Unit One: Constitutional Underpinnings

1. Unit One: Constitutional Underpinnings Who Governs? To What Ends?

2. What is Political Power? • Power: the ability of one person to get another person to do what you want them to! • Power is found in all relationships, think about your parents, your boyfriend/girlfriend, your teachers • We will discuss power as it is used to affect who will hold government office and how government will behave

3. Who exercises Power? • Those who exercise political power may or may not have the authority to do so • Authority: the right to use power • Legitimacy: Political authority conferred by law or by a state or national constitution

4. Who Exercises Power? • This was the struggle the Colonists had, did England and King George III have authority and thus the power to rule? • We will see this struggle in the next chapter when we look at the idea of Federalism • We see this struggle in the Civil War, the New Deal, a possible balanced budget amendment • We can agree: no exercise of political power by government at any level is legitimate if it is not in some sense democratic!

5. Democracy The rule of the many.

6. Democracy: Two Types A. Direct: A government in which all or most citizens participate directly. B. Indirect (representative): A government in which leaders make decisions by winning a competitive struggle for the popular vote. Which one?

7. Direct Democracy • The Founders had a basic distrust of direct democracy (Ancient Greece and Rome) • Impractical • (Gov should mediate, not mirror popular views) • Fleeting passions of the people (mob mentality) • Fear of people being swayed by demagogues (even highly educated people can be manipulated by demagogic leaders who play on fears and prejudices) ex. Hitler

8. Direct Democracy • Some people still argue for direct democracy • Neighborhoods and cities should govern themselves • In many states a measure of direct democracy exists: voters can decide on referendum issues (policy choices that exist on ballots) • Idaho: three referendum issues on the ballot regarding education • This is the only way the “will of the people” can truly be ensured

9. Representative Democracy • The Framers of the Constitution decided on a “representative democracy” • Way of minimizing the chances that power would be abused by • Tyrant! • Tyrannical popular majority • Self-serving officers

10. Democratic Theory A. Majoritarian politicsview: leaders are heavily influenced by the will of the people. B. Elite politicsviews: minorities dominate policy making 1. Marxist view: influence of economic elites. 2. C. Wright Mills: influence of power elite: corporate, military, political 3. Max Weber: influence of bureaucracy.

11. Pluralistview: 1. Political resources are so scattered that no single elite has a monopoly on them. 2. There are so many institutions in which power is exercised that no single elite could possibly control all of them. 3. Pluralism therefore argues that many groups compete with each other for control over policy. Policy is therefore the outcome of political haggling, innumerable compromises, and ever-shifting alliances among groups.

12. Fundamental Democratic Values A. Popular Sovereignty B. Respect For the Individual State serves individual, not vice versa C. Liberty D. Equality of Opportunity

13. Fundamental Democratic Processes A. Free and Fair Elections with competing political parties B. Majority Rule w/Minority Rights Fear of “tyranny of the majority” led to protection of property rights C. Freedom of expression D. Right to assemble and protest

14. Fundamental Democratic Structures (briefly -- covered in more detail later) A. Federalism B. Separation of powers C. Checks and balances D. Constitutionalism

15. End of Chapter 1 Power Point!

16. ORIGINS OF THE AMERICAN REPUBLIC I. Sources of the Constitution A. British Customs and Traditions, e.g., Magna Carta and English Bill of Rights. B. European Philosophers, e.g., Locke, Hobbes, Montesquieu, Rousseau C. Colonial experiences, e.g., power of elected assembly. D. State constitutions written after the Declaration of Independence, e.g., Preamble closely resembles the introduction to the Mass. Constitution.

