Unit I Lecture Notes
Constitutional Foundations: (Chapters 1, 2, & 3)
Chapter 1
I.
II.
Introduction
A. What is Government? The institutions and processes through
which public policies are made for a society.
B. What is Politics? The process by which we select our
government leaders and what policies these leaders pursue.
C. Shaping Policy: The role of the people in shaping policy
cannot be understated. The policy making system starts and
ends with the people. Throughout the policy making
process people have the ability to access, create, and change
policy through their voice. “Translating people’s desires into
effective policy is crucial to the workings of democracy.”
(Lineberry, 13)
D. Political Participation:
1. Types of participation
a. Voting
b. Petition
c. Protest & Civil disobedience
d. Being informed
2. “Generation Gap” Simply put old people participate and young people don’t.
a. Young people historically have a voter turnout rate in the low thirty percentile (not
good).1
1. Low political efficacy: traditionally young Americans have not believed that their
vote truly makes a different and thus their participation is not warranted.
2. Fail to stay informed: as a result of all of the activities and technologies fighting
for attention of the average young adult there is little time to stay informed in
politics.2
b. Old: because the elderly turnout in much greater numbers (nearly 70%) they benefit in
getting their policy agenda more attention. Groups like the American Association of
Retired Persons (AARP) focus on a senior centered agenda and have the attention of
politicians throughout the country. Since their turnout is so much greater, politicians are
more likely to act on their needs in public office in order to stay in their good graces.
Meanings Of Democracy
A. Are we really a democracy? There is a common misconception that the United States is a democracy. In fact
if you were ask most Americans they would say we do. In truth, our government is considered a
Constitutional Republic. We are bound by the document, the Constitution, and have representatives
who serve as our mouthpiece in Washington, D.C.
B. Traditional Democratic Values: where we agree and disagree
1. As Americans we agree in the fundamental principles of life, liberty, and the pursuit of happiness.
We also agree that every American has an equal opportunity to achieve these principles.
2. Americans fundamentally disagree on the concept of economic equality.
3. Narrow middle: Although various media outlets relish in illustrating the cavernous gap between
the two major political ideologies in the United States, the truth is liberals and conservatives
debate in a relatively moderate middle of the political spectrum.
C. Democratic Theory: who sets the nation’s policies?
1. Pluralism: According to this theory no one group dominates the policy making agenda. The
United States is made up of competing interests and all of these groups have clear unobstructed
access to government officials to influence policy changes.3
Bucking the trend: the 2008 election saw a tremendous jump in voter participation among the young (around 50%). Read this article from Carnegie
Melon’s student newspaper The Tartan. Second Largest Turnout in History
2 Keep in mind our class discussion on John Mayer’s Song “Waiting on the World to Change,” and read more articles about your generation turning things
around: Obama’s Impact on “Generation Me” and Will the Youth Vote Come Out for Obama
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2. Hyperpluralism: There are too many groups trying to influence the policy making system. The
way in which our government is structure there are too many overlapping responsibilities. The
burden of too many groups wanted access is more than the system can handle. As a result, the
system just shots down and gridlock occurs.4
3. Elite and Class Theory: Instead of all people having an equal access to government, this theory
contends that only the wealthy and well connected have access to the policy making system. At
the center of this power is big business and the elite government establishment.
D. Challenges to Democracy
1. Increased technology: as technology increases so too does the expertise required for it to
function. As a result the government is becoming ruled by a select few citizens who have the skill
set to make it work. This directly impacts the influence of all citizens.
2. Limited participation: as your textbook says, people do not take full advantage in participating in
government affairs. Trends, such as low voter turnout among the young, have a direct impact on
the policy agenda of the government.
3. Escalating campaign costs: as campaign contributions continue to skyrocket it begins to limit the
voices being heard. A strong relationship between politics and money becomes more apparent.5
4. Policy gridlock: Diverse interests create many interests which become too much for the
government to process. As a result government is crippled by an inability to compromise.6
Chapter 2
III.
