CH-1-3 Critical Thinking and Political Culture: Becoming a Responsible Citizen – We The People: An Introduction to American Government : Chapter Notes

This Document Contains Chapters 1 to 3 Chapter 1 Critical Thinking and Political Culture: Becoming a Responsible Citizen Learning Objectives Having read the chapter, the students should be able to do each of the following: • Understand critical thinking, and what political science can contribute to it. • Identify the core values underlying American political culture. • Discuss the U.S. immigration policy. • Define government and politics. • Compare and contrast the various types of government. • Demonstrate knowledge of the origins of American democracy. • Describe key ideologies in American politics. Chapter Outline I. Learning to Think Critically A. Obstacles to Critical Thinking B. What Political Science Can Contribute to Critical Thinking II. Political Culture: Americans’ Enduring Beliefs A. Core Values: Liberty, Individualism, Equality, and Self-Government B. The Limits and Power of Americans’ Ideals III. Politics and Power in America A. A Democratic System B. A Constitutional System C. A Free-Market System D. Who Governs? IV. The Text’s Organization V. Summary Focus and Main Points Contemporary American government is placed in historical perspective in this chapter. The value of political science in examining the development of American politics since the country’s earliest years is examined briefly, and concepts such as power, pluralism, and constitutionalism that are central to the study of government and politics are also defined and discussed. American values like individualism, equality, and liberty are also discussed, as well as the ways those ideals have often failed in practice. In addition, the value of critical thinking and the ability of political science to help develop critical thinking are examined. Constitional government and the free-market system are examined as organizing principles for the development of the U.S. political system. The main points of this chapter are as follows: • The development of critical thinking is important for functioning democracies, which rely on the informed choices of citizens for the formation of government. There are powerful obstacles to critical thinking, such as individual unwillingness to develop it, changing patterns of media consumption, and “spin” by political leaders. Political science is a discipline that can help develop critical thinking among students and also lead to a fuller understanding of political phenomena. • Every country has its distinctive political culture, a widely shared and deep-seated belief system. National identity in many countries is taken from the common ancestry and kinship they share. Americans are linked not by a shared ancestry but by the country’s political culture as the foundation of its national identity. Liberty, individualism, equality, and self-government are America’s core political ideals, though they have been uneven in practice. • Politics is the process through which a society settles its conflicts. Those who win in political conflict are said to have power, and those leaders that have gained the legitimacy to use that power have authority. The play of politics in the United States takes place in the context of democratic procedures, constitutionalism, and the free-market system. Theorists differ in explaining how power is wielded, using elements of majoritarianism, pluralism, corporate power, and elite rule as explanatory models. • Politics in the United States is characterized by a widespread sharing of power through a highly fragmented governing system with extensive checks and balances, a high degree of pluralism, and an extraordinary emphasis on individual rights. The free-market system is also a powerful organizing factor in American political culture and development. Chapter Summary Critical thinking is the process through which conclusions are reached; it involves determining what can reasonably be believed and then using the information to reach a thoughtful conclusion. Critical thinking is a key to responsible citizenship, but many citizens avoid it by virtue of paying scant attention to politics. The tools of political science can contribute to effective critical thinking, though many obstacles to critical thinking exist, including a recent rise in the level of misinformation. The United States is a nation that was formed on a set of ideals. Liberty, individualism, equality, and self-government are foremost among these ideals. These ideals became Americans’ common bond and today are the basis of their political culture. Although imperfect in practice, these ideals have guided what generations of Americans have tried to achieve politically. Politics is the means by which society settles its conflicts and allocates the resulting benefits and costs. The basis of politics is conflict over scarce resources and competing values. Those who have power win out in this conflict and are able to control governing authority and policy choices. Unlike authoritarian regimes, the United States is a democracy with strong rules that manage the competition over power and policy and keep government power in check. Politics in the United States plays out through rules of the game that include democracy, constitutionalism, and free markets. Democracy is rule by the people, which in practice refers to a representative system of government in which the people rule through their elected officials. Constitutionalism refers to rules that limit the rightful power of government over citizens. A free-market system assigns private parties the dominant role in determining how economic costs and benefits are allocated. Major Concepts authoritarian government A form of government in which those in power openly repress their opponents in order to stay in power. authority The recognized right of officials to exercise power as a result of the positions they hold. confirmation bias The tendency of individuals to interpret information in ways that confirm what they already believe. constitutionalism The idea that there are lawful limits on the power of government. corporate power The power that corporations exercise in their effort to influence government and maintain control of the workplace. critical thinking Reflective thinking focused on deciding what can reasonably be believed and then using this information to make judgments. democracy A form of government in which the people govern, either directly or through elected representatives. elitism The notion that wealthy and well-connected individuals exercise power over certain areas of public policy. equality The notion that all individuals are equal in their moral worth and are thereby entitled to equal treatment under the law. free-market system An economic system based on the idea that government should interfere with economic transactions as little as possible. Free enterprise and self-reliance are the collective and individual principles that underpin free markets. individualism The idea that people should take the initiative, be self-sufficient, and accumulate the material advantages necessary for their well-being. legal action The use of courts of law as a means by which individuals protect their rights and settle their conflicts. liberty The principle that individuals should be free to act and think as they choose, provided they do not infringe unreasonably on the rights and freedoms of others. majoritarianism The idea that the majority prevails not only in elections but also in determining policy. party (partisan) polarization The condition in which opinions and actions in response to political issues and situations divide substantially along political party lines. pluralism A theory of American politics that holds that society’s interests are substantially represented through the activities