17. Weaknesses of the Articles of Confederation • No power to tax • No chief executive • No national judiciary • No power to regulate interstate or foreign commerce • No national currency

18. The Constitutional Convention Annapolis 1786 Advertised as a meeting to revise the Articles Poorly attended Another meeting in Philadelphia called for in May 1787

19. Shays’s Rebellion • January 1787 • Group of ex-Revolutionary War soldiers • Fed up with high taxes, high debts, fearful of losing property • Forcibly prevented the courts in Massachusetts from sitting • Governor: asked Continental Congress to send troops (couldn’t raise $), he didn’t have a state militia to send, had to gather private funds to pay individuals

20. Shays’s Rebellion • Results: • Delegates who may not have attended the Philadelphia meeting (New England!) were afraid that state governments were about to collapse

21. Constitutional Convention Philadelphia 1787 55 delegates Rhode Island refused to send anyone

22. Delegates 1. Characteristics: "well-read, well-bred, well-fed, and well-wed” 2. Participants: a. Madison: "Father of Const." because of leadership and detailed notes of proceedings b. Washington: presiding officer c. Franklin: "elder statesman" d. Hamilton: most forceful advocate for strong central govt. 3. Charles Beard's EconomicInterpretationoftheUnitedStates (1913) a. Constitution was written by propertied class ---> naturally reflected those interests (although no conspiracy) b. Rebuttals: 1. Most people owned property 2. Even the poor, in hopes of someday owning property, wanted to protect property Establishing a democratic government involved risks and dangers that required built in safeguards and protections

23. Areas of agreement 1. Scrap the Articles of Confederation 2. Establish a republican govt. 3.Establish a constitutional govt. 4. Establish a balanced govt. where no single interest dominated 5. Suffrage for property owners only (most people) 6. Stronger central govt. than under the Articles 7. Protection of property rights the main purpose of govt. 8. Keep the proceedings secret

24. Virginia Plan • Virginia plan became the working plan for creating a new government • Called for a strong national government • Legislative • Two houses (first elected by people, second by legislators) • Both houses would be proportional representation • Executive • Chosen by national legislature – Parliamentary Form • Judicial • Key features: • National legislature would have supreme powers on all matters on which the separate states were not competent to act, as well as the power to veto any and all state laws • At least one house of the legislature would be elected directly by the people • Both legislative houses would have representation based on state population

25. New Jersey Plan • Small states worried about lack of representation • Wanted to amend the Articles of Confederation • Enhanced the power of the national government (not by much), but left States with one vote each • Offered after the Virginia plan William Patterson

26. Areas of disagreement ---> compromises: 1. Representation among the states a. Large states favored the Virginia Plan based upon population b. Small states favored the New Jersey Plan equal representation

27. The Great (Connecticut) Compromise A House of Representatives consisting initially of sixty-five members apportioned among the states roughly on the basis of population and elected by the people A Senate consisting of two senators from each stateto be chosen by the state legislatures

28. Areas of disagreement ---> compromises: 2. Representation and taxation of slaves a. Northern states wanted slaves to count for taxation, but not representation b. Southern states wanted the opposite

29. 3/5th Compromise • Each state in the House was to have “three-fifths of all other persons” to be added to “the whole number of free persons” • For both taxation and representation purposes • Convention agreed to not allow the prohibition of the importation of slaves until 1808, however, Congress was not required to end it at that time! • Constitution guaranteed that if a slave were to escape his or her master and flee to a non-slave state, the slave would be returned

30. Areas of Disagreement ---> Compromises: Election of the President a. Life term vs. annual election ---> compromise of a 4-year term. b. Method of election: 1) Some wanted election by Congress 2) Some wanted election by state legislatures 3) Some wanted direct election Compromise: Electoral College System

31. Ratification of the Constitution: Politics 1. Federalists a. Supporters: property owners, creditors, merchants b. Views 1. Elites most fit to govern 2. Feared "excesses" of democracy 3. Favored strong central government c. Leaders: Hamilton, Madison, Washingtonand Jay

32. Ratification Politics 2. Antifederalists a. Supporters: small farmers, frontiersmen, debtors and shopkeepers b. Views 1. Feared concentration of power in hands of elites 2. Believed that govt. should be closer to the people 3. Feared strong central govt. Favored stronger state govt. 4. Feared the lack of a Bill of Rights, their strongest argument c. Leaders: Henry, Mason, Gerry