Constructing the Republic (Review of History)7
A. Foundations of American independence
1. Started as British subjects
2. Stoking the flames of independence
a. Taxation without representation: colonists were being taxed by the British Parliament to
fund the Empire’s defenses. The British believed it was only fair to have those being
protected pay for such services.
b. Sovereignty: colonists were also raising the question “to whom are we loyal.” A large
majority began to think their loyalties lie with the colonies themselves, as opposed to the
British Empire.
c. Declaration of Independence8: based on the concept of Natural Rights (John Locke).
Thomas Jefferson declared that men, created equal, had the right to life, liberty, and the
pursuit of happiness.9
B. Articles of Confederation: the United States’ first attempt at a government. It gave the majority of power
to state legislature because they feared a strong central government that would one day mirror that of
Great Britain.
1. Problems with the Articles of Confederation
a. The national government was at the mercy of the states. With no central authority
Congress could not take any independent action
b. Economic turmoil persisted. A mini-depression swept through the states, causing
farmers to default on loans.
c. Shays’ Rebellion: attacks by former revolutionary soldiers on court houses in
Massachusetts to stop the foreclosure of small farms by local judges. Although not the
only uprising of its kind, it has become famous for being the “final blow” to the Articles
of Confederation.
2. Remedy: calling of a Constitutional Convention in May 1787.
According to your textbook, interest groups such as the NRA, NOW, and UAW all have the same access to government officials. Because of this
they have an equal opportunity to have their policy agenda heard.
4 Imagine being a Senator wedged between the influence of a powerful environmental interest group and the logging industry in your home state. The
nearer you get to your re-election campaign the less likely you are to act for fear of alienating one group and losing their vote. The result is inaction;
gridlock.
5 Later on we’ll link this concept to the power of Political Action Committees (PACs) in Unit II.
6 We will learn more about interest groups in Unit III. For now check out a list of the different categories of interest groups present in United States
politics.
7 Because this is not a history course, you’re expected to do some “brushing up” on your own time. For some great readings about America’s
founding period check out your teacher’s website under the Unit I resources.
8 Check out a scan of the original document at the National Archives.
9 Most Americans on the street often confuse the Declaration of Independence with the Constitution, assuming they say or mean the same thing. Do
you know the difference between these founding documents?
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C. Constitutional Convention10
1. Location: Philadelphia, PA
2. Who attended? The delegates (55 men) represented the elite of the country.11
3. Common ground: though the members of the convention did not agree on all things they found
common ground on the following.
a. Human nature: the delegates held a cynical view of human nature. As a result they
wanted to create a government that checked an individual’s power.
b. Political conflict: Madison (Federalist No. 51) believed that factions were an inevitable
byproduct of politics. So instead of trying to eliminate them they should be checked, so
that one faction does not gain control of the government.
c. Objective of the government: the goal of the government should be preserve one’s
property and earnings.
d. Nature of government: set power against power. If a balanced government is created
then factions are placed in check. So they created a “complex network of checks,
balances, and separations of power” (Lineberry, 39)
4. Examples of Compromise at the Convention
a. Great Compromise (Connecticut Compromise): creation of a bicameral legislature with
one house having equal representation while the other was proportionately represented.
b. 3/5 Compromise: to appease the southern states, the delegates agree to count slaves as
3/5 of a person counted in the census. This would give the southern states greater
representation in the House of Representatives than they would have if they did not
include the states’ slaves in the population count.
c. Slavery Compromise: Forced Congress to protect the slave trade for at least the next 20
years.
d. Executive Compromise: the agreement on a single executive officer of the United States
(although intentionally subservient to Congress) to be chosen by an Electoral College.
e. Economic Powers: granted Congress broad economic powers (See first 6 clauses of
Article I, sec. 8)
5. Ratification Debate:
a. Federalists v. Anti Federalists (See Table 2.5 in Lineberry)
b. Federalist Papers: written by the likes of James Madison and Alexander Hamilton these
essays were published in newspapers around the country in an attempt to justify and gain
support for the ratification of the Constitution.12
c. Criticism of the Constitution
1. Anti-federalist saw the Constitution as a class based document designed to insure
control of the country resided in the hands of the elite.