of groups. political culture The characteristic and deep-seated beliefs of a particular people. political science The systematic study of government and politics. politics The process through which a society settles its conflicts. power The ability of persons or institutions to control policy. public policies Decisions by government to pursue particular courses of action. self-government The principle that the people are the ultimate source and proper beneficiary of governing authority; in practice, a government based on majority rule. Lecture Outline This lecture outline closely follows the text in its organization. The instructor can use this outline as a lecture aid. I. Learning to Think Critically • Critical involves determining what can reasonably be believed and then using the information to reach a thoughtful conclusion. • Critical thinking rests upon informed judgment, and it allows a citizen in a democracy to act responsibly. • Critical thinking does require effort on the part of a citizen, and not all are willing tomake the effort. • Several major obstacles exist to critical thinking, and they have increased in recent decades. Media systems have changed substantially and many present false information as true and cannot be trusted. • The increase in heated, partisan political conflict has led more political leaders to use misinformation to their advantage. • Confirmation bias is also a challenge to critical thinking, and it is one we commit willingly by interpreting information in ways that confirm our preexisting beliefs. • Political science is a descriptive and analytical discipline that can enhance critical thinking and provide better explanations and analyses of political phenomena. II. Political Culture: Americans’ Enduring Beliefs • Every country has a political culture, the widely shared and deep-seated beliefs of its people about politics. • National identity in many countries is taken from the common ancestry and kinship they share; however, Americans are linked not by a shared ancestry but by the country’s political culture as the foundation of its national identity. • America’s core ideals are rooted in the European heritage of the first white settlers who arrived at a time when people were awakening to the idea of individual choice. • The American Revolution was largely driven by the desire to create a radically different form of society in which leaders would be required to govern within a set of rules designed to protect people’s rights and interests. • Liberty, individualism, equality, and self-government are widely regarded as America’s core political ideals. • America had no heredity nobility that owned virtually all the land. The New World’s vast stretches of open territory gave ordinary people the chance to own property. • America’s cultural beliefs are idealistic and have not always been met, as demonstrated by slavery, post-slavery legal segregation (Jim Crow), racial immigration restrictions, and gender inequality. • Americans’ determination to build a more equal society can be seen in its public education system. The United States pioneered the idea of free public education for children and has the world’s most elaborate system of higher education. • The United States government’s relatively low expenditure on social welfare programs reflects a strong cultural emphasis on individualism and self-reliance, ingrained in American consciousness since the earliest colonial times. III. Politics and Power in America • Politics is the means by which society settles its conflicts and allocates the resulting benefits and costs. • Those who prevail in political conflicts are said to have power—the ability of persons, groups, or institutions to influence political developments. • Authoritarian governments openly suppress political opposition through intimidation and restrictions on freedom of expression. This suppression can also extend to imprisonment and physical abuse. • The United States has “rules” designed to keep politics within peaceful bounds. These rules—democracy, constitutionalism, and a free market—determine which side will prevail when conflict occurs, as well as what is off limits to the winning side. • The United States is a democracy, a form of government in which the people govern, either directly or through elected representatives. In practice, democracy has come to mean majority rule through the free and open election of representatives. • When American lawmakers respond to the wishes of the majority, the result is majoritarianism—the situation in which the majority effectively determines what government does. • There are limits to majoritarianism, leading to other theories of how power is exercised in America, including disproportionate influence by special interests. • Pluralists hold that competition between diverse groups and interests creates policy. Elitists suggest that a small number of influential groups or people control public policy. • Authority is the recognized right of officials to exercise power; popular election through a democracy increased the authority of government officials. • The Constitution of the United States was designed to protect against oppressive majorities, and this established constitutionalism—the idea that there are lawful restrictions on government’s power. • The Bill of Rights in combination with an independent judiciary and a firm attachment to private property have made legal action—the use of the courts as a means of asserting rights and interests—a channel through which ordinary citizens exercise power. • In contrast to socialism and communism, the United States operates under a free-market system—a system that operates mainly on private transactions. • American politics and public policy are influenced by a high degree of corporate power. • A defining characteristic of American politics is the widespread sharing of power. IV. The Text’s Organization • Subsequent chapters will discuss the constitutionalism of the U.S., the political role of citizens and how they interact with government, the functioning of government officials, and elective institutions and their appointive bodies. • Throughout the book, but particularly in the concluding chapters, attention is given to public policies, which are the decisions of government to pursue particular courses of action. • Underlying the book’s discussion is the recognition of how difficult it is to govern effectively and how important it is to try. Complementary Lecture Topics Below are suggestions for lectures or lecture topics that will complement the text. In general, these topics assume that students have read the chapter beforehand. • To what extent have natural factors allowed the core ideals of individualism, equality, and others to develop and flourish? If the United States had been located on the European continent, or lacked vast natural resources, would this have affected the development of American ideals? With the advent of global trading networks and communication systems, and growing economic problems, can we expect a significant change in traditional American ideals in the future? • As more and more Americans seek out their news through cable television or Internet resources, how will critical thinking in America continue to be transformed? Will the rate of faulty perceptions among the citizenry continue to rise? Outside the study of political science in the academic sphere, are there ways to reverse this trend? • Politics is the process through which a society settles its conflicts. Those who do prevail are said to have power. Are those with power restricted by political ideals, or does power endow them with unfettered authority to pursue private ends? Are there historical examples that support one view or the other? Class Discussion Topics 1. Take a poll of students to find out how often they seek out news items and which forms of