Introduction to GOVT 2302 Review of key principles from 2301 Welcome Or Welcome Back As you know, GOVT 2302 is the second of two classes designed to introduce students to the United States and Texas Constitutions, the basic language of government and politics, and the nature of American Political institutions. In this first set of slides I want to recall the purpose of this class, as well as GOVT 2301, and review key principles from 2301. In 2301 we covered the following: Natural Rights Constitutional Design Civil Liberties and Rights Institutions Elections Political Parties Participatory Rights In this class we concentrate on the governing institutions established in the United States and Texas Constitutions: Legislative Executive Judicial We will look at their evolution over history, how they are written in the Constitution, how each has evolved since then and what controversies are associated with each. Before doing so it would be useful to review the content of 2301. This should help make sense of the material covered in 2302. Let’s review why this class is even offered, much less required. (we covered this in 2301, but I think we should repeat it.) The simple answer: Because you are citizens in a democratic republic and the preservation of the republic is based on your knowledgeable participation. An educated participatory and virtuous citizenry has always been considered to be necessary to the survival of a democratic republic. Because democratic republics are fragile. History provides many examples of them losing public support and falling into anarchy and then despotism. Key example: The Lessons of Ancient Rome After almost 500 years as a Republic (509 BC–27 BC), where it was ruled by its citizens, Rome became an empire. First, a definitions: What is a Republic? A republic is a type of government where the citizens choose the leaders of their country and the people (or at least a part of its people) have an impact on its government. -Wikipedia And a second” What is an Empire? A major political unit having a territory of great extent or a number of territories or peoples under a single sovereign authority; especially : one having an emperor as chief of state. The territory of such a political unit. Something resembling a political empire; especially : an extensive territory or enterprise under single domination or control. In short, a republic is a governing system where the people rule themselves while in an empire, all civil and military power rests with an emperor. But while a republic, Rome was also chaotic, unstable, and sometimes ungovernable. Julius Caesar took advantage of this chaos and worked to consolidate power. He had been appointed consul by the Senate, which possessed the executive powers of the state, but used this position to gradually expanded his powers over Senate. Much of this he did with the support of the people of Rome who were becoming angry with a Senate they saw as corrupt and more supportive of the rights of wealthy landowners than of them. They supported the expansion of Caesar’s power. This is the key point: The general population was actually supportive of the shift from a republic to an empire. This fact concerned the framers of the US Constitution. Caesar was assassinated by the Roman Senators in order to curtail this expansion of power, but it only further angered the population. In the ensuing civil war, the people opposed the Senate and supported the forces advocating empire. Here’s the scene from HBO’s Rome Despite the assassination, his nephew Augustus Caesar would succeed in becoming emperor. Here is a quick video about him. The transition was complete. Beginning in 27 BC, Rome would be organized as an empire. A few videos on You Tube try to explain this transition. Here are a few you might want to watch: Rome: The Fall of the Republic (1-4) Here’s some irony: The chaotic republic was transformed into a more peaceful empire. After Augustus there would be over 200 years of peace in Rome: The Pax Romana. Rome reached its greatest influence as an empire. But this proved unsustainable. This creates a dilemma: Which system is preferable? A bit more history from the movies: The emperor who would end the Pax Romana was Commodus – the guy from the Gladiator. It is argued that the decline of the Roman Empire began with his rule. So the question became: What factors led to the decline of the Republic, and could the decline have been prevented? In short: Is a Republic – a system of government – based on the people, sustainable? As a practical matter – considering that the early empire seemed temporarily to be a successful system – what balance ought to be struck between popular rule and a central state? This continues to be a problem This was a question that would concern the founders. They wished to avoid this fate. Benjamin Franklin put it this way: - This exchange is alleged to have taken place at the conclusion of the Constitutional Convention. Mrs. Powel: "Well Doctor, what have we got, a republic or a monarchy?" Benjamin Franklin: "A republic if you can keep it“ Abraham Lincoln would also ask the question: “Four score and seven years ago our fathers brought forth on this continent a new nation, conceived in Liberty, and dedicated to the proposition that all men are created equal. Now we are engaged in a great civil war, testing whether that nation, or any nation, so conceived and so dedicated, can long endure. …” Abraham Lincoln The opening of the Gettysburg Address Why are republics difficult to