2. No extensive protection of individual rights: this is addressed with the adoption
of the Bill of Rights.
d. Final ratification in the thirteen states occurred by May 1790.13 The final bargaining chip
was the addition of the Bill of Rights which included key restrictions on the central
governments’ powers relative to individual rights and state powers. 14
1. Amendments 1-8: Key provisions limiting the powers of the national
government with regard to civil liberties. These liberties are not random choices
by the Founders. Rather, their inclusion in the Bill of Rights reflects the
frequent government abuses suffered by colonists at the hands of the British
troops and royal governors under the King.
Great book: if the Constitutional Convention is something you get excited about check out this book by Carol Berkin; A Brilliant Solution:
Inventing the American Constitution
11 For the ultimate nerd…here is a list of those who attended and an individual bio for each.
http://teachingamericanhistory.org/convention/delegates/
12 In the spring we’ll learn about the Supreme Court and the importance of trying to understand the Founders’ “original intent.” The Federalist Papers
are considered the best source available to help scholars and judges determine what the delegates may have had to say about modern political issues.
Check out this Library of Congress resource
13 Take a quick scroll down this Wikipedia chart to get a sense of the various speeds at which the states drew up their ratifying conventions and
ultimately signed on to the Constitution.
14 See an actual scan of the Bill of Rights at the National Archives or explore the resources available from the Bill of Rights Institute.
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IV.
2. Amendment 9: A “safety-valve” provision which retains all “unenumerated
rights” to the people. Although this is one of the most frequently forgotten
Amendments, in history this provision has proven absolutely critical in
cementing certain rights in society (freedom to join political parties, travel from
state to state, even a woman’s right to choose an abortion finds its power in the
9th Amendment).
3. Amendment 10: A “safety-valve” provision which reserves all “undelegated
powers” to the states. Like the 9th Amendment, this addition reflects the voice of
those in the Convention who distrusted the new Constitution with its increased
legislative and regulatory powers. The 10th Amendment creates perpetual
competition between the national government and the states, making it the most
powerful check on Congress’s broadly stated delegated powers and the “elastic
clause.” This tension is the very cornerstone of our successful federal system.
Principles of the Constitution
A. Limited government:
1. Limiting the federal government: power is limited by the document, the idea of Constitutionalism.
Furthermore, the Bill of Rights safeguards the individual and the state from unchecked federal
power.
2. Limiting majority government: Madison wanted to avoid tyrannical rule. For this reason he
attempted to insulate the government from the people. Examples…
a. Lifelong tenure for judges
b. Senators elected by the state legislature (changed with 17th Amendment)
c. Staggered elections for Senators
B. Separation of powers: founders developed three branches of government that would be independent from
each other. Each branch was given varying elements of power and therefore the three would have to
share power and have consent from each other to function.
C. Checks and balances: to prevent abuse of power the Founding Fathers implemented a system of checks
and balances. This created an intentional inefficiency that slowed the pace of progress. This occurred
because each branch asserted its own political independence. Specific checks created by the Constitution
include
1. Veto (President to Congress)
2. Impeach (Congress over the President)
3. Nominate (President to Senate)
4. Confirm (Senate to President)
5. Judicial Review (Courts to both executive and legislative)
D. Judicial Review: Marbury v. Madison, 1803
1. Judicial review is never stated in the Constitution. Judicial review allows for the Courts “to hold
actions of the other two branches unconstitutional.” This “considerably strengthens the Court’s
ability to restrain the other branches of government” (Lineberry, 46).
2. This is essential because it gives citizens a direct avenue to challenge the actions of the other
branches of the federal system as well as state and local governments.