media they choose for their news. Discuss the results, including what reasons the students give for picking these particular sources, whether or not their consumption patterns have changed over time, and which specific news items they seek out (opinion pages, blogs, direct news reporting, etc.). Discuss whether or not they believe their patterns of news consumption contribute to critical thinking that is fact-based and more insightful. Answer: Poll on News Consumption: • Results Discussion: • Frequency and Media Forms: Students might use a mix of social media, news websites, TV, and traditional newspapers. Social media and news apps are popular for convenience and real-time updates. • Reasons for Choices: Convenience, perceived credibility, and personal preferences for specific topics or formats (e.g., video vs. text). • Changes Over Time: Many may have shifted from traditional media to digital sources due to changes in technology and accessibility. • Types of News Sought: Students might prefer direct news reporting for facts, while some might follow opinion pages or blogs for diverse perspectives. • Critical Thinking: Students may vary in their belief about whether their news consumption habits foster critical thinking. Some may feel that a mix of sources provides a balanced view, while others might worry about echo chambers and biased reporting. 2. Choose a range of different policy issues, some of which currently inspire wide public debate, and some of which draw the consistent interest of only those parties that are directly affected (the text uses agricultural subsidies as an example). Use these different issues to discuss the degree to which majoritarianism or pluralism determine what the government does. How have each of these issues responded to the popular election of representatives, if at all? To what degree do candidates for office make positions on each issue a central aspect of their campaigns? Answer: Policy Issues and Government Response: • Majoritarianism vs. Pluralism: • Majoritarianism: Policies like healthcare reform often reflect the will of the majority and are central to electoral campaigns. • Pluralism: Issues like agricultural subsidies may mainly concern specific interest groups and receive attention based on lobbying and advocacy rather than broad public interest. • Election Impact: Majoritarian issues tend to have a direct impact on election platforms and campaign strategies. In contrast, pluralist issues may influence policy through specialized advocacy and lobbying. • Campaign Focus: Candidates often make majoritarian issues central to their campaigns to appeal to a broad electorate, while pluralist issues might be addressed through targeted promises to specific interest groups. 3. Some of your students may have lived abroad, either as visitors or as citizens of other countries. Ask them to share their experiences and perceptions of important aspects of where they have lived, including political culture, levels of political knowledge, the economic system, and the type of government. Answer: Student Experiences Abroad: • Political Culture: Students might describe different levels of political engagement and public discourse in countries where they lived. • Political Knowledge: Variations in the depth of political knowledge and the role of media in shaping public opinion. • Economic System: Insights into different economic models, from capitalism to socialism, and their impact on daily life. • Type of Government: Observations of various government structures, such as democracies, monarchies, or authoritarian regimes, and how they influence public policy and governance Chapter 2 Constitutional Democracy: Promoting Liberty and Self-Government Learning Objectives Having read the chapter, the students should be able to do each of the following: • Recall key events that led to the U.S. Constitution. • Explain how the Constitution was negotiated and ratified. • Identify the Constitution and its basic components. Chapter Outline I. Before the Constitution: The Colonial and Revolutionary Experiences A. The Declaration of Independence B. The Articles of Confederation C. A Nation Dissolving II. Negotiating Toward a Constitution A. The Great Compromise: A Two-Chamber Congress B. The Three-Fifths Compromise: Issues of Slavery and Trade C. A Strategy for Ratification D. The Ratification Debate E. The Framers’ Goals III. Protecting Liberty: Limited Government A. Grants and Denials of Power B. Using Power to Offset Power C. Separated Institutions Sharing Power: Checks and Balances 1. Shared Legislative Powers 2. Shared Executive Powers 3. Shared Judicial Powers D. The Bill of Rights E. Judicial Review IV. Providing for Representative Government A. Democracy versus Republic B. Limited Popular Rule C. Altering the Constitution: More Power to the People 1. Jeffersonian Democracy: A Revolution of the Spirit 2. Jacksonian Democracy: Linking the People and the Presidency 3. The Progressives: Senate and Primary Elections V. Constitutional Democracy Today VI. Summary Focus and Main Points This chapter describes how the principles of representative government and limited government are embodied in the Constitution and it explains the tension between them. It also indicates how these principles have been modified in practice in the course of American history. The main points presented in this chapter are: • America during the colonial period developed traditions of limited government and representative government. These traditions were rooted in governing practices, political theory, and cultural values. • The Constitution provides for limited government mainly by defining lawful powers and by dividing those powers among competing institutions. The Constitution, with its Bill of Rights, also prohibits government from infringing on individual rights. Judicial review is an additional safeguard. • The Constitution in its original form provided for representative government mainly through indirect methods of electing representatives. The framers’ theory of representative government was based on the notion that political power must be separated from immediate popular influences if sound policies are to result. • The idea of popular government—in which the majority’s desires have a more direct and immediate impact on governing officials—has gained strength since the nation’s beginning. Originally, the House of Representatives was the only institution subject to direct vote of the people. This mechanism has been extended to other institutions and, through primary elections, even to the nomination of candidates for public office. Chapter Summary The Constitution of the United States is a reflection of the colonial and revolutionary experiences of the early Americans. Freedom from abusive government was a reason for the colonies’ revolt against British rule, but the English tradition also provided ideas about government, power, and freedom that were expressed in the Constitution and, earlier, in the Declaration of Independence. The Constitution was designed in part to provide for a limited government in which political power would be confined to proper uses. The framers wanted to ensure that the government they were creating would not itself be a threat to freedom. To this end, they confined the national government to expressly granted powers and also denied it certain specific powers. Other prohibitions on government were later added to the Constitution in the form of stated guarantees of individual liberties in the Bill of Rights. The most significant constitutional provision for limited government, however, was a separation of powers among the three branches. The powers given to each branch enable it to act as a check on the exercise of power by the other two, an arrangement that during the nation’s history has in fact served as a barrier to abuses of power. The Constitution, however, made