maintain? Human Nature People tend to be more focused on short term personal needs. Leaders also tend to be driven more by individual ambition that by a desire to govern effectively. A republic makes governing difficult. Republics breed conflict. This conflict develops because people are free to develop, articulate and act on their own opinions. American Government is founded, in a sense, on a contradiction. While it is based on the people (popular sovereignty) historically the people have demonstrated themselves not to be a solid foundation for government. At least the elites thought so. As a consequence, the country’s founders did not necessarily expect the republic to last. Previous republics had not. One of history’s lessons is that democracies tend to be very short lived. Which raises an important question: Is self-government possible? That is the essence of the American Experiment, to discover whether this is in fact possible. Alexander Hamilton would claim that this was the question America was to answer for the world. “It has been frequently remarked that it seems to have been reserved to the people of this country, by their conduct and example, to decide the important question, whether societies of men are really capable or not of establishing good government from reflection and choice, or whether they are forever destined to depend for their political constitutions on accident and force.” - Publius (Alexander Hamilton), Federalist #1 Notice the contrast: - Reflection and choice - Accident and force American government is based on consent, but is the general population capable of offering informed consent? What are people willing to consent to? Government based on popular consent requires an educated population capable of providing a solid basis for governing. An educated choice An understanding of the principles of government is argued necessary to maintain the republic. But here’s the problem: Most public opinion surveys demonstrate that people lack the knowledge about governmental issues, and attentiveness to politics that was expected necessary by the founders. The solution is civic education. That’s what we are attempting to do here. Thomas Jefferson commented on the need for public education here: Preamble to a Bill for the More General Diffusion of Knowledge A link to the entire bill. Schools were assumed to be essential to a successful expansion of the republic westward. Art. 3. Religion, morality, and knowledge, being necessary to good government and the happiness of mankind, schools and the means of education shall forever be encouraged. - The Northwest Ordinance (1787) Education was also assumed to be important to the founders of the Republic of Texas. One of the grievances in the Texas Declaration of Independence concerned the Mexican government’s refusal to establish schools. It [the Mexican Government] has failed to establish any public system of education, although possessed of almost boundless resources, (the public domain,) and although it is an axiom in political science, that unless a people are educated and enlightened, it is idle to expect the continuance of civil liberty, or the capacity for self government. Article VII of the Texas Constitution of 1876 also provides for free public schools: SECTION 1. A general diffusion of knowledge being essential to the preservation of the liberties and rights of the people, it shall be the duty of the Legislature of the State to establish and make suitable provision for the support and maintenance of an efficient system of public free schools. Consider this then to be the goal of the class: To provide the knowledge essential to the preservation of the liberties and rights of the people. That’s a tall order. As mentioned above, GOVT 2302 focuses on the nature of the three basic institutions of government Legislative Executive Judicial We will define each, explore their historical evolution, how each is designed in the U.S. and Texas Constitutions, how they have evolved over the years and how their current design. An exploration of British history and the organic development of British institutions will be central to this effort. It is important to note that our institutions are based on British institutions. Our history is in many ways an extension of theirs. Our institutions were designed to be based on the lessons learn from history. This is s point we will make as we walk through the establishment of each of the three. What this means is that our Constitution is a very pragmatic document. It’s design is based on reality, not theory. It is argued also that it has developed organically, over time. I try to make this point in future sections. Understanding this requires that we understand the importance of basic historical text. Charter of Liberties Magna Carta Petition of Right British Bill of Rights British Common Law Together these, and select other documents, establish the British Constitution. In many places, our Constitution uses the same terminology found in the British Constitution. To the extent possible, we will try to establish these relationships this semester. Why is this important? If we want to preserve our constitutional structure is crucial to know this history. It should also give us a renewed appreciation for the structure established by the document. Again, it is the product of experience – trial and error – dating back centuries. Examples Our bicameral legislature is similar in form to the bicameral legislature in Britain. A lower branch is connected