3. The act of judicial review also creates a new policy maker, the Courts.
E. Constitutional Change:
1. Formal method of changing the Constitution: (See Figure 2.4 in Lineberry)
a. The formal method for amending the Constitution is difficult. There needs to be a
tremendous amount of support for the change at both the federal and state levels.
b. EXAMPLE: the Equal Rights Amendment was first introduced in 1923. It states that
“Equality of rights under the law shall not be denied or abridged by the United States or
by any state on account of sex” (ERA Section 1). It still has not been ratified by the
necessary states and as a result it sits in amendment purgatory.15
2. Informal method of changing the Constitution:
a. Pursued as quicker alternative to the cumbersome process of the formal amendment.
b. Examples: It is done primarily three different ways.
To better appreciate just how difficult the formal Amendment requirements are, explore some of the more famous examples of seemingly important
policies that still don’t have the required support: the Equal Rights Amendment , Washington D.C’s right to vote in Congress, and the Victim’s Rights
Amendment.
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Chapter 3
V.
1. Executive order: a signed presidential directive that serves as law. It does not go
throw the traditional legislative process.16
2. Acts of Congress: legislation passed through Congress and signed by the
President.17
3. Court action: every time the courts make a judicial ruling it effects the
interpretation of the Constitution and thus changes its meaning.18
Federalism
A. Definition: A way of organizing a nation so that two or more levels of government have formal authority
over the same land; a system of shared power.19
B. Intent: The Framers of the Constitution chose a federal system for its capacity to
1. Decentralize policy/politics to allow more local control
2. Provide checks between layers of government (tension between elastic clause and 10th
Amendment) and thereby protect against tyranny (See Federalist No. 51)
C. Constitutional Framework20: The Constitution lays the foundation for government powers that are:
1. Delegated – Article I, sec. 8, clauses 1-17
2. Implied – Article I, sec. 8, clause 18 (a.k.a., the elastic clause)
3. Denied – Article I, sec. 9
4. Reserved - Tenth Amendment
5. Concurrent - Shared between national and state governments; such as the power to make laws
and collect taxes.
D. Governing the States: Although state powers come primarily from the Tenth Amendment, the
Constitution lays down specific guidelines for state behavior.
1. State powers denied – Article I, sec. 10
2. Interstate obligations – Article IV21
a. Full faith and credit
b. Privileges and immunities
c. Extradition
3. Fugitive Slave Clause –Article IV, sec. 2, clause 3
E. National Supremacy: Although federalism is defined as a system of “shared” authority, the Constitution
continues to evolve in history leaving the states with less and less power.
1. Supremacy established – The supremacy clause in Article VI, clause 2 established all national laws
and treaties as supreme over the states.
2. Supremacy strengthened – Four key historical steroid injections into the national government:
a. McCulloch v. Maryland, 1819. The Supreme Court uses the elastic clause and supremacy
clause to protect the National Bank against Maryland’s attempts to tax it.
b. Gibbons v. Ogden, 1819. The Supreme Court offers a new, broad interpretation of the
commerce clause, forever expanding the national government’s regulatory powers.
c. The Civil War reinforces national supremacy as the seceding states are violently returned
to their proper place in the “Union.”
d. The struggle for civil rights demonstrates dozens of examples of national policy trumping
state and local Jim Crow laws in the southern states, culminating in major landmarks like
Brown v. Board of Education, 1954, and the Civil Rights Act of 1964.
F. Fiscal Federalism: The pattern of spending, taxing, and providing grants in the federal system; the
cornerstone of the federal government’s relationship with state and local governments.22
1. Types of Grants23
FDR’s Executive Order 9066 is an excellent example of the president using his authority to circumvent the legislative process and the Constitution.
To examine Order 9066 click here.
17 The Civil Rights Act of 1964 made racial discrimination against any group in hotels, restaurants, or when hiring for a job illegal. We will cover this
in detail second semester.