no mention of how the powers and limits of government were to be judged in practice. In its historic ruling in Marbury v. Madison, the Supreme Court assumed the authority to review the constitutionality of legislative and executive actions and to declare them unconstitutional and thus invalid. The framers of the Constitution, respecting the idea of self-government but distrusting popular majorities, devised a system of government that they felt would temper popular opinion and slow its momentum so that the public’s “true interest” (which includes a regard for the rights and interests of the minority) would guide public policy. Different methods were advanced for selecting the president, the members of the House and the Senate, and federal judges as a means of insulating political power against momentary majorities. Since the adoption of the Constitution, the public gradually has assumed more direct control of its representatives, particularly through measures that affect the way officeholders are chosen. Presidential popular voting (linked to the Electoral College), direct election of senators, and primary elections are among the devices aimed at strengthening the majority’s influence. These developments are rooted in the idea, deeply held by ordinary Americans, that the people must have substantial direct influence over their representatives if government is to serve their interests. Major Concepts Anti-Federalists A term used to describe opponents of the Constitution during the debate over ratification. Bill of Rights The first 10 amendments to the Constitution. They include rights such as freedom of speech and religion and due process protections (for example, the right to a jury trial) for persons accused of crimes. checks and balances The elaborate system of divided spheres of authority provided by the U.S. Constitution as a means of controlling the power of government. The separation of powers among the branches of the national government, federalism, and the different methods of selecting national officers are all part of this system. constitution The fundamental law that defines how a government will legitimately operate. constitutional democratic republic A government that is constitutional in its provisions for minority rights and rule by law; democratic in its provisions for majority influence through elections; and a republic in its mix of deliberative institutions, which check and balance each other. democracy (according to the framers) A form of government in which the people govern, either directly or through elected representatives. denials of power A constitutional means of limiting governmental action by listing those powers that government is expressly prohibited from using. Electoral College An unofficial term that refers to the electors who cast the states’ electoral votes. electoral votes The method of voting used to choose the U.S. president. Each state has the same number of electoral votes as it has members in Congress (House and Senate combined). By tradition, electoral voting is tied to a state’s popular voting. The candidate with the most popular votes in a state (or, in a few states, the most votes in a congressional district) receives its electoral votes. Federalists A term used to describe supporters of the Constitution during the debate over ratification. grants of power The method of limiting the U.S. government by confining its scope of authority to those powers expressly granted in the Constitution. Great Compromise The agreement of the constitutional convention to create a two-chamber Congress with the House apportioned by population and the Senate apportioned equally by state. inalienable (natural) rights Those rights that persons theoretically possessed in the state of nature, prior to the formation of governments. These rights, including those of life, liberty, and property, are considered inherent and as such are inalienable. Since government is established by people, government has the responsibility to preserve these rights. judicial review The power of courts to decide whether a governmental institution has acted within its constitutional powers and, if not, to declare its action null and void. liberty The principle that individuals should be free to act and think as they choose, provided they do not infringe unreasonably on the rights and freedoms of others. limited government A government that is subject to strict limits on its lawful uses of power and, hence, on its ability to deprive people of their liberty. New Jersey (small-state) Plan A constitutional proposal for a strengthened Congress but one in which each state would have a single vote, thus granting a small state the same legislative power as a larger state. primary election (direct primary) A form of election in which voters choose a party’s nominees for public office. In most states, eligibility to vote in a primary election is limited to voters who designated themselves as party members when they registered to vote. representative government A government in which the people govern through the selection of their representatives. republic A form of government in which the people’s representatives decide policy through institutions structured in ways that foster deliberation, slow the progress of decision making, and operate within restraints that protect individual liberty. To the framers, the Constitution’s separation of powers and other limits on power were defining features of a republican form of government, as opposed to a democratic form, which places no limits on the majority. separated institutions sharing power The principle that, as a way to limit government, its powers should be divided among separate branches, each of which also shares in the power of the others as a means of checking and balancing them. The result is that no one branch can exercise power decisively without the support or acquiescence of the others. separation of powers The division of the powers of government among separate institutions or branches. social contract A voluntary agreement by individuals to form a government that is then obligated to work within the confines of that agreement. Three-Fifths Compromise A compromise worked out at the 1787 convention between northern states and southern states. Each slave was to be counted as three-fifths of a person for purposes of federal taxation and congressional apportionment (number of seats in the House of Representative). tyranny of the majority The potential of a majority to monopolize power for its own gain and to the detriment of minority rights and interests. Virginia (large-state) Plan A constitutional proposal for a strong Congress with two chambers, both of which would be based on numerical representation, thus granting more power to the larger states. Lecture Outline This lecture outline closely follows the text in its organization. The instructor can use this outline as a lecture aid. The author focuses on the foundations of limited government in the United States. In the beginning of the chapter, a review of the origins of the restriction of governmental authority is provided, followed by a discussion of constitutional restraints on power and the related issue of judicial review. The continuing debate over representation and degree of self-rule is also highlighted, tracing its development from the ratification of the Constitution in 1789 through the Progressive Era reforms in the modern era. The chapter concludes with an examination of contemporary American constitutional democracy. I. Before the Constitution: The Colonial and Revolutionary Experiences Early Americans’ admiration for limited government was based on their British heritage and their colonial experience. This British heritage included the concept of a monarchy restricted by Parliament. • Colonial charters had provisions for limited government, such as trial