1. 2: Constitutional Democracy
Promoting Liberty and Self-Government

2. Before the Constitution: The Colonial and Revolutionary Experiences
Americans’ British heritage
Colonial experiences with democratic institutions: English Parliament and colonial charters
“Rights of Englishmen,” including trial by jury
Repeal of the Stamp Act, a tax on colonial newspapers and business documents
Enactment of the Townshend Act, which included a tax on tea
First Continental Congress met in 1774

3. The Declaration of Independence
Call to revolution that included the ideas of liberty, equality, individual rights, self-government, and lawful powers
Philosophy of John Locke
Inalienable (natural) rights: life, liberty, and property
Social contract: government has responsibility to preserve rights
Thomas Jefferson paraphrased Locke
“Life, liberty, and the pursuit of happiness”; “All men are created equal”; and governments derive “their just powers from the consent of the governed”

4. The Articles of Confederation
Adopted during the Revolutionary War
Not a constitution: a fundamental law that defines how a government will legitimately operate
Created a weak national government
Prohibited Congress from interfering in states’ commerce policies
Prohibited Congress from taxation
States retained “sovereignty, freedom, and independence”
Unanimous consent needed to approve amendments

5. A Nation Dissolving
Weakness of the national government raised fears, especially in the wake of Shays’ Rebellion
Farmers led by Daniel Shays fomented armed rebellion to prevent foreclosures on their land
Congress was unable to raise an army to quell the rebellion
Congress was motivated to authorize a convention in Philadelphia to revise the Articles of Confederation

6. Negotiating Toward a Constitution
At the constitutional convention in Philadelphia, the delegates ignored the instructions of Congress
Drafted a constitution that created an entirely new form of limited and representative government
Especially, a stronger central government would be put in place

7. The Great Compromise: A Two-Chamber Congress
Virginia Plan, or large state plan
Representation based on the size of a state’s population
Greater power to larger states
New Jersey Plan, or small state plan
Each state would have one vote
Equal power to large and small states
Great Compromise: a bicameral Congress
House of Representatives: proportional representation
Senate: equal representation

8. The Three-Fifths Compromise: Issues of Slavery and Trade
Congress agreed not to tax exports, only imports
Congress would be prohibited until 1808 from passing laws to end the slave trade
Three-Fifths Compromise: three-fifths of the enslaved population counted for apportionment of taxes and political representation
Northern delegates were against counting slaves because they didn’t have legal rights
Southern delegates were in favor of counting slaves, as this would afford the South more House seats, thus greater political power

9. Figure 2-1 African Americans as a Percentage of State Population, 1790
At the time of the writing of the Constitution, African Americans (most of whom were slaves) were concentrated in the southern states.
Jump to long image description
Source: U.S. Census Bureau.

10. A Strategy for Ratification
Delegates established their own ratification process
New Constitution would be submitted directly to the states for approval
It would become law if approved by at least nine

11. The Ratification Debate
Anti-Federalists: those who were against a strong national government
Raised arguments that still echo in American politics
National government would be too powerful
State self-government and personal liberty would be placed at risk
Federalists: proponents of the Constitution
The Federalist Papers, a series of essays by Alexander Hamilton, James Madison, and John Jay, laid out a persuasive case

12. The Framers’ Goals
Government strong enough to meet the country’s needs
Government that would not threaten the existence of the separate states
Government that would not threaten liberty
Government based on popular consent

13. Table 2-1 Major Goals of the Framers of the Constitution
A government strong enough to meet the nation’s needs—an objective sought through substantial grants of power to the federal government in areas such as defense and commerce (see Chapter 3)
A government that would not threaten the existence of the separate states—an objective sought through federalism (see Chapter 3) and through a Congress tied to the states through elections
A government that would not threaten liberty—an objective sought through an elaborate system of checks and balances
A government based on popular consent—an objective sought through provisions for the direct and indirect election of public officials

14. Protecting Liberty: Limited Government
Framers sought a national government that could act decisively, but not act irresponsibly
They mistrusted unrestricted majority rule
Liberty was the governing ideal they sought most

15. Grants and Denials of Power
Grants of power: powers granted to the national government
Limit government by stating specific powers in the Constitution
Total of seventeen powers
Denials of power: powers expressly denied to the national and state governments
Limit government by stating specific prohibitions in the Constitution
Constitution made difficult to amend

16. Using Power to Offset Power
Montesquieu’s concept of a separation of powers: powers divided among separate branches rather than investing it entirely in a single individual or institution
Madison’s Federalist No. 10 discussed the problem of overbearing majorities
Framers’ special contribution to the doctrine of the separation of powers: separate but overlapping powers

17. Table 2-2 Constitutional Provisions for Limited Government
Mechanism
Purpose
Grants of power
Powers granted to the national government; accordingly, powers not granted it are denied it unless necessary and proper to carry out granted powers.
Separated institutions
Division of national government’s power among three power-sharing branches, each of which acts as a check on the powers of the other two.
Federalism
Division of political authority between national government and the states, enabling the people to appeal to one authority if their rights and interests are not respected by the other authority.
Denials of power
Powers expressly denied to the national and state governments by the Constitution.
Bill of Rights
First 10 amendments to the Constitution, which specify rights of citizens that the national government must respect.
Judicial review
Power of courts to declare governmental action null and void when it violates the Constitution.
Elections
Power of voters to remove officials from office.

