AP American Government and Politics
Sanford-Green text Chapter 1

What is Government?
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Government is the formal and informal institutions, people, and processes used to create and conduct public policy
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Public policy is the exercise of government power in doing those things necessary to maintain legitimate authority and control over society

FORMS OF GOVERNMENT
Power and who wields it
ANARCHY
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The complete absence of organized rule
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Every man for himself
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State of Nature?
“There’s no government like no government”

1588-1679
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Modern founder of the “social contract” tradition
Postulated a hypothetical
“State of Nature” without government
Everyone would have a right to everything
It would be “a war of all against all”
Human life would be . . .
“ . . . solitary, poor, nasty, brutish and short.”
-Leviathan , 1651

FORMS OF GOVERNMENT
Power and who wields it
AUTOCRACY
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Rule by one person
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Absolute monarchy
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Constitutional monarchy
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Dictatorship

FORMS OF GOVERNMENT
Power and who wields it
OLIGARCHY
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Rule by a ruling elite
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Aristocracy
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Theocracy

FORMS OF GOVERNMENT
Power and who wields it
DEMOCRACY
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Rule by the people
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Direct democracy (all the people vote on everything)
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Representative democracy (the people elect representatives who make the decisions on their behalf)

Theories of Democracy
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All theories of democracy rely in some way on the idea of “consent of the governed”
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A 17th century idea attributed to
Englishman John Locke
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Borrowed by Thomas Jefferson for the
Declaration of Independence.

1632-1704
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A human being is born as a “Tabula
Rasa” (blank slate)
Legitimate
Government has the “consent of the governed“
Fundamental Rights of life, liberty and property

1632-1704
“Wherever law ends, tyranny begins, and whosoever exceeds the power given him by law and makes use of the force he has under his command to compass that which the law allows not, ceases to be a magistrate. . . . [Tyranny is] the exercise of power beyond right, which nobody can have a right to.”
-Second Treatise of Government , 1689

Theories of Democracy
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Yale sociologist Robert Dahl describes a pluralist theory
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Democracy is described as a series of conflicts among interest groups, which compete to promote their preferences as government policy.

Theories of Democracy
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Dahl’s premise is a variation of the dialectic theory
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Conflict leads to compromise and bargaining, resulting in an increasingly representative public policy

Theories of Democracy
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20th century sociologist C. Wright Mills described an elitist theory of government
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All governments are run by a powerful oligarchy of corporate, government, and military leaders
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They combine their influence to promote their own interests at the expense of ordinary people.

Theories of Democracy
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19th century sociologist Max Weber described the bureaucratic theory of democracy
Political office holders and their mid-level associates who carry out the everyday working of government hold the real power
They are the dominant forces in shaping policy.
Citizens have a negligible influence in Weber’s view

Origins of Democracy
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The American system of government did not arise as a system unique to the pilgrims, the Jamestown settlers, or the
North American continent.
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It has many ancestral origins
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We are a product of what went before

Basic Theories of Government
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EARLIEST GOVERNMENTS IN HISTORY
Tribes: grew out of the extended family
Ruler was the oldest or most powerful man
(sometimes a woman): the chief
Chiefs ruled along with the elders of the tribe

Basic Theories of Government
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By around 6000 BCE, towns began to develop along major rivers
Tribes made war on each other
Governments were developed in these towns, to protect against invaders
Major landowners (“nobles”) helped the ruler of the town, often called “king”

Basic Theories of Government
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Kings, along with nobles, would raise armies to protect the town
Townspeople paid taxes or tithes to pay the army’s expense
Townspeople had no authority
Kings expected absolute loyalty, absolute obedience

Basic Theories of Government
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By about 5000 BCE in Egypt, and in the
Tigris/Euphrates valley (today’s Iraq and Iran) cities began to join together; the first countries formed
Cities gave up their individuality
The most powerful city-state ruler became king of the entire country

Basic Theories of Government
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In Egypt, the autocrat was the pharaoh
In Babylonia and Assyria the autocrat was called king
Kings wrote laws, with no consultation from their nobles or their citizens

Basic Theories of Government
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These emperors centralized rule
That is, all major acts and decisions were made in one central place
Local officials were responsible for enforcing the emperor’s rules
Local officials were not free to make or vote on laws that would affect their area

Basic Theories of Government
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One of the first codified (written down) collections of laws was by the Babylonian king
Hammurabi
A wellknown feature of Hammurabi’s code was restitution – paying a victim back for property that was stolen or damaged, or paying with life when a life was taken
This Hammurabi code was the basis for much early law in the Middle East

Basic Theories of Government
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Around the year 500 BCE, the Greeks experimented with another form of government
Greek cities were also separate states (the “citystate.”)
Each was ruled by an autocrat called a tyrant
Gradually, Greeks moved to a more liberal form of rule

Origins of Democracy
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The ancient Greeks developed the idea of democracy.
 word derives from two Greek words: demos (people) and kratos (rule).
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Any English word ending in -cracy signifies
“rule by.”

