A. Constitutional Democracy a. U.S. is uniquehas the peaceful transfer of political power. b. In many other nations, those in power got there through being born into the family or jailing their opponents. B. U.S Government and Politicians in Context a. The US has the oldest constitutional democracy in the world, but the constitutional political system is built on a fragile foundation (require active participation from citizens and balance between faith and skepticism) b. Government by the people built on the foundation of 100,000s of citizens: the people that are elected and appointed promote general welfare, domestic tranquility, and secure the blessings of liberty for its citizens. c. Thomas Jefferson believed i. In the common sense of the people and the possibilities of human spirit ii. Every government degenerates when left solely in hands of rulers, but the power of the people must also be restrained at times iii. Popular control, representative processes, accountable leadership d. Constitutional democracy means govt by representative politicians e. The fragmentation of powers requires elected officials to mediate among factions, build coalitions, and work out compromises among and within the branches of the government to produce policy and action. C. Defining Democracy a. Democracygovt by the people, both directly or indirectly, with free and frequent elections b. Democracy isnt actually written in Constitution* c. Direct Democracygovt in which citizens vote on laws and select officials directly d. Madison feared that empowering citizens to decide policy directly would be dangerous and would result in violence by one group against another e. Direct PrimaryElection where voters choose party nominees f. InitiativeProcedure where a certain number of voters may (via petition) propose a law or constitutional amendment and have it submitted to the voters g. ReferendumProcedure for submitting to popular vote measures passed by the legislature or proposed amendments to a state constitution h. RecallProcedure for submitting to a popular vote the removal of officials from office before the end of their term i. Representative Democracy (republic)Govt in which the people elect those who govern and pass laws i. Not really possible to assemble citizens in any but the smallest towns to make their own laws/directly select own officials j. Many of ideas in Constitution came from philosophers: 17-41 Constitutional Principles 9/10/14 i. Aristotleprovided important ideas on a political unit (state) but also the idea of a constitution and various forms of governing ii. Hobbessocial contract where people formed govts for security and to avoid state of nature (where chaos existed and everyone was against everyone) iii. Lockeinfluenced the authors of the Dec. of Independence/Constitution; rejected idea that kings had divine right to rule, advocated constitutional democracy, and provided reason for revolution iv. Montesquieuidea that constitutional provisions can limit power by having another part of govt balance/check it k. Constitutional DemocracyGovt 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 l. ConstitutionalismThe set of arrangements (checks & balances, federalism, separation of powers, rule of law, due process, bill of rights) that requires leaders to listen, think, bargain, and explain before they act/make laws. The people hold them politically and legally for how they exercise their powers. D. Democracy as a system of Interacting Values - Set of interacting values provides foundation for public confidence necessary for govt a. Personal Liberty i. Essence of liberty is self-determinationall individuals must have the opportunity to reach their own goals (freedom to do something), not just absence of restraint on person (freedom from something) b. Individualism i. Belief that every person has the potential for common sense, rationality, and fairness; indiv have rights that are the source of govt authority and power ii. StatismThe idea that the rights of the nation are supreme over the rights of the individuals who make up the nation c. Equality of Opportunity i. Equality means something different to everybody, so lots of issues arise over what equality over opportunity is. Dumb textbook just lists questions and a Jefferson quote. Ok then. Also, equality enhances importance of the individual d. Popular Sovereignty i. Popular consentThe idea that a just govt must derive its powers from the consent of the governed 1. Means that people also must participate and make decisions in govt e. Democratic Values in Conflict i. Individualism may conflict with collective welfare or public good ii. Media outlets freedom to publish classified docs may conflict with govts constitutional requirement to provide defense iii. Much political debate over how to balance democratic values E. Democracy as a System of Interrelated Political Processes 17-41 Constitutional Principles 9/10/14 - Govt needs well-defined political process and stable govt structure, as well as democratic values incorporated into its political processes a. Free