Overview
This lecture reviews the foundations of American democracy, the drafting and structure of the U.S. Constitution, and the principles and practice of federalism, with a focus on key concepts, compromises, and Supreme Court cases.
Foundations of American Democracy
- The Enlightenment inspired natural rights (life, liberty), popular sovereignty (power from people), and the social contract (government protects rights).
- Republicanism means people elect representatives; separation of powers creates three government branches (executive, legislative, judicial).
- Limited government prevents tyranny through checks and balances and distributed powers.
- The Declaration of Independence supports natural rights, the social contract, and popular sovereignty.
- The Constitution provides the framework for republicanism and separation of powers.
Types and Tensions of Democracy
- Participatory democracy: broad public participation; visible in local governments and referenda.
- Pluralist democracy: interest groups compete to influence policy (e.g., NAACP, NRA).
- Elite democracy: limited participation; seen in systems like the Electoral College.
- Tension among models reflected in the Constitution, Federalist 10 (pro-pluralism), and Brutus 1 (pro-participatory, anti-centralization).
The U.S. Constitution: Origins and Compromises
- The Articles of Confederation created a weak central government with no executive or judiciary and no taxation power.
- Shay's Rebellion exposed the Articles' weaknesses, leading to the 1787 Constitutional Convention.
- The Great Compromise created a bicameral legislature: House (population-based) and Senate (equal representation).
- The Electoral College was created to elect the president.
- Three-fifths Compromise: 3/5 of enslaved people counted for representation.
- Slave importation compromise: Congress could ban the slave trade after 20 years.
- The Constitution can be amended via proposal (2/3 Congress or convention) and ratification (3/4 of states).
Separation of Powers and Checks and Balances
- Congress (legislative): makes laws, Senate confirms appointments.
- President (executive): enforces laws, can veto bills.
- Courts (judicial): interpret laws, can rule laws unconstitutional (judicial review).
Federalism: Division and Sharing of Power
- Federalism is the shared power between national and state governments.
- Exclusive powers: only for federal government (e.g., treaties).
- Reserved powers: kept by states (10th Amendment—e.g., education, police).
- Concurrent powers: shared (e.g., taxation).
Fiscal Federalism and Federal-State Relations
- Fiscal federalism: federal funds influence state actions via grants and mandates.
- Categorical grants: specific purposes with rules.
- Block grants: broad purposes, more state flexibility.
- Mandates: federal requirements; can be funded or unfunded.
- The balance of power shifts (e.g., post-9/11 surveillance, No Child Left Behind).
Key Constitutional Clauses and Supreme Court Cases
- 10th Amendment: reserves powers to states.
- 14th Amendment: applies Bill of Rights to states.
- Commerce Clause: allows Congress to regulate interstate commerce.
- Necessary and Proper Clause: lets Congress make laws needed to execute its powers.
- McCulloch v. Maryland (1819): upheld federal supremacy and implied powers.
- US v. Lopez (1995): limited Congress's commerce power, supporting state authority.
Federalism in Practice: Examples
- Environmental regulations (e.g., Paris Agreement vs. state rules).
- Marijuana legalization: legal in some states despite federal ban.
Key Terms & Definitions
- Natural Rights — Rights people are born with (life, liberty, property/happiness).
- Popular Sovereignty — Power of government comes from the people.
- Social Contract — Agreement where people give up some freedom for government protection.
- Republicanism — Government system where people elect representatives.
- Federalism — System where power is shared between national and state governments.
- Exclusive Powers — Powers only the federal government holds.
- Reserved Powers — Powers kept by state governments.
- Concurrent Powers — Powers shared by federal and state governments.
- Fiscal Federalism — Use of federal funds to influence state policy (grants, mandates).
Action Items / Next Steps
- Review Federalist 10, Brutus 1, Declaration of Independence, U.S. Constitution, and key Supreme Court cases (McCulloch v. Maryland, US v. Lopez).
- Study definitions and roles of grants and mandates in fiscal federalism.