal to the other branches.

• Checks and balances: each branch is subject to restraints by the other two branches.

• Federalism: a division of governmental powers between the national government and the states.

Checks and Balances

The constitutional system of checks and balances prevents any branch of the federal government from becoming more powerful than the other two.

• James Madison argued in Federalist No. 51 that the separation of powers would keep the government under the new Constitution from becoming too powerful.

• Madison believed that in a republic, the legislative branch was naturally the most powerful and that the executive was weaker.

• According to Madison, it is human nature to increase one's power, so safeguards are necessary to prevent a person or group from seizing too much power.

• The concentration of power in a single person or group threatens the people’s liberty, and Madison believed that men cannot be trusted with unchecked power.

The Constitution is divided into three major parts: the Preamble, articles, and amendments.

Preamble

• The opening paragraph of the Constitution is called the Preamble.

• The Preamble lists the six goals for the American government and explains why the Constitution was written.

We the People of the United States, in Order to form a more perfect Union, establish Justice, insure domestic Tranquility, provide for the common defense, promote the general Welfare, and secure the Blessings of Liberty to ourselves and our Posterity, do ordain and establish this Constitution for the United States of America.

The six goals are:

• To form a more perfect Union.

• To establish Justice.

• To insure domestic Tranquility.

• To provide for the common defense.

• To promote the general Welfare.

• To secure the Blessings of Liberty to ourselves and our Posterity.

The Preamble is the introductory statement that precedes the main text of the Constitution.

Articles

• The Constitution is divided into seven articles, each covering a specific topic.

• Article I is the longest and is devoted to the legislative branch of government.

• The seven articles are as follows:

Article I - Legislative Branch

Article II - Executive Branch

Article III—Judicial Branch

Article IV—Intergovernmental Relationships

Article V—Amendment Process

Article VI—Supremacy of the Constitution

Article VII—Ratification Process

Formal Amendment Process

• The Constitution's amendment process is provided for in Article V.

• Amending the Constitution requires both national and state action and can be proposed and ratified by different methods.

• Four possible methods for formally amending the Constitution include:

  - proposed by two-thirds vote of each house of Congress and ratified by three-quarters of the state legislatures (used 26 times).

  - proposed by two-thirds vote of each house of Congress and ratified by special conventions in at least three-quarters of the states (used once, to ratify the Twenty-First Amendment).

  - proposed by a national convention called by Congress at the request of two-thirds of the state legislatures and ratified by three-quarters of the state legislatures (never used).

  - proposed by a national convention called by Congress at the request of two-thirds of the state legislatures and ratified by special conventions in at least three-quarters of the states (never used).

Formal Amendments

• Formal amendments are written changes to the Constitution.

• They can add to, change the wording of, or delete language from the Constitution.

• Only 27 formal amendments have been added to the Constitution since its adoption.

• The first 10 amendments, known as the Bill of Rights, were added in 1791.

Separation of Powers and Checks and Balances

Legislative Branch (Passes Laws)

• Over Executive:

  - May override president's veto by two-thirds vote of both houses

  - May impeach and remove president from office

  - Senate may refuse to confirm presidential appointments or ratify treaties

  - Creates executive agencies and programs

  - Appropriates funds

• Over Judiciary:

  - Creates lower federal courts

  - Sets salaries of federal judges

  - May refuse to confirm judicial appointments

  - May propose constitutional amendments which overrule court decisions

  - May impeach and remove federal judges

Executive Branch (Enforces Laws)

• Over Legislature:

  - President may veto acts of Congress

  - President may call special sessions of Congress

  - President may recommend legislation

• Over Judiciary:

  - President appoints federal judges

  - President may grant reprieves and pardons to federal offenders

  - May refuse to enforce court decisions

Judicial Branch (Interprets Laws)

• Over Legislature:

  - May rule legislative acts unconstitutional

  - Chief justice presides over impeachment of president

• Over Executive:

  - May rule executive actions unconstitutional

Informal Amendment Process:

• The Informal Amendment Process is the process in which the U.S. Constitution can be changed without actually changing its written wording. It occurs in several ways:

  - Legislative actions: Congress has passed various acts that have altered or made clear the meaning of the Constitution, such as creating lower courts under Article III through the Judiciary Act of 1789.

  - Executive actions: The manner in which presidents use their powers can create informal amendments and expand presidential authority. The use of executive agreements rather than treaties allows the president to bypass the Senate.

  - Judicial interpretation/judicial review: The concept of judicial review, which allows the courts to interpret laws, resulted from Marbury v. Madison (1803) and is not mentioned in the Constitution.

  - Custom and usage: Traditions that have been incorporated into the political system and which have lasted over time have changed the meaning of the Constitution, such as senatorial courtesy in the Senate and the "no-third-term" tradition in the presidency until the Twenty-Second Amendment made it part of the Constitution.

Constitutional Amendments:

• Amendment 1-guarantees freedom of religion, speech, press, assembly, and petition

• Amendment 2-ensures the right to keep and bear arms

• Amendment 3-sets conditions for quartering of troops in private homes

• Amendment 4-regulates search, seizure, and warrants

• Amendment 5-addresses protections against self-incrimination, guarantees of due process, eminent domain, and grand jury indictment for capital crimes

• Amendment 6-guarantees rights to a speedy, public trial and an impartial jury; to confront witnesses; and to have an attorney

• Amendment 7-preserves the right to a jury trial in civil cases

• Amendment 8 ensures no excessive bails or fines, nor cruel and unusual punishment

• Amendment 9-cites unenumerated rights of the people

• Amendment 10-reserves powers of the states and the people

• Amendment 11-restricts lawsuits against states

• Amendment 12-provides for election of president and vice-president by separate ballot in electoral college

• Amendment 13-abolishes slavery

• Amendment 14 guarantees rights of citizenship, due process, and equal protection

• Amendment 15-guarantees citizens' right to vote regardless of race, color, or previous condition of servitude

• Amendment 16-authorizes income tax

• Amendment 17-establishes direct election of senators by popular vote

• Amendment 18-prohibits intoxicating liquors

• Amendment 19-establishes women's suffrage

• Amendment 20-sets terms and sessions of executive and legislative branches; "lame duck"

• Amendment 21-repeals prohibition (18th amendment)

• Amendment 22-limits presidential terms of office

• Amendment 23-allows for voting rights in District of Columbia in presidential elections

• Amendment 24-abolishes poll taxes

• Amendment 25-addresses presidential succession, disability, and vice-presidential vacancies

• Amendment 26-gives 18-year-olds the right to vote

• Amendment 27-addresses congressional pay

Marbury v. Madison (1803)

• Marbury v. Madison (1803) is a landmark case in United States history that established the principle of judicial review.

• In the election of 1800, the Federalists lost control of the presidency and Congress to the Democratic-Republicans.

• Before Jefferson's inauguration, the "lame duck" Federalist Congress created new judicial positions, which Adams attempted to fill.

• William Marbury was one of the appointees who did not receive his commission as a justice of the peace for the District of Columbia under Jefferson's administration.

• Marbury petitioned the Supreme Court to issue a writ of mandamus ordering Secretary of State James Madison to deliver the commission to him and several others.

• The Supreme Court under Chief Justice John Marshall ruled that Marbury was entitled to the commission, but the Court did not have the authority to order Madison to give it to him because the portion of the Judiciary Act of 1791 which allowed the Court to hear these cases was unconstitutional.

• This case established the principle of judicial review, which gave the Supreme Court the power to declare an act of Congress unconstitutional.