and Fair Elections i. Political competition and choice are crucial to the existence of democracy elections are one of most impt devices for keeping officials and reps accountable to voters (new candidates have chance to replace old candidates) ii. Not everyone will have equal political influence, but all have equal voting power b. Majority and Plurality Rule i. Majority rulegovernance according to the expressed preferences of the majority (basic rule of democracy) ii. Majoritythe candidate or party that wins more than half the votes cast in an election iii. Pluralitythe candidate or party with the most votes cast in an election, not necessarily more than half iv. Constitution reflects fear of tyranny by majorities (esp. fueled by passion) and insulated certain rights (i.e. freedom of speech) and institutions (i.e. Supreme Court) from popular choice c. Freedom of Expression i. Free and fair elections depend on voters having access to facts, completing ideas, and views of candidatesso competing, non-govt owned media must be allowed (radio, TV, newspapers, etc) d. The Right to Assemble and Protest i. Citizens have freedom to organize for political purposes, join parties, a pressure group, protest movement, demonstration, form opposition parties, have change to defeat incumbentall characteristic of a democracy. F. Democracy as a System of Interdependent Political Structures a. Third characteristic of democracypolitical structures that safeguard values and processes of democracy i. System of parties, interest groups, media, etc that intercede between electorate and those who govern help maintain democratic stability b. US Constitutional System has five distinctive elements: i. Federalismdivision of powers between national and state govt ii. Separation of powers among executive, judicial, and legislative brances iii. Bicameralismdivision of legislative power between HoR and Senate iv. Checks and balances in which each branch is given the constitutional means, political independence, and the motives to check the powers of the other branches v. Bill of Rights that provides a guarantee of individual liberties and due process G. Conditions Favorable for Constitutional Democracy a. Educational Conditions i. High level of education does not guarantee democratic govt but preferred (need to be educated to express opinions/interests and read/write) 17-41 Constitutional Principles 9/10/14 b. Economic Conditions i. Relatively prosperous nations have higher chance of sustaining democracy where economic power is concentrated, political power also likely concentrated ii. Private ownership of property and a market economy also related to democratic institutionsfreedom of economy linked to other freedoms c. Social Conditions i. Proper social conditions are necessary to make democracy realplaces with inner strife and disagreements on fundamental issues prolly dont have democracy. ii. Indiv less likely to identify completely with a single group and give allegiance to it due to societys many overlapping associations and groupings d. Ideological Conditions i. Democratic consensusthe general acceptance of the ideals of democracy and a willingness to proceed democratically ii. Widely accepted ideals of democracy include: one person, one vote; majority rule; freedom of Speech; freedom of assemblyabsence of such a consensus result in ill-fated attempts at democracy iii. Factors that contribute to stability in democracy: national prosperity, education, literacy to democratic success H. The Roots of the American Constitutional Experiment I. The Colonial Beginnings a. For nearly 200 years. Europeans had sailed to the New World in search of liberty, land, and work. Their experience of settling a new land. Overcoming obstacles, and enjoying the fruits of their labors were important to the spirit of independence in the colonies i. Freedom in colonies was limited (Puritans est. theocracy in MA), dissenters could distribute leaflets or protest but they couldve been exiled or imprisoned b. TheocracyGovt by religious leaders, who claim divine guidance c. Colonists struggled with balance between unity and diversity, stability and dissent, order and liberty J. The Rise of Revolutionary Fervor a. Resentment against British rule mounted and revolutionary fervor rose, so colonists wanted to fight to win their rights and liberties b. Signing Dec. of Independence=essentially signing own death if revolution failed i. Many state constitutions guaranteed the underlying rights in Dec of Independence: free speech, free religion; natural rights to life, liberty, property; the rights of the accused ii. These guarantees set out in writing (compared to unwritten Brit constitution) K. Towards Unity and Order a. Articles of ConfederationThe first governing document of the confederated states, drafted in 1777, ratified in 1781, and replaced by the present Constitution in 1789 i. Impossible to amendCongress and every state legislature had to agree 17-41 Constitutional Principles 9/10/14 ii. The Confederation was nothing like a national govtCongress had no direct