18 Although the right to privacy in never stated in the Constitution the Supreme Court ruled in Griswold v. Connecticut, 1965 that indeed American have a
guaranteed right, under the Constitution, to privacy. This is a fantastic example of the how judicial ruling can informally, not through the amendment
process, alter the Constitution. For specifics on the case you can check out http://www.oyez.org/cases/1960-1969/1964/1964_496/
19 A particularly noteworthy statistic cited in your text: there are over 87,000 governments in the United States today.
20 We strongly recommend you review Table 3.2 on page 71 in your textbook.
21 Your teacher may refer to these interstate obligations as the “WD-40” of federalism. In effect, these guidelines help states avoid the kinds of
chaotic conflicts that were all too common under the Articles of Confederation.
22 A great way to think about this relationship is to compare it to the one you have with your parents. What you really want from them is money and
services! Notice how they give these to you with conditions as a way of regulating your behavior.
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a.
Categorical – given for specific purposes and awarded according to merit (including
project and formula grants). This type of grant is said to come with “strings attached,”
regulations that stipulate state behavior.
b. Block – given more or less automatically to states and local governments to broadly
support community development and social services.
2. “Heavy-Handed” Federalism
a. Mandates – Requirements that state and local governments comply with federal rules
under threat of penalty or as a condition of receipt of federal grant money. Usually
federal mandates come with some funding, but in tight budget times or national
emergencies it’s common to see mandates go out to the states unfunded. Two recent
examples were the Americans with Disabilities Act of 1990 and the Clean Air Act of
1990; two laws in the same year that required state action but provided no funds.
b. Cross-over sanctions – Federal government withholding highway funds if states didn’t
raise their drinking age to 21.
c. Cross-cutting requirements – Any activity at the state or local level that receives federal
money must simultaneously comply with anti-discrimination policies set forth in Civil
Rights Act of 1964.
3. Fiscal Federalism through History
a. Before 1937 – Dual federalism (“layer cake” federalism). Both the states and national
governments remained supreme within their own spheres, and Americans were rarely
conscious of federal involvement in their state or private lives.
b. After 1937 – Cooperative federalism (“marble cake” federalism). FDR’s New Deal
legislation ushered in a new chapter in federal-state relations. The government’s
authority was broadened and its reach now extended into ordinary lives in the form of
programs such as (but not limited to) Social Security and unemployment insurance
(“welfare”). Under cooperative federalism the national government and the states share
costs and administrative duties.
c. A Conservative Revolution – In the late 1980s and through the 1990s a phenomenon
known as “devolution” occurred. After taking over a majority in the House of
Representatives, conservative Republicans began shifting powers and responsibilities (and
costs) back to state governments.24
d. Today? – The Bush Administration maintained strong Republican majorities early on,
and showed signs of continuing the “devolution” trend. But the Bush years later proved
to be a time of growing centralized power (No Child Left Behind and War on Terror
policies). In 2006 the Democrats won back control of both the House and the Senate,
and in 2008 Democrat Barrack Obama entered the White House. Evidence suggests that
“devolution” was short-lived.
G. Advantages of Federalism
1. Decentralizes policies and creates access points for participation in policymaking system
2. Provides checks between layers of government (“double security…compound republic”)
3. Provides resources for states in need
4. Allows for diverse state policies (states act as experimental laboratories)
5. Suits diverse people/geography with diverse policies
H. Disadvantages of Federalism
1. Financial burden on the states
2. Heavy-handed regulations by the national government
3. Possibility for “blackmail” (cross-cutting requirements/cross-over sanctions)
4. Unequal public services
5. Redundancy of policymaking responsibility that bogs down government (national disaster
response)
The most famous chunk of money floating around these days is Obama’s stimulus plan (nearly $1 trillion worth of grants going out to state and
local governments hoping to get the economy rolling again.) Want to see where the money is going? Check out Obama’s www.recovery.gov
24 The Welfare Reform Act of 1996 is the most famous example of “devolution.” Go back and watch the third segment of the federalism video for a
great tutorial. Click here for “Democracy in America.”
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