closely to the general population, while an upper branch is removed from it. The development of the legislature can be traced to Magna Carta, which was a response to the abuses of King John. Part of the function of legislatures since then has been to check abusive, potentially abusive executives. Our singular executive and administrative structure is similar – with exceptions -- to the singular executive which has existed over British history and the administrative apparatus which has evolved to carry out the laws. Concerns over the potential abuse of executive power recur throughout British – and American – history. These conflicts peaked during the Stuart monarchy, and led to our constitutional understanding of the role of the executive. Our judicial system, the concept of judicial independence, and our common law, is based on British experience. We will follow the following format for each of the three principle governing institutions. First – We will define the powers of each institution, investigate their evolution through British history, discovery what was stated about each power in the Declaration of Independence, and how they were established in the Articles of Confederation. Second – We will read how each institution is established in the United States and Texas Constitutions. We will also understand the principle controversies associated with each institution and how these were handled in the Constitutional Convention and the Federalist Papers. Third – We will investigate the principle changes each institution has weathered over American history. Fourth – We will conclude with an analysis of the contemporary state of each institution and the issues and controversies associated with each institution. Hopefully this will allow us to effectively trace the evolution of the powers of each institution. Now for a quick review of the central concepts of 2301. Again, be prepared to answer questions about this material. Some Definitions: A Couple Definitions of “Government” The institution, or institutions, with the monopoly on the legitimate use of coercion in society The institutions and procedures through which a land and its people are ruled. Governments do three things They Pass Laws They Implement Laws They Adjudicate Laws In the American Constitutional system, these three functions are vested in three separate institutions: Legislative Executive Judicial These are the separated powers. Remember that they are separated because the concentration of those powers in the hands of one person or entity is tyranny. The purpose of the separated powers is to prevent tyranny. The purpose of the checks and balances is to maintain the separated powers. Governments are based on sovereign power. What is “sovereignty?” “supreme power, especially over a body politic” “the quality of having supreme, independent authority over a territory” “the power to do everything in a state without accountability” The only question is where sovereignty lies. Autocracy – rule of one Oligarchy – rule of the few Democracy – rule of the many Each has advantages and disadvantages Autocratic rule is efficient but arbitrary. Oligarchic rule is knowledgeable but biased. Democratic rule is legitimate, but subject to mob rule. In the American system of government, sovereignty rests with the people (“We the People), but the precise design of the constitution incorporates aspects of autocracy, oligarchy and democracy. The legislature is the democratic branch. It is designed to be closely connected to the general population, and as a consequence can be very chaotic and tends to be rife with conflict. The Executive is the autocratic branch, especially on the national level where all executive power is vested in a single person - in Texas it is split between various independently elected executive officials. This allows for efficiency in the execution of laws, but it can be subject to the arbitrary application of them as well. The judiciary is the oligarchic branch and it is designed (on the national level) to be removed from the direct preferences of the population. The appointment process is designed to ensure that judges are knowledgeable, but it can make them prone to biased decision making. The American governing system is best defined as a republic. Laws are passed by representatives of the people, not the people themselves. Defining “Politics” What is Politics? The authoritarian allocation of values in society. The struggle over who gets what, when and how. Intrigue or maneuvering within a political unit or group in order to gain control or power While “government” refers to those institutions that can rule with authority, “politics” refers to the effort to determine what those institutions will do. Political institutions are largely private organizations developed to influence the activities of government. Principle Examples Political Parties Interest Groups The Media A political party is a group that competes in elections in order to hold public office and organizes governing institutions once in power. Political parties are not mentioned in the Constitution but they have evolved as effective ways to organize both the electorate and governing institutions, especially the legislature. In addition to recruiting and running candidates for elective office, parties provide voters a limited opportunity to influence the course of public policy. The winner take all voting rules in most American elections has led to the development of two major political parties. Third parties