by jury, and for elected assemblies. • The British failed to uphold the colonists’ established traditions, and they imposed taxes, which led to the cry of “no taxation without representation.” • The First Continental Congress defined the colonists’ demands, and violence ensued when the king refused their demands. John Locke’s writings introduced the concepts of the social contract and inalienable natural rights such as life, liberty, and property. Locke’s ideas enjoyed great popularity in the colonies, where people enjoyed a degree of freedom unthinkable in Europe. Thomas Jefferson paraphrased Locke’s ideas in the Declaration of Independence during the Revolutionary War. • A constitution is the fundamental law that defines how government operates: how leaders are chosen; the institutions and procedures of government; and lawful power and limits on that power. It is the supreme law of the land. • The first government of the United States was, instead, based on the Articles of Confederation, which subordinated national authority to that of the states, creating a weak and ineffectual national government. • The national government lacked the power to tax and was dependent on voluntary contributions from the states. It was thus unable to finance an adequate army and navy. • Congress could not shape a national economy, as it could not interfere with the commerce of the states. • The Articles demonstrated the consequences of an overly weak national authority. This resulted in public disorder, economic chaos, and inadequate defense. • Shays’ Rebellion underscored these problems and provided the impetus for a constitutional convention. II. Negotiating Toward a Constitution Formulating and agreeing upon a stronger national government required a variety of compromises: • An effective national government required a union of people, not just states. • The Great Compromise was struck between the large-state and small-state factions, resulting in the creation of a bicameral Congress with a state-based Senate and a population-based House. • The Three-Fifths Compromise between the commercial, non-slave North and the agricultural, slave South allowed slaves to count for part of the population in the South for congressional representation purposes. A separate compromise between the two regions prohibited a tax on exports (but not imports) and prohibited the end of the slave trade before 1808. • The strategy for ratification of the Constitution was to have independently elected ratifying conventions in each state approve the document, with nine states required for approval. • Madison, Hamilton, and Jay wrote The Federalist Papers in support of the new constitution. In 1788, ratification by the ninth state occurred. • The framers’ goals of creating a strong national government while preserving the states were attained by adopting a federal system, with sovereignty divided between the national and state governments. III. Protecting Liberty: Limited Government The Constitution seeks to establish a government strong enough to enforce collective interests without endangering personal liberty. • By enumerating the powers possessed by the national government, the Constitution constrains it, implicitly denying it other, unmentioned powers. • The Constitution also limits the government by explicitly prohibiting certain practices such as ex post facto laws. • The framers’ main instrument of limited government was a system of separated institutions sharing power, creating elaborate checks and balances among the three branches of government. • The Bill of Rights restrains government by granting citizens a set of civil liberties that cannot lawfully be denied by government. • Judicial review, established in the 1803 case of Marbury v. Madison, allowed the federal courts to restrain the actions of the other two branches. IV. Providing for Representative Government The framers made an important distinction between a democracy and republic. • In a democratic government, the people decide issues directly. • In a republican or representative government, elected officials make policy choices instead of the people. • Fearing the chaos caused by the tyranny of the majority that had plagued previous democracies, the framers constructed a republican form of government characterized by limited popular rule. • The Constitution contains a variety of mechanisms to institute representative, limited government by the people. With the passage of time, an increasing amount of popular influence has been built into the U.S. political system. The first change can be found in the Jeffersonian conception of democracy. • Jefferson believed that ordinary people were deserving of a larger governing voice than provided by the original Constitution. • However, Jefferson had no clear idea of how popular government would work in practice. The era of Jacksonian democracy witnessed a greater role for the public in government. • Andrew Jackson argued that the presidency was the only office that represented the entire American nation. • Jackson persuaded states to make popular voting the basis for selecting presidential electors. Changes were implemented during the Progressive Era that were designed to weaken the power of big business and party bosses. • Two important Progressive reforms at the local level were the initiative and referendum. • Two of the most important Progressive changes for national politics were the direct election of U.S. senators and the introduction of primary elections. • Charles Beard’s argument that the framers were mainly concerned with protecting their property and wealth fit the Progressive Era’s themes and assumptions. V. Constitutional Democracy Today The type of government created in 1787 could accurately be called a constitutional democratic republic. • It is constitutional in its requirement that power be attained by electoral means with a respect for individual rights. • It is democratic in its provisions for majority influence through elections. • It is a republic in its multiple institutions. • In some aspects, it is a model of representative government, with its extension of the principle of direct popular election to office, frequent elections, and reliance on primary elections rather than party organizations for the selection of nominees. • The link between an electoral majority and a governing majority in the U.S. is, however, less direct than in many democratic systems. Complementary Lecture Topics Below are suggestions for lectures or lecture topics that will complement the text. In general, these topics assume that students will have read the chapter beforehand. • The Constitution is designed to preserve liberty. Americans have traditionally distrusted their perception of big government, and the American system puts a variety of limits on governmental authority, and safeguards personal rights. Given the present-day international and domestic environment, is this emphasis still practical and workable? • The U.S. Constitution restricts political power in a number of ways—grants of power, denials of power, a separation and overlap of powers between institutions, and the Bill of Rights. Evaluate the effectiveness of these various mechanisms. • The limited efficacy of constitutional constraints on political power is widely acknowledged. Some of the world’s most repressive regimes are governed by constitutions that solemnly provide for individual rights and separation of powers. What are the social, economic, and cultural conditions that promote limited or repressive government? • How would politics in America operate differently if the nation adopted a British-style parliamentary system? Do you believe such a change would be for the better or not, in terms of overall government performance and leadership effectiveness? Explain in intricate detail. Class Discussion Topics 1. Discuss with students their