authority over citizens and had to work through the states. iii. No national executive, judiciary, or currency; couldnt levy taxes regulate trade between states or other nations, prevent the states from taxing each others goods or issuing their own currencies iv. States could overturn national laws and lack of judicial system meant that nat. govt had to rely on state courts to enforce national laws and settle disputes with other states v. Many problems arosestate conflict, foreign threats continued, etc and leaders saw the need for a stronger central govt b. Annapolis ConventionConvention held in Sept 1786 to consider problems of trade and navi, attended by five states; important because it issued the call to Congress and the states for what became the Constitutional Convention. c. Constitutional ConventionConvention held in Philly, from May 25 to Sept 17, 1787 that debated and agreed on the Constitution of the US d. Shays RebellionRebellion led by Daniel Shays of farmers in western MA in 1786 1787 protesting mortgage foreclosures. It highlighted the need for a strong national govt just as the call for the Constitutional Convention went out. i. Uprising threatened prosperity, established order, rule of law so Congress called for a revision of the Articles L. The Constitutional Convention of 1787 a. Had to establish govt powerful to prevent US from dissolving but not so powerful that itd crush individual liberty b. Assembled May 1787, dissembled Sept 17, 1787 M. The Delegates a. 74 delegates were appointed, but only 55 arrived in Philly. Only ~40 actually took part in the work of the convention. 39 of delegates had served in Congress. 8 of the delegates were signers of the Dec. of Independence. b. GW was reluctant to attend the convention and accept only when persuaded that his prestige was needed for its successdidnt speak much, but presence influenced a lot. i. Favored a more powerful central govt led by a pres c. Convention was representative d. Proceedings of the convention were kept secret and delegates were forbidden to discuss with outsiders to encourage everybody to speak freely and allow delegates to change their minds after debate/discussion. i. Also to deter ammunition for enemies of convention if word of disagreements got out N. Consensus a. Critical to success of Constitutional Convention were 3 compromises: i. Compromise between large and small states over representation in Congress ii. Compromise between N and S over regulation and taxation of foreign commerce 17-41 Constitutional Principles 9/10/14 iii. Compromise between N and S over counting of slaves for purposes of taxation and representation b. All delegates supported republican form of govt based on elected reps; all opposed arbitrary and unrestrained govt i. Most favored balanced govt where no single interest would dominate and in which nat. govt would be strong to protect property and business from uprising c. Each state to determine its own qualifications for electing members of the HoR, the only branch of nat. govt that directly elected by voters because framers realized they would jeopardize approval of Constitution if qualifications to vote in fed. elections were more restrictive than states i. Only B. Franklin favored extending right to vote to all white males, most others believed landowners should only be able to d. All in all, delegates agreed on: i. National govt should be established consisting of three branches of govt (leg, jud, exe) ii. All powers from old Congress from articles given to new Congress + all other powers necessary to ensure state legis. wouldnt challenge nat. iii. Strong executive branch to provide energy, direction, and check on legis. iv. Accepted independent judiciary O. Conflict and Compromise - Serious diff. among various delegates esp. between large and small states i. States fought over land from winning war against Brit. 1. Land Ordinance of 1787states agree to put land aside for nat. govt ii. Small states didnt want to be dominatedended up w/ two house leg to balanced govt - BicameralismThe principle of a two-house legislature b. The Virginia Plan** i. Virginia PlanInitial proposal at the Constitutional Convention made by the VA delegation for a strong central govt with a bicameral legislature dominated by the big states ii. Representation based on either wealth or pop. in both Houses 1. However, wealthier states generally more populous iii. Voters elect more representative chamberwho elect smaller chamber from nominees submitted by state legislatures iv. Voters should elect national legislators v. tl;dr: Create strong nat. govt with much more power to more populous states c. The New Jersey Plan** i. New Jersey PlanThe proposal at the Constitutional Convention made by William Paterson of NJ for a central govt with a single-house legislature in which each state would be represented equally. ii. Gave Congress right to tax/regulate commerce/coerce state; retain unicameral leg. from the Articles where each state (regardless of size) has same vote. 17-41 Constitutional Principles 9/10/14 iii. Came up with