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Chapter 1: Constitutional Democracy

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:
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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
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- 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)
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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
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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
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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.
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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
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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