18. Separated Institutions Sharing Power: Checks and Balances
Separated institutions sharing powers: separate branches interlocked in such a way that an elaborate system of checks and balances is created
Shared legislative powers: Congress checked by the president and the Supreme Court
Shared executive powers: president checked by Congress and the Supreme Court
Shared judicial powers: courts checked by the president and Congress

19. Figure 2-2 Separate Branches Sharing Power
The U.S. Constitution separates power among the legislative, executive, and judicial branches but assigns each branch part of the power of the other two branches so that it can act as a check on their power.

20. Separate Branches Sharing Power (Figure 2-2)
The Supreme Court over the president: may declare executive action unlawful because it is not authorized by legislation; (by tradition) may declare presidential action unconstitutional The Supreme Court over Congress: has the power to interpret legal disputes arising under acts of Congress and (by tradition) may declare acts of Congress unconstitutional
Congress over the president: may impeach and remove the president; may override presidential veto; may investigate presidential action; must approve treaties and executive appointments; enacts the budget and laws within which presidential action occurs
Congress over the Supreme Court: decides the size of the federal court system, the number of Supreme Court justices, and the appellate jurisdiction of the Supreme Court; may impeach and remove federal judges; may rewrite legislation that courts have interpreted and may initiate constitutional amendments; confirms judicial nominees
The president over Congress: may veto acts of Congress, recommend legislation, and call Congress into special session; executes, and thereby interprets, laws enacted by Congress The president over the Supreme Court: nominates federal judges; may pardon those convicted in court; executes court decisions and thereby affects their implementation

21. The Bill of Rights
Bill of Rights: the first ten amendments to the Constitution
Protects the rights of citizens, such as:
Freedom of speech
Freedom of assembly
Trial by jury of one’s peers, and legal counsel
Freedom of religion
Limits the power of government

22. Judicial Review
Who was to decide whether officials were operating within the limits of their constitutional powers?
Answer established by Chief Justice John Marshall in Marbury v. Madison (1803)
Judicial review: the power of the judiciary to decide whether a government official or institution has acted within the limits of the Constitution and, if not, to declare it null and void

23. Providing for Representative Government
History of unfettered democracies was not encouraging
Risk was tyranny of the majority: the people acting as an irrational mob that tramples on the rights of the minority
Framers nevertheless believed the people needed a voice in government

24. Democracy versus Republic
Democracy, to the framers: a government in which the majority has absolute power
Framers preferred the concept of a republic: a government that has limits on its power, where the people have rights guaranteed by a constitution and protected through carefully designed institutions
Majority rule in a republic is limited in order to protect minority rights

25. Limited Popular Rule
People participate indirectly in the process of government through elected officials
House of Representatives was initially the only institution based on direct popular election
To make government responsive to popular majorities
Senators were to be appointed by the legislatures of their states
Each state would have the same number of electoral votes as members in Congress, and their electors (the Electoral College) would select the president

26. Table 2-3 Methods of Choosing Federal Officials
Office
Method of Selection
Term of Service
President
Electoral College
4 years
U.S. senator
State legislature, changed in 1913 to popular election
6 years (one-third of senators’ terms expire every 2 years)
U.S. representative
Popular election
2 years
Federal judge
Nominated by president, approved by Senate
Indefinite (subject to “good behavior”)

27. Altering the Constitution: More Power to the People
Jeffersonian democracy
Government belonged to all, not just the elite
Jacksonian democracy
States urged to give their electoral votes to the winner of the popular vote
The Progressives
Championed primary elections, giving ordinary voters the power to select party nominees
Direct election of senators; referendums and initiatives
Elected officials, as delegates, carry out the wishes of the voters

28. Direct Democracy: The Initiative and Popular Referendum
By gathering enough signatures on a petition, citizens in some states can place legislation of their own choosing on the ballot (the initiative) or place an act of the state legislature on the ballot (the popular referendum). All states have a form of the legislative referendum, but only some states allow the initiative or popular referendum.

29. Constitutional Democracy Today
Type of government created in 1787 might best be called a constitutional democratic republic
Constitutional in that power gained through elections is to be exercised in accordance with law and with due respect for individual rights
Democratic in that it provides for majority influence via elections
Republic in that it has a mix of deliberative institutions, each of which moderates the power of the others

30. Constitutional Democracy Today (2)
Today’s model is more a representative government
More frequent elections than any other democracy
Only major democracy to rely heavily on primary elections
Less democratic than some other major democracies because of constitutional barriers
Divided branches
Staggered terms of office
Separate constituencies

31. Critical Thinking
Define the concept of judicial review. How does a court decision involving judicial review differ from an ordinary court decision, such as a ruling in a case involving armed robbery?
Contrast the original system for electing federal officials with the system of today, noting in each case whether voters have acquired a more direct voice in the election process than was originally the case.

32. Critical Thinking (2)
Why is it more accurate to say that the United States has a system of “separated institutions sharing power” rather than a system of “separated powers”? Provide examples of how shared power can act to check and balance the power of each institution.

33. Long image descriptions
Appendix A

34. Jump back to slide containing original image
Figure 2-1 African Americans as a Percentage of State Population, 1790 Appendix
In South Carolina, 43.8% of the population was African American; in Virginia, 40.9%; in Georgia, 36.1%; in North Carolina, 26.9%; in Delaware, 22%; in Maryland, 21.3%.
In comparison, in New York and in New Jersey as well, only 7.6% of the population was African American; in Rhode Island, 5.8%; in Connecticut, 2.5%; in Pennsylvania, 2.3%; in Massachusetts, 1.3%; and in New Hampshire, just 0.7%.
Jump back to slide containing original image