assessment of the fairness of the current Electoral College system. Suggest possible changes, such as proportional division of Electoral College votes based on the popular vote within the state (which two states currently use to varying degrees). Why has it been so difficult to reform the Electoral College? Are there any serious prospects for changes in the future, and why? Is there any variation today in how states allocate their electoral college votes? Answer: • Parliamentary System: Often features a prime minister as head of government and a symbolic head of state. The executive is drawn from the legislature and can be removed by a vote of no confidence. • U.S. Model: Features a separate executive branch led by a president, a bicameral legislature, and an independent judiciary. • Majoritarianism vs. Representation: Parliamentary systems can be more majoritarian, with fewer checks on the majority's power, while the U.S. system includes protections for minority rights through checks and balances. • Tyranny of the Majority: U.S. institutions are designed to prevent the majority from oppressing the minority, whereas parliamentary systems may rely more on political culture and norms to protect minorities. • Current Assessment: Some students may find the Electoral College unfair because it can result in a president who did not win the popular vote. Others may argue it ensures a balance of power among states. • Possible Changes: Suggestions include proportional division of Electoral College votes based on the state's popular vote, similar to Maine and Nebraska. • Challenges to Reform: Constitutional amendments require broad support, and smaller states may resist changes that diminish their influence. • Prospects for Change: There is ongoing debate, but significant reform appears unlikely without a major shift in political consensus. • Variation in Allocation: Currently, most states use a winner-take-all system, while Maine and Nebraska allocate some electoral votes proportionally. 2. Acquaint your class with more detailed objections of the Anti-Federalists to the adoption of the U. S. Constitution. Ask your class to respond to their concerns, addressing which ones seem to have been valid and which have not materialized as serious threats to liberty. Answer: • Objections: Concerns included fears of a too-powerful central government, lack of individual rights protections, and the potential for an aristocratic elite. • Valid Concerns: Some were addressed by the Bill of Rights, while others, like the fear of a powerful central government, remain debated. • Unmaterialized Threats: The establishment of a standing army and an overpowering executive were concerns that have been managed through checks and balances. 3. Discuss how the Progressive changes to the electoral process—including direct election of senators, referendums, initiatives, and other measures—have changed American politics over time. Suggest hypothetical changes to history in which these measures had not been adopted in the American political electoral system. What effect might this have had on such diverse governmental aspects as the power of business interests, the party system, or the power of the House of Representatives versus the Senate? Answer: • Changes: Direct election of senators, referendums, and initiatives increased public participation and accountability in governance. • Hypothetical Absence: Without these changes, business interests might have wielded more power, the party system could have been less responsive to public opinion, and the Senate might have retained more power relative to the House of Representatives. 4. Describe the workings of one of the European parliamentary democracies (or for greater contrast, use India) to illustrate the majoritarian aspects of popular rule. Use it to contrast with the American model of representation, including the role of the executive and judiciary. Address the issue of tyranny of the numerical majority, and protection of the numerical minority. Answer: • Parliamentary System: Often features a prime minister as head of government and a symbolic head of state. The executive is drawn from the legislature and can be removed by a vote of no confidence. • U.S. Model: Features a separate executive branch led by a president, a bicameral legislature, and an independent judiciary. • Majoritarianism vs. Representation: Parliamentary systems can be more majoritarian, with fewer checks on the majority's power, while the U.S. system includes protections for minority rights through checks and balances. • Tyranny of the Majority: U.S. institutions are designed to prevent the majority from oppressing the minority, whereas parliamentary systems may rely more on political culture and norms to protect minorities. Chapter 3 Federalism: Forging a Nation Learning Objectives Having read the chapter, the students should be able to do each of the following: • Describe the U.S. federal system. • Demonstrate knowledge of the distribution of federal vs. state powers. • Summarize the evolution of the U.S. federal system. • Compare state constitutions with the U.S. Constitution. • Describe sources of revenue for state and local governments. • Analyze the benefits and drawbacks of U.S. federalism today. • Explain public opinion’s influence on setting the boundaries between federal and state power. Chapter Outline I. Federalism: National and State Sovereignty A. The Argument for Federalism 1. Protecting Liberty 2. Moderating the Power of Government B. The Powers of the Nation and the States 1. Enumerated Powers and the Supremacy Clause 2. Implied Powers: The Necessary and Proper Clause 3. Reserved Powers: The States’ Authority II. Federalism in Historical Perspective A. An Indestructible Union (1789–1865) 1. The Nationalist View: McCulloch v. Maryland 2. The States’ Rights View: The Dred Scott Decision B. Dual Federalism and Laissez-Faire Capitalism (1865–1937) 1. The Fourteenth Amendment and State Discretion 2. Judicial Protection of Business 3. National Authority Prevails III. Contemporary Federalism (Since 1937) A. Interdependency and Intergovernmental Relations B. Government Revenues and Intergovernmental Relations 1. Fiscal Federalism 2. Categorical and Block Grants C. Devolution 1. The Republican Revolution 2. The Continuing Issue of National Power IV. The Public’s Influence: Setting the Boundaries of Federal–State Power V. Summary Focus and Main Points This chapter examines federalism—its creation through the Constitution, its evolution during the nation’s history, and its current status. The main points presented in the chapter are: • The power of government must be equal to its responsibilities. The Constitution was needed because the nation’s preceding system (under the Articles of Confederation) was too weak to accomplish its expected goals, particularly those of a strong defense and an integrated economy. • Federalism—the Constitution’s division of governing authority between two levels, nation and states—was the result of political bargaining. Federalism was not a theoretical principle, but rather a compromise made necessary in 1787 by the prior existence of the states. • Federalism is not a fixed principle for allocating power between the national and state governments, but rather a principle that has changed over time in response to political needs and partisan ideology. Federalism has passed through several distinct stages in the course of the nation’s history. • Contemporary federalism tilts toward national authority, reflecting the increased interdependence of American society. Chapter Summary A foremost characteristic of the American political system is its division of authority between a national government and state governments. The first U.S. government, established by the Articles of Confederation, was essentially a union of the states. In establishing the basis for a