key provision of current Constitution: supremacy clause 1. National Supreme Court was to hear appeals from state judges 2. Clause required all judges (state&nat) to treat laws of the nat. govt and treaties of the US as superior to the constitutions and laws of each of the states. iv. State should elect national legislatures d. The Connecticut Compromise** i. Connecticut CompromiseCompromise agreement by states at the Constitutional Convention for a bicameral legislature with a lower house in which representation would be based on pop. and an upper house in which each state would have two senators (July 5) ii. Upper housestates even vote; lower houserepresentation based on population and where bills for raising/appropriating money would originate 1. Setback for larger states e. North-South Compromises i. S afraid N majority in Congress would discriminate against S trade. ii. 2/3 rd majority in Senate required to ratify treaty iii. Three-fifths compromisecompromise between N and S states at Constitutional Convention that 3/5 of the slave pop. would be counted for determining direct taxation and representation in the HoR 1. Also incl. provision to eliminate importation of slaves in 20 years (which Congress did in 1808) f. Other Issues i. Didnt know how to choose presconvention originally thought allowing Congress to pick pres, but then Congress would dominate the president, and vice versa. Settled with electoral college ii. Electoral collegeelectoral sys used in electing the pres and VP, in which voters vote for electors pledged to cast their ballots for a particular partys candidates P. To Adopt or Not to Adopt? a. Delegates ended up writing new Constitution rather than Congresss initial instruction to revise Articles of Confederation b. Constitution to into effect when ratified by popularly elected conventions in 9 states i. Delegates used this method b/c little chance of winning approval in all state legislatures but also to secure legitimacy of their proposed govt ii. Believed that a constitution approved by the people would have higher legal and moral status than one approved by a legislature Q. Federalists Versus Antifederalists a. FederalistsSupporters of ratification of the Constitution and of a strong central govt i. Didnt believe bill of rights was necessaryproposed nat. govt only had the specific powers that the states and people delegated to it 1. i.e. No need to explicitly say freedom of speech b/c the people had not given the nat. govt power to regulate press in the first place 17-41 Constitutional Principles 9/10/14 2. Argued that rights not listed could be assumed to be denied (Const already protected some rights i.e. due process) b. AntifederalistsOpponents of ratification of Constitution and of a strong central govt generally i. Most telling criticism of the proposed Constitution: no bill of rights c. Split between [Anti]Federalists was in part geographic i. Seaboard and city regions tended to be Federalist ii. Backcountry regions and places inhabited by farmers and relatively poor people were antifederalist iii. Regional and economic differences led to fears by those opposing that it would not protect indiv rights d. The FederalistEssays promoting ratification of the Constitution, published anonymously by Alexander Hamilton, John Jay, and James Madison in 1787 and 1788 R. The Politics of Ratification a. Absence of bill of rights dominated struggle over the Constitutions adoption b. Federalists hurried to get support asap before opposition had time to organize c. Antifeds needed time to organize, mostly in rural areas so underrepresented in state legislatures and more difficult to get people into political action d. Most small states ratified easily because they received equal Senate representation e. By June 1788, 9 states had ratified but VA and NY hadntneeded consent of these two major states. VA imptlink between N and S, most populous, home of impt people i. Madison finally promised a Bill of Rights, and VA finally ratified. ii. NY followed a day later BUT landowners opposed (feared taxation on property) **Table Comparing Key Features of VA Plan, NJ Plan, CT Compromise Virginia Plan New Jersey Plan Connecticut Compromise Legitimacy derived from citizens, based on populous rep. Derived from states, based on equal votes for each state Derived from both people and state Bicameral legislature, representation in both houses determined by pop. Unicameral legislature., representation equal by state Bicameral leg. w/ seats in the Senate by states and seats in the House by pop. Executive size undetermined, elected and removable by Congress More than one person, removable by state majority Single executive elected by electoral college, not removable by state majority Judicial life tenure, able to veto state leg. No federal judicial power over states Jud. life tenure, able to veto state leg. In violation of Const. Legislature can override state laws Govt can compel obedience to national laws
Ratification by citizens Ratification by states Ratification by states, w/ process open to citizen ratification