are uncompetitive beyond one or two electoral cycles. The Democratic and Republican Parties have dominated American politics since 1856. Interest Groups are similar. They organize to influence how government officials establish public policy in a particular area. They do not complete in elections. They engage in lobbying and other activities. All these activities are constitutionally protected under the right to peacefully assemble and petition government for a redress of grievances. Interest groups are effective to the degree that they can organize the demands of groups of people with similar interests and persuade them to work together for a common goal. They have to be able to develop and implement strategies to overcome the free rider problem. An interest group expressly organized to influence an election is called a political action committee. Many are organized as 527 organizations, most recently a specific type of organization called a Super PAC. The U.S. has had a vibrant press since the colonial era. The press was central not only to the revolution, but to the expansion of political participation. A free press is necessary for the electorate to get the information necessary to form opinions about governmental activities. The press is also constitutionally protected. Congress cannot pass laws abridging the freedom of the press. In a democracy, one of the driving forces of government is public opinion. If opinion shifts steadily in one direction, then policies ought to shift in that direction as well. We looked at a variety of factors which led to the development of public opinion. We also looked at one of the factors that helps individuals organize their opinions and provides a key source of political conflict: differences in attitudes about values and interests. Ideology: A set of positions on issues based on some underlying value or interest. The dominant ideologies in the U.S. are Conservatism and Liberalism. While there is tension within each, they can be defined somewhat simply. Conservatism tends to prioritize freedom over equality and also seeks to uphold traditional relationships in society. Liberalism tends to prioritize equality over freedom and seeks to expand participation and social benefits to the lower classes. We covered the development and application of the concept of natural rights. Over the course of British history, the doctrine of the Divine Right of the Monarchy was replaced with the doctrine of the Natural Rights of the Individual. The Divine Right of King held that people are born into a divine social order that must be maintained Natural Right Theory argued that each individual has natural, or unalienable rights and it is the purpose of government to secure them. The American governing system begins with the idea that rights are innate in individuals, not granted by a government or another individual, like a king for example. This is Jefferson’s argument in the Declaration of Independence “We hold these truths to be self-evident: That all men are created equal; that they are endowed by their Creator with certain unalienable rights; that among these are life, liberty, and the pursuit of happiness; that, to secure these rights, governments are instituted among men, deriving their just powers from the consent of the governed; that whenever any form of government becomes destructive of these ends, it is the right of the people to alter or to abolish it, and to institute new government, laying its foundation on such principles, and organizing its powers in such form, as to them shall seem most likely to effect their safety and happiness.” The argument is presented as a mathematical proof. A central point of the argument is that it is rational to consent to a properly designed governing system. The Declaration of Independence is does not establish a government, so it is not a constitution. The powers of government are defined in written Constitutions on the national and state levels. These establish governmental institutions and define the relationship between them and between government and the individual. The men who adopted the Declaration of Independence also wrote the Articles of Confederation. All power rested with the states. The commercial interests did not find this arrangement acceptable and called for a constitutional convention to correct the document’s alleged deficiencies. Not everyone was in favor of the convention. Patrick Henry thought the federalists meant to undermine the authority of the states. He was right. Simply put, state control did not allow for coordination between the states. Interstate transactions were difficult if not impossible. Business suffered. The Federalists reflected the interests of business. The principle ringleaders: Alexander Hamilton James Madison Both Hamilton and Madison presented proposals to the Constitutional Convention that would have further expanded national power. But they were unsuccessful. The U.S. Constitution was the product of several compromises. 