33. Ratification Politics 3. Federalists Advantages a. Were better represented in state leg. b. Controlled the press c. Began ratification procedures quickly before Antifederalists could get organized d. Agreed to a Bill of Rights after ratification of the Constitution 4. The Federalist Papers: Madison, Hamilton and Jay to rally support for ratification of the Constitution. 5. Ratification, 1788 by state ratifying conventions of popularly-elected delegates

34. Structure of the U.S. Constitution • Preamble = purposes of government • Articles • Sections • Amendments = formal changes to the Constitution 27 total (1st 10 = Bill of Rights)

35. Preamble We the People of the United States, in Order to form a more perfect Union, establish Justice, insure domestic Tranquility, provide for the common defence, 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. SCHOOL HOUSE ROCK

36. End of Chapter 2 and Unit 1

37. Unit 2: U.S. Constitution The principles and concepts behind the document

38. Separation of Powers • To Madison, tyranny was govt. that controlled all 3 branches of govt. ---> Division of power among the legislative, executive, and judicial branches • This system diffuses power instead of concentrating power • Influence of Montesquieu • Colonial experiences, e.g., excessive power in state legislatures  need for strong executive • Danger of one branch combining forces with another branch ---> checks and balances

41. Checks and Balances Background * 18th century view of govt. as something to be restrained, and modern view of govt. as something to be used for the common good * Fear of tyranny among Founders ---> distrust of govt. ---> checks and balances as means of intentionally building inefficiency in order to prevent govt. abuse of power

42. Checks and Balances System of restraints in which each branch can check the other two. Reflects fear of tyranny Examples: veto, veto override, appointment and confirmation, treaty-making and ratification, defense funding and Commander-In-Chief See book page 29

43. Checks and Balances Political independence within each branch: no branch is dependent upon the other two for election (exception: judges are appt'd by President) and continuance in office (life terms for judges increase presidential influence) Staggering of terms within each branch -> a majority of voters can gain control over one part of govt. at one time, e.g., midterm cong. elections can serve as a check on the exec.

44. Checks and Balances • Modifications of checks and balances: examine if the following strengthen or weaken checks and balances 1. Political Parties 2. Changes in Voting Methods 3. Growth of Federal Bureaucracy 4. Changes in Technology 5. Emergence of U.S. as World Power after WWII *Group Activity

45. 1. Political Parties a. In theory, should weaken checks and balances – a way of bringing the branches of govt. together. Constitution divides govt., but parties bring people in govt. together b. In reality, however, parties are weak: Dominance of only 2 parties ---> each party has wide range of interests ---> much disagreement within each party itself ---> difficult to assert such strong control c. Prevalence of divided government, i.e., a President of one party and a Congress of the other

46. 2. Changes in Voting Methods a. Senators now chosen by people b. Congressmen also chosen by people c. Presidents chosen by electors who vote as the people have voted -- Thus, members of two branches essentially chosen by same electorate weakening of checks and balances in theory; however, split ticket voting has changed this

47. 3. Growth of Federal Bureaucracy a. Development of numerous agencies w/ legislative, executive, and judicial functions b. Congress often grants broad authority to agencies and lets them carry out the general will of Congress, e.g., Congress established an IRS to collect taxes, and then granted the IRS authority to help write the tax code, enforce the tax code, and settle disputes over the tax code. • Thus, growth of bureaucracy has caused a weakening of checks and balances.

48. 4. Changes in Technology e.g., nukes, computers, fax machines, satellite communications Two views: a. President, Congress, interest groups, media have all been able to take advantage of the new technologies ---> strengthening of checks and balances b. President has been especially able to take advantage of these ("electronic throne"), e.g., “staged event” of Bush landing on an aircraft carrier and Obama receiving donations of several million dollars in less than 12 hours through Facebook and twitter ---> weakening of checks and balances

49. 5. Emergence of U.S. as World Power Post WWII a. Areas of "national interest" extend around the world -U.S. is leader of free world -U.S. is only remaining superpower after Cold War b. With such heavy responsibilities, any crisis seems to involve U.S. somehow These responsibilities need to be dealt with in a strong and efficient manner -->power has concentrated in executive branch ("imperial presidency")  weakening of checks and balances

50. Judicial review Marbury v. Madison