stronger national government, the U.S. Constitution also made provision for safeguarding state interests. The result was the creation of a federal system in which sovereignty was vested in both national and state governments. The Constitution enumerates the general powers of the national government and grants it implied powers through the “necessary and proper” clause. Other powers are reserved to the states by the Tenth Amendment. From 1789 to 1865, the nation’s survival was at issue. The states found it convenient at times to argue that their sovereignty took precedence over national authority. In the end, it took the Civil War to cement the idea that the United States was a union of people, not of states. From 1865 to 1937, federalism reflected the doctrine, known as dual federalism, that certain policy areas were the exclusive responsibility of the national government, whereas responsibility in other policy areas belonged exclusively to the states. This constitutional position validated the laissez-faire doctrine that big business was largely beyond governmental control. It also allowed the states to discriminate against African Americans in their public policies. Federalism in a form recognizable today began to emerge in the 1930s. In the areas of commerce, taxation, spending, civil rights, and civil liberties, among others, the federal government now plays an important role, one that is the inevitable consequence of the increasing complexity of American society and the interdependence of its people. National, state, and local officials now work closely together to solve the nation’s problems, a situation known as cooperative federalism. As a component of fiscal federalism, grants-in-aid from Washington to the states and localities have been the chief instrument of national influence. States and localities have received billions in federal assistance; in accepting federal money, they also have accepted both federal restrictions on its use and the national policy priorities that underlie the granting of the money. Throughout the nation’s history, the public through its demands on government has influenced the boundaries between federal and state power. The expansions of federal authority in the 1930s and the 1960s, for example, were driven by Americans’ increased need for government assistance, whereas the devolutionary trend of the 1990s was sparked by a conservative political desire for a rollback in federal power and return of some of that power to the states. Partisan fights over the right application of federalism continue. Major Concepts block grants Federal grants-in-aid that permit state and local officials to decide how the money will be spent within a general area, such as education or health. categorical grants Federal grants-in-aid to states and localities that can be used only for designated projects. commerce clause The authority granted Congress in Article I, Section 8, of the Constitution “to regulate commerce” among the states. confederacy A governmental system in which sovereignty is vested entirely in subnational (state) governments. cooperative federalism The situation in which the national, state, and local levels work together to solve problems. devolution The passing down of authority from the national government to state and local governments. dual federalism A doctrine based on the idea that a precise separation of national power and state power is both possible and desirable. enumerated (expressed) powers The 17 powers granted to the national government under Article I, Section 8, of the Constitution. These powers include taxation and the regulation of commerce as well as the authority to provide for the national defense. federalism A governmental system in which authority is divided between two sovereign levels of government: national and regional. fiscal federalism A term that refers to the expenditure of federal funds on programs run in part through states and localities. grants-in-aid Federal cash payments to states and localities for programs they administer. implied powers The federal government’s constitutional authority (through the “necessary and proper” clause) to take action that is not expressly authorized by the Constitution but that supports actions that are so authorized. nationalization The process by which authority in the American federal system has shifted gradually from the states to the national government. “necessary and proper” clause (elastic clause) The authority granted Congress in Article I, Section 8, of the Constitution “to make all laws which shall be necessary and proper” for the implementation of its enumerated powers. reserved powers The powers granted to the states under the Tenth Amendment to the Constitution. sovereignty The supreme (or ultimate) authority to govern within a certain geographic area. supremacy clause Article VI of the Constitution, which makes national law supreme over state law when the national government is acting within its constitutional limits. unitary system A governmental system in which the national government alone has sovereign (ultimate) authority. Lecture Outline This lecture outline closely follows the text in its organization. The instructor can use this outline as a lecture aid. The focus of this chapter is on federalism. The author describes the constitutional debate in Philadelphia in 1787 over the relationship between the national government and the states, explores how federalism has changed over time, and concludes with a brief commentary on federalism in contemporary America. I. Federalism: National and State Sovereignty The decision to have a federal government is demonstrative of the framers’ belief that a confederal form of government was destined to fail. • Federalism is the division of ultimate governing authority (sovereignty) between national and regional governments (as opposed to a unitary system, which most many modern democracies have). The arguments for federalism included: protection of liberty; promotion of a responsive government; and creation of a strong government, thus overcoming the deficiencies of the Articles of Confederation. • America’s national government has enumerated powers, which are designed primarily to enable it to provide for the nation’s defense and commerce. The supremacy clause defines the national laws as the supreme laws of the land. • The national government also has implied powers through the “necessary and proper” clause, which gives it the flexibility and responsiveness to meet changing national needs. • The states’ powers are called reserved powers and are provided through the Tenth Amendment. The ratification debate revolved around the issue of national versus state sovereignty. • Anti-Federalists favored a weaker national government and greater state authority. • • Federalists favored a stronger national government and greater national authority. The argued for their position in The Federalist Papers. • II. Federalism in Historical Perspective Federalism has passed through distinct stages in the course of its development. The first phase from 1789 to 1865 was characterized by conflict between the nationalist and states’ rights views. • The nationalist view held that when national and state law conflicted, national law was paramount. This was reflected in the Supreme Court’s McCulloch v. Maryland (1819) decision. • At its extreme, the states’ rights view held that each state had the constitutional right to nullify a national law. • • The 1857 Dred Scott Supreme Court decision upheld states’ rights and heightened tensions between the North and the South over slavery. • The nationalist view was upheld through the Union victory in the Civil War. • • Between 1865 and 1937, dual federalism and laissez-faire capitalism were the leading principles in federalism. • Dual federalism held that a precise separation of national and state authority