3/5ths Compromise Great Compromise Bill of Rights The Constitution contains several principles. We dug into four dominant ones: Republicanism Separated Powers Federalism Individual Liberty Principle #1 Republicanism (indirect democracy) The United States is more accurately described as being a republic (a representative democracy), not a democracy – or at least a pure democracy. The founders – at least those that wrote the constitution – believed that direct (or pure) democracies were unstable and prone to tyranny of the majority. The founders believed that indirect, or representative, democracy is preferable to direct democracy since it would be less subject to the passionate, unsteady preferences of the mob. Elites were granted a special status in early American history. It was assumed that people in general were more prone to conflict than cooperation and that given the chance, the majority would persecute the minority. Pure democracy provided the majority that opportunity. This is the argument in Federalist #10 But as the country grew, democracy grew, expansion expanded, and more direct control of governing institutions were instituted. Texas government is more “democratic” than the United States government. The U.S. has become more democratic over its history primarily due to the expansion of suffrage. Basic Democratic Principles Majority Rules Minority Rights Universal Adult Suffrage An ongoing problem with democracy is the tension between majority rules and minority rights The majority can tyrannize the minority. Principle #2 Separated Powers backed up with the Checks and Balances Here we discussed the purpose of the separated powers, how powers are separated and maintained, and the logic behind the system of checks and balances. Concentrated legislative, executive, and judicial powers allow for the development of a tyrannical system. They must be separated in order to resist tyranny. The Constitution vests governing powers in three institutions that are made as independent as possible. This explains why each is elected uniquely, and has a separate term of office. House – election by the people Senate – originally elected by state legislatures President – Electoral College Courts – Nomination and Confirmation But it was assumed that each institution would be controlled by people of great ambition, and that continued ambition would lead members of one institution to seek to control the others. The powers granted in the Constitution to those institutions are largely meant to allow one institution to resist the threats posed by the other two. Examples: Impeachment Veto Judicial Review Principle #3 Federalism The US Constitution creates a federal system, which is an unusual system because it establishes that two separate levels of government – the nation and the state - are equal, each is sovereign. This was the consequence of the Great Compromise, which established that both the national government and the states are directly connected to the people: The national government in the House of Representatives and the states in the Senate. This ensures conflict between each level of government. This continues to this day and will perhaps be an ongoing feature of government. This is called dual sovereignty and it is a defining feature of American government. In addition, the Constitution delegates certain powers to the national government and reserves the rest to the states. It also implies that additional powers exist that may be necessary and proper for carrying out the delegated powers Here are the three relevant terms: Delegated Powers Reserved Powers Implied Powers The delegated powers are those listed in Article One Section 8 of the Constitution which lists the things Congress can pass laws about. It also includes specific powers granted to the President in Article Two. The reserved powers are those left to the state, generally these are the “police powers” which concern the regulation of the health, safety, welfare and morals of a community. The implied powers are those that stem primarily from the necessary and proper clause, as well as the other elastic clauses – the commerce, general welfare and spending clauses. They have been used to expand the powers of the national government over history. The precise relationship between the two level of government continues to be a source of controversy, as it was during the ratification debate. Several Federalist Papers (from #39 to #46) discussed the proper relationship between the national and state governments. Federalist #45 contains one of the more famous quotes from the papers: The powers delegated by the proposed Constitution to the federal government are few and defined. Those which are to remain in the State governments are numerous and indefinite. This tells us that the powers of the national government are limited. Any law passed by Congress must ultimately be tied into a grant of power based on constitutional language. This is the function of the courts. It also states that the powers of the states are unlimited. Unless the US Constitution explicitly limits the powers of the states in a particular area, they are free to establish policies on whatever they choose. If they choose . . . This is not true for Texas however. Remember that the Constitution of Texas is long and detailed and specifically states things that the state government cannot do. In addition the framework it establishes is intended to limit its activities. The amateur legislature The plural executive The elected judiciary (we will discuss these much more thoroughly this semester) While the Constitution only mentions the national and state governments, thousands of local governments exist throughout the country. They exist by the authority of the state constitutions. Principle #4 Individual Liberty or Civil Liberties Here we discussed the justifications for individual liberty – civil liberties -- and the way that the Bill of Rights, and other features of the Constitution secure them them. The Bill of Rights places limits