Origins of Democracy
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Greek-style democracy involved every male citizen in the decision-making process.
“Pure democracy” relied on two things:
 eager participation by all citizens
 a small city-state where a small population could arrive at important decisions relatively quickly
“Pure Democracy” is not practiced anywhere in the world today
Why do you think that is?

The Agora

Basic Theories of Government
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The United States, and most countries in today’s world, are republics.
Roman law first allowed an autocrat (whom they called a “dictator”) only in times of emergency
By the time of Christ, dishonest Roman rulers declared permanent emergencies, and became autocrats known as emperors

Origins of Democracy
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The Romans adapted Greek democracy to fit the needs of the huge Roman empire.
Rome was a republic, using a democratic/republican form of government.
Those words bear NO relation to present US political parties!
Adult males elected representatives to a senate, and the Roman senate ran the empire

Basic Theories of Government
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Later, countries were again run by autocrats known as kings; kingship was passed down from father to son
Kings were assisted in ruling by local landowners known as lords
Kings gave land grants (“fiefs”) to their lords, and the lords in return guaranteed a certain number of trained soldiers (knights) for the King’s army

Basic Theories of Government
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This system was called feudalism. That word comes from the Latin word “fides” meaning
“faith.” (In English at that time, the word was spelled “fœdes”)
The people who farmed the land (“serfs”) never thought much about who the king was; their loyalty was to their local lord. They might never see the king

Basic Theories of Government
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The feudal system began to die out in the late
Middle Ages (1200s-1300s)
During the Renaissance, cities again became prominent; they were ruled by princes
By the late 1500s, strong princes combined several strong cities to make nations
Can you see how government styles run in cycles?

Codified Law and Citizenship
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One important element of a civil society is codified law
Laws are written down and available for everyone to see
There’s no doubt about what is allowed and what is not allowed, for everyone
Another is citizenship
This implies not only a right to vote, but a sense of membership, a stake in society

Basic Theories of Government
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It was during the late Middle Ages that the great nation-states (England, France, Spain, etc.) began to form
Although we use the words “nation” and “state” as synonyms, they are not
Nation refers to the ethnicity of the people
State refers to the government system

Nationhood
NATIONHOOD : Another important element is the idea of being a “Nation”
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This includes four essential characteristics
 Clearly defined boundaries
 Population
 Sovereignty
 Government

Nationhood
Clearly Defined Boundaries
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Size doesn’t matter
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Boundaries do
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Lichtenstein is only about 61.7 square miles, but it is a “nation”
Memphis is about 300 square miles, but is not a nation

Nationhood
Population
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Homogeneous population
Most of the people identify with and support the government
Most have a common cultural heritage
Most have a sense of “belonging” together.

Nationhood
Sovereignty
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The people govern themselves
Free from outside interference
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They write their own laws
They carry on trade with other nations
They make their own decisions

Nationhood
Government
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The people choose the system of government that suits them best.
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They expect their government to secure their personal safety and their property

Basic Theories of Government
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The development of the nation-states in the
1500s and 1600s marked the start of modern governments
The government of each country is somewhat different from others, but there are a few common things:

Functions of Government
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Most governments have three functional areas
 Lawmaking body (Legislature)
 Executive branch (administers government operations)
 Court system (Judiciary)

Types of Government
UNITARY GOVERNMENT
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Most power is concentrated in a central government
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Lower levels of government are responsible to the central government
France is a good contemporary example
Although a French mayor might run his town on a day-to-day basis, he might have to consult with someone in Paris on “major” matters (even something as simple as repairing the roof on City
Hall)

Types of Government
FEDERAL GOVERNMENT
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Power is divided between a central government and the member states (regional subdivisions)
Each state has its own government, with power and responsibility for certain functions
The central government has power and responsibility for certain functions
Each is limited
The United States is a good example of a federal system

Types of Government
CONFEDERATE GOVERNMENT
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This is the opposite of a Unitary government
Most of the power rests with the state government
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The central government is very limited in what it can do
The United States between 1781 and 1789 is a good example

Constitutionalism
CONSITUTIONALISM
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This is the idea that “the law is greater than the king”
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A “Constitution” ordinarily involves writing down the formal limits on government
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But it does not guarantee that the government will respect the rights of its people – aspirations rather than fixed limits
Began with the Magna Carta

Origins of Democracy
MAGNA CARTA (1215)
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English nobles forced the weak King John to sign this “Great Charter”
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Guaranteeing their right to trial by jury, due process of law, and security in their property.
It also guaranteed that the king was subject to
English law.