was both possible and desirable. Its influence is evident in the Supreme Court’s infamous Plessy v. Ferguson (1896) decision, which undermined the Fourteenth Amendment. • Laissez-faire capitalism holds that business interests should be allowed to act as they please, with little or no regulation by the national government. Using this philosophy as its guide, the Supreme Court protected business from substantial regulation by either state governments or the national government. • Both dual federalism and laissez-faire capitalism lost force as a result of social and economic change in the twentieth century, especially the Great Depression. • Despite many of its programs being initially opposed by a conservative Supreme Court, Franklin Roosevelt’s New Deal was eventually accepted by the Court. The justices broadened their interpretation of the federal government’s taxing and spending powers, and national authority increased. III. Contemporary Federalism (Since 1937) Developments of recent decades have diminished state authority in the federal system. • The powers of the states are still vital, but states have far less autonomy than they had before the New Deal. Local and the state governments and their citizens have become increasingly interdependent, providing the impetus for a stronger national government. This cooperative federalism involves national, state, and local governments working together to solve policy problems. • • The national government’s policy role has also expanded because Americans have come to expect government help and fight to keep national assistance programs once they have been initiated. • The national government’s fiscal advantage in raising money has often made money the basis of the relationship between the national and state governments. This fiscal federalism is the expenditure of federal funds on programs run in part through state and local governments. The national government provides some or all of the funds for given programs, and the states and localities administer them. • Devolution philosophy emerged in recent decades, primarily with President Reagan espousing “new federalism.” Devolution is the idea that American federalism will be improved by a shift in authority from the national government to state and local governments. This belief was been given impetus by fiscal constraints and Republican congressional victories in 1994. • The devolution movement largely came to an end during the presidency of George W. Bush. The terrorist attacks of September 11, 2001, in particular brought about changes that increased federal power, such as the establishment of the Department of Homeland Security. Additionally, the Patient Protection and Affordable Care Act of 2010 increased federal power over health insurance. IV. The Public’s Influence: Setting the Boundaries of Federal–State Power Each generation of Americans has devised a balance of national and state power that serves its interests. Public opinion defines the boundaries of federal and state power. Although federal authority has been rolled back in some instances, it has continued to expand in others. • President Franklin Roosevelt’s programs, such as social security, attracted a great deal of public support. • • Lyndon Johnson’s Great Society programs of the 1960s reflected the desire of Americans for greater government involvement in public policy matters. • • In 1994, the Republican Party won control of the House of Representatives by riding a crest of public dissatisfaction with big government. Complementary Lecture Topics Below are suggestions for lectures or lecture topics that will complement the text. In general, these topics assume that students will have read the chapter beforehand. • The American federal system was the first of its kind. Other governments were unitary in nature. Identify the advantages and disadvantages of each type of system, keeping the size and diversity of the United States in mind. • • Provide a historical comparison of the responsibilities of the national and state governments. Identify similarities and differences. Should the national government be given more power at the expense of the states due to the increased complexity and interdependence that characterizes contemporary America? • Shays’ Rebellion and economic chaos provided the impetus for the 1787 Philadelphia convention. Are there any modern problems that have potentially significant constitutional implications? Consider possibilities such as abortion rights, the budget deficit and taxes, drugs, terrorism, and environmental degradation, among others. What constitutional changes might eventually result from debating these issues? • • Class Discussion Topics 1. After listing typical responsibilities associated with the national, state, and local levels of government, ask your class to rearrange the items more to their liking. Ask students to then rationalize why certain responsibilities are primarily assigned to different (or in some cases, concurrent) levels. Answer: • National Level: Typically responsible for national defense, foreign policy, interstate commerce, and immigration. Students might rearrange these responsibilities, suggesting, for instance, that certain aspects of education or healthcare be more centrally managed to ensure uniform standards. • State Level: Usually handles education, transportation, public safety, and health regulations. Students may argue for increased state control over environmental regulations or criminal justice. • Local Level: Manages local law enforcement, zoning, and public utilities. Students might suggest local control over certain social services for more tailored community support. Rationale: Redistribution may reflect preferences for local autonomy, efficiency, accountability, or uniformity in governance. 2. Introduce your class to the financial aspects that have affected the relationship between the states and the nation from 1915 to the present. Discuss ways that states have of raising money and how much the budget of your state is raised by the state itself in contrast to how much is dependent upon federal sources. Answer: • Federal Contributions: Significant federal funding often comes through grants for specific programs (e.g., Medicaid, education, infrastructure). • State Revenue Sources: Includes taxes (income, sales, property), fees, and state-run enterprises. The proportion of a state’s budget from federal sources versus self-generated revenue can vary widely, reflecting differences in tax structures and federal dependence. 3. Identify a few of the most recent times the Supreme Court was able to have a significant effect on the distribution of power between the national and state governments. Does the Court still have the power to influence this division in significant ways? Ask your students if they believe further changes in federalism are more likely to come from Supreme Court rulings or from congressional legislation. Answer: • Recent Decisions: Cases like National Federation of Independent Business v. Sebelius (2012), which addressed the Affordable Care Act, and Murphy v. NCAA (2018), which struck down a federal law prohibiting states from authorizing sports betting, have influenced the balance of power. • Ongoing Influence: The Supreme Court retains the power to interpret the Constitution and can thus shape federal-state relations. Future changes in federalism could arise from either judicial rulings or congressional legislation, but the Court's role in interpreting laws and the Constitution remains crucial. • Student Opinions: Some may believe that significant shifts in federalism are more likely to result from the Court's interpretations, while others may argue that Congress has the power to enact more substantial legislative changes. Instructor Manual for We The People: An Introduction to American Government Thomas L. Patterson 9781259912405