on the powers of the government. th 14 Until the Amendment, it applied only to the national government. Liberties can be defined in two ways: Substantive: What government can pass laws about Procedural: How someone can be searched, tried and punished. Certain specific substantive and procedural limitations are placed on the powers of government. These establish the idea that people are free in those areas. These are primarily found in the Bill of Rights. Substantive Liberties are established by limiting the ability of Congress to pass laws on certain subjects, for example free exercise or religious belief, press, and speech. Procedural liberties are established by removing the ability of government to arbitrarily search, try and imprison individuals. Civil liberties are not absolute. They can be limited based upon whether the courts determine that a particular use of right has violated the greater interest of society. Shouting fire in a crowded theater. The breadth of civil liberties is an ongoing source of controversy in the United States. Does, for example, a right to privacy exist? An additional source of controversy th is the consequence of the 14 Amendment. By nationalizing citizenship the citizens of the state could use the national courts to seek redress against the state government. This gave the national government additional power against the states, and is the subject of ongoing conflict ever since. Civil Rights and the Equal Protection Clause We mentioned that once the 14th Amendment was added to the Constitution, a fifth principle was contained in the Constitution Equality As a consequence of the 14th Amendment, No state shall deny to persons within their jurisdiction the equal protection of the law. States had to treat people the same before the law. But what exactly does this mean? It can be controversial depending on what criteria is being used to distinguish between people. Race Gender Age The Supreme Court has had to weigh in over time to determine what types of criteria can be used to treat people differently and what types are not. Distinctions based on race and citizenship are “suspect classifications” meaning that they must survive the most rigid analysis by the courts. The conflict continues. Elections We covered the purpose of elections in a democracy, the nature of the electoral system on all three levels of government, with a special emphasis on the consequences of the winner take all system. Most, but not all, offices are staffed with periodic elections. Many judicial and bureaucratic positions are appointed in order to ensure professionalism in the occupant, but this minimizes the democratic nature of American government. While suffrage was limited in the early years of the republic, over the course of American history it has expanded to include most groups in society. Turnout varies among different groups in society. Wealth, age and education are good predictors of voter turnout. Political Parties, which were mentioned above, are the key players in an electoral system Participatory Rights The Participatory Freedoms The First Amendment limits the ability of Congress to pass laws restricting the ability of people to participate politically. This has led to the development of political organizations. The Freedoms Are: Speech Press Assembly Petition These are considered to be fundamental rights. Freedom of Speech allows people to develop and communicate their own opinions. As a result, public opinion has evolved as a distinct force in society. It is a hard earned right. At one point government could curtail both speech and the press with claims that such acts were seditious. Sedition: Conduct or language inciting rebellion against the authority of a state. Much of what people engage in today politically would have been considered to be sedition in previous centuries. While there is more to cover, this is a reasonable review and should place the governing institutions in proper context. In the next set of slides we will outline the basic features of the legislative branch and discuss its historical evolution. Study Guide - What is the purpose of the checks and balances? - What are the three separated powers and what do they do? - What are the delegated, implied, reserved and inherent powers? - What is federalism? - What is the Bill of Rights and what does it do? How? - What impact did the 14th Amendment had on the Constitution? - What are the participatory freedoms? - What is a Constitution? What purposes does a constitution serve? - What basic argument is made in the Declaration of Independence? What does it say about the justifications for government and what a government is supposed to do? - What is a direct and indirect democracy? Which is established by the US Constitution? Why? - Be able to provide a full definition of democracy and also explain some of the tensions within it. - Are democracies always protective of minority rights? - What is the divine right of kings? How was this doctrine replaced with the doctrine of natural rights? - Be able to define the words government, politics, and sovereignty. - What is the nature of sovereignty in the United States? - Be familiar with autocracies, oligarchies, and democracies. What are their relative advantages and disadvantages. - What are the governing institutions? - What are the political institutions? - What is tyranny? - What political forces drove the expansion of suffrage over the course of American history? - What is ideology? What purpose does it serve?