King John signing the Magna Carta

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THE (ENGLISH) PETITION OF RIGHT, 1628 extended Magna Carta to commoners.
THE ENGLISH BILL OF RIGHTS, 1689, was a signed agreement by King William and Queen
Mary
Neither they nor any future monarch would renege on the Petition of Right

Origins of Democracy
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THE BRITISH PARLIAMENT was begun as a group of advisors to the King in the 1600s;
Over the next 300 years, as social contract theory gained in popularity, their role in lawmaking increased and the monarch’s role decreased.

The British Parliament
House of Lords
House of Commons

Origins of Democracy
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THE ENLIGHTENMENT (18th century,
European and North American)
The period emphasized science and reasoning as the highest attributes and accomplishments of humans.
Stressed brainpower, not royal blood, as the one prerequisite to being allowed to make government decisions

Origins of Democracy
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Enlightenment political philosophy derives mainly from John Locke’s “Second Treatise on Civil
Government.”
Locke emphasized the “natural law,” as did most thinkers of his era
He wrote that people are born with natural rights to life, liberty, and property, given these rights by
“nature’s God.”

Origins of Democracy
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Locke saw government as a “social contract,” unwritten but understood agreement between people and their monarch.
Each had an obligation under this agreement.

Origins of Democracy
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The monarch was responsible for protecting the people’s persons, property, and rights.
The people were responsible for tax revenues and loyalty to the monarch in return.
If either side reneged on its responsibilities, contract was no longer binding

Origins of Democracy
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Thomas Jefferson borrowed Locke’s words when he wrote the Declaration of Independence
But he expanded on Locke’s ideas whenever a form of government becomes destructive of the rights of the people, it is their solemn obligation to throw off that government.

Basic Theories of Government
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Gradually over the next 700 years, English people place more and more restrictions on their kings
In the process, they guaranteed their own freedoms and rights
US government is patterned in many ways after
English government; why?

Basic Theories of Government
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Countries have many different ways of making decisions.
Some allow much input from citizens, others offer no chance for citizens to speak their views
In describing a government, the decision-making process is described as either totalitarian or democratic.

Basic Theories of Government
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TOTALITARIAN SYSTEMS allow no individual citizen opinion
They usually come to power by a military overthrow
They use force, even violence, to control the people
They take charge of the military, media, schools, churches – the total country
The rulers don’t have to obey the laws they write: they are elite, or privileged

Basic Theories of Government
There are three main kinds of totalitarian systems, which we saw briefly a little while ago
 monarchies (rule by one king or queen)
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 oligarchies (rule by a handful of elites) dictatorships (rule by one harsh ruler, enforced by his army)

Basic Theories of Government
DEMOCRACY , on the other hand, places rule in the hands of the people
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As with totalitarian states, there are several valid ways a country can practice democracy:

Basic Theories of Government
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Direct Democracy : every voter has a say in every issue. This is also known as pure democracy.
Indirect Democracy : voters elect those people who when then decide the issues on behalf of the voters
This is also known as republican democracy.

Basic Theories of Government
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Modern countries usually practice indirect democracy, but they practice it in different ways:
Some use presidential leadership, in which the executive have strong authority and direct the legislature
Others use parliamentary leadership, in which the legislature directs the executive

Basic Theories of Government
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A country’s government type is very closely connected to the kind of economic system it chooses.
Governments must be concerned about how a country makes its money, because the profits from businesses help pay the taxes that will fund the government.

Government and Economic Systems
For our purposes, there are four basic economic systems:
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CAPITALISM
SOCIALISM
COMMUNISM
FASCISM
Most economic systems are not really “pure” types, but have some elements of others

Government and Economic Systems
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CAPITALISM: Based on free enterprise, private ownership of the means of production, people engaged in commerce motivated by profit, competition.

Government and Economic Systems
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SOCIALISM: Major industries (the means of production) owned by the government, resulting in improved quality, lower prices, rise in living standards, reduction of the disparity between rich and poor.

Government and Economic Systems
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COMMUNISM: Economic view of history, Labor theory of value, dedication to revolution, dictatorship of the proletariat (workers), militant atheism.

Government and Economic Systems
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FASCISM: People exist to serve the state and owe complete allegiance to the leader, oneparty rule, state socialism, private property exists but it controlled by the state.

Government and Economic Systems explained by means of cows
CAPITALISM:
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You have two cows.
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You sell one, buy a bull, and build a herd of cows.

Government and Economic Systems explained by means of cows
SOCIALISM:
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You have two cows.
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The government takes them and puts them in a barn with everyone else's cows.
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You have to take care of all the cows.
The government gives you a glass of milk.

Government and Economic Systems explained by means of cows
COMMUNISM:
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You share two cows with your neighbors
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You and your neighbors bicker about who has the most "ability" and who has the most "need.
“
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Meanwhile, no one works, no one gets any milk, and the cows drop dead of starvation.

Government and Economic Systems explained by means of cows
FASCISM
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You have two cows
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The government takes